[Federal Register: April 9, 2009 (Volume 74, Number 67)]
[Notices]
[Page 16239-16243]
[DOCID:fr09ap09-112]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. IC-28686; 812-13564]

Phoenix Life Insurance Company, et al.; Notice of Application

April 3, 2009.

AGENCY: Securities and Exchange Commission (``Commission'').

ACTION: Notice of application to amend a prior order under section
12(d)(1)(J) of the Investment Company Act of 1940 (``Act'') for an
exemption from sections 12(d)(1)(A) and (B) of the Act and under
sections 6(c) and 17(b) of the Act for an exemption from section 17(a)
of the Act.

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Summary of Application: Applicants request an order that would amend
and supersede as to them (``Amended Order'') a prior order that permits
certain registered open-end management investment companies to acquire
shares of other registered open-end management investment companies and
unit investment trusts (``UITs'') both within and outside the same
group of investment companies (``Prior Order'').\1\ The Amended Order
would subject applicants to different conditions than the Prior Order
and delete a condition of the Prior Order.
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    \1\ Phoenix Life Insurance Co, et al., Investment Company Act
Release Nos. 27315 (May 8, 2006) (notice) and 27388 (June 5, 2006)
(order). The Prior Order granted relief to the applicants and also
to Phoenix Investment Counsel, Inc. (``PIC''), Phoenix Pholios, and
certain registered open-end management investment companies and
their series advised by PIC or any entity controlling, controlled by
or under common control with PIC.

Applicants: (a) Phoenix Life Insurance Company (``Phoenix''), PHL
Variable Insurance Company (``PHL Variable'') and Phoenix Life and
Annuity Company (``PLAC,'' and together with Phoenix, PHL Variable and
any insurance company controlling, controlled by or under common
control with Phoenix, PHL Variable or PLAC, the ``Insurance
Companies''); (b) Phoenix Edge Series Fund (the ``Edge Fund''),
including the currently existing series and all future series thereof;
(c) any existing or future registered open-end management investment
companies and any series thereof that are part of the same ``group of
investment companies,'' as defined in section 12(d)(1)(G)(ii) of the
Act, as the Edge Fund, and are, or will be, advised by Phoenix Variable
Advisors, Inc. (``PVA'') or any entity controlling, controlled by or
under common control with PVA (together with series of the Edge Fund,
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``Phoenix Funds'' or ``Funds''); and (d) PVA.

Filing Dates: The application was filed on August 11, 2008 and amended
on March 9, 2009. Applicants have agreed to file an amendment during
the notice period, the substance of which is reflected in this notice.

Hearing or Notification of Hearing: An order granting the application
will be issued unless the Commission orders a hearing. Interested
persons may request a hearing by writing to the Commission's Secretary
and serving applicants with a copy of the request, personally or by
mail. Hearing requests should be received by the Commission by 5:30
p.m. April 27, 2009, and should be accompanied by proof of service on
applicants, in the form of an affidavit, or for lawyers, a certificate
of service. Hearing requests should state the nature of the writer's
interest, the reason for the request, and the issues contested. Persons
who wish to be notified of a hearing may request notification by
writing to the Commission's Secretary.

ADDRESSES: Secretary, U.S. Securities and Exchange Commission, 100 F
Street, NE., Washington, DC 20549-1090; Applicants, c/o Kathleen A.
McGah, Esq., Phoenix Life Insurance Company, One American Row, H-11,
Hartford, CT 06102.

FOR FURTHER INFORMATION CONTACT: Emerson S. Davis, Sr., Senior Counsel,
at<PHONE_NUMBER>, or Julia Kim Gilmer, Branch Chief, at<PHONE_NUMBER>
(Division of Investment Management, Office of Investment Company
Regulation).

SUPPLEMENTARY INFORMATION: The following is a summary of the
application. The complete application may be obtained for a fee at the
Public Reference Room, U.S. Securities and Exchange Commission, 100 F
Street, NE., Washington, DC 20549-1520 (telephone<PHONE_NUMBER>).

Applicants' Representations

    1. Phoenix is a New York life insurance company and an indirect
wholly-owned subsidiary of The Phoenix Companies Inc. (``The Phoenix
Companies'') a publicly traded Delaware corporation. PHL Variable is a
Connecticut life insurance company and an indirect wholly-owned
subsidiary of Phoenix. PLAC is a Connecticut life insurance company and
an indirect wholly-owned subsidiary of The Phoenix Companies. The
Insurance Companies issue group and individual variable annuity
contracts and variable life insurance policies (collectively, the
``Contracts'') that offer opportunities to invest in the Edge Fund
through separate accounts registered under the Act (``Registered
Separate Accounts'') and separate accounts exempt from registration
under the Act (``Unregistered Separate Accounts,'' and together with
the Registered Separate Accounts, the ``Separate Accounts''). PVA is an
affiliated person of the Insurance Companies, is registered under the
Investment Advisers Act of 1940 and serves as investment adviser to
each of the Funds that is a series of the Edge Funds.
    2. The Edge Fund is a Massachusetts business trust registered under
the Act as an open-end management investment company, and currently
offers 18 Funds.\2\ Except for organizational seed capital for certain
of the Funds invested by PVA or an affiliate, shares of the Edge Fund
currently are sold exclusively to the Insurance Companies on behalf of
their Separate Accounts to fund benefits under the Contracts. Shares of
the Edge Fund may also be offered in the future to unaffiliated
insurance companies to fund benefits under variable annuity contracts
and variable life insurance policies issued by the unaffiliated
insurance companies, and directly to certain qualified pension and
profit sharing plans pursuant to an order granted by the Commission.\3\
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    \2\ All entities that currently intend to rely on the Amended
Order are named as applicants. Any other entity that relies on the
Amended Order in the future will comply with the terms and
conditions of the application.
    \3\ The Phoenix Edge Series Fund, Investment Company Act Release
Nos. 25687 (July 26, 2002) (notice) and 25703 (August 20, 2002)
(order).
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    3. The Prior Order permits Funds (each a ``Fund of Funds'') to
invest in: (a) Other Funds in the same group of investment companies as
the Fund of Funds (``Affiliated Funds''), and/or (b) registered open-
end management investment companies (``Unaffiliated Management
Companies'') and UITs (``Unaffiliated Trusts'') that are not part of
the ``same group of investment companies'' as defined in Section
12(d)(1)(G)(ii) of the Act as the Fund of Funds (``Unaffiliated
Funds'', and together with the Affiliated Funds, the ``Underlying
Funds''). The Prior Order also permits the Underlying Funds, their
principal underwriters, and any broker or dealer registered under the
Securities Exchange Act of 1934 (``Exchange Act'') to sell shares of an
Underlying Fund to a Fund of Funds. Certain of the Unaffiliated Funds
may be ``exchange-traded funds'' that are registered under the Act as
UITs or open-end management investment companies and have received
exemptive relief to sell their shares on a national securities exchange
at negotiated prices (``ETFs''). Any investment adviser to a Fund of
Funds that meets the definition of section 2(a)(20)(A) of the Act is
referred to as a ``Manager.''
    4. The Amended Order would amend and supersede the Prior Order as
to the applicants by deleting condition 2, which prohibited a Fund of
Funds or its Manager, sub-adviser, promoter, principal underwriter and
any person controlling, controlled by or under common control with any
of these entities (each, a ``Fund of Funds Affiliate'') from receiving
from an Unaffiliated Fund or its investment adviser(s), sponsor,
promoter, principal underwriter and any person controlling, controlled
by or under common control with any of these entities (each, an
``Unaffiliated Fund Affiliate'') any consideration in connection with
any services, transactions or the investment by the Fund of Funds in
the Unaffiliated Fund. The Amended Order will subject applicants to
certain other conditions governing the payment of such consideration
consistent with recent Commission precedent.
    5. Each Fund of Funds may also make investments in government
securities, domestic and foreign common and preferred stock, fixed
income securities, futures transactions, options on the foregoing and
in other securities or instruments that are not issued by registered
investment companies and that are consistent with its investment
objective, including money market instruments. Applicants state that
the requested relief will provide an efficient and simple method of
allowing investors to create a comprehensive asset allocation program.

Applicants' Legal Analysis

A. Section 12(d)(1)

    1. Section 12(d)(1)(A) of the Act prohibits a registered investment
company from acquiring shares of an investment company if the
securities represent more than 3% of the total outstanding voting stock
of the acquired company, more than 5% of the total assets of the
acquiring company, or, together with the securities of any other
investment companies, more than 10% of the total assets of the
acquiring company. Section 12(d)(1)(B) of the Act prohibits a
registered open-end investment company, its principal underwriter and
any broker or dealer from selling the shares of the investment company
to another investment company if the sale will cause the acquiring
company to own more than 3% of the acquired company's voting stock, or
if the sale will cause more than 10% of the acquired company's voting
stock to be owned by investment companies generally.
    2. Section 12(d)(1)(J) of the Act provides that the Commission may
exempt any person, security, or transaction, or any class or classes of
persons, securities or transactions, from any provision of section
12(d)(1) if the exemption is consistent with the public interest and
the protection of investors. Applicants seek an exemption under section
12(d)(1)(J) of the Act from the limitations of sections 12(d)(1)(A) and
(B) of the Act to the extent necessary to permit the Funds of Funds to
acquire shares of Underlying Funds and to permit the Underlying Funds,
their principal underwriters and any broker or dealer registered under
the Exchange Act to sell shares of the Underlying Funds to the Funds of
Funds.
    3. Applicants state that the proposed arrangement will not give
rise to the policy concerns underlying sections 12(d)(1)(A) and (B),
which include concerns about undue influence by a fund of funds over
underlying funds, excessive layering of fees, and overly complex fund
structures. Accordingly, applicants believe that the requested
exemption continues to be consistent with the public interest and the
protection of investors.
    4. Applicants state that the proposed structure will not result in
the exercise of undue influence by a Fund of Funds or its affiliated
persons over the Underlying Funds. The concern about undue influence
does not arise in connection with a Fund of Funds' investment in the
Affiliated Funds,

