Federal Register / Vol. 86, No. 3 / Wednesday, January 6, 2021 / Rules and Regulations 451 

1See §§ 1400.500(a) and 1400.1(a)(4) of this title. 

1 DOE’s online database may be found at 

energy.gov/guidance. 

2Executive Order 13891 defines ‘‘significant 

guidance document’’ as ‘‘a guidance document that 

may reasonably be anticipated to: (i) Lead to an 

annual effect on the economy of $100 million or 

more or adversely affect in a material way the 

economy, a sector of the economy, productivity, 

competition, jobs, the environment, public health or 

safety, or State, local, or tribal governments or 

communities; (ii) create a serious inconsistency or 

otherwise interfere with an action taken or planned 

by another agency; (iii) materially alter the 

budgetary impact of entitlements, grants, user fees, 

or loan programs or the rights and obligations of 

recipients thereof; or (iv) raise novel legal or policy 

issues arising out of legal mandates, the President’s 

priorities, or the principles of Executive Order 

12866.’’ (84 FR 55235, 55236) 

in excess of the amount available, FSA 

will prorate payments by a national 

factor to reduce the payments to an 

amount that is less than available funds 

as determined by the Secretary. 

(c) Applications and claims that are 

unpaid or prorated for any reason will 

not be carried forward for payment 

under other funds for later years or 

otherwise, but will be considered, as to 

any unpaid amount, void and 

nonpayable. 

§ 760.1814 Requirement to purchase crop 

insurance or NAP coverage. 

(a) For the first 2 consecutive crop 

years for which crop insurance or NAP 

coverage is available after the 

enrollment period for the QLA Program 

ends, a participant who receives 

payment under this subpart for a crop 

loss in a county must obtain: 

(1) For an insurable crop, crop 

insurance with at least a 60 percent 

coverage level for that crop in that 

county; or 

(2) For a NAP-eligible crop, NAP 

coverage with a coverage level of 60 

percent. 

(b) Participants who exceed the 

average adjusted gross income 

limitation for NAP payment eligibility 1

for the applicable crop year may meet 

the purchase requirement specified in 

paragraph (a)(2) of this section by 

purchasing Whole-Farm Revenue 

Protection crop insurance coverage, if 

eligible, or paying the NAP service fee 

and premium even though the 

participant will not be eligible to receive 

a NAP payment due to the average 

adjusted gross income limit. 

(c) The final crop year to purchase 

crop insurance or NAP coverage to meet 

the requirements of paragraph (a) of this 

section is the 2023 crop year. 

(d) A participant who obtained crop 

insurance or NAP coverage for the crop 

in accordance with the requirements for 

WHIP+ in § 760.1517 is considered to 

have met the requirement to purchase 

crop insurance or NAP coverage for the 

QLA Program. 

(e) If a producer fails to obtain crop 

insurance or NAP coverage as required 

in this section, the producer must 

reimburse FSA for the full amount of 

QLA Program payment plus interest. A 

producer will only be considered to 

have obtained NAP coverage for the 

purposes of this section if the 

participant submitted a NAP application 

for coverage and paid the requisite NAP 

service fee and any applicable premium 

by the applicable deadline and 

completed all program requirements 

required under the coverage agreement, 

including filing an acreage report. 

Richard Fordyce, 

Administrator, Farm Service Agency. 

[FR Doc. 2020–28914 Filed 1–5–21; 8:45 am] 

BILLING CODE 3410–05–P 

DEPARTMENT OF ENERGY 

10 CFR Part 1061 

RIN 1990–AA50 

Procedures for the Issuance of 

Guidance Documents 

AGENCY: Office of the General Counsel, 

Department of Energy. 

ACTION: Final rule. 

SUMMARY: The U.S. Department of 

Energy (DOE) publishes this final rule to 

establish procedures for the issuance of 

DOE guidance documents in accordance 

with Executive Order 13891. In this 

final rule, DOE establishes internal 

agency requirements for the contents of 

guidance documents, and procedures 

for providing notice of, and soliciting 

public comment on, certain guidance 

documents. This final rule also 

establishes procedures for the public to 

petition DOE to modify or withdraw 

guidance documents. 

DATES: The effective date of this rule is 

February 5, 2021. 

ADDRESSES: The docket for this 

rulemaking, which includes Federal 

Register notices, comments, and other 

supporting documents/materials, is 

available for review at https://

www.regulations.gov. All documents in 

the docket are listed in the https://

www.regulations.gov index. However, 

not all documents listed in the index, 

such as those containing information 

that is exempt from public disclosure by 

law, may be publicly available. A link 

to the docket web page can be found at 

https://www.regulations.gov/ 

document?D=DOE-HQ-2020-0033-0001. 

The docket web page explains how to 

access all documents, including public 

comments, in the docket. 

FOR FURTHER INFORMATION CONTACT: Mr. 

Matthew Ring, U.S. Department of 

Energy, Office of the General Counsel, 

Forrestal Building, GC–33, 1000 

Independence Avenue SW, Washington, 

DC 20585, (202) 586–2555, Email: 

Guidance@hq.doe.gov. 

SUPPLEMENTARY INFORMATION: 

I. Summary of Final Rule 

In this final rule, DOE incorporates 

into the Code of Federal Regulations a 

new 10 CFR part 1061, which 

implements the requirements of 

Executive Order 13891, ‘‘Promoting the 

Rule of Law Through Improved Agency 

Guidance Documents.’’ (84 FR 55235 

(Oct. 15, 2019)) Among other things, 

Executive Order 13891 requires agencies 

to provide more transparency for their 

guidance documents by creating a 

searchable online database for current 

guidance documents,1 and by 

establishing procedures to allow the 

public to comment on significant 

guidance documents and to petition the 

agency to withdraw or modify guidance 

documents.2 Moreover, the Executive 

Order requires agencies to clearly state 

in their guidance documents that such 

guidance does not have the force and 

effect of law and is not legally binding, 

except as authorized by law or as 

incorporated into a contract. (84 FR 

55235, 55237) 

This final rule applies to all DOE 

guidance documents, as defined by 

Executive Order 13891, including the 

exceptions listed in section 2 of the 

Executive Order. This final rule also 

lists specific types of documents and 

communications that fall within the 

broader exceptions listed in the 

Executive Order (e.g., speeches and 

presentations given by DOE officials, 

legal positions taken in litigation or 

enforcement actions). (See also OMB M– 

20–02, Guidance Implementing 

Executive Order 13891, Titled 

‘‘Promoting the Rule of Law Through 

Improved Agency Guidance 

Documents’’ (Oct. 31, 2019), available at 

https://www.whitehouse.gov/wpcontent/uploads/2019/10/M-20-02- 

Guidance-Memo.pdf). This final rule 

also adopts the same definition of 

‘‘significant guidance document’’ as 

section 2 of Executive Order 13891. 

