34064 Federal Register / Vol. 86, No. 121 / Monday, June 28, 2021 / Notices 

Type of request: Extension without 

change of a currently approved 

collection. 

Affected public: Individuals or 

Households. 

Abstract: Under Section 2(e)(3) of the 

Railroad Retirement Act, an annuity is 

not payable or is reduced for any month 

in which the beneficiary works for a 

railroad or earns more than the 

prescribed amounts. The collection 

obtains earnings information needed by 

the Railroad Retirement Board to 

determine possible reductions in 

annuities because of earnings. 

Changes proposed: The RRB proposes 

no changes to Form G–19L. 

The burden estimate for the ICR is as 

follows: 

Form No. Annual 

responses 

Time 

(minutes) 

Burden 

(hours) 

G–19L .......................................................................................................................................... 300 15 75 

Additional Information or Comments: 

Copies of the forms and supporting 

documents can be obtained from 

Kennisha Tucker at (312) 469–2591 or 

Kennisha.Tucker@rrb.gov. Comments 

regarding the information collection 

should be addressed to Brian Foster, 

Railroad Retirement Board, 844 North 

Rush Street, Chicago, Illinois, 60611– 

1275 or Brian.Foster@rrb.gov. 

Written comments and 

recommendations for the proposed 

information collection should be sent 

within 30 days of publication of this 

notice to www.reginfo.gov/public/do/ 

PRAMain. Find this particular 

information collection by selecting 

‘‘Currently under 30-day Review—Open 

for Public Comments’’ or by using the 

search function. 

Brian Foster, 

Clearance Officer. 

[FR Doc. 2021–13666 Filed 6–25–21; 8:45 am] 

BILLING CODE 7905–01–P 

EXECUTIVE OFFICE OF THE 

PRESIDENT 

Request for Information To Improve 

Federal Scientific Integrity Policies 

AGENCY: White House Office of Science 

and Technology Policy. 

ACTION: Notice of request for 

information. 

SUMMARY: The White House Office of 

Science and Technology Policy (OSTP) 

seeks information to help improve the 

effectiveness of Federal scientific 

integrity policies to enhance public trust 

in science. The January 27, 2021 

Presidential Memorandum on Restoring 

Trust in Government Through Scientific 

Integrity and Evidence-Based 

Policymaking (Memorandum) directs 

OSTP to convene an interagency task 

force under the National Science and 

Technology Council to review the 

effectiveness of policies developed since 

the issuance of the Presidential 

Memorandum on scientific integrity 

issued on March 9, 2009 in preventing 

improper political interference in the 

conduct of scientific research and the 

collection of data; preventing the 

suppression or distortion of findings, 

data, information, conclusions, or 

technical results; supporting scientists 

and researchers of all genders, races, 

ethnicities, and backgrounds; and 

advancing the equitable delivery of the 

Federal Government’s programs. To 

support this assessment, OSTP seeks 

information about: (1) The effectiveness 

of Federal scientific integrity policies 

and needed areas of improvement; (2) 

good practices Federal agencies could 

adopt to improve scientific integrity, 

including in the communication of 

scientific information, addressing 

emerging technologies and evolving 

scientific practices, supporting 

professional development of Federal 

scientists, and promoting transparency 

in the implementation of agency 

scientific integrity policies; and (3) 

other topics or concerns that Federal 

scientific integrity policies should 

address. Please note the purpose of this 

RFI is not to receive reports on alleged 

offenses that are in violation of Federal 

scientific integrity policies. If you have 

witnessed or experienced any harmful 

acts that may undermine scientific 

integrity and you would like to report 

these allegations, please contact the 

Scientific Integrity Officer or Office of 

the Inspector General at the relevant 

Federal agency. 

DATES: Interested persons and 

organizations are invited to submit 

comments on or before 5:00 p.m. ET on 

July 28, 2021. 

