[Federal Register: March 23, 2007 (Volume 72, Number 56)]
[Notices]
[Page 13785]
[DOCID:fr23mr07-73]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 1971-079 Idaho/Oregon]

Idaho Power Company; Notice of Tribal Consultation Meetings

March 14, 2007.
    The Commission will hold a series of meetings with the Indian
Tribes potentially affected by the relicensing of the Hells Canyon
Project, to discuss issues addressed in the draft environmental impact
statement (EIS). The meetings will be held as follows:

March 29, 2007

    Burns Paiute Tribe, Boise, Idaho (location and time to be
announced).

March 30, 2007

    Shoshone-Paiute Tribes, 10 a.m., Tribal Headquarters, Duck Valley
Indian Reservation, Owyhee, Nevada.
    Interested parties may attend as observers. The meetings will be
transcribed by a court reporter, so that the transcript can be placed
in the record of this proceeding.
    Individuals interested in attending the meetings can contact Alan
Mitchnick at<PHONE_NUMBER> or<EMAIL_ADDRESS>for the time
and location of the meetings or for more information.

 Philis J. Posey,
Acting Secretary.
[FR Doc. E7-5349 Filed 3-22-07; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register: June 21, 2007 (Volume 72, Number 119)]
[Notices]
[Page 34300-34319]
[DOCID:fr21jn07-68]

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DEPARTMENT OF LABOR

Occupational Safety and Health Administration

Susan Harwood Training Grant Program, FY 2007

AGENCY: Occupational Safety and Health Administration, Labor.

ACTION: Initial announcement of availability of funds and solicitation
for grant applications.

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    Funding Opportunity No.: SHTG-FY-07-01.
    Catalog of Federal Domestic Assistance No.: 17.502.
SUMMARY: The U.S. Department of Labor, Occupational Safety and Health
Administration (OSHA) awards funds to nonprofit organizations to
provide training and education programs for employers and employees
about safety and health topics selected by OSHA. Nonprofit
organizations, including community-based and faith-based organizations,
that are not an agency of a State or local government are eligible to
apply. Additionally, State or local government-supported institutions
of higher education are eligible to apply in accordance with 29 CFR
part 95. This notice announces grant availability for Susan Harwood
Training Program grants. This notice contains all of the necessary
information and forms needed to apply for grant funding.

DATES: Grant applications must be received electronically by the
Grants.gov system no later than 4:30 p.m., E.T., on Friday, July 20,
2007, the application deadline date.

ADDRESSES: Applications for grants submitted under this competition
must be submitted electronically using the Government-wide Grants.gov
Apply site at http://www.grants.gov. If applying online poses a

hardship to any applicant, the OSHA Directorate of Training and
Education will provide assistance to ensure that applications are
submitted online by the closing date. Applicants must contact the OSHA
Directorate of Training and Education office listed on the announcement
at least one week prior to the application deadline date, (or no later
than 4:30 p.m., E.T., on Friday, July 13, 2007) to speak to a
representative who can provide assistance to ensure that applications
are submitted online by the closing date. Requests for extensions to
this deadline will not be granted. Further information regarding
submitting your grant application electronically is listed in Section
IV, Item 3, Submission Date, Times, and Addresses.

FOR FURTHER INFORMATION CONTACT: Any questions regarding this SGA
should be directed to Cynthia Bencheck, Program Analyst, e-mail
address<EMAIL_ADDRESS>tel:<PHONE_NUMBER> (note that this is
not a toll-free number), or Jim Barnes, Director, Office of Training
and Educational Programs, e-mail address<EMAIL_ADDRESS>tel: 847-
297-4810. To obtain further information on the Susan Harwood Training
Grant Program of the U.S. Department of Labor, visit the OSHA Web site
of the Occupational Safety and Health Administration at http://www.osha.gov
.

SUPPLEMENTARY INFORMATION:

I. Funding Opportunity Description

Overview of the Susan Harwood Training Grant Program

    The Susan Harwood Training Grant Program provides funds for
programs to train employees and employers to recognize, avoid, and
prevent safety and health hazards in their workplaces. The program
emphasizes four areas:
     Educating employees and employers in small businesses. For
purposes of this grant program, a small business is one with 250 or
fewer employees.
     Training employees and employers about new OSHA standards.
     Training at-risk employer and employee populations.
     Training employees and employers about high risk
activities or hazards identified by OSHA through the Department of
Labor's Strategic Plan, or as part of an OSHA special emphasis program.

Grant Category Being Announced

    Under this solicitation for grant applications, OSHA will accept
applications for the Targeted Topic training grant category.

Topics for the Targeted Topic Training Category

    Organizations funded for Targeted Topic training category grants
are expected to develop and provide occupational safety and health
training and/or educational programs addressing one of the topics
selected by OSHA, recruit employees and employers for the training, and
conduct and evaluate the training. Grantees are also expected to
conduct follow-up evaluations with individuals trained by their program
to determine what, if any, changes were made to reduce hazards in their
workplaces as a result of the training. If your organization plans to
train employees or employers in any of the 26 states operating OSHA-
approved State Plans, State OSHA requirements for that state must be
included in the training.
    Fourteen different training topics were selected for this grant
announcement. OSHA may award grants for some or all of the listed
Targeted Topic training topics. Applicants wishing to address more than
one of the announced grant topics must submit a separate grant
application for each topic. Each application must propose a plan for
developing and conducting training programs addressing the recognition
and prevention of safety and health hazards for one of the topics
listed below.
Construction Industry Hazards
    Programs that train employees and employers in the recognition and
prevention of safety and health hazards on one of the following topics.
     Focus Four construction hazards (falls, electrocution,
caught-in and struck-by).
     Residential Construction general safety and health
hazards, including falls.
     Excavation and Trenching hazards.
     Residential and Commercial Roofing hazards, including
falls.
General Industry Hazards
    Programs that train employees and employers in the recognition and
prevention of safety and health hazards on one of the following topics.
     Electrical Hazards, including Arc Flash (based on 29 CFR
Part 1910, Subpart S, revised 02/14/07).
     Combustible Dust.
     Powered Industrial Vehicles.
     Process Safety Management in Refineries.
     Process Safety Management for Anhydrous Ammonia.
     Night Time Sanitation and Maintenance, Third Shift
Maintenance and Cleanup, including Lockout/Tagout and Confined Space
Hazards.
     Health Hazards in Food Processing.
     Preparing Small Business Workplaces for Influenza
Pandemic. Training should incorporate information from OSHA publication
OSHA 3327-02N 2007: ``Guidance on Preparing Workplaces for an Influenza
Pandemic'' which is available on-line at http://www.osha.gov/Publications/OSHA3327pandemic.pdf
; and/or from OSHA publication OSHA

3328-05 2007: ``Pandemic Influenza Preparedness and Response Guidance
for Healthcare Workers and Healthcare Employers) which is available on-
line at http://www.osha.gov/Publications/OSHA_pandemic_health.pdf.

Other Safety and Health Topic Areas
    Programs that train employees and employers in the recognition and
prevention of safety and health hazards on one of the following topics.
     Driver Safety, prevention of work-related motor vehicle
accidents and fatalities.
     Native American Tribal Safety and Health Issues.

II. Award Information

    Targeted Topic training grants will be awarded for a 12-month
period. The project period for these grants begins September 30, 2007,
and ends September 30, 2008. There is approximately $10.1 million
available for this grant category. The average federal award will be
$175,000.

III. Eligibility Information

1. Eligible Applicants

    Nonprofit organizations, including community-based and faith-based
organizations, that are not an agency of a State or local government
are eligible to apply. Additionally, State or local government
supported institutions of higher education are eligible to apply in
accordance with 29 CFR part 95. Eligible organizations can apply
independently for funding or in partnership with other eligible
organizations, but in such a case, a lead organization must be
identified. Sub-contracts must be awarded in accordance with 29 CFR
95.40-48, including OMB circulars requiring free and open competition
for procurement transactions.
    A 501(c)(4) nonprofit organization, as described in 26 U.S.C.
501(c)(4), that engages in lobbying activities will not be eligible for
the receipt of federal funds constituting an award, grant or loan. See
1 U.S.C. 1611.
    Applicants other than State or local government supported
institutions of higher education will be required to submit evidence of
nonprofit status, preferably from the Internal Revenue Service (IRS).