In accordance with Executive Order 

13891, this final rule requires that all 

DOE guidance documents clearly state 

that they do not have the force and 

effect of law and are not legally binding 

on the public, and that they are only 

intended to provide clarity to the public 


jbell on DSKJLSW7X2PROD with RULES
452 Federal Register / Vol. 86, No. 3 / Wednesday, January 6, 2021 / Rules and Regulations 

3See 84 FR 50791 (Sept. 26, 2019). NCLA’s 

petition, the notice soliciting comment, and 

comments received on the petition may be found 

on http://www.regulations.gov under docket 

number DOE–HQ–2020–0002, document number 

2019–20540. 4NCLA’s comments may be found on http://

www.regulations.gov under docket number DOE– 

HQ–2020–0002 with the Comment ID DOE–HQ– 

2020–0033–0004. 

regarding existing statutory and 

regulatory requirements. Moreover, this 

final rule requires that DOE guidance 

documents be written clearly and 

refrain from using mandatory language, 

such as the terms ‘‘shall’’ or ‘‘must.’’ If 

a guidance document purports to 

describe, approve, or recommend 

specific conduct that is beyond what is 

required by existing statute or legislative 

rule, this final rule requires that the 

document include a clear and 

prominent statement that the guidance 

document will not be used as an 

independent basis for enforcement, that 

conformity with the guidance document 

is strictly voluntary, and that 

nonconformity will not affect the rights 

and obligations of regulated parties. 

This final rule also requires that all 

DOE guidance documents be reviewed 

and cleared by the Department’s Office 

of the General Counsel. Additionally, 

this final rule requires that significant 

guidance documents be signed by the 

Secretary or a component agency head 

appointed by the President. This will 

ensure that the requirements and intent 

of Executive Order 13891 are met, and 

that guidance documents are issued in 

accordance with relevant laws and 

regulations. 

This final rule also codifies 

procedures for providing notice in the 

Federal Register concerning significant 

guidance documents, soliciting public 

comments on such guidance documents, 

and responding to such comments. DOE 

notes that the agency generally provides 

notice and solicits comments on 

significant guidance documents. 

Therefore, this final rule codifies agency 

procedures that are already in use for 

significant guidance documents. This 

final rule also provides procedures for 

the public to petition the agency to 

modify or withdraw guidance 

documents. DOE notes that the 

procedures in this final rule for 

petitions to modify or withdraw 

guidance documents are similar to the 

procedures that DOE uses for petitions 

for rulemaking. 

II. Summary of Comments and DOE 

Responses 

On July 1, 2020, DOE published a 

notice of proposed rulemaking (NOPR) 

in which DOE proposed new part 1061 

to implement the requirements of 

Executive Order 13891. (85 FR 39495) In 

the NOPR, DOE also granted in part, and 

denied in part, a petition for rulemaking 

submitted by the New Civil Liberties 

Alliance (NCLA) asking DOE to initiate 

a rulemaking to prohibit any DOE 

component from issuing, relying on, or 

defending improper agency guidance.3

DOE received four comments on the 

NOPR, which are summarized below 

along with DOE’s responses. Based on 

comments, DOE is making changes 

between the proposed rule and this final 

rule, as described in DOE’s responses 

below. 

Comments of NCLA 

NCLA’s comments 4 responded 

specifically to a portion of NCLA’s 

petition for rulemaking that DOE 

declined to include in the NOPR: 

Procedures addressing finality and 

judicial review of agency guidance. 

NCLA stated that DOE should further 

clarify part 1061 to express the 

availability of judicial review after final 

disposition of a petition for the 

withdrawal or modification of guidance 

documents under the procedures of 

§ 1061.4. (NCLA at 3) NCLA disagreed 

with DOE’s statement in the NOPR that 

‘‘courts have the authority, and are best 

positioned, to determine what agency 

actions are reviewable by a court under 

the APA or other relevant laws and 

regulations’’ and that the provisions 

concerning finality or judicial review 

sought by NCLA would not be as useful 

to regulated parties as the provisions 

DOE proposed in the NOPR, because the 

provisions in the proposed rule ‘‘should 

eliminate, or lessen, the perceived need 

for judicial review in a significant range 

of circumstances by further confirming 

that guidance documents do not bind 

regulated parties.’’ (NCLA at 3; see also 

85 FR 39497) NCLA stated that the 

judiciary has historically lacked the 

ability to review improper agency 

guidance because, in part, the APA 

typically permits review only of final 

agency action, and the failure to achieve 

finality under the APA has resulted in 

courts being unable to consider the 

coercive effects of guidance documents. 

NCLA further stated that when an 

agency’s guidance review process falls 

short, clear procedures identifying when 

an agency action is final and what 

review is available allow an interested 

party to seek meaningful redress from 

the courts. (NCLA at 3) 

NCLA further stated that, as proposed, 

§ 1061.4 contemplates the finality of 

DOE’s action on a petition and suggests 

that judicial review under the APA may 

be available, but it does not provide a 

specific recourse for a petitioner who 

disagrees with the agency’s disposition 

of a petition. NCLA concluded that 

§ 1061.4 should include an explicit 

provision stating that if a person 

exhausts his or her administrative 

remedies in accordance with paragraph 

(g) of § 1061.4, then the disposition of 

the petition submitted in accordance 

with § 1061.4 shall constitute final 

agency action under the APA and shall 

be subject to review under the judicial 

review provisions of the APA. (NCLA at 

4) 

DOE Response 

In response, DOE emphasizes that the 

final rule requires DOE guidance 

documents to explicitly state that they 

are non-binding and do not have the 

force and effect of law, and prohibits 

DOE from relying on guidance 

documents as an independent basis for 

enforcement. Enforcement actions must 

be based on the underlying statutory or 

regulatory requirements. The 

requirements of this final rule make 

clear that no binding legal obligations or 

consequences flow from DOE guidance 

documents, and that compliance with a 

guidance document is voluntary. With 

respect to petitions for modification or 

withdrawal of DOE guidance 

documents, DOE declines to make the 

changes sought by NCLA. This final rule 

makes clear that a petitioner must avail 

himself or herself of the procedures in 

§ 1061.4. After those procedures have 

been exhausted and the petitioner 

receives a final disposition of the 

petition, DOE’s consideration of the 

petition is complete, and DOE will take 

no further action on the petition. As in 

the proposed rule, DOE notes that courts 

are responsible for determining whether 

judicial review is available under the 

APA for a particular agency action, 

including DOE’s disposition of a 

petition under § 1061.4. Courts are in 

the best position to determine if an 

agency action is final and ripe for 

review, and whether legal consequences 

actually flow from said action, and 

therefore, DOE declines to include a 

provision stating when judicial review 

of a guidance document or a petition to 

modify or withdraw guidance document 

would be available. In addition, DOE 

notes that this final rule should 

eliminate, or lessen, the perceived need 

for judicial review in a significant range 

of circumstances by further confirming 

that guidance documents do not bind 

regulated parties. Accordingly, DOE 

declines to incorporate NCLA’s 

suggested changes into this final rule. 


jbell on DSKJLSW7X2PROD with RULES
Federal Register / Vol. 86, No. 3 / Wednesday, January 6, 2021 / Rules and Regulations 453 

5MHARR’s comments may be found on http://

www.regulations.gov under docket number DOE– 

HQ–2020–0002 with the Comment ID DOE–HQ– 

2020–0033–0002. 