since they are part of the same group of investment companies. To limit
the control a Fund of Funds or its affiliated persons may have over an
Unaffiliated Fund, applicants remain subject to a condition
prohibiting: (a) A Manager and any person controlling, controlled by or
under common control with such Manager, and any investment company and
any issuer that would be an investment company but for section 3(c)(1)
or section 3(c)(7) of the Act advised or sponsored by the Manager or
any person controlling, controlled by or under common control with the
Manager (collectively, a ``Group''), and (b) any other investment
adviser within the meaning of section 2(a)(20)(B) of the Act to a Fund
of Funds (a ``Sub-Adviser''), any person controlling, controlled by or
under common control with a Sub-Adviser, and any investment company or
issuer that would be an investment company but for section 3(c)(1) or
3(c)(7) of the Act (or portion of such investment company or issuer)
advised by the Sub-Adviser or any person controlling, controlled by or
under common control with the Sub-Adviser (collectively, a ``Sub-
Adviser Group'') from controlling (individually or in the aggregate) an
Unaffiliated Fund within the meaning of section 2(a)(9) of the Act.
    5. Applicants further state that proposed condition 2 precludes a
Fund of Funds or a Fund of Funds Affiliate from taking advantage of an
Unaffiliated Fund with respect to transactions between a Fund of Funds
or a Fund of Funds Affiliate, and the Unaffiliated Fund or an
Unaffiliated Fund Affiliate. No Fund of Funds or Fund of Funds
Affiliate (except to the extent it is acting in its capacity as an
investment adviser to an Unaffiliated Management Company or sponsor to
an Unaffiliated Trust) will cause an Unaffiliated Fund to purchase a
security in an offering of securities during the existence of any
underwriting or selling syndicate of which a principal underwriter is
an officer, director, trustee, advisory board member, investment
adviser, Sub-Adviser, or employee of the Fund of Funds, or a person of
which any such officer, director, trustee, advisory board member,
investment adviser, Sub-Adviser, or employee is an affiliated person
(each, an ``Underwriting Affiliate,'' except any person whose
relationship to the Unaffiliated Fund is covered by section 10(f) of
the Act is not an Underwriting Affiliate). An offering of securities
during the existence of any underwriting or selling syndicate of which
a principal underwriter is an Underwriting Affiliate is an ``Affiliated
Underwriting.''
    6. To further assure that an Unaffiliated Management Company
understands the implications of an investment by a Fund of Funds under
the requested Amended Order, prior to its investment in an Unaffiliated
Management Company in excess of the limit in section 12(d)(1)(A)(i), a
Fund of Funds and Unaffiliated Management Company will execute an
agreement stating, without limitation, that their boards of directors
or trustees and their investment advisers understand the terms and
conditions of the Amended Order and agree to fulfill their
responsibilities under the Amended Order (``Participation Agreement'').
Applicants note that an Unaffiliated Fund (other than an ETF whose
shares are purchased by a Fund of Funds in the secondary market) will
retain the right to reject an investment by a Fund of Funds.\4\
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    \4\ An Unaffiliated Fund, including an ETF, would retain its
right to reject any initial investment by a Fund of Funds in excess
of the limit in section 12(d)(1)(A)(i) of the Act by declining to
execute the Participation Agreement with the Fund of Funds.
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    7. Applicants state that they do not believe that the proposed
arrangement will involve excessive layering of fees. To assure that the
investment advisory fees are not duplicative, applicants state that,
prior to reliance on the requested order and subsequently in connection
with the approval of any investment advisory contract under section 15
of the Act, the board of directors or trustees (``Board'') of each Fund
of Funds, including a majority of the directors or trustees who are not
``interested persons,'' as defined in section 2(a)(19) of the Act
(``Independent Trustees''), will find that the advisory fees charged
under a Fund of Fund's advisory contract(s) are based on services
provided that are in addition to, rather than duplicative of, services
provided pursuant to any Underlying Fund's advisory contract(s).
Applicants further state that a Manager will waive fees otherwise
payable to it by a Fund of Funds in an amount at least equal to any
compensation (including fees received pursuant to any plan adopted by
an Unaffiliated Fund pursuant to rule 12b-1 under the Act) received
from an Unaffiliated Fund by the Manager, or an affiliated person of
the Manager, other than any advisory fees paid to the Manager or an
affiliated person of the Manager by the Unaffiliated Fund, in
connection with the investment by the Fund of Funds in the Unaffiliated
Fund.
    8. Applicants state that with respect to Registered Separate
Accounts that invest in a Fund of Funds, no sales load will be charged
at the Fund of Funds level or at the Underlying Fund level. Other sales
charges and service fees, as defined in Rule 2830 of the Conduct Rules
of the National Association of Securities Dealers (``NASD Conduct Rule
2830''), if any, will only be charged at the Fund of Funds level or at
the Underlying Fund level, not both. With respect to other investments
in a Fund of Funds, any sales charges and/or service fees charged with
respect to shares of a Fund of Funds will not exceed the limits
applicable to funds of funds set forth in NASD Conduct Rule 2830.
    9. Applicants represent that each Fund of Funds will represent in
the Participation Agreement that no insurance company sponsoring a
registered separate account funding variable insurance contracts will
be permitted to invest in the Fund of Funds unless the insurance
company has certified to the Fund of Funds that the aggregate of all
fees and charges associated with each contract that invests in the Fund
of Funds, including fees and charges at the separate account, Fund of
Funds, and Underlying Fund levels, will be reasonable in relation to
the services rendered, the expenses expected to be incurred, and the
risks assumed by the insurance company.
    10. Applicants state that the proposed arrangement will not create
an overly complex fund structure. Applicants note that an Underlying
Fund will be prohibited from acquiring securities of any other
investment company or company relying on section 3(c)(1) or 3(c)(7) of
the Act in excess of the limits contained in section 12(d)(1)(A),
except in certain circumstances identified in condition 12 below.

B. Section 17(a)

    1. Section 17(a) of the Act generally prohibits sales or purchases
of securities between a registered investment company and any
affiliated person of the company. Section 2(a)(3) of the Act defines an
``affiliated person'' of another person to include (a) any person
directly or indirectly owning, controlling, or holding with power to
vote, 5% or more of the outstanding voting securities of the other
person; (b) any person 5% or more of whose outstanding voting
securities are directly or indirectly owned, controlled, or held with
power to vote by the other person; and (c) any person directly or
indirectly controlling, controlled by, or under common control with the
other person.
    2. Applicants state that the Funds of Funds and the Affiliated
Funds might be deemed to be under common control of the Manager, and
therefore affiliated

persons of one another. Applicants also state that the Funds of Funds
and the Underlying Funds might be deemed to be affiliated persons of
one another if a Fund of Funds acquires 5% or more of an Underlying
Fund's outstanding voting securities. In light of these possible
affiliations, section 17(a) could prevent an Underlying Fund from
selling shares to and redeeming shares from a Fund of Funds.\5\
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    \5\ Applicants acknowledge that receipt of compensation by: (a)
An affiliated person of a Fund of Funds, or an affiliated person of
such person, for the purchase by the Fund of Funds of shares of an
Underlying Fund or (b) an affiliated person of an Underlying Fund,
or an affiliated person of such person, for the sale by the
Underlying Fund of its shares to a Fund of Funds may be prohibited
by section 17(e)(1) of the Act. The Participation Agreement also
will include this acknowledgement.
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    3. Section 17(b) of the Act authorizes the Commission to grant an
order permitting a transaction otherwise prohibited by section 17(a) if
it finds that (a) the terms of the proposed transaction are fair and
reasonable and do not involve overreaching on the part of any person
concerned; (b) the proposed transaction is consistent with the policies
of each registered investment company involved; and (c) the proposed
transaction is consistent with the general purposes of the Act. Section
6(c) of the Act permits the Commission to exempt any person or
transactions from any provision of the Act if such exemption is
necessary or appropriate in the public interest and consistent with the
protection of investors and the purposes fairly intended by the policy
and provisions of the Act.
    4. Applicants submit that the proposed arrangement satisfies the
standards for relief under sections 17(b) and 6(c) of the Act as the
terms of the arrangement are fair and reasonable and do not involve
overreaching. Applicants state that the terms upon which an Underlying
Fund will sell its shares to or purchase its shares from a Fund of
Funds will be based on the net asset value of each Underlying Fund.\6\
Applicants also state that the proposed structure will be consistent
with the policies of each Fund of Funds and Underlying Fund, and with
the general purposes of the Act.
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    \6\ Applicants note that a Fund of Funds generally would
purchase and sell shares of an Underlying Fund that operates as an
ETF through secondary market transactions at market prices rather
than through principal transactions with the Underlying Fund at net
asset value. Applicants would not rely on the requested relief from
section 17(a) for such secondary market transactions. A Fund of
Funds could seek to transact in ``creation units'' directly with an
ETF pursuant to the requested Section 17(a) relief.
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Applicants' Conditions

