SUPPORTING STATEMENT FOR AN INFORMATION COLLECTION REQUEST ( ICR)

1. IDENTIFICATION OF THE INFORMATION COLLECTION l( a) Title: Correction of Misreported Chemical Substances on the Toxic Substances Control Act ( TSCA) Chemical Substance Inventory EPA ICR No.: 1741.03; OMB Control No.: 2070 0145 l( b) Abstract Under section 8( b) of the Toxic Substances Control Act ( TSCA), the Environmental Protection Agency ( EPA) is required to compile and keep current an Inventory of Chemical Substances in Commerce, which is a listing of chemical substances manufactured, imported and processed for commercial purposes in the United States. Individual plant or factory sites producing chemicals will submit the required information.

This information collection request pertains to the use of the TSCA Chemical Substance Inventory Reporting Form C, which is used exclusively by the chemical industry in submitting requests to EPA's Office of Pollution Prevention and Toxics ( OPPT) for correcting misreported chemical identities of substances listed on the Inventory.

Each year, OPPT receives approximately 200 such correction requests from chemical companies. In almost all cases, these requests for correction are initiated by a submitter who wishes to correct the chemical identity of a substance that was previously misreported for the Toxic Substances Control Act ( TSCA) Chemical Substance Inventory. The correction mechanism allows the submitter to add the correct substance to the TSCA Inventory without having to file a Premanufacture Notice ( PMN) under TSCA section 5.

In submitting a request for correction, the submitter provides certain basic information on Form C. This information is stored in one of EPA's mainframe computers. Most importantly, this information allows OPPT to establish a correct chemical identity that accurately reflects the substance the submitter manufactures. Since the TSCA Inventory performs a regulatory function by distinguishing between an existing chemical and a new chemical, it is imperative that the Inventory be accurate. A correct Inventory also ensures the accuracy of EPA's chemical screening and risk assessment activities.

RECEIVED OPPT NCIC 2003 July 25 9: 56AM OPPT 2003 0045 0002  2  2. NEED FOR AND USE OF THE COLLECTION 2( a) Need/ Authority for the Collection Under TSCA, EPA is required to identify, assess and control risks of injury to human health and the environment posed by commercial chemicals. TSCA section 8( b) requires EPA to compile and keep current a complete list of chemical substances manufactured or processed in, or imported into, the United States. Under TSCA section 8( a) the Administrator of EPA shall promulgate rules to provide for the maintenance and collection of records from manufacturers, importers and processors of commercial chemicals. The Inventory Update Rule ( IUR), which is used to update the TSCA section 8( b) Inventory, is codified at 40 CFR 710. Copies of the relevant sections of TSCA and of the Code of Federal Regulations are attached ( see Attachments 1 and 2).

The purpose of the Inventory is to define, for the purpose of TSCA, what chemical substances exist in U. S. commerce. Substances not included on the TSCA Inventory are considered to be new substances that are subject to the Premanufacture Notification ( PMN) requirements stipulated under section 5( a) of TSCA.

The need for correcting chemical identities listed on the Inventory arose following the initial Inventory reporting period, when both EPA and the chemical industry recognized that substances submitted for inclusion in the initial TSCA Inventory could be, for various reasons, incorrectly described by reporting companies. EPA determined that reported substances may have been unintentionally misidentified as a result of simple typographical errors, the misidentification of substances, or the lack of sufficient technical or analytical capabilities to fully characterize the exact chemical substances. Although not required to do so under TSCA, EPA developed guidelines, at the request of Industry, under which the chemical identities of incorrectly described substances listed in the TSCA Inventory could be corrected. These guidelines were published in the Federal Register of July 29, 1980 ( 45 FR 50544); see Attachment 3.

For the TSCA Inventory to perform its regulatory function, it must accurately identify those substances that exist in U. S. commerce. Otherwise the Inventory will not be able to provide reliable information that EPA needs in performing chemical screening and risk assessment activities under TSCA. The submitter, on the other hand, must be certain that the substance he/ she manufactures or imports is correctly identified on the Inventory, so that he/ she will be in full compliance with TSCA reporting requirements. The correction mechanism ensures the accuracy of the Inventory without imposing an unreasonable burden on the chemical industry. Without the Inventory correction mechanism, a submitter would have to file a PMN to place the correct chemical substance on the Inventory whenever the previously reported substance is found to be misidentified. This would impose a much greater burden on both EPA and the submitter than the existing correction mechanism.  3  2( b) Practical Utility/ Users of the Data OPPT will use the data contained in the correction request to alter the incorrect chemical identities in the Inventory so that the information becomes complete and accurate. Many branches of the Agency rely on the TSCA Inventory when making regulatory decisions. Within OPPT, the Inventory is frequently used by the Chemical Control Division ( CCD) and the Interagency Testing Committee ( ITC). Both, CCD and the ITC rely on the accuracy of the TSCA Inventory for screening chemical substances for further attention or testing. Were the Inventory inaccurate, CCD or the ITC could inadvertently screen a fictitious chemical, i. e. a misreported substance not yet corrected on the TSCA Inventory.

As well as providing vital government service, the Inventory provides information necessary to members of industry. Correspondence between the private and public sectors of the U. S. concerning the TSCA Inventory is ceaseless. Hundreds of inquiries regarding the Inventory are received by OPPT each year. These letters are primarily requests for Chemical Abstracts Service ( CAS) Registry Numbers or Accession Numbers assigned to a substance, although a variety of other requests regarding TSCA are received by the Agency.

One such variety expresses a bona fide intent to manufacture a chemical substance. A " bona fide" letter requests a formal search of the TSCA Inventory for a particular chemical substance. If the substance is included on the TSCA Inventory, the potential manufacturer need not submit a Premanufacture Notice ( PMN). Since failure to submit a PMN for a substance not included on the Inventory, i. e., a new chemical, would constitute a violation of TSCA, the Inventory must be correct to ensure that only substances that are actually manufactured are included. An Inventory correction letter requests a change in the TSCA Inventory to correct a previously misreported substance. This correction mechanism allows the Inventory to be kept accurately, thus ensuring that the Agency's responses to industry inquiries, e. g., bona fide, Accession Number and CAS Registry Number requests, are accurate. Furthermore, an accurate Inventory also ensures that the Agency performs risk assessments on the correct chemical substance and that industry will not need to submit unnecessary PMNs.

3. NON DUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA 3( a) Non Duplication Not applicable: the required data can only be provided by the submitter and no other government agency collects such information.  4  3( b) Public Notice Required Prior to ICR Submission to OMB In proposing to renew this ICR, EPA provided a 60 day public notice and comment period that ended on April 13, 2001 ( 66 FR 9842, February 12, 2001). EPA received no comments during the comment period.

3( c) Consultations Prior to proposing the inventory update rule and at subsequent opportunities, EPA has consulted with the following external organizations, agencies and companies:

o Consumer Product Safety Commission o Department of Health and Human Services, National Toxicology Program o National Library of Medicine o Interagency Testing Committee o National Institute for Occupational Safety and Health o Organization of Chemical and Atomic Workers. o Henkel Corporation o E. I. Du Pont de Nemours & Co., Inc. o BASF o PPG Industries o 3M Corporation o Chemical Abstracts Service All of the groups supported EPA's efforts to update the Inventory data base including, in some cases, participating in EPA workgroup deliberations addressing regulatory and technical issues concerning this information collection. EPA has continually consulted with industry during and following the Inventory reporting periods. Companies have provided suggestions concerning improvements in implementation of the information collection.

3( d) Effects of Less Frequent Collection Not applicable, since the frequency of correction depends wholly on industry.

3( e) General Guidelines To the best of EPA's knowledge, this collection does not exceed any of the Paperwork Reduction Act guidelines at 5 CFR 1320.6.

3( f) Confidentiality  5  Respondents may claim information submitted to EPA on the correction form as confidential if release of such information would reveal the submitter's trade secrets or proprietary information, as defined by TSCA section 14. Any information submitted on this form, except the identity of a chemical substance that has not been claimed as confidential in the existing Inventory data base, may be claimed as confidential. Claims of confidentiality must be asserted at the time information is submitted to EPA and only in the manner specified by EPA.

EPA has established procedures for handling, storing, processing, and disposing of TSCA confidential business information ( CBI), in accordance with the stipulations set forth at 40 CFR Part 2, subpart B. In general, confidential information is housed in secured areas and can only be accessed by persons specifically authorized by EPA. Access to computer systems containing TSCA CBI is further restricted to those who have a need for access and such systems must be accessed via special computer terminals in a restricted area. Furthermore, any transfer of TSCA CBI from EPA to another agency is strictly governed by the procedures set forth in 40 CFR Part 2, subpart B, and the Agency receiving such information must agree to comply fully with EPA procedures.

Furthermore, this information collection fully complies with the requirements of the Privacy Act of 1974 and OMB Circular A 108.

3( g) Sensitive Questions Not applicable; this information collection does not include questions of a sensitive nature.

4. THE RESPONDENTS AND THE INFORMATION REQUESTED 4( a) Respondents/ SIC and NAICS Codes The respondent community consists of persons manufacturing or importing chemicals listed on the TSCA Inventory and regulated under TSCA Section 8. In general, the industry segments that compose the respondent community for this information collection are those that produce or import organic chemicals. Using Standard Industrial Classification ( SIC) codes such persons are typically classified under Chemical Allied Products Manufacturers ( SIC 28) and Petroleum Refining and Related Industries ( SIC 29). Using North American Industry Classification System ( NAICS) codes, these persons are typically classified under Chemical Manufacturing ( NAICS 325) and Petroleum and Coal Product Manufacturing ( NAICS 324).

