Federal Register / Vol. 87, No. 47 / Thursday, March 10, 2022 / Notices 13777 

site-help/electronic-sub-ref-mat.html. A 

filing is considered complete at the time 

the document is submitted through the 

NRC’s E-Filing system. To be timely, an 

electronic filing must be submitted to 

the E-Filing system no later than 11:59 

p.m. Eastern Time on the due date. 

Upon receipt of a transmission, the EFiling system time-stamps the document 

and sends the submitter an email 

confirming receipt of the document. The 

E-Filing system also distributes an email 

that provides access to the document to 

the NRC’s Office of the General Counsel 

and any others who have advised the 

Office of the Secretary that they wish to 

participate in the proceeding, so that the 

filer need not serve the document on 

those participants separately. Therefore, 

applicants and other participants (or 

their counsel or representative) must 

apply for and receive a digital ID 

certificate before adjudicatory 

documents are filed to obtain access to 

the documents via the E-Filing system. 

A person filing electronically using 

the NRC’s adjudicatory E-Filing system 

may seek assistance by contacting the 

NRC’s Electronic Filing Help Desk 

through the ‘‘Contact Us’’ link located 

on the NRC’s public website at https:// 

www.nrc.gov/site-help/esubmittals.html, by email to 

MSHD.Resource@nrc.gov, or by a tollfree call at 1–866–672–7640. The NRC 

Electronic Filing Help Desk is available 

between 9 a.m. and 6 p.m., Eastern 

Time, Monday through Friday, 

excluding government holidays. 

Participants who believe that they 

have good cause for not submitting 

documents electronically must file an 

exemption request, in accordance with 

10 CFR 2.302(g), with their initial paper 

filing stating why there is good cause for 

not filing electronically and requesting 

authorization to continue to submit 

documents in paper format. Such filings 

must be submitted in accordance with 

10 CFR 2.302(b)–(d). Participants filing 

adjudicatory documents in this manner 

are responsible for serving their 

documents on all other participants. 

Participants granted an exemption 

under 10 CFR 2.302(g)(2) must still meet 

the electronic formatting requirement in 

10 CFR 2.302(g)(1), unless the 

participant also seeks and is granted an 

exemption from 10 CFR 2.302(g)(1). 

Documents submitted in adjudicatory 

proceedings will appear in the NRC’s 

electronic hearing docket, which is 

publicly available at https://

adams.nrc.gov/ehd, unless excluded 

pursuant to an order of the presiding 

officer. Participants who do not have an 

NRC-issued digital ID certificate as 

described above may click ‘‘cancel’’ 

when the link requests certificates and 

they will be automatically directed to 

the NRC’s electronic hearing dockets 

where they will be able to access any 

publicly available documents in a 

particular hearing docket. Participants 

are requested not to include personal 

privacy information such as social 

security numbers, home addresses, or 

personal phone numbers in their filings 

unless an NRC regulation or other law 

requires submission of such 

information. With respect to 

copyrighted works, except for limited 

excerpts that serve the purpose of the 

adjudicatory filings and would 

constitute a Fair Use application, 

participants should not include 

copyrighted materials in their 

submission. 

The Commission will issue a notice or 

order granting or denying a hearing 

request or intervention petition, 

designating the issues for any hearing 

that will be held and designating the 

Presiding Officer. A notice granting a 

hearing will be published in the Federal 

Register and served on the parties to the 

hearing. 

If a person other than Somat requests 

a hearing, that person shall set forth 

with particularity the manner in which 

his interest is adversely affected by this 

Confirmatory Order and shall address 

the criteria set forth in 10 CFR 2.309(d) 

and (f). 

If a hearing is requested by a person 

whose interest is adversely affected, the 

Commission will issue an order 

designating the time and place of any 

hearings. If a hearing is held, the issue 

to be considered at such hearing shall be 

whether this Confirmatory Order should 

be sustained. 

In the absence of any request for 

hearing, or written approval of an 

extension of time in which to request a 

hearing, the provisions specified in 

Section V above shall be final thirty (30) 

days from the date of this Confirmatory 

Order without further order or 

proceedings. If an extension of time for 

requesting a hearing has been approved, 

the provisions specified in Section V 

shall be final when the extension 

expires if a hearing request has not been 

received. 