    Applicants agree that any Amended Order granting the requested
relief shall be subject to the following conditions:
    1. The members of a Group will not control (individually or in the
aggregate) an Unaffiliated Fund within the meaning of section 2(a)(9)
of the Act. The members of a Sub-Adviser Group will not control
(individually or in the aggregate) an Unaffiliated Fund within the
meaning of section 2(a)(9) of the Act. If, as a result of a decrease in
the outstanding voting securities of an Unaffiliated Fund, the Group or
the Sub-Adviser Group, each in the aggregate, becomes a holder of more
than 25% of the outstanding voting securities of the Unaffiliated Fund,
it (except for any member of the Group or the Sub-Adviser Group that is
a Separate Account) will vote its shares of the Unaffiliated Fund in
the same proportion as the vote of all other holders of the
Unaffiliated Fund's shares. This condition will not apply to a Sub-
Adviser Group with respect to an Unaffiliated Fund for which the Sub-
Adviser or a person controlling, controlled by, or under common control
with the Sub-Adviser acts as the investment adviser within the meaning
of section 2(a)(20)(A) of the Act (in the case of an Unaffiliated
Management Company) or as the sponsor (in the case of an Unaffiliated
Trust).
    A Registered Separate Account will seek voting instructions from
its Contract holders and will vote its shares of an Unaffiliated Fund
in accordance with the instructions received and will vote those shares
for which no instructions were received in the same proportion as the
shares for which instructions were received. An Unregistered Separate
Account will either: (i) Vote its shares of the Unaffiliated Fund in
the same proportion as the vote of all other holders of the
Unaffiliated Fund's shares; or (ii) seek voting instructions from its
Contract holders and vote its shares in accordance with the
instructions received and vote those shares for which no instructions
were received in the same proportion as the shares for which
instructions were received.
    2. No Fund of Funds or Fund of Funds Affiliate will cause any
existing or potential investment by the Fund of Funds in an
Unaffiliated Fund to influence the terms of any services or
transactions between the Fund of Funds or a Fund of Funds Affiliate and
the Unaffiliated Fund or an Unaffiliated Fund Affiliate.
    3. The Board of each Fund of Funds, including a majority of the
Independent Trustees, will adopt procedures reasonably designed to
assure that the Manager and any Sub-Adviser are conducting the
investment program of the Fund of Funds without taking into account any
consideration received by the Fund of Funds or Fund of Funds Affiliate
from an Unaffiliated Fund or an Unaffiliated Fund Affiliate in
connection with any services or transactions.
    4. Once an investment by a Fund of Funds in the securities of an
Unaffiliated Management Company exceeds the limit of section
12(d)(1)(A)(i) of the Act, the Board of the Unaffiliated Management
Company, including a majority of the Independent Trustees, will
determine that any consideration paid by the Unaffiliated Management
Company to a Fund of Funds or a Fund of Funds Affiliate in connection
with any services or transactions: (a) Is fair and reasonable in
relation to the nature and quality of the services and benefits
received by the Unaffiliated Management Company; (b) is within the
range of consideration that the Unaffiliated Management Company would
be required to pay to another unaffiliated entity in connection with
the same services or transactions; and (c) does not involve
overreaching on the part of any person concerned. This condition does
not apply with respect to any services or transactions between an
Unaffiliated Management Company and its investment adviser(s), or any
person controlling, controlled by, or under common control with such
investment adviser(s).
    5. No Fund of Funds or Fund of Funds Affiliate (except to the
extent it is acting in its capacity as an investment adviser to an
Unaffiliated Management Company or sponsor to an Unaffiliated Trust)
will cause an Unaffiliated Fund to purchase a security in any
Affiliated Underwriting.
    6. The Board of an Unaffiliated Management Company, including a
majority of the Independent Trustees, will adopt procedures reasonably
designed to monitor any purchases of securities by the Unaffiliated
Management Company in an Affiliated Underwriting once an investment by
a Fund of Funds in the securities of the Unaffiliated Management
Company exceeds the limit of section 12(d)(1)(A)(i) of the Act,
including any purchases made directly from an Underwriting Affiliate.
The Board of the Unaffiliated Management Company will review these
purchases periodically, but no less frequently than annually, to
determine whether or not the purchases

were influenced by the investment by the Fund of Funds in the
Unaffiliated Management Company. The Board of the Unaffiliated
Management Company will consider, among other things: (a) Whether or
not the purchases were consistent with the investment objectives and
policies of the Unaffiliated Management Company; (b) how the
performance of securities purchased in an Affiliated Underwriting
compares to the performance of comparable securities purchased during a
comparable period of time in underwritings other than Affiliated
Underwritings or to a benchmark such as a comparable market index; and
(c) whether or not the amount of securities purchased by the
Unaffiliated Management Company in Affiliated Underwritings and the
amount purchased directly from an Underwriting Affiliate have changed
significantly from prior years. The Board of the Unaffiliated
Management Company will take any appropriate actions based on its
review, including, if appropriate, the institution of procedures
designed to assure that purchases of securities in Affiliated
Underwritings are in the best interest of shareholders.
    7. Each Unaffiliated Management Company will maintain and preserve
permanently in an easily accessible place a written copy of the
procedures described in the preceding condition, and any modifications
to such procedures, and will maintain and preserve for a period of not
less than six years from the end of the fiscal year in which any
purchase from an Affiliated Underwriting occurred, the first two years
in an easily accessible place, a written record of each purchase of
securities in an Affiliated Underwriting once an investment by a Fund
of Funds in the securities of an Unaffiliated Management Company
exceeds the limit of section 12(d)(1)(A)(i) of the Act, setting forth
the: (a) Party from whom the securities were acquired; (b) identity of
the underwriting syndicate's members; (c) terms of the purchase; and
(d) information or materials upon which the determinations of the Board
of the Unaffiliated Management Company were made.
    8. Prior to its investment in shares of an Unaffiliated Management
Company in excess of the limit set forth in section 12(d)(1)(A)(i) of
the Act, the Fund of Funds and the Unaffiliated Fund will execute a
Participation Agreement stating, without limitation, that their boards
of directors or trustees and their investment advisers understand the
terms and conditions of the order and agree to fulfill their
responsibilities under the order. At the time of its investment in
shares of an Unaffiliated Management Company in excess of the limit set
forth in section 12(d)(1)(A)(i), a Fund of Funds will notify the
Unaffiliated Management Company of the investment. At such time, the
Fund of Funds will also transmit to the Unaffiliated Management Company
a list of the names of each Fund of Funds Affiliate and Underwriting
Affiliate. The Fund of Funds will notify the Unaffiliated Management
Company of any changes to the list as soon as reasonably practicable
after a change occurs. The Unaffiliated Management Company and the Fund
of Funds will maintain and preserve a copy of the order, the
Participation Agreement, and the list with any updated information for
the duration of the investment and for a period of not less than six
years thereafter, the first two years in an easily accessible place.
    9. Before approving any advisory contract under section 15 of the
Act, the Board of each Fund of Funds, including a majority of the
Independent Trustees, shall find that the advisory fees charged under
the advisory contract are based on services provided that are in
addition to, rather than duplicative of, services provided under the
advisory contract(s) of any Underlying Fund in which the Fund of Funds
may invest. Such finding, and the basis upon which the finding was
made, will be recorded fully in the minute books of the appropriate
Fund of Funds.
    10. Each Manager will waive fees otherwise payable to it by a Fund
of Funds in an amount at least equal to any compensation (including
fees received pursuant to any plan adopted by an Unaffiliated Fund
pursuant to rule 12b-1 under the Act) received from an Unaffiliated
Fund by the Manager, or an affiliated person of the Manager, other than
any advisory fees paid to the Manager or its affiliated person by the
Unaffiliated Fund, in connection with the investment by the Fund of
Funds in the Unaffiliated Fund. Any Sub-Adviser will waive fees
otherwise payable to the Sub-Adviser, directly or indirectly, by the
Fund of Funds in an amount at least equal to any compensation received
by the Sub-Adviser, or an affiliated person of the Sub-Adviser, from an
Unaffiliated Fund, other than any advisory fees paid to the Sub-Adviser
or its affiliated person by the Unaffiliated Fund, in connection with
the investment by the Fund of Funds in the Unaffiliated Underlying Fund
made at the direction of the Sub-Adviser. In the event that the Sub-
Adviser waives fees, the benefit of the waiver will be passed through
to the Fund of Funds.
    11. With respect to Registered Separate Accounts that invest in a
Fund of Funds, no sales load will be charged at the Fund of Funds level
or at the Underlying Fund level. Other sales charges and service fees,
as defined in NASD Conduct Rule 2830, if any, will only be charged at
the Fund of Funds level or at the Underlying Fund level, not both. With
respect to other investments in a Fund of Funds, any sales charges and/
or service fees charged with respect to shares of a Fund of Funds will
not exceed the limits applicable to funds of funds set forth in NASD
Conduct Rule 2830.
    12. No Underlying Fund will acquire securities of any other
investment company or company relying on section 3(c)(1) or 3(c)(7) of
the Act in excess of the limits contained in section 12(d)(1)(A) of the
Act, except to the extent that such Underlying Fund: (a) Receives
securities of another investment company as a dividend or as a result
of a plan of reorganization of a company (other than a plan devised for
the purpose of evading section 12(d)(1) of the Act); or (b) acquires
(or is deemed to have acquired) securities of another investment
company pursuant to exemptive relief from the Commission permitting
such Underlying Fund to: (i) Acquire securities of one or more
investment companies for short-term cash management purposes, or (ii)
engage in interfund borrowing and lending transactions.

