[Federal Register Volume 78, Number 128 (Wednesday, July 3, 2013)]
[Notices]
[Pages 40250-40252]
[FR Doc No: 2013-15897]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-69864; File No. SR-DTC-2013-08]

Self-Regulatory Organizations; The Depository Trust Company
(``DTC''); Notice of Filing and Immediate Effectiveness of Proposed
Rule Change To Implement a Fee Associated With the Expansion of DTC's
Ability To Collect and Pass Through Fees Owed by Participants to
American Depositary Receipt Agents

 June 26, 2013.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on June 13, 2013, DTC filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change described in Items I, II and
III below, which Items have been prepared primarily by DTC. DTC filed
the rule change pursuant to Section 19(b)(3)(A) \3\ of the Act and Rule
19b-4(f)(2) \4\ thereunder, so that the proposal was effective upon
filing with the Commission. The Commission is publishing this notice to
solicit comments on the rule change from interested parties.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ 15 U.S.C. 78s(b)(3)(A).
    \4\ 17 CFR 240.19b-4(f)(2).
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The purposed of the proposed rule change is to implement a fee
associated with the expansion of DTC's ability to collect and pass
through fees owed by DTC participants (``Participants'') to American
Depositary Receipt Agents.

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 these
statements.\5\
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    \5\ The Commission has modified the text of the summaries
prepared by DTC.

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

(a) Proposal Overview
    On June 12, 2006, the Commission approved a rule filing for the
establishment of a mechanism by which DTC could collect and pass
through Depositary Service Fees (``DSFs'') owed by Participants to
American Depositary Receipt (``ADR'') agents for issues that did not
pay periodic dividends.\6\ In 2009, DTC expanded the scope and timing
by which DTC could collect and pass through fees owed by Participants
to ADR agents so that DTC now collects all allowable DSFs, dividend
fees, pass-through expenses and other special fees governed by the ADR
agreement.\7\ DTC collects such fees at the request of the depositary
bank. In order to cover the costs incurred in collecting and passing
through these fees, DTC retains a collection charge equal to three
percent (3%) of the ADR agent fee amount collected from each
Participant up to a maximum of $20,000 per CUSIP.\8\
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    \6\ Release No. 34-53970 (June 12, 2006) 71 FR 34974 (June 16,
2006) (SR-DTC-2006-08).
    \7\ Release No. 34-59821 (April 24, 2009) 74 FR 20513 (May 4,
2009) (SR-DTC-2009-05).
    \8\ See Release No. 34-59821 (March 23, 2009) 74 FR 13490 (March
27, 2009) (SR-DTC-2009-05) which modified the fees from the original
filing.
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    Based on the experience to date, and with increased challenges due
to the rapid growth of unsponsored ADRs, the depositary banks and DTC
have held discussions on expanding and refining the current DSF
collection process in order to include unsponsored ADR programs.
Unsponsored ADR programs differ from sponsored ADR programs in two
primary ways. First, multiple depositary banks can file a registration
statement in respect of the same foreign private issuer, and, second,
there is no contractual relationship between the foreign private issuer
and the ADR depositary that establishes an unsponsored ADR program. In
the case of an unsponsored ADR program, the terms and conditions are
between the depositary bank and the investor and are contained in the
form of an ADR receipt, which is filed as an exhibit to a Depositary's
Form F-6 registration statement.
    In order to streamline the process associated with collecting DSFs
on unsponsored ADRs, DTC has agreed to collect and pass through the
fees from Participants to ADR agents. In order to make this possible,
the ADR depositary banks have agreed that the depositary bank that
first files an F-6 registration statement for a particular unsponsored
ADR program (``First Filer'') will establish the record date and rate
at which the DSF will be assessed on all Participants holding
depositary receipts.\9\ DTC will require the ADR depositary banks to
notify DTC thirty calendar days prior to the ``record date'' that a DSF
is due and payable. In addition, DTC will require the First Filer to
submit an attestation that (i) under the terms and conditions of the
ADR receipt with the investor, the specific fee is allowable and that
(ii) all depositaries have been contacted and have confirmed they are
likewise entitled to charge the shareholder the same depositary
servicing fee in accordance with the respective terms and conditions
applicable to the ADRs issued by them for this unsponsored program.\10\
The attestation will be in a form prescribed by DTC, and may be changed
periodically to address operational issues. In the event that a
Participant asks DTC to substantiate the fee, DTC may require the ADR
depositary to provide DTC with a copy of its fee schedule. DTC may, at
its discretion, provide copies of the fee schedule to its Participants
to substantiate the fee.
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    \9\ This process mirrors the process established for the payment
of dividends on unsponsored depositary receipts whereby the First
Filer establishes a uniform dividend distribution rate paid by each
depositary with an outstanding issued ADR position at DTC.
    \10\ In their ADR terms and conditions applicable to investors
some depositaries have decided, for some issues, not to have
depositary servicing fees. Since shares held at Cede & Co, DTC's
nominee name, are held in fungible mass, DTC will not collect a DSF
fee for an issue if one or more of the ADR depositary banks do not
charge a fee or charge different fees.
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    DTC states that it has discussed this proposal with the Securities
Industry and Financial Markets Association (``SIFMA'') Securities
Operation Division (``SOD''). DTC states that SIFMA's SOD endorses
DTC's plan to collect such fees through its monthly billing process.
According to DTC, this process will eliminate invoice and check
processing for Participants and the depositary banks and ADR
depositaries will no longer have to mail invoices and reminders to
Participants holding ADR securities at DTC. Furthermore, according to
DTC, Participants will have a transparent view into upcoming ADR fees,
and a centralized source for information about the ADR fee and the
collection of the fees. DTC expects to begin collecting ADR agent fees
as expanded by this proposed rule change filing on August 1, 2013. DTC
will charge a service fee associated with this expansion, the details
of which are contained in Exhibit 5 to this proposed rule change
filing.
 (b) Statutory Basis
    DTC states the proposed rule change is consistent with the
provisions of the Act, and the rules and regulations thereunder
applicable to DTC and in particular Section 17A(b)(3)(D) \11\ because
it implements a fee associated with the collection of unsponsored ADRs
and as such it clarifies and updates DTC's Fee Schedule in order to
facilitate a more efficient fee collection process for unsponsored ADRs
and provides for an equitable allocation of fees.
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    \11\ 15 U.S.C. 78q-1(b)(3)(D).
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(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 been
solicited or received. DTC will notify the Commission of any written
comments received by DTC.

