[Federal Register: December 20, 2007 (Volume 72, Number 244)]
[Proposed Rules]
[Page 72274-72280]
[DOCID:fr20de07-18]

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SECURITIES AND EXCHANGE COMMISSION

17 CFR PART 239

[Release No. 33-8871; File No. S7-30-07]
RIN 3235-AK02

Revisions to Form S-11 To Permit Historical Incorporation by
Reference

AGENCY: Securities and Exchange Commission.

ACTION: Proposed rule.

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SUMMARY: We are proposing to amend Form S-11, a registration statement
used by real estate entities to register offerings under the Securities
Act of 1933. The amendments would permit an entity that has filed at
least one annual report and that is current in its reporting
obligations under the Securities Exchange Act of 1934 to incorporate by
reference into Form S-11 information from its previously filed Exchange
Act reports and documents. The proposed amendments are identical to
amendments to Forms S-1 and F-1 previously adopted by the Commission
and effective as of December 1, 2005.

DATES: Comments should be received on or before January 22, 2008.

ADDRESSES: Comments may be submitted by any of the following methods:

Electronic Comments

     Use the Commission's Internet comment form http://www.sec.gov/rules/proposed.shtml.
);     Send an e-mail to<EMAIL_ADDRESS>Please include

File Number S7-30-07 on the subject line; or
     Use the Federal Rulemaking Portal (http://www.regulations.gov
). Follow the instructions for submitting comments.

Paper Comments

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

All submissions should refer to File Number S7-30-07. This file number
should be included on the subject line if e-mail is used. To help us
process and review your comments more efficiently, please use only one
method. The Commission will post all comments on the Commission's
Internet Web site (http://www.sec.gov/rules/proposed.shtml). Comments

are also available for public inspection and copying in the
Commission's Public Reference Room, 100 F Street, NE., Washington, DC
20549. All comments received will be posted without change; we do not
edit personal identifying information from submissions. You should
submit only information that you wish to make available publicly.

FOR FURTHER INFORMATION CONTACT: Michael McTiernan at<PHONE_NUMBER> or
Daniel Greenspan at<PHONE_NUMBER>, Division of Corporation Finance,
U.S. Securities and Exchange Commission, 100 F Street, NE., Washington,
DC 20549-3010.

SUPPLEMENTARY INFORMATION: On June 29, 2005, we adopted rules \1\ that
modified the registration, communications and offering processes under
the Securities Act of 1933.\2\ In order to integrate further the
Securities Act and the Securities Exchange Act of 1934,\3\ the
Commission adopted amendments to Form S-1 \4\ and Form F-1 \5\ to
permit a reporting issuer that has filed at least one annual report and
that is current in its reporting obligation under the Exchange Act to
incorporate by reference into its Form S-1 or Form F-1 information from
its previously filed Exchange Act reports and documents. At that time,
we did not adopt similar amendments to Form S-11.\6\ We believe it is
appropriate to extend to issuers using Form S-11 the same ability to
take advantage of incorporation by reference. The proposed amendments
therefore would make the requirements of Form S-11 consistent with
Forms S-1 and F-1 with respect to incorporation by reference.
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    \1\ See Securities Offering Reform, Release No. 33-8591 (Jul.
19, 2005) [70 FR 44722].
    \2\ 15 U.S.C. 77a et seq.
    \3\ 15 U.S.C. 78a et seq.
    \4\ 17 CFR 239.13.
    \5\ 17 CFR 239.33.
    \6\ 17 CFR 239.18.
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I. Discussion

A. Background

    Form S-11 is the form that real estate entities must use to
register offerings under the Securities Act.\7\ The form is mandatory
for the registration of securities issued by real estate investment
trusts and securities issued by other issuers whose business is
primarily that of acquiring and holding for investment real estate,
interests in real estate, or interests in other issuers whose business
is primarily that of acquiring and holding real estate or interests in
real estate for investment.\8\ Form S-11 currently does not permit an
issuer to satisfy the disclosure requirements of the form through
incorporation by reference to the reports and other documents that the
issuer previously has filed under the Exchange Act.
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    \7\ Real estate entities may also use Forms S-3 and S-4 if they
meet the applicable eligibility requirements of those forms. When no
other form is available, these entities are required to file on Form
S-11 rather than Form S-1.
    \8\ See General Instruction A of Form S-11.
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B. Reasons For Proposal

    On June 29, 2005 we adopted amendments to Forms S-1 and F-1 to
permit companies filing those forms to incorporate by reference
information from their previously filed Exchange Act reports and
documents.\9\ The purpose of the amendments was to integrate further
the Exchange Act and the Securities Act.\10\ The ability to incorporate
by reference is conditioned on the company having filed its annual
report for the most recent fiscal year, being current in its reporting
obligations under the Exchange Act, and making the incorporated
Exchange Act reports and documents available and accessible on a Web
site maintained by or for the registrant.\11\ Blank check companies,
shell companies and penny stock registrants are not permitted to use
incorporation by reference. Successor registrants may incorporate by
reference if their predecessors are eligible.\12\
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    \9\ See Release No. 33-8591.
    \10\ Id. at 237.
    \11\ See General Instruction VII of Form S-1 and General
Instruction VI of Form F-1.
    \12\ Id.
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    At that time, we did not adopt a similar amendment to Form S-11.
However, we believe that Form S-11 should be consistent with Form S-1
with respect to incorporation by reference. Both Form S-11 and Form S-1
are long-form registration statements intended for new and unseasoned
issuers. The only substantive difference between the two forms is that
Form S-11 contains certain additional disclosure requirements specific
to real estate entities. Since the Commission's interest in integrating
disclosure under the Exchange Act and Securities Act extends equally to
the disclosure obligations of real estate entities, we propose to amend
Form S-11 to permit incorporation by reference on the same terms as we
permit it in Forms S-1 and F-1.

C. Proposed Amendments to Form S-11

1. Eligibility
    We are proposing to permit a reporting issuer that has filed at
least one annual report and that is current in its reporting
obligations under the Exchange Act to incorporate by reference into its
Form S-11 information from previously filed Exchange Act reports and
documents. Under the proposal, a successor registrant would be able to
incorporate information by reference on the same terms if its
predecessor were eligible to do so.\13\ Consistent with Form S-1, the

following issuers would not be able to incorporate by reference into a
Form S-11:
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    \13\ The succession would have to be either primarily for the
purpose of changing the state or jurisdiction of incorporation of
the issuer or forming a holding company and the assets and
liabilities of the successor would have to be substantially the same
as the predecessor at the time of the succession, or all of the
predecessor issuers would have to be eligible at the time of the
succession and the issuer must continue to be eligible.
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     Reporting issuers who are not current in their Exchange
Act reports; \14\
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    \14\ As with Forms S-1, F-1 and S-3, under the proposal, to be
current, at the time of filing the registration statement, the
issuer must have filed all materials required to be filed pursuant
to Exchange Act Sections 13, 14 or 15(d) [15 U.S.C. 78m, 78n, or
78o(d)] during the preceding 12 calendar months (or for such shorter
period that the issuer was required to file such materials).
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     Issuers who are or were, or any of whose predecessors were
during the past three years:
    [cir] Blank check issuers;
    [cir] Shell companies (other than business combination related
shell companies); or
    [cir] Issuers for offerings of penny stock.\15\
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    \15\ See Securities Act Rule 419(a)(2) [17 CFR 230.419(a)(2)],
Exchange Act Rule 3a51-1 [17 CFR.240.3a51-1] and Securities Act Rule
405 [17 CFR 230.405)] for definitions of ``blank check company,''
``penny stock'' and ``shell company,'' respectively.
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    In addition, to enhance the availability to investors of
incorporated information, the ability to incorporate by reference would
be conditioned on the issuer making its incorporated Exchange Act
reports and other materials readily accessible on a Web site maintained
by or for the issuer. By conditioning the ability to incorporate by
reference on the ready accessibility of an issuer's incorporated
Exchange Act reports and other materials on its Web site, we are
proposing to provide investors the ability to obtain the information
from those reports and materials at the same time that they would have
been able to obtain the information if it was set forth directly in the
registration statement. Issuers would be able to satisfy this condition
by including hyperlinks directly to the reports or other materials
filed on EDGAR or on another third-party Web site where the reports or
other materials are made available in the appropriate time frame and
access to the reports or other materials is free of charge to the user.
2. Procedural Requirements
    As proposed, the prospectus in the registration statement at
effectiveness would identify all previously filed Exchange Act reports
and materials, such as proxy and information statements, that are
incorporated by reference. There would be no permitted incorporation by
reference of Exchange Act reports and materials filed after the
registration statement is effective--known as ``forward incorporation
by reference.'' Under the proposal, an issuer eligible to incorporate
by reference its Exchange Act reports and other materials into its Form
S-11 would include the following in the prospectus that is part of the
registration statement:
     A list of the incorporated reports and materials;
     A statement that it will provide copies of any
incorporated reports or materials on request;
     An indication that the reports and materials are available
from us through our EDGAR system or our public reference room;
     Identification of the issuer's Web site address where such
incorporated reports and other materials can be accessed; and
     Required disclosures regarding material changes in, or
updates to, the information that is incorporated by reference from an
Exchange Act report or other material required to be filed.

D. Request for Comment

    We request and encourage any interested person to submit comments
on the proposal and any other matters that might have an impact on the
proposal. With respect to any comments, we note that such comments are
of greatest assistance to our rulemaking initiative if accompanied by
supporting data and analysis of the issues addressed in those comments.