    For the Commission, by the Division of Investment Management,
pursuant to delegated authority.
Florence E. Harmon,
Deputy Secretary.
 [FR Doc. E9-8068 Filed 4-8-09; 8:45 am]

BILLING CODE 8010-01-P


[Federal Register: July 7, 2006 (Volume 71, Number 130)]
[Notices]
[Page 38638]
[DOCID:fr07jy06-64]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket Nos. ER00-2268-003, ER00-2268-005, ER00-2268-006, ER00-2268-
007, ER00-2268-008, ER00-2268-010, ER00-2268-012, ER00-2268-013, ER00-
2268-015, EL05-10-002, EL05-10-004, EL05-10-006, ER99-4124-001, ER99-
4124-003, ER99-4124-004, ER99-4124-005, ER99-4124-006, ER99-4124-008,
ER99-4124-010, ER99-4124-011, ER99-4124-013, EL05-11-002, EL05-11-004,
EL05-11-006, ER00-3312-002, ER00-3312-004, ER00-3312-005, ER00-3312-
006, ER00-3312-007, ER00-3312-009, ER00-3312-011, ER00-3312-012, ER00-
3312-014, EL05-12-002, EL05-12-004, EL05-12-006, ER99-4122-004, ER99-
4122-006, ER99-4122-007, ER99-4122-008, ER99-4122-009, ER99-4122-011,
ER99-4122-013, ER99-4122-014, ER99-4122-016, EL05-13-002, EL05-13-004,
and EL05-13-006]

Pinnacle West Capital Corporation, Arizona Public Service
Company, Pinnacle West Energy Corporation, APS Energy Services Company,
Inc.; Notice of Technical Conference

June 28, 2006.
    As announced in an order issued on June 2, 2006, the Commission
staff will hold a technical conference to address mitigation issues in
these proceedings.\1\ This technical conference will be held on July
10, 2006, in the Commission Meeting room at the Federal Energy
Regulatory Commission, 888 First Street, NE., Washington, DC, from
approximately 8:30 a.m. until approximately 5 p.m. (e.s.t.).
---------------------------------------------------------------------------

    \1\[thinsp]Pinnacle West Capital Corp., 115 FERC ][thinsp]61,292
(2006).
---------------------------------------------------------------------------

    Federal Energy Regulatory Commission conferences are accessible
under section 508 of the Rehabilitation Act of 1973. For accessibility
accommodations please send an e-mail to<EMAIL_ADDRESS>or call
toll free<PHONE_NUMBER> (voice) or<PHONE_NUMBER> (TTY), or send a fax
to<PHONE_NUMBER> with the required accommodations.
    All interested parties and staff are permitted to attend the
technical conference. For additional information regarding the meeting,
please contact Cynthia Henry at<EMAIL_ADDRESS>no later than
noon (EST) Friday, July 7, 2006.

Magalie R. Salas,
Secretary.
 [FR Doc. E6-10617 Filed 7-6-06; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register: November 14, 2005 (Volume 70, Number 218)]
[Notices]
[Page 69179-69180]
[DOCID:fr14no05-77]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-52721; File No. SR-DTC-2005-14]

Self-Regulatory Organizations; The Depository Trust Company;
Notice of Filing of a Proposed Rule Change Relating to Compliance With
Regulations Administered by the Office of Foreign Assets Control

November 2, 2005.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ notice is hereby given that on September 9, 2005, The
Depository Trust Company (``DTC'') filed with the Securities and
Exchange Commission (``Commission'') a proposed rule change and on
October 25, 2005, amended the proposed rule change as described in
Items I, II, and III below, which Items have been prepared primarily by
DTC. 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).
---------------------------------------------------------------------------

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

    Under the proposed rule change, DTC would revise its Deposit
Service, Custody Service, and Withdrawals-By-Transfer Service
procedures.

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

    In its filing with the Commission, DTC 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 these statements may be examined at the places specified in
Item IV below. DTC has prepared summaries, set forth in sections A, B,
and C below, of the most significant aspects of such statements.

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

    Under the proposed rule changes, DTC would revise its Deposit
Service, Custody Service, and Withdrawals-By-Transfer Service
procedures. These changes are based upon guidance provided by the U.S.
Department of the Treasury's Office of Foreign Assets Control
(``OFAC'') to DTC.
1. Deposit Service
    In order to receive immediate credit in its securities account at
DTC for a deposit of registered securities, a participant would be
required to certify to DTC that it has compared the parties identified
on the deposited certificate (e.g., the issuer, the party in whose name
the deposited security is registered, and all assignees) against OFAC's
list of targeted countries, Specially Designated Nationals, and other
parties designated by OFAC (collectively referred to as the ``OFAC
list'') and that there were no matches identified by such comparison.
    In the case of a deposit of registered securities by a participant
located outside the United States, including a deposit by or for the
benefit of a participant accepted at a depository facility located
outside the United States, the participant will not receive immediate
credit in its securities account. DTC will give credit for the deposit
only after DTC has screened the parties on the deposit against the OFAC
list and has identified no matches.
2. Custody Service
    With respect to securities and other financial instruments that are
deposited pursuant to DTC's Custody Service procedures, DTC will act on
the instructions of the depositing participant only after DTC has
screened the parties on the deposit against the

OFAC list and has identified no valid matches.\2\
---------------------------------------------------------------------------

    \2\ DTC is already screening the registration information for
securities it is holding as part of its Custody Service.
---------------------------------------------------------------------------

3. Withdrawal-By-Transfer Service
    For securities on deposit that are sought to be withdrawn pursuant
to DTC's Withdrawal-By-Transfer Service, including Withdrawal-By-
Transfer requests for Direct Registration, DTC will act on the
instructions of the withdrawing participant only after DTC has screened
the investor in whose name the securities are to be registered against
the OFAC list and has identified no valid match.
    For each service, in the event that DTC identifies a match against
the OFAC list, DTC would attempt to remove false-positive matches. For
valid matches, DTC would present the matches to participants through a
new Participant Terminal System function called ``OFAP.'' Participants
would be required to review each certificate registration identified as
a potential match through the ``OFAP'' function by comparing the
certificate registration to the OFAC text information and respond with
a comment for each registration by providing factual information
sufficient for DTC to conclude, in its sole discretion, that the
investor is or is not the person or entity listed on the OFAC list.
    DTC believes that the proposed rule change is consistent with the
requirements of Section 17A of the Act \3\ and the rules and
regulations thereunder because it will enhance DTC's compliance with
applicable laws thereby reducing risks and associated costs to DTC and
its participants.
---------------------------------------------------------------------------

    \3\ 15 U.S.C. 78q-1.
---------------------------------------------------------------------------

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

    DTC does not believe that the proposed rule change will have any
impact or impose any burden on competition.

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

    Written comments relating to the proposed rule change have not yet
been solicited or received. DTC will notify the Commission of any
written comments it receives.

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

    Within thirty-five days of the date of publication of this notice
in the Federal Register or within such longer period (i) as the
Commission may designate up to ninety days of such date if it finds
such longer period to be appropriate and publishes its reasons for so
finding or (ii) as to which the self-regulatory organization consents,
the Commission will:
    (A) By order approve such proposed rule change or
    (B) Institute proceedings to determine whether the proposed rule
change should be disapproved.

IV. Solicitation of Comments

    Interested persons are invited to submit written data, views, and
arguments concerning the foregoing, including whether the proposed rule
change, as amended, 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 e-mail to<EMAIL_ADDRESS>Please include

File No. SR-DTC-2005-14 on the subject line.

Paper Comments

     Send paper comments in triplicate to Jonathan G. Katz,
Secretary, Securities and Exchange Commission, 100 F Street, NE.,
Washington DC 20549-9303.

All submissions should refer to File No. SR-DTC-2005-14. This file
number should be included on the subject line if e-mail 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 Web site (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 inspection and copying
in the Commission's Public Reference Section, 100 F Street, NE.,
Washington, DC 20549. Copies of such filing also will be available for
inspection and copying at DTC's principal office and on DTC's Web site
at http://www.dtc.org/impNtc/mor/index.html. All comments received will

be posted without change; the Commission does not edit personal
identifying information from submissions. You should submit only
information that you wish to make available publicly. All submission
should refer to File No. SR-DTC-2005-14 and should be submitted on or
before December 5, 2005.

    For the Commission, by the Division of Market Regulation,
pursuant to delegated authority.\4\
---------------------------------------------------------------------------

    \4\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Jonathan G. Katz,
Secretary.
 [FR Doc. E5-6248 Filed 11-10-05; 8:45 am]

BILLING CODE 8010-01-P


[Federal Register Volume 78, Number 212 (Friday, November 1, 2013)]
[Rules and Regulations]
[Pages 65565-65570]
[FR Doc No: 2013-25984]

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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Part 180

[EPA-HQ-OPP-2012-0589; FRL-9401-8]

Fomesafen; Pesticide Tolerances

AGENCY: Environmental Protection Agency (EPA).

ACTION: Final rule.

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SUMMARY: This regulation establishes tolerances for residues of
fomesafen in or on multiple commodities which are identified and
discussed later in this document. Interregional Research Project Number
4 (IR-4) requested these tolerances under the Federal Food, Drug, and
Cosmetic Act (FFDCA).

DATES: This regulation is effective November 1, 2013. Objections and
requests for hearings must be received on or before December 31, 2013,
and must be filed in accordance with the instructions provided in 40
CFR part 178 (see also Unit I.C. of the SUPPLEMENTARY INFORMATION).

ADDRESSES: The docket for this action, identified by docket
identification (ID) number EPA-HQ-OPP-2012-0589, is available at http://www.regulations.gov or at the Office of Pesticide Programs Regulatory
Public Docket (OPP Docket) in the Environmental Protection Agency
Docket Center (EPA/DC), EPA West Bldg., Rm. 3334, 1301 Constitution
Ave. NW., Washington, DC 20460-0001. The Public Reading Room is open
from 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal
holidays. The telephone number for the Public Reading Room is (202)
566-1744, and the telephone number for the OPP

Docket is<PHONE_NUMBER>. Please review the visitor instructions and
additional information about the docket available at http://www.epa.gov/dockets.

FOR FURTHER INFORMATION CONTACT: Lois Rossi, Registration Division
(7505P), Office of Pesticide Programs, Environmental Protection Agency,
1200 Pennsylvania Ave. NW., Washington, DC 20460-0001; telephone
number:<PHONE_NUMBER>; email address<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. General Information

A. Does this action apply to me?

    You may be potentially affected by this action if you are an
agricultural producer, food manufacturer, or pesticide manufacturer.
The following list of North American Industrial Classification System
(NAICS) codes is not intended to be exhaustive, but rather provides a
guide to help readers determine whether this document applies to them.
Potentially affected entities may include:
     Crop production (NAICS code 111).
     Animal production (NAICS code 112).
     Food manufacturing (NAICS code 311).
     Pesticide manufacturing (NAICS code 32532).