6AHRI’s comments may be found on http://

www.regulations.gov under docket number DOE– 

HQ–2020–0002 with the Comment ID DOE–HQ– 

2020–0033–0005. 

7AHRI’s comments may be found on http://

www.regulations.gov under docket number DOE– 

HQ–2020–0002 with the Comment ID DOE–HQ– 

2020–0033–0006. 

Comments of MHARR 

The Manufactured Housing 

Association for Regulatory Reform 

(MHARR) provided comments 5 in 

support of NCLA’s petition for 

rulemaking and DOE’s proposed rule, 

except to the extent that the proposed 

rule omitted procedural and substantive 

protections set forth in NCLA’s petition 

for rulemaking, particularly procedures 

to ensure that DOE comply with the 

Congressional Review Act (CRA). (5 

U.S.C. 801–808) MHARR stated that it 

supports the adoption of all elements of 

NCLA’s petition, including specific CRA 

compliance procedures. (MHARR at 2) 

MHARR stated that it has observed 

agencies, including DOE, abuse the 

guidance document process to impose 

de facto regulatory mandates and 

associated burdens. MHARR continued 

that such guidance documents impose 

significant cost burdens on regulated 

parties, including MHARR members, 

without affording interested parties 

opportunity to comment or to challenge 

such guidance in court. (MHARR at 3) 

MHARR further stated that, as set forth 

in Executive Order 13891, the 

imposition of new obligations through 

guidance documents is against statutory 

law, as well as the Constitution, and 

therefore, the proposed regulatory 

language offered in NCLA’s petition for 

rulemaking should be included in this 

final rule. Additionally, MHARR stated 

that, in particular, the CRA compliance 

provisions offered in NCLA’s petition 

should be included in the final rule 

because the CRA encompasses guidance 

documents, and MHARR disagreed with 

DOE’s assertion in the NOPR that DOE’s 

internal procedure adequately govern 

DOE’s compliance with the CRA 

because DOE and other agencies have 

undertaken covered actions on an 

ongoing basis without full compliance 

with the CRA and its substantive 

requirements. (MHARR at 3) 

DOE Response 

Consistent with MHARR’s comments, 

the final rule establishes procedures to 

ensure that the agency’s process for the 

issuance and modification of guidance 

documents is transparent and accessible 

to the public, including by allowing 

public comment on significant guidance 

documents. The final rule also assures 

regulated parties that such guidance is 

not legally binding, and does not affect 

the rights and obligations of regulated 

parties. The final rule implements, and 

is consistent with, the requirements of 

Executive Order 13891. With respect to 

MHARR’s comments on the proposed 

CRA compliance provisions in NCLA’s 

petition, DOE declines to include such 

provisions in the final rule. As DOE 

stated in the NOPR, current DOE and 

Executive Branch procedures ensure 

compliance with the CRA. MHARR 

stated that DOE has issued actions 

covered by the CRA without fully 

complying with the CRA; however, 

MHARR did not provide any specific 

examples of such non-compliant 

actions. Moreover, the CRA compliance 

procedures in NCLA’s petition mirror 

those that are already required of 

Executive Branch agencies by OMB M– 

19–14, Guidance on Compliance with 

the Congressional Review Act (Apr. 11, 

2019), which NCLA cited in its petition. 

(See 84 FR 5079, 50797 (Sept. 26, 2019)) 

Accordingly, the CRA compliance 

procedures proffered by NCLA, and 

supported by MHARR, are already in 

place in Executive Branch policy. 

Additionally, this final rule requires 

DOE to consult with, and receive a 

determination from, OIRA on the 

significance of DOE guidance 

documents. Therefore, OIRA will have 

the opportunity to determine 

independently whether a guidance 

document is a ‘‘major’’ rule for purposes 

of the CRA, consistent with 5 U.S.C. 

804(2), or otherwise must be submitted 

under the CRA’s procedures. 

Comments of AHRI 

The Air-Conditioning, Heating, and 

Refrigeration Institute (AHRI) 6

submitted comments in support of 

DOE’s plan to issue procedures on the 

issuance of guidance documents in 

accordance with Executive Order 13891. 

AHRI stated that its experience working 

with DOE’s Office of Energy Efficiency 

and Renewable Energy (EERE) has 

consistently demonstrated alignment 

with the spirit of Executive Order 

13891, that AHRI has found DOE’s 

guidance documents to be useful and 

helpful, and that DOE guidance has, on 

occasion, been particularly useful in 

quickly resolving questions that arise in 

the implementation of regulations. 

(AHRI at 1) AHRI encouraged DOE to 

establish procedures that enable 

efficient solutions to short-term 

challenges. AHRI further stated that it 

appreciates EERE’s efforts to make all 

guidance documents readily accessible 

on its website, and that the 

establishment of a single web portal on 

DOE’s website makes it even easier now 

for the public to locate DOE’s guidance 

documents. (AHRI at 1) 

DOE Response 

Consistent with the AHRI’s 

comments, the final rule establishes 

procedures consistent with Executive 

Order 13891 to ensure that the agency’s 

process for the issuance and 

modification of guidance documents is 

transparent and accessible to the public, 

including through DOE’s guidance web 

portal. The procedures in the final rule 

ensure that DOE guidance documents 

are readily accessible to the public 

online. With respect to AHRI’s 

comments encouraging DOE to establish 

procedures that enable efficient 

solutions to short-term challenges, DOE 

believes that the procedures in the final 

rule are sufficient to meet such 

challenges. DOE (acting in conjunction 

with the Administrator of OMB’s Office 

of Information and Regulatory Affairs 

pursuant to section 4(a)(iii) of Executive 

Order 13891) may dispense with the 

notice and comment procedures of the 

final rule in exigent circumstances or 

emergencies. DOE may likewise do so 

when DOE finds for good cause 

(consistent with section 4(a)(iii)(A) of 

Executive Order 13891) that notice and 

public comment for a significant 

guidance document are impracticable, 

unnecessary, or contrary to the public 

interest. Moreover, non-significant 

guidance documents need not be subject 

to public notice and comment. 

Accordingly, DOE made no changes to 

the final rule based on AHRI’s 

comments, because the procedures in 

the final rule allow DOE sufficient 

flexibility to efficiently address shortterm or urgent challenges. 