4( b) Information Requested ( i) Data Items  6  The correction request form requires the submitter to include information concerning the chemical substance identity, plant site, production volume, site limitations, and import/ export of the substance, if applicable.

( ii) Respondent Activities Most of the information contained on the Form C reporting form is readily accessible to the submitter as " customary business practices," such as production and site limitation data. The remaining information is equally apparent, e. g., plant site location and whether the submitter imports or manufactures.

With regard to the chemical substance identity requirement, such data should be predetermined before the time of an Inventory correction submission. Since corrections to the Inventory are almost exclusively initiated by industry, the submitter must have already determined the new chemical substance identity before he/ she is able to conclude that the substance was previously misidentified. Therefore, the information required to submit a correction request is based on data readily available to the submitter, who needs only to transpose the data to the form provided by the Agency.

Furthermore, if, for whatever reason, the submitter is unable to produce a suitable technical name for the corrected substance, he/ she need only provide the Agency with information concerning the reaction mechanism, including all reactants. In such a case, EPA will devise an appropriate name for the chemical substance.

It is significant to note that in almost all cases it is industry, not EPA, that initiates correction requests. The Agency does not require industry to provide correction information nor does EPA have an obligation to provide a correction mechanism or to specify a reporting format. The mechanism exists at the request of industry and the EPA form is used because it reduces the burden on both the Agency and industry by providing a clear format for the data. Because the Form C has been in use since the initial Inventory reporting period, submitters should be familiar with the format and with the information needed to complete the form. Furthermore, use of the form guards against delays due to incomplete submissions, as the form clearly outlines the required information.

5. THE INFORMATION COLLECTED  AGENCY ACTIVITIES, COLLECTION METHODOLOGY, AND INFORMATION MANAGEMENT 5( a) Agency Activities As a result of the correction mechanism, the Agency must review the original submissions to determine whether a correction is needed. Once EPA confirms the validity of the correction, the Agency will process the correction information. EPA will maintain the confidentiality of the information at the request of the submitter, and will forward the results to the Chemical Abstracts Service ( CAS) where the  7  data are stored. EPA will add the corrected chemical substance to the TSCA Inventory while the incorrectly reported substance will become a candidate for deletion from the TSCA Inventory, if no other person has reported the same substance, through notice and comment rulemaking. 5( b) Collection Methodology and Management All of the submitted information, after processing, is sent to an EPA contractor, Chemical Abstracts Service ( CAS), where it is entered on to a computerized system. The public is able to access nonconfidential data through commercial on line systems, or through computer tapes and personal computer diskettes available from the National Technical Information Service ( NTIS).

5( c) Small Entity Flexibility No small entity exemption exists. A small entity exemption would be meaningless or counterproductive to the interests of small entities who may wish to submit corrections. In addition, the amount of information required to complete a correction request is minimal. Furthermore, the correction cannot be processed without each piece of information requested, as only essential data are solicited. Any small entity simplification of the correction process would fail to provide the Agency with the pertinent information needed to make a correction.

5( d) Collection Schedule Not applicable, since industry, not EPA, initiates the corrections.

6. ESTIMATING THE BURDEN AND COST OF THE COLLECTION 6( a) Estimating Respondent Burden Most of the information contained on the Form C reporting form is readily accessible to the submitter as " customary business practices," such as production and site limitation data. The remaining information is equally apparent, e. g., plant site location and whether the submitter imports or manufactures.

This ICR addresses an information collection effort that has been undertaken in the same form since 1980. The number of respondents is estimated at 200 per year. It is anticipated that these respondents will incur a minimal burden in making reports to the Agency, estimated at 0.5 hours for a technician to gather information and 0.5 hours for a manager to review and complete the form with the corrected information. This ICR does not involve clerical burden. Worksheet 1, below, illustrates the estimated burden per respondent for responding to this information collection.

6( b) Estimating Respondent Cost  8  Worksheet 1, below, illustrates the estimated costs per respondent for responding to this information collection. This information is derived from the " Economic Analysis for the TSCA Inventory Update Rule Amendment," dated August 2000. No major changes are expected from the date of this analysis. WORKSHEET 1: ANNUAL RESPONDENT BURDEN/ COST ESTIMATES Burden Hours and Costs per Respondent by Employee Category Managerial @ $ 95.55 Technical @ $ 65.96 Total Hours Total Costs Create and gather information 0.5 0.5 $ 32.98 Review and report information 0.5 0.5 $ 47.77 Subtotal 0.5 0.5 1.0 $ 80.75 6( c) Estimating Agency Burden and Cost Costs associated with this collection include the printing and distributing of reporting forms, providing reporting assistance, reviewing and processing of the report forms and entry of data into the Inventory databases. The time to review a correction request by an EPA chemist is estimated at two hours. Assuming costs of $ 32.30 an hour ( based on salary scales for a GS 13/ Step 3 chemist) per form, and the receipt of approximately 200 forms, the cost for EPA review is $ 6,460. Processing of the forms and inclusion of the data into the computer systems is estimated at $ 80.00 per form ( based on contractor's fee), for a total of $ 16,000. The total Agency cost would be $ 24,460. The total burden found in reviewing and processing the forms, based on two hours of review and two hours of processing time, would be 800 hours.

6( d) Bottom Line Burden Hours and Cost ( i) Respondent Burden The simple collection ( see Worksheet 1) Burden: 1.0 hours x 200 respondents = 200 hours Costs: $ 80.75 x 200 respondents = $ 16,150.

( ii) Agency Burden The total Agency burden is estimated to be 800 hours. The total Agency cost is estimated to be $ 24,460.

( iii) The complex collection  Not applicable.  9  ( iv) Variations in the annual bottom line  Not applicable.  10  6( e) Reasons for Change in Burden There is no change in the total estimated respondent burden compared with that identified in the information collection request most recently approved by OMB.

6( f) Burden Statement The annual public burden for this collection of information, which is approved under OMB Control No. 2070 0145, is estimated to average 1.0 hour per response. According to the Paperwork Reduction Act, " burden" means the total time, effort, or financial resources expended by persons to generate, maintain, retain, or disclose or provide information to or for a Federal agency. For this collection it includes the time needed to review instructions; develop, acquire, install, and utilize technology and systems for the purposes of collecting, validating, and verifying information, processing and maintaining information, and disclosing and providing information; adjust the existing ways to comply with any previously applicable instructions and requirements; train personnel to be able to respond to a collection of information; search data sources; complete and review the collection of information; and transmit or otherwise disclose the information. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. The OMB control number for this information collection appears above. In addition, the OMB control numbers for EPA's regulations, after initial display in the final rule, are listed in 40 CFR part 9.

Send comments on the Agency's need for this information, the accuracy of the provided burden estimates, and any suggested methods for minimizing respondent burden, including through the use of automated collection techniques to the Director, Collection Strategies Division, U. S. Environmental Protection Agency ( Mail Code 2822), 1200 Pennsylvania Ave., NW., Washington, D. C. 20460. Include the OMB control number in any correspondence but do not submit the requested information to this address. The requested information should be submitted in accordance with the instructions accompanying the form, or as specified in the corresponding regulation. ATTACHMENT 1 Toxic Substances Control Act Section 8 15 USC 2607 US Code as of: 01/ 23/ 00 Sec. 2607. Reporting and retention of information ( a) Reports ( 1) The Administrator shall promulgate rules under which  ( A) each person ( other than a small manufacturer or processor) who manufactures or processes or proposes to manufacture or process a chemical substance ( other than a chemical substance described in subparagraph ( B)( ii)) shall maintain such records, and shall submit to the Administrator such reports, as the Administrator may reasonably require, and ( B) each person ( other than a small manufacturer or processor) who manufactures or processes or proposes to manufacture or process  ( i) a mixture, or ( ii) a chemical substance in small quantities ( as defined by the Administrator by rule) solely for purposes of scientific experimentation or analysis or chemical research on, or analysis of, such substance or another substance, including any such research or analysis for the development of a product, shall maintain records and submit to the Administrator reports but only to the extent the Administrator determines the maintenance of records or submission of reports, or both, is necessary for the effective enforcement of this chapter. The Administrator may not require in a rule promulgated under this paragraph the maintenance of records or the submission of reports with respect to changes in the proportions of the components of a mixture unless the Administrator finds that the maintenance of such records or the submission of such reports, or both, is necessary for the effective enforcement of this chapter. For purposes of the compilation of the list of chemical substances required under subsection ( b) of this section, the Administrator shall promulgate rules pursuant to this subsection not later than 180 days after January 1, 1977. ( 2) The Administrator may require under paragraph ( 1) maintenance of records and reporting with respect to the following insofar as known to the person making the report or insofar as reasonably ascertainable: ( A) The common or trade name, the chemical identity, and the molecular structure of each chemical substance or mixture for which such a report is required. ( B) The categories or proposed categories of use of each such substance or mixture. ( C) The total amount of each such substance and mixture manufactured or processed, reasonable estimates of the total amount to be manufactured or processed, the amount manufactured or processed for each of its categories of use, and reasonable estimates of the amount to be manufactured or processed for each of its categories of use or proposed categories of use. ( D) A description of the byproducts resulting from the manufacture, processing, use, or disposal of each such substance or mixture. ( E) All existing data concerning the environmental and health effects of such substance or mixture. ( F) The number of individuals exposed, and reasonable estimates of the number who will be exposed, to such substance or mixture in their places of employment and the duration of such exposure. ( G) In the initial report under paragraph ( 1) on such substance or mixture, the manner or method of its disposal, and in any subsequent report on such substance or mixture, any change in such manner or method. To the extent feasible, the Administrator shall not require under paragraph ( 1), any reporting which is unnecessary or duplicative. ( 3) ( A) ( i) The Administrator may by rule require a small manufacturer or processor of a chemical substance to submit to the Administrator such information respecting the chemical substance as the Administrator may require for publication of the first list of chemical substances required by subsection ( b) of this section. ( ii) The Administrator may by rule require a small manufacturer or processor of a chemical substance or mixture  ( I) subject to a rule proposed or promulgated under section 2603, 2604( b)( 4), or 2605 of this title, or an order in effect under section 2604( e) of this title, or ( II) with respect to which relief has been granted pursuant to a civil action brought under section 2604 or 2606 of this title, to maintain such records on such substance or mixture, and to submit to the Administrator such reports on such substance or mixture, as the Administrator may reasonably require. A rule under this clause requiring reporting may require reporting with respect to the matters referred to in paragraph ( 2). ( B) The Administrator, after consultation with the Administrator of the Small Business Administration, shall by rule prescribe standards for determining the manufacturers and processors which qualify as small manufacturers and processors for purposes of this paragraph and paragraph ( 1).