B. How can I get electronic access to other related information?

    You may access a frequently updated electronic version of EPA's
tolerance regulations at 40 CFR part 180 through the Government
Printing Office's e-CFR site at http://www.ecfr.gov/cgi-bin/text-idx?&c=ecfr&tpl=/ecfrbrowse/Title40/40tab_02.tpl.

C. How can I file an objection or hearing request?

    Under FFDCA section 408(g), 21 U.S.C. 346a, any person may file an
objection to any aspect of this regulation and may also request a
hearing on those objections. You must file your objection or request a
hearing on this regulation in accordance with the instructions provided
in 40 CFR part 178. To ensure proper receipt by EPA, you must identify
docket ID number EPA-HQ-OPP-2012-0589 in the subject line on the first
page of your submission. All objections and requests for a hearing must
be in writing, and must be received by the Hearing Clerk on or before
December 31, 2013. Addresses for mail and hand delivery of objections
and hearing requests are provided in 40 CFR 178.25(b).
    In addition to filing an objection or hearing request with the
Hearing Clerk as described in 40 CFR part 178, please submit a copy of
the filing (excluding any Confidential Business Information (CBI)) for
inclusion in the public docket. Information not marked confidential
pursuant to 40 CFR part 2 may be disclosed publicly by EPA without
prior notice. Submit the non-CBI copy of your objection or hearing
request, identified by docket ID number EPA-HQ-OPP-2012-0589, by one of
the following methods:
     Federal eRulemaking Portal: http://www.regulations.gov.
Follow the online instructions for submitting comments. Do not submit
electronically any information you consider to be CBI or other
information whose disclosure is restricted by statute.
     Mail: OPP Docket, Environmental Protection Agency Docket
Center (EPA/DC), (28221T), 1200 Pennsylvania Ave. NW., Washington, DC
20460-0001.
     Hand Delivery: To make special arrangements for hand
delivery or delivery of boxed information, please follow the
instructions at http://www.epa.gov/dockets/contacts.html.

Additional instructions on commenting or visiting the docket, along
with more information about dockets generally, is available at http://www.epa.gov/dockets.

II. Summary of Petitioned-For Tolerance

    In the Federal Register of September 28, 2012 (77 FR 59578) (FRL-
9364-6) and June 5, 2013 (78 FR 33785) (FRL-9386-2), EPA issued
documents pursuant to FFDCA section 408(d)(3), 21 U.S.C. 346a(d)(3),
announcing the filing of pesticide petitions (PP 2E8061 and 3E8167) by
IR-4, IR-4 Project Headquarters, 500 College Road East, Suite 201W,
Princeton, NJ 08540. The petitions requested that 40 CFR 180.433 be
amended by establishing tolerances for residues of the herbicide
fomesafen, 5-[2-chloro-4-(trifluoromethyl)phenoxy]-N-(methylsulfonyl)-
2-nitrobenzamide, in or on cantaloupe; cucumber; pea, succulent;
pumpkin; squash, summer; squash, winter; and watermelon all at 0.025
parts per million (ppm); and soybean, vegetable, succulent at 0.05 ppm
(2E8061); and bean, lima, succulent at 0.05 ppm (3E8167). The documents
referenced a summary of each petition prepared by Syngenta Crop
Protections, LLC, the registrant, which are available in the docket,
http://www.regulations.gov. One public comment was received on the
notice of filing for PP 3E8167. EPA's response to the comment is
discussed in Unit IV.C.
    Based upon review of data supporting the petition, EPA corrected
the commodity name for certain crops for which a tolerance was proposed
as explained in Unit IV.D.

III. Aggregate Risk Assessment and Determination of Safety

    Section 408(b)(2)(A)(i) of FFDCA allows EPA to establish a
tolerance (the legal limit for a pesticide chemical residue in or on a
food) only if EPA determines that the tolerance is ``safe.'' Section
408(b)(2)(A)(ii) of FFDCA defines ``safe'' to mean that ``there is a
reasonable certainty that no harm will result from aggregate exposure
to the pesticide chemical residue, including all anticipated dietary
exposures and all other exposures for which there is reliable
information.'' This includes exposure through drinking water and in
residential settings, but does not include occupational exposure.
Section 408(b)(2)(C) of FFDCA requires EPA to give special
consideration to exposure of infants and children to the pesticide
chemical residue in establishing a tolerance and to ``ensure that there
is a reasonable certainty that no harm will result to infants and
children from aggregate exposure to the pesticide chemical residue.* *
*''
    Consistent with FFDCA section 408(b)(2)(D), and the factors
specified in FFDCA section 408(b)(2)(D), EPA has reviewed the available
scientific data and other relevant information in support of this
action. EPA has sufficient data to assess the hazards of and to make a
determination on aggregate exposure for fomesafen including exposure
resulting from the tolerances established by this action. EPA's
assessment of exposures and risks associated with fomesafen follows.

A. Toxicological Profile

    EPA has evaluated the available toxicity data and considered their
validity, completeness, and reliability as well as the relationship of
the results of the studies to human risk. EPA has also considered
available information concerning the variability of the sensitivities
of major identifiable subgroups of consumers, including infants and
children.
    In the subchronic and chronic fomesafen toxicity studies in rats
and mice, food consumption, food efficiency, body weight, body weight
gain, and histopathological changes in the liver were parameters that
were most often affected. In addition, dogs and mice also showed
hematological changes (e.g., decreased erythrocyte count, hemoglobin,
or hematocrit).
    In the developmental studies, post-implantation loss was noted but
no quantitative or qualitative evidence of increased susceptibility to
fomesafen

was seen following in utero exposure to rat or rabbit fetuses in
prenatal developmental studies or postnatally in rat 2-generation
reproduction study.
    Acute neurotoxicity studies indicate fomesafen may cause
neurotoxicity (decreased motor activity) at the same dose level as
systemic toxicity. Although suppression of anti-sheep red blood cell
immunoglobulin (SRBC IgM) response was noted in the immunotoxicity
study, the selected endpoints for risk assessment are protective of
this effect.
    Carcinogenicity was not observed in the rat chronic toxicity/
carcinogenicity study. Although liver tumors were seen in the mouse
carcinogenicity study, EPA classified fomesafen as ``Not Likely to be
Carcinogenic to Humans'' because the mode of action for fomesafen-
induced hepatocarcinogenesis in mice is unlikely to take place in
humans. Fomesafen was not considered to be mutagenic.
    Specific information on the studies received and the nature of the
adverse effects caused by fomesafen, as well as the no observed adverse
effect level (NOAEL) and the lowest observed adverse effect level
(LOAEL) from the toxicity studies, can be found at http://www.regulations.gov in document: ``Fomesafen Sodium: Human Health Risk
Assessment for the Section 3 Registration Action on Cantaloupe,
Cucumber, Pea (Succulent), Pumpkin, Summer Squash, Winter Squash,
Watermelon, Soybean (Succulent) and Lima Bean (Succulent),'' dated July
18, 2013 at page 27 in docket ID number EPA-HQ-OPP-2012-0589.

B. Toxicological Points of Departure/Levels of Concern

    Once a pesticide's toxicological profile is determined, EPA
identifies toxicological points of departure (POD) and levels of
concern to use in evaluating the risk posed by human exposure to the
pesticide. For hazards that have a threshold below which there is no
appreciable risk, the toxicological POD is used as the basis for
derivation of reference values for risk assessment. PODs are developed
based on a careful analysis of the doses in each toxicological study to
determine the dose at which no adverse effects are observed (the NOAEL)
and the lowest dose at which adverse effects of concern are identified
(the LOAEL). Uncertainty/safety factors are used in conjunction with
the POD to calculate a safe exposure level--generally referred to as a
population-adjusted dose (PAD) or a reference dose (RfD)--and a safe
margin of exposure (MOE). For non-threshold risks, the Agency assumes
that any amount of exposure will lead to some degree of risk. Thus, the
Agency estimates risk in terms of the probability of an occurrence of
the adverse effect expected in a lifetime. For more information on the
general principles EPA uses in risk characterization and a complete
description of the risk assessment process, see http://www.epa.gov/pesticides/factsheets/riskassess.htm.
    A summary of the toxicological endpoints for fomesafen used for
human risk assessment is shown in Table 1. of this unit.

   Table 1--Summary of Toxicological Doses and Endpoints for Fomesafen for Use in Human Health Risk Assessment
----------------------------------------------------------------------------------------------------------------
                                    Point of departure
        Exposure/scenario            and uncertainty/     RfD, PAD, LOC for     Study and toxicological effects
                                      safety factors       risk assessment
----------------------------------------------------------------------------------------------------------------
Acute dietary (General population  NOAEL = 100 mg/kg/    Acute RfD = 1 mg/kg/ Acute neurotoxicity test in the
 including infants and children).   day                   day                  rat.
                                   UFA = 10x...........  aPAD = 1 mg/kg/day.  LOAEL = 250 mg/kg/day based on
                                   UFH = 10x...........                        decreased body weight and motor
                                   FQPA SF = 1x........                        activity (horizontal and vertical
                                                                               activity and time in central
                                                                               quadrant) in males.
----------------------------------------------------------------------------------------------------------------
Chronic dietary (All populations)  NOAEL= 0.25 mg/kg/    Chronic RfD =        Chronic toxicity/carcinogenicity
                                    day UFA = 10x         0.0025 mg/kg/day     in the rat.
                                   UFH = 10x...........  cPAD = 0.0025 mg/kg/ LOAEL = 5 mg/kg/day based on
                                   FQPA SF = 1x........   day.                 hyalinization of the liver in
                                                                               males.
----------------------------------------------------------------------------------------------------------------
FQPA SF = Food Quality Protection Act Safety Factor. LOAEL = lowest observed adverse effect level. NOAEL = no
  observed adverse effect level. PAD = population adjusted dose (a = acute, c = chronic). RfD = reference dose.
  UF = uncertainty factor. UFA = extrapolation from animal to human (interspecies). UFH = potential variation in
  sensitivity among members of the human population (intraspecies).