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

    The foregoing proposed rule change has become effective upon filing
pursuant to Section 19(b)(3)(A) \12\ of the Act and Rule 19b-
4(f)(2).\13\ At any time within 60 days of the filing of the proposed
rule change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act.
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    \12\ 15 U.S.C. 78s(b)(3)(A).
    \13\ 17 CFR 240.19b-4(f)(2).
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IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or

     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-DTC-2013-08 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-DTC-2013-08. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet 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 Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street NE.,
Washington, DC 20549, on official business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of such filings also will be available
for inspection and copying at the principal office of DTC and on DTC's
Web site at http://www.dtcc.com/downloads/legal/rule_filings/2013/dtc/SR_DTC_2013_08.pdf. 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 submissions should refer to File Number
SR-DTC-2013-08 and should be submitted on or before July 24, 2013.

    For the Commission by the Division of Trading and Markets,
pursuant to delegated authority.\14\
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    \14\ 17 CFR 200.30-3(a)(12).
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Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2013-15897 Filed 7-2-13; 8:45 am]
BILLING CODE 8011-01-P


Fax on Demand Telephone: 202 564 3119 Item: 4096 Supporting Statement for a Request for OMB Review under The Paperwork Reduction Act 1 IDENTIFICATION OF THE INFORMATION COLLECTION 1( a) Title and Number of the Information Collection Title: Notification of Substantial Risk of Injury to Health and the Environment under TSCA Section 8( e)

EPA ICR No.: 0794.10 OMB Control No.: 2070 0046 1( b) Short Characterization Section 8( e) of the Toxic Substances Control Act (TSCA) states, "any person who manufactures, [imports,] processes, or distributes in commerce a chemical substance or mixture and who obtains information which reasonably supports the conclusion that such substance or mixture presents a substantial risk of injury to health or the environment shall immediately inform the [EPA] Administrator of such information unless such person has actual knowledge that the Administrator has been adequately informed of such information." (See Attachment.)

Since January1977 through May2002, EPAhas received approximately15,150 initial section 8( e) submissions covering a large number of chemical substances and mixtures and a wide range of chemical toxicity/ exposure information. This includes approximately 10,500 submissions EPA received as a result of the Compliance Audit Program described in Section 2( a) below. Although EPA's receipt of section 8( e) information does not necessarily trigger immediate regulatory action under TSCAor other authorities administered byEPA, all section 8( e) submissions receive screening level evaluations by EPA's Office of Pollution Prevention and Toxics (OPPT) to identify priorities for further Agency action and appropriate referrals to other programs.

OPPT routinely disseminates section 8( e) data received to EPA's Program and Regional Offices and other Federal agencies (e. g., NIOSH, OSHA, CPSC, FDA, NTP) to provide information about newlydiscovered chemical hazards/ risks; public outreach/ informationaccess programs are also in place for Section 8( e) data received by EPA. Beginning in 2001, OPPT has made these referrals primarily through e mails of biweekly tables summarizing all new submissions.

EPA's proactive implementation of section8( e) of TSCAhas resulted inheightened corporate awareness of the potential risks of injury posed by exposure to chemical substances. This increased corporat e awareness has led to a wide variety of voluntarily initiated risk reduction/ pollution prevention actions designed to protect human health and the environment. 2 2 NEED FOR AND USE OF THE COLLECTION 2( a) Need/ Authority for the Collection TSCA section 8( e) continues to be an important and useful tool for early warning and identification of potential substantial risk situations allowing EPA and others to focus their limited resources on chemicals or mixtures of highest concern. Not collecting section 8( e) information would prevent the Agency and others fromlearning quickly about new substantial risks posed by exposure to chemical substances/ mixtures and not allow adequate assessment and, if need be, taking action to effectively eliminate or reduce such risks in a timely manner.

The statutory authority for this information collection is section 8( e) of TSCA (U. S. Public Law94 469; 90 Stat. 2029; 15 U. S. C. 2607( e)). No formal rule making by the Agency was required to implement section 8( e) in that section 8( e) was a self activating reporting provision of TSCA that became immediately effective on January 1, 1977 (the effective date of the Act). However, in order to facilitate compliance with section 8( e), EPA clarified the kinds of information that constitute substantial risk information, specified the types of information exempt from the reporting requirements, and outlined standard reporting procedures, in published proposed guidance (42 FR 45362; September 9, 1977). After holding several public meetings and considering the public comments on the proposed section 8( e) guidance, the Agency published its final "Statement of Interpretation and Enforcement Policy; Notification of Substantial Risk" (43 FR 11110; March 16, 1978, hereinafter referred to as the "PolicyStatement"). The section 8( e) PolicyStatement continues to reflect EPA's position regarding the section 8( e) reporting requirements. However, EPA is in the process of revising a part of the Policy Statement dealing with environmental exposure reporting as noted below. In 1991, EPA published a "Section 8( e) Reporting Guide."