II. Paperwork Reduction Act

A. Background

    The proposed amendments to Form S-11 contain ``collection of
information'' requirements within the meaning of the Paperwork
Reduction Act of 1995.\16\ We are submitting these to the Office of
Management and Budget for review and approval in accordance with the
Paperwork Reduction Act.\17\ The title for this information is ``Form
S-11'' (OMB Control No. 3235-0067).
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    \16\ 44 U.S.C. 3501 et seq.
    \17\ 44 U.S.C. 3507(d) and 5 CFR 1320.11.
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    We adopted existing Form S-11 pursuant to the Securities Act. This
form sets forth the disclosure requirements for registration statements
prepared by real estate entities to provide investors with the
information they need to make informed investment decisions in
registered offerings.
    Our proposed amendments to Form S-11 are intended to allow issuers
that are required to use Form S-11 to incorporate by reference
previously filed Exchange Act reports and documents. The proposed
amendments would conform Form S-11 to Forms S-1 and F-1 with respect to
incorporation by reference.
    The hours and costs associated with preparing disclosure, filing
forms, and retaining records constitute reporting and cost burdens
imposed by the collection of information. An agency may not conduct or
sponsor, and a person is not required to respond to, a collection of
information requirement unless it displays a currently valid control
number. The information collection requirements related to registration
statements on Form S-11 are mandatory. There is no mandatory retention
period for the information disclosed, and the information disclosed
would be made publicly available on the EDGAR filing system.

B. Summary of Information Collections

    The proposals would decrease existing disclosure requirements for
eligible issuers by eliminating the need to repeat information in a
Form S-11 when that information was previously disclosed in Exchange
Act filings. Any reporting issuer that has filed at least one annual
report and that is current in its reporting obligation would be
permitted to incorporate information by reference into its registration
statement on Form S-11.

C. Paperwork Reduction Act Burden Estimates

    For purposes of the Paperwork Reduction Act, we expect the annual
decrease in the paperwork burden for companies to comply with Form S-11
to be approximately 36,811.5 hours of in-house company personnel time
and approximately $44,173,800 for the services of outside
professionals.\18\ These estimates include the time and the cost of
preparing and reviewing disclosure, filing documents, and retaining
records. These estimates were based on the following assumptions:
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    \18\ Consistent with recent rulemakings and based on discussions
with several private law firms, we estimate that the cost of outside
professionals retained by the issuer is an average of $400 per hour.
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     Each year, 82 registration statements on Form S-11,
including post-effective amendments, would incorporate information by
reference; \19\
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    \19\ We estimate that issuers that would have been eligible to
incorporate by reference under the proposals filed 14 new
registration statements on Form S-11 and 68 post-effective
amendments to registration statements on Form S-11 (excluding post-
effective amendments filed for the purpose of deregistering shares)
from September 1, 2006 to August 31, 2007. With the elimination of
small business registration forms, we estimate that the number of
registration statements filed on Form S-11 will increase by 15 for a
total of 29 new registration statements. See SEC Press Release No.
2007-233 (Nov. 15, 2007), available at http://www.sec.gov/news/press/2007/2007-233.htm
.

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     The estimated paperwork burden for a Form S-11 that does
not incorporate information by reference is 1,977 hours, which consists
of 494.25 internal hours and 1,482.75 professional hours.\20\
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    \20\ Assumes that 25% of total burden is borne by internal staff
and 75% by professionals.
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     The estimated paperwork burden for a Form S-11 that
incorporates information by reference would be the same as the burden
currently imposed by Form S-3, which is 459 hours, which consists of
114.75 internal hours and 344.25 professional hours.
     The amount of time eliminated for each Form S-11 that
incorporates information by reference would be 1,518 hours per form
(1,977 hours for a Form S-11 that does not incorporate information by
reference minus 459 hours for a Form S-11 that incorporates information
by reference).
     We estimate that the annual decrease in compliance burden
resulting from the proposal would be 147,246 hours (97 registration
statements multiplied by 1,518 hours per form). This would include
36,811.5 hours of issuer personnel time (97 registration statements
times 379.5 \21\ hours of issuer personnel time per registration
statement) and 110,434.5 hours of professional time (97 registration
statements times 1,138.5 \22\ hours of professional time per
registration statement).
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    \21\ Reflects the difference between the amount of internal time
required to prepare a Form S-11 without incorporation by reference
(494.25 hours) and the amount of internal time required to prepare a
Form S-11 with incorporation by reference (114.75 hours).
    \22\ Reflects the difference between the amount of professional
time required to prepare a Form S-11 without incorporation by
reference (1,483 hours) and the amount of professional time required
to prepare a Form S-11 with incorporation by reference (344.25
hours).
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     The annual cost savings would be approximately $44,173,800
for the services of outside professionals.

D. Request for Comment

    We request comment in order to evaluate the accuracy of our
estimate of the burden of the collection of information. Any member of
the public may direct to us any comments concerning the accuracy of
these burden estimates. Persons submitting comments on the collection
of information requirements should direct their comments to the OMB,
Attention: Desk Officer for the Securities and Exchange Commission,
Office of Information and Regulatory Affairs, Washington, DC 20503, and
send a copy of the comments to Nancy M. Morris, Secretary, Securities
and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1090,
with reference to File No. S7-30-07. Requests for materials submitted
to OMB by the Commission with regard to these collections of
information should be in writing, refer to File No. S7-30-07, and be
submitted to the Securities and Exchange Commission, Public Reference
Room, 100 F Street, NE., Washington, DC, 20549-0609. OMB is required to
make a decision concerning the collection of information between 30 and
60 days after publication of this release. Because the OMB is required
to make a decision concerning the collections of information between 30
and 60 days after publication, your comments are best assured of having
their full effect if the OMB receives them within 30 days of
publication.

III. Cost-Benefit Analysis

A. Summary of Proposal

    We are proposing revisions to Form S-11 that would allow real
estate entities to take advantage of incorporation by reference for
their previously filed Exchange Act reports and documents. Forms S-1
and F-1, which are similar long-form registration statements, currently
permit this type of incorporation by reference. The proposed amendment,
if adopted, would amend Form S-11 to permit incorporation by reference
on the same terms as currently provided in Forms S-1 and F-1. The
purpose of the amendments is to integrate further the disclosure
obligations of the Exchange Act and the Securities Act for real estate
entities.

B. Benefits

    We anticipate that our proposal would enable real estate entities
to access the capital markets at a lower cost. It would enable eligible
issuers to use their Exchange Act filings to satisfy a portion of their
Form S-11 disclosure requirements without having to incur costs to
replicate information that they already have disclosed in previously
filed Exchange Act reports and other documents. For purposes of our
Paperwork Reduction Act analysis, we estimate that our proposed
amendments to Form S-11 would reduce the annual paperwork burden by
approximately 36,811.5 hours for issuer personnel time at a cost of
approximately $6,442,013 \23\ and by a cost of approximately
$44,173,800 for the services of outside professionals. In addition, we
believe that the reduction in the size of the prospectus as a result of
incorporation by reference would also result in some cost savings and
efficiencies in printing and delivering prospectuses.
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    \23\ Consistent with recent rulemaking releases, we estimate the
value of work performed by the company internally at a cost of $175
per hour.
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    The proposed amendments are intended to result in regulatory
simplification and efficiency by permitting incorporation by reference
on Form S-11 and conforming the requirements of Form S-11 to the
requirements of Forms S-1 and F-1 in that respect. Incorporation by
reference would allow eligible issuers to avoid duplicating disclosure
in Form S-11 when the information has already been disclosed in
Exchange Act reports. In addition, the revisions would simplify the
disclosure regime for long-form registration statements by permitting
incorporation by reference equally, regardless of industry.

C. Costs

    We expect that, if adopted, the proposed amendments would result in
some ongoing costs to issuers that elect to use incorporation by
reference. These potential costs relate to the issuer's obligation to
make the incorporated Exchange Act reports and documents available on
its Web site and include creating and/or maintaining a Web site as well
as actually posting the required filings on the Web site. However, we
believe that a substantial majority of issuers eligible to use
incorporation by reference already maintain Web sites and thus would
not have to incur any additional costs to establish a new Web site for
this purpose. In addition, we believe that many issuers eligible to use
incorporation by reference already post their Exchange Act reports on
their Web sites. Those that do not would incur incremental costs to
post the required filings. Given that the proposed amendments would not
mandate use of incorporation by reference, issuers that are unwilling
to bear the cost of complying with the Web site requirement could
simply elect not to incorporate information by reference.
    We also recognize that permitting incorporation by reference may
impose an analytical burden on investors. For example, for offerings on
Form S-11 today, much of the relevant information regarding an offering
and the issuer is required to be contained in the registration
statement. Under our proposal, offerings pursuant to Form S-11 could
require an investor to assemble and assimilate information from various
Exchange Act reports and the registration statement in order to compile
all of the relevant information regarding an offering. Investors would
have to compile the information integrated into the registration
statement

or delivered by means outside of the prospectus. We note, however, that
Securities Act Forms S-3 and F-3 have long permitted incorporation by
reference from the issuer's Exchange Act reports, as have Forms S-1 and
F-1 since December 2005, and we know of no indications that investors
are unduly burdened when investing in offerings registered on these
forms.

D. Requests for Comments

    We request comment on all aspects of the cost-benefit analysis,
including identification of any additional costs or benefits of, or
suggested alternatives to, the proposed amendments. We also request
that those submitting comments provide empirical data and other factual
support for their views to the extent possible.