C. Exposure Assessment

    1. Dietary exposure from food and feed uses. In evaluating dietary
exposure to fomesafen, EPA considered exposure under the petitioned-for
tolerances as well as all existing fomesafen tolerances in 40 CFR
180.433. EPA assessed dietary exposures from fomesafen in food as
follows:
    i. Acute exposure. Quantitative acute dietary exposure and risk
assessments are performed for a food-use pesticide, if a toxicological
study has indicated the possibility of an effect of concern occurring
as a result of a 1-day or single exposure.
    Such effects were identified for fomesafen. In estimating acute
dietary exposure, EPA used Dietary Exposure Evaluation Model--Food
Consumption Intake Database (DEEM-FCID), ver. 3.16 which incorporates
consumption data from the United States Department of Agriculture
(USDA) 2003--2008 National Health and Nutrition Examination Survey,
What We Eat in America (NHANES/WWEA). Acute analysis assumed 100
percent crop treated (PCT), DEEM 7.81 default concentration factors,
tolerance-level residues for all existing and proposed crop uses.
    ii. Chronic exposure. In conducting the chronic dietary exposure
assessment EPA used DEEM-FCID, ver. 3.16 which incorporates consumption
data from USDA 2003--2008 NHANES/WWEA. As to residue levels in food,
EPA analysis assumed 100 PCT and tolerance-level residues for all
existing and proposed crop uses.
    iii. Cancer. Based on the data summarized in Unit III.A., a dietary
exposure assessment for the purpose of assessing cancer risk is
unnecessary.
    iv. Anticipated residue and PCT information. EPA did not use
anticipated residue or PCT information in the dietary assessment for
fomesafen. Tolerance level residues and 100 PCT were assumed for all
food commodities.
    2. Dietary exposure from drinking water. The Agency used screening
level water exposure models in the dietary exposure analysis and risk
assessment for fomesafen in drinking water. These simulation models
take into account

data on the physical, chemical, and fate/transport characteristics of
fomesafen. Further information regarding EPA drinking water models used
in pesticide exposure assessment can be found at http://www.epa.gov/oppefed1/models/water/index.htm.
    Screening model Tier II Pesticide Root Zone Model/Exposure Analysis
Modeling System (PRZM/EXAMS) was used to calculate surface water
estimated drinking water concentrations (EDWCs). Groundwater EDWCs for
fomesafen were calculated using Tier 1 Pesticide Root Zone Model Ground
Water (PRZM GW). Acute exposures are estimated to be 34.8 parts per
billion (ppb) for surface water and 51.8 ppb for ground water.
    Chronic exposures for non-cancer assessments are estimated to be
13.1 ppb for surface water and 32.3 ppb for ground water.
    Modeled estimates of drinking water concentrations are based on
ground water EDWCs, which were highest among surface water and ground
water EDWCs (representing worst case), were directly entered into the
dietary exposure model.
    For acute dietary risk assessment, the water concentration value of
51.8 ppb was used to assess the contribution to drinking water.
    For chronic dietary risk assessment, the water concentration of
value 32.3 ppb was used to assess the contribution to drinking water.
    3. From non-dietary exposure. The term ``residential exposure'' is
used in this document to refer to non-occupational, non-dietary
exposure (e.g., for lawn and garden pest control, indoor pest control,
termiticides, and flea and tick control on pets).
    Fomesafen is not registered for any specific use patterns that
would result in residential exposure.
    4. Cumulative effects from substances with a common mechanism of
toxicity. Section 408(b)(2)(D)(v) of FFDCA requires that, when
considering whether to establish, modify, or revoke a tolerance, the
Agency consider ``available information'' concerning the cumulative
effects of a particular pesticide's residues and ``other substances
that have a common mechanism of toxicity.''
    EPA has not found fomesafen to share a common mechanism of toxicity
with any other substances, and fomesafen does not appear to produce a
toxic metabolite produced by other substances. For the purposes of this
tolerance action, therefore, EPA has assumed that fomesafen does not
have a common mechanism of toxicity with other substances. For
information regarding EPA's efforts to determine which chemicals have a
common mechanism of toxicity and to evaluate the cumulative effects of
such chemicals, see EPA's Web site at http://www.epa.gov/pesticides/cumulative.

D. Safety Factor for Infants and Children

    1. In general. Section 408(b)(2)(C) of FFDCA provides that EPA
shall apply an additional tenfold (10X) margin of safety for infants
and children in the case of threshold effects to account for prenatal
and postnatal toxicity and the completeness of the database on toxicity
and exposure unless EPA determines based on reliable data that a
different margin of safety will be safe for infants and children. This
additional margin of safety is commonly referred to as the FQPA Safety
Factor (SF). In applying this provision, EPA either retains the default
value of 10X, or uses a different additional safety factor when
reliable data available to EPA support the choice of a different
factor.
    2. Prenatal and postnatal sensitivity. The pre- and postnatal
database for fomesafen includes a prenatal developmental toxicity study
in rabbits, two prenatal developmental toxicity studies in rats, and a
2-generation reproduction toxicity study in rats. The rabbit
developmental study was classified as unacceptable because of bacterial
infection in the colony; however, the study provided information to
assess potential developmental toxicity in rabbits. There was no
significant difference between the treated and control animals for
developmental abnormalities in the rabbit study. In the two rat
developmental studies (considered together), developmental effects
(postimplantation loss) occurred at the same dose causing maternal
toxicity (staining of the ventral fur and significantly decreased body
weight gain (>10%)). In the rat reproduction study, offspring effects
(increased incidence of liver hyalinization in males) occurred at the
same dose causing parental effects (liver histopathology in males and
females of both generations).
    3. Conclusion. EPA has determined that reliable data show the
safety of infants and children would be adequately protected if the
FQPA SF were reduced to 1x. That decision is based on the following
findings:
    i. The toxicity database for fomesafen is complete. The
developmental toxicity study in rabbits, classified unacceptable due to
mortality from bacterial infections, showed no evidence of increased
susceptibility of rabbit fetuses due to the treatment with fomesafen.
Therefore, the lack of an acceptable developmental toxicity study in
non-rodents was not considered a data gap.
    ii. There is no need for a developmental neurotoxicity study or
additional UFs to account for neurotoxicity. In an acute neurotoxicity
screening battery in rats, decreased motor activity (horizontal and
vertical activity and time in central quadrant) was observed at the
same dose that resulted in general systemic toxicity. In the subchronic
neurotoxicity test, neither general systemic toxicity nor neurotoxicity
was observed at the highest dose tested. All points of departure used
in the risk assessment are protective of any potential neurotoxicity.
    iii. There is no evidence that fomesafen results in increased
susceptibility in in utero rats or rabbits in the prenatal
developmental studies or in young rats in the 2-generation reproduction
study. The 2-generation reproduction study in rats did not show
evidence of increased susceptibility to fomesafen.
    iv. There are no residual uncertainties identified in the exposure
databases. Tolerance level residues and 100 PCT were assumed for all
food commodities. EPA made conservative (protective) assumptions in the
ground and surface water modeling used to assess exposure to fomesafen
in drinking water. These assessments will not underestimate the
exposure and risks posed by fomesafen.

E. Aggregate Risks and Determination of Safety

    EPA determines whether acute and chronic dietary pesticide
exposures are safe by comparing aggregate exposure estimates to the
acute PAD (aPAD) and chronic PAD (cPAD). For linear cancer risks, EPA
calculates the lifetime probability of acquiring cancer given the
estimated aggregate exposure. Short-, intermediate-, and chronic-term
risks are evaluated by comparing the estimated aggregate food, water,
and residential exposure to the appropriate PODs to ensure that an
adequate MOE exists.
    1. Acute risk. Using the exposure assumptions discussed in this
unit for acute exposure, the acute dietary exposure from food and water
to fomesafen will occupy < 1% of the aPAD for all population subgroups,
including all infants (< 1 year old), the population group receiving
the greatest exposure.
    2. Chronic risk. Using the exposure assumptions described in this
unit for chronic exposure, EPA has concluded that chronic exposure to
fomesafen from

food and water will utilize 77% of the cPAD for all infants (< 1 year
old) the population group receiving the greatest exposure. There are no
residential uses for fomesafen.
    3. Short- and intermediate-term risk. Short- and intermediate-term
aggregate exposure takes into account short- or intermediate-term
residential exposure plus chronic exposure from food and water
(considered to be a background exposure level). Short- and
intermediate-term adverse effects were identified; however, fomesafen
is not registered for any use patterns that would result in short- and
intermediate-term residential exposure. Because there is no short- or
intermediate-term residential exposure and chronic dietary exposure has
already been assessed under the appropriately protective cPAD (which is
at least as protective as the POD used to assess short-term risk), no
further assessment of short- or intermediate-term risk is necessary,
and EPA relies on the chronic dietary risk assessment for evaluating
short- and intermediate-term risk for fomesafen.
    4. Aggregate cancer risk for U.S. population. Based on the data
summarized in Unit III.A., fomesafen is not expected to pose a cancer
risk to humans.
    5. Determination of safety. Based on these risk assessments, EPA
concludes that there is a reasonable certainty that no harm will result
to the general population, or to infants and children from aggregate
exposure to fomesafen residues.

IV. Other Considerations

A. Analytical Enforcement Methodology

    Adequate enforcement methodology (high performance liquid
chromatography method with tandem mass spectrometry detection (LC/MS/
MS) method (GRM045.01A) is available to enforce the tolerance
expression. The validated limit of quantitation (LOQ) of the method is
0.02 ppm.
    The method may be requested from: Chief, Analytical Chemistry
Branch, Environmental Science Center, 701 Mapes Rd., Ft. Meade, MD
20755-5350; telephone number:<PHONE_NUMBER>; email address:
<EMAIL_ADDRESS>
B. International Residue Limits

    In making its tolerance decisions, EPA seeks to harmonize U.S.
tolerances with international standards whenever possible, consistent
with U.S. food safety standards and agricultural practices. EPA
considers the international maximum residue limits (MRLs) established
by the Codex Alimentarius Commission (Codex), as required by FFDCA
section 408(b)(4). The Codex Alimentarius is a joint United Nations
Food and Agriculture Organization/World Health Organization food
standards program, and it is recognized as an international food safety
standards-setting organization in trade agreements to which the United
States is a party. EPA may establish a tolerance that is different from
a Codex MRL; however, FFDCA section 408(b)(4) requires that EPA explain
the reasons for departing from the Codex level.
    Codex has not established maximum residue limits (MRLs) for
residues of fomesafen.