In February of 1991, the Agency initiated a voluntary section 8( e) "Compliance Audit Program" (CAP). This compliance program, which was initiated as the result of several section 8( e) enforcement cases that suggested that many companies were not complying with the section 8( e) reporting requirements, was designed to 1) achieve EPA's goal of obtaining any outstanding section 8( e) data, and 2) provide maximum encouragement to companies to voluntarily audit their files for section 8( e) reportable information. The section 8( e) CAP involved consent agreements/ orders pursuant to section 15 of TSCA, stipulated monetary penalties and an overall penalty ceiling. A total of 123 companies elected to participate voluntarily in the Agency's section 8( e) CAP activity. The CAP was terminated on May 15, 1996 and settlements with CAP participants were announced on October 15, 1996.

In implementing the section 8( e) CAP, EPA determined that there was a need to suspend and refine those portions of the 1978 section 8( e) Policy Statement that deal specifically with the reportability of exposure information concerning the release of toxic chemicals to and the detection of toxic chemicals in environmental media. On July13, 1993 (58 FR37735) EPApublished proposed guidance regarding the detection of toxic chemicals in environmental media. EPAreceived comments 3 from 49 companies and industry associations. Based on the submitted comments and a number of meetings with industry representatives, EPA revised the proposed guidance and made it available for additional public comment through a notice in the Federal Register published on March 20, 1995 (60 FR 14756). In response, EPA received an additional 22 comments. While the comments offered additional refinements to the revised guidance, their basic tenor was that industry was in support of the changes.

EPA has collaborated with industry on a question and answer document that would be available in advance of the effective date of the revised guidance when published. The plan is to make the guidance prospective in nature and to have it become effective a number of months after publication so that industry can familiarize themselves with it and have the benefit of the completed question and answer document that will provide a wide range of possible reporting situations as examples. Until such time as the final guidance is effective, however, the section 8( e) statutory language must be used by all subject persons to determine the section 8( e) reportability of obtained information on chemical releases and detections.

2( b) Use/ Users of the Data Since 1977, the Agencyand members of the chemical industryhave devoted significant efforts in fulfilling their respective responsibilities under section 8( e). Since January 1, 1977, about 15,150 initial section 8( e) notices (includes CAP and non CAP submissions) covering a broad range of toxicity and exposure related data on a wide variety of chemicals have been received by the Agency and given priority evaluation and follow up attention.

All incoming section 8( e) submissions are reviewed by EPA shortly after receipt. The initial processing of section 8( e) submissions includes a screening level evaluation of the submitted data. Such evaluations are not risk assessments, nor do they include other toxicity data that may be available on the chemical or exposure related information. The results of screening level evaluations are intended for priority setting to select cases for more detailed assessment.

EPA utilizes section 8( e) submission information for hazard/ risk identification purposes primarily in the initial stages of the TSCA Existing Chemical Program (ECP). Section 8( e) data are also used in ongoing EPA health and exposure assessments of both existing and new chemicals, in the SIDS international testing program, in the High Production Volume (HPV) Challenge Program, and in support of regulation development under TSCA, e. g., development of chemical testing rules under section 4 of TSCA, as well as regulation development under other authorities administered by the Agency. In addition, section 8( e) submissions have been the basis for a number of chemical advisories developed by OPPT to communicate potential health risks and the need for exposure controls.

Regardless of the type of section 8( e) follow up action/ activity undertaken, all reported information is made available for use by other EPA Program and Regional Offices, other Federal 4 agencies and other parties (e. g., chemical industry, trade unions, environmental groups, general public, international community) who may be interested in the subject chemical or mixture. Other EPA Office and Federal agencies routinely utilize section 8( e) data in implementing their regulatory programs. The principal vehicle for making the information widely available is the TSCATS database (see 4( b)), which is in the process of expanding to include information fromrelated data bases. Also, the TSCA Section 8( e) web page, available on the Internet at http:// www. epa. gov/ opptintr/ tsca8e/, includes all published section 8( e) guidance and full text copies of all new section 8( e) submissions.

EPA's proactive implementation of section 8( e) has also resulted in heightened corporate awareness of the potential risk of injury posed by exposure to chemical substances. This increased corporate awareness has led to a variety of voluntary corporate actions that are designed to protect human health and/ or the environment. Many companies have reported to EPA that the following types of risk reduction/ pollution prevention measures were initiated in direct response to the submitted chemical toxicity and/ or exposure data:

 Notification of workers, customers and others;

 Revision of product labels and Material Safety Data Sheets;

 Modification of manufacturing, processing, and/ or handling;

 Ceasing production/ use either temporarily or permanently;

 Initiation of additional toxicity or exposure studies to further define potential risks.

3 NON DUPLICATION, CONSULTATIONS ANDOTHERCOLLECTIONCRITERIA 3( a) Non Duplication There is no other source of data that can be used in place of the data submitted to EPA under the section 8( e) statutory reporting requirement. The "substantial risk" information required to be reported to EPA is unpublished information not already known to the Agency. In addition, information need not be submitted under section 8( e) if the information has been reported already to EPA pursuant to another mandatory information reporting requirement of TSCA or some other authorityadministered or delegated to the States byEPA. In conjunction with the section 8( e) Policy Statement refinement activities, the Agency expanded and clarified the types of information that need not be reported under section 8( e). This is expected to result in some additional reduction of the overall respondent reporting burden for section 8( e).