ADDRESSES: Interested individuals and 

organizations should submit comments 

electronically to ScientificIntegrityRFI@

ostp.eop.gov and include ‘‘SI–FTAC 

RFI’’ in the subject line of the email. 

Due to time constraints, mailed paper 

submissions will not be accepted, and 

electronic submissions received after 

the deadline cannot be ensured to be 

incorporated or taken into 

consideration. 

Instructions 

Response to this RFI is voluntary. 

Each responding entity (individual or 

organization) is requested to submit 

only one response. OSTP welcomes any 

responses to inform and guide the work 

of the Scientific Integrity Fast-Track 

Action Committee (SI–FTAC). Please 

feel free to respond to one or as many 

prompts as you choose. Submission 

must not exceed 7 pages in 12-point or 

larger font, with a page number 

provided on each page. Responses 

should include the name of the 

person(s) or organization(s) filing the 

comment, as well as the respondent 

type (e.g., academic, advocacy, 

professional society, community-based 

organization, industry, member of the 

public, government, other). 

Respondent’s role in the organization 

may also be provided (e.g., researcher, 

administrator, student, program 

manager, journalist) on a voluntary 

basis. Comments containing references, 

studies, research, and other empirical 

data that are not widely published 

should include copies or electronic 

links of the referenced materials. No 

business proprietary information, 

copyrighted information, or personally 

identifiable information should be 

submitted in response to this RFI. Please 

be aware that comments submitted in 

response to this RFI may be posted on 

OSTP’s website or otherwise released 

publicly. 

In accordance with FAR 15.202(3), 

responses to this notice are not offers 

and cannot be accepted by the Federal 

Government to form a binding contract. 

Additionally, those submitting 

responses are solely responsible for all 

expenses associated with response 

preparation. 

FOR FURTHER INFORMATION CONTACT: For 

additional information, please direct 

questions to Ryan Donohue at 

ScientificIntegrity@ostp.eop.gov. 

SUPPLEMENTARY INFORMATION: 

Background: On January 27, 2021, 

President Biden issued a Presidential 

Memorandum on Restoring Trust in 

Government Through Scientific 

Integrity and Evidence-Based 

Policymaking (2021 Memorandum). The 

Memorandum asserts the 


khammond on DSKJM1Z7X2PROD with NOTICES
Federal Register / Vol. 86, No. 121 / Monday, June 28, 2021 / Notices 34065 

Administration’s goal to develop sound 

policy to make evidence-based 

decisions guided by the best available 

science and data, recognizing that 

scientific and technological information, 

data, and evidence are central to the 

development and iterative improvement 

of sound policies and to the delivery of 

equitable programs across every area of 

government. It emphasizes that political 

interference in the work of Federal 

scientists and other scientists who 

support the work of the Federal 

government and in the communication 

of scientific facts undermines the 

welfare of the Nation, contributes to 

systemic inequities and injustices, and 

violates the trust that the public places 

in government to best serve its 

collective interests. The 2021 

Memorandum reaffirms and builds on 

the Presidential Memorandum of March 

9, 2009 (Scientific Integrity) and the 

Director of the Office of Science and 

Technology Policy’s Memorandum of 

December 17, 2010 (Scientific Integrity), 

which together specify elements that 

scientific integrity policies of Federal 

Departments and Agencies are to 

address. 

The 2009 Presidential Memorandum 

articulates 6 principles to guide 

recommendations for Presidential 

Action to guarantee scientific integrity 

throughout the executive branch: (1) 

Selection and retention of candidates for 

science and technology positions in the 

executive branch should be based on the 

candidate’s knowledge, credentials, 

experience, and integrity; (2) Agencies 

should have appropriate rules and 

procedures to ensure the integrity of the 

scientific process within the agency; (3) 

Scientific and technical information 

used in agency decisions should be 

subject to established scientific 

processes, including peer review; (4) 

Agencies should make available to the 

public the scientific or technological 

findings or conclusions considered or 

relied upon in policy decisions (to the 

extent release is not restricted); (5) 

Agencies should have in place 

procedures to identify and address 

instances in which the scientific process 

or the integrity of scientific and 

technological information may be 

compromised; and (6) Agencies should 

adopt procedures, including 

whistleblower protections, needed to 

ensure the integrity of scientific and 

technological information and processes 

used for decision-making or otherwise 

prepared. 