IV. Consideration of Promotion on Efficiency, Competition and Capital
Formation

    Section 2(b) of the Securities Act,\24\ requires us, when engaged
in rulemaking where we are required to consider or determine whether an
action is necessary or appropriate in the public interest, to consider,
in addition to the protection of investors, whether the action will
promote efficiency, competition and capital formation.
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    \24\ 15 U.S.C. 77b(b).
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    The proposed amendment, if adopted, would amend Form S-11 to permit
incorporation by reference on terms equivalent to that currently
provided in Forms S-1 and F-1. We believe the amendments would provide
benefits, as discussed in further detail above, by reducing the costs
of complying with the Form S-11 disclosure requirements by enabling
eligible issuers to incorporate their Exchange Act filings. Eased
filing burdens resulting from the proposed amendments would promote
efficiency in capital formation for real estate entities and may
provide a competitive benefit to entities filing on Form S-11 by
allowing them to incorporate their periodic reports by reference to the
same extent as registrants filing on Forms S-1 and F-1.
    We request comment on whether the proposed amendment, if adopted,
would promote efficiency, competition and capital formation. We request
that commenters provide empirical data and other factual support for
their views if possible.

V. Initial Regulatory Flexibility Act Analysis

    This Initial Regulatory Flexibility Analysis has been prepared in
accordance with 5 U.S.C. 603. It relates to proposed amendments to Form
S-11.

A. Reasons for the Proposed Action

    In 2005, the Commission adopted revisions to Forms S-1 and F-1 to
permit incorporation by reference from previously filed Exchange Act
reports and other documents. Currently, real estate entities are not
permitted to use Form S-1 to register offerings under the Securities
Act. Consequently, these entities are unable to take advantage of the
important benefit of incorporation by reference that is enjoyed by
companies in all other industries that file registration statements on
Form S-1. The ability to use a prospectus that does not need to include
information provided in previous Exchange Act filings permits companies
to streamline the preparation of registration statements and raise
capital more efficiently. Companies that are not permitted to
incorporate by reference have a greater burden in preparing
registration statements in connection with their public offerings. We
believe there is no reason to distinguish between real estate entities
and other industries for purposes of incorporation by reference.

B. Objectives

    The purpose of the proposed amendments is to further integrate the
Exchange Act and Securities Act by amending Form S-11 to permit
incorporation by reference of Exchange Act filings on terms equivalent
to that currently provided in Forms S-1 and F-1. The amendments would
extend an important benefit to real estate entities.

C. Legal Basis

    We are proposing the amendments under the authority in Sections 6,
7, 8, 10 and 19(a) of the Securities Act, as amended.

D. Small Entities Subject to the Proposed Amendments

    The Regulatory Flexibility Act defines ``small entity'' to mean
``small business,'' ``small organization,'' or ``small governmental
jurisdiction.'' \25\ The Commission's rules define ``small business''
and ``small organization'' for purposes of the Regulatory Flexibility
Act for each of the types of entities regulated by the Commission.\26\
Roughly speaking, a ``small business'' and ``small organization,'' when
used with reference to an issuer other than an investment company,
means an issuer with total assets of $5 million or less on the last day
of its most recent fiscal year. We estimate that there are
approximately 1,100 issuers, other than investment companies, that may
be considered reporting small entities.\27\ The proposed amendments
would apply to all issuers required to file registration statements on
Form S-11.
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    \25\ 5 U.S.C. 601(6).
    \26\ Rules 157 under the Securities Act [17 CFR 230.157], 0-10
under the Exchange Act [17 CFR 240.0-10] and 0-10 under the
Investment Company Act [17 CFR 270.0-10] contain the applicable
definitions.
    \27\ The estimated number of reporting small entities is based
on 2007 data, including the Commission's EDGAR database and Thomson
Financial's Worldscope database.
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    As previously noted, in the 12 months ended August 31, 2007, 82
registration statements on Form S-11 were filed, including new
registration statements and post-effective amendments. We estimate that
four of those were filed by small entities. We also estimate that
approximately 15 registration statements were filed on Form SB-2 in the
last fiscal year covering transactions by real estate entities that in
the future will be required to register on Form S-11.\28\ Thus, we
estimate that 19 registration statements by small entities would be
subject to the proposed amendments.
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    \28\ See SEC Press Release No. 2007-233 (Nov. 15, 2007),
available at http://www.sec.gov/news/press/2007/2007-233.htm.

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    We request comment on the number of small entities that would be
impacted by our proposals, including any available empirical data.

E. Reporting, Recordkeeping and Other Compliance Requirements

    The proposed amendments are expected to impact all capital raising
and selling security holder transactions that are registered under the
Securities Act on Form S-11. Small entities required to register on
Form S-11 would be able to take advantage of the ability to incorporate
by reference previously filed Exchange Act reports and documents. We
expect that permitting the incorporation by reference of previously
filed Exchange Act reports and documents would reduce the costs
incurred by small entities of preparing a registration statement on
Form S-11 by $9,914,438.\29\
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    \29\ See n. 18 and n. 23.
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    These estimates were based on the following assumptions:
     Each year, 19 registration statements filed by small
entities on Form S-11, including post-effective amendments, could
incorporate information by reference.
     The paperwork burden for a Form S-11 that does not
incorporate information by reference is 1,977 hours,

which consists of 494.25 internal hours and 1,482.75 professional
hours.\30\
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    \30\ Assumes that 25% of total burden borne by internal staff
and 75% by professionals.
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     The paperwork burden for a Form S-11 that incorporates
information by reference would be the same as the burden currently
imposed by Form S-3, which is 459 hours, which consists of 114.75
internal hours and 344.25 professional hours.
     The amount of time eliminated for each Form S-11 that
incorporates information by reference would be 1,518 hours per form
(1,977 hours for a Form S-11 that does not incorporate information by
reference minus 459 hours for a Form S-11 that incorporates information
by reference).
     We estimate that the annual decrease in compliance burden
to small entities resulting from the proposal would be 28,842 hours (19
registration statements multiplied by 1,518 hours per form). This would
include 7,210.5 hours of issuer personnel time (19 registration
statements times 379. 5 \31\ hours of issuer personnel time per
registration statement) and 21,631.5 hours of professional time (19
registration statements times 1,138.5 \32\ hours of professional time
per registration statement).
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    \31\ Reflects the difference between the amount of internal time
required to prepare a Form S-11 without incorporation by reference
(494.25 hours) and the amount of internal time required to prepare a
Form S-11 with incorporation by reference (114.75 hours).
    \32\ Reflects the difference between the amount of professional
time required to prepare a Form S-11 without incorporation by
reference (1,483 hours) and the amount of professional time required
to prepare a Form S-11 with incorporation by reference (344.25
hours).
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     The annual cost savings to small entities would be
approximately $8,652,600 for the services of outside professionals.
    We expect that small entities eligible to register on Form S-11 may
need to incur some insignificant additional costs related to complying
with the Web site requirements related to incorporation by reference,
although issuers could avoid such costs by electing not to incorporate
information by reference.
    We encourage written comments regarding this analysis. We solicit
comments as to whether the proposed amendments could have an effect
that we have not considered. We request that commenters describe the
nature of any impact on small entities and provide empirical data to
support the extent of the impact.

F. Duplicative, Overlapping or Conflicting Federal Rules

    We believe that the proposed amendments would not duplicate, or
overlap or conflict with other federal rules.

G. Significant Alternatives

    The Regulatory Flexibility Act directs us to consider significant
alternatives that would accomplish the stated objective, while
minimizing any significant adverse impact on small entities. In
connection with the proposal, the Regulatory Flexibility Act requires
us to consider the following alternatives:
    1. Establishing different compliance or reporting requirements that
take into account the resources of small entities;
    2. The clarification, consolidation, or simplification of
disclosure for small entities;
    3. Use of performance standards rather than design standards; and
    4. Exempting smaller entities from coverage of the disclosure
requirements or any part thereof.
    Our proposal would extend the benefit of incorporation by reference
to small entities that are required to file registration statements on
Form S-11. Establishing a different standard for small business
entities would impose a greater compliance burden on small entities and
would be inconsistent with the benefits provided for small entities
that register on Form S-1 and Form F-1.

H. Solicitation of Comment

    We encourage comments with respect to any aspect of this Initial
Regulatory Flexibility Analysis. In particular, we request comments
regarding:
     The number of small entities that may be affected by the
proposed amendments;
     The existence or nature of the potential impact of the
proposed amendments on small entities as discussed in this analysis;
and
     How to quantify the impact of the proposed amendments.
    We ask those submitting comments to describe the nature of any
impact and provide empirical data supporting the extent of the impact.
These comments will be considered in the preparation of the Final
Regulatory Flexibility Analysis, if the proposed amendments are
adopted, and will be placed in the same public file as comments on the
proposed amendments themselves.

VI. Small Business Regulatory Enforcement Fairness Act

    For purposes of the Small Business Regulatory Enforcement Fairness
Act of 1996,\33\ a rule is ``major'' if it has resulted, or is likely
to result in:
---------------------------------------------------------------------------

    \33\ Pub. L. No. 104-121, Title II, 110 Stat. 857 (1996).
---------------------------------------------------------------------------

     An annual effect on the U.S. economy of $100 million or
more;
     A major increase in costs or prices for consumers or
individual industries; or
     Significant adverse effects on competition, investment or
innovation.
    We request comment on whether our proposal would be a ``major
rule'' for purposes of the Small Business Regulatory Enforcement
Fairness Act. We solicit comment and empirical data on:
     The potential effect on the U.S. economy on an annual
basis;
     Any potential increase in costs or prices for consumers or
individual industries; and
     Any potential effect on competition, investment, or
innovation.