3( b) Public Notice Required Prior to ICR Submission to OMB Prior to submission to OMB, this ICR will be made available to the public for comment through a Federal Register notice. The public will have 60 days to provide comments. Any comments received will be given consideration when completing the supporting statement that is submitted to OMB. 3( c) Consultations 5 EPA personnel have participated in numerous public meetings and other fora to discuss the section 8( e) Policy Statement and the Agency's implement at ion of section 8( e). Large EPAsponsored public meetings at which section 8( e) was a primary topic of discussion were held in 1978, 1986, 1987, 1990 and 1992 with chemical industry representatives and other interested parties in attendance. EPA staff have also participated in more than 30 industry sponsored meetings at which section 8( e) of TSCA was the major or primary topic of discussion. Section 8( e) topics have also been included in a number of "Living With TSCA" conferences held since April 1994.

EPA staff has also met on numerous occasions with members of the chemical industry to discuss section 8( e) in the context of the section 8( e) Compliance Audit Program. Further, EPA analyzed and responded to numerous public comments received as the result of the July 13, 1993 proposed refinements to several portions of the Agency's 1978 section 8( e) Policy Statement and to comments received in response to the March 20, 1995 reopening of the public record and has collaborated with industry in preparing the associated question and answer document.

EPA proposed amendments to the section 8( e) policy statement in 1993 and again in 1995. The proposed amendments dealt specifically with clarifications on reporting requirements for occurrences of environmental exposure or contamination. As a condition of the previous ICR renewal, OMB instructed EPA to change the reporting period to 30 calendar days instead of 15 working days or explain why a more stringent reporting period is necessary. EPA is planning to adopt the change in the reporting period that will be contained in the Section 8( e) policy guidance changes that EPA is currently working to finalize. EPA is further planning to consolidate all section 8( e) guidance, including these proposed amendments, into a single document. It may be in the form of a consolidated guidance document or a rule requiring proposed and final Federal Register notices. If the outcome of either product results in any change to existing reporting requirements, EPA will amend the section 8( e) ICR.

3( d) Effects of less Frequent Collection As stated previously, section 8( e) continues to be an extremely important and useful EPAtool for early identification of potential substantial risk situations and allows the Agency as well as others to focus their resources on those chemicals or mixtures of highest concern. The consequences of EPA's not receiving section 8( e) data immediately following receipt by a respondent are serious. The Agency would be prevented from learning about and publicizing new information about substantial risks of health or environmentalal injury posed by exposure to chemical substances and/ or mixtures. Further, EPA would not be in a position to adequately assess and, if necessary, take action to effectively eliminate or reduce such risks in an expeditious manner.

3( e) General Guidelines 6 The required reporting that takes place under section 8( e) does not appear to exceed the Paperwork Reduction Act imposed guidelines that are found at 5 CFR 1320.6.

3( f) Confidentiality Any person submitting a notice to EPA under section 8( e) may assert a claim of business confidentiality covering all or part of the information that is contained in the notice. Any information covered by a claim will be disclosed by EPA only to the extent, and by means of the procedures set forth at 40 CFR Part 2. If no confidentiality claim accompanies a section 8( e) notice at the time it is submitted to EPA, the notice is placed in an open file that is available to the public without further notice to the submitting organization. The Agency has established and actively implements wellpublicized standard procedures for the handling and safe guarding of information claimed as TSCA Confidential Business Information (TSCA CBI).

3( g) Sensitive Questions Under section 8( e), EPA does not seek submission of information with regard to sexual behavior or attitudes, religious beliefs, or other matters usually considered to be of a private nature.

4 RESPONDENTS AND THE INFORMATION REQUESTED 4( a) Respondents/ NAICS Codes Astatutorysection 8( e) reporting obligationcan be incurred byanypersonwho manufactures, imports, processes or distributes a TSCA covered chemical substance or mixture. EPA's section 8( e) Policy Statement defines the term" person" broadly to include "any natural person, corporation, firm, company, joint venture, partnership, sole proprietorship, association, or anyother business entity, any State or political subdivision thereof, any municipality, any interstate body and any department, agency, instrumentality of the Federal Government." Although this definition is quite broad in terms of subject persons, section 8( e) reporting obligations are most typically incurred by companies engaged in activities classified by NAICS Codes 325  Chemicals and Allied Products Manufacturers and 32411 Petroleum Refining. 7 4( b) Information Requested (i) Data Items There is no required "form" on which section 8( e) information must be submitted to EPA; however, the section 8( e) Policy Statement requires all respondents to ensure that a written section 8( e) notice:

 is sent to EPA by a method verifying the Agency's receipt;

 states that it is being submitted under section 8( e) of TSCA;

 contains the name, address, job title, phone number and signature of the person reporting, and the name and address of the establishment with which the person is associated;

 identifies the chemical substance( s) or mixture including, if known, the Chemical Abstract Service (CAS) Registry Number( s);

 summarizes adverse health/ environmental effects being reported including a description of the nature and extent of the risk; and  contains the specific source/ summary of the supporting data.

EPA is in the process of implementing optional electronic reporting of sect ion 8( e) submissions to increase processing efficiency for both the Agency and the regulated community.