The 2010 OSTP Memorandum 

provides further guidance to executive 

departments and agencies for 

implementing scientific integrity 

policies. It identifies 4 foundations of 

scientific integrity in government: (1) 

Ensure a culture of scientific integrity 

by shielding scientific data and analyses 

from inappropriate political interference 

and preventing political officials from 

suppressing or altering scientific or 

technological findings; (2) Strengthen 

the actual and perceived credibility of 

government research through: Hiring 

decisions based on candidates’ 

knowledge, credentials, experience, and 

integrity; ensuring data and research 

used to support policy decisions 

undergoes independent peer review; 

setting clear standards for governing 

conflicts-of-interest; and adopting 

whistleblower protections; (3) Facilitate 

the free flow of scientific and 

technological information, consistent 

with privacy and classification 

standards; and (4) Establish principles 

for conveying scientific and 

technological information to the public, 

including underlying assumptions and 

uncertainties. The 2010 OSTP 

Memorandum also establishes guidance 

for public communication about 

scientific and technological matters that 

maximizes openness and transparency 

with the media; use of Federal Advisory 

Committees tasked with providing 

scientific advice; and professional 

development of government scientists 

and engineers. It directs Agencies to 

report back to OSTP on actions taken to 

develop and implement policies 

specified in the memorandum. 

By December 2016, 24 Federal 

departments and agencies had 

developed and published policies to 

support scientific integrity. These 

agencies and departments included all 

major U.S. science agencies (i.e., those 

that conduct or fund scientific research), 

as well as departments and agencies that 

issue regulations or use scientific 

findings in agency decision-making. 

Most of the scientific integrity policies 

addressed all four components of the 

2010 OSTP Memorandum, and some 

addressed additional topics not 

specified in the memorandum, such as 

the importance of scientific integrity to 

the department’s or agency’s mission. 

The report also noted considerable 

variation across departments and 

agencies in scientific integrity policies 

and practices, reflecting differences in 

their missions, fields of science and 

technology supported, and 

organizational structures. 

The 2021 Presidential Memorandum 

calls for the establishment of an 

interagency task force (established as 

the SI–FTAC) of the National Science 

and Technology Council (NSTC) to 

conduct a thorough review of the 

effectiveness of agency integrity policies 

developed since the issuance of the 

Presidential Memorandum of March 9, 

2009 on scientific integrity. Specifically, 

the 2021 Presidential Memorandum 

charges the task force to: (1) Consider 

whether existing Federal scientific 

integrity policies prevent improper 

political interference in the conduct of 

scientific research and the collection of 

scientific or technological data; prevent 

the suppression or distortion of 

scientific or technological findings, 

data, information, conclusions, or 

technical results; support scientists and 

researchers of all genders, races, 

ethnicities, and backgrounds; and 

advance the equitable delivery of the 

Federal Government’s programs; (2) 

analyze instances in which existing 

scientific integrity policies have not 

been followed or enforced; and (3) 

identify effective practices for 

implementing scientific integrity 

policies in specific areas of particular 

interest, including improving the 

communication of scientific 

information, addressing emerging 

technologies and evolving scientific 

practices, supporting professional 

development of Federal scientists, and 

effective reporting practices that 

promote transparency in the 

implementation of agency scientific 

integrity policies and in the handling of 

any allegations of misconduct. 