( b) Inventory ( 1) The Administrator shall compile, keep current, and publish a list of each chemical substance which is manufactured or processed in the United States. Such list shall at least include each chemical substance which any person reports, under section 2604 of this title or subsection ( a) of this section, is manufactured or processed in the United States. Such list may not include any chemical substance which was not manufactured or processed in the United States within three years before the effective date of the rules promulgated pursuant to the last sentence of subsection ( a)( 1) of this section. In the case of a chemical substance for which a notice is submitted in accordance with section 2604 of this title, such chemical substance shall be included in such list as of the earliest date ( as determined by the Administrator) on which such substance was manufactured or processed in the United States. The Administrator shall first publish such a list not later than 315 days after January 1, 1977. The Administrator shall not include in such list any chemical substance which is manufactured or processed only in small quantities ( as defined by the Administrator by rule) solely for purposes of scientific experimentation or analysis or chemical research on, or analysis of, such substance or another substance, including such research or analysis for the development of a product. ( 2) To the extent consistent with the purposes of this chapter, the Administrator may, in lieu of listing, pursuant to paragraph ( 1), a chemical substance individually, list a category of chemical substances in which such substance is included.

( c) Records Any person who manufactures, processes, or distributes in commerce any chemical substance or mixture shall maintain records of significant adverse reactions to health or the environment, as determined by the Administrator by rule, alleged to have been caused by the substance or mixture. Records of such adverse reactions to the health of employees shall be retained for a period of 30 years from the date such reactions were first reported to or known by the person maintaining such records. Any other record of such adverse reactions shall be retained for a period of five years from the date the information contained in the record was first reported to or known by the person maintaining the record. Records required to be maintained under this subsection shall include records of consumer allegations of personal injury or harm to health, reports of occupational disease or injury, and reports or complaints of injury to the environment submitted to the manufacturer, processor, or distributor in commerce from any source. Upon request of any duly designated representative of the Administrator, each person who is required to maintain records under this subsection shall permit the inspection of such records and shall submit copies of such records.

( d) Health and safety studies The Administrator shall promulgate rules under which the Administrator shall require any person who manufactures, processes, or distributes in commerce or who proposes to manufacture, process, or distribute in commerce any chemical substance or mixture ( or with respect to paragraph ( 2), any person who has possession of a study) to submit to the Administrator  ( 1) lists of health and safety studies ( A) conducted or initiated by or for such person with respect to such substance or mixture at any time, ( B) known to such person, or ( C) reasonably ascertainable by such person, except that the Administrator may exclude certain types or categories of studies from the requirements of this subsection if the Administrator finds that submission of lists of such studies are unnecessary to carry out the purposes of this chapter; and ( 2) copies of any study contained on a list submitted pursuant to paragraph ( 1) or otherwise known by such person.

( e) Notice to Administrator of substantial risks Any person who manufactures, processes, or distributes in commerce as chemical substance or mixture and who obtains information which reasonably supports the conclusion that such substance or mixture presents a substantial risk of injury to health or the environment shall immediately inform the Administrator of such information unless such person has actual knowledge that the Administrator has been adequately informed of such information.

( f) '' Manufacture'' and '' process'' defined For purposes of this section, the terms '' manufacture'' and '' process'' mean manufacture or process for commercial purposes. ATTACHMENT 2 40 CFR 710 TITLE 40 PROTECTION OF ENVIRONMENT CHAPTER I ENVIRONMENTAL PROTECTION AGENCY PART 710 INVENTORY REPORTING REGULATIONS Sec. 710.1 Scope and compliance.

( a) This part establishes regulations governing reporting by certain persons who manufacture, import, or process chemical substances for commercial purposes under section 8( a) of the Toxic Substances Control Act ( 15 U. S. C. 2607( a)). Section 8( a) authorizes the Administrator to require reporting of information necessary for administration of the Act and requires EPA to issue regulations for the purpose of compiling an inventory of chemical substances manufactured or processed for a commercial purpose, as required by section 8( b) of the Act. Following an initial reporting period, EPA published an initial inventory of chemical substances manufactured, processed or imported for commercial purposes. In accordance with section 8( b), EPA periodically amends the inventory to include new chemical substances which are manufactured or imported for a commercial purpose and reported under section 5( a)( 1) of the Act. EPA also revises the categories of chemical substances and makes other amendments as appropriate. ( b) Section 15( 3) of TSCA makes it unlawful for any person to fail or refuse to submit information required under these reporting regulations. In addition, section 15( 3) makes it unlawful for any person to fail to keep, and permit access to, records required by these regulations. Section 16 provides that any person who violates a provision of section 15 is liable to the United States for a civil penalty and may be criminally prosecuted. Pursuant to section 17, the Government may seek judicial relief to compel submission of section 8( a) information and to otherwise restrain any violation of section 15. Note: As a matter of traditional Agency policy, EPA does not intend to concentrate its enforcement efforts on insignificant clerical errors in reporting. ( c) Each person who reports under these regulations shall maintain records that document information reported under these regulations and, in accordance with the Act, permit access to, and the copying of, such records by EPA officials.

[ 42 FR 64572, Dec. 23, 1977, as amended at 45 FR 18375, Mar. 21, 1980; 60 FR 31921, June 19, 1995]

Sec. 710.2 Definitions.

