38934 Federal Register / Vol. 87, No. 125 / Thursday, June 30, 2022 / Rules and Regulations 

Country Entity License 

requirement License review policy Federal Register citation 

Al Noor Alaili Trading Company, a.k.a., the 

following one alias: 

—ANATCO. 

Floor No. 37, Office No. 3706, Latifa Tower, 

Community Trade Center First, Sheikh 

Zayed Road, P.O. Box: 40118, Dubai, 

United Arab Emirates; and Office number 

3706, Floor number 37, Latifa Tower, 

Community Trade Center First, Sheikh 

Zayed Road, Dubai, Dubai, United Arab 

Emirates; and PO Box 40118, Dubai, 

United Arab Emirates; and 40118, Deira, 

Nakheel Road, Dubai, United Arab Emirates. 

For all items subject to the 

EAR. (See § 744.11 of the 

EAR). 

Presumption of Denial ........... 87 FR [INSERT FR PAGE 

NUMBER] June 30, 2022. 

******

Gulf Trade House FZC, P.O. Box Number 

121463, Sharjah, UAE; and Office 75C, 

Q1–07, Block Q1 Street, Sharjah, UAE. 

For all items subject to the 

EAR. (See § 744.11 of the 

EAR). 

Presumption of Denial ........... 87 FR [INSERT FR PAGE 

NUMBER] June 30, 2022. 

******

Scott Technologies FZE, a.k.a., the following 

one alias: 

—Scot Technologies. 

P.O. Box 121723, SAIF Zone, Sharjah, UAE; 

and #R5–06C, Sharjah Airport Free Zone 

(SAIF), Sharjah, UAE; and Flat No. 201, 

Block 8, Muwaileh Sharjah, UAE; and 

Dimas Building, Block 8, 201 Muwaileh 

Sharjah, UAE; and B Block 301–302, Al 

Hudaiba Awards Building, Dubai Investment Park, Dubai, UAE. 

For all items subject to the 

EAR. (See § 744.11 of the 

EAR). 

Presumption of Denial ........... 87 FR [INSERT FR PAGE 

NUMBER] June 30, 2022. 

******

UNITED KINGDOM ******

Connec Electronic, 36 Gerrard Street, London, England, United Kingdom; and 38 

John Ashby Close, London, England, 

United Kingdom. (See alternate addresses 

under China). 

For all items subject to the 

EAR. (See § 744.11 of the 

EAR). 

Policy of Denial for all items 

subject to the EAR apart 

from food and medicine 

designated as EAR99, 

which will be reviewed on a 

case-by-case basis.

87 FR [INSERT FR PAGE 

NUMBER] June 30, 2022. 

******

UZBEKISTAN ......... Promcomplektlogistic Private Company, 

a.k.a., the following one alias: 

—Private Enterprise Promcomplektlogistic. 

16 A Navoi St, Shaykhantakhur Region, 

Tashkent, Uzbekistan. 

For all items subject to the 

EAR. (See § 744.11 of the 

EAR). 

Policy of Denial for all items 

subject to the EAR apart 

from food and medicine 

designated as EAR99, 

which will be reviewed on a 

case-by-case basis.

87 FR [INSERT FR PAGE 

NUMBER] June 30, 2022. 

VIETNAM ............... ******

KingPai Technology Int’l Co., Limited, 143– 

6th Street, 1 Town, Linh Xuan Ward, Thu 

Duc District, Ho Chi Minh City, Vietnam. 

(See alternate addresses under China and 

Russia). 

For all items subject to the 

EAR. (See § 744.11 of the 

EAR). 

Policy of Denial for all items 

subject to the EAR apart 

from food and medicine 

designated as EAR99, 

which will be reviewed on a 

case-by-case basis.

87 FR [INSERT FR PAGE 

NUMBER] June 30, 2022. 

* * * * * 

Matthew S. Borman, 

Deputy Assistant Secretary for Export 

Administration. 

[FR Doc. 2022–14069 Filed 6–28–22; 11:15 am] 

BILLING CODE 3510–33–P 

DEPARTMENT OF COMMERCE 

National Oceanic and Atmospheric 

Administration 

15 CFR Part 904 

[Docket No. 220609–0132] 

RIN 0648–BI72 

Civil Procedures in Civil Administrative 

Enforcement Proceedings 

AGENCY: Office of General Counsel 

(OGC), National Oceanic and 

Atmospheric Administration (NOAA), 

Commerce. 

ACTION: Final rule. 

SUMMARY: NOAA is amending 

procedures governing its civil 

administrative enforcement 

proceedings. The principal changes 

include updates to statutory references, 

clarifications regarding the 

Administrator’s discretionary review, 

revised directions for appealing a 

written warning, revised requirements 

for denying a request for admission, and 

revised directions for electronic service 

related to certain appeals and petitions. 

Other changes remove the requirement 

for NOAA to challenge late hearing 

requests, simplify the use of electronic 

signatures, rename discovery filings, 

allow depositions by videoconference, 

require discovery filings to state when a 

witness is expected to testify in a 

language other than the English 

language in order to arrange 

interpretation, clarify when failing to 

pay can be a basis for permit sanctions, 

incorporate Civil Asset Forfeiture 

Reform Act deadlines into 

administrative forfeiture proceedings, 


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Federal Register / Vol. 87, No. 125 / Thursday, June 30, 2022 / Rules and Regulations 38935 

and allow NOAA to publish a Notice of 

Proposed Forfeiture on an official 

government website. In addition, minor 

changes update titles and addresses and 

correct clerical errors. 

DATES: This rule becomes effective 

August 1, 2022. 

FOR FURTHER INFORMATION CONTACT: 

Patrick Carroll or Meggan Engelke-Ros, 

GCES, (301) 427–2202. 

SUPPLEMENTARY INFORMATION: A detailed 

description of the changes and 

clarifications proposed for regulations at 

15 CFR part 904 is found in the 

proposed rule that NOAA published in 

the Federal Register at 87 FR 16687 

(March 24, 2022) and is not repeated 

here. 

Public Comments Received 

NOAA received one comment from 

the public during the comment period 

for the proposed rule. This comment is 

summarized here and is directly 

followed by NOAA’s response. 

Comment: The commenter generally 

suggests that the revisions to 15 CFR 

part 904, characterized by NOAA as 

non-substantive, in fact diminish the 

due process protections afforded to 

Respondents and restrict their ability to 

contest violations charged under these 

regulations. The commenter also 

expresses a general belief that this 

revision provides some undue 

advantage to NOAA, restricts an 

administrative law judge’s authority to 

issue decisions, and makes it more 

difficult for the public to understand 

their rights within this civil 

administrative process. Specifically, the 

commenter challenges NOAA’s 

explanation that the proposed removal 

and reservation of 15 CFR 904.103 

merely removes language that is 

redundant with other existing provision; 

the commenter requests that NOAA 

explain what language in 15 CFR 

904.103 was redundant. 

Response: As explained within the 

proposed rule, all of the revisions to 15 

CFR part 904 merely refine the 

procedures applicable to NOAA’s civil 

administrative enforcement 

proceedings. The principal changes 

afford greater transparency in the 

application of the NOAA 

Administrator’s discretionary review 

authority, emphasize impartiality 

within the written warning appeal 

process, ensure that responses to 

requests for admission mirror similar 

requirements found in Federal Rule of 

Civil Procedure 36, and clarify the 

proper channels by which certain 

appeals and petitions for relief may be 

filed, including new and updated 

mailing and electronic mailing 

addresses. 

Other changes remove the 

requirement for NOAA attorneys to 

challenge late hearing requests in all 

circumstances, and simplify and 

modernize discovery filings, the taking 

of depositions by videoconference, and 

the arrangement of interpreters. NOAA 

is also clarifying its permit sanction 

procedures and administrative forfeiture 

proceedings to better explain the 

application of those provisions, and is 

authorizing the publication of a Notice 

of Proposed Forfeiture on a publically 

available and official government 

website to expand the available options 

for achieving effective public notice of 

the information and rights described at 

15 CFR 904.504(b)(2). 

Neither the aforementioned revisions 

nor any of the several clerical 

corrections made in this final rule 

undermine principles of due process or 

diminish a respondent’s right to contest 

a charged violation. Instead, NOAA’s 

amendments increase the accessibility 

of these procedures and advance fair 

and just outcomes in NOAA’s civil 

administrative enforcement 

proceedings. 