This request for information aims to 

support the task force’s work by 

providing input from stakeholders on 

issues specified in the 2021 Presidential 

Memorandum and related topics. The 

information collected in response to this 

RFI will inform the task force (SI– 

FTAC), OSTP, and OMB as they work 

with Federal agencies and other 

stakeholders to review the effectiveness 

of agency scientific integrity policies 

and practices. 

Information Requested: Respondents 

may provide information for one or as 

many topics below as they choose. Input 

is welcome from stakeholders, including 

members of the public, representing all 

backgrounds and perspectives. Through 

this RFI, the SI–FTAC seeks information 

on the current state of scientific 

integrity processes and practices and the 

effect of these on trust in Federal 

science, including on the following 

topics: 

1. The effectiveness of Federal 

scientific integrity policies in promoting 

trust in Federal science: 

Information about the strengths and 

weaknesses of Federal scientific 

integrity policies, including where 

additional efforts are needed to meet the 

broad ambition to establish trust in 

Federal science by protecting against: 

Political or other improper interference 

in the conduct of scientific research, the 


khammond on DSKJM1Z7X2PROD with NOTICES
34066 Federal Register / Vol. 86, No. 121 / Monday, June 28, 2021 / Notices 

collection of scientific or technological 

data, and the utilization of science in 

decision-making; suppression or 

distortion of scientific or technological 

findings, data, information, conclusions, 

or technical results; disproportionate 

harm to Federal scientists and 

researchers from groups that are 

historically underrepresented in 

science, technology, and related fields; 

or equitable delivery of the Federal 

Government’s programs. Of interest is 

information about how perceived 

shortfalls in scientific integrity affect 

public trust in science and about 

mechanisms Federal agencies could use 

to detect or deter potential violations of 

scientific integrity policies before they 

occur. [Please note: We do not seek 

reports on alleged offenses that are in 

violation of Federal scientific integrity 

policies; we ask that you not provide 

names of individuals who have been or 

may be accused of engaging in or 

subjected to such practices, personally 

identifiable or sensitive information, or 

specific allegations that should be 

handled through other appropriate 

channels, such as law enforcement, 

Scientific Integrity Officers, or an Office 

of Inspector General]. 

2. Effective policies and practices 

Federal agencies could adopt to 

improve the communication of scientific 

and technological information: 

Consider practices related but not 

limited to: Engagement of Federal 

scientists and contractors working on 

scientific matters with news media and 

on social media; protection of scientific 

independence during clearance and 

review processes; avoidance of political 

or other improper interference in 

research or data collection; 

differentiation in official government 

communications of references to 

scientific publications and peerreviewed research versus science-based 

or science-informed policy statements 

and determinations. 

3. Effective policies and practices 

Federal agencies could adopt to address 

scientific issues and the scientific 

workforce: 

Consider practices related but not 

limited to: Handling scientific 

disagreements about research methods 

and conclusions; addressing gaps in 

current scientific integrity policies 

related to emerging technologies, such 

as artificial intelligence and machinelearning, and evolving scientific 

practices, such as citizen science and 

community-engaged research; 

supporting the professional 

development of Federal scientists; 

supporting scientists and researchers of 

all genders, races, ethnicities, and 

backgrounds and advance the equitable 

delivery of the Federal Government’s 

programs; and Ensuring the 

independence, autonomy, and 

effectiveness of scientific integrity 

officials and chief science officers. 

4. Effective practices Federal agencies 

could adopt to improve training of 

scientific staff about scientific integrity 

and the transparency into their 

scientific integrity practices: 

Consider practices related but not 

limited to: Educating and informing 

employees, contractors, and grantees in 

scientific and technical positions, as 

well as those who manage, 

communicate, or make decisions based 

on science and technology, of their 

rights and responsibilities related to 

agency scientific integrity policies; 

reporting practices that promote 

transparency in the implementation of 

agency scientific integrity policies and 

in the handling of any allegations of 

misconduct; communicating to the 

public about alleged lapses in scientific 

integrity, substantiated violations of 

scientific integrity policies, and 

remedial actions taken; and minimizing 

conflicts of interest in Federal science 

and research misconduct. 