2. Cost Sharing or Matching

    Applicants are not required to contribute non-federal resources.

3. Other Eligibility Requirements

A. Legal Rules Pertaining to Inherently Religious Activities by
Organizations That Receive Federal Financial Assistance
    The U. S. Government is generally prohibited from providing
``direct'' financial assistance for inherently religious activities.\1\
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    \1\ In this context, the term direct financial assistance means
financial assistance that is provided directly by a government
entity or an intermediate organization, as opposed to financial
assistance that an organization receives as the result of the
genuine and independent private choice of a beneficiary. In other
contexts, the term ``direct'' financial assistance may be used to
refer to financial assistance that an organization receives directly
from the Federal government (also know as ``discretionary''
assistance), as opposed to assistance that it receives from a State
or Local government (also know as ``indirect'' or ``block'' grant
assistance). The term ``direct'' has the former meaning throughout
this solicitation for grant applications (SGA).
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    The Grantee may be a faith-based organization or work with and
partner with religious institutions; however, ``direct'' federal
assistance provided under grants with the U. S. Department

of Labor may not be used for religious instruction, worship, prayer,
proselytizing or other inherently religious practices. 29 CFR Part 2,
Subpart D governs the treatment in Department of Labor government
programs of religious organizations and religious activities; the
Grantee and sub-contractors are expected to be aware of and observe the
regulations in this subpart.

IV. Application and Submission Information

1. Application Package

    All information and forms needed to apply for this funding
opportunity are published as part of this Federal Register notice, and
in the Federal Register, which may be obtained from your nearest
federal depository library or online at http://www.archives.gov/federal-register/index.html.
 For informational purposes, the complete

Federal Register notice and application forms are also posted on the
OSHA Susan Harwood Training Grant Program Web site at http://www.osha.gov/dcsp/ote/sharwood.html
.

2. Content and Form of Application Submission

    Each grant application must address only one of the announced
topics. Organizations interested in applying for grants for more than
one of the announced grant topics must submit a separate application
for each grant topic.
A. Required Contents
    A complete application will contain the following forms and
narrative sections.
    (1) Application for Federal Assistance form (SF 424). The
individual signing the SF 424 form on behalf of the applicant must be
authorized to bind the applicant.
    Your organization is required to have a Data Universal Number
System (DUNS) number from Dun and Bradstreet to complete this form.
Information about ``Obtaining a DUNS Number--A Guide for Federal Grant
and Cooperative Agreement Applicants'' is available at http://www.whitehouse.gov/omb/grants/duns_num_guide.
 pdf.

    (2) Survey on Ensuring Equal Opportunity for Applicants (Faith-
Based EEO Survey) form OMB No. 1890-0014.
    (3) Program Summary (described further in subsection B below). The
program summary is a short one-to-two page single-sided abstract that
succinctly summarizes the proposed project and provides information
about the applicant organization.
    (4) Budget Information form (SF 424A).
    (5) Detailed Project Budget Backup. The detailed budget backup will
provide a detailed break out of the costs that are listed in Section B
of the SF 424A Budget Information form. If applicable: Provide a copy
of approved indirect cost rate agreement and statement of program
income.
    (6) A description of any voluntary non-federal resource
contribution to be provided by the applicant, including source of funds
and estimated amount.
    (7) Technical Proposal program narrative (described further in
subsection B below), not to exceed 30 single-sided pages, double-
spaced, 12-point font, containing: Problem Statement/Need for Funds;
Administrative and Program Capability; and Work Plan.
    (8) Assurances form (SF 424B).
    (9) Combined Assurances, ED 80-0013.
    (10) Organizational Chart.
    (11) Evidence of Non-Profit status, preferably from the Internal
Revenue Service (IRS), if applicable. (Does not apply to State and
local government-supported institutions of higher education.)
    (12) Accounting System Certification, if applicable. Organizations
that receive less than $1 million annually in federal grants must
attach a certification signed by your certifying official stating that
your organization has a functioning accounting system that meets the
criteria below. Your organization may also designate a qualified entity
(include the name and address in the documentation) to maintain a
functioning accounting system that meets the criteria below. The
certification should attest that your organization's accounting system
provides for the following:
    (a) Accurate, current and complete disclosure of the financial
results of each federally sponsored project.
    (b) Records that identify adequately the source and application of
funds for federally sponsored activities.
    (c) Effective control over and accountability for all funds,
property and other assets.
    (d) Comparison of outlays with budget amounts.
    (e) Written procedures to minimize the time elapsing between the
transfer of funds.
    (f) Written procedures for determining the reasonableness,
allocability and allowability of costs.
    (g) Accounting records, including cost accounting records that are
supported by source documentation.
    (13) Any attachments such as resumes of key personnel or position
descriptions, exhibits, information on prior government grants, and
signed letters of commitment to the project.
    To be considered responsive to this solicitation, the application
must consist of the above mentioned separate parts. Major sections and
sub-sections of the application should be divided and clearly
identified, and all pages shall be numbered. Standard forms,
attachments, exhibits and the Program Summary abstract are not counted
toward the page limit.
    The forms listed above are included as a part of this Federal
Register notice. The forms are also available on the OSHA grant Web
site http://www.osha.gov/dcsp/ote/sharwood.html.

B. Budget Information
    Applicants must include the following grant project budget
information.
    (1) Budget Information form (SF 424A).
    (2) A Detailed Project Budget that clearly details the costs of
performing all of the requirements presented in this solicitation. The
detailed budget will break out the costs that are listed in Section B
of the SF 424A Budget Information form.
    Applicants are reminded to budget for compliance with the
administrative requirements set forth. (Copies of all regulations that
are referenced in this solicitation for grant applications (SGA) are
available on-line at no cost at http://www.osha.gov/dcsp/ote/sharwood.html.
) This includes the costs of performing activities such

as travel for two staff members, one program and one financial, to the
Chicago area to attend a new grantee orientation meeting; financial
audit, if required; project closeout; document preparation (e.g.,
quarterly progress reports, project document); and ensuring compliance
with procurement and property standards.
    The Detailed Project Budget should break out administrative costs
separately from programmatic costs for both federal and non-federal
funds. Administrative costs include indirect costs from the costs pool
and the cost of activities, materials, meeting close-out requirements
as described in Section VI, and personnel (e.g., administrative
assistants) who support the management and administration of the
project but do not provide direct services to project beneficiaries.
Indirect cost charges, which are considered administrative costs, must
be supported with a copy of an approved Indirect Cost Rate Agreement
form. Administrative costs cannot exceed 25% of the total grant budget.
The project budget should