Dated this 3rd day of March, 2022 

Attachments: As stated 

For the Nuclear Regulatory Commission. 

Mohammed A. Shuaibi, 

Deputy Regional Administrator, NRC Region 

III. 

Michigan Facilities Leased and 

Operated by Somat Engineering, Inc. 

With Moisture Density Gauges 

Somat Engineering, Inc. 

Docket No. 030–29146 

License No. 21–24685–01 

Mr. Matthew Richardson, Radiation 

Safety Officer 

26445 Northline Road, Taylor, MI 48180 

4039 40th St. SE, Ste. 4, Grand Rapids, 

MI 49512 

[FR Doc. 2022–05027 Filed 3–9–22; 8:45 am] 

BILLING CODE 7590–01–P 

OFFICE OF PERSONNEL 

MANAGEMENT 

Submission for Review: Request for 

Case Review for Enhanced Disability 

Annuity Benefit, RI 20–123 

AGENCY: Office of Personnel 

Management. 

ACTION: 60-Day notice and request for 

comments. 

SUMMARY: Retirement Services, Office of 

Personnel Management (OPM) offers the 

general public and other federal 

agencies the opportunity to comment on 

an expiring information collection (ICR), 

Request for Case Review for Enhanced 

Disability Annuity Benefit, RI 20–123. 

DATES: Comments are encouraged and 

will be accepted until May 9, 2022. 

ADDRESSES: You may submit comments, 

identified by docket number and/or 

Regulatory Information Number (RIN) 

and title, by the following method: 

—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 (Pub. L. 104–13, 44 U.S.C. 

chapter 35) as amended by the ClingerCohen Act (Pub. L. 104–106), OPM is 

soliciting comments for this collection 

(OMB No. 3206–0254). The Office of 


khammond on DSKJM1Z7X2PROD with NOTICES
13778 Federal Register / Vol. 87, No. 47 / Thursday, March 10, 2022 / Notices 

1Status of Investment Advisory Programs Under 

the Investment Company Act of 1940, Investment 

Company Act Rel. No. 22579 (Mar. 24, 1997) [62 FR 

15098 (Mar. 31, 1997)] (‘‘Adopting Release’’). In 

addition, there are no registration requirements 

under section 5 of the Securities Act of 1933 for 

programs that meet the requirements of rule 3a–4. 

See 17 CFR 270.3a–4, introductory note. 

2For purposes of rule 3a–4, the term ‘‘sponsor’’ 

refers to any person who receives compensation for 

sponsoring, organizing or administering the 

program, or for selecting, or providing advice to 

clients regarding the selection of, persons 

responsible for managing the client’s account in the 

program. 

3Clients specifically must be allowed to designate 

securities that should not be purchased for the 

account or that should be sold if held in the 

account. The rule does not require that a client be 

able to require particular securities be purchased for 

the account. 

4These estimates are based on an analysis of the 

number of individual clients from Form ADV Item 

5D(a)(1) and (b)(1) of advisers that report they 

provide portfolio management to wrap programs as 

indicated in Form ADV Item 5I(2)(b) and (c), and 

the number of individual clients of advisers that 

identify as internet advisers in Form ADV Item 

2A(11). From analysis comparing reported 

individual client assets in Form ADV Item 5D(a)(3) 

and 5D(b)(3) to reported wrap portfolio manager 

assets in Form ADV Item 5I(2)(b) and (c), we 

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 20–123 is used by retirees 

separated for disability and the 

survivors of retirees separated for 

disability to request that Retirement 

Operations review the computations of 

disability annuities to include the 

formula provided in law for individuals 

who performed service as law 

enforcement officers, firefighters, 

nuclear materials couriers, air traffic 

controllers, Congressional employees, 

and Capitol and Supreme Court Police. 

Analysis 

Agency: Retirement Services, Office of 

Personnel Management. 

Title: Request for Case Review for 

Enhanced Disability Annuity Benefit. 