With respect to the commenter’s 

query regarding 15 CFR 904.103, that 

section merely reiterates that hearing 

requests are governed by the procedures 

set forth in Subpart C of these 

regulations. 15 CFR 904.200 explains 

the scope and applicability of Subpart 

C, and provides that this subpart ‘‘sets 

forth the procedures governing the 

conduct of hearings.’’ In addition, 15 

CFR 904.201 specifically addresses the 

filing and receipt of hearing requests as 

well as the docketing of matters with the 

Office of Administrative Law Judges. 

Furthermore, the various sections 

within Subpart C all govern hearing and 

appeal procedures. As a result, 15 CFR 

904.103 is repetitive of the provisions 

located within Subpart C, and thus, that 

section is removed and reserved to 

delete redundancy. 

In order to ensure that respondents 

are apprised of their rights, as a matter 

of practice and as required by these 

procedural regulations, NOAA attorneys 

provide a copy of 15 CFR part 904 to a 

respondent whenever an enforcement 

action is initiated against them. See 15 

CFR 904.101(a)(5). In addition, these 

regulations remain publicly available 

within the United States Code of 

Federal Regulations, and NOAA 

continues to include a link to these 

regulations on the NOAA Office of 

General Counsel website. See https://

www.gc.noaa.gov/enforce-office4.html. 

Changes From the Proposed Rule 

This final rule contains no changes 

from the proposed rule. 

Classification 

This final rule has been determined to 

be not significant for purposes of 

Executive Order 12866. 

There are no reporting, recordkeeping 

or other compliance requirements in 

this rule. Nor does this rule contain an 

information-collection request that 

would implicate the Paperwork 

Reduction Act, 44 U.S.C. 3501, et seq. 

The Chief Counsel for Regulation of 

the Department of Commerce certified 

to the Chief Counsel for Advocacy of the 

Small Business Administration during 

the proposed rule stage that this action 

would not have a significant economic 

impact on a substantial number of small 

entities. The factual basis for the 

certification was published in the 

proposed rule and is not repeated here. 

No comments were received regarding 

this certification. As a result, a final 

regulatory flexibility analysis was not 

required and none was prepared. 

List of Subjects in 15 CFR Part 904 

Administrative practice and 

procedure, fisheries, fishing, fishing 

vessels, penalties, seizures and 

forfeitures. 

Dated: June 17, 2022. 

Walker Smith, 

General Counsel, National Oceanic and 

Atmospheric Administration. 

For reasons set forth in the preamble, 

15 CFR part 904 is amended as follows: 

PART 904—CIVIL PROCEDURES 

■ 1. The authority citation for part 904 

is revised to read as follows: 

Authority: 16 U.S.C. 1801 et seq., 16 U.S.C. 

1531 et seq., 16 U.S.C. 1361 et seq., 16 U.S.C. 

3371 et seq., 16 U.S.C. 1431 et seq., 16 U.S.C. 

6901 et seq., 16 U.S.C. 773 et seq., 16 U.S.C. 

951 et seq., 16 U.S.C. 5001 et seq., 16 U.S.C. 

3631 et seq., 42 U.S.C. 9101 et seq., 30 U.S.C. 

1401 et seq., 16 U.S.C. 971 et seq., 16 U.S.C. 

781 et seq., 16 U.S.C. 2431 et seq., 16 U.S.C. 

972 et seq., 16 U.S.C. 916 et seq., 16 U.S.C. 

1151 et seq., 16 U.S.C. 3601 et seq., 16 U.S.C. 

1851 note; 15 U.S.C. 330 et seq., 16 U.S.C. 

2461 et seq., 16 U.S.C. 5101 et seq., 16 U.S.C. 

1371 et seq., 16 U.S.C. 3601 et seq., 16 U.S.C. 

1822 note, 16 U.S.C. 4001 et seq., 16 U.S.C. 

5501 et seq., 16 U.S.C. 5601 et seq., 16 U.S.C. 

973 et seq., 16 U.S.C. 1827a, 16 U.S.C. 7701 

et seq., 16 U.S.C. 7801 et seq., 16 U.S.C. 

1826g, 51 U.S.C. 60101 et seq., 16 U.S.C. 

7001 et seq., 16 U.S.C. 7401 et seq., 16 U.S.C. 

2401 et seq., 16 U.S.C. 1826k note, 1857 note, 

22 U.S.C. 1980, Pub. L. 116–340, 134 Stat. 

5128. 

■ 2. In § 904.1, revise paragraphs (c)(1) 

through (34) and add paragraphs (c)(35) 

through (40) to read as follows: 


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38936 Federal Register / Vol. 87, No. 125 / Thursday, June 30, 2022 / Rules and Regulations 

§ 904.1 Purpose and scope. 

* * * * * 

(c) * * * 

(1) Anadromous Fish Products Act, 16 

U.S.C. 1822 note; 

(2) Antarctic Conservation Act of 

1978, 16 U.S.C. 2401 et seq.; 

(3) Antarctic Marine Living Resources 

Convention Act of 1984, 16 U.S.C. 2431 

et seq.; 

(4) Antarctic Mineral Resources 

Protection Act of 1990, 16 U.S.C. 2461 

et seq.; 

(5) Atlantic Coastal Fisheries 

Cooperative Management Act, 16 U.S.C. 

5101 et seq.; 

(6) Atlantic Salmon Convention Act of 

1982, 16 U.S.C. 3601 et seq.; 

(7) Atlantic Striped Bass Conservation 

Act, 16 U.S.C. 1851 note; 

(8) Atlantic Tunas Convention Act of 

1975, 16 U.S.C. 971 et seq.; 

(9) Billfish Conservation Act of 2012, 

16 U.S.C. 1827a; 

(10) DESCEND Act of 2020, Public 

Law 116–340, 134 Stat. 5128; 

(11) Deep Seabed Hard Mineral 

Resources Act, 30 U.S.C. 1401 et seq.; 

(12) Dolphin Protection Consumer 

Information Act, 16 U.S.C. 1371 et seq.; 

(13) Driftnet Impact Monitoring, 

Assessment, and Control Act, 16 U.S.C. 

1822 note; 

(14) Eastern Pacific Tuna Licensing 

Act of 1984, 16 U.S.C. 972 et seq.; 

(15) Endangered Species Act of 1973, 

16 U.S.C. 1531 et seq.; 

(16) Ensuring Access to Pacific 

Fisheries Act, 16 U.S.C. 7701 et seq. 

(North Pacific), 16 U.S.C. 7801 et seq. 

(South Pacific); 

(17) Fish and Seafood Promotion Act 

of 1986, 16 U.S.C. 4001 et seq.; 

(18) Fisherman’s Protective Act of 

1967, 22 U.S.C. 1980; 

(19) Fur Seal Act Amendments of 

1983, 16 U.S.C. 1151 et seq.; 

(20) High Seas Driftnet Fishing 

Moratorium Protection Act, 16 U.S.C. 

1826g; 

(21) High Seas Fishing Compliance 

Act, 16 U.S.C. 5501 et seq.; 

(22) Lacey Act Amendments of 1981, 

16 U.S.C. 3371 et seq.; 

(23) Land Remote Sensing Policy Act 

of 1992, as amended, 51 U.S.C. 60101 et 

seq.; 

(24) Magnuson–Stevens Fishery 

Conservation and Management Act, 16 

U.S.C. 1801 et seq.; 

(25) Marine Mammal Protection Act 

of 1972, 16 U.S.C. 1361 et seq.; 

(26) National Marine Sanctuaries Act, 

16 U.S.C. 1431 et seq.; 

(27) North Pacific Anadromous Stocks 

Convention Act of 1992, 16 U.S.C. 5001 

et seq.; 

(28) Northern Pacific Halibut Act of 

1982, 16 U.S.C. 773 et seq.; 

(29) Northwest Atlantic Fisheries 

Convention Act of 1995, 16 U.S.C. 5601 

et seq.; 

(30) Ocean Thermal Energy 

Conversion Act of 1980, 42 U.S.C. 9101 

et seq.; 

(31) Pacific Salmon Treaty Act of 

1985, 16 U.S.C. 3631 et seq.; 

(32) Pacific Whiting Act of 2006, 16 

U.S.C. 7001 et seq.; 

(33) Port State Measures Agreement 

Act of 2015, 16 U.S.C. 7401 et seq.; 

(34) Shark Conservation Act of 2010, 

16 U.S.C. 1826k note, 1857 note; 

(35) South Pacific Tuna Act of 1988, 

16 U.S.C. 973 et seq.; 

(36) Sponge Act, 16 U.S.C. 781 et seq.; 

(37) Tuna Conventions Act of 1950, 

16 U.S.C. 951 et seq.; 

(38) Weather Modification Reporting 

Act, 15 U.S.C. 330 et seq.; 

(39) Western and Central Pacific 

Fisheries Convention Implementation 

Act, 16 U.S.C. 6901 et seq.; and 

(40) Whaling Convention Act of 1949, 

16 U.S.C. 916 et seq. 

* * * * * 

■ 3. In § 904.2: 

■ a. Remove the definition of ‘‘ALJ 

Docketing Center’’; 

■ b. Revise the definitions of 

‘‘Applicable statute’’, ‘‘Authorized 

officer’’, and ‘‘Final administrative 

decision’’; and 

■ c. Remove the definition of ‘‘PPIP’’. 