clearly demonstrate that the total amount and distribution of funds is
sufficient to cover the cost of all major project activities identified
by the applicant in its proposal, and must comply with federal cost
principles (which can be found in the applicable OMB Circulars).
    (3) A description of any voluntary non-federal resource
contribution to be provided by the applicant, including source of funds
and estimated amount.
C. Program Summary and Technical Proposal
    The Program Summary and the Technical Proposal will contain the
narrative segments of the application. The Program Summary abstract is
not to exceed two single-sided pages. The Technical Proposal program
narrative section is not to exceed 30 single-sided (8\1/2\'' x 11'' or
A4), double-spaced, 12-point font, typed pages, consisting of the
Problem Statement/Need for Funds, Administrative and Program
Capability, and Work Plan. Reviewers will only consider Technical
Proposal information up to the 30-page limit. The Technical Proposal
must demonstrate the capability to successfully administer the grant
and to meet the objectives of this solicitation. The Technical Proposal
will be rated in accordance with the selection criteria specified in
Section V.
    The Program Summary and Technical Proposal must include the
following sections.
    (1) Program Summary. An abstract of the application, not to exceed
two single-sided pages, that must include the following information.
     Applicant organization's full legal name.
     Project director's name, title, street address, and
mailing address if it is different from the street address, telephone
and fax numbers, and e-mail address. The Project Director is the person
who will be responsible for the day-to-day operation and administration
of the program.
     Certifying Representative's name, title, street address,
and mailing address if it is different from the street address,
telephone and fax numbers, and e-mail address. The Certifying
Representative is the official in your organization who is authorized
to enter into grant agreements.
     Funding requested. List how much federal funding you are
requesting. If your organization is contributing non-federal resources,
also list the amount of non-federal resources and the source of those
funds.
     Grant Topic. List the grant topic and industry or subject
area your organization has selected to target in its application.
     Summary of the Proposed Project. Write a brief program
summary of your proposed grant project.
     Applicant Background. Describe your applicant
organization, including its mission, identify the type of non-profit
organization it is, and provide a description of your membership, if
any.
    (2) The Technical Proposal program narrative segment, which is not
to exceed 30 single-sided, double-spaced, 12-point font pages in
length, must address each section listed below.
     Problem Statement/Need for Funds. Describe the hazards
that will be addressed in your program, the target population(s) that
will benefit from your training and education program, and the barriers
that have prevented this population from receiving adequate training.
When you discuss target populations, include geographic location(s),
and the number of employees and employers.
     Administrative and Program Capability. Briefly describe
your organization's functions and activities. Relate this description
of functions to your organizational chart that you will include in the
application. If your organization is conducting, or has conducted
within the last five years, any other government (federal, State, or
local) grant programs, the application must include an attachment
(which will not count towards the page limit) providing information
regarding previous grants including (a) the organization for which the
work was done, and (b) the dollar value of the grant. If your
organization has not had previous grant experience, you may partner
with an organization that has grant experience to manage the grant. If
you use this approach, the management organization must be identified
and its grant program experience discussed.
    Program Experience. Describe your organization's experience
conducting the type of program that you are proposing. Include program
specifics such as program titles, numbers trained and duration of
training. Experience includes safety and health experience, training
experience with adults, and programs operated specifically for the
selected target population(s). Nonprofit organizations, including
community-based and faith-based organizations, that do not have prior
experience in safety and health may partner with an established safety
and health organization to acquire safety and health expertise.
    Staff Experience. Describe the qualifications of the professional
staff you will assign to the program. Include resumes of staff already
on board. If some positions are vacant, include position descriptions/
minimum hiring qualifications instead of resumes. Qualified staff are
those with safety and health experience, training experience, or
experience working with the target population.
     Work Plan. The 12-month work plan should correlate with
the grant project period that will begin September 30, 2007, and end
September 30, 2008. An outline of specific items required in your work
plan follows:
    Plan Overview. Describe your plan for grant activities and the
anticipated outcomes. The overall plan will describe such things as the
development of training materials, the training content, recruiting of
trainees, where or how training will take place, and the anticipated
benefits to employees and employers receiving the training.
    Activities. Break your overall plan down into activities or tasks.
For each activity, explain what will be done, who will do it, when it
will be done, and the results of the activity. When you discuss
training, include the subjects to be taught, the length of the training
sessions, and training location (classroom, worksites). Describe how
you will recruit trainees for the training.
    Quarterly Projections. For training and other quantifiable
activities, estimate how many (e.g., number of advisory committee
meetings, classes to be conducted, employees and employers to be
trained, etc.,) you will accomplish each quarter of the grant (grant
quarters match calendar quarters, i.e., January to March, April to
June) and provide the training number totals for the grant. Quarterly
projections are used to measure your actual performance against your
plans. If you plan to conduct a train-the-trainer program, estimate the
number of individuals you expect to be trained during the grant period
by those who received the train-the-trainer training. These second tier
training numbers should only be included if your organization is
planning to follow up with the trainers to obtain this data during the
grant period.
    Materials. Describe each educational material you will produce
under the grant, if not treated as a separate activity under Activities
above. Provide a timetable for developing and producing the material.
OSHA must review and approve training materials for technical accuracy
and suitability of content before the materials may be used in your
grant program. Therefore, your timetable must include provisions for an
OSHA review of draft and camera-ready products. Acceptable formats for

training materials include Microsoft Office 2003 and Adobe Reader 7.
For Targeted Topic training grants, any previously developed training
materials you are proposing to utilize in your grant training must also
go through an OSHA review before being used.
    Evaluations. There are three types of evaluations that should be
conducted. First, describe plans to evaluate the training sessions.
Second, describe your plans to evaluate your progress in accomplishing
the grant work activities listed in your application. This includes
comparing planned vs. actual accomplishments. Discuss who is
responsible for taking corrective action if plans are not being met.
Third, describe your plans to assess the effectiveness of the training
your organization is conducting. This will involve following-up, by
survey or on-site review, if feasible, with individuals who attended
the training to find out what changes were made to abate hazards in
their workplaces. Include timetables for follow-up and for submitting a
summary of the assessment results to OSHA.
    (3) An organizational chart of the staff that will be working on
this grant and their location within the applicant organization.
    Attachments: Summaries of other relevant organizational
experiences; information on prior government grants; resumes of key
personnel and/or position descriptions; and signed letters of
commitment to the project.

3. Submission Date, Times, and Addresses

    Date: The deadline date for receipt of applications is Friday, July
20, 2007. Applications must be received by 4:30 p.m., E.T., on the
closing date at http://www.grants.gov. Any application received after

the deadline will not be accepted.
    Electronic Submission of Applications: Applications for Susan
Harwood grants under this competition must be submitted electronically
using the Grants.gov Apply site at http://www.grants.gov. Through this

site you will be able to download a copy of the application package,
complete it offline, and then upload and submit your full application.
Applications sent by mail or other delivery services, e-mail, telegram,
or facsimile (FAX) will not be accepted. Applications that do not meet
the conditions set forth in this notice will not be honored.
    For applicants using Grants.gov for the first time, it is strongly
recommended that they immediately initiate and complete the ``Get
Started'' steps to register with Grants.gov, at http://www.grants.gov/GetStarted.
 These steps will probably take multiple days to complete,

which should be factored into an applicant's plans for electronic
application submission in order to avoid unexpected delays that could
result in the rejection of the application. Acceptable formats for
document attachments submitted as a part of a Grants.gov grant
application include Microsoft Office 2003 and Adobe Reader 7.
    If you have questions regarding the process for submitting your
application through Grants.gov, or are experiencing problems with
electronic submissions, you may contact the Grants Program Management
Office via one of the methods below:
     E-mail at<EMAIL_ADDRESS>     Telephone the Grants.gov Contact Center Phone: 1-800-518-
4726. The Contact Center hours of operation are Monday-Friday, 7 a.m.
to 9 p.m., Eastern Time; closed on federal holidays.
     When contacting the Grants Program Management Office, the
following information will help expedite your inquiry:
    [cir] Funding Opportunity Number (FON).
    [cir] Name of Agency You Are Applying To.
    [cir] Specific Area of Concern.
    If applying online poses a hardship to any applicant, the OSHA
Directorate of Training and Education will provide assistance to ensure
that applications are submitted online by the closing date. Applicants
must contact the OSHA Directorate of Training and Education office
listed on the announcement at least one week prior to the application
deadline date (or no later than 4:30 p.m., E.T., on Friday, July 13,
2007) to speak to a representative who can provide assistance to ensure
that applications are submitted online by the closing date. Requests
for extensions to this deadline will not be granted.

4. Intergovernmental Review

    The Harwood Training Grant Program is not subject to Executive
Order 12372 Intergovernmental Review of Federal Programs.