(ii) Respondent Activities The overall purpose of section 8( e) reporting is to ensure that newinformationthat reasonably supports a conclusion that a chemical substance or mixture presents a "substantial risk" of injury to health or the environment is brought to EPA's attention immediately upon discovery and not just upon request by the Agency. It should be noted again that section 8( e) applies to all chemical manufacturers, import ers, processors, and distributors and applies also to that information that a subject person possesses or about which that person has knowledge. Although compliance with section 8( e) does not require subject persons to search for information or to make extraordinary efforts to acquire information, section 8( e) does apply to information that is "obtained" (i. e., information t hat a person possesses or about which that person knows). Following a review of existing information and a decision that such information is of the type required under section 8( e), respondents must notify EPA in writing immediately. EPA's section 8( e) Policy Statement defines the term" immediately" in the context of written section 8( e) reports to mean within 15 working days (proposed to be changed to 30 calendar days) of the date on which the information was obtained; the immediate reporting of an emergency incident of environmental contamination by a toxic substance is defined as a phone report to EPA as soon as a person knows about the incident. 8 5 INFORMATION COLLECTION  EPA ACTIVITIES, COLLECTION METHODOLOGY AND INFORMATION MANAGEMENT 5( a) Agency Activities As explained in additional detail in the next sections, the Agency's section 8( e) activities involve answering general and specific section 8( e) related questions, computerized section 8( e) information tracking (including data extraction, entry and quality assurance/ control), microfilming, confidential (restricted access) and non confidential (public access) section 8( e) information filing, initial evaluation of submitted section 8( e) information (including review of TSCA Confidential Business Information( CBI) substantiations), andthedisseminationof section8( e) related information on the Internet and in response to specific requests.

5( b) Collection Methodology and Information Management A Document Control Number is used by EPA to identify section 8( e) submissions and takes the following form: 8EHQ 0000. Internal EPAtracking of section 8( e) notice information is handled via non confidential and confidential computerized data bases.

In order to assure that the public sector is kept appraised about new adverse chemical related health effects and exposure information, the Agency provides public access to and actively disseminates non confidential section 8( e) submission information in many ways. Some examples of EPA's longstanding public access/ outreach activities follow.

Non confidential section 8( e) initial and follow up/ supplemental submissions, status reports, submission summaries, and EPA follow up letters can be viewed/ copied in the TSCA public docket located at EPAHeadquarters. Non confidential section 8( e) related documents can also be obtained by writing to EPA's Freedom of Information Office.

Relevant non confidential information from section 8( e) notices is routinely entered into TSCATS (Toxic Substances Control Act Test Submissions), a publicly available computerized data base that serves as an on line index of unpublished health and safety studies submitted to EPA under or in conjunction with TSCA. The submitted studies themselves are stored/ available on microfiche. Persons wishing to obtain access to TSCATS can contact either the National Library of Medicine (NLM) in Rockville, MD, or Chemical Informat ion Systems, Inc. (CIS) in Baltimore, MD. The microfiche copies of the studies that are referenced in the TSCATS database can be obtained from either CIS or the National Technical Information Service (NTIS) in Springfield, VA. EPAmakes full electronic copies of all new section 8( e) submissions, as well as the section 8( e) policy guidance, available to the public through the section 8( e) web site at http:// www. epa. gov/ opptintr/ tsca8e. 9 Under established Freedomof InformationAct (FOIA) procedures as well as the Organization for Economic Cooperation and Development (OECD) information gathering "Switchboard" project, EPA responds to many international requests for unpublished health and safety data on chemicals of concern to OECD members.

As stated previously, EPA routinely notifies other Federal agencies about incoming section 8( e) information via biweekly tabular reports of new section 8( e) submissions and by specific referrals. As the direct result of these public outreach activities, several of these other agencies actively publicize the information even further. For example, the National Library of Medicine (NLM) at the National Institutes of Health makes section 8( e) information available via its publicly available computerized Hazardous Substances Data Base (HSDB). In addition, the National Institute for Occupational Safety and Health (NIOSH) cites section 8( e) notices in the printed and on line computerized versions of the "Registry of Toxic Effects of Chemical Substances" (RTECS).

5( c) Small Entity Flexibility The statutory obligation to report information under section 8( e) of TSCA applies to all manufacturers, importers, processors, and/ or distributors of TSCA covered chemical substances and mixtures. The statutory language of section 8( e) itself does not allow for any reporting exemption or burden minimization based on the size or earnings of a respondent. However, the practical effect is that nearly all reporting is done by large and medium size companies. This is mainly because only the larger companies have the financial wherewithal to conduct toxicity testing that comprises most section 8( e) reporting. Since there is no routine reporting nor recordkeeping provisions for section 8( e), the true burden on most small entities is practically nonexistent.

5( d) Collection Schedule Considering that section 8( e) notices are received by the Agency on an ad hoc basis, there is no standard reporting cycle. Respondents are required to comply with section 8( e) immediately when they come into possession of or know about section 8( e) reportable information. If section 8( e) information was not made available immediately to EPA, the Agency's ability to learn about, publicize, effectively assess, and respond appropriately to newly discovered chemical related risks would be severely impeded if not completely thwarted.

6 ESTIMATING THE BURDEN AND COST OF COLLECTION For the 1999 ICR renewal, EPA used the data on the submission of initial section 8( e) notices. The number of initial notices used was 267. This was based on the number of initial submissions received in FY 1997 1999 (801/ 3= 267). This ICR renewal uses the same approach by averaging the number of initial submissions for the last three fiscal years (FY 2000 2002). The average number obtained is 218 initial notices per year (FY 2000 227, FY 2001 224, and FY 2002 202 prorated). 10 Consequently, for this analysis, EPA used an average of 218 initial submissions and a multiplier of 0.50 for follow up/ supplemental submissions/ year (0. 50 x 218 = 109) for a total of 327 submissions/ year.

6( a) Estimating Respondent Burden The following discussion provides the basis for the Agency's upper bound estimate of approximately6,431 total hours of annual reporting burden for respondents in complying withsection 8( e).