The revisions read as follows: 

§ 904.2 Definitions and acronyms. 

* * * * * 

Applicable statute means a statute 

cited in § 904.1(c), and any regulations 

issued by NOAA to implement it. 

Authorized officer means: 

(1) Any commissioned, warrant, or 

petty officer of the U.S. Coast Guard 

(USCG); 

(2) Any special agent or fishery 

enforcement officer of NMFS; 

(3) Any officer designated by the head 

of any Federal or state agency that has 

entered into an agreement with the 

Secretary of Commerce to enforce the 

provisions of any statute administered 

by NOAA; or 

(4) Any USCG personnel 

accompanying and/or acting under the 

direction of any person described in 

paragraph (1), (2), or (3) of this 

definition. 

* * * * * 

Final administrative decision means 

an order or decision of NOAA assessing 

a civil penalty, permit sanction, or 

written warning, which is not subject to 

further Agency review under this part, 

and which is subject to collection 

proceedings or judicial review in an 

appropriate Federal district court as 

authorized by law. 

* * * * * 

■ 4. Revise § 904.3 to read as follows: 

§ 904.3 Filing and service. 

(a) Service of a NOVA (§ 904.101), 

NOPS (§ 904.302), NIDP (§ 904.303), 

Notice of Proposed Forfeiture 

(§ 904.504), Notice of Seizure 

(§ 904.501), Notice of Summary Sale 

(§ 904.505), Written Warning 

(§ 904.402), or Initial Decision 

(§ 904.271) may be made by certified 

mail (return receipt requested), 

electronic transmission, or third party 

commercial carrier to an addressee’s last 

known address or by personal delivery. 

Service of a notice under this subpart 

will be considered effective upon 

receipt. 

(b) Service of documents and papers, 

other than those described in paragraph 

(a) of this section, may be made by first 

class mail (postage prepaid), electronic 

transmission, or third party commercial 

carrier, to an addressee’s last known 

address or by personal delivery. Service 

of documents and papers will be 

considered effective upon the date of 

postmark (or as otherwise shown for 

government-franked mail), delivery to 

third party commercial carrier, 

electronic transmission, or upon 

personal delivery. 

(c) Whenever this part requires 

service of a document or other paper 

referred to in paragraph (a) or (b) of this 

section, such service may effectively be 

made on the agent for service of process, 

on the attorney for the person to be 

served, or other representative. Refusal 

by the person to be served (including an 

agent, attorney, or representative) of 

service of a document or other paper 

will be considered effective service of 

the document or other paper as of the 

date of such refusal. In cases where a 

document or paper described in 

paragraph (a) of this section is returned 

unclaimed, service will be considered 

effective if the U.S. Postal Service 

provides an affidavit stating that the 

party was receiving mail at the same 

address during the period when 

certified service was attempted. 

(d) Any documents and other papers 

filed or served must be signed: 

(1) By the person or persons filing the 

same; 

(2) By an officer thereof if a 

corporation; 

(3) By an officer or authorized 

employee if a government 

instrumentality; or 

(4) By an attorney or other person 

having authority to sign. 

■ 5. In § 904.4, revise the first sentence 

to read as follows: 


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§ 904.4 Computation of time periods. 

For a NOVA, NOPS or NIDP, the 30- 

day response period begins to run on 

the date the notice is received. * * * 

■ 6. In § 904.101, revise paragraph (a) 

introductory text to read as follows: 

§ 904.101 Notice of violation and 

assessment (NOVA). 

(a) A NOVA will be issued by NOAA 

and served on the respondent(s). The 

NOVA will contain: 

* * * * * 

■ 7. In § 904.102, revise paragraphs (c) 

and (d) to read as follows: 

§ 904.102 Procedures upon receipt of a 

NOVA. 

* * * * * 

(c) The respondent may, within the 

30-day period specified in paragraph (a) 

of this section, request an extension of 

time to respond. Agency counsel may 

grant an extension of up to 30 days 

unless he or she determines that the 

requester could, exercising reasonable 

diligence, respond within the 30-day 

period. If Agency counsel does not 

respond to the request within 48 hours 

of its receipt, the request is granted 

automatically for the extension 

requested, up to a maximum of 30 days. 

A telephonic response to the request 

within the 48-hour period is considered 

an effective response, and will be 

followed by written confirmation. 

(d) Agency counsel may, for good 

cause, grant an additional extension 

beyond the 30-day period specified in 

paragraph (c) of this section. 

§ 904.103 [Removed and Reserved] 

■ 8. Remove and reserve § 904.103. 

■ 9. In § 904.105, revise paragraph (a) to 

read as follows: 

§ 904.105 Payment of final civil penalty. 

(a) Respondent must make full 

payment of the civil penalty within 30 

days of the date upon which the NOVA 

becomes effective as the final 

administrative decision and order of 

NOAA under § 904.104 or the date of 

the final administrative decision as 

provided in subpart C of this part, as 

directed by NOAA. Payment must be 

made in accordance with the bill and 

instructions provided by NOAA. 

* * * * * 

■ 10. In § 904.107, revise paragraph (b) 

to read as follows: 

§ 904.107 Joint and several respondents. 

* * * * * 

(b) A hearing request by one joint and 

several respondent is considered a 

request by the other joint and several 

respondent(s). Agency counsel, having 

received a hearing request from one 

joint and several respondent, will send 

a copy of it to the other joint and several 

respondent(s) in the case. However, if 

the requesting joint and several 

respondent settles with the Agency 

prior to the hearing, upon notification 

by the Agency, any remaining joint and 

several respondent(s) must affirmatively 

request a hearing within the time period 

specified or the case will be removed 

from the hearing docket as provided in 

§ 904.213. 

* * * * * 

■ 11. In § 904.108, revise paragraphs (e), 

(f), and (h) to read as follows: 

§ 904.108 Factors considered in assessing 

civil penalties. 

* * * * * 

(e) Financial information regarding 

respondent’s ability to pay should be 

submitted to Agency counsel as soon as 

possible after the receipt of the NOVA. 

If a respondent has requested a hearing 

on the violation alleged in the NOVA 

and wants the Initial Decision of the 

Judge to consider his or her inability to 

pay, verifiable, complete, and accurate 

financial information must be submitted 

to Agency counsel at least 30 days in 

advance of the hearing, except where 

the applicable statute expressly 

provides for a different time period. No 

information regarding the respondent’s 

ability to pay submitted by the 

respondent less than 30 days in advance 

of the hearing will be admitted at the 

hearing or considered in the Initial 

Decision of the Judge, unless the Judge 

rules otherwise. If the Judge decides to 

admit any information related to the 

respondent’s ability to pay submitted 

less than 30 days in advance of the 

hearing, Agency counsel will have 30 

days to respond to the submission from 

the date of admission. In deciding 

whether to submit such information, the 

respondent should keep in mind that 

the Judge may assess a civil penalty 

either greater or smaller than that 

assessed in the NOVA. 

(f) Issues regarding ability to pay will 

not be considered in an administrative 

review of an Initial Decision if the 

financial information was not 

previously presented by the respondent 

to the Judge prior to or at the hearing. 