In addition to the definitions in Sec. 704.3 in this chapter, the following definitions also apply to this part: ( a) The following terms shall have the meaning contained in the Federal Food, Drug, and Cosmetic Act, 21 U. S. C. 321 et seq., and the regulations issued under such Act: Cosmetic, device, drug, food, and food additive. In addition, the term food includes poultry and poultry products, as defined in the Poultry Products Inspection Act, 21 U. S. C. 453 et seq.; meats and meat food products, as defined in the Federal Meat Inspection Act, 21 U. S. C. 60 et seq.; and eggs and egg products, as defined in the Egg Products Inspection Act, 21 U. S. C. 1033 et seq. ( b) The term pesticide shall have the meaning contained in the Federal Insecticide, Fungicide, and Rodenticide Act, 7 U. S. C. 136 et seq., and the regulations issued thereunder. ( c) The following terms shall have the meaning contained in the Atomic Energy Act of 1954, 42 U. S. C. 2014 et seq., and the regulations issued thereunder: byproduct material, source material, and special nuclear material. ( d) Act means the Toxic Substances Control Act, 15 U. S. C. 2601 et seq. ( e) Administrator means the Administrator of the U. S. Environmental Protection Agency, any employee or authorized representative of the Agency to whom the Administrator may either herein or by order delegate his authority to carry out his functions, or any other person who shall by operation of law be authorized to carry out such functions. ( f) An article is a manufactured item: ( 1) Which is formed to a specific shape or design during manufacture, ( 2) which has end use function( s) dependent in whole or in part upon its shape or design during end use, and ( 3) which has either no change of chemical composition during its end use or only those changes of composition which have no commercial purpose separate from that of the article and that may occur as described in Sec. 710.4( d)( 5); except that fluids and particles are not considered articles regardless of shape or design. ( g) Byproduct means a chemical substance produced without separate commercial intent during the manufacture or processing of another chemical substance( s) or mixture( s). ( h) Chemical substance means any organic or inorganic substance of a particular molecular identity, including any combination of such substances occurring in whole or in part as a result of a chemical reaction or occurring in nature, and any chemical element or uncombined radical; except that    chemical substance'' does not include: ( 1) Any mixture, ( 2) Any pesticide when manufactured, processed, or distributed in commerce for use as a pesticide, ( 3) Tobacco or any tobacco product, but not including any derivative products, ( 4) Any source material, special nuclear material, or byproduct material, ( 5) Any pistol, firearm, revolver, shells, and cartridges, and ( 6) Any food, food additive, drug, cosmetic, or device, when manufactured, processed, or distributed in commerce for use as a food, food additive, drug, cosmetic, or device. ( i) Commerce means trade, traffic, transportation, or other commerce: ( 1) Between a place in a State and any place outside of such State, or ( 2) which affects trade, traffic, transportation, or commerce described in paragraph ( i)( 1) of this section. ( j) Distribute in commerce and distribution in commerce when used to describe an action taken with respect to a chemical substance or mixture or article containing a substance or mixture, mean to sell or the sale of, the substance, mixture, or article in commerce; to introduce or deliver for introduction into commerce, or the introduction or delivery for introduction into commerce of, the substance, mixture, or article; or to hold, or the holding of, the substance, mixture, or article after its introduction into commerce. ( k) EPA means the U. S. Environmental Protection Agency. ( l) Importer means any person who imports any chemical substance or any chemical substance as part of a mixture or article into the customs territory of the U. S. and includes: ( 1) The person primarily liable for the payment of any duties on the merchandise, or ( 2) An authorized agent acting on his behalf ( as defined in 19 CFR 1.11). ( m) Impurity means a chemical substance which is unintentionally present with another chemical substance. ( n) Intermediate means any chemical substance: ( 1) Which is intentionally removed from the equipment in which it is manufactured, and ( 2) which either is consumed in whole or in part in chemical reaction( s) used for the intentional manufacture of other chemical substance( s) or mixture( s), or is intentionally present for the purpose of altering the rate of such chemical reaction( s). Note: The equipment in which it was manufactured includes the reaction vessel in which the chemical substance was manufactured and other equipment which is strictly ancillary to the reaction vessel, and any other equipment through which the chemical substance may flow during a continuous flow process, but does not include tanks or other vessels in which the chemical substance is stored after its manufacture. ( o) Manufacture means to produce or manufacture in the United States or import into the customs territory of the United States. ( p) Manufacture or import    for commercial purposes'' means to manufacture or import: ( 1) For distribution in commerce, including for test marketing purposes, or ( 2) For use by the manufacturer, including for use as an intermediate. ( q) Mixture means any combination of two or more chemical substances if the combination does not occur in nature and is not, in whole or in part, the result of a chemical reaction; except that    mixture'' does include: ( 1) Any combination which occurs, in whole or in part, as a result of a chemical reaction if the combination could have been manufactured for commercial purposes without a chemical reaction at the time the chemical substances comprising the combination were combined and if, after the effective date or premanufacture notification requirements, none of the chemical substances comprising the combination is a new chemical substance, and ( 2) Hydrates of a chemical substance or hydrated ions formed by association of a chemical substance with water. ( r) New chemical substance means any chemical substance which is not included in the inventory compiled and published under subsection 8( b) of the Act. ( s) Person means any natural or juridicial person including any individual, corporation, partnership, or association, any State or political subdivision thereof, or any municipality, any interstate body and any department, agency, or instrumentality of the Federal Government. ( t) Process means the preparation of a chemical substance or mixture, after its manufacture, for distribution in commerce ( 1) in the same form or physical state as, or in a different form or physical state from, that in which it was received by the person so preparing such substance or mixture, or ( 2) as part of a mixture or article containing the chemical substance or mixture. ( u) Process for    commercial purposes'' means to process ( 1) for distribution in commerce, including for test marketing purposes, or ( 2) for use as an intermediate. ( v) Processor means any person who processes a chemical substance or mixture. ( w) Site means a contiguous property unit. Property divided only by a public right of way shall be considered one site. There may be more than one manufacturing plant on a single site. For the purposes of imported chemical substances, the site shall be the business address of the importer. ( x) Small maufacturer or importer means a manufacturer or importer whose total annual sales are less than $ 5,000,000, based upon the manufacturer's or importer's latest complete fiscal year as of January 1, 1978, except that no manufacturer or importer is a    small manufacturer or importer'' with respect to any chemical substance which such person manufactured at one site or imported in quantities greater than 100,000 pounds during calendar year 1977. In the case of a company which is owned or controlled by another company, total annual sales shall be based on the total annual sales of the owned or controlled company, the parent company, and all companies owned or controlled by the parent company taken together. Note: The purpose of the exception to the definition is to ensure that manufacturing and importers report production volumes for all chemical substances which they manufactured at one site or imported in quantities equal to or greater than 100,000 pounds during calendar year 1977. ( y) Small quantities for purposes of scientific experimentation or analysis or chemical research on, or analysis of, such substance or another substance, including any such research or analysis for the development of a product ( hereinafter sometimes shortened to small quantities for research and development) means quantities of a chemical substance manufactured, imported, or processed or proposed to be manufactured, imported, or processed that ( 1) are no greater than reasonably necessary for such purposes and ( 2) after the publication of the revised inventory, are used by, or directly under the supervision of, a technically qualified individual( s). Note: Any chemical substances manufactured, imported or processed in quantities less than 1,000 pounds annually shall be presumed to be manufactured, imported or processed for research and development purposes. No person may report for the inventory any chemical substance in such quantities unless that person can certify, that the substance was not manufactured, imported, or processed solely in small quantities for research and development, as defined in this section. ( z) State means any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, the Canal Zone, American Samoa, the Northern Mariana Islands, or any other territory or possession of the United States. ( aa) Technically qualified individual means a person: ( 1) Who because of his education, training, or experience, or a combination of these factors, is capable of appreciating the health and environmental risks associated with the chemical substance which is used under his supervision, ( 2) who is responsible for enforcing appropriated methods of conducting scientific experimentation, analysis, or chemical research in order to minimize such risks, and ( 3) who is responsible for the safety assessments and clearances related to the procurement, storage, use, and disposal of the chemical substance as may be appropriate or required within the scope of conducting the research and development activity. The responsibilities in paragraph ( aa)( 3) of this section may be delegated to another individual, or other individuals, as long as each meets the criteria in paragraph ( aa)( 1) of this section. ( bb) Test marketing means the distribution in commerce of no more than a predetermined amount of a chemical substance, mixture, or article containing that chemical substance or mixture, by a manufacturer or processor to no more than a defined number of potential customers to explore market capability in a competitive situation during a predetermined testing period prior to the broader distribution of that chemical substance, mixture or article in commerce. ( cc) United States, when used in the geographic sense, means all of the States, territories, and possessions of the United States. ( dd) Master Inventory File means EPA's comprehensive list of chemical substances which constitute the Chemical Substances Inventory compiled under section 8( b) of the Act. It includes substances reported under subpart A of this part and substances reported under part 720 of this chapter for which a Notice of Commencement of Manufacture or Import has been received under Sec. 720.120 of this chapter. ( ee) Nonisolated intermediate means any intermediate that is not intentionally removed from the equipment in which it is manufactured, including the reaction vessel in which it is manufactured, equipment which is ancillary to the reaction vessel, and any equipment through which the substance passes during a continuous flow process, but not including tanks or other vessels in which the substance is stored after its manufacture. ( ff) Site limited means a chemical substance is manufactured and processed only within a site and is not distributed for commercial purposes as a substance or as part of a mixture or article outside the site. Imported substances are never site limited.

[ 42 FR 64572, Dec. 23, 1977, as amended at 60 FR 31921, June 19, 1995]

Sec. 710.4 Scope of the inventory.

( a) Chemical substances subject to these regulations. Only chemical substances which are manufactured, imported, or processed    for a commercial purpose,'' as defined in Sec. 710.2, are subject to these regulations. ( b) Naturally occurring chemical substances automatically included. Any chemical substance which is naturally occurring and: ( 1) Which is ( i) unprocessed or ( ii) processed only by manual, mechanical, or gravitational means; by dissolution in water; by flotation; or by heating solely to remove water; or ( 2) Which is extracted from air by any means, shall automatically be included in the inventory under the category    Naturally Occurring Chemical Substances.'' Examples of such substances are: raw agricultural commodities; water, air, natural gas, and crude oil; and rocks, ores, and minerals. ( c) Substances excluded by definition or section 8( b) of TSCA. The following substances are excluded from the inventory: ( 1) Any substance which is not considered a    chemical substance'' as provided in subsection 3( 2)( B) of the Act and in the definition of    chemical substance'' in Sec. 710.2( h); ( 2) Any mixture as defined in Sec. 710.2( q); Note: A chemical substance that is manufactured as part of a mixture is subject to these reporting regulations. This exclusion applies only to the mixture and not to the chemical substances of which the mixture is comprised. The term    mixture'' includes alloys, inorganic glasses, ceramics, frits, and cements, including Portland cement. ( 3) Any chemical substance which is manufactured, imported, or processed solely in small quantities for research and development, as defined in Sec. 710.2( y); and ( 4) Any chemical substance not manufactured, processed or imported for a commercial purpose since January 1, 1975. ( d) Chemical substances excluded from the inventory. The following chemical substances are excluded from the inventory. Although they are considered to be manufactured or processed for a commercial purpose for the purpose of section 8 of the Act, they are not manufactured or processed for distribution in commerce as chemical substances per se and have no commercial purpose separate from the substance, mixture, or article of which they may be a part. Note: In addition, chemical substances excluded here will not be subject to premanufacture notification under section 5 of the Act. ( 1) Any impurity. ( 2) Any byproduct which has no commercial purpose. Note: A byproduct which has commercial value only to municipal or private organizations who ( i) burn it as a fuel, ( ii) dispose of it as a waste, including in a landfill or for enriching soil, or ( iii) extract component chemical substances which have commercial value, may be reported for the inventory, but will not be subject to premanufacturing notification under section 5 of the Act if not included. ( 3) Any chemical substance which results from a chemical reaction that occurs incidental to exposure of another chemical substance, mixture, or article to environmental factors such as air, moisture, microbial organisms, or sunlight. ( 4) Any chemical substance which results from a chemical reaction that occurs incidental to storage of another chemical substance, mixture, or article. ( 5) Any chemical substance which results from a chemical reaction that occurs upon end use of other chemical substances, mixtures, or articles such as adhesives, paints, miscellaneous cleansers or other housekeeping products, fuels and fuel additives, water softening and treatment agents, photographic, films, batteries, matches, and safety flares, and which is not itself manufactured for distribution in commerce or for use as an intermediate. ( 6) Any chemical substance which results from a chemical reaction that occurs upon use of curable plastic or rubber molding compounds, inks, drying oils, metal finishing compounds, adhesives, or paints; or other chemical substances formed during manufacture of an article destined for the marketplace without further chemical change of the chemical substance except for those chemical changes that may occur as described elsewhere in this Sec. 710.4( d). ( 7) Any chemical substance which results from a chemical reaction that occurs when ( i) a stabilizer, colorant, odorant, antioxidant, filler, solvent, carrier, surfactant, plasticizer, corrosion inhibitor, antifoamer or de foamer, dispersant, precipitation inhibitor, binder, emulsifier, de emulsifier, dewatering agent, agglomerating agent, adhesion promoter, flow modifier, pH neutralizer, sequesterant, coagulant, flocculant, fire retardant, lubricant, chelating agent, or quality control reagent functions as intended or ( ii) a chemical substance, solely intended to impart a specific physicochemical characteristic, functions as intended. ( 8) Chemical substances which are not intentionally removed from the equipment in which they were manufactured. Note: See note to definition of    intermediate'' at Sec. 710.2( n) for explanation of    equipment in which it was manufactured.''