VII. Statutory Authority and Text of the Proposed Amendments

    The amendments described in this release are being proposed under
the authority set forth in Sections 6, 7, 8, 10 and 19(a) of the
Securities Act, as amended.

List of Subjects in 17 CFR Part 239

    Reporting and recordkeeping requirements, Securities.

    For the reasons set out in the preamble, the Commission proposes to
amend title 17, chapter II, of the Code of Federal Regulations as
follows:

PART 239--FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933

    1. The authority citation for part 239 continues to read in part as
follows:

    Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 77s, 77z-2, 77z-3,
77sss, 78c, 78l, 78m, 78n, 78o(d), 78u-5, 78w(a), 78ll, 77mm, 80a-
2(a), 80a-3, 80a-8, 80a-9, 80a-10, 80a-13, 80a-24, 80a-26, 80a-29,
80a-30, and 80a-37, unless otherwise noted.
* * * * *
    2. Amend Form S-11 (referenced in Sec.  239.18) as follows:
    a. Add General Instruction H;
    b. In Part I, add Item 28A;
    c. Redesignate Item 29 as Item 29A; and
    d. Add new Item 29.
    The additions read as follows:

    Note: The text of Form S-11 does not, and this amendment will
not, appear in the Code of Federal Regulations.

FORM S-11
FOR REGISTRATION UNDER THE SECURITIES ACT OF 1933 OF SECURITIES OF
CERTAIN REAL ESTATE COMPANIES
GENERAL INSTRUCTIONS
* * * * *

H. Eligibility To Use Incorporation by Reference

    If a registrant meets the following requirements immediately prior
to the time of filing a registration statement on this Form, it may
elect to provide information required by Items 3 through 28 of this
Form in accordance with Item 28A and Item 29 of this Form:
    1. The registrant is subject to the requirement to file reports
pursuant to Section 13 or Section 15(d) of the Securities Exchange Act
of 1934 (``Exchange Act'').
    2. The registrant has filed all reports and other materials
required to be filed by Sections 13(a), 14, or 15(d) of the Exchange
Act during the preceding 12 months (or for such shorter period that the
registrant was required to file such reports and materials).
    3. The registrant has filed an annual report required under Section
13(a) or Section 15(d) of the Exchange Act for its most recently
completed fiscal year.
    4. The registrant is not:
    (a) And during the past three years neither the registrant nor any
of its predecessors was:
    (i) A blank check company as defined in Rule 419(a)(2) (Sec.
230.419(a)(2) of this chapter);
    (ii) A shell company, other than a business combination related
shell company, each as defined in Rule 405 (Sec.  230.405 of this
chapter); or
    (iii) A registrant for an offering of penny stock as defined in
Rule 3a51-1 of the Exchange Act (Sec.  240.3a51-1 of this chapter).
    (b) Registering an offering that effectuates a business combination
transaction as defined in Rule 165(f)(1) (Sec.  230.165(f)(1) of this
chapter).
    5. If a registrant is a successor registrant it shall be deemed to
have satisfied conditions 1, 2, 3, and 4(b) above if:
    (a) Its predecessor and it, taken together, do so, provided that
the succession was primarily for the purpose of changing the state of
incorporation of the predecessor or forming a holding company and that
the assets and liabilities of the successor at the time of succession
were substantially the same as those of the predecessor; or
    (b) All predecessors met the conditions at the time of succession
and the registrant has continued to do so since the succession.
    6. The registrant makes its periodic and current reports filed
pursuant to Section 13 or Section 15(d) of the Exchange Act that are
incorporated by reference pursuant to Item 28A or Item 29 of this Form
readily available and accessible on a Web site maintained by or for the
registrant and containing information about the registrant.
* * * * *

PART I--INFORMATION REQUIRED IN PROSPECTUS

* * * * *

Item 28A. Material Changes

    If the registrant elects to incorporate information by reference
pursuant to General Instruction H, describe any and all material
changes in the registrant's affairs which have occurred since the end
of the latest fiscal year for which audited financial statements were
included in the latest Form 10-K or Form 10-KSB and which have not been
described in a Form 10-Q, Form 10-QSB, or Form 8-K filed under the
Exchange Act.

Item 29. Incorporation of Certain Information by Reference

    If the registrant elects to incorporate information by reference
pursuant to General Instruction H:
    (a) It must specifically incorporate by reference into the
prospectus contained in the registration statement the following
documents by means of a statement to that effect in the prospectus
listing all such documents:
    (1) The registrant's latest annual report on Form 10-K or Form 10-
KSB filed pursuant to Section 13(a) or Section 15(d) of the Exchange
Act which contains financial statements for the registrant's latest
fiscal year for which a Form 10-K or Form 10-KSB was required to have
been filed; and
    (2) All other reports filed pursuant to Section 13(a) or 15(d) of
the Exchange Act or proxy or information statements filed pursuant to
Section 14 of the Exchange Act since the end of the fiscal year covered
by the annual report referred to in paragraph (a)(1) of this Item.

    Note to Item 29(a). Attention is directed to Rule 439 (Sec.
230.439 of this chapter) regarding consent to use of material
incorporated by reference.

    (b)(1) The registrant must state:
    (i) That it will provide to each person, including any beneficial
owner, to whom a prospectus is delivered, a copy of any or all of the
reports or documents that have been incorporated by reference in the
prospectus contained in the registration statement but not delivered
with the prospectus;
    (ii) That it will provide these reports or documents upon written
or oral request;
    (iii) That it will provide these reports or documents at no cost to
the requester;
    (iv) The name, address, telephone number, and e-mail address, if
any, to which the request for these reports or documents must be made;
and
    (v) The registrant's Web site address, including the uniform
resource locator (URL) where the incorporated reports and other
documents may be accessed.

    Note to Item 29(b)(1). If the registrant sends any of the
information that is incorporated by reference in the prospectus
contained in the registration statement to security holders, it also
must send any exhibits that are specifically incorporated by
reference in that information.

    (2) The registrant must:
    (i) Identify the reports and other information that it files with
the SEC; and
    (ii) State that the public may read and copy any materials it files
with the SEC at the SEC's Public Reference Room at 100 F Street, NE.,
Washington, DC 20549 on official business days between the hours of 10
a.m. and 3 p.m. State that the public may obtain information on the
operation of the Public Reference Room by calling the SEC at 1-800-SEC-
0330.
    If the registrant is an electronic filer, state that the SEC
maintains an Internet site that contains reports, proxy and information
statements, and other information regarding issuers that file
electronically with the SEC and state the address of that site (http://www.sec.gov
).

* * * * *

    By the Commission.

    Dated: December 14, 2007.
Nancy M. Morris,
Secretary.
 [FR Doc. E7-24617 Filed 12-19-07; 8:45 am]

BILLING CODE 8011-01-P


c h QUALITY ASSUMCE PROJECT PLAN ( QAPP)

Department  ofHealth Environmental Health Administration Lead Based Paint Abatement Program APPENDIX J 1 I DISTRICT OF COLUMBIA NOVEMBER 3,2000 DRAFT QAPP QUALITY ASSURANCE PROJECT PLAN For The District of Columbia Government's Fiscal 2001 Title I Cooperative Agreement ( QAPP) A LEAD BASED PAINT INVESTIGATION PROTOCOL Prepared by Richard N. Brewster RISK ASSESSMF", REMEDIATION AND CERTIFICATIONPROGRAM LEAD POISONING PREVENTION DIVISION BUREAU OF HAZARDOUS MATERIAL AND TOXIC SUBSTANCES ENVRONMENTAL HEALTH ADMINISTRATION DEPARTMENT OF HEALTH 3 NOVEMBER 2000 Richard Brewster Program Manager Cheryl Amisial Supervisory Enviromnental Engineer Vacant Lead Abatement Coordinator Jonnette G. Hawkins Environmental Specialist Marice E. Knuckles, Ph. D. QA/ QC Oficer George Siaway Compliance MonitorlEnvironmental SpecialistDnspector Davesia Karimpanal, PbD. Compliance MonitorAnspector David Friedman WCMD QA Coordinator Date:

Date:

Date:

Date:

Date:

Date:

. ~~

Date:

Date Gerallyn Valls Region IIIProject Officer Date District of Columbia DRAFT QhP TABLE OF CONTENTS 1. PROJECTNAME 2. PROJECT REQUESTED BY 3. DATE OF REQUEST 4. DATES OF PROJECT INITIATION AND COMPLETION 5. PROJECT OFFICER 6. QUALITY ASSURANCE OFFICER 7. PROJECT DESCRIPTION A. Objective and Scope Statement B. Datausage C. Design and Rationale 8. PROJECT FISCAL INFORMATION 9. SCHEDULE OF TASKS AND DELIVERABLES 10. PROJECT ORGANIZATIONAND RESPONSIBILITY 11. DATA QUALITY REQUIREMEN" T AND ASSESSMENT A. Precision B. Accuracy C. Data Representativeness D. Data Comparability NOVEMBER 3,2000 1 1 1 1 1 1 2 2 2 2 3 4 5 6 .7 7 8 8 9 3 District of Cglumbia DRAFT QAPP E. Data Completeness 12. SAMPLING AND ANALYTICAL, PROCEDURES 13. TABLE1 14. TABLE11 15. SAMPLE CUSTODY PROCEDURES NOVEMBER 3,2000 Page 9 9 15 15 16 17 16. CAL, IBRATIONPROCEDURES ANDPREVENTIVE MAINTENANCE 17 17. DOCUMENTATION, DATA REDUCTION ANDREPORTING 17 18. DATA VALIDATION ( FIGURE 1) 17 19. SYSTEM AUDIT, IMPLEMENTATIONOF WORK PROCESSES, AND ASSESSMENT AND RESPONSE 18 20. ASSESSMENT PROCESS ( FIGURE 2) 19 21. ASSESSMENT REPORT FORM ( FIGURE 3) 20 22. RMD DATA ENTRY SHEET ( FIGURE 4) 21 23, COMPLIANCE MONITORING SHEET ( FIGURE 5) 22 24. RISK ASSESSMENT, REMEDIATION & CERTIFICATIONPROGRAM ( FUNCTIONAL ORGANIZATIONALCHART) 23 25. STANDARD OPERATING PROCEDURES ( X RAY FLORESCENCWRMD) 24  25 26. INCLUSIVERANGES FOR LPA 1 ANALYZER ( TABLE III) 26 27. LEAK TESTINGREQUIREMENTS 26 28. STANDARD OPERATINGPROCEDURE DUST SAMPLING, SOIL SAMPLING 27 AND PAINT CHIP SAMPLING J/ District of Columbia DRAFT QAPP 1. PROJECTNAMF,

District of Columbia Lead Monitoring Project Plan 2. PROJECT REQUESTED BY Gerallyn Valls, U. S. EPA Region III 3. DATE OF REQUEST September 14, 1998 B 4. DATES OF PROJECT INITIATION AND COMPLETION Project Initiation Date: October 1, 2000 Project Completion date: One year from EPA approval 5. PROJECT OFFICER Richard N. Brewster 6. QUALITY ASSURANCE OFFICER Maurice E. Knuckles, PhD.

5 NOVEMBER 3,2000 District of Cojumbia , NOVEMBER 3: 2000 DRAFT QAPP 7. PROJECTDESCRIPTION A. Objective and Scope Statement The program objective is to ensure that the Compliance Monitoring Branch properly certifies and monitors individuals and businesses conducting lead hazard control activities (" abatement") in the District of Columbia. Training programs providing instructions in lead based paint activities are accredited and audited periodically to ensure that training activities are conducted in accordance with established accredition requirements. Compliance monitoring is triggered by permit notification and seeks to ensure that lead based paint abatement workers are duly trained and certified.

The program aims to ensure that lead based paint projects are duly permitted and that individuals, business entities and training programs engaged in lead based paint activities in the District of Columbia are duly certified and/ or accredited by the District of Columbia government in accordance with D. C. Law 11 221.

B. Data Usage Compliance monitoring information obtained will aid in ascertaining the extent to which individuals and businesses engaed in lead based paint abatement activities in the District of Columbia are complying with D. C. Law 11 221.

C Design and Rationale The project is designed to ensure that businesses are certified and that they employ workers that have been duly trained by District of Columbia Government accredited training providers in safe work practices aimed at protecting workers and occupants of the facility. Upon notification of a lead abatement project, or referral of a complaint from any agency, individual or interested party, the compliance monitor initiates an investigation at the site in question. Once on site the compliance monitor verifies the certification status of the bminess entity ( Contractor), identifies the lead abatement supervisor, obtains evidence of lead licenses/ certification of workers engaged in any lead related activities, and determines if a permit has been issued for the ongoing activities,

6 District of Columbia NOVEMBER 3,2000 DRAFTQAPP 8. PROJECT FISCAL INFORMATION Grant Source Total Grant Amount State Lead Program 4021404 ..........................................................$ 228,730 One ( 1) Attorney Advisor/ Admin. Officer ( 100%) One ( 1) Community CoordinatorProg. Spec. ( 100%) One ( 1) Lead Abatement Program AssistantRrog. Spec. ( 100%)

EPA/ HUD II...............................................................................

One ( 1) Compliance MonitorEnv. Spec./ Inspector ( 100%) One ( 1) Compliance MonitodInspector ( 20%)

Lead Enforcement Program Assistance.............................................

One ( 1) Compliance Monitor/ Inspector ( 80%)

7 $ 115,892 $ 127,100  no cost time extension ($ 56,801 projected to be awarded for this fiscal year)

I District of Cblumbia NOVEMBER 3,2000 DRAFT QAPP 9. SCHEDULE OF TASKS AND DELIVERABLES PROJECT MILESTONES ( October 2000  SEPTEMBER 2001)

TASKS OCT NOV DEC PROJECT MANAGEMENT FIELD MONITORING CERTIFICATION/ ACCREDITATION/ PERMITTING , PROGRESS REPORTS FINAL REPORT ( 12 01) JAN FEB MR APR M4Y JUN JUL AUG SEP DEC w +

4 District of Columbia DRAFT QAPP NOVEMBER 3,2000 10. PROJECT ORGANIZATION AND RESPONSIBILITY The District of Columbia s Department of Health, in accordance with D. C. Law 11 221, delivers lead poisoning prevention services through three program components. Program components include ( 1) Certification, Accreditation, Permitting and ( 2) Compliance Monitoring. This service delivery is achieved through the use of highly skilled professionals, cognizant of the magnitude of their professional responsibilities and performing their duties in accordance with established QNQC protocols. ( See Attachment C for the Risk Assessment, Remediation and Certification Program of the Lead Poisoning Prevention division s Functional Organization Chart).

Permits are issued to business entities and individuals in order to ensure that work practices are performed in accordance with D. C. laws and regulations. District of Columbia accredited training programs and third party examiners provide training and hands on instructions in lead based paint abatement activities and examination for certifications respectively. The third component of the program involves educational outreach on lead awareness and prevention to the regulated community.

The following staff person which operates independently of the Risk Assessment, Remediation and CertificationProgram can be reached at ( 202) 535 2500 and ( 202) 727 0558:

QuaZiq Assurance Ofleer: The Quality Assurance ( QA) OEcer has overall responsibility for the development and administration of the Quality Assurance Program. The Quality Assurance OEcer reviews certification, permitting, auditing and compliance monitoring procedures, and assessses the overall quality assurance plan for the program. The QA Oficer duties also include:

0 0 0 0 0 0 Preparation of written documents defining quality awwurance and quality control procedures Review and approval of standard operating procedures Maintaining copies of all current procedures Schedulingand performing quality audits Providing training in quality control procedures and quality assurance practices Maintaining current knowledge of approved methods and other regulatory requirements Serving as liaison to regulatory agencies in quality assurance matters Program staff listed below can be reached at ( 202) 535 2690:

Risk Assessment, Remediation and CertificationProgram Manager: The Program Manager is responsible for the overall organization and coordination of the lead project and final decision maker. He reviews and approves all QAPP submissions and subsequent revisions, in terms of project scope and required objectives. The Program Manager also ensures QAPP implementation.

9 0 District of Columbia DRAFT QAPP NOVEMBER 3,2000 Supervisory Environmental Engineer: Responsible for the day to day administration and management of the Certification, Training, and Enforcement Programs; Organizing the personnel in the development and design of the QAPP; Providing oversight and direction in the review and approval of the QAPP and subsequent QAPP revisions.

Lead Program Coordinator: Responsible for the coordination of the Lead Based Paint Certification, Licensing and Permitting Program, including assistance in the management of the TSCA 404( g) Lead Grant and preparation of reports. Assists in strategic planning, development of the lead database, development of inter agency agreements on lead activities, and coordinates with other local, state and national agency lead programs.

Community Outreach Specialist/ Program Specialist: Assists the Compliance Assistance and Outreach Coordinator in planning, coordinating and implementing the overall objectives of the District's Lead Program; coordinates involvement of community groups and organizations, including homeowners, tenants and construction alliances. Participates in community education and outreach for at risk populations, and develops education and outreach materials.

Attorney AdvisodAaSninisirative O$ cer: Responsible for development and preparation of Lead Program legislation, regulations, statutory amendments, adjudication petitions and other legal concerns. Consults and coordinates with the Office of Corporation Counsel on legislative and regulatory issues; evaluates and recommends appropriateenforcement action related to violations. Performs legal research and analysis on lead and performs other related assigned tasks.

Program Assistant/ Progrm Specialist: Assists the Lead Program staff in establishing a worker certification and training accreditation database; reviews applicants eligibility requirements; compiles data output reports; maintains financial records on grants and procurement spending; assists program personnel.

Compliance Monitor/ Environmental Specialist/ lnspector( 2): Responsible for conducting field monitoring activities for complaints, tips and permits. Maintains a database of all activities, assists in generating statistical reports, and assists in conducting lead examinations and auditing of training providers. Serves as lead staff in developing and revision of QAPP's Protocol, assists in compliance assistance, and develops appropriate forms for auditing examination vendors. Compliance Monitors receive accredited lead training and participate in on the job enforcementtraining.

Pennit Processor: Responsible for assisting in developing and maintaining standardized permit application forms and instructions for permits; reviews permit applications for appropriate documentation and determines deficiencies. Validates and issues permits for eligibility, assists in developing tracking elements for abatementjobs and demographic information, assists in developing a database of all construction projects, and assists in generating statistical reports.