OMB Number: 3206–0254. 

Frequency: On occasion. 

Affected Public: Individuals or 

Households. 

Number of Respondents: 100. 

Estimated Time per Respondent: 5 

minutes. 

Total Burden Hours: 8. 

Office of Personnel Management. 

Kellie Cosgrove Riley, 

Director, Office of Privacy and Information 

Management. 

[FR Doc. 2022–05067 Filed 3–9–22; 8:45 am] 

BILLING CODE 6325–38–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–401, OMB Control No. 

3235–0459] 

Proposed Collection; Comment 

Request 

Upon Written Request, Copies Available 

From: Securities and Exchange 

Commission, Office of FOIA Services, 

100 F Street NE, Washington, DC 

20549–2736 

Extension: 

Rule 3a–4 

The prior 30-day notice was issued in 

error and this new one allows a new 30 

days to comment. 

Notice is hereby given that, pursuant 

to the Paperwork Reduction Act of 1995 

(44 U.S.C. 350l–3520), the Securities 

and Exchange Commission (the 

‘‘Commission’’) has submitted to the 

Office of Management and Budget a 

request for extension of the previously 

approved collection of information 

discussed below. 

Rule 3a–4 (17 CFR 270.3a–4) under 

the Investment Company Act of 1940 

(15 U.S.C. 80a) (‘‘Investment Company 

Act’’ or ‘‘Act’’) provides a nonexclusive 

safe harbor from the definition of 

investment company under the Act for 

certain investment advisory programs. 

These programs, which include ‘‘wrap 

fee’’ programs, generally are designed to 

provide professional portfolio 

management services on a discretionary 

basis to clients who are investing less 

than the minimum investments for 

individual accounts usually required by 

the investment adviser but more than 

the minimum account size of most 

mutual funds. Under wrap fee and 

similar programs, a client’s account is 

typically managed on a discretionary 

basis according to pre-selected 

investment objectives. Clients with 

similar investment objectives often 

receive the same investment advice and 

may hold the same or substantially 

similar securities in their accounts. 

Because of this similarity of 

management, some of these investment 

advisory programs may meet the 

definition of investment company under 

the Act. 

In 1997, the Commission adopted rule 

3a–4, which clarifies that programs 

organized and operated in accordance 

with the rule are not required to register 

under the Investment Company Act or 

comply with the Act’s requirements.1

These programs differ from investment 

companies because, among other things, 

they provide individualized investment 

advice to the client. The rule’s 

provisions have the effect of ensuring 

that clients in a program relying on the 

rule receive advice tailored to the 

client’s needs. 

For a program to be eligible for the 

rule’s safe harbor, each client’s account 

must be managed on the basis of the 

client’s financial situation and 

investment objectives and in accordance 

with any reasonable restrictions the 

client imposes on managing the 

account. When an account is opened, 

the sponsor 2 (or its designee) must 

obtain information from each client 

regarding the client’s financial situation 

and investment objectives, and must 

allow the client an opportunity to 

impose reasonable restrictions on 

managing the account.3 In addition, the 

sponsor (or its designee) must contact 

the client annually to determine 

whether the client’s financial situation 

or investment objectives have changed 

and whether the client wishes to impose 

any reasonable restrictions on the 

management of the account or 

reasonably modify existing restrictions. 

The sponsor (or its designee) must also 

notify the client quarterly, in writing, to 

contact the sponsor (or its designee) 

regarding changes to the client’s 

financial situation, investment 

objectives, or restrictions on the 

account’s management. 

Additionally, the sponsor (or its 

designee) must provide each client with 

a quarterly statement describing all 

activity in the client’s account during 

the previous quarter. The sponsor and 

personnel of the client’s account 

manager who know about the client’s 

account and its management must be 

reasonably available to consult with the 

client. Each client also must retain 

certain indicia of ownership of all 

securities and funds in the account. 

The Commission staff estimates that 

27,979,460 clients participate each year 

in investment advisory programs relying 

on rule 3a–4.4 Of that number, the staff 


khammond on DSKJM1Z7X2PROD with NOTICES