EPA believes that in a large company it should take no more than 25 hours to judge and concur on the section 8( e) applicability of obtained information plus 2 additional hours to prepare/ submit the necessary information. Using the estimate of 218 initial section 8( e) notices per year, the total number of hours required for initial section 8( e) reporting would be 5, 886 hours (218 x 27 hours = 5, 886 hours). The submission of follow up/ supplemental information by a large company in response to EPA questions based on an initial section 8( e) submission, or as a result of further investigation/ evaluation by the company, is estimated to be 5 hours per notice, assuming 3 hours to assemble the required information, 1 hour to prepare the submission, and 1 hour for review. EPA's experience over the last three fiscal years is that approximately 0. 50 section 8( e) followup supplemental submissions are received on a yearly basis per initial submission for an additional reporting burden of 545 hours (218 x 0. 50 = 109 x 5 = 545 hours).

Therefore, the total estimate of section 8( e) notices (initial plus follow up/ supplemental submissions) received is about 327 notices per year with an estimated hourly respondent reporting burden of 6,431 hours per year (5, 886 hours + 545 hours = 6,431 hours).

INITIAL SUBMISSIONS SUBTOTAL Burden Item Hours/ Respondent Respondents/ Year Hours/ Year a 1 25 218 5,450 b 2 2 218 436 5,886 1 Reflects managerial/ technical review, data evaluation, decision making and concurrence processes to determine the Section 8( e) reportability and crafting the usually 1 2 page section 8( e) notification letter. 2 This item reflects general clerical work (typing, copying, and sending the section 8( e) notice).

Considering that the respondent's decision making/ concurrence activities for determining section 8( e) applicability/ reportability has already taken place for the initial submission, the activities surrounding the submission of follow up/ supplemental information related to the initial submission are viewed by the Agency as being more simple in nature and are reflected as being less burdensome as follows: 11 FOLLOW UP/ SUPPLEMENTAL SUBMISSIONS SUBTOTAL Burden Item Hours/ Respondent Respondents/ Year Hours/ Year a 1 4 109 436 b 2 1 109 109 545 1 This iteminvolves managerial and technical review, concurrence and letter writing activities in submitting a follow up/ supplemental section 8( e) notice. 2 This item reflects the typing, copying and transmittal of a follow up/ supplemental section 8( e) notice.

Based on the figures presented in the preceding charts, the total respondent burden (in hours/ year) for submitting an initial and follow up/ supplemental section 8( e) submission to EPA is as follows:

TOTAL HOURLY BURDEN/ YEAR Initial Follow Up/ Supplemental Total Submissions + Submissions = Hours/ Year 5,886 hours/ year + 545 hours/ year = 6,431 6( b) Estimating Respondent Costs EPA estimates that a respondent incurs costs of up to $105/ hour in labor costs in submitting information to EPA under section 8( e). (This hourly cost takes into account the involvement of the respondent's managerial, technical and clerical personnel and takes into account standard labor wage rates (including fringe benefits) using 2002 information; these wage rates are consistent with those used in economic analyses performed for other section 8 recordkeeping/ reporting activities.) It should be noted that section 8( e) reporting does not involve operating/ maintenance or capital costs to the respondent. The hourly labor wage rates used in the computations are as follows:

Hourly Labor Rates Labor Category 2002 Hourly Rate Managerial $105 Technical $77 Secretarial $31 Based on the total estimated hourly reporting burden of 6,431 hours/ year, the upper bound yearly cost for respondents in complying with section 8( e) is estimated by EPA to be $675,255 as follows: 12 TOTAL COST/ YEAR Respondents Hours/ Year x HourlyRate= Total Cost/ Year 6,431 hours/ year x $105/ hour = $675,255/ year 6( c) Estimating EPA Burden and Costs Based on reasonable costs estimated for reports received by EPA as the result of general section 8 rule making activities, EPA estimates an average cost of $85  $155 for the Agency to process, copy, file, and initially review and/ or answer questions with regard to each section 8( e) submission. Therefore, EPAestimates its total yearly cost for these activities involving approximately 327 incoming section 8( e) notices (218 initial plus 109 follow up/ supplemental notices/ year) to range from $27,795  $50,685 per year as follows:

EPA BURDEN/ COSTS Initial/ Follow Up/ Supplemental Cost of EPA Total Submissions per Year x Processing/ Review = Cost/ Year 327 submissions/ year x $85$ 155/ Submission = $27,795$ 50,685/ year 6( d) Bottom Line Burden Hours and Costs GENERAL NOTE: A full discussion and description of the rationale used to derive the following burden estimates can be found in Sections 6( a), 6( b) and 6( c) of this Supporting Statement and is summarized below.

(i) Respondents' Annual Burden (Hours and Costs)

(a) Hours Initial Section 8( e) Notices 27 hours x 218 respondents = 5,886 hours Follow up/ Supplemental Section 8( e) Notices 5 hours x 109 respondents = 545 hours 13 Respondents' Total Annual Hourly Burden 5,886 hours + 545 hours = 6,431 hours (b) COSTS Respondents' Total Annual Cost 6,431 hours x $105/ hour = $675,255 (ii) EPA's Annual Burden/ Cost (Upper bound Estimate)