Comments of Goodman 

Goodman Manufacturing Company, 

L.P. (Goodman) 7 submitted comments 

in support of DOE’s proposal to 

establish procedures for the issuance of 

DOE guidance documents in accordance 

with Executive Order 13891. In its 

comments, Goodman proposed some 

revisions to the provisions in the NOPR, 

so that the prescribed provisions in the 

proposed new 10 CFR part 1061 do not 

unduly impact well-established existing 

guidance documents that the HVAC 

industry has relied upon for several 

years. Goodman stated that it was 

concerned that the rescission of such 

existing guidance documents would 

cause uncertainty among regulated 

HVAC manufacturers. (Goodman at 2) 


jbell on DSKJLSW7X2PROD with RULES
454 Federal Register / Vol. 86, No. 3 / Wednesday, January 6, 2021 / Rules and Regulations 

Goodman stated that, as currently 

proposed, § 1061.3(g) may rescind 

existing guidance documents that do not 

comply with the procedures in 

§ 1061.3(a), and that such rescission 

would last unless and until DOE 

subjects such guidance documents to 

these procedures. Goodman stated that 

it is concerned that such immediate 

action could lead to a gap in the 

availability of guidance to stakeholders 

for an unknown period of time, and that 

it is not clear to stakeholders which of 

the existing guidance documents are 

‘‘posted on DOE’s website portal as 

described in paragraph (a) [of 

§ 1061.3],’’ and that this lack of clarity 

would cause greater uncertainty, 

specifically for the HVAC industry. 

(Goodman at 2) 

As an alternative, Goodman proposed 

revising paragraph (g) in § 1061.3 to 

state that guidance documents not 

posted to DOE’s web page portal are 

rescinded effective one year after final 

rule publication or whenever DOE 

subjects such guidance documents to 

the procedures of this section, 

whichever comes first. Goodman stated 

that this alternative is particularly 

essential to the HVAC industry 

regarding the uniform test methods for 

measuring the energy consumption of 

central air conditioners and heat pumps 

because of the difference in the 

applicable effective dates for 

Appendices M and M1 to Subpart B of 

10 CFR part 430. (Goodman at 2) 

Goodman stated that, due to the 

difference in these effective dates, it is 

imperative that DOE maintain the 

existing guidance document for the 

usage of an amended test procedure for 

testing, rating, and certifying products 

prior to the compliance date for new 

standards (‘‘2014 Early Compliance 

Guidance’’), and that otherwise 

Appendix M1 will compel 

manufacturers to make representations 

in accordance with Appendix M1 on or 

after the effective date of Appendix M1, 

rather than prior to that date, as allowed 

under the 2014 Early Compliance 

Guidance. (Goodman at 2) Goodman 

stated that the 2014 Early Compliance 

Guidance is particularly essential for 

products subject to regional standards 

because it allows manufacturers to 

introduce products into commerce well 

in advance of the 2023 effective date as 

long as those products are tested, rated, 

and certified in accordance with 

Appendix M1 and the 2023 energy 

conservation standards, thereby 

providing remaining market actors in 

the traditional distribution chain an 

option to procure such products in time 

for the 2023 installation effective date. 

(Goodman at 2–3) Goodman requested 

that, at a minimum, DOE indicate on its 

website portal which guidance 

documents are in compliance and 

which guidance are not in compliance 

with § 1061.3(a). Goodman also stated 

that its concerns about existing 

guidance documents apply to guidance 

other than 2014 Early Compliance 

Guidance, along with a list of examples 

of such guidance documents. (Goodman 

at 3) 

Goodman also proposed minor 

editorial revisions for the final rule. 

Specifically, Goodman stated that 

because the proposed definition of 

‘‘Guidance document’’ in paragraph (16) 

of § 1061.2 already eliminates 

documents ‘‘directed solely at DOE 

personnel or to other Federal agencies 

that is not intended to have substantial 

future effect on the behavior of 

regulated parties,’’ the inclusion of this 

language in § 1061.3(a)(3) is duplicative 

and can be removed. Goodman also 

proposed replacing the word ‘‘will’’ in 

§§ 1061.3(f), 1061.3(g), 1061.4(d) and 

1061.4(e) with the word ‘‘shall.’’ 

(Goodman at 3) 

DOE Response 

In response to Goodman, DOE makes 

clear that the specific guidance 

referenced in the comment has not been 

rescinded. DOE declines to make the 

changes to § 1061.3(g) proposed by 

Goodman; however, DOE has made a 

change to § 1061.3(g) to clarify that 

documents not made available through 

DOE’s website portal as described in 

paragraph (f) of § 1061.3 are deemed 

rescinded under § 1061.3(g). This 

change replaces the text of § 1061.3(g) 

from the proposed rule that stated 

guidance documents ‘‘not posted to 

DOE’s website portal as described in 

paragraph (a) of [§ 1061.3]’’ would be 

deemed rescinded. DOE believes that 

the final rule makes clear that existing 

documents currently available through 

the guidance web portal, such as the 

2014 Early Compliance Guidance, are in 

effect. Executive Order 13891 required 

that agencies make all effective 

guidance documents available through 

each agency’s guidance web portal, and 

that otherwise the guidance document 

would be deemed rescinded. However, 

agencies could have reinstated 

rescinded guidance documents without 

being subject to the procedures of 

Executive Order 13891 by making them 

available through their guidance web 

portal by June 27, 2020. Accordingly, 

any DOE guidance document, as defined 

in part 1061, that was not available 

through the DOE guidance web portal as 

of June 27, 2020, is deemed rescinded. 

DOE will not cite, use, or rely on any 

guidance document that has been 

rescinded, except to establish historical 

facts. However, all guidance documents 

made available through DOE’s website 

portal prior to June 27, 2020, and that 

are currently available through DOE’s 

website portal, have not been rescinded 

and are currently effective and may be 

relied upon. Under the final rule, only 

new or revised guidance documents, or 

rescinded guidance documents that 

DOE seeks to reinstate, must go through 

the procedures in § 1061.3. Guidance 

documents made available through 

DOE’s website portal prior to June 27, 

2020, and that are currently available 

through DOE’s website portal, are 

currently in effect and are not required 

to go through the procedures in 

§ 1061.3. 

DOE agrees with Goodman’s 

remaining editorial comments and has 

removed the reference to documents 

directed at DOE personnel in 

§ 1061.3(a)(3), and has replaced the term 

‘‘will’’ with ‘‘shall’’ in §§ 1061.3(f), 

1061.3(g), 1061.4(d) and 1061.4(e). 

Regulatory Analysis 

A. Review Under Executive Order 

12866, ‘‘Regulatory Planning and 

Review’’ 

This final rule is a ‘‘significant 

regulatory action’’ under Executive 

Order 12866, ‘‘Regulatory Planning and 

Review.’’ (58 FR 51735 (Oct. 4, 1993)) 

As a result, this action was reviewed by 

the Office of Information and Regulatory 

Affairs in the Office of Management and 

Budget (OMB). DOE does not anticipate 

that this rulemaking will have an 

economic impact on regulated entities. 

This is a final rule of agency procedure 

and practice. The final rule describes 

DOE’s internal procedures for the 

promulgation and processing of 

guidance documents, to ensure that 

guidance documents only clarify 

existing statutory and regulatory 

obligations and do not impose any new 

obligations. DOE adopts these internal 

procedures as part of its implementation 

of Executive Order 13891, and does not 

anticipate incurring significant 

additional resource costs in doing so. 