/ O District of Columbia DRAFT QAPP NOVEMBER 3,2000 NOTE: The following information contained in Sections 11 through 18 is provided in relation to operations conducted by the Lead Hazard Control Branch which is not part of the grant programs previously described in Project Organization and Responsibility and is provided here for information purposes only.

11. DATA QUALITY REQUIRMENTSAND ASSESSMENT A. Precision The XRF LPA 1 portable analyzers used in this project are operated under the same conditions as the evaluation testing, and procedures outlined in Chapter 7 of the Housing and Urban Development ( HUD) Guidelines. XRF calibration checks for these instruments are conducted by using g 30 second standard mode readings. XRF field measurements are obtained through the instrument s Quick Mode.

In Quick Mode readings, measurement time is determined by the LPA 1 Analyzer to achieve a 95% confidence measurement that is compared to a lead in paint action level of 0.7 mgkm . Time of measurement in Quick Mode, automatically determined by the instrument itself, depends on the actual lead level of the surface, the type of building material under the paint, the action level and the age of the source.

Field equipment used for this project require no substrate correction for readings below 4.0 mg/ cm20n brick, concrete, drywall, metal, plaster and wood when XRF results are obtained using the Quick Mode readings as contained in the Field Operation Guidance Section of the Performance Characteristics Sheet for these analyzers. While there are no inconclusive ranges for brick, concrete, drywall and wood. Metal and plaster have inconclusive range of 0.9 to 1.0 mg/ cm , respectively. This is based on a definitionof lead based paint as paint with lead equal to, or in excess of 1.0 mg/ cm2.

If an operator is testing a surface with a plaster substrate, no hrther testing is required in the Quick Mode since the LPA 1 does not indicate readings between 0.9 and 1. OmgPb/ cm2. In Quick Mode, 95% of the time the accountability of any surface is assured on any normal building material, at any lead level, and at any abatement level and results are produced in the shortest possible time period. On the other hand, if an operator tests a surface with a metal substrate with a reading of 1. O, 1.1or 1.2, the LPA 1 analyzer is used in the Standard reading Mode to retest the surface, with the operator calculatingthe required reading time. The operator simultaneously usesthe date of receipt of the LPA 1 fiom the factory as an initial point to correct the reading for half life decay according to the following protocol:

4 months  Test at 30 seconds 6 months  Test at 40 seconds 9 months  Test at 50 seconds 15 months  Test at 60 seconds > 15 months  Time to replace the source In fbture projects, readings below 1. Omg/ cm20btainedon the LPA 1 analyzer will be validated by paint chip sampling of the surface from which these readings are derived. District of Columbia DRAFT QAPP NOVEMBER 3,2000 B. Accuracy District of Columbia certified inspectors or risk assessors take the following quality control readings: XRF testing begins with at least three calibration check nominal time readings ( 30 second readings in the Standard Mode). The RMD LPA 1 XRF analyzer records, identifies, averages and prints out calibration check readings.

Additional calibration check nominal time readings are made after inspections are completed in each dwelling or every four ( 4) hours, whichever occurs first. Calibration check tolerance for the RMD LPA 1 used in this project is f0.3 mg/ cm2.

RMD LPA 1 XRF calibration check readings are taken on the red ( 1.02mg/ cm2) Standard Reference Material ( SRM) paint film, developed by the National Institute of Standards and Technology. Calibration check readings are taken when the film itself is at least 12 inches away from any lead source.

Average calibration check readings should not differ fiom the lead paint film s designated lead content number by more than f0.3mg/ cm2. This is referred to as the calibration check test.

If the calibration check average minus the lead paint film s designated lead content number is greater than k0.3mg/ cm2, instructions provided by the manufacturer for the instrument should be followed in order to bring the instrument back into control before any krther XRF testing is initiated. All readings taken by the suspended instrument siice the last successfbl calibration check test should be repeated. Ifthe backup XRF instrument is used as a replacement, the backup instrument must successfully pass the initial calibration check test before retesting the effected test locations.

C. DafaRepresentativeness District of Columbia Government s Lead Hazard Control inspectors or risk assessorswill record all painted components in each interior room, on exterior walls, and on surfaces in other exterior areas, including fences, playground equipment, and garages. The recording may be completed prior to any XRF testing or it may be done on a room by room basis during testing. Painted surfaces include any surface coated with paint, shellac, varnish, stain, coating or paint covered by wallpaper. D. C. risk assessordinspectorsselect specific components to be tested.

XRF testing for lead based paint consists of three ( 3) readings, taken on different spot, for each testing combination. Selection of test locations is representative of the paint over the entire area of the testing combination. More required readings may be taken as long as those additional reading sites are selected and their XRF reading averages are documented and filed in accordance with this protocol.

All layers of paint at each location should be included and the XRF faceplate positioned flat against the surface of the test location. Locations are selected to exclude area where the paint may be thickest or thinnest. The three test locations are spread out so that one test location is positioned on each third of the testing combination. The selected test locations should be far apart to avoid overlappingof the placement of the XRF probe faceplate at test 1 location with any other test location. District of Columbia DRAFT QAPP * NOVEMBER 3,2000 Within a room equivalent, some testing combinations may be repeated, such as four walls and two door casings that are part of the same testing combination. If testing combinations are repeated, selection of test locations should be spread out on the repeated combinations. This implies testing three or four walls and then selecting two test locations on one door casing and another test location on the other door casing. Test locations are further spread out by the selection of one location near the ceiling, the second location in the center of the wall, and the third location near the floor.

D. Data Comparability Data generated from this project, including total numbers of dwellings inspected, number of dwellings found to contain lead based paint hazards or no lead based paint hazards, number of dwellings requiring lead based paint hazard reduction, etc., will be provided to the Centers for Disease Control ( CDC) and the Department of Housing and Community Development ( HUD).

E. Data Completeness Data completeness may not be applicableto this project. The goal of this project is to identify and provide the necessary technical advice on how to safely achieve reduction of lead based paint hazards in target housing and child occupied facilities, and children found to have confirmed elevated blood lead level ( EBLL). This is achieved through inspections, compliance monitoring, certification of workers, individuals, business entities, accreditation of training providers and examiners, permitting of business entities, and blood lead testing. The project also focuses on the identificationand provision of the necessary technical advice on how to safely achieve reduction of lead based paint hazards in childcare facilities licensed by the Department of Health. This is achieved through education outreach programs in the community.

12. SAMPLINGAND ANALYTICALPROCEDZTRES ( See TABLES I& 11, 11)

. Dust wipe and paint chip sampling:

Dust wipe samples are collected from floors, window wells and window sills. A field blank sample is first collected collected. An area identifed on the survaces to samled is first marked and adhesive tape is applied to the perimeter of the wipe area to form a square or rectangle sampling area. Disposable gloves and moist wipes are used for sampling. For floor sampling, a fully opened wipe is placed on one corner of the surface to be wiped and proceed with as many   S  shaped motions as necessary to cover the entire wipe area. Then the wipe is folded in half with the contaminated side facing inward. Once folded, the wipe is placed in the top comerof the wipe area and proceed with   S  shaped motions from topto botton of the sampling area, For rectangular areas such as window sills, two side to side passes are made. After wiping, the wipe is folded with the contaminated side facing inward and insert the wipe aseptically into a clearly marked centrifbgetube. The tube is sealed immediately. Mer sampling, the area sampled is measured to the nearest eighth of an inch using a tape measure or a ruler.

/ 3 District of Columbia DRAFT QUP NOVEMBER 3,2000  XRF testing for lead based paint consists of three ( 3) readings, taken at different locations for each testing combination.

A unique testing combination is characterized by room equivalent, component, substrate and the visible color of the paint.

 A room equivalent is an identifiable part of a house, such as a room, each exterior side of a house, hallways, stairways, and porches. Components can be located on the interior or exterior of a house. Unlisted components that are not coated with paint, varnish, shellac, stain, or other coatings may also be tested. Tested components include the following: District of Columbia BRAFTQAPP air conditioners balustrades baseboards bathroom vanities beams built in cabinets ceilings, if flaking chair rails columns counter tops and risers air conditioners balustrades bulkheads ceilings chimneys columns . cornerboards siding window casings Fences Laundry line posts Storage sheds NOVEMBER 3,2000 COMMON INTERIOR PAINTED COMPONENTS crown molding door jams and trim venetian blinds doors fireplaces floors handrails jambs newel posts radiators railing caps shelf supports shelves stair stringers stair treads stool and aprons walls window sashes COMMON EXTERIOR PAINTED COMPONENTS handrails lattice work mailboxes painted roofing railing caps rake boards sashes soffits window sashes door trim doors fascias flashing floors gutters and downspoutjoist stair risers and treads stair stringers OTHER EXTERIOR PAINTED COMPONENTS Swing sets and other playground equipment A substrate is the material under the paint. Substrates are classified into one of six substratetypes, including brick, concrete, drywall, metal, plaster, and wood. Ethe substrate encountered is not one of the six types, the substrate that most closely matches the encountered substrate is selected when classifying substrate$ ype. In the case of substrates on top of substrates, the substrate diredy beneath the painted surface is used in classifying substrate type. District of Columbia DRAFT QOP MAY 3,2000 Color definition is obvious. In the event more than one color is observed at where paint is peeling, or the substrate is damaged, both white and tan over white would be acceptable color classifications.