C. Response to Comments

    The Agency received an anonymous public comment objecting to the
proposed fomesafen tolerance on lima bean because of the amounts of
pesticides already consumed and carried by the American population.
    The Agency understands the commenter's concerns and recognizes that
some individuals believe that pesticides should be banned completely.
However, under the existing legal framework provided by section 408 of
the FFDCA, EPA is authorized to establish pesticide tolerances or
exemptions where persons seeking such tolerances or exemptions have
demonstrated that the pesticide meets the safety standard imposed by
that statute.

D. Revisions to Petitioned-For Tolerances

    Petitioned-for tolerance levels in or on commodities were
unchanged, however, the commodity name of certain proposed crops was
changed to comply with current EPA commodity definitions, as follows:
Winter, squash changed to squash, winter; vegetable, soybean, succulent
to soybean, vegetable, succulent; and lima, bean to bean, lima,
succulent.

V. Conclusion

    Therefore, tolerances are established for residues of the herbicide
fomesafen, including its metabolites and degradates, in or on
cantaloupe; cucumber; pea, succulent; pumpkin; squash, summer; squash,
winter; and watermelon all at 0.025 ppm; soybean, vegetable, succulent
at 0.05 ppm; and bean, lima, succulent at 0.05 ppm.

VI. Statutory and Executive Order Reviews

    This final rule establishes tolerances under FFDCA section 408(d)
in response to a petition submitted to the Agency. The Office of
Management and Budget (OMB) has exempted these types of actions from
review under Executive Order 12866, entitled ``Regulatory Planning and
Review'' (58 FR 51735, October 4, 1993). Because this final rule has
been exempted from review under Executive Order 12866, this final rule
is not subject to Executive Order 13211, entitled ``Actions Concerning
Regulations That Significantly Affect Energy Supply, Distribution, or
Use'' (66 FR 28355, May 22, 2001) or Executive Order 13045, entitled
``Protection of Children from Environmental Health Risks and Safety
Risks'' (62 FR 19885, April 23, 1997). This final rule does not contain
any information collections subject to OMB approval under the Paperwork
Reduction Act (PRA) (44 U.S.C. 3501 et seq.), nor does it require any
special considerations under Executive Order 12898, entitled ``Federal
Actions to Address Environmental Justice in Minority Populations and
Low-Income Populations'' (59 FR 7629, February 16, 1994).
    Since tolerances and exemptions that are established on the basis
of a petition under FFDCA section 408(d), such as the tolerances in
this final rule, do not require the issuance of a proposed rule, the
requirements of the Regulatory Flexibility Act (RFA) (5 U.S.C. 601 et
seq.), do not apply.
    This final rule directly regulates growers, food processors, food
handlers, and food retailers, not States or tribes, nor does this
action alter the relationships or distribution of power and
responsibilities established by Congress in the preemption provisions
of FFDCA section 408(n)(4). As such, the Agency has determined that
this action will not have a substantial direct effect on States or
tribal governments, on the relationship between the national government
and the States or tribal governments, or on the distribution of power
and responsibilities among the various levels of government or between
the Federal Government and Indian Tribes. Thus, the Agency has
determined that Executive Order 13132, entitled ``Federalism'' (64 FR
43255, August 10, 1999) and Executive Order 13175, entitled
``Consultation and Coordination with Indian Tribal Governments'' (65 FR
67249, November 9, 2000) do not apply to this final rule. In addition,
this final rule does not impose any enforceable duty or contain any
unfunded mandate as described under Title II of the Unfunded Mandates
Reform Act of 1995 (UMRA) (2 U.S.C. 1501 et seq.).
    This action does not involve any technical standards that would
require

Agency consideration of voluntary consensus standards pursuant to
section 12(d) of the National Technology Transfer and Advancement Act
of 1995 (NTTAA) (15 U.S.C. 272 note).

VII. Congressional Review Act

    Pursuant to the Congressional Review Act (5 U.S.C. 801 et seq.),
EPA will submit a report containing this rule and other required
information to the U.S. Senate, the U.S. House of Representatives, and
the Comptroller General of the United States prior to publication of
the rule in the Federal Register. This action is not a ``major rule''
as defined by 5 U.S.C. 804(2).

List of Subjects in 40 CFR Part 180

    Environmental protection, Administrative practice and procedure,
Agricultural commodities, Pesticides and pests, Reporting and
recordkeeping requirements.

    Dated: October 17, 2013.
Lois Rossi,
Director, Registration Division, Office of Pesticide Programs.

    Therefore, 40 CFR chapter I is amended as follows:

PART 180--[AMENDED]

0
1. The authority citation for part 180 continues to read as follows:

    Authority:  21 U.S.C. 321(q), 346a and 371.

0
2. In Sec.  180.433, add alphabetically the following commodities to
the table in paragraph (a) to read as follows:

Sec.  180.433  Fomesafen; tolerance for residues.

    (a) General. * * *

------------------------------------------------------------------------
                                                              Parts per
                         Commodity                             million
------------------------------------------------------------------------

                                * * * * *
Bean, lima, succulent......................................         0.05

                                * * * * *
Cantaloupe.................................................        0.025

                                * * * * *
Cucumber...................................................        0.025
Pea, succulent.............................................        0.025

                                * * * * *
Pumpkin....................................................        0.025

                                * * * * *
Soybean, vegetable, succulent..............................         0.05
Squash, summer.............................................        0.025
Squash, winter.............................................        0.025

                                * * * * *
Watermelon.................................................        0.025
------------------------------------------------------------------------

* * * * *
[FR Doc. 2013-25984 Filed 10-31-13; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register Volume 86, Number 29 (Tuesday, February 16, 2021)]
[Notices]
[Pages 9568-9571]
[FR Doc No: 2021-02982]

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

DEPARTMENT OF TRANSPORTATION

Pipeline and Hazardous Materials Safety Administration

[Docket No. PHMSA-2021-0003]

Pipeline Safety: Information Collection Activities

AGENCY: Pipeline and Hazardous Materials Safety Administration (PHMSA),
DOT.

ACTION: Notice and request for comments.

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

SUMMARY: In accordance with the Paperwork Reduction Act of 1995, Public
Law 104-13, PHMSA invites public comments about our intention to
request the Office of Management and Budget (OMB) approval to renew the
following information collections that are scheduled to expire in 2021
under OMB control numbers: 2137-0632 Post-Accident Drug Testing for
Operators (6/30/21); 2137-0594 Customer-Owned Service Lines (8/31/21);
2137-0622 Public Awareness Program (9/30/21); 2137-0048 Recordkeeping
Requirements for Liquefied Natural Gas Facilities (9/30/21); 2137-0618
Periodic Underwater Inspection and Notification of Abandoned Underwater
Pipelines (10/31/21); 2137-0600 Qualification of Pipeline Safety
Training (10/31/21), and

2137-0634 Recordkeeping for Underground Natural Gas Storage Facilities
(10/31/21). PHMSA has reviewed each of these collections and considers
them vital to the continuity of promoting and maintaining pipeline
safety. As such, PHMSA will request a renewal, without change, to each
of the information collections detailed below.

DATES: Interested persons are invited to submit comments on or before
April 19, 2021.

ADDRESSES: Comments may be submitted in the following ways:
    E-Gov website: http://www.regulations.gov. This site allows the
public to submit comments on any Federal Register notice issued by any
agency.
    Fax: 1-202-493-2251.
    Mail: Docket Management Facility; U.S. Department of Transportation
(DOT), 1200 New Jersey Avenue SE, West Building, Room W12-140,
Washington, DC 20590-0001.
    Hand Delivery: Room W12-140 on the ground level of DOT, West
Building, 1200 New Jersey Avenue SE, Washington, DC, between 9:00 a.m.
and 5:00 p.m., Monday through Friday, except Federal holidays.
    Instructions: Identify the docket number, PHMSA-2021-0003, at the
beginning of your comments. Note that all comments received will be
posted without change to http://www.regulations.gov, including any
personal information provided. You should know that anyone is able to
search the electronic form of all comments received into any of our
dockets by the name of the individual submitting the comment (or
signing the comment, if submitted on behalf of an association,
business, labor union, etc.). Therefore, you may want to review DOT's
complete Privacy Act Statement in the Federal Register published on
April 11, 2000, (65 FR 19477) or visit http://www.regulations.gov
before submitting any such comments.
    Docket: For access to the docket or to read background documents or
comments, go to http://www.regulations.gov at any time or to Room W12-
140 on the ground level of DOT, West Building, 1200 New Jersey Avenue
SE, Washington, DC, between 9:00 a.m. and 5:00 p.m., Monday through
Friday, except Federal holidays. If you wish to receive confirmation of
receipt of your written comments, please include a self-addressed,
stamped postcard with the following statement: ``Comments on: PHMSA-
2021-0003.'' The Docket Clerk will date stamp the postcard prior to
returning it to you via the U.S. mail. Please note that due to delays
in the delivery of U.S. mail to Federal offices in Washington, DC, we
recommend that persons consider an alternative method (internet, fax,
or professional delivery service) of submitting comments to the docket
and ensuring their timely receipt at DOT.
    Privacy Act Statement: DOT may solicit comments from the public
regarding certain general notices. DOT posts these comments, without
edit, including any personal information the commenter provides, to
www.regulations.gov, as described in the system of records notice (DOT/
ALL-14 FDMS), which can be reviewed at www.dot.gov/privacy.
    Confidential Business Information: Confidential Business
Information (CBI) is commercial or financial information that is both
customarily and actually treated as private by its owner. Under the
Freedom of Information Act (FOIA) (5 U.S.C. 552), CBI is exempt from
public disclosure. If your comments responsive to this notice contain
commercial or financial information that is customarily treated as
private, that you actually treat as private, and that is relevant or
responsive to this notice, it is important that you clearly designate
the submitted comments as CBI. Pursuant to 49 CFR 190.343, you may ask
PHMSA to give confidential treatment to information you give to the
Agency by taking the following steps: (1) Mark each page of the
original document submission containing CBI as ``Confidential''; (2)
send PHMSA, along with the original document, a second copy of the
original document with the CBI deleted; and (3) explain why the
information you are submitting is CBI. Unless you are notified
otherwise, PHMSA will treat such marked submissions as confidential
under the FOIA, and they will not be placed in the public docket of
this notice. Submissions containing CBI should be sent to Angela Hill,
DOT, PHMSA, 1200 New Jersey Avenue SE, PHP-30, Washington, DC 20590-
0001. Any commentary PHMSA receives that is not specifically designated
as CBI will be placed in the public docket for this matter.

