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Federal Register / Vol. 86, No. 85 / Wednesday, May 5, 2021 / Rules and Regulations identified in paragraph c5i of this section.
6 Circumstances requiring HHS
enforcement. If HHS determines that the State Exchange or State-based Exchange on the Federal platform is not enforcing or fails to substantially enforce the requirements of this subpart or 156.50, then HHS may do so and may pursue the imposition of civil money penalties as specified in 156.805 for noncompliance by QHP issuers participating in the State Exchange or State Exchange on the Federal platform.
Subpart IEnforcement Remedies in the Exchanges 36. Subpart I is amended by revising the heading as set forth above.
37. Section 156.800 is amended by revising paragraphs a introductory text, and b as follows:

156.800

Available remedies; Scope.

a Kinds of sanctions. HHS may impose the following types of sanctions on QHP issuers in an Exchange that are not in compliance with Exchange standards applicable to issuers offering QHPs in an Exchange:

b Scope. Sanctions under subpart I
are applicable for non-compliance with QHP issuer participation standards and other standards applicable to issuers offering QHPs in a Federally-facilitated Exchange. Sanctions under paragraph a1 of this section are also applicable for non-compliance by QHP issuers participating in State Exchanges and State-based Exchanges on the Federal platform when HHS is responsible for enforcement of the requirements in subpart E of this part and 45 CFR
156.50.

38. Section 156.805 is amended by a. Revising paragraphs a introductory text and a5i; and b. Adding paragraph f.
The revisions and addition read as follows:
156.805 Bases and process for imposing civil money penalties in Federally-facilitated Exchanges.

a Grounds for imposing civil money penalties. Civil money penalties may be imposed on an issuer in an Exchange if, based on credible evidence, HHS has reasonably determined that the issuer has engaged in one or more of the following actions:

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i To HHS or an Exchange; or

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f Circumstances requiring HHS
enforcement in State Exchanges and State-based Exchanges on the Federal platform. 1 HHS will enforce the requirements of subpart E of this part and 45 CFR 156.50 if a State Exchange or State-based Exchange on the Federal platform notifies HHS that it is not enforcing these requirements or if HHS
makes a determination using the process set forth at 45 CFR 150.201, et seq. that a State Exchange or State-based Exchange on the Federal platform is failing to substantially enforce these requirements.
2 If HHS is responsible under paragraph f1 of this section for enforcement of the requirements set forth in subpart E of this part or 45 CFR
156.50, HHS may impose civil money penalties on an issuer in a State Exchange or State-based Exchange on the Federal platform, in accordance with the bases and process for imposing civil money penalties set forth in this section.
Subpart JAdministrative Review of QHP Issuer Sanctions 39. Amend Subpart J by revising the heading to read as set forth above.
40. Section 156.901 is amended by revising the definitions of Filing date and Hearing to read as follows.

156.901

Definitions.

Filing date means the date filed electronically.
Hearing includes a hearing on a written record as well as an in-person, telephone, or video teleconference hearing.

41. Section 156.903 is amended by revising paragraph a as follows:
156.903 Scope of Administrative Law Judges ALJ authority.

a The ALJ has the authority, including all of the authority conferred by the Administrative Procedure Act 5
U.S.C. 554a, to adopt whatever procedures may be necessary or proper to carry out in an efficient and effective manner the ALJs duty to provide a fair and impartial hearing on the record and to issue an initial decision concerning the imposition of a civil money penalty of a QHP offered in a Federallyfacilitated Exchange, State Exchange, and State-based Exchange on the Federal platform, or the decertification of a QHP offered in a Federallyfacilitated Exchange.

42. Section 156.919 is amended by revising paragraph a to read as follows:

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156.919

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Forms of hearing.

a All hearings before an ALJ are on the record. The ALJ may receive argument or testimony in writing, in person, by telephone, or by video teleconference. The ALJ may receive testimony by telephone only if the ALJ
determines that doing so is in the interest of justice and economy and that no party will be unduly prejudiced. The ALJ may require submission of a witness direct testimony in writing only if the witness is available for crossexamination.

43. Section 156.927 is amended by revising paragraphs a introductory text and b to read as follows:
156.927 Form and service of submissions.

a Every submission filed with the ALJ must be filed electronically and include:

b A party filing a submission with the ALJ must, at the time of filing, serve a copy of such submission on the opposing party. An intervenor filing a submission with the ALJ must, at the time of filing, serve a copy of the submission on all parties. If a party is represented by an attorney, service must be made on the attorney. An electronically filed submission is considered served on all parties using the electronic filing system.
44. Section 156.931 is revised to read as follows:
156.931
hearing.

Acknowledgement of request for
After receipt of the request for hearing, the ALJ assigned to the case or someone acting on behalf of the ALJ will send a written notice to the parties that acknowledges receipt of the request for hearing, identifies the docket number assigned to the case, and provides instructions for filing submissions and other general information concerning procedures. The ALJ will set out the next steps in the case either as part of the acknowledgement or on a later date.
45. Section 156.941 is amended by revising paragraph e to read as follows:
156.941

Prehearing conferences.

e Establishing a schedule for an inperson, telephone, or video teleconference hearing, including setting deadlines for the submission of written direct testimony or for the written reports of experts.

46. Section 156.947 is amended by revising paragraph a to read as follows:

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