Moreover, it is anticipated that the 

public will benefit from the resulting 

increase in efficiency and transparency 

in the issuance of guidance documents, 

and more opportunities to comment on 

guidance documents. 

B. Review Under Executive Orders 

13771 

On January 30, 2017, the President 

issued Executive Order 13771, 

‘‘Reducing Regulation and Controlling 

Regulatory Costs.’’ (See 82 FR 9339 


jbell on DSKJLSW7X2PROD with RULES
Federal Register / Vol. 86, No. 3 / Wednesday, January 6, 2021 / Rules and Regulations 455 

(Feb. 3, 2017)) This final rule is not an 

Executive Order 13771 regulatory action 

because it results in costs that are de 

minimis. 

C. Review Under the Regulatory 

Flexibility Act 

The Regulatory Flexibility Act (5 

U.S.C. 601 et seq.) requires the 

preparation of a regulatory flexibility 

analysis for any rule that by law must 

be proposed for public comment, unless 

the agency certifies that the rule, if 

promulgated, will not have a significant 

economic impact on a substantial 

number of small entities. As required by 

Executive Order 13272, Proper 

Consideration of Small Entities in 

Agency Rulemaking, 67 FR 53461, (Aug. 

16, 2002), DOE published procedures 

and policies on February 19, 2003, to 

ensure that the potential impacts of its 

rules on small entities are properly 

considered during the rulemaking 

process. (68 FR 7990) The Department 

has made its procedures and policies 

available on the Office of the General 

Counsel’s website: http://energy.gov/gc/ 

office-general-counsel. 

The final rule codifies internal agency 

procedures regarding DOE’s issuance of 

guidance documents. Additionally, as 

noted previously, guidance documents 

do not have the force and effect of law 

and are not legally binding on regulated 

entities. This final rule establishes 

procedures to ensure that DOE guidance 

only clarifies existing statutory and 

regulatory obligations, rather than 

imposing any new obligations. DOE 

therefore does not anticipate any 

significant economic impacts from 

today’s final rule. For these reasons, 

DOE certifies that this rulemaking will 

not have a significant economic impact 

on a substantial number of small 

entities. Accordingly, DOE did not 

prepare a regulatory flexibility act 

analysis for this rulemaking. DOE’s 

certification and supporting statement 

of factual basis will be provided to the 

Chief Counsel for Advocacy of the Small 

Business Administration for review 

under 5 U.S.C. 605(b). 

D. Review Under the Paperwork 

Reduction Act of 1995 

The final rule imposes no new 

information or record keeping 

requirements. Accordingly, Office of 

Management and Budget (OMB) 

clearance is not required under the 

Paperwork Reduction Act. (44 U.S.C. 

3501 et seq.) 

E. Review Under the National 

Environmental Policy Act of 1969 

DOE has determined that the final 

rule is covered under the Categorical 

Exclusion found in DOE’s National 

Environmental Policy Act regulations at 

paragraph A.6 of Appendix A to subpart 

D, 10 CFR part 1021. That Categorical 

Exclusion applies to actions that are 

strictly procedural, such as rulemaking 

establishing the administration of 

grants. The final rule codifies internal 

agency procedures for issuing guidance 

documents. The action does not have 

direct environmental impacts. No 

extraordinary circumstances are present 

that would warrant further review. 

Accordingly, DOE has not prepared an 

environmental assessment or an 

environmental impact statement. 

F. Review Under Executive Order 13132, 

‘‘Federalism’’ 

Executive Order 13132, ‘‘Federalism,’’ 

64 FR 43255, (Aug. 10, 1999), imposes 

certain requirements on agencies 

formulating and implementing policies 

or regulations that preempt State law or 

that have federalism implications. The 

Executive Order requires agencies to 

examine the constitutional and statutory 

authority supporting any action that 

would limit the policymaking discretion 

of the States and to carefully assess the 

necessity for such actions. The 

Executive Order also requires agencies 

to have an accountable process to 

ensure meaningful and timely input by 

State and local officials in the 

development of regulatory policies that 

have federalism implications. On March 

14, 2000, DOE published a statement of 

policy describing the intergovernmental 

consultation process it will follow in the 

development of such regulations. (65 FR 

13735) DOE examined this final rule 

and determined that it will not preempt 

State law and will not have a substantial 

direct effect on the States, on the 

relationship between the national 

government and the States, or on the 

distribution of power and 

responsibilities among the various 

levels of Government. No further action 

is required by Executive Order 13132. 

G. Executive Order 13175 ‘‘Consultation 

and Coordination With Indian Tribal 

Governments’’ 

Executive Order 13175, ‘‘Consultation 

and Coordination with Indian Tribal 

Governments,’’ 65 FR 67249 (Nov. 9, 

2000), applies to agency regulations that 

have Tribal implications, that is, 

regulations that have substantial direct 

effects on one or more Indian tribes, on 

the relationship between the Federal 

Government and Indian Tribes, or on 

the distribution of power and 

responsibilities between the Federal 

Government and Indian Tribes. The 

final rule has been analyzed in 

accordance with the principles and 

criteria contained in Executive Order 

13175. Because this final rule does not 

significantly or uniquely affect the 

communities of the Indian tribal 

governments or impose substantial 

direct compliance costs on them, the 

funding and consultation requirements 

of Executive Order 13175 do not apply. 

H. Review Under Executive Order 

12988, ‘‘Civil Justice Reform’’ 

With respect to the review of existing 

regulations and the promulgation of 

new regulations, section 3(a) of 

Executive Order 12988, ‘‘Civil Justice 

Reform,’’ 61 FR 4729 (Feb. 7, 1996), 

imposes on Federal agencies the general 

duty to adhere to the following 

requirements: (1) Eliminate drafting 

errors and ambiguity; (2) write 

regulations to minimize litigation; and 

(3) provide a clear legal standard for 

affected conduct, rather than a general 

standard and promote simplification 

and burden reduction. Section 3(b) of 

Executive Order 12988 specifically 

requires that Executive agencies make 

every reasonable effort to ensure that the 

regulation: (1) Clearly specifies its 

preemptive effect, if any; (2) clearly 

specifies any effect on existing Federal 

law or regulation; (3) provides a clear 

legal standard for affected conduct, 

while promoting simplification and 

burden reduction; (4) specifies its 

retroactive effect, if any; (5) adequately 

defines key terms; and (6) addresses 

other important issues affecting clarity 

and general draftsmanship under any 

guidelines issued by the Attorney 

General. Section 3(c) of Executive Order 

12988 requires Executive agencies to 

review regulations in light of applicable 

standards in section 3(a) and section 

3(b) to determine whether they are met, 

or it is unreasonable to meet one or 

more of them. DOE has completed the 

required review and determined that, to 

the extent permitted by law, the final 

rule meets the relevant standards of 

Executive Order 12988. 