FOR FURTHER INFORMATION CONTACT: Angela Hill by telephone at 202-366-
1246 or by email at<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: Section 1320.8(d), Title 5, Code of Federal
Regulations, requires PHMSA to provide interested members of the public
and affected agencies an opportunity to comment on information
collection and recordkeeping requests. This notice identifies
information collection requests that PHMSA will submit to OMB for
revision.
    The following information is provided for these information
collections: (1) Title of the information collection; (2) OMB control
number; (3) Current expiration date; (4) Type of request; (5) Abstract
of the information collection activity; (6) Description of affected
public; (7) Estimate of total annual reporting and recordkeeping
burden; and (8) Frequency of collection.
    PHMSA will request a 3-year term of approval for each of the
following information collection activities. PHMSA requests comments on
the following information:

    1. Title: Post-Accident Drug Testing for Pipeline Operators.
    OMB Control Number: 2137-0632.
    Current Expiration Date: 6/30/2021.
    Type of Request: Renewal of a currently approved information
collection.
    Abstract: Pursuant to 49 CFR 199.227, operators are required to
maintain records of its alcohol misuse prevention program. The Post-
Accident Drug Testing for Pipeline Operators Information Collection
pertains specifically to 49 CFR 199.227(b)(4), which requires operators
to maintain records of decisions not to administer post-accident
employee alcohol tests for a minimum of three years. Operators must
make those records available to the Secretary of Transportation upon
request.
    Affected Public: Operators of PHMSA-regulated pipelines.
    Annual Reporting and Recordkeeping Burden:
    Total Annual Responses: 609.
    Total Annual Burden Hours: 1,218.
    Frequency of Collection: On occasion.

    2. Title: Customer-Owned Service Lines.
    OMB Control Number: 2137-0594.
    Current Expiration Date: 8/31/2021.
    Type of Request: Renewal of a currently approved information
collection.
    Abstract: Pursuant to 49 CFR 192.16, operators of gas service lines
who do not maintain their customers' buried piping between service
lines and building walls or gas utilization equipment are required to
send written notices to their customers prescribing the proper
maintenance of these gas lines and of the potential hazards of not
properly maintaining these gas lines. Operators also must maintain
records that include a copy of the notice currently in use and evidence
that notices were sent to customers within the previous three years.
The purpose of the collection is to provide the Office of Pipeline
Safety

with adequate information about how customer-owned service lines are
being maintained to prevent the potential hazards associated with not
maintaining the lines. Examples of sufficient notification include a
prepared notification with the customer's bill.
    Affected Public: State and local governments.
    Annual Reporting and Recordkeeping Burden:
    Estimated number of responses: 550,000.
    Estimated annual burden hours: 9,167.
    Frequency of Collection: On occasion.

    3. Title: Public Awareness Program.
    OMB Control Number: 2137-0622.
    Current Expiration Date: 9/30/2021.
    Type of Request: Renewal of a currently approved information
collection.
    Abstract: Pursuant to the Federal Pipeline Safety Regulations in 49
CFR 192.616 and 49 CFR 195.440 each pipeline operator is required to
develop and implement a written continuing public education program
that follows the guidance provided in the American Petroleum
Institute's (API) Recommended Practice (RP) 1162. Upon request,
operators must submit their completed programs to PHMSA or, in the case
of an intrastate pipeline facility operator, the appropriate state
agency. The operator's program documentation and evaluation results
must also be available for periodic review by appropriate regulatory
agencies ( ). The purpose of the collection is to educate the public,
appropriate government organizations, and persons engaged in excavation
activities on the use of a one-call notification system, possible
hazards associated with unintended releases, physical indications that
a release may have occurred, steps that should be taken for public
safety in the event of a release and procedures for reporting releases.
    Affected Public: Operators of natural gas and hazardous liquid
pipelines.
    Estimated number of responses: 45,000.
    Estimated annual burden hours: 517,500 hours.
    Frequency of collection: Annual.

    Title: Recordkeeping Requirements for Liquefied Natural Gas
Facilities.
    OMB Control Number: 2137-0048.
    Current Expiration Date: 09/30/2021.
    Type of Request: Renewal with no change of a currently approved
information collection.
    Abstract: Pursuant to the Federal Pipeline Safety Regulations,
liquefied natural gas facility owners and operators are required to
maintain various records, make reports, and provide information
regarding their liquefied natural gas facilities to the Secretary of
Transportation at the Secretary's request.
    Affected Public: Operators and owners of liquefied natural gas
facilities.
    Annual Reporting and Recordkeeping Burden:
    Estimated number of responses: 40,400.
    Estimated annual burden hours: 12,120.
    Frequency of Collection: On occasion.

    Title: Qualification of Pipeline Safety Training.
    OMB Control Number: 2137-0600.
    Current Expiration Date: 10/31/2021.
    Type of Request: Renewal with no change of a currently approved
information collection.
    Abstract: The Federal Pipeline Safety Regulations require that all
individuals responsible for the operation and maintenance of pipeline
facilities are required to be properly qualified to safely perform
their tasks. 49 CFR 192.807 requires each operator to maintain records
that demonstrate compliance with the mandated qualification criteria.
Operators are required to maintain records demonstrating compliance and
provide them to PHMSA upon request.
    Affected Public: Operators of pipeline facilities.
    Annual Reporting and Recordkeeping Burden:
    Estimated number of responses: 29,167.
    Estimated annual burden hours: 7,292.
    Frequency of collection: On occasion.

    4. Title: Periodic Underwater Inspection and Notification of
Abandoned Underwater Pipelines.
    OMB Control Number: 2137-0618.
    Current Expiration Date: 10/31/2021.
    Type of Request: Renewal with no change of a currently approved
information collection.
    Abstract: The Federal Pipeline Safety Regulations at 49 CFR 192.612
and 49 CFR 195.413 require operators of pipelines in the Gulf of Mexico
and its inlets in waters less than 15 feet (4.6 meters) deep to conduct
appropriate periodic underwater inspections to determine whether the
pipelines are exposed underwater pipelines or pose a hazard to
navigation. If an operator discovers that its underwater pipeline is
exposed or poses a hazard to navigation, among other remedial actions,
the operator must contact the National Response Center by telephone
within 24 hours of discovery and report the location of the exposed
pipeline or hazardous pipeline.
    PHMSA's regulations for reporting the abandonment of underwater
pipelines can be found at 49 CFR 192.727 and 49 CFR 195.59. These
provisions contain certain requirements for disconnecting and purging
abandoned pipelines and require operators to notify PHMSA of each
abandoned offshore pipeline facility and each abandoned onshore
pipeline facility that crosses over, under, or through a commercially
navigable waterway.
    Affected Public: Operators of pipeline facilities (except master
meter operators).
    Annual Reporting and Recordkeeping Burden:
    Estimated number of responses: 92.
    Estimated annual burden hours: 1,372.
    Frequency of collection: On occasion.

    5. Title: Recordkeeping for Underground Natural Gas Storage
Facilities.
    OMB Control Number: 2137-0634.
    Current Expiration Date: 10/31/2021.
    Type of Request: Renewal of a currently approved information
collection.
    Abstract: The Federal Pipeline Safety Regulations at 49 CFR 192.12
requires operators of underground natural gas storage facilities to
maintain documentation and provide information to the Secretary of
Transportation at the Secretary's request. Examples of the required
records include operations and maintenance procedures, results of
required tests, records of inspections and repairs, and notifications
to the public.
    Affected Public: Operators of underground natural gas storage
facilities.
    Annual Reporting and Recordkeeping Burden:
    Estimated number of responses: 136.
    Estimated annual burden hours: 220.
    Frequency of Collection: On occasion.
    Comments are invited on:
    (a) The need for the renewal and revision of these collections of
information for the proper performance of the functions of the Agency,
including whether the information will have practical utility;
    (b) The accuracy of the Agency's estimate of the burden of the
proposed collection of information, including the validity of the
methodology and assumptions used;
    (c) Ways to enhance the quality, utility, and clarity of the
information to be collected; and
    (d) Ways to minimize the burden of the collection of information on
those who are to respond, including the use of appropriate automated,
electronic,

mechanical, or other technological collection techniques.

    Authority:  The Paperwork Reduction Act of 1995; 44 U.S.C.
Chapter 35, as amended; and 49 CFR 1.48.

    Issued in Washington, DC, on February 9, 2021, under authority
delegated in 49 CFR 1.97.
John A. Gale,
Director, Standards and Rulemaking Division.
[FR Doc. 2021-02982 Filed 2-12-21; 8:45 am]
BILLING CODE 4910-60-P