[ 42 FR 64572, Dec. 23, 1977]

Sec. 710.25 Chemical substances for which information must be reported.

Any chemical substance which is in the Master Inventory File at the beginning of a reporting period described in Sec. 710.33, unless the chemical substance is specifically excluded by Sec. 710.26.

[ 51 FR 21447, June 12, 1986]

Sec. 710.26 Chemical substances for which information is not required. The following categories of chemical substances are excluded from the reporting requirements of this subpart. However, a chemical substance described in paragraphs ( a), ( b), or ( c) of this section is not excluded from the reporting requirements of this subpart if that substance is the subject of a rule proposed or promulgated under section 4, 5( a)( 2), 5( b)( 4), or 6 of the Act, or is the subject of an order issued under section 5( e) or 5( f) of the Act, or is the subject of relief that has been granted under a civil action under section 5 or 7 of the Act. ( a) Inorganic chemical substances. Any chemical substance which does not contain carbon or contains carbon only in the form of carbonato [= CO< INF> 3</ INF>], cyano [ CN], cyanato [ OCN], isocyano [ NC], or isocyanato [ NCO] groups, or the chalcogen analogues of such groups. ( b) Polymers. ( 1) Any chemical substance described with the word fragments   * polym*'',   * alkyd'', or   * oxylated'' in the Chemical Abstracts Service Index or Preferred Nomenclature in the Chemical Substance Identities section of the 1985 edition of the Inventory or in the Master Inventory File, where the asterisk (*) indicates that any sets of characters may precede, or follow, the character string defined. ( 2) Any chemical substance which is identified in the 1985 edition of the Inventory or the Master Inventory File as siloxane and silicone, silsesquioxane, a protein ( albumin, casein, gelatin, gluten, hemoglobin), an enzyme, a polysaccharide ( starch, cellulose, gum), rubber, or lignin. This exclusion, however, does not apply to a chemical substance which has been hydrolyzed, depolymerized, or chemically modified to the extent that the final product is no longer polymeric in structure. ( c) Microorganisms. Any combination of chemical substances that is a living organism, such as bacteria, eimeria, fungi, and yeasts. Any chemical substance produced from such a living organism is reportable unless otherwise excluded. ( d) Naturally occurring chemical substances. Any naturally occurring chemical substance, as described in Sec. 710.4( b). The applicability of this exclusion is determined in each case by the specific activities of the person who manufactures the substance in question. Some chemical substances can be manufactured both as described in Sec. 710.4( b) and by means other than those described in Sec. 710.4( b). If a person described in Sec. 710.28 manufactures a chemical substance by means other than those described in Sec. 710.4( b), the person must report regardless of whether the substance also could have been produced as described in Sec. 710.4( b). Any chemical substance that is produced from such a naturally occurring chemical substance described in Sec. 710.4( b) is reportable unless otherwise excluded.

[ 51 FR 21447, June 12, 1986]

Sec. 710.28 Persons who must report.

Except as provided in Secs. 710.29 and 710.30, the following persons are subject to the requirements of this subpart. Persons must determine whether they must report under this Sec. 710.28 for each chemical substance that they manufacture at an individual site. ( a) Persons subject to initial reportinq. Any person who manufactured for commercial purposes 10,000 pounds ( 4,540 kilograms) or more of a chemical substance described in Sec. 710.25 at any single site owned or controlled by that person at any time during the person's latest complete corporate fiscal year before August 25, 1986. ( b) Persons subject to recurring reporting. Any person who manufactured for commercial purposes 10,000 pounds ( 4,540 kilograms) or more of a chemical substance described in Sec. 710.25 at any single site owned or controlled by that person at any time during the person's latest complete corporate fiscal year before August 25, 1990, or before August 25 at four year intervals thereafter. ( c) Special provisions for importers. For purposes of paragraphs ( a) and ( b) of this section, the site for a person who imports a chemical substance described in Sec. 710.25 is the site of the operating unit within the person's organization which is directly responsible for importing the substance and which controls the import transaction. The import site may in some cases be the organization's headquarters in the U. S. ( See also Sec. 710.35( b).)

[ 51 FR 21447, June 12, 1986]

Sec. 710.29 Persons not subject to this subpart.

A person described in Sec. 710.2 8 is not subject to the requirements of this subpart if that person qualifies as a small manufacturer as that term is defined in Sec. 704.3 of this chapter. Notwithstanding this exclusion, a person who qualifies as a small manufacturer is subject to this subpart with respect to any chemical substance that is the subject of a rule proposed or promulgated under section 4, 5( b)( 4), or 6 of the Act, or is the subject of an order in effect under section 5( e) of the Act, or is the subject of relief that has been granted under a civil action under section 5 or 7 of the Act.

[ 51 FR 21447, June 12, 1986]

Sec. 710.30 Activities for which reporting is not required.

A person described in Sec. 710.28 is not subject to the requirements of this subpart with respect to any chemical substance described in Sec. 710.25 that the person manufactured or imported under the following circumstances: ( a) The person manufactured or imported the chemical substance described in Sec. 710.25 solely in small quantities for research and development, ( b) The person imported the chemical substance described in Sec. 710.25 as part of an article, ( c) The person manufactured the chemical substance described in Sec. 710.25 in a manner described in Sec. 720.30( g) or ( h) of this chapter.

[ 51 FR 21447, June 12, 1986]

Sec. 710.32 Reporting information to EPA.

Any person who must report under this part must submit the information prescribed in this section for each chemical substance described in Sec. 710.25 that the person manufactured for commercial purposes in an amount of 10,000 pounds ( 4,540 kilograms) or more at a single site during a corporate fiscal year described in Sec. 710.28. ( The site for a person who imports a chemical substance is the site of the operating unit within the person's organization which is directly responsible for importing the substance and which controls the import transaction, and may in some cases be the organization's headquarters office in the U. S.). A respondent to this subpart must report information in writing or by magnetic media as prescribed in this section, to the extent that such information is known to or reasonably ascertainable by that person. A respondent to this subpart must report information that applies to the specific corporate fiscal year for which the person is required to report. ( a) Reporting in writing. Any person who chooses to report information to EPA in writing must do so by completing the reporting form available from EPA at the address set forth in Sec. 710.39( b). The form must include all information prescribed in paragraph ( c) of this section. Persons reporting in writing must submit a separate form for each site for which the person is required to report. ( b) Reporting by magnetic media. Any person who chooses to report information to EPA by means of magnetic media must submit the information prescribed in paragraph ( c) of this section. Magnetic media submitted in response to this subpart must meet EPA specifications, as described in the instruction booklet available from EPA at the address set forth in Sec. 710.39( b). ( c) Information to be reported. Persons reporting information under this subpart must report the following: ( 1) The name, company, address, city, State, Zip code, and telephone number of a person who will serve as technical contact for the respondent company, and will be able to answer questions about the information submitted by the company to EPA. Persons reporting by means of magnetic media must submit this information on the reporting form available from EPA at the address set forth in Sec. 710.39. ( 2) A certification statement signed and dated by an authorized official of the respondent company. Persons reporting by means of magnetic media must submit this information on the reporting form available from EPA at the address set forth in Sec. 710.39. ( 3) The specific chemical name and Chemical Abstracts Service ( CAS) Registry Number of each chemical substance for which reporting is required under this subpart. A respondent to this subpart may use other chemical identification numbers in lieu of CAS Registry Numbers when a CAS Registry Number is not known to the respondent as provided in the instruction booklet identified in Sec. 710.39( b), including EPA designated Accession Numbers for confidential substances, EPA assigned numbers for bona fide or Premanufacture Notification submissions, or Test Market Exemption Applications, or original Inventory form numbers. ( 4) The name, street address, city, State, and Zip code of each site at which 10,000 pounds ( 4,540 kilograms) or more of a chemical substance for which reporting is required under this subpart is manufactured or imported. ( The site for a person who imports a chemical substance is the site of the operating unit within the person's organization which is directly responsible for importing the substance and which controls the import transaction, and may in some cases be the organization's headquarters office in the U. S.) A respondent to this subpart must include the appropriate Dun and Bradstreet Number for each plant site reported. ( 5) A statement for each substance for which information is being submitted indicating whether the substance is manufactured in the United States or imported into the United States. ( 6) A statement for each substance for which information is being submitted indicating whether the substance is site limited. ( 7) The total volume ( in pounds) of each subject chemical substance manufactured or imported at each site. This amount must be reported to two significant figures of accuracy provided that the reported figures are within < plus minus> 10 percent of the actual volume. [ 55 FR 39587, Sept. 27, 1990, as amended at 60 FR 31921, June 19, 1995]

Sec. 710.33 When to report.