I. Review Under the Unfunded 

Mandates Reform Act of 1995 

Title II of the Unfunded Mandates 

Reform Act of 1995 (UMRA) (Pub. L. 

104–4) requires each Federal agency to 

assess the effects of Federal regulatory 

actions on State, local, and tribal 

governments and the private sector. For 

a proposed regulatory action likely to 

result in a rule that may cause the 

expenditure by State, local, and tribal 

governments, in the aggregate, or by the 

private sector of $100 million or more 

in any one year (adjusted annually for 

inflation), section 202 of UMRA requires 

a Federal agency to publish a written 

statement that estimates the resulting 


jbell on DSKJLSW7X2PROD with RULES
456 Federal Register / Vol. 86, No. 3 / Wednesday, January 6, 2021 / Rules and Regulations 

costs, benefits, and other effects on the 

national economy. (2 U.S.C. 1532(a), (b)) 

UMRA also requires a Federal agency to 

develop an effective process to permit 

timely input by elected officers of State, 

local, and tribal governments on a 

proposed ‘‘significant intergovernmental 

mandate’’ and requires an agency plan 

for giving notice and opportunity for 

timely input to potentially affected 

small governments before establishing 

any requirements that might 

significantly or uniquely affect small 

governments. On March 18, 1997, DOE 

published a statement of policy on its 

process for intergovernmental 

consultation under UMRA (62 FR 

12820) (also available at http://

energy.gov/gc/office-general-counsel). 

This final rule contains neither an 

intergovernmental mandate nor a 

mandate that may result in the 

expenditure of $100 million or more in 

any year by State, local, and tribal 

governments, in the aggregate, or by the 

private sector, so these requirements 

under UMRA do not apply. 

J. Review Under the Treasury and 

General Government Appropriations 

Act of 1999 

Section 654 of the Treasury and 

General Government Appropriations 

Act of 1999 (Pub. L. 105–277) requires 

Federal agencies to issue a Family 

Policymaking Assessment for any rule 

that may affect family well-being. This 

final rule does not have any impact on 

the autonomy or integrity of the family 

as an institution. Accordingly, DOE has 

concluded that it is not necessary to 

prepare a Family Policymaking 

Assessment. 

K. Review Under Executive Order 12630, 

‘‘Governmental Actions and 

Interference With Constitutionally 

Protected Property Rights’’ 

DOE has determined, under Executive 

Order 12630, ‘‘Governmental Actions 

and Interference with Constitutionally 

Protected Property Rights,’’ 53 FR 8859 

(Mar. 18, 1988), that this final rule does 

not result in any takings which might 

require compensation under the Fifth 

Amendment to the United States 

Constitution. 

L. Review Under the Information 

Quality Act 

The Information Quality Act (44 

U.S.C. 3516, note) provides for agencies 

to review most disseminations of 

information to the public under 

guidelines established by each agency 

pursuant to general guidelines issued by 

OMB. OMB’s guidelines were published 

at 67 FR 8452 (Feb. 22, 2002), and 

DOE’s guidelines were published at 67 

FR 62446 (Oct. 7, 2002). DOE has 

reviewed this final rule under the OMB 

and DOE guidelines and has concluded 

that it is consistent with applicable 

policies in those guidelines. 

M. Review Under Executive Order 

13211, ‘‘Actions Concerning Regulations 

That Significantly Affect Energy Supply, 

Distribution, or Use’’ 

Executive Order 13211, ‘‘Actions 

Concerning Regulations That 

Significantly Affect Energy Supply, 

Distribution, or Use,’’ 66 FR 28355 (May 

22, 2001), requires Federal agencies to 

prepare and submit to the Office of 

Information and Regulatory Affairs 

(OIRA), Office of Management and 

Budget, a Statement of Energy Effects for 

any proposed significant energy action. 

A ‘‘significant energy action’’ is defined 

as any action by an agency that 

promulgated or is expected to lead to 

promulgation of a final rule, and that: 

(1)(i) Is a significant regulatory action 

under Executive Order 12866, or any 

successor order, and (ii) is likely to have 

a significant adverse effect on the 

supply, distribution, or use of energy, or 

(2) is designated by the Administrator of 

OIRA as a significant energy action. For 

any proposed significant energy action, 

the agency must give a detailed 

statement of any adverse effects on 

energy supply, distribution, or use 

should the proposal be implemented, 

and of reasonable alternatives to the 

action and their expected benefits on 

energy supply, distribution, and use. 

The final rule codifies internal agency 

procedures; it is not likely to have a 

significant adverse effect on the supply, 

distribution, or use of energy; and the 

Administrator of OIRA has not 

designated it as a significant energy 

action. Accordingly, the requirements of 

Executive Order 13211 do not apply. 

Approval of the Office of the Secretary 

The Secretary of Energy has approved 

publication of this final rule. 

List of Subjects in 10 CFR Part 1061 

Administrative practice and 

procedure. 

Signing Authority 

This document of the Department of 

Energy was signed on December 11, 

2020, by William S. Cooper, III, General 

Counsel, pursuant to delegated 

authority from the Secretary of Energy. 

That document with the original 

signature and date is maintained by 

DOE. For administrative purposes only, 

and in compliance with requirements of 

the Office of the Federal Register, the 

undersigned DOE Federal Register 

Liaison Officer has been authorized to 

sign and submit the document in 

electronic format for publication, as an 

official document of the Department of 

Energy. This administrative process in 

no way alters the legal effect of this 

document upon publication in the 

Federal Register. 

Signed in Washington, DC, on December 

15, 2020. 

Treena V. Garrett, 

Federal Register Liaison Officer, U.S. 

Department of Energy. 

■ For the reasons stated in the preamble, 

DOE adds part 1061 to Chapter X of 

Title 10 of the Code of Federal 

Regulations as follows: 

PART 1061—PROCEDURES FOR THE 

ISSUANCE OF GUIDANCE 

DOCUMENTS 

Sec. 

1061.1 Purpose. 

1061.2 Definitions. 

1061.3 Procedures for issuing guidance 

documents. 

1061.4 Petitions for withdrawal or 

modification of guidance documents. 

Authority: 42 U.S.C. 7254; 42 U.S.C. 7101 

et seq.; E.O. 13891, 84 FR 55235. 

§ 1061.1 Purpose. 

This part establishes DOE procedures 

for the issuance and review of new or 

revised guidance documents, and 

procedures for the public to petition for 

the withdrawal or removal of DOE 

guidance documents. 

§ 1061.2 Definitions. 

For purposes of this part, the 

following terms, phrases and words are 

defined as follows: 

Administrator means the 

Administrator of the Office of 

Information and Regulatory Affairs 

within the Office of Management and 

Budget. 

DOE means the U.S. Department of 

Energy. 

Guidance document means an agency 

statement of general applicability, 

intended to have future effect on the 

behavior of regulated parties, that sets 

forth a policy on a statutory, regulatory, 

or technical issue, or an interpretation 

of a statute or regulation, but does not 

include: 

(1) Rules promulgated pursuant to 

notice and comment under the 

Administrative Procedure Act, 5 U.S.C. 