Initial Section 8( e) Notices 218 notices x $155/ notice = $33,790 Follow up/ Supplemental Section 8( e) Notices 109 notices x $155/ notice = $16,895 EPA's Total Annual Upper bound Estimated Burden/ Cost 327 notices x $155/ notice = $50,685 6( e) Reasons for Change in Burden The estimate in respondent reporting burden hours associated with this ICR totals 6, 431 hours, as compared with 8,209 total hours contained in the most recent approval of the ICR. This decrease in burden hours results from an overall decrease in section 8( e) reporting, primarily from a reduction in the number of follow up/ supplemental section 8( e) notices received. In previous ICR renewals, EPA used an historical average of 2. 2 follow up notices per each initial submission. This figure was based on EPA's experience and system for reviewing section 8( e) notices in place pre1990 During that time EPA received fewer than 100 initial notices per year and was able to perform a much more detailed review of each notice received. The consequence of that review was that there was much more interaction with the submitting companies generating numerous follow up notices and information submittals. However, during and since the CAP, because of the increase in initial notices submitted, EPA has contacted submitters for additional information only on those initial notices that are identified during the preliminary screening evaluation as needing additional information from the submitters. Consequently, the number of follow up notices has fallen due to the changed nature of EPA's review of initial notices. Over the last three fiscal years, EPA has received 341 follow up notices versus 653 initial notices, or approximately 0.5 follow up notices per initial notice. 14 6( f) Burden Statement The annual public burden for this collection of information, which is approved under OMB Control No. 2070 0046, is estimated to average 27 hours per initial section 8( e) submission and 5 hours per follow up/ supplemental section 8( e) submission. According to the Paperwork Reduction Act, "burden" means the total time, effort, or financial resources expended by persons to generate, maintain, retain, or disclose or provide information to or for a Federal agency. For this collection it includes the time needed to review instructions; disclosing and providing information; adjust the existing ways to comply with any previously applicable instructions and requirements; train personnel to be able to respond to a collection of information; complete and review the collection of information; and transmit or otherwise disclose the information. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB cont rol number. The OMB control number for this information collection appears above. In addition, the OMB control numbers for EPA's regulations, after initial display in the final rule, are listed in 40 CFR part 9.

Send comments on the Agency's need for this information, the accuracy of the provided burden estimates, and any suggested methods for minimizing respondent burden, including through the use of automated collection techniques, to the Director, Collection Strategies Division, U. S. Environmental Protection Agency (Mail Code 2822T), 1200 Pennsylvania Ave., NW., Washington, D. C. 20460. Include the OMB control number identified above in any correspondence. Do not submit the completed formor requested information to this address. The actual information or form should be submitted in accordance with the instructions accompanying the form, or as specified in the corresponding regulations. ATTACHMENT Toxic Substances Control Act Section 8( e)

15 U. S. C. 2607( e) Sec. 2607. Reporting and retention of information ***

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


[Federal Register Volume 81, Number 23 (Thursday, February 4, 2016)]
[Rules and Regulations]
[Pages 5905-5906]
[FR Doc No: 2016-02037]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 71

[Docket No. FAA-2015-7492; Airspace Docket No. 15-AGL-27]

Amendment of Class E Airspace; Rapid City, SD

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule.

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SUMMARY: This action amends the legal description of the Class E
airspace area at Rapid City Regional Airport, Rapid City, SD,
eliminating the Notice to Airmen (NOTAM) part-time status of the Class
E surface area airspace, and Class E airspace designated as an
extension, at the airport. This is an administrative change to coincide
with the FAA's aeronautical database.

DATES: Effective 0901 UTC, March 31, 2016. The Director of the Federal
Register approves this incorporation by reference action under Title 1,
Code of Federal Regulations, part 51, subject to the annual revision of
FAA Order 7400.9 and publication of conforming amendments.

ADDRESSES: FAA Order 7400.9Z, Airspace Designations and Reporting
Points, and subsequent amendments can be viewed online at http://www.faa.gov/air_traffic/publications/. For further information, you can
contact the Airspace Policy Group, Federal Aviation Administration, 800
Independence Avenue SW., Washington, DC 29591; telephone:<PHONE_NUMBER>.
The Order is also available for inspection at the National Archives and
Records Administration (NARA). For information on the availability of
FAA Order 7400.9Z at NARA, call<PHONE_NUMBER>, or go to http://www.archives.gov/federal_register/code_of_federal-regulations/ibr_locations.html.
    FAA Order 7400.9, Airspace Designations and Reporting Points, is
published yearly and effective on September 15.

FOR FURTHER INFORMATION CONTACT: Jeffrey Claypool, Federal Aviation
Administration, Operations Support Group, Central Service Center, 10101
Hillwood Parkway, Fort Worth, TX, 76177; telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Authority for This Rulemaking

    The FAA's authority to issue rules regarding aviation safety is
found in Title 49 of the United States Code. Subtitle I, Section 106
describes the authority of the FAA Administrator. Subtitle VII,
Aviation Programs, describes in more detail the scope of the agency's
authority. This rulemaking is promulgated under the authority described
in Subtitle VII, Part A, Subpart I, Section 40103. Under that section,
the FAA is charged with prescribing regulations to assign the use of
airspace necessary to ensure the safety of aircraft and the efficient
use of airspace. This regulation is within the scope of that authority
as it amends controlled airspace at Rapid City Regional Airport, Rapid
City, SD.

History

    In a review of the airspace, the FAA found the airspace for Rapid
City Regional Airport, Rapid City, SD, as published in FAA Order
7400.9Z, Airspace Designations and Reporting Points, does not require
part time status. This is an administrative change removing the part
time NOTAM information from the legal description for the airport.
    Class E airspace designations are published in paragraph 6002 and
6004 of FAA Order 7400.9Z dated August 6, 2015, and effective September
15, 2015, which is incorporated by reference in 14 CFR part 71.1. The
Class E airspace designations listed in this document will be published
subsequently in the Order.