5. Funding Restrictions

    Grant funds may be spent on the following.
    (a) Conducting training.
    (b) Conducting other activities that reach and inform employees and
employers about workplace occupational safety and health hazards and
hazard abatement.
    (c) Conducting outreach and recruiting activities to increase the
number of employees and employers participating in the program.
    (d) Developing educational materials for use in training.
    Grant funds may not be used for the following activities under the
terms of the grant program.
    (a) Any activity that is inconsistent with the goals and objectives
of the Occupational Safety and Health Act of 1970.
    (b) Training individuals not covered by the Occupational Safety and
Health Act.
    (c) Training employees or employers from workplaces not covered by
the Occupational Safety and Health Act. Examples include:
    State and local government employees in non-State Plan States, and
employees referenced in section 4 (b)(1) of the Act.
    (d) Training on topics that do not cover the recognition,
avoidance, and prevention of unsafe or unhealthy working conditions.
Examples of unallowable topics include: Workers' compensation, first
aid, and publication of materials prejudicial to labor or management.
    (e) Assisting employees in arbitration cases or other actions
against employers, or assisting employers and employees in the
prosecution of claims against federal, State or local governments.
    (f) Duplicating services offered by OSHA, a State under an OSHA-
approved State Plan, or consultation programs provided by State
designated agencies under section 21(d) of the Occupational Safety and
Health Act.
    (g) Generating membership in the grantee's organization. This
includes activities to acquaint nonmembers with the benefits of
membership, inclusion of membership appeals in materials produced with
grant funds, and membership drives.
    (h) The cost of lost-time wages paid by you or other organizations
to students while attending grant-funded training.
    (i) Administrative costs cannot exceed 25% of the total grant
budget.
    While the activities described above may be part of an
organization's regular programs, the costs of these activities cannot
be paid for by grant funds, whether the funds are from non-federal
matching resources or from the federally funded portion of the grant.
    Determinations of allowable costs will be made in accordance with
the applicable federal cost principles, e.g., Nonprofit Organizations--
2 CFR part 230, formerly OMB Circular A-122; Educational Institutions--
2 CFR part 220, formerly OMB Circular A-21. Disallowed costs are those
charges to a grant that the grantor agency or its

representative determines to not be allowed in accordance with the
applicable federal cost principles or other conditions contained in the
grant.
    No applicant at any time will be entitled to reimbursement of
preaward costs.

V. Application Review Information

    Grant applications will be reviewed by technical panels comprised
of OSHA staff. The results of the grant reviews will be presented to
the Assistant Secretary of OSHA, who will make the selection of
organizations to be awarded grants. OSHA may award grants for some or
all of the listed topic areas. It is anticipated that the grant awards
will be announced in September 2007.

1. Evaluation Criteria

    The technical panels will review grant applications against the
criteria listed below on the basis of 100 maximum points. Targeted
Topic training grant category applications will be reviewed and rated
as follows.
A. Technical Approach, Program Design--50 Points Total

Program Design

    (1) The proposed training and education program must address the
recognition and prevention of safety and health hazards for one of the
Targeted Topic subject areas identified in Section I of this SGA. (1
point)
    (2) The proposal plans to train employees and/or employers, clearly
estimates the numbers to be trained, and clearly identifies the types
of employees and employers to be trained. The training will reach
employees and employers from multiple employers. (4 points)
    (3) If the proposal contains a train-the-trainer program, the
following information must be provided: (4 points)
     What ongoing support the grantee will provide to new
trainers;
     The number of individuals to be trained as trainers;
     The estimated number of courses to be conducted by the new
trainers;
     The estimated number of students to be trained by these
new trainers; and
     A description of how the grantee will obtain data from the
new trainers documenting their classes and student numbers.
    (4) There is a well-developed work plan, and activities and
training are adequately described. The planned activities and training
are appropriately tailored to the needs and levels of the employees and
employers to be trained. The target audience to be served through the
grant program is described. (20 points)
    (5) The training materials and training programs are tailored to
the training needs of one or more of the following target audiences;
and the need for training is established: small businesses; new
businesses; limited English proficiency, non-literate and low literacy
workers; youth; immigrant and minority workers, and other hard-to-reach
workers; and employees in high-hazard industries and industries with
high fatality rates. Organizations proposing to develop Spanish-
language training materials should utilize the OSHA Dictionaries
(English-to-Spanish and Spanish-to-English) for terminology. The
dictionaries are available on the OSHA Web site at: http://www.osha.gov/dcsp/compliance_assistance/spanish_dictionaries.html.

Organizations proposing to develop materials in languages other than
English will also be required to provide an English version of the
materials. (10 points)
    (6) There is a sound plan to recruit trainees for the program. (4
points)
    (7) If the proposal includes developing educational materials for
use in the training program, there is a plan for OSHA to review the
educational materials for technical accuracy and suitability of content
during development. If previously-developed training products will be
used for the Targeted Topic training program, applicants have a plan
for OSHA to review the materials before using the products in their
grant program. (1 point)
    (8) There are plans for three different types of evaluation. The
plans include evaluating your organization's progress in accomplishing
the grant work activities and accomplishments, evaluating your training
sessions, and evaluating the program's effectiveness and impact to
determine if the safety and health training and services provided
resulted in workplace change. This includes a description of the
evaluation plan to follow up with trainees to determine the impact the
program has had in abating hazards and reducing worker injuries. (5
points)
    (9) The application is complete, including forms, budget detail,
narrative and work plan, and required attachments. (1 points)
B. Budget--20 Points Total
    (1) The budgeted costs are reasonable. No more than 25% of the
total budget is for administration. (12 points)
    (2) The budget complies with federal cost principles (which can be
found in the applicable OMB Circulars) and with OSHA budget
requirements contained in the grant application instructions. (3
points)
    (3) The cost per trainee is less than $500 and the cost per
training hour is reasonable. (5 points)
C. Past Performance--15 Points Total
    (1) The organization applying for the grant demonstrates experience
with occupational safety and health. Applicants that do not have prior
experience in providing safety and health training to employees or
employers may partner with an established safety and health
organization to acquire safety and health expertise. (4 points)
    (2) The organization applying for the grant demonstrates experience
training adults in work-related subjects or in recruiting, training and
working with the target audience for this grant. (4 points)
    (3) The application organization demonstrates that the applicant
has strong financial management and internal control systems. (4
points)
    (4) The applicant organization has administered, or will work with
an organization that has administered, a number of different federal
and/or State grants over the past five years. (3 points)
D. Experience and Qualification of Personnel--15 Points Total
    (1) The staff to be assigned to the project has experience in
occupational safety and health, the specific topic chosen, and in
training adults. (10 points)
    (2) Project staff has experience in recruiting, training, and
working with the population your organization proposes to serve under
the grant. (5 points)

2. Review and Selection Process

    OSHA will screen all applications to determine whether all required
proposal elements are present and clearly identifiable. Applications
that do not may be deemed non-responsive and may not be evaluated. A
technical panel will objectively rate each complete application against
the criteria described in this announcement. The panel recommendations
to the Assistant Secretary are advisory in nature. The Assistant
Secretary may establish a minimally acceptable rating range for the
purpose of selecting qualified applicants. The Assistant Secretary will
make a final selection determination based on what is most advantageous
to the government, considering factors such as panel findings,
geographic presence of the applicants, Agency

priorities, the best value to the government, cost, and other factors.
The Assistant Secretary's determination for award under this
solicitation for grant applications (SGA) is final.

3. Anticipated Announcement and Award Dates

    Announcement of these awards is expected to occur by September 30,
2007.
    The grant agreement will be awarded by no later than September
2007.

VI. Award Administration Information

1. Award Process

    Organizations selected as grant recipients will be notified by a
representative of the Assistant Secretary, usually from an OSHA
Regional Office. An applicant whose proposal is not selected will be
notified in writing.
    Notice that an organization has been selected as a grant recipient
does not constitute approval of the grant application as submitted.
Before the actual grant award, OSHA will enter into negotiations
concerning such items as program components, staffing and funding
levels, and administrative systems. If the negotiations do not result
in an acceptable submittal, the Assistant Secretary reserves the right
to terminate the negotiation and decline to fund the proposal.