All information reported to EPA in response to the requirements of this subpart must be submitted during an applicable reporting period. The following reporting periods are prescribed for this subpart. ( a) Initial reporting period. The first reporting period is from August 25, 1986 to December 23, 1986. Any person described in Sec. 710.28( a) must report during this period for each chemical substance described in Sec. 710.25 that the person manufactured during the corporate fiscal year described in Sec. 710.28( a). ( b) Recurring reporting periods. The first recurring reporting period is from August 25, 1990 to December 23, 1990. Subsequent reporting periods, except as provided in paragraph ( c) of this section, are from August 25 to December 23 at 4 year intervals thereafter. Any person described in Sec. 710.28( b) must report during the appropriate reporting period for each chemical substance described in Sec. 710.25 that the person manufactured during the applicable corporate fiscal year described in Sec. 710.28( b). ( c) Reporting in 1998. The 1998 reporting period is from August 25, 1998 until January 31, 1999. Any person described in Sec. 710.28( b) must report during this reporting period for each chemical substance described in Sec. 710.25 that the person manufactured during the applicable corporate fiscal year described in Sec. 710.28( b). This reporting period is applicable to 1998 reporting only.

[ 51 FR 21447, June 12, 1986: 51 FR 22521, June 20, 1986, as amended at 63 FR 71600, Dec. 29, 1998]

Sec. 710.35 Duplicative reporting.

( a) With regard to section 8( a) rules. Any person subject to the requirements of this part who previously has complied with reporting requirements of a rule under section 8( a) of the Act by submitting the information described in Sec. 710.32 for a chemical substance described in Sec. 710.25 to EPA, and has done so within one year of the start of a reporting period described in Sec. 710.33, is not required to report again on the manufacture of that substance at that site during that reporting period. ( b) With regard to importers. This part requires that only one report be submitted on each import transaction involving a chemical substance described in Sec. 710.25. When two or more persons are involved in a particular import transaction and each person meets the Agency's definition of    importer'' as set forth in Secs. 710.2( l) and 704.3 of this chapter, they may determine among themselves who should submit the required report; if no report is submitted as required under this part, EPA will hold each such person liable for failure to report.

[ 51 FR 21447, June 12, 1986, as amended at 60 FR 31921, June 19, 1995]

Sec. 710.37 Recordkeeping requirements.

Each person who is subject to the reporting requirements of this part must maintain records that document any information reported to EPA. For substances that are manufactured or imported at less than 10,000 pounds annually, volume records must be maintained as evidence to support a decision not to submit a report. Records relevant to reporting during a reporting period described in Sec. 710.33 must be retained for a period of four years beginning with the effective date of that reporting period.

[ 51 FR 21447, June 12, 1986, as amended at 58 FR 34204, June 23, 1993; 60 FR 31921, June 19, 1995]

Sec. 710.38 Confidentiality.

( a) Any person submitting information under this part may assert a business confidentiality claim for the information. The procedures for asserting confidentiality claims are described in the instruction booklet identified in Sec. 710.39. Information claimed as confidential in accordance with this section and those instructions will be treated and disclosed in accordance with the procedures in part 2 of this chapter. ( b) A person may assert a claim of confidentiality for the chemical identity of a specific chemical substance only if the identity of that substance is treated as confidential in the Master Inventory File as of the time the report is submitted for that substance under this part. ( c) To assert a claim of confidentiality for the chemical identity of a specific chemical substance, the person must take the following steps: ( 1) The person must submit with the report detailed written answers to the following questions signed and dated by an authorized official. ( i) What harmful effects to your competitive position, if any, do you think would result from the identity of the chemical substance being disclosed in connection with reporting under this part? How could a competitor use such information? Would the effects of disclosure be substantial? What is the causal relationship between the disclosure and the harmful effects? ( ii) How long should confidential treatment be given? Until a specific date, the occurrence of a specific event, or permanently? Why? ( iii) Has the chemical substance been patented? If so, have you granted licenses to others with respect to the patent as it applies to the chemical substance? If the chemical substance has been patented and therefore disclosed through the patent, why should it be treated as confidential? ( iv) Has the identity of the chemical substance been kept confidential to the extent that your competitors do not know it is being manufactured or imported for a commercial purpose by anyone? ( v) Is the fact that the chemical substance is being manufactured or imported for a commercial purpose available to the public, for example in technical journals, libraries, or State, local, or Federal agency public files? ( vi) What measures have you taken to prevent undesired disclosure of the fact that this chemical substance is being manufactured or imported for a commercial purpose? ( vii) To what extent has the fact that this chemical substance is manufactured or imported for commercial purposes been revealed to others? What precautions have been taken regarding these disclosures? Have there been public disclosures or disclosures to competitors? ( viii) Does this particular chemical substance leave the site of manufacture in any form, as product, effluent, emission, etc.? If so, what measures have you taken to guard against discovery of its identity? ( ix) If the chemical substance leaves the site in a product that is available to the public or your competitors, can the substance be identified by analysis of the product? ( x) For what purpose do you manufacture or import the substance? ( xi) Has EPA, another Federal agency, or any Federal court made any pertinent confidentiality determinations regarding this chemical substance? If so, please attach copies of such determinations. ( 2) If any of the information contained in the answers to the questions is asserted to contain confidential business information, the person must mark that information as    trade secret,''    confidential,'' or other appropriate designation. ( d) If no claim of confidentiality accompanies information at the time it is submitted to EPA under this part or if substantiation required under paragraph ( c) of this section is not submitted with the reporting form, EPA may make the information available to the public without further notice to the submitter.

[ 51 FR 21447, June 12, 1986, as amended at 55 FR 39588, Sept. 27, 1990; 60 FR 31921, June 19, 1995]

Sec. 710.39 How do I submit the required information for the 1998 reporting cycle?

( a) Use the proper EPA form. You must use the EPA form identified as    Form U'' to submit written information in response to the requirements of this subpart. Copies of the Form U are available from EPA at the address set forth in paragraph ( c) of this section, from the EPA Internet Home Page at http:// www. epa. gov/ opptintr/ iur98, or via Fax on Demand by using a faxphone to call ( 202) 401 0527 and selecting item 5119. ( b) Follow the reporting instructions. You should follow the detailed instructions for completing the reporting form and preparing a magnetic media report, which are given in the EPA publication entitled    Instructions for Reporting for Partial Updating of the TSCA Chemical Inventory Data Base,'' via the Internet or the TSCA Hotline. ( c) Obtain the reporting package and copies of the form. EPA is mailing the reporting package to those companies that reported in 1994. Failure to receive a reporting package does not obviate or otherwise affect the requirement to submit a timely report. If you did not receive a reporting package, but are required to report, you may obtain a copy of the reporting package and the reporting form from EPA by submitting a request for this information as follows: ( 1) By phone. Call the EPA TSCA Hotline at ( 202) 554 1404, or TDD 202 554 0551. ( 2) By e mail. Send an e mail request for this information to the EPA TSCA Hotline at TSCA Hotline@ epamail. epa. gov. ( 3) By mail. Send a written request for this information to the following address: TSCA Hotline, Mail Code 7408, ATTN: Inventory Update Rule, Office of Pollution Prevention and Toxics, U. S. Environmental Protection Agency, 401 M St., SW., Washington, DC 20460. ( d) Submit the completed reports. You must submit your completed reporting form( s) and/ or magnetic media to EPA at the following address: Document Control Officer, Mail Code 7407, ATTN: Inventory Update Rule, Office of Pollution Prevention and Toxics, U. S. Environmental Protection Agency, 401 M St., SW., Washington, DC 20460.

[ 63 FR 45953, Aug. 28, 1998] ATTACHMENT 3 Inventory Correction Guidelines 45 FR 50544, July 29, 1980 ( Note: An electronic copy of this attachment is not available. Please contact the Environmental Protection Agency at the address noted in the Federal Register notice for a complete copy of this ICR.) ATTACHMENT 4 Inventory Correction Form EPA Form 7710 3C ( Note: An electronic copy of this attachment is not available. Please contact the Environmental Protection Agency at the address noted in the Federal Register notice for a complete copy of this ICR.)


[Federal Register: May 29, 2008 (Volume 73, Number 104)]
[Notices]
[Page 30962]
[DOCID:fr29my08-98]

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DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[FEMA-1740-DR]

Indiana; Amendment No. 4 to Notice of a Major Disaster
Declaration

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice.

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SUMMARY: This notice amends the notice of a major disaster declaration
for the State of Indiana (FEMA-1740-DR), dated January 30, 2008, and
related determinations.

EFFECTIVE DATE: May 20, 2008.

FOR FURTHER INFORMATION CONTACT: Peggy Miller, Disaster Assistance
Directorate, Federal Emergency Management Agency, 500 C Street, SW.,
Washington, DC 20472,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: The notice of a major disaster declaration
for the State of Indiana is hereby amended to include the following
areas among those areas determined to have been adversely affected by
the catastrophe declared a major disaster by the President in his
declaration of January 30, 2008.

    Allen and Fulton Counties for Public Assistance (already
designated for Individual Assistance.)