553, or similar statutory provisions; 

(2) Rules exempt from rulemaking 

requirements under 5 U.S.C. 553(a); 

(3) Rules of agency organization, 

procedure, or practice; 

(4) Decisions of agency adjudications 

under 5 U.S.C. 554, 42 U.S.C. 

6303(d)(3)(A), or similar statutory 

provisions; 


jbell on DSKJLSW7X2PROD with RULES
Federal Register / Vol. 86, No. 3 / Wednesday, January 6, 2021 / Rules and Regulations 457 

(5) Internal executive branch legal 

advice or legal opinions addressed to 

executive branch officials; 

(6) Agency statements of specific, 

rather than general, applicability, 

including advisory or legal opinions 

directed to particular parties about 

circumstance-specific questions, notices 

regarding particular locations or 

facilities, and correspondence with 

individual persons or entities, including 

notices of violation and warning letters; 

(7) Briefs and other positions taken in 

litigation, enforcement actions, and 

financial assistance or contract bid 

protests, appeals or any other contract 

or financial assistance litigation; 

(8) Agency statements that do not set 

forth a policy on a statutory, regulatory, 

or technical issue or an interpretation of 

a statute or regulation, including, but 

not limited to, speeches, presentations, 

editorials, media interviews, press 

materials, congressional testimony, and 

congressional correspondence; 

(9) Guidance pertaining to military or 

foreign affairs functions; 

(10) Guidance or policies pertaining 

to financial assistance formation, 

funding opportunity announcements, 

awards and administration of financial 

assistance; 

(11) Guidance or policies pertaining 

to contract formation, solicitations, 

awards and administration of contracts; 

(12) Guidance or policies pertaining 

to the administration or oversight of 

capital asset projects or projects treated 

as capital asset projects by the 

Department; 

(13) Guidance pertaining to execution 

of the Department’s small business 

programs and achievement, including 

compliance with the Small Business 

Regulatory Enforcement Fairness Act; 

(14) Grant solicitations and awards; 

(15) Contract solicitations and awards; 

(16) Internal agency policies or 

guidance directed solely at DOE 

personnel or to other Federal agencies 

that is not intended to have substantial 

future effect on the behavior of 

regulated parties; or 

(17) Guidance pertaining to the use, 

operation, or control of a government 

facility or property; or 

(18) Policies or guidance when the 

release or disclosure of the document is 

legally prohibited. 

Significant guidance document means 

a guidance document that may 

reasonably be anticipated to: 

(1) Lead to an annual effect on the 

economy of $100 million or more or 

adversely affect in a material way the 

economy, a sector of the economy, 

productivity, competition, jobs, the 

environment, public health or safety, or 

State, local, or tribal governments or 

communities; 

(2) Create a serious inconsistency or 

otherwise interfere with an action taken 

or planned by another agency; 

(3) Materially alter the budgetary 

impact of entitlements, grants, user fees, 

or loan programs or the rights and 

obligations of recipients thereof; or 

(4) Raise novel legal or policy issues 

arising out of legal mandates, the 

President’s priorities, or the principles 

of Executive Order 12866. 

§ 1061.3 Procedures for issuing guidance 

documents. 

(a) Contents of Guidance Documents. 

All new or revised DOE guidance 

documents: 

(1) Must comply with all relevant 

statutes and regulations; 

(2) Must include a clear and 

prominent statement declaring that: 

(i) The contents of the document do 

not have the force and effect of law and 

are not meant to bind the public in any 

way; 

(ii) The document is intended only to 

provide clarity to the public regarding 

existing requirements under the law or 

agency policies, except as authorized by 

law or as incorporated into a contract; 

and 

(iii) DOE will not rely upon the 

document as an independent basis for 

an enforcement action or other 

administrative penalty. 

(3) Must avoid using mandatory 

language such as ‘‘shall,’’ ‘‘must,’’ 

‘‘required,’’ or ‘‘requirement,’’ unless 

the language is describing an 

established statutory or regulatory 

requirement, or is directed solely to 

DOE personnel and is not intended to 

have a substantial future effect on the 

behavior of regulated parties; 

(4) Must be written in plain and 

understandable language; and 

(5) Must include the following 

attributes: The term ‘‘guidance’’; a title; 

identification of the issuing agency or 

office; identification of activities to 

which and the persons to whom the 

document applies; the date of issuance; 

the relation to previous guidance (if 

applicable); a citation to the statutory 

provision(s), regulation(s), or both to 

which the document applies; and a 

short summary of the subject matter. 

(b) Review and Clearance by Counsel. 

All new or revised DOE guidance 

documents must be reviewed by the 

Office of the General Counsel prior to 

issuance to: 

(1) Ensure compliance with this part 

and Executive Order 13891; 

(2) Obtain a determination from the 

Administrator as to whether the 

guidance document is significant, as 

defined in this part; and 

(3) If the guidance document is 

determined to be significant, coordinate 

with the Office of Information and 

Regulatory Affairs within the Office of 

Management and Budget as prescribed 

in paragraph (c) of this section. 

(c) Procedures for Significant 

Guidance Documents. For any guidance 

document deemed to be a significant 

guidance document by the 

Administrator, DOE shall: 

(1) Publish notice of the guidance 

document in the Federal Register and 

on DOE’s guidance website, and provide 

a public notice and comment period of 

not less than 30 days prior to the 

issuance of the final significant 

guidance document; 

(2) Provide publicly available 

responses to major and relevant 

concerns raised in comments; 

(3) Obtain signature of the significant 

guidance document by the Secretary of 

Energy or DOE component head 

appointed by the President prior to 

issuance of the final significant 

guidance document; 

(4) In accordance with the procedures 

of Executive Order 12866, obtain review 

of the significant guidance document by 

the Administrator prior to issuance of 

the final significant guidance document; 

(5) Comply with applicable 

requirements of Executive Orders 

12866, 13563, 13609, 13771, and 13777. 

and any revisions thereto or superseding 

Executive Orders. 

(d) Exception to notice and comment 

procedures. DOE may dispense with the 

requirements of paragraphs (c)(1) and 

(2) of this section where DOE finds for 

good cause that notice and public 

comment for a significant guidance 

document are impracticable, 

unnecessary, or contrary to the public 

interest. DOE shall incorporate such 

finding and a brief statement of the 

reasons for such finding into the 

significant guidance document. 

(e) Other Exceptions. The procedural 

requirements of paragraph (c) of this 

section shall not apply, in whole or in 

part, when: 

(1) DOE and the Administrator agree 

that exigency, safety, health, or other 

compelling cause warrants an 

exemption from the relevant 

requirement or requirements; or 

(2) The significant guidance 

document is of a kind for which DOE 

and the Administrator have developed a 

categorical exception from the relevant 

requirement or requirements, as 

approved by the Administrator. 