    Note: Except as specifically provided, OSHA's acceptance of a
proposal and an award of Federal funds to sponsor any program(s)
does not provide a waiver of any grant requirement or procedures.
For example, if an application identifies a specific sub-contractor
to provide the services, the USDOL OSHA award does not provide the
justification or basis to sole-source the procurement, i.e., to
avoid competition.

2. Administrative and National Policy Requirements

    All grantees, including faith-based organizations, will be subject
to applicable federal laws and regulations (including provisions of
appropriations law) and the applicable Office of Management and Budget
(OMB) Circulars. The grant award(s) awarded under this SGA will be
subject to the following administrative standards and provisions, as
applicable to the particular grantee:
    29 CFR Part 2, Subpart D, new equal treatment regulations.
    29 CFR Parts 31, 32, 35 and 36 as applicable.
    29 CFR Part 93, new restrictions on lobbying.
    29 CFR Part 95, which covers grant requirements for nonprofit
organizations, including universities and hospitals. These are the
Department of Labor regulations implementing 2 CFR Part 215, formerly
OMB Circular A-110.
    29 CFR Part 98, government-wide debarment and suspension
(nonprocurement) and government-wide requirements for drug-free
workplace (grants).
    2 CFR Part 220, formerly OMB Circular A-21, which describes
allowable and unallowable costs for educational institutions.
    2 CFR Part 230, formerly OMB circular A-122, which describes
allowable and unallowable costs for other nonprofit organizations.
    OMB Circular A-133, 29 CFR parts 96 and 99, which provide
information about audit requirements.
    Certifications. All applicants are required to certify to a drug-
free workplace in accordance with 29 CFR part 98, to comply with the
New Restrictions on Lobbying published at 29 CFR part 93, to make a
certification regarding the debarment rules at 29 CFR part 98, and to
complete a special lobbying certification.
    Training Audience. Grant-funded training programs must serve
multiple employers and their employees. Grant-funded training programs
must serve individuals covered by the Occupational Safety and Health
Act of 1970. As a part of the grant close-out process, grantees must
self-certify that their grant-funded programs and materials were not
provided to ineligible audiences.
    Other. In keeping with the policies outlined in Executive Orders
13256, 12928, 13230, and 13021 as amended, the grantee is strongly
encouraged to provide subgranting opportunities to Historically Black
Colleges and Universities, Hispanic Serving Institutions, and Tribal
Colleges and Universities.

3. Special Program Requirements

    OSHA review of educational materials. OSHA will review all
educational materials produced by the grantee for technical accuracy
and suitability of content during development and before final
publication. OSHA will also review previously-developed training
curricula and purchased training materials for technical accuracy and
suitability of content before the materials are used. Grantees
developing training materials must follow all copyright laws and
provide written certification that their materials are free from
copyright infringements.
    When grant recipients produce training materials, they must provide
copies of completed materials to OSHA before the end of the grant
period. OSHA has a lending program that circulates grant-produced
audiovisual materials. Audiovisual materials produced by the grantee as
a part of its grant program may be included in this lending program. In
addition, all materials produced by grantees must be provided to OSHA
in hard copy as well as in a digital format (CD Rom/DVD) for possible
publication on the Internet by OSHA. Two copies of the materials must
be provided to OSHA. Acceptable formats for training materials include
Microsoft Office 2003 and Adobe Reader 7.
    As stated in 29 CFR 95.36, the Department of Labor reserves a
royalty-free, nonexclusive and irrevocable right to reproduce, publish,
or otherwise use for federal purposes any work produced under a grant,
and to authorize others to do so. Applicants should note that grantees
must agree to provide the Department of Labor a paid-up, nonexclusive
and irrevocable license to reproduce, publish, or otherwise use for
federal purposes all products developed, or for which ownership was
purchased, under an award including, but not limited to, curricula,
training models, technical assistance products, and any related
materials, and to authorize the Department of Labor to do so. Such uses
include, but are not limited to, the right to modify and distribute
such products worldwide by any means, electronic or otherwise.
    Acknowledgment of USDOL Funding. In all circumstances, all approved
grant-funded materials developed by a grantee shall contain the
following disclaimer:
    This material was produced under grant number ---------------- from
the Occupational Safety and Health Administration, U.S. Department of
Labor. It does not necessarily reflect the views or policies of the
U.S. Department of Labor, nor does mention of trade names, commercial
products, or organizations imply endorsement by the U.S. Government.
    Public reference to grant: When issuing statements, press releases,
requests for proposals, bid solicitations, and other documents
describing projects or programs funded in whole or in part with federal
money, all grantees receiving federal funds must clearly state:
     The percentage of the total costs of the program or
project that will be financed with federal money;
     The dollar amount of federal financial assistance for the
project or program; and

     The percentage and dollar amount of the total costs of the
project or program that will be financed by non-governmental sources.
    Use of U.S. Department of Labor (USDOL) OSHA Logo: The USDOL-OSHA
logo may not be applied to any grant products developed with grant
funds without advance written authority from OSHA.

4. Reporting

    Grantees are required by Departmental regulations to submit program
and financial reports each calendar quarter. All reports are due no
later than 30 days after the end of the fiscal quarter and shall be
submitted to the appropriate OSHA Regional Office.
    The Grantee(s) shall submit financial reports on a quarterly basis.
The first reporting period shall end on the last day of the fiscal
quarter (December 31, March 31, June 30, or September 30) during which
the grant was signed. Financial reports are due within 30 days of the
end of the reporting period (i.e., by January 30, April 30, July 30,
and October 30).
    The Grantee(s) shall use Standard Form (SF) 269, Financial Status
Report, to report the status of funds, at the project level, during the
grant period. A final SF269 shall be submitted no later than 90 days
following completion of the grant period.
    Grantees will use the U.S. Department of Health and Human Services
Payment Management System (HHS PMS) to receive federal funds and to
report federal expenditures, and must also send USDOL copies of the PSC
272 that it submits to HHS, on the same schedule.
    Technical Progress Reports: After signing the agreement, the
Grantee(s) shall submit technical progress reports to USDOL/OSHA
Regional Offices at the end of each fiscal quarter. Technical progress
reports provide both quantitative and qualitative information and a
narrative assessment of performance for the preceding three-month
period. OSHA Form 171 shall be used for reporting training numbers and
a narrative report shall be provided that details grant activities
conducted during the quarter, information on how the project is
progressing in achieving its stated objectives, and notes any problems
or delays along with corrective actions proposed. The first reporting
period shall end on the last day of the fiscal quarter (December 31,
March 31, June 30, or September 30) during which the grant was signed.
Quarterly progress reports are due within 30 days of the end of the
report period (i.e., by January 30, April 30, July 30, and October 30.)
Between reporting dates, the Grantees(s) shall also immediately inform
USDOL/OSHA of significant developments and/or problems affecting the
organization's ability to accomplish work.

(Authority: The Occupational Safety and Health Act of 1970, (29
U.S.C. 670), and the Revised Continuing Appropriations Resolution
for Fiscal Year 2007, Pub. L. 110-5.)

    Signed at Washington, DC, this 13th day of June, 2007.
Edwin G. Foulke, Jr.,
Assistant Secretary of Labor for Occupational Safety and Health.

Project Document Format

SF 424, Application for Federal Assistance form
    Your organization is required to have a Data Universal Number
System (DUNS) number (received from Dun and Bradstreet) to complete
this form. Information about ``Obtaining a DUNS Number--A Guide for
Federal Grant and Cooperative Agreement Applicants'' is available at
http://www.whitehouse.gov/omb/grants/duns_num_guide.pdf.