5. Other important aspects of 

scientific integrity and effective 

approaches to improving trust in 

Federal science: 

Consider other elements that should 

be included and addressed in the 

scientific integrity policies of Federal 

agencies, beyond those specified in the 

2009 Presidential Memorandum, 2010 

OSTP Memorandum, and 2021 

Presidential Memorandum. Consider 

also effective practices, in addition to 

those specified above, that Federal 

agencies could put in place to improve 

scientific integrity and public trust in 

Federal science, including for 

proactively promoting rigorous, 

objective scientific research and 

streamlining implementation within 

and across Federal departments and 

agencies. 

Dated: June 22, 2021. 

Stacy Murphy, 

Operations Manager. 

[FR Doc. 2021–13640 Filed 6–25–21; 8:45 am] 

BILLING CODE 3270–F1–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Investment Company Act Release No. 

34309; 812–15212] 

Capital Southwest Corporation 

June 22, 2021. 

AGENCY: Securities and Exchange 

Commission. 

ACTION: Notice. 

Notice of an application for an order 

under section 6(c) of the Investment 

Company Act of 1940 (the ‘‘Act’’) for an 

exemption from sections 23(a), 23(b) 

and 63 of the Act, an pursuant sections 

57(a)(4) and 57(i) of the Act and rule 

17d–1 under the Act permitting certain 

joint transactions otherwise prohibited 

by section 57(a)(4) of the Act, and 

pursuant section 23(c)(3) of the Act for 

an exemption from section 23(c) of the 

Act. 

SUMMARY OF THE APPLICATION: Capital 

Southwest Corporation (‘‘Company’’ or 

‘‘Applicant’’), requests an order 

(‘‘Order’’) to permit it to (i) issue 

restricted shares of its common stock 

(‘‘Restricted Stock’’) under the terms of 

its 2021 Employee Restricted Stock 

Award Plan (the ‘‘2021 Plan’’) as part of 

the compensation package for certain of 

its employees in the 2021 Plan, and (ii) 

withhold shares of the Company’s 

common stock or purchase shares of the 

Company’s common stock from the 

participants to satisfy tax withholding 

obligations relating to the vesting of 

Restricted Stock pursuant to the 2021 

Plan. 

APPLICANT: Capital Southwest 

Corporation 

FILING DATES: The application was filed 

on March 29, 2021, and amended on 

May 17, 2021 and on June 14, 2021. 

HEARING OR NOTIFICATION OF HEARING: An 

order granting the requested relief will 

be issued unless the Commission orders 

a hearing. Interested persons may 

request a hearing by emailing the 

Commission’s Secretary at SecretarysOffice@sec.gov and serving applicants 

with a copy of the request by email. 

Hearing requests should be received by 

the Commission by 5:30 p.m. on July 16, 

2021, and should be accompanied by 

proof of service on the applicants, in the 

form of an affidavit, or, for lawyers, a 

certificate of service. Pursuant to rule 

0–5 under the Act, hearing requests 

should state the nature of the writer’s 

interest, any facts bearing upon the 

desirability of a hearing on the matter, 

the reason for the request, and the issues 

contested. Persons who wish to be 

notified of a hearing may request 

notification by emailing the 

Commission’s Secretary at SecretarysOffice@sec.gov. 

ADDRESSES: The Commission: 

Secretarys-Office@sec.gov. Applicants: 

bdiehl@capitalsouthwest.com; 

msarner@capitalsouthwest.com. 

FOR FURTHER INFORMATION CONTACT: 

Asen Parachkevov, Senior Counsel, at 

(202) 551–6908 or Lisa Reid Ragen, 

Branch Chief, at (202) 551–6825 


khammond on DSKJM1Z7X2PROD with NOTICES