(The following Catalog of Federal Domestic Assistance (CFDA) Numbers
are to be used for reporting and drawing funds: 97.030, Community
Disaster Loans; 97.031, Cora Brown Fund; 97.032, Crisis Counseling;
97.033, Disaster Legal Services; 97.034, Disaster Unemployment
Assistance (DUA); 97.046, Fire Management Assistance Grant; 97.048,
Disaster Housing Assistance to Individuals and Households In
Presidential Declared Disaster Areas; 97.049, Presidential Declared
Disaster Assistance--Disaster Housing Operations for Individuals and
Households; 97.050, Presidential Declared Disaster Assistance to
Individuals and Households--Other Needs; 97.036, Disaster Grants--
Public Assistance (Presidentially Declared Disasters); 97.039,
Hazard Mitigation Grant.)

R. David Paulison,
Administrator, Federal Emergency Management Agency.
[FR Doc. E8-11997 Filed 5-28-08; 8:45 am]

BILLING CODE 9110-10-P


II. Stakeholder Involvement EAC Technical Advisory Committee and Public Meetings were held in Oklahoma City on January 22, 2004, and in Tulsa on March 16, 2004.

Agendas and applicable meeting notes are attached.


[Federal Register Volume 85, Number 86 (Monday, May 4, 2020)]
[Notices]
[Pages 26510-26513]
[FR Doc No: 2020-09375]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-88764; File No. SR-NYSEARCA-2020-35]

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing
and Immediate Effectiveness of Proposed Rule Change To Amend Its
Schedule of Fees and Charges

April 28, 2020.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby
given that, on April 17, 2020, NYSE Arca, Inc. (``NYSE Arca'' or the
``Exchange'') filed with the Securities and Exchange Commission (the
``Commission'') the proposed rule change as described in Items I, II,
and III below, which Items have been prepared by the self-regulatory
organization. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
---------------------------------------------------------------------------

I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to amend its Schedule of Fees and Charges to
adopt listing and annual fees for Exchange-Traded Fund Shares listed
under recently adopted Rule 5.2-E(j)(8). The proposed rule change is
available on the Exchange's website at www.nyse.com, at the principal
office of the Exchange, and at the Commission's Public Reference Room.

II. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change

    In its filing with the Commission, the self-regulatory organization
included statements concerning the purpose of, and basis for, the
proposed rule change and discussed any comments it received on the
proposed rule change. The text of those statements may be examined at
the places specified in Item IV below. The Exchange has prepared
summaries,

set forth in sections A, B, and C below, of the most significant parts
of such statements.

A. Self-Regulatory Organization's Statement of the Purpose of, and the
Statutory Basis for, the Proposed Rule Change

1. Purpose
    The Exchange proposes to amend its Schedule of Fees and Charges to
adopt listing fees and annual fees for Exchange-Traded Fund Shares
listed under recently adopted Rule 5.2-E(j)(8) (``Fund Shares'').
    The proposed changes respond to the current extremely competitive
environment for ETP listings in which issuers can readily favor
competing venues or transfer their listings if they deem fee levels at
a particular venue to be excessive, or discount opportunities available
at other venues to be more favorable. As described below, the Exchange
does not propose different pricing for Fund Shares. Rather, the
Exchange proposes to incorporate Fund Shares into the existing listing
and annual fees charged by the Exchange for Exchange Traded Products
(``ETPs'').\4\
---------------------------------------------------------------------------

    \4\ ``Exchange Traded Products'' are defined in footnote 3 of
the current Schedule of Fees and Charges. The Exchange proposes to
modify the definition to include Fund Shares.
---------------------------------------------------------------------------

    The proposed changes are designed to incentivize issuers to list
new Fund Shares, transfer existing products to the Exchange, and
maintain listings on the Exchange, which the Exchange believes will
enhance competition both among issuers and listing venues, to the
benefit of investors.
    The Exchange proposes to implement the fee changes effective April
17, 2020.
Proposed Rule Change
    On April 13, 2020, the Commission approved Rule 5.2-E(j)(8).\5\
Rule 5.2-E(j)(8) establishes generic listing standards for Fund Shares,
which are Derivative Securities Products permitted to operate in
reliance on Rule 6c-11 under the Investment Company Act of 1940.\6\ In
order to specify pricing for Fund Shares, the Exchange proposes the
following changes to the Schedule of Fees and Charges.
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    \5\ See Securities Exchange Act Release No. 88625 (April 13,
2020) (SR-NYSEArca-2019-81).
    \6\ 15 U.S.C. 80a-1.
---------------------------------------------------------------------------

Listing Fees
    Listing fees for ETPs are set forth in section 5.a. of the Schedule
of Fees and Charges. Currently, with the exception of various products
defined as ``Generically-Listed Exchange Traded Products,'' \7\ the
Exchange charges a $7,500 listing fee. The Exchange currently does not
charge a listing fee for listing products pursuant to Rule 19b-4(e)
under the Act if they satisfy all criteria--referred to as ``generic''
listing criteria--in the applicable Exchange ETP rule. The Schedule of
Fees and Charges refers to these as ``Generically-Listed Exchange
Traded Products.''
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    \7\ ``Generically-Listed Exchange Traded Products'' currently
include Investment Company Units, Portfolio Depositary Receipts,
Managed Fund Shares, and Currency Trust Shares that are listed on
the Exchange pursuant to Rule 19b-4(e) under the Act, and for which
a proposed rule change pursuant to Section 19(b) of the Act is not
required to be filed with the Commission.
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    The Exchange proposes to include Fund Shares in the definition of
``Generically-Listed Exchange Traded Products'' in section 5.a. of the
Schedule of Fees and Charges and, accordingly, not charge a listing fee
for Fund Shares.
    The Exchange believes that, for purposes of listing fees, it would
be appropriate to treat Fund Shares like other ``Generically-Listed
Exchange Traded Products'' and not charge a listing fee because doing
so would correlate the listing fee applicable to an issuer of ETPs to
the resources required to list and maintain those ETPs on the Exchange.
Specifically, since Fund Shares are eligible to list under the listing
standards for ETFs that are permitted to operate in reliance on Rule
6c-11 pursuant to Rule 5.2-E(j)(8), Fund Shares would not require a
separate proposed rule change pursuant to Rule 19b-4 before listing and
trading on the Exchange. As such, Fund Shares will not incur the
additional time and resources required by Exchange staff to prepare and
review rule filings and to communicate with issuers and Commission
staff in connection therewith necessary for ETPs listed and traded
pursuant to a rule change.
Annual Fees
    Annual fees for ETPs are based on the number of shares outstanding
per issuer.\8\ Currently, as set forth in section 6.a. of the Schedule
of Fees and Charges, the Exchange charges the following annual fees for
listed ETPs, with the exception of Managed Fund Shares and Managed
Trust Securities:
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    \8\ Annual fees are assessed each January in the first full
calendar year following the year of listing. The aggregate total
shares outstanding is calculated based on the total shares
outstanding as reported by the Fund issuer or Fund ``family'' in its
most recent periodic filing with the Commission or other publicly
available information. Annual fees apply regardless of whether any
of these Funds are listed elsewhere.

------------------------------------------------------------------------
       Number of shares  outstanding  (each issue)          Annual fee
------------------------------------------------------------------------
Less than 25 million....................................          $7,500
25 million up to 49,999,999.............................          10,000
50 million up to 99,999,999.............................          15,000
100 million up to 249,999,999...........................          20,000
250 million up to 499,999,999...........................          25,000
500 million and over....................................          30,000
------------------------------------------------------------------------

    As set forth in section 6.b. of the Schedule of Fees and Charges,
the Exchange charges the following annual fees for Managed Fund Shares
and Managed Trust Securities

------------------------------------------------------------------------
       Number of shares  outstanding  (each issue)          Annual fee
------------------------------------------------------------------------
Less than 25 million....................................         $10,000
25 million up to 49,999,999.............................          12,500
50 million up to 99,999,999.............................          20,000
100 million up to 249,999,999...........................          25,000
250 million and over....................................          30,000
------------------------------------------------------------------------

    The Exchange proposes to charge annual fees for Fund Shares that
track how the Exchange currently charges annual fees. Accordingly, for
Fund Shares that track an index, the Exchange proposes to charge the
annual fees set forth in section 6.a. of the Schedule of Fees and
Charges. For Fund Shares that do not track an index, and are more akin
to Managed Fund Shares under the current listing rules, the Exchange
proposes to charge the annual fees set forth in section 6.b. of the
Schedule of Fees and Charges.
    The Exchange believes that it is appropriate to charge Fund Shares
that track an index the annual fees set forth in section 6.a of the
Schedule of Fees and Charges. The relatively lower annual fees charged
for ETPs that are not Managed Fund Shares and Managed Trust Securities
better correlate with the ongoing Exchange costs associated with
listing and trading Fund Shares that track an index and are not
actively managed, including costs related to issuer services, listing
administration, product development and regulatory oversight.
    For similar reasons, the Exchange believes that charging Fund
Shares that do not track an index the current annual fees applicable to
Managed Fund Shares and Managed Trust Securities would be appropriate
because those annual fees better correlate with higher Exchange costs
associated with similar actively managed products such as Managed Fund
Shares and Managed Trust Securities, including costs related to issuer
services, listing administration,

product development and regulatory oversight.
    Finally, as noted above, the Exchange proposes to add Fund Shares
to current footnote 3 which defines the term ``Exchange Traded
Products'' for purposes of the Schedule of Fees and Charges.
    Each of the proposed changes described above are not otherwise
intended to address other issues, and the Exchange is not aware of any
significant problems that market participants would have in complying
with the proposed changes.
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with Section 6(b) of the Act,\9\ in general, and furthers the
objectives of Sections 6(b)(4) and (5) of the Act,\10\ in particular,
because it provides for the equitable allocation of reasonable dues,
fees, and other charges among its members, issuers and other persons
using its facilities and does not unfairly discriminate between
customers, issuers, brokers or dealers.
---------------------------------------------------------------------------