* * * * * 

(h) Whenever a statute requires 

NOAA to take into consideration a 

respondent’s ability to pay when 

assessing a civil penalty and the 

respondent has requested a hearing on 

the violation alleged in the NOVA, the 

Agency must submit information on the 

respondent’s financial condition so that 

the Judge may consider that 

information, along with any other 

factors required to be considered, in the 

Judge’s assessment of a civil penalty. 

Agency counsel may obtain such 

financial information through discovery 

procedures under § 904.240, or 

otherwise. A respondent’s refusal or 

failure to respond to such discovery 

requests may serve as the basis for 

inferring that such information would 

have been adverse to any claim by 

respondent of inability to pay the 

assessed civil penalty, or result in 

respondent being barred from asserting 

financial hardship. 

■ 12. In § 904.200, revise paragraph (a) 

to read as follows: 

§ 904.200 Scope and applicability. 

(a) This subpart sets forth the 

procedures governing the conduct of 

hearings and the issuance of initial and 

final administrative decisions of NOAA 

involving alleged violations of the laws 

cited in § 904.1(c) and any other laws or 

authorities administered by NOAA and 

regulations implementing these laws, 

including civil penalty assessments and 

permit sanctions and denials. By 

separate regulation, these rules may be 

applied to other proceedings. 

* * * * * 

■ 13. Revise § 904.201 to read as 

follows: 

§ 904.201 Hearing requests and case 

docketing. 

(a) If the respondent wishes a hearing 

on a NOVA, NOPS or NIDP, the request 

must be dated and in writing, and must 

be served in conformance with § 904.3 

on the Agency counsel specified in the 

notice. The respondent must either 

attach a copy of the NOVA, NOPS or 

NIDP or refer to the relevant NOAA case 

number. Agency counsel will promptly 

forward the request for hearing to the 

Office of Administrative Law Judges. 

(b) Any party requesting a hearing 

under § 904.102(a)(3) must provide 

current contact information, including a 

working telephone number and email 

address (if one is available). The Agency 

and the Office of Administrative Law 

Judges must be promptly notified of any 

changes to this information. 

(c) If a written application is made to 

NOAA after the expiration of the time 

period established in this part for the 

required filing of hearing requests, 

Agency counsel will promptly forward 

the request for hearing along with 

documentation of service and any other 

relevant materials to the Office of 

Administrative Law Judges for a 

determination on whether such request 

shall be considered timely filed. 

Determinations by the Judge regarding 


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untimely hearing requests under this 

section shall be in writing. 

(d) Upon its receipt for filing in the 

Office of Administrative Law Judges, 

each request for hearing will be 

promptly assigned a docket number and 

thereafter the proceeding will be 

referred to by such number. Written 

notice of the assignment of hearing to a 

Judge will promptly be given to the 

parties. 

■ 14. In § 904.202, revise paragraph (a) 

to read as follows: 

§ 904.202 Filing of documents. 

(a) Pleadings, papers, and other 

documents in the proceeding must be 

filed directly with the Office of 

Administrative Law Judges, be served 

on all other parties, and conform with 

all applicable requirements of § 904.3. 

* * * * * 

■ 15. In § 904.204, revise paragraphs (a) 

and (m) to read as follows: 

§ 904.204 Duties and powers of Judge. 

* * * * * 

(a) Rule on timeliness of hearing 

requests pursuant to § 904.201(c); 

* * * * * 

(m) Assess a civil penalty or impose 

a permit sanction, condition, revocation, 

or denial of permit application, taking 

into account all of the factors required 

by applicable law; 

* * * * * 

■ 16. In § 904.206, revise paragraphs (a), 

(b), and (d) to read as follows: 

§ 904.206 Pleadings, motions, and service. 

(a) The original of all pleadings and 

documents must be filed with the Judge 

and a copy served on the Office of 

Administrative Law Judges and each 

party. All pleadings or documents when 

submitted for filing must show that 

service has been made upon all parties. 

Such service must be made in 

accordance with § 904.3(b). 

(b) Pleadings and documents to be 

filed may be reproduced by printing or 

any other process, provided the copies 

are clear and legible; must be dated, 

signed; and must show the docket 

description and title of the proceeding, 

and the title, if any, address, and 

telephone number of the signatory. If 

typewritten, the impression may be on 

only one side of the paper and must be 

double spaced, if possible, except that 

quotations may be single spaced and 

indented. 

* * * * * 

(d) Unless otherwise provided, the 

answer to any written motion, pleading, 

or petition must be served within 20 

days after service of the motion. If a 

motion states that opposing counsel has 

no objection, it may be acted upon as 

soon as practicable, without awaiting 

the expiration of the 20-day period. 

Answers must be in writing, unless 

made in response to an oral motion 

made at a hearing; must fully and 

completely advise the parties and the 

Judge concerning the nature of the 

opposition; must admit or deny 

specifically and in detail each material 

allegation of the pleading answered; and 

must state clearly and concisely the 

facts and matters of law relied upon. 

Any new matter raised in an answer 

will be deemed controverted. 

* * * * * 

■ 17. Revise § 904.209 to read as 

follows: 

§ 904.209 Expedited administrative 

proceedings. 

In the interests of justice and 

administrative efficiency, the Judge, on 

his or her own initiative or upon the 

application of any party, may expedite 

the administrative proceeding. A motion 

by a party to expedite the administrative 

proceeding may, at the discretion of the 

Judge, be made orally or in writing with 

concurrent actual notice to all parties. 

Upon granting a motion to expedite the 

scheduling of an administrative 

proceeding, the Judge may expedite 

pleading schedules, prehearing 

conferences and the hearing, as 

appropriate. If a motion for an expedited 

administrative proceeding is granted, a 

hearing on the merits may not be 

scheduled with less than 5 business 

days’ notice, unless all parties consent 

to an earlier hearing. 

■ 18. Revise § 904.214 to read as 

follows: 

§ 904.214 Stipulations. 

The parties may, by stipulation, agree 

upon any matters involved in the 

administrative proceeding and include 

such stipulations in the record with the 

consent of the Judge. Written 

stipulations must be signed and served 

on all parties. 

■ 19. In § 904.216, revise paragraph (a) 

introductory text to read as follows: 

§ 904.216 Prehearing conferences. 

(a) Prior to any hearing or at any other 

time deemed appropriate, the Judge 

may, upon his or her own initiative, or 

upon the application of any party, direct 

the parties to appear for a conference or 

arrange a telephone conference. The 

Judge shall provide at least 24 hours’ 

notice of the conference to the parties, 

and shall record such conference by 

audio recording or court reporter, to 

consider: 

* * * * * 

■ 20. In § 904.240, revise paragraphs (a), 

(b), and (f) introductory text to read as 

follows: 

§ 904.240 Discovery generally. 

(a) Initial Disclosures. Prior to 

hearing, the Judge shall require the 

parties to submit Initial Disclosures and 

set a deadline for their submission. 

Except for information regarding a 

respondent’s ability to pay an assessed 

civil penalty, these Initial Disclosures 

will normally obviate the need for 

further discovery. 

(1) The Initial Disclosures shall 

include the following information: A 

factual summary of the case; a summary 

of all factual and legal issues in dispute; 

a list of all defenses that will be 

asserted, together with a summary of all 

factual and legal bases supporting each 

defense; a list of all potential witnesses, 

together with a summary of their 

anticipated testimony; and a list of all 

potential exhibits. 

(2) The Initial Disclosures must be 

signed by the parties or their attorneys 

and must be served on all parties in 

conformance with § 904.3, along with a 

copy of each potential exhibit listed 

therein. 

(3) A party has the affirmative 

obligation to supplement their Initial 

Disclosures as available information or 

documentation relevant to the stated 

charges or defenses becomes known to 

the party. 

(b) Additional discovery. Upon 

written motion by a party, the Judge 

may allow additional discovery only 

upon a showing of relevance, need, and 

reasonable scope of the evidence sought, 

by one or more of the following 

methods: Deposition upon oral 

examination or written questions, 

written interrogatories, production of 

documents or things for inspection and 

other purposes, and requests for 

admission. With respect to information 

regarding a respondent’s ability to pay 

an assessed civil penalty, the Agency 

may serve any discovery request (i.e., 

deposition, interrogatories, admissions, 

production of documents) directly upon 

the respondent in conformance with 

§ 904.3 of this part without first seeking 

an order from the Judge. 