The presence or absence of lead is determined by the average of three single readings taken on a testing combination. These averages are considered to be XRF results. The Lead Hazard Control Branch evaluates XEW results to determine if readings are positive, negative, or inconclusive, based upon the XEW Performance Characteristics Sheet for the RMD LPA 1. A sample Performance Characteristic Sheet follows: District of Columbia NOVEMBER 2,2000 DRAFTQAPP Front of Performance Sheet District of Columbia NOVEMBER 3,2000 DRAFT QAPP Back of Performance Sheet District of Columbia DRAFT QUP NOVEMBER 3,2000 If lead hazards are found to exist, LPPD recommends temporary, permanent and interim control measures to reduce the child's exposure. Data on building and site hazards and options for hazard reduction are reported to both the occupant and owner.

. Inspection report includes a summary of data generated that indicate if and where lead based paint is located in the dwelling and the inspection forms that contain the XRF readings and the calibration check results. All summaries, forms and correspondence are kept in descending chronological order in each inspection report file.

13. TABLE I SMPLRVG Matrix Paint HUD Ch. 5 & 5Cl Paint Chip HUD Ch. 5 & Ch. 7 Holding I Location I AreaNol. I Preservation Transportation / Container Time 1 Reading Onsite QC Sample 1. o mg/ cm*

None Field Blank None 6 Months Collection Frequency A 40 per inspection As Needed A 10 Samples/ residence As needed As needed N/ A 1 week 24 hours Target N/ A None HousingKhil d Occupied Facilities Areas tested 2 4in2from None that are the substrate inconclusive Floors, 1 W for None window sills floors( varies and wells with other components) Sealed Plastic Bag/ Tube Sealed Plastic Baflube Sealed Plastic Bag/ Tube Plastic Bottle/ Glass Bottle Dust HUD ChSB 1, 5B3,4 & 5, Ch. 7 Soil m Ch. 5D Top ? 4inch of top soil Water  200ml 1 week 1week Child's play areddirect line of down spout Kitchen and Bathroom None Filter Onsite, " 0, to pH< 2 Cool, 4" C HUD ChSE N/ A : Not Applicable District of Columbia NOVEMBER 3,2000 DRAFT QAPP '

14. TABLE II ANALYTICAL PROCEDURES Method Digestion, ASTM ES 2894 ES 37 94, Atomic Absorption Spectrometry ug/ p Digestion, ASTM ES 3094 Atomic Absorption Spectrometry ug/ g or ppm Stainless steel Holding Reference time Chapter 7, Lead Based Paint Inspection, Guidelines For The Evaluation And Control Of Lead Based Paint Hazards In Housing, HUD, 1995 1 week Chapter 7, HUD Guidelines 24 hours Chapter 7, HUD Guidelines Detection limits 0.1 mg/ cm2 0.1 mg/ cm2 0.1 mg/ cm2 0.1 mg/ cm2 0.1 mg/ cm2 Dust Soil Water scoop, ASTM ES 29 94, EPA Method SW 846 PPm Chapter 7, HUD Guidelines EPA Method 3051,200.7200.9 239.2 Legend:  EPA Method 305 1  EPA SW 846 Test Methods for Evalluating Solid Waste, Physical and Chemical Methods  EPA Method for Determination of Metals in Environmental Samples, June 1991. District of Columbia DRAFT QAPP NOVEMBER 3,2000 15. SAMPLE CUSTODY PROCEDURES For dust wipe, paint chip, water and soil samples, sampling Lead Hazard Control staff will, in the field, properly label plastic bags with a permanent marker. The label will include sample number, location, sample collection area and site address; the same information is transferred to the specific form @. e. Dust Sample Form). The 3 part form has information such as site address, date of inspection, case number, etc. Samples are transported by the sampling staff to the state laboratory within one week ( paint chip, soil and water) and 24 hours ( dust) samples. Sampling staff logs the sample submission in and the state lab keeps one copy of the results for case records. The state laboratory forwards results back to the agency. ( See # 28 for SOP for Sampling)

16. CALIBRATIONPROCEDURESAND PREVENTIVE MAINTENANCE ( See # 11 above and # 25)

17. DOCUMENTATION, DATA REDUCTION AND REPORTING The Lead Hazard Control Branch, on a quarterly basis, reports all lead based paint investigation data generated by this project to the U. S. Department of Housing and Community Development ( HUD). Reported data include number of inspections performed, number of dwellings identified as having a lead based paint hazard, number of dwellings requiring lead based paint hazard reduction, number of dwellings where lead based paint hazard reduction has been completed, and number of dwellings in need of lead based paint hazard reduction where reduction is outstanding as of the end of the reporting period. The Branch utilizes the DOH Network, MS Word and EXCEL software, and IBM and Dell desk top computer hardward connected to a central server.

18. DATA VALIDATION All RMD LPA 1 inspection reports, which include a summary indicating if and where lead based paint is located in the inspected dwelling, inspection forms, and correspondence, are reviewed for completeness, accuracy and timeliness by comparing field data sheets with computer entries. Data checks are performed by someone other than the person who downloads and inputs field derived data. If errors are detected, field data sheets are examined closely and computer entry corrected. The RMD, LPA 1, XRF instrument used for lead paint esting procedures includes certain built in safegards in its design. Among these are the standard calibration checkdprocedures, requireing the inspector to calibrate on a blank wood block ( NIST) with a predetermined reading of 0.0and on a pretested paintedfinished block with a pre recorded reading of 1. O mg/ cm2. The inspector must Mer adjust the instrument to the action level of 0.7. Additionally there is a factor of safety of * 2. The inspector therefore is required to follow established procedures and calibratehecalibratethe instrument ( RMD LPA 1) until he/ she achieves the manufacturer s standard of 1. O mg/ cm2before proceeding with paint testing. On completion of paint esting the calibration testing procedure is repeated. These procedures ensure that no contamination is recorded in blanks. In downloading and printing the information, typographical and. or inspector error in misidentifying color and substrate, etc., may be observed and corrected from review of field notes. Individuals involved with data gathering and validation are shown in the following Figure. District of Columbia DRAFT QAPP NOVEMBER 3,2000 FIGURE 1. DATA VALIDATION GROUP DATA ENTRY Jonnette Hawkins TerranceHenry Alafe Adeyemi Reginald Waldron Usenobong Bassey 19. SYSTEM AUDIT, IMPLEMENTATION OF WORK PROCESSES, AND ASSESSMENT AND RESPONSE The Quality Assurance ( QA) Officer reviews iterations of the Project Plan and lifecycle work products to determine adherence to Environmental Protection Agency ( EPA) and Housing and Urban Development ( HUD) Guidelines, and industry standards, as modified and documented in the Quality Assurance Project Plan ( QAPP). The QA OMicer provides expert assistance on project management practices and other project related matters. This position works independently from the Inspection, Certificate and Compliance, Permitting and Education Outreach team to ensure objective audits of project deliverables, and objective reviews of project management processes.

Quality Assurance for this project includes at least one audit of all current draft deliverables and selected work products in each stage of work progress. Reviews assure established program development and project management processes, and procedures are being adhered to effectively. Reviews and also determines weaknesses and limitations to the current project plan and assures that the weaknesses are identified and addressed appropriately. Figure 3 presents the assessment process below.

Each deliverable and/ or selected work product will be audited to judge the quality and validity of the deliverableor work product. The assessment will include any verification or validation activities performed since the last in stage assessment ( Appendix A). The reviewer will document results of the assessment using the in stage assessment report described below ( Figure 2).

An issue will be logged if there is a problem with no visible plan for resolution. Upon compilation of a list of issues, it will be reviewed with the project manager to determine how to mitigate or eliminate identified and potential problems. Unresolved issues must be addressed with an action plan from the project manager. District of Cblumbia NOVEMBER 3,2000 DRAFT QAPP 20. FIGURE2.. ASSESSMENT PROCESS SCHEDULE THE ASSESSMENT +

RECEIVE DELIVERABLES CONDUCT THE ASSESSMENT 1 PREPARE FINDINGS Secure agreement on assessment date Develop deliverables Update project plan Other applicable items Audit deliverables Review project plan Review other items Formulate assessment Assess project limitations/ weaknesses List concerns Present recommendations District of Columbia DRAFT QaPP

21. Figure3.

Project Name Stage of development Reviewer No. Issues/ Concerns NOVEMBER 3,2000 ASSESSMENT REPORT FORM Date Phone Resolved District of Columbia NOVEMBER 3,2000 DRAFT QAPP

22. Figure4. RMD DATA ENTRY SHEET 23. Figure5 Compliance Monitoring ***  GOVERNMENT OF THEDISTRICTOF COLUMBIA D Department of HeewL Environmental Health Administdm lhad PoIsomngRevenhon Dm~ ton COMPLIANCE MONITORING , Date Name ofCompwy Address Name ofhperty Owner Address Brief Desaiphon ofwark ProJect Locatlan Addms Name of Supemsor Telephcme #

# of Wwkers [ 1WorkerRo( ection [ 1W& eContainment D Wmte Dispcsd Observ& om and comments I District of Columbia NOVEMBER 3,2000 DRAFT QhP '

24. Figure 6. RiskAssessment, Remediation & Certification Functional Organization Chart .

ENFORCEMENT& COMPWCE ASSJSTANCE C Ektut# LAkamyAdnwr/ A '. ' ve officer G. RMt. HdthEcbcatm I Lead Poisoning. Prevention DixisiaP RiskAssessment, Remediation and Certification Program R Brewster, Program Manager LEAD LABORATORY suprW( U Cld Assiscant ( 1)

WIRFdimROBram CERTIRCATION. ENFQRCEWENT AND TRAINING J. Ha Env. Specialist ( a)