Survey on Ensuring Equal Opportunity for Applicants (Faith-Based EEO
Survey) form, (OMB No. 1890-0014)
Program Summary (not to exceed two single-sided pages)
Budget Information, SF 424A form
Detailed Project Budget Backup
    If applicable: provide a copy of approved indirect cost rate
agreement, and statement of program income.
Technical Proposal, program narrative, not to exceed 30 single-sided
pages, double-spaced, 12-point font, containing:
    Problem Statement/Need for Funds
    Administrative and Program Capability
    Work plan
Assurances (SF 424B)
Combined Assurances, ED 80-0013
Organizational Chart
Evidence of Nonprofit status, (letter from the IRS) if applicable
Accounting System Certification, if applicable

    Organizations that receive less than $1 million annually in federal
grants must attach a certification signed by your certifying official
stating that your organization has a functioning accounting system that
meets the criteria below. Your organization may also designate a
qualified entity (include the name and address in the documentation) to
maintain a functioning accounting system that meets the criteria below.
The certification should attest that your organization's accounting
system provides for the following:
    1. Accurate, current and complete disclosure of the financial
results of each federally sponsored project.
    2. Records that identify adequately the source and application of
funds for federally sponsored activities.
    3. Effective control over and accountability for all funds,
property and other assets.
    4. Comparison of outlays with budget amounts.
    5. Written procedures to minimize the time elapsing between the
transfer of funds.
    6. Written procedures for determining the reasonableness,
allocability and allowability of costs.
    7. Accounting records, including cost accounting records, that are
supported by source documentation.
    Attachments such as:
    Summaries of other relevant organizational experience; information
on prior government grants; resumes of key personnel or position
descriptions; signed letters of commitment to the project.

Attachments (forms)

SF-424, Application for Federal Assistance
Survey on Ensuring Equal Opportunity for Applicants (Faith-Based EEO
Survey) form, (OMB No. 1890-0014)
SF-424A, Budget Information form
SF 424B, Assurances
Combined Assurances, ED 80-0013

    The forms are also available at:
    http://www.grants.gov    http://www.osha.gov/dcsp/ote/sharwood.html_(information purposes

only).
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[Federal Register Volume 88, Number 131 (Tuesday, July 11, 2023)]
[Notices]
[Pages 44173-44176]
[FR Doc No: 2023-14523]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-97839; File No. SR-FINRA-2023-006]

Self-Regulatory Organizations; Financial Industry Regulatory
Authority, Inc.; Notice of Filing of Amendment No. 1 and Order
Instituting Proceedings To Determine Whether To Approve or Disapprove
the Proposed Rule Change, as Modified by Amendment No. 1, To Adopt
Supplementary Material .19 (Residential Supervisory Location) Under
FINRA Rule 3110 (Supervision)

July 5, 2023.

I. Introduction

    On March 29, 2023, the Financial Industry Regulatory Authority,
Inc. (``FINRA'') filed with the Securities and Exchange Commission
(``Commission'' or ``SEC'') proposed rule change SR-FINRA-2023-006
pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Exchange Act'') \1\ and Rule 19b-4 \2\ thereunder to adopt new
Supplementary Material .19 (Residential Supervisory Location) under
FINRA Rule 3110 (Supervision), which would treat a private residence at
which an associated person engages in specified supervisory activities
as a non-branch location, subject to safeguards and limitations.\3\ The
proposed rule change was published for public comment in the Federal
Register on April 6, 2023.\4\ The Commission received thirteen comment
letters related to this filing.\5\ On May 16, 2023, FINRA consented to
an extension of the time period in which the Commission must approve
the proposed rule change, disapprove the proposed rule change, or
institute proceedings to determine whether to approve or disapprove the
proposed rule change to July 5, 2023.\6\ On July 3, 2023, FINRA filed
an amendment to modify the proposed rule change (``Amendment No.
1'').\7\
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Exchange Act Release No. 97237 (Mar. 31, 2023), 88 FR
20568 (Apr. 6, 2023) (File No. SR-FINRA-2023-006) (hereinafter, the
``Notice'').
    \4\ See id.
    \5\ The comment letters are available at https://www.sec.gov/comments/sr-finra-2023-006/srfinra2023006.htm.
    \6\ See letter from Sarah Kwak, Associate General Counsel,
Office of General Counsel, FINRA, to Daniel Fisher, Branch Chief,
Division of Trading and Markets, U.S. Securities and Exchange
Commission (May 16, 2023), available at https://www.finra.org/sites/default/files/2023-05/sr-finra-2023-006-extension-no-1.pdf.
    \7\ See Amendment No. 1, available at https://www.finra.org/rules-guidance/rule-filings/sr-finra-2023-006.
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    The Commission is publishing this order pursuant to Section
19(b)(2)(B) of the Exchange Act \8\ to solicit comments on the proposed
rule change, as modified by Amendment No. 1, and to institute
proceedings to determine whether to approve or disapprove the proposed
rule change, as modified by Amendment No. 1 (hereinafter referred to as
the ``proposed rule change'' unless otherwise specified).
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    \8\ 15 U.S.C. 78s(b)(2)(B).
---------------------------------------------------------------------------

II. Description of the Proposed Rule Change, as Modified by Amendment
No. 1

A. Background

    Currently under FINRA rules, a private residence at which certain
supervisory functions occur would need to be registered and designated
as a branch office or office of supervisory jurisdiction (``OSJ'')
under Rule 3110(a)(3) and inspected at least annually under Rule
3110(c)(1)(A). However, as part of its response to the COVID-19
pandemic, FINRA temporarily suspended the requirement for member firms
to submit branch office registration applications on Form

BR (Uniform Branch Office Registration Form) for any newly opened
temporary office locations or space-sharing arrangements established as
a result of the pandemic (the ``Form BR Temporary Suspension'').\9\
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    \9\ See FINRA Regulatory Notice 20-08 (Mar. 9, 2020)
(``Regulatory Notice 20-08''), available at https://www.finra.org/rules-guidance/notices/20-08; see also Notice at 20569 n.7.
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    FINRA stated that absent further regulatory action, once the Form
BR Temporary Suspension is lifted, FINRA rules would require member
firms to ``either curtail activities at residential locations or
register large numbers of residential locations as OSJs or supervisory
branch offices.'' \10\ Registering a private residence as an OSJ or
supervisory branch office would impose a corresponding annual
inspection requirement.\11\ Under the proposed rule change, a new
location designation, Residential Supervisory Location (``RSL''), would
be treated as a non-branch location, subject to inspections on a
regular periodic schedule under Rule 3110(c)(1)(C), presumed to be
every three years.\12\
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    \10\ Notice at 20579.
    \11\ FINRA Rule 3110(c)(1)(A).
    \12\ See FINRA Rules 3110(c)(1)(C), 3110.13; Proposed Rule
3110.19(a).
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B. Proposed Rule Change, as Modified by Amendment No. 1