* * * * * 

(f) Failure to comply. If a party fails 

to comply with any provision of this 

section, including with respect to their 

Initial Disclosures, a subpoena, or an 

order concerning discovery, the Judge 

may, in the interest of justice: 

* * * * * 

■ 21. In § 904.241, revise paragraphs (a), 

(c), and (d)(1) to read as follows: 


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§ 904.241 Depositions. 

(a) Notice. If a motion for deposition 

is granted, and unless otherwise ordered 

by the Judge, the party taking the 

deposition of any person must serve on 

that person and on any other party 

written notice at least 15 days before the 

deposition would be taken (or 25 days 

if the deposition is to be taken outside 

the United States). The notice must state 

the name and address of each person to 

be examined, the time and place where 

the examination would be held, the 

name, mailing address, telephone 

number, and email address (if one is 

available) of the person before whom 

the deposition would be taken, and the 

subject matter about which each person 

would be examined. 

* * * * * 

(c) Alternative deposition methods. 

By order of the Judge, the parties may 

use other methods of deposing parties or 

witnesses, such as telephonic 

depositions, depositions through 

videoconference, or depositions upon 

written questions. Objections to the 

form of written questions are waived 

unless made within 5 days of service of 

the questions. 

(d) * * * 

(1) At hearing, part or all of any 

deposition, so far as admissible under 

this Part as though the witness were 

then testifying, may be used against any 

party who was present or represented at 

the taking of the deposition or had 

reasonable notice. 

* * * * * 

■ 22. In § 904.242, revise paragraphs (a) 

and (b) and add paragraph (d) to read as 

follows: 

§ 904.242 Interrogatories. 

(a) Service and use. If ordered by the 

Judge, any party may serve upon any 

other party written interrogatories in 

conformance with § 904.3. 

(b) Answers and objections. Answers 

and objections must be made in writing 

under oath, and reasons for the 

objections must be stated. Answers must 

be signed by the person making them 

and objections must be signed by the 

party or attorney making them. Unless 

otherwise ordered, answers and 

objections must be served on all parties 

within 20 days after service of the 

interrogatories in conformance with 

§ 904.3. 

* * * * * 

(d) Use of interrogatories at hearing. 

Answers may be used at hearing in the 

same manner as depositions under 

§ 904.241(d). 

■ 23. In § 904.243, revise paragraphs (a) 

and (b) to read as follows: 

§ 904.243 Admissions. 

(a) Request. If ordered by the Judge, 

any party may serve on any other party 

a written request for admission of the 

truth of any relevant matter of fact set 

forth in the request in conformance with 

§ 904.3, including the genuineness of 

any relevant document described in the 

request. Copies of documents must be 

served with the request. Each matter for 

which an admission is requested must 

be separately stated. 

(b) Response. Each matter is admitted 

unless a written answer or objection is 

served within 20 days of service of the 

request in conformance with § 904.3, or 

within such other time as the Judge may 

allow. The answering party must 

specifically admit or deny each matter, 

or state the reasons why he or she 

cannot truthfully admit or deny it. A 

denial must fairly respond to the 

substance of the matter; and when good 

faith requires that a party qualify an 

answer or deny only a part of a matter, 

the answer must specify the part 

admitted and qualify or deny the rest. 

The answering party may assert lack of 

knowledge or information as a reason 

for failing to admit or deny only if the 

party states that it has made reasonable 

inquiry and that the information it 

knows or can readily obtain is 

insufficient to enable it to admit or 

deny. 

* * * * * 

■ 24. In § 904.250, revise paragraph (a) 

to read as follows: 

§ 904.250 Notice of time and place of 

hearing. 

(a) The Judge shall be responsible for 

scheduling the hearing. With due regard 

for the convenience of the parties, their 

representatives, or witnesses, the Judge 

shall fix the time, place and date for the 

hearing and shall notify all parties of the 

same. The Judge will promptly serve on 

the parties notice of the time and place 

of hearing. The hearing will not be held 

less than 20 days after service of the 

notice of hearing unless the hearing is 

expedited as provided under paragraph 

(d) of this section. 

* * * * * 

■ 25. In § 904.251, revise paragraphs 

(a)(3) and (i) and add paragraph (j) to 

read as follows: 

§ 904.251 Evidence. 

(a) * * * 

(3) In any case involving a charged 

violation of law in which the 

respondent has admitted an allegation, 

evidence may still be presented to 

establish matters of aggravation or 

mitigation. 

* * * * * 

(i) Foreign law. A party who intends 

to raise an issue concerning the law of 

a foreign country must give reasonable 

notice. The Judge, in determining 

foreign law, may consider any relevant 

material or source, whether or not 

submitted by a party. 

(j) Foreign language exhibits. Exhibits 

in a foreign language must be translated 

into English before such exhibits are 

offered into evidence. Copies of both the 

untranslated and translated versions of 

the proposed exhibits, along with the 

name and qualifications of the 

translator, must be served on the 

opposing party at least 10 days prior to 

the hearing unless the parties otherwise 

agree. 

■ 26. In § 904.252, revise paragraphs (a) 

and (f) to read as follows: 

§ 904.252 Witnesses. 

(a) Fees. Witnesses, other than 

employees of a Federal agency, 

summoned in an administrative 

proceeding, including discovery, are 

eligible to receive the same fees and 

mileage as witnesses in the courts of the 

United States. 

* * * * * 

(f) Testimony in a foreign language. If 

a witness is expected to testify in a 

language other than the English 

language, the party sponsoring the 

witness must indicate that in its Initial 

Disclosures so that an interpreter can be 

arranged for the hearing. When 

available, the interpreter should be 

court certified under 28 U.S.C. 1827. 

■ 27. In § 904.260, revise paragraph (b) 

to read as follows: 

§ 904.260 Recordation of hearing. 

* * * * * 

(b) The official transcript of testimony 

taken, together with any exhibits, briefs, 

or memoranda of law filed therewith, 

will be filed with the Office of 

Administrative Law Judges. Transcripts 

of testimony will be available in any 

hearing and will be supplied to the 

parties at the cost of the Agency. 

* * * * * 

■ 28. In § 904.270, revise paragraph (b) 

to read as follows: 

§ 904.270 Record of decision. 

* * * * * 

(b) The Judge will arrange for 

appropriate storage of the records of any 

administrative proceeding, which place 

of storage need not necessarily be 

located physically within the Office of 

Administrative Law Judges. 

■ 29. In § 904.271, revise paragraphs (a) 

introductory text, (b), (c), and (d) 

introductory text to read as follows: 


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§ 904.271 Initial decision. 

(a) After expiration of the period 

provided in § 904.261 for the filing of 

reply briefs (unless the parties have 

waived briefs or presented proposed 

findings orally at the hearing), the Judge 

will render an Initial Decision upon the 

record in the case, setting forth: 

* * * * * 

(b) If the parties have presented oral 

proposed findings at the hearing or have 

waived presentation of proposed 

findings, the Judge may at the 

termination of the hearing announce the 

decision, subject to later issuance of a 

written Initial Decision under paragraph 

(a) of this section. In such cases, the 

Judge may direct the prevailing party to 

prepare proposed findings, conclusions, 

and an order. 

(c) The Judge will serve the Initial 

Decision on each of the parties, the 

Chief of the Enforcement Section of the 

NOAA Office of General Counsel, and 

the Administrator. Upon request, the 

Judge will promptly certify to the 

Administrator the record, including the 

original copy of the Initial Decision, as 

complete and accurate. 

(d) An Initial Decision becomes 

effective as the final administrative 

decision of NOAA 60 days after service, 

unless: 

* * * * * 

■ 30. Revise § 904.272 to read as 

follows: 

§ 904.272 Petition for reconsideration. 

Unless an order or Initial Decision of 

the Judge specifically provides 

otherwise, any party may file a petition 

for reconsideration of an order or Initial 

Decision issued by the Judge. Such 

petitions must state the matter claimed 

to have been erroneously decided, and 

the alleged errors and relief sought must 

be specified with particularity. Petitions 

must be filed within 20 days after the 

service of such order or Initial Decision. 

The filing of a petition for 

reconsideration shall operate as a stay of 

an order or Initial Decision or its 

effectiveness date unless specifically so 

ordered by the Judge. Within 15 days 

after the petition is filed, any party to 

the administrative proceeding may file 

an answer in support or in opposition. 