    \9\ 15 U.S.C. 78f(b).
    \10\ 15 U.S.C. 78f(b)(4) & (5).
---------------------------------------------------------------------------

The Proposed Change Is Reasonable
    As discussed above, the Exchange operates in a highly competitive
market for the listing of ETPs. Specifically, ETP issuers can readily
favor competing venues or transfer listings if they deem fee levels at
a particular venue to be excessive, or discount opportunities available
at other venues to be more favorable. The Commission has repeatedly
expressed its preference for competition over regulatory intervention
in determining prices, products, and services in the securities
markets. Specifically, in Regulation NMS, the Commission highlighted
the importance of market forces in determining prices and SRO revenues
and, also, recognized that current regulation of the market system
``has been remarkably successful in promoting market competition in its
broader forms that are most important to investors and listed
companies.'' \11\
---------------------------------------------------------------------------

    \11\ See Regulation NMS, 70 FR at 37499.
---------------------------------------------------------------------------

    The Exchange believes that the ongoing competition among the
exchanges with respect to new listings and the transfer of existing
listings among competitor exchanges demonstrates that issuers can
choose different listing markets in response to fee changes.
Accordingly, competitive forces constrain exchange listing fees. Stated
otherwise, changes to exchange listing fees can have a direct effect on
the ability of an exchange to compete for new listings.
    Given this competitive environment, the proposal represents a
reasonable attempt to establish pricing for ETPs listed under recently
adopted Rule 5.2-E(j)(8).
    The Exchange currently does not charge listing fees for ETPs that
satisfy generic listing criteria set forth in its rules. The Exchange
believes that it is reasonable to also not charge a listing fee to Fund
Shares that meet the listing criteria set forth in Rule 5.2-E(j)(8). As
noted, not charging a listing fee to another type of ETP that can list
without a rule filing pursuant to Rule 19b-4 would correlate the
listing fee to the Exchange resources required to list and maintain
such ETPs. Products that list without a rule filing do not entail the
additional time and resources required for ETPs that require a rule
filing.
    Annual fees for ETPs are based on the number of shares outstanding
per issuer, and then are further differentiated based on whether the
ETP is index based or not, with higher annual fees for ETPs that are
not based on an index. The Exchange believes that it is reasonable to
charge annual fees for Fund Shares based on that same differentiation.
The Exchange believes that charging Fund Shares that track an index the
same annual fees the Exchange currently charges other ETPs that are not
Managed Fund Shares and Managed Trust Securities would be reasonable
because those relatively lower annual fees better correlate with the
ongoing Exchange costs associated with listing and trading an ETP that
tracks an index, including costs related to issuer services, listing
administration and product development. Further, the Exchange believes
that charging Fund Shares that do not track an index the current annual
fees applicable to Managed Fund Shares and Managed Trust Securities,
which are also actively managed products, would be reasonable because
those annual fees better correlate with the higher Exchange costs for
listing and trading active Fund Shares that track an index, including
costs related to issuer services, listing administration, product
development and regulatory oversight.
The Proposal Is an Equitable Allocation of Fees
    The Exchange believes its proposal equitably allocates its fees
among its market participants. In the prevailing competitive
environment, issuers can readily favor competing venues or transfer
listings if they deem fee levels at a particular venue to be excessive,
or discount opportunities available at other venues to be more
favorable.
    The proposed listing and annual fees for Fund Shares are equitable
because the proposed increased annual fees would apply uniformly to all
issuers. Moreover, the proposed fees would be equitably allocated among
issuers because issuers would continue to qualify for the listed fee
based on issuing ETPs that are Fund Shares and for the annual fee based
on the number of shares outstanding and under criteria applied
uniformly to all such issuers.
    The proposal neither targets nor will it have a disparate impact on
any particular category of market participant. The proposed annual fees
would be applicable to all existing and potential issuers of Fund
Shares uniformly and in equal measure.
The Proposal Is Not Unfairly Discriminatory
    The Exchange believes that the proposal is not unfairly
discriminatory. In the prevailing competitive environment, issuers are
free to list elsewhere if they believe that alternative venues offer
them better value.
    The Exchange believes it is not unfairly discriminatory to offer
the same listing fee for Fund Shares as are currently applicable to
products listed under the Exchange's other generic listing standards.
As noted, products that list without a rule filing are not charged a
listing fee.
    Further, the Exchange believes it is not unfairly discriminatory to
apply the same fees applicable to ETPs with the exception of Managed
Fund Shares and Managed Trust Securities to Fund Shares that track and
index, and to apply the same fees applicable to Managed Fund Shares and
Managed Trust Securities to Fund Shares that do not track and index,
because the proposed fees would be offered on an equal basis to all
issuers listing Fund Shares on the Exchange. Moreover, the proposed
annual fees for Fund Shares would apply to issuers in the same manner
as the current annual fees for ETPs and Managed Fund Shares and Managed
Trust Securities.
    Finally, the Exchange believes that it is subject to significant
competitive forces, as described below in the Exchange's statement
regarding the burden on competition.
    For the foregoing reasons, the Exchange believes that the proposal
is consistent with the Act.

B. Self-Regulatory Organization's Statement on Burden on Competition

    In accordance with Section 6(b)(8) of the Act,\12\ the Exchange
believes that the

proposed rule change would not impose any burden on competition that is
not necessary or appropriate in furtherance of the purposes of the Act.
Instead, as discussed above, the Exchange believes that the proposed
changes would encourage competition because it would establish listing
and annual fees for Fund Shares, thereby encouraging issuers to develop
and list additional products on the Exchange that the Exchange believes
will enhance competition both among issuers and listing venues, to the
benefit of investors. The proposal also ensures that the fees charged
by the Exchange accurately reflect the services provided and benefits
realized by listed issuers. The market for listing services is
extremely competitive. Issuers have the option to list their securities
on these alternative venues based on the fees charged and the value
provided by each listing exchange. Because issuers have a choice to
list their securities on a different national securities exchange, the
Exchange does not believe that the proposed fee changes impose a burden
on competition.
---------------------------------------------------------------------------

    \12\ 15 U.S.C. 78f(b)(8).
---------------------------------------------------------------------------

    Intramarket Competition. The proposed changes are designed to
attract additional listings to the Exchange by establishing listing and
annual fees for an ETPs listed under a new rule. The Exchange believes
that the proposed changes would continue to incentivize issuers to
develop and list new products, transfer existing products to the
Exchange, and maintain listings on the Exchange. The proposed fees and
discounts would be available to all issuers, and, as such, the proposed
change would not impose a disparate burden on competition among market
participants on the Exchange.
    Intermarket Competition. The Exchange operates in a highly
competitive listings market in which issuers can readily choose
alternative listing venues. In such an environment, the Exchange must
adjust its fees and discounts to remain competitive with other
exchanges competing for the same listings. Because competitors are free
to modify their own fees and discounts in response, and because issuers
may readily adjust their listing decisions and practices, the Exchange
does not believe its proposed fee change can impose any burden on
intermarket competition. As such, the proposal is a competitive
proposal designed to enhance pricing competition among listing venues
and implement pricing for Fund Shares to reflect the revenue and
expenses associated with listing on the Exchange.

C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants, or Others

    No written comments were solicited or received with respect to the
proposed rule change.

III. Date of Effectiveness of the Proposed Rule Change and Timing for
Commission Action

    The foregoing rule change is effective upon filing pursuant to
Section 19(b)(3)(A) \13\ of the Act and subparagraph (f)(2) of Rule
19b-4 \14\ thereunder, because it establishes a due, fee, or other
charge imposed by the Exchange.
---------------------------------------------------------------------------

    \13\ 15 U.S.C. 78s(b)(3)(A).
    \14\ 17 CFR 240.19b-4(f)(2).
---------------------------------------------------------------------------

    At any time within 60 days of the filing of such proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission shall institute proceedings under
Section 19(b)(2)(B) \15\ of the Act to determine whether the proposed
rule change should be approved or disapproved.
---------------------------------------------------------------------------

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

IV. Solicitation of Comments

    Interested persons are invited to submit written data, views, and
arguments concerning the foregoing, including whether the proposed rule
change is consistent with the Act. Comments may be submitted by any of
the following methods:

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-NYSEARCA-2020-35 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSEARCA-2020-35. This
file number should be included on the subject line if email is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the proposed
rule change between the Commission and any person, other than those
that may be withheld from the public in accordance with the provisions
of 5 U.S.C. 552, will be available for website viewing and printing in
the Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549, on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of the filing also will be available for inspection
and copying at the principal office of the Exchange. All comments
received will be posted without change. Persons submitting comments are
cautioned that we do not redact or edit personal identifying
information from comment submissions. You should submit only
information that you wish to make available publicly. All submissions
should refer to File Number SR-NYSEARCA-2020-35, and should be
submitted on or before May 26, 2020.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\16\
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    \16\ 17 CFR 200.30-3(a)(12).
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J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-09375 Filed 5-1-20; 8:45 am]
BILLING CODE 8011-01-P