    FINRA is proposing to adopt new Supplementary Material .19 under
Rule 3110 to establish an RSL designation that would treat an eligible
location as a non-branch location (i.e., exclude it from branch office
registration and the corresponding annual inspection requirement),
subject to specified limitations and conditions, as described below.
    1. Conditions for Designation as a Residential Supervisory Location
    Under proposed Rule 3110.19(a), an associated person's private
residence where supervisory activities are conducted (i.e., an RSL)
shall be considered for those activities a non-branch location (and
thus excluded from branch-office registration and the corresponding
annual inspection requirement), provided that: (1) only one associated
person, or multiple associated persons who reside at that location and
are members of the same immediate family, conduct business at the
location; \13\ (2) the location is not held out to the public as an
office; \14\ (3) the associated person does not meet with customers or
prospective customers at the location; \15\ (4) any sales activity that
takes place at the location complies with the conditions set forth
under Rule 3110(f)(2)(A)(ii) or (iii); \16\ (5) neither customer funds
nor securities are handled at that location; \17\ (6) the associated
person is assigned to a designated branch office, and such designated
branch office is reflected on all business cards, stationery, retail
communications, and other communications to the public by such
associated person; \18\ (7) the associated person's correspondence and
communications with the public are subject to the firm's supervision in
accordance with Rule 3110; \19\ (8) the associated person's electronic
communications (e.g., email) are made through the member's electronic
system; \20\ (9)(A) the member has a recordkeeping system to make and
keep current, and preserved records required to be made and kept
current, and preserved under applicable securities laws and
regulations, FINRA rules, and the member's own written supervisory
procedures under Rule 3110; (9)(B) such records are not physically or
electronically maintained and preserved at the office or location; and
(9)(C) the member has prompt access to such records; \21\ and (10) the
member has determined that its surveillance and technology tools are
appropriate to supervise the types of risks presented by each RSL;
these tools may include but are not limited to: (A) firm-wide tools
such as, an electronic recordkeeping system; electronic surveillance of
email and correspondence; electronic trade blotters; regular activity-
based sampling reviews; and tools for visual inspections; (B) tools
specific to the RSL based on the activities of the associated person
assigned to the location, products offered, and restrictions on the
activity of the RSL; and (C) system tools, such as secure network
connections and effective cybersecurity protocols.\22\
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    \13\ See proposed Rule 3110.19(a)(1).
    \14\ See proposed Rule 3110.19(a)(2).
    \15\ See proposed Rule 3110.19(a)(3).
    \16\ See proposed Rule 3110.19(a)(4).
    \17\ See proposed Rule 3110.19(a)(5).
    \18\ See proposed Rule 3110.19(a)(6).
    \19\ See proposed Rule 3110.19(a)(7).
    \20\ See proposed Rule 3110.19(a)(8).
    \21\ See proposed Rule 3110.19(a)(9).
    \22\ See proposed Rule 3110.19(a)(10).
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2. Member Firm Ineligibility Criteria
    Under proposed Rule 3110.19(b), a member firm would be ineligible
to designate any of its offices or locations as an RSL if the member:
(1) is currently designated as a Restricted Firm under Rule 4111
(Restricted Firm Obligations); \23\ (2) is currently designated as a
Taping Firm under Rule 3170 (Tape Recording of Registered Persons by
Certain Firms); \24\ (3) is currently undergoing, or is required to
undergo, a review under Rule 1017(a)(7) as a result of one or more
associated persons at such location; \25\ (4) receives a notice from
FINRA pursuant to Rule 9557 (Procedures for Regulating Activities under
Rule 4110 (Capital Compliance), Rule 4120 (Regulatory Notification and
Business Curtailment) or Rule 4130 (Regulation of Activities of Section
15C Members Experiencing Financial and/or Operational Difficulties)),
unless FINRA has otherwise permitted activities in writing pursuant to
such rule; \26\ (5) is or becomes suspended by FINRA; \27\ (6) based on
the date in the Central Registration Depository, had its FINRA
membership become effective within the prior twelve months; \28\ or (7)
is or has been found within the past three years by the SEC or FINRA to
have violated Rule 3110(c).\29\
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    \23\ See proposed Rule 3110.19(b)(1).
    \24\ See proposed Rule 3110.19(b)(2).
    \25\ See proposed Rule 3110.19(b)(3).
    \26\ See proposed Rule 3110.19(b)(4).
    \27\ See proposed Rule 3110.19(b)(5).
    \28\ See proposed Rule 3110.19(b)(6).
    \29\ See proposed Rule 3110.19(b)(7).
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3. Location Ineligibility Criteria
    As originally proposed, under proposed Rule 3110.19(c), a specific
location of an otherwise eligible member would be ineligible for
designation as an RSL if one or more associated persons at the
location: (1) is a designated supervisor who has less than one year of
direct supervisory experience with the member; \30\ (2) is functioning
as a principal for a limited period in accordance with Rule 1210.04
(Registration Requirements); \31\ (3) is subject to a mandatory
heightened supervisory plan under the rules of the SEC, FINRA, or a
state regulatory agency; \32\ (4) is statutorily disqualified, unless
such disqualified person has been approved (or is otherwise permitted
pursuant to FINRA rules and the federal securities laws) to associate
with a member and is not subject to a mandatory heightened supervisory
plan under proposed Rule 3110.19(c)(3) or otherwise as a condition to
approval or permission for such association; \33\ (5) has an event in
the prior three years that required a ``yes'' response to any item in
Questions 14A(1)(a) and 2(a), 14B(1)(a) and 2(a), 14C, 14D, and 14E on
Form U4 (Uniform Application for Securities Industry Registration or
Transfer

Registration); \34\ or (6) is currently subject to, or has been
notified in writing that it will be subject to, any investigation,
proceeding, complaint or other action by the member, the SEC, a self-
regulatory organization, including FINRA, or state securities
commission (or agency or office performing like functions) alleging
they have failed reasonably to supervise another person subject to
their supervision, with a view to preventing the violation of any
provision of the Securities Act, the Exchange Act, the Investment
Advisers Act, the Investment Company Act, the Commodity Exchange Act,
any state law pertaining to the regulation of securities or any rule or
regulation under any of such Acts or laws, or any of the rules of the
Municipal Securities Rulemaking Board (``MSRB'') or FINRA.\35\
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    \30\ See proposed Rule 3110.19(c)(1).
    \31\ See proposed Rule 3110.19(c)(2).
    \32\ See proposed Rule 3110.19(c)(3).
    \33\ See proposed Rule 3110.19(c)(4).
    \34\ See proposed Rule 3110.19(c)(5). Form U4's Questions
14A(1)(a) and 2(a), 14B(1)(a) and 2(a) elicit reporting of criminal
convictions, and Questions 14C, 14D, and 14E pertain to regulatory
action disclosures. See Notice 20577 n.97.
    \35\ See proposed Rule 3110.19(c)(6).
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    Amendment No. 1 would modify two of these six originally proposed
criteria. Specifically, Amendment No. 1 would modify proposed Rule
3110.19(c)(1) to provide that an office or location would be ineligible
for RSL designation if one or more associated persons at such office or
location is a designated supervisor who has less than one year of
direct supervisory experience with the member, or an affiliate or
subsidiary of the member that is registered as a broker-dealer or
investment adviser.\36\
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    \36\ See proposed Rule 3110.19(c)(1); Amendment No. 1.
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    Amendment No. 1 also would modify proposed Rule 3110.19(c)(6). As
amended, proposed Rule 3110.19(c)(6) would provide that an office or
location would be ineligible for RSL designation if one or more
associated persons at such office or location has been notified in
writing that such associated person is now subject to any Investigation
or Proceeding, as such terms are defined in the Explanation of Terms
for the Form U4, by the SEC, a self-regulatory organization, including
FINRA, or state securities commission (or agency or office performing
like functions) (each, a ``Regulator'') expressly alleging they have
failed reasonably to supervise another person subject to their
supervision, with a view to preventing the violation of any provision
of the Securities Act of 1933, the Exchange Act, the Investment
Advisers Act of 1940, the Investment Company Act of 1940, the Commodity
Exchange Act, any state law pertaining to the regulation of securities
or any rule or regulation under any of such acts or laws, or any of the
rules of the MSRB or other self-regulatory organization, including
FINRA.\37\ Further, Amendment No. 1 would permit such office or
location to be designated or redesignated as an RSL subject to the
requirements of proposed Rule 3110.19 upon the earlier of: (1) the
member's receipt of written notification from the applicable Regulator
that such Investigation has concluded without further action; or (2)
one year from the date of the last communication from such Regulator
relating to such Investigation.\38\
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    \37\ See proposed Rule 3110.19(c)(6); Amendment No. 1.
    \38\ See id.
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4. Obligation To Provide List of RSLs to FINRA
    Under proposed Rule 3110.19(d), any member that elects to designate
any office or location of the member as an RSL pursuant to proposed
Rule 3110.19 shall provide FINRA with a current list of all locations
designated as RSLs by the 15th day of the month following each calendar
quarter in the manner and format (e.g., through an electronic process
or such other process) as FINRA may prescribe.
5. Risk Assessment
    Amendment No. 1 would further modify the proposed rule change by
adding proposed Rule 3110.19(e).\39\ This proposed rule change would
require a member--prior to designating an office or location as an
RSL--to develop a reasonable risk-based approach to designating the
office or location as an RSL, and conduct and document a risk
assessment for the associated person assigned to that office or
location.\40\ This proposed rule change would require documentation of
the factors considered, including, among others, whether the associated
person at such office or location is now subject to: (1) customer
complaints, taking into account the volume and nature of the
complaints; (2) heightened supervision other than where such office or
location is ineligible for RSL designation under proposed Rule
3110.19(c)(3); (3) any failure to comply with the member's written
supervisory procedures; (4) any recordkeeping violation; and (5) any
regulatory communications from a Regulator, including but not limited
to, subpoenas, preliminary or routine regulatory inquiries or requests
for information, deficiency letters, ``blue sheet'' requests or other
trading questionnaires, or examinations indicating that the associated
person at such office or location failed reasonably to supervise
another person subject to their supervision.\41\ Furthermore, this
proposed rule change would require the member to account for any higher
risk activities that take place or a higher risk associated person that
is assigned to that office or location.\42\
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    \39\ Proposed Rule 3110.19(e); Amendment No. 1.
    \40\ Proposed Rule 3110.19(e).
    \41\ Id.
    \42\ Id.
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    Amendment No. 1 also would provide--as part of proposed Rule
3110.19(e)--that (consistent with its obligation under Rule 3110(a))
the member's supervisory system must take into consideration any
indicators of irregularities or misconduct (i.e., ``red flags'') when
designating an office or location as an RSL.\43\ Further, this proposed
rule change would provide that red flags should be reviewed in
determining whether it is reasonable to maintain the RSL designation of
an office or location in accordance with the requirements of proposed
Rule 3110.19, and that the member should consider evidencing steps
taken to address those red flags where appropriate.\44\
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    \43\ Id.
    \44\ Id.
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III. Proceedings To Determine Whether To Approve or Disapprove File No.
SR-FINRA-2023-006 and Grounds for Disapproval Under Consideration