■ 31. Revise § 904.273 to read as 

follows: 

§ 904.273 Administrative review of 

decision. 

(a) Subject to the requirements of this 

section, any party who wishes to seek 

review of an Initial Decision of a Judge 

must Petition for Review of the Initial 

Decision within 30 days after the date 

the decision is served. The petition 

must be served on the Administrator in 

conformance with § 904.3(b) at the 

following address: Administrator, 

National Oceanic and Atmospheric 

Administration, Department of 

Commerce, Room 5128, 14th Street and 

Constitution Avenue NW, Washington, 

DC 20230. Copies of the Petition for 

Review, and all other documents and 

materials required in paragraph (d) of 

this section, must be served in 

conformance with § 904.3(b) on all 

parties and to either 

administrative.appeals@noaa.gov or the 

following address: Chief, Oceans and 

Coasts Section, NOAA Office of General 

Counsel, 1305 East-West Highway, 

SSMC 4, Suite 6111, Silver Spring, MD 

20910. 

(b) The Administrator may elect to 

issue an order to review the Initial 

Decision without petition and may 

affirm, reverse, modify or remand, in 

whole or in part, the Judge’s Initial 

Decision. Any such order must be 

issued within 60 days after the date the 

Initial Decision is served. 

(c) Review by the Administrator of an 

Initial Decision is discretionary and is 

not a matter of right. If a party files a 

timely petition for discretionary review, 

or review is timely initiated by the 

Administrator, the effectiveness of the 

Initial Decision is stayed until further 

order of the Administrator or until the 

Initial Decision becomes final pursuant 

to paragraph (h) of this section. In 

determining whether or not to grant 

discretionary review, the Administrator 

will consider: 

(1) Whether the Initial Decision 

contains significant factual or legal 

errors that warrant further review by the 

Administrator; and 

(2) Whether fairness or other policy 

considerations warrant further 

consideration by the Administrator. 

Types of cases that fall within these 

criteria include, but are not limited to, 

those in which; 

(i) The Initial Decision conflicts with 

one or more other NOAA administrative 

decisions or federal court decisions on 

an important issue of federal law; 

(ii) The Judge decided an important 

federal question in a way that conflicts 

with prior rulings of the Administrator; 

(iii) The Judge decided a question of 

federal law that is so important that the 

Administrator should pass upon it even 

absent a conflict; or 

(iv) The Judge so far departed from 

the accepted and usual course of 

administrative proceedings as to call for 

an exercise of the Administrator’s 

supervisory power. 

(d) A Petition for Review must 

comply with the following requirements 

regarding format and content: 

(1) The petition must include a 

concise statement of the case, that 

contains a statement of facts relevant to 

the issues submitted for review, and a 

summary of the argument that contains 

a succinct, clear and accurate statement 

of the arguments made in the body of 

the petition; 

(2) The petition must set forth, in 

detail, specific objections to the Initial 

Decision, the bases for review, and the 

relief requested; 

(3) Each issue raised in the petition 

must be separately numbered, concisely 

stated, and supported by detailed 

citations to specific pages in the record, 

and to statutes, regulations, and 

principal authorities. Petitions may not 

refer to or incorporate by reference 

entire documents or transcripts; 

(4) A copy of the Judge’s Initial 

Decision must be attached to the 

petition; 

(5) Copies of all cited portions of the 

record must be attached to the petition; 

(6) A petition, exclusive of 

attachments and authorities, must not 

exceed 20 pages in length and must be 

in the form articulated in § 904.206(b); 

and 

(7) Issues of fact or law not argued 

before the Judge may not be raised in 

the petition unless such issues were 

raised for the first time in the Judge’s 

Initial Decision, or could not reasonably 

have been foreseen and raised by the 

parties during the hearing. The 

Administrator will not consider new or 

additional evidence that is not a part of 

the record before the Judge. 

(e) The Administrator may deny a 

Petition for Review that is untimely or 

fails to comply with the format and 

content requirements in paragraph (d) of 

this section without further review. 

(f) No oral argument on Petitions for 

Review will be allowed. 

(g) Within 30 days after service of a 

petition for discretionary review, any 

party may file and serve an answer in 

support or in opposition. An answer 

must comport with the format and 

content requirements in paragraphs 

(d)(5) through (d)(7) of this section and 

set forth detailed responses to the 

specific objections, bases for review and 

relief requested in the petition. No 

further replies are allowed, unless 

requested by the Administrator. 

(h) If the Administrator has taken no 

action in response to the petition within 

120 days after the petition is served, 

said petition shall be deemed denied 

and the Judge’s Initial Decision shall 

become the final agency decision with 

an effective date 150 days after the 

petition is served. 

(i) If the Administrator issues an order 

denying discretionary review, the order 


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will be served on all parties in 

conformance with § 904.3, and will 

specify the date upon which the Judge’s 

Initial Decision will become effective as 

the final agency decision. The 

Administrator need not give reasons for 

denying review. 

(j) If the Administrator grants 

discretionary review or elects to review 

the Initial Decision without petition, the 

Administrator will issue an order to that 

effect. Such order may identify issues to 

be briefed and a briefing schedule. Such 

issues may include one or more of the 

issues raised in the Petition for Review 

and any other matters the Administrator 

wishes to review. Only those issues 

identified in the order may be argued in 

any briefs permitted under the order. 

The Administrator may choose to not 

order any additional briefing, and may 

instead make a final determination 

based on any Petitions for Review, any 

responses and the existing record. 

(k) If the Administrator grants or 

elects to take discretionary review, and 

after expiration of the period for filing 

any additional briefs under paragraph (j) 

of this section, the Administrator will 

render a written decision on the issues 

under review. The Administrator will 

serve the decision on each of the parties 

in conformance with § 904.3. The 

Administrator’s decision becomes the 

final administrative decision on the date 

it is served, unless otherwise provided 

in the decision, and is a final agency 

action for purposes of judicial review; 

except that an Administrator’s decision 

to remand the Initial Decision to the 

Judge is not final agency action. 

(l) An Initial Decision shall not be 

subject to judicial review unless: 

(1) The party seeking judicial review 

has exhausted its opportunity for 

administrative review by filing a 

Petition for Review with the 

Administrator in compliance with this 

section, and 

(2) The Administrator has issued a 

final ruling on the petition that 

constitutes final agency action under 

paragraph (k) of this section or the 

Judge’s Initial Decision has become the 

final agency decision under paragraph 

(h) or (i) of this section. 

(m) For purposes of any subsequent 

judicial review of the agency decision, 

any issues that are not identified in any 

Petition for Review, in any answer in 

support or opposition, by the 

Administrator, or in any modifications 

to the Initial Decision are waived. 

(n) If an action is filed for judicial 

review of a final agency decision, and 

the decision is vacated or remanded by 

a court, the Administrator shall issue an 

order addressing further administrative 

proceedings in the matter. Such order 

may include a remand to the Chief 

Administrative Law Judge for further 

proceedings consistent with the judicial 

decision, or further briefing before the 

Administrator on any issues the 

Administrator deems appropriate. 

■ 32. Revise § 904.300 to read as 

follows: 

§ 904.300 Scope and applicability. 

(a) This subpart sets forth procedures 

governing the suspension, revocation, 

modification, and denial of permits. The 

bases for sanctioning a permit are set 

forth in § 904.301. 

(1) Revocation. A permit may be 

cancelled, with or without prejudice to 

issuance of the permit in the future. 

Additional requirements for issuance of 

any future permit may be imposed. 

(2) Suspension. A permit may be 

suspended either for a specified period 

of time or until stated requirements are 

met, or both. If contingent on stated 

requirements being met, the suspension 

is with prejudice to issuance of any 

permit until the requirements are met. 

(3) Modification. A permit may be 

modified, as by imposing additional 

conditions and restrictions. If the permit 

was issued for a foreign fishing vessel 

under section 204(b) of the MagnusonStevens Fishery Conservation and 

Management Act, additional conditions 

and restrictions may be imposed on the 

application of the foreign nation 

involved and on any permits issued 

under such application. 

(4) Denial. Issuance of a permit in the 

future may be denied through 

imposition of a permit denial. 