(f) Electronic Availability of 

Guidance. DOE shall: 

(1) Ensure that all guidance 

documents, as defined in this part, are 

available to the public on the DOE 


jbell on DSKJLSW7X2PROD with RULES
458 Federal Register / Vol. 86, No. 3 / Wednesday, January 6, 2021 / Rules and Regulations 

website through a single web page 

portal; and 

(2) State clearly and prominently on 

its web page portal that guidance 

documents lack the force and effect of 

law, except as authorized by law or as 

incorporated into a contract. 

(g) Rescinded Guidance Documents. 

All guidance documents, as defined in 

this Part, that are not made available 

through DOE’s website portal as 

described in paragraph (f) of this section 

shall be deemed rescinded, unless and 

until DOE subjects such guidance 

documents to the procedures of this 

section. Except for the purposes of 

establishing historical facts, DOE shall 

not cite, use, or rely upon rescinded 

guidance documents unless and until 

DOE subjects such guidance documents 

to the procedures of this section. 

§ 1061.4 Petitions for withdrawal or 

modification of guidance documents. 

(a) Filing a petition. Any person may 

petition DOE to withdraw or modify a 

guidance document. The petition must 

be addressed to the Office of the General 

Counsel, Attention: Petition for 

Modification or Withdrawal of 

Guidance Document, and either: 

(1) Sent by mail addressed to: 

Forrestal Building, U.S. Department of 

Energy, 1000 Independence Avenue 

SW, Washington, DC 20585; 

(2) Sent by email to Guidance@

hq.doe.gov; or 

(3) Hand delivered to DOE at 1000 

Independence Avenue SW, Washington, 

DC 20585. 

(b) Content of petition. For each 

petition filed under this section, the 

petitioner must: 

(1) Specify the petitioner’s: 

(i) Name, or if the petitioner is an 

organization, the name of the 

organization and the name and 

authority of the individual who signed 

the petition on behalf of the 

organizational or corporate petitioner; 

(ii) Telephone number; 

(iii) Mailing address; and 

(iv) Email address (if available). 

(2) Identify the guidance document to 

be withdrawn or modified; and 

(3) Be signed by the petitioner or 

authorized representative. 

(c) Additional information. To assist 

DOE in responding appropriately to the 

petition, a petitioner should also: 

(1) Present any specific problems or 

issues that the petitioner believes are 

associated with the guidance document, 

including any specific circumstances in 

which the guidance document is 

incorrect, incomplete, obsolete, or 

inadequate; 

(2) Present any proposed solution to 

either modify or withdraw the guidance 

document, including a discussion of 

how the petitioner’s proposed solution 

resolves the issues identified under 

paragraph (c)(1) of this section; 

(3) In the case of a petition for 

modification of a guidance document, 

specify any modifications to the text of 

the document that petitioner seeks; 

(4) Cite, enclose, or reference 

technical, scientific, or other data or 

information supporting the petitioner’s 

assertions under paragraphs (c)(1) and 

(2) of this section. 

(d) Public comment. DOE shall 

publish a petition for modification or 

withdrawal of a guidance document and 

supporting documentation in the 

Federal Register, and provide 

opportunity for public comment. DOE 

may dispense with the notice and 

comment procedures in this paragraph 

where DOE finds for good cause that 

notice and public comment are 

impracticable, unnecessary, or contrary 

to the public interest, or where 

exigency, safety, health, or other 

compelling cause warrants an 

exemption from the notice and 

comment procedures in this paragraph. 

DOE shall incorporate such finding and 

a brief statement of the reasons for such 

finding into its decision on the petition. 

(e) Confidential business information. 

In accordance with the provisions set 

forth in 10 CFR 1004.11, any request for 

confidential treatment of any 

information contained in a petition for 

modifying or withdrawing a guidance 

document, or in supporting 

documentation, must be accompanied 

by a copy of the petition or supporting 

documentation from which the 

information claimed to be confidential 

has been deleted. DOE shall publish in 

the Federal Register the petition and 

supporting documents from which 

confidential information, as determined 

by DOE, has been deleted in accordance 

with 10 CFR 1004.11. 

(f) Disposition of petition. DOE shall 

determine the appropriate disposition of 

a petition after consideration of the 

petition and any supporting documents 

received, as well as any public comment 

received on the petition, within 90 days 

of DOE’s publication in the Federal 

Register of such petition, to the 

maximum extent practicable. 

(g) Exhaustion of administrative 

remedies. Before any DOE action under 

this part is final, a person must exhaust 

his or her administrative remedies. To 

exhaust administrative remedies under 

this part, a person must: 

(1) Avail himself or herself of the 

procedures in this section; and 

(2) Receive a final disposition from 

DOE in accordance with paragraph (f) of 

this section. 

[FR Doc. 2020–27875 Filed 1–5–21; 8:45 am] 

BILLING CODE 6450–01–P 

DEPARTMENT OF TRANSPORTATION 

Federal Aviation Administration 

14 CFR Part 39 

[Docket No. FAA–2020–1168; Project 

Identifier AD–2020–01568–E; Amendment 

39–21379; AD 2021–01–03] 

RIN 2120–AA64 

Airworthiness Directives; International 

Aero Engines AG Turbofan Engines 

AGENCY: Federal Aviation 

Administration (FAA), DOT. 

ACTION: Final rule; request for 

comments. 

SUMMARY: The FAA is adopting a new 

airworthiness directive (AD) for certain 

International Aero Engines AG (IAE) 

V2500–A1, V2522–A5, V2524–A5, 

V2525–D5, V2527–A5, V2527E–A5, 

V2527M–A5, V2528–D5, V2530–A5, 

V2531–E5, and V2533–A5 model 

turbofan engines. This AD was 

prompted by a root cause analysis of an 

event involving an uncontained failure 

of a high-pressure turbine (HPT) 1ststage disk that resulted in high-energy 

debris penetrating the engine cowling. 

This AD requires removing certain HPT 

1st-stage and HPT 2nd-stage disks from 

service. The FAA is issuing this AD to 

address the unsafe condition on these 

products. 

DATES: This AD is effective January 21, 

2021. 

The FAA must receive comments on 

this AD by February 22, 2021. 

ADDRESSES: You may send comments, 

using the procedures found in 14 CFR 

11.43 and 11.45, by any of the following 

methods: 

• Federal eRulemaking Portal: Go to 

https://www.regulations.gov. Follow the 

instructions for submitting comments. 

• Fax: (202) 493–2251. 

• Mail: U.S. Department of 

Transportation, Docket Operations, 

M–30, West Building Ground Floor, 

Room W12–140, 1200 New Jersey 

Avenue SE, Washington, DC 20590. 

• Hand Delivery: Deliver to Mail 

address above between 9 a.m. and 5 

p.m., Monday through Friday, except 

Federal holidays. 

Examining the AD Docket 

You may examine the AD docket at 

https://www.regulations.gov by 


jbell on DSKJLSW7X2PROD with RULES