    The Commission is instituting proceedings pursuant to Section
19(b)(2)(B) of the Exchange Act to determine whether the proposed rule
change, as modified by Amendment No. 1, should be approved or
disapproved.\45\ Institution of proceedings is appropriate at this time
in view of the legal and policy issues raised by the proposed rule
change, as modified by Amendment No. 1. Institution of proceedings does
not indicate that the Commission has reached any conclusions with
respect to the proposed rule change, as modified by Amendment No. 1.
---------------------------------------------------------------------------

    \45\ 15 U.S.C. 78s(b)(2)(B).
---------------------------------------------------------------------------

    Pursuant to Section 19(b)(2)(B) of the Exchange Act, the Commission
is providing notice of the grounds for disapproval under
consideration.\46\ The Commission is instituting proceedings to allow
for additional analysis and input concerning whether the proposed rule
change, as modified by Amendment No. 1, is consistent with the Exchange
Act and the rules thereunder.
---------------------------------------------------------------------------

    \46\ Id.
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IV. Request for Written Comments

    The Commission requests that interested persons provide written
submissions of their views, data, and arguments with respect to the
issues

identified above, as well as any other concerns they may have with the
proposed rule change, as modified by Amendment No. 1. In particular,
the Commission invites the written views of interested persons
concerning whether the proposed rule change, as modified by Amendment
No. 1, is consistent with the Exchange Act and the rules thereunder.
    Although there do not appear to be any issues relevant to approval
or disapproval that would be facilitated by an oral presentation of
views, data, and arguments, the Commission will consider, pursuant to
Rule 19b-4, any request for an opportunity to make an oral
presentation.\47\
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    \47\ Section 19(b)(2) of the Exchange Act, as amended by the
Securities Acts Amendments of 1975, Public Law 94-29, 89 Stat. 97
(1975), grants the Commission flexibility to determine what type of
proceeding--either oral or notice and opportunity for written
comments--is appropriate for consideration of a particular proposal
by a self-regulatory organization. See Securities Acts Amendments of
1975, Report of the Senate Committee on Banking, Housing and Urban
Affairs to Accompany S. 249, S. Rep. No. 75, 94th Cong., 1st Sess.
30 (1975).
---------------------------------------------------------------------------

    Interested persons are invited to submit written data, views, and
arguments regarding whether the proposed rule change, as modified by
Amendment No. 1, should be approved or disapproved by August 1, 2023.
Any person who wishes to file a rebuttal to any other person's
submission must file that rebuttal by August 15, 2023.
    Comments may be submitted by any of the following methods:

Electronic Comments

     Use the Commission's internet comment form (https://www.sec.gov/rules/sro.shtml); or
     Send an email to [email protected]. Please include
file number SR-FINRA-2023-006 on the subject line.

Paper Comments

     Send paper comments in triplicate to Secretary, Securities
and Exchange Commission, 100 F Street NE, Washington, DC 20549-1090.

All submissions should refer to file number SR-FINRA-2023-006. This
file number should be included on the subject line if email is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (https://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change, as
modified by Amendment No. 1, that are filed with the Commission, and
all written communications relating to the proposed rule change, as
modified by Amendment No. 1, between the Commission and any person,
other than those that may be withheld from the public in accordance
with the provisions of 5 U.S.C. 552, will be available for website
viewing and printing in the Commission's Public Reference Room, 100 F
Street NE, Washington, DC 20549, on official business days between the
hours of 10 a.m. and 3 p.m. Copies of such filing also will be
available for inspection and copying at the principal office of FINRA.
Do not include personal identifiable information in submissions; you
should submit only information that you wish to make available
publicly. We may redact in part or withhold entirely from publication
submitted material that is obscene or subject to copyright protection.
All submissions should refer to file number SR-FINRA-2023-006 and
should be submitted on or before August 1, 2023. If comments are
received, any rebuttal comments should be submitted on or before August
15, 2023.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\48\
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    \48\ 17 CFR 200.30-3(a)(12); 17 CFR 200.30-3(a)(57).
---------------------------------------------------------------------------

Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023-14523 Filed 7-10-23; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 76, Number 45 (Tuesday, March 8, 2011)]
[Notices]
[Page 12722]
[FR Doc No: 2011-5204]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 2165-029]

Alabama Power Company; Notice of Availability of Environmental
Assessment

    In accordance with the National Environmental Policy Act of 1969
and the Federal Energy Regulatory Commission's regulations, 18 CFR part
380, the Office of Energy Projects has reviewed an application filed by
Alabama Power Company on June 5, 2009, requesting Commission approval
to permit Mr. Lynn Layton (permittee) to construct and operate three
covered 10-slip boat docks and a concrete patio at Cushman's Marina,
located on the Lewis Smith Development of the Warrior River Project
(FERC No. 2165). The Lewis Smith Development is located on the
headwaters of the Black Warrior River on the Sipsey Fork in Cullman,
Walker, and Winston Counties, Alabama, and occupies 2,691.44 acres of
Federal lands administered by the U.S. Forest Service. An environmental
assessment (EA) has been prepared as a part of Commission staff's
review. The EA evaluates the environmental impacts that would result
from approving the licensee's proposal and alternatives, and finds that
approval of the application would not constitute a major Federal action
significantly affecting the quality of the human environment.
    A copy of the EA is on file with the Commission and is available
for public inspection. The EA may also be viewed on the Commission's
Web site at http://www.ferc.gov using the ``eLibrary'' link. Enter the
docket number (P-2165) excluding the last three digits in the docket
number field to access the document. For assistance, contact FERC
Online Support at<EMAIL_ADDRESS>or toll-free at 1-866-208-
3676, or for TTY,<PHONE_NUMBER>.
    Any comments should be filed by March 31, 2011. Comments may be
filed electronically via Internet in lieu of paper. The Commission
strongly encourages electronic filings. See 18 CFR 385.2001(a)(1)(iii)
and the instructions on the Commission's Web site under the ``eFiling''
link. To paper-file, comments should be addressed to Kimberly D. Bose,
Secretary, Federal Energy Regulatory Commission, 888 First Street, NE.,
Room 1-A, Washington, DC 20426. Please reference the project name and
project number (P-2165) on all comments.
    For further information, contact Mark Carter at<PHONE_NUMBER>.

    Dated: March 1, 2011.
Kimberly D. Bose,
Secretary.
[FR Doc. 2011-5204 Filed 3-7-11; 8:45 am]
BILLING CODE 6717-01-P