(b) This subpart does not apply to the 

Land Remote Sensing Policy Act of 

1992, as amended (51 U.S.C. 60101 et 

seq.), or to the Deep Seabed Hard 

Mineral Resources Act (30 U.S.C. 1401 

et seq.). Regulations governing denials 

of licenses issued under the Land 

Remote Sensing Policy Act of 1992, as 

amended (51 U.S.C. 60101 et seq.), 

appear at 15 CFR part 960. Regulations 

governing sanctions and denials of 

permits issued under the Deep Seabed 

Hard Mineral Resources Act (30 U.S.C. 

1401 et seq.) appear at 15 CFR part 970. 

■ 33. Revise § 904.301 to read as 

follows: 

§ 904.301 Bases for permit sanctions. 

(a) Unless otherwise specified in a 

settlement agreement, or otherwise 

provided by statutes or in this subpart, 

NOAA may sanction any permit issued 

under the statutes cited in § 904.1(c). 

The bases for an action to sanction or 

deny a permit include the following: 

(1) Violation of any statute 

administered by NOAA, including 

violation of any regulation promulgated 

or permit condition or restriction 

prescribed thereunder, by the permit 

holder/applicant or with the use of a 

permitted vessel; 

(2) The failure to pay a civil penalty 

imposed under any marine resource law 

administered by NOAA; 

(3) The failure to pay a criminal fine 

imposed or to satisfy any other liability 

incurred in a judicial proceeding under 

any of the statutes administered by 

NOAA; or 

(4) The failure to pay any amount in 

settlement of a civil forfeiture imposed 

on a vessel or other property. 

(b) A sanction may be applied to a 

permit involved in the underlying 

violation, as well as to any permit held 

or sought by the permit holder/ 

applicant, including permits for other 

vessels. (See, e.g., 16 U.S.C. 

1858(g)(1)(i)). 

(c) A permit sanction may not be 

extinguished by sale or transfer. A 

vessel’s permit sanction is not 

extinguished by sale or transfer of the 

vessel, nor by dissolution or 

reincorporation of a vessel owner 

corporation, and shall remain with the 

vessel until lifted by NOAA. 

■ 34. In § 904.302, revise paragraph (a) 

to read as follows: 

§ 904.302 Notice of permit sanction 

(NOPS). 

(a) Service of a NOPS against a permit 

issued to a foreign fishing vessel will be 

made on the agent authorized to receive 

and respond to any legal process for 

vessels of that country. 

* * * * * 

■ 35. In § 904.303: 

■ a. Remove and reserve paragraph (a); 

and 

■ b. Revise paragraphs (b) and (d), 

The revisions read as follows: 

§ 904.303 Notice of intent to deny permit 

(NIDP). 

* * * * * 

(b) The NIDP will set forth the basis 

for its issuance and any opportunity for 

a hearing. 

* * * * * 

(d) A NIDP may be issued in 

conjunction with or independent of a 

NOPS. 

■ 36. In § 904.304, revise paragraph (b) 

to read as follows: 

§ 904.304 Opportunity for hearing. 

* * * * * 

(b) There will be no opportunity for 

a hearing to contest a NOPS or NIDP if 

the permit holder/applicant had a 

previous opportunity to participate as a 

party in an administrative or judicial 

proceeding with respect to the violation 


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that forms the basis for the NOPS or 

NIDP, whether or not the permit holder/ 

applicant did participate, and whether 

or not such a proceeding was held. 

§ 904.310 [Removed and Reserved] 

■ 37. Remove and reserve § 904.310. 

■ 38. In § 904.311, revise the section 

heading, introductory text, and 

paragraph (b) to read as follows: 

§ 904.311 Effect of payment on permit 

sanction. 

Where a permit has been sanctioned 

on one of the bases set forth in 

§ 904.301(a)(2) through (4) and the 

permit holder/applicant pays the 

criminal fine, civil penalty, or amount 

in settlement of a civil forfeiture in full 

or agrees to terms satisfactory to NOAA 

for payment: 

* * * * * 

(b) Any permit suspended under 

§ 904.301(a)(2) through (4) will be 

reinstated by order of NOAA; or 

* * * * * 

§ 904.320 [Removed and Reserved] 

■ 39. Remove and reserve § 904.320. 

■ 40. In § 904.402, revise paragraph (a) 

to read as follows: 

§ 904.402 Procedures. 

(a) Any person authorized to enforce 

the laws listed in § 904.1(c) or Agency 

counsel may serve a written warning on 

a respondent. 

* * * * * 

■ 41. In § 904.403: 

■ a. Remove and reserve paragraph (a); 

and 

■ b. Revise paragraph (b). 

The revision reads as follows: 

§ 904.403 Review and appeal of a written 

warning. 

* * * * * 

(b) The recipient of a written warning 

may appeal to the NOAA Deputy 

General Counsel. The appeal must be 

served in conformance with § 904.3 and 

submitted to administrative.appeals@

noaa.gov or the NOAA Office of the 

General Counsel, Herbert Hoover Office 

Building, 14th & Constitution Avenue 

NW, Washington, DC 20230, within 60 

days of receipt of the written warning. 

(1) An appeal from a written warning 

must be in writing and must present the 

facts and circumstances that explain or 

deny the violation described in the 

written warning. 

(2) [Reserved] 

* * * * * 

■ 42. Revise § 904.500 to read as 

follows: 

§ 904.500 Purpose and scope. 

(a) This subpart sets forth procedures 

governing the release, abandonment, 

forfeiture, remission of forfeiture, or 

return of property seized under any of 

the laws cited in § 904.1(c). 

(b) Except as provided in this subpart, 

these regulations apply to all seized 

property subject to forfeiture under any 

of the laws cited in § 904.1(c). This 

subpart is in addition to, and not in 

contradiction of, any special rules 

regarding seizure, holding or disposition 

of property seized under these statutes. 

■ 43. Revise § 904.501 to read as 

follows: 

§ 904.501 Notice of seizure. 

Within 60 days from the date of the 

seizure, NOAA will serve a Notice of 

Seizure on the owner or consignee, if 

known or easily ascertainable, or other 

party that the facts of record indicate 

has an interest in the seized property. In 

cases where the property is seized by a 

state or local law enforcement agency; a 

Notice of Seizure will be served in the 

above manner within 90 days from the 

date of the seizure. The Notice will 

describe the seized property and state 

the time, place and reason for the 

seizure, including the provisions of law 

alleged to have been violated. The 

Notice will inform each interested party 

of his or her right to file a claim to the 

seized property, and state a date by 

which a claim must be filed, which may 

not be less than 35 days after service of 

the Notice. The Notice may be 

combined with a Notice of the sale of 

perishable fish issued under § 904.505. 

If a claim is filed, the case will be 

referred promptly to the U.S. 

Department of Justice for institution of 

judicial proceedings. 

■ 44. In § 904.502, revise paragraph (c) 

to read as follows: 

§ 904.502 Bonded release of seized 

property. 

* * * * * 

(c) If NOAA grants the request, the 

amount paid by the requester will be 

deposited in a NOAA suspense account. 

The amount so deposited will for all 

purposes be considered to represent the 

property seized and subject to forfeiture, 

and payment of the amount by requester 

constitutes a waiver by requester of any 

claim rising from the seizure and 

custody of the property. NOAA will 

maintain the money so deposited 

pending further order of NOAA, order of 

a court, or disposition by applicable 

administrative proceedings. 

* * * * * 

■ 45. Revise § 904.503 to read as 

follows: 

§ 904.503 Appraisement. 

NOAA may appraise seized property 

to determine its domestic value. 

Domestic value means the price at 

which such or similar property is 

offered for sale at the time and place of 

appraisement in the ordinary course of 

trade. If there is no market for the seized 

property at the place of appraisement, 

the value in the principal market nearest 

the place of appraisement may be used. 

If the seized property may not lawfully 

be sold in the United States, its 

domestic value may be determined by 

other reasonable means. 

■ 46. In § 904.504, revise paragraphs (a), 

(b)(1), and (b)(3)(i) to read as follows: 

§ 904.504 Administrative forfeiture 

proceedings. 

(a) When authorized. This section 

applies to property with a value of 

$500,000 or less, and that is subject to 

administrative forfeiture under the 

applicable statute. This section does not 

apply to conveyances seized in 

connection with criminal proceedings. 