(~~ todivi8ic@ Rw spsiali3t [ 404(& l( v= d) II I LcsdCca& ata( vacmtXlmfimdsd) CONSTRUCTION MONITORING UR. Warn I I1 I EzZzM*' I COMMuprrry EDUCATION COMPLIANCE ANDOmREACB MONITORING I. Ycarrgcr,. Env. spc. ~ W) l G. s, Irupaa A Okechutwq Env. Eng. IW&[ ( losnsdtodivi9an)

I 11 II I t I COMMUNlTYVENDOR TRAINING FOR TENAMWEOMEOWIYERS I. Yamgar, bog. Spec. [ W& l PIJBLK DEMONSTRATIONS EARDWARBORGANIZATIOI'iS, FAIRSANDEVENTS PUBLICATIONS. BROCHURES AND MEDIA CONTACTS J. yamgcr [ 4wce) l hogram SP.[ 4WX= m I I I RISKASSWMMT IAUDITINGAND COMPLIANCE J. Hawhns MONITORING( larpctioa) I RWalh I I 1 1 I J District of Columbia NOVEMBER 3,2000 DRAFTQAPP '

25. X RAYFLORESCENCE STANDARD OPERATING PROCEDURES RMD Specific Part I. Prior to conducting an inspection, state certified inspectors or risk assessors calibratethe LPA I Analyzer in the followingmanner:

A. Using the Key Lock, turn the Analyzer on by turning the key counter clockwise. Pull the trigger to obtain the READY message.

B. Press the SELECT MODE key to obtain the STANDARD MODE message. All calibrations must be performed in the STANDARD MODE.

C. Using the " NIST" Standard ( calibration block) place the Analyzer flush against the surface of the calibration block and pull the trigger. Compare the reading on the Analyzer with the corresponding number ( i. e. I. Omg/ cm 2) that is indicated on the back of the standard. A series of 3 readings should be taken and then averaged. These calibration readings should be recorded in the calibration log book each time the Analyzer is used for inspection. If there is a f0.2 variation between the averaged reading and the NIST Standard, the inspector should wait five minutes for the Analyzer's automatic calibrationcheck and reread the calibration block. Ifthe readings fall outside the acceptable range the Inspector should not proceed with the inspection, but must contact the RMD representative ( 1  800 1., EmRMD).

D. Calibrations should be conducted and then recorded in the calibration log book prior to the beginning of an inspection and at the end of an inspection.

E. The length of the reading from the calibration block v~ es depending on the half life of the source. A schedule of the appropriate length in which the calibration should be performed is below:

4months . Test at 30 seconds 6 months  Test at 40 seconds 9 months  Test at 50 seconds 15 months Test at 60 seconds > 15 months  Replace the source F. Using the LPA 1, ' inspectordrisk assessors veri@ that the Abatement Level is properly set. Pressthe SET KEY UNTILTHE VALUEis 0.7 mg/ cm in order to set the Abatement Level. District of Columbia NOVEMBER 3,2000 DRAFTQMP '

25.

A.

B.

C.

D.

E.

F. Part11.

At the inspection site, District of Columbia Certified Inspectors identifjl themselves by presenting their Department issued badges. Inspectors then provide the parent, guardian and or responsible party wiih Lead Brochures and other relevant materials.

Inspectors conduct a visual inspection of all exterior and interior painted surfaces paying particular attention to the surfaces that are defective ( chipping, peeling, flaking and/ or chalking paint). While conducting the visual inspection inspectors draw a diagram using the SITE SKETCH FORM of the unit/ dwelling including the location of the defective areas.

Using the LPA 1, inspectors conduct a room by room inspection from front to rear, starting from the lowest floor. Inspectors can either use the SITE SKETCHFORM or RMD worksheet to record each sampling location. Inspectors record the corresponding sample number from the Analyzer on either form.

Using the LPA 1, the Job number which is the month day year time ( 01 19 95 0945) is automatically created by the Analyzer. To veri@ thejob number, press NEW UNIT key for two seconds and press SET key to confirm it. To exit this mode press NEW UNIT key again and allow the Analyzer to shut off. In addition, the Analyzer also creates Unit Sequence numbers ( 1,2,3 ... n). Inspectors record the Job Number, Unit Sequence Number and the Address on the SITE SKETCH FORM or RMD Worksheet.

Using the LPA 1, inspections are perfbrmed in the QUICK MODE. Press the SELECT MODE key to verify QUICK MODE operation.

To take readings, place the Analyzer flat against the surface to be tested and depress the Trigger until the Analyzer shows that the measurement has been completed. After the reading has been  completed, record the reading number on the SKETCH SITEFORM or the RMD Worksheet.

To create a new Unit Number and Job Number, pull trigger to obtain the 1 FA DY message, Press NEW UNITkey two times. " CONFIRMNEW UNIT" will be displayed; press the SET key to confirm the new Job Number and Sequence Unit. District of Columbl a NOVEMBER 3,2000 DRAFT QAPP 26. G. TABLE III Inclusive Ranges for LPA 1 Sold or Serviced After June 26, 1995 QUICK MODE SUBSTRATE THRESHOLD INCONCLUSIVE READING DESCRIPTION ( mglcm) RANGE Readings not corrected for Brick 1. o None Substrate bias on any substrate Concrete 1. o None Drywall 1. o None Metal None l. Ot0 1.2 Plaster 1. o None Wood 1.0 None 5 11/ 27/ 95. ed H. For inconclusive results and areas that cannot be tested using the Analyzer, a paint chip sample should be collected. Inspectors take a 4 square inch ( i25 em? paint sample area that is representative of the paint on the testing combination. The paint sample should be submitted to a NL, LAP recognized laboratory for lead based paint analysis. Laboratory results of 1.0 mg/ cm, > 2, or > 0.5percent are considered to be positive.

I. No substrate correction is needed for LPA 1. Analyzers sold or serviced after June 26, 1995, when operating in the QUICK MODE.

J. At the completion of the inspection, Inspectors calibrate the Analyzer three times and record the average in the Calibration Log book. Once back in the office, Inspectors download the data onto the computer and RESET the Analyzer. The RESET key erase a] I of the stored data in the portable analyzer. Refer to the LPA I Report Generation Software Manual for detailed instructions on how to download the data properly.

27. PartIII. Leak Testing Requirements A. Safety radiation regulations require the user, or the Department to cunduct a leak test of each LPA I Analyzer every 6 months.

B.. Refer to the LPA I Lead Paint Analysis System User s Guide ( pp. 18 20) for detailed procedures on conducting the Leak Test. .

District of Columbia NOVEMBER 3,2000 DISTRICTQAPP '

28. STANDARD OPERATING PROCEDURE  DUST SAMPLING, SOIL SAMPLING AND PAINT CHIP SAMPLING NOTE: All materials used for sampling are provided by the NLLAP Accredited Laboratory ( METS) contracted by the division.

Materials include: Sealed plastic tubes e EPA recommended wipes ( sealed) e Labels & request for dust lead analysis e Disposable latex gloves ( in sealed cont.) Materials are normally sent in sealed boxes through UPS.

PROCEDURE: Inspector selects materials needed for sampling for each project & places them into a field carrying bag. ( reusable)  Once on site the inspector randomly selects testing locations ( minimum of ten).  Inspector prepares for testing by gloving up, etc. Inspector takes blank, places in tube, labels, & seals carefully observing the HUD guidelines.  Inspector then continues the sampling collection & labeling & recording all the wile carefidly followingthe HUD guidelines. Taking great care in not contaminating samples.  Inspector places samples in a UPS plastic bag, together with the completed request for dust lead analysis form, seals & then places in field bag along with unused unopened materials. Note: All used gloves, wipes, wipe covers, etc., are placed in a separate container & carefully disposed of.  Inspector completes the UPS form & attaches it to the outside of the UPS overnight service enveiope/ PKG> and hand drops in the secure UPS drop location for pick up within 2  3 hours.  Inspector keeps the form for file record.  UPS delivers to METS Lab ( by hand), gives METS form copy & keeps signed COPY.  METS Lab opens package, sorts, processes & analyses samples I accordance with NLLAP procedures.  METS Lab makes available to the division computer generated test results for evaluation.

3/ 1


[Federal Register Volume 88, Number 74 (Tuesday, April 18, 2023)]
[Notices]
[Page 23667]
[FR Doc No: 2023-08160]

-----------------------------------------------------------------------

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Notice of Staff Attendance at North American Electric Reliability
Corporation Standard Drafting Meeting

    The Federal Energy Regulatory Commission hereby gives notice that
members of the Commission and/or Commission staff may attend the
following meetings:

North American Electric Reliability Corporation Standards Committee
Teleconference WebEx Meeting

April 19, 2023 [verbar] 1 p.m.-3 p.m. Eastern

    Further information regarding these meetings may be found at:
http://www.nerc.com/Pages/Calendar.aspx.
    The discussions at the meetings, which are open to the public, may
address matters at issue in the following Commission proceeding:

Docket No. RD23-1-000: Extreme Cold Weather Reliability Standards EOP-
011-3 and EOP-012-1
Docket Nos. RD22-4-000, RD22-4-001: Registration of Inverter-Based
Resources

    For further information, please contact Chanel Chasanov, 202-502-
8569, or [email protected].

    Dated: April 12, 2023.
Debbie-Anne A. Reese,
Deputy Secretary.
[FR Doc. 2023-08160 Filed 4-17-23; 8:45 am]
BILLING CODE 6717-01-P