(b) * * * 

(1) Within 60 days from the date of 

the seizure, or within 90 days of the 

date of the seizure where the property 

is seized by a state or local law 

enforcement agency, NOAA will 

publish a Notice of Proposed Forfeiture 

once a week for at least three successive 

weeks in a newspaper of general 

circulation in the Federal judicial 

district in which the property was 

seized or post a notice on an official 

government forfeiture website for at 

least 30 consecutive days. However, if 

the value of the seized property does not 

exceed $1,000, the Notice may be 

published by posting for at least three 

successive weeks in a conspicuous 

place accessible to the public at the 

National Marine Fisheries Service 

Enforcement Office, U.S. District Court, 

or the U.S. Customs House nearest the 

place of seizure, with the date of posting 

indicated on the Notice. In addition, a 

reasonable effort will be made to serve 

the Notice on each person whose 

identity, address and interest in the 

property are known or easily 

ascertainable. 

* * * * * 

(3)(i) Any person claiming the seized 

property may file a claim with NOAA, 

at the address indicated in the Notice, 

within 30 days of the date the final 

Notice was published or posted. The 

claim must state the claimant’s interest 

in the property. 

* * * * * 

■ 47. In § 904.505, revise paragraph (c) 

to read as follows: 


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Federal Register / Vol. 87, No. 125 / Thursday, June 30, 2022 / Rules and Regulations 38943 

§ 904.505 Summary sale. 

* * * * * 

(c) NOAA will serve the Notice of the 

Summary Sale on the owner or 

consignee, if known or easily 

ascertainable, or to any other party that 

the facts of record indicate has an 

interest in the seized fish, unless the 

owner or consignee or other interested 

party has otherwise been personally 

notified. Notice will be sent either prior 

to the sale, or as soon thereafter as 

practicable. 

* * * * * 

■ 48. In § 904.506, revise paragraphs 

(a)(1) and (b)(1) to read as follows: 

§ 904.506 Remission of forfeiture and 

restoration of proceeds of sale. 

(a) * * * 

(1) This section establishes 

procedures for filing with NOAA a 

petition for the return of any property 

which has been or may be 

administratively forfeited under the 

provisions of any statute administered 

by NOAA that authorizes the remission 

or mitigation of forfeitures. 

* * * * * 

(b) * * * 

(1) Any person claiming an interest in 

any property which has been or may be 

administratively forfeited under the 

provisions of § 904.504 may, at any time 

after seizure of the property, but no later 

than 90 days after the date of forfeiture, 

petition for a remission or mitigation of 

the forfeiture and restoration of the 

proceeds of such sale, or such part 

thereof as may be claimed by the 

petitioner by serving the petition in 

conformance with § 904.3 on 

administrative.appeals@noaa.gov or the 

Chief of the Enforcement Section of the 

NOAA Office of General Counsel, 1315 

East-West Highway, SSMC 3, Suite 

15828, Silver Spring, MD 20910. 

* * * * * 

■ 49. In § 904.509, revise paragraph 

(g)(2) to read as follows: 

§ 904.509 Disposal of forfeited property. 

* * * * * 

(g) * * * 

(2) Destruction will be accomplished 

in accordance with the requirements of 

41 CFR parts 101–1 through 101–49. 

* * * * * 

[FR Doc. 2022–13492 Filed 6–29–22; 8:45 am] 

BILLING CODE 3510–22–P 

SECURITIES AND EXCHANGE 

COMMISSION 

17 CFR Parts 232, 240, 249, 270, 275, 

and 279 

[Release Nos. 34–95148; IA–6056; IC–34635; 

File No. S7–15–21] 

RIN 3235–AM97 

Electronic Submission of Applications 

for Orders Under the Advisers Act and 

the Investment Company Act, 

Confidential Treatment Requests for 

Filings on Form 13F, and Form ADV– 

NR; Amendments to Form 13F 

AGENCY: Securities and Exchange 

Commission. 

ACTION: Final rule. 

SUMMARY: The Securities and Exchange 

Commission (‘‘Commission’’ or ‘‘SEC’’) 

is adopting amendments to rules to 

convert the filing of certain 

applications, confidential treatment 

requests, and forms from paper to 

electronic submission. Specifically, we 

are amending our rules to require that 

the following types of filings be 

submitted via our Electronic Data 

Gathering, Analysis, and Retrieval 

(‘‘EDGAR’’) system: applications for 

orders under any section of the 

Investment Advisers Act of 1940 

(‘‘Advisers Act’’) and confidential 

treatment requests for filings made 

under section 13(f) of the Securities 

Exchange Act of 1934 (‘‘Exchange Act’’). 

We also are adopting rule amendments 

to harmonize the requirements for the 

submission of applications for orders 

under the Advisers Act and the 

Investment Company Act of 1940 

(‘‘Investment Company Act’’). In 

addition, we are amending other rules 

and a form to require the electronic 

submission of Form ADV–NR through 

the Investment Adviser Registration 

Depository (‘‘IARD’’) system. We also 

are adopting requirements for nonresident general partners and nonresident managing agents to amend their 

Form ADV–NR within 30 days 

whenever any information contained in 

the form becomes inaccurate by filing 

with the Commission a new Form ADV– 

NR. Further, we are adopting 

amendments to Form 13F to require 

managers to provide additional 

identifying information and to allow 

managers to disclose, for any security 

reported on Form 13F, the security’s 

share class level Financial Instrument 

Global Identifier (‘‘FIGI’’). Finally, we 

are adopting certain technical 

amendments to Form 13F, including 

modernizing the structure of data 

reporting and amending the instructions 

on Form 13F for confidential treatment 

requests in light of a recent decision of 

the U.S. Supreme Court. 

DATES:

Effective date: This rule is effective 

August 29, 2022, except for the 

amendments to Form 13F (referenced in 

17 CFR 249.325) which are effective 

January 3, 2023. 

Compliance date: The applicable 

compliance dates are discussed in 

section II.D. of this final rule. 

FOR FURTHER INFORMATION CONTACT: 

Zeena Abdul-Rahman, Senior Counsel; 

Sara Cortes, Senior Special Counsel; or 

Brian McLaughlin Johnson, Assistant 

Director, at (202) 551–6792, Investment 

Company Regulation Office, Division of 

Investment Management; or Alexis 

Palascak, Senior Counsel at (202) 551– 

6787 or IArules@sec.gov, Investment 

Adviser Regulation Office, Division of 

Investment Management, Securities and 

Exchange Commission, 100 F Street NE, 

Washington, DC 20549 8549. 

SUPPLEMENTARY INFORMATION: The 

Commission is adopting amendments to 

17 CFR 232.11 (‘‘rule 11’’), 17 CFR 

232.100 (‘‘rule 100’’), 17 CFR 232.101 

(‘‘rule 101’’), 17 CFR 232.102 (‘‘rule 

102’’), and 17 CFR 232.201 (‘‘rule 201’’) 

of 17 CFR 232.11 through 232.903 

(‘‘Regulation S–T’’) relating to electronic 

filing on the EDGAR system; 17 CFR 

275.0–4 (‘‘rule 0–4’’) and 17 CFR 

275.203–1 (‘‘rule 203–1’’) under the 

Advisers Act; 17 CFR 279.4 (‘‘Form 

ADV–NR’’) and the instructions to 17 

CFR 279.1 (‘‘Form ADV’’) under the 

Advisers Act; 17 CFR 270.0–2 (‘‘rule 0– 

2’’) under the Investment Company Act; 

17 CFR 240.24b–2 (‘‘rule 24b–2’’) under 

the Exchange Act; and 17 CFR 249.325 

(‘‘Form 13F’’). 

TABLE OF CONTENTS 

I. Introduction 

II. Discussion 

A. Applications 

1. Electronic Filing 

2. The EDGAR Filing System 

3. Availability of Hardship Exemptions 

4. Elimination of Certain Requirements 

B. Form ADV–NR 

C. Rule 13f–1 and Form 13F 

1. Electronic Filings of 13(f) Confidential 

Treatment Requests 

2. Other Amendments to Form 13F 

D. Effective and Compliance Dates 

III. Other Matters 

IV. Economic Analysis 

A. Introduction and Primary Goals of the 

Regulations and Form Amendments 

B. Economic Baseline 

C. Economic Effects 

1. Benefits 

2. Costs 

3. Efficiency, Competition, and Capital 

Formation 

D. Reasonable Alternatives 


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