Availability and Summary of Documents for Incorporation by Reference

    This document amends FAA Order 7400.9Z, Airspace Designations and
Reporting Points, dated August 6, 2015, and effective September 15,
2015. FAA Order 7400.9Z is publicly available as listed in the
ADDRESSES section of this document. FAA Order 7400.9Z lists Class A, B,
C, D, and E airspace areas, air traffic service routes, and reporting
points.

The Rule

    This action amends Title 14, Code of Federal Regulations (14 CFR)
part 71 by eliminating the NOTAM information that reads, ``This Class E
airspace is effective during the specific dates and times established
in advance by a Notice to Airmen. The effective date and time will
thereafter be continuously published in the Airport/Facility
Directory.'' from the regulatory text of Class E surface area airspace,
and Class E airspace designated as an extension to Class D, at Rapid
City Regional Airport, Rapid City, SD.
    This is an administrative change amending the description for Rapid
City Regional Airport to be in concert with the FAA's aeronautical
database, and does not affect the boundaries, or operating requirements
of the airspace; therefore, notice and public procedure under 5 U.S.C.
553(b) are unnecessary.

Regulatory Notices and Analyses

    The FAA has determined that this regulation only involves an
established body of technical regulations for which frequent and
routine amendments are necessary to keep them operationally current, is
non-controversial and unlikely to result in adverse or negative
comments. It, therefore: (1) Is not a ``significant regulatory action''
under Executive Order 12866; (2) is not a ``significant rule'' under
DOT Regulatory Policies and Procedures (44 FR 11034; February 26,
1979); and (3) does not warrant preparation of a regulatory evaluation
as the anticipated impact is so minimal. Since this is a routine matter
that only affects air traffic procedures and air navigation, it is
certified that this rule, when promulgated, does not have a significant
economic impact on a substantial number of small entities under the
criteria of the Regulatory Flexibility Act.

Environmental Review

    The FAA has determined that this action qualifies for categorical
exclusion under the National Environmental Policy Act in accordance
with FAA Order 1050.1F, ``Environmental Impacts: Policies and
Procedures,'' paragraph 5-6.5.a. This airspace action is not expected
to cause any potentially significant environmental impacts, and no
extraordinary circumstances exist that warrant preparation of an
environmental assessment.

Lists of Subjects in 14 CFR Part 71

    Airspace, Incorporation by reference, Navigation (air).

Adoption of the Amendment

    In consideration of the foregoing, the Federal Aviation
Administration amends 14 CFR part 71 as follows:

PART 71--DESIGNATION OF CLASS A, B, C, D, AND E AIRSPACE AREAS; AIR
TRAFFIC SERVICE ROUTES; AND REPORTING POINTS

0
1. The authority citation for part 71 continues to read as follows:

    Authority:  49 U.S.C. 106(f), 106(g); 40103, 40113, 40120; E.O.
10854, 24 FR 9565, 3 CFR, 1959-1963 Comp., p. 389.

Sec.  71.1  [Amended]

0
2. The incorporation by reference in 14 CFR 71.1 of FAA Order 7400.9Z,
Airspace Designations and Reporting Points, dated August 6, 2015,
effective September 15, 2015, is amended as follows:

Paragraph 6002 Class E Airspace designated as surface areas.

* * * * *

AGL SD E2 Rapid City, SD (Amended)

Rapid City Regional Airport, SD
    (Lat. 44[deg]02'43'' N., long. 103[deg]03'27'' W.)
Ellsworth AFB, SD
    (Lat. 44[deg]08'42'' N., long. 103[deg]06'13'' W.)
Rapid City VORTAC
    (Lat. 43[deg]58'34'' N., long. 103[deg]00'44'' W.)

    Within a 4.4-mile radius of the Rapid City Regional Airport,
excluding the portion north of a line between the intersection of
the Rapid City Regional Airport 4.4-mile radius and the Ellsworth
AFB 4.7-mile radius, and that airspace extending upward from the
surface within 2.6 miles each side of the Rapid City VORTAC
155[deg]/335[deg]. radials extending from the 4.4-mile radius of the
Rapid City Regional Airport to 7 miles southeast of the VORTAC,
excluding that airspace within the Rapid City, SD, Class D airspace
area.
* * * * *

Paragraph 6004 Class E Airspace Areas Designated as an Extension to
a Class D or Class E Surface Area.

* * * * *

AGL SD E4 Rapid City, SD (Amended)

Rapid City Regional Airport, SD
    (Lat. 44[deg]02'43'' N., long. 103[deg]03'27'' W.)
Rapid City VORTAC
    (Lat. 43[deg]58'34'' N., long. 103[deg]00'44'' W.)

    That airspace extending upward from the surface within 2.6 miles
each side of the Rapid City VORTAC 155[deg]/335[deg] radials
extending from the 4.4-mile radius of the Rapid City Regional
Airport to 7 miles southeast of the VORTAC, excluding that airspace
within the Rapid City, SD, Class D airspace area.

    Issued in Fort Worth, Texas, on January 27, 2016.
Robert W. Beck,
Manager, Operations Support Group, ATO Central Service Center.
[FR Doc. 2016-02037 Filed 2-3-16; 8:45 am]
 BILLING CODE 4910-13-P


[Federal Register: July 23, 2007 (Volume 72, Number 140)]
[Notices]
[Page 40145-40146]
[DOCID:fr23jy07-41]

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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OARM-2007-0341; FRL-8443-3]

Agency Information Collection Activities; Submission to OMB for
Review and Approval; Comment Request; Conflict of Interest Rule
1 (Renewal), EPA ICR No. 1550.07, OMB Control No. 2030-0023

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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SUMMARY: In compliance with the Paperwork Reduction Act (PRA) (44
U.S.C. 3501 et seq.), this document announces that an Information
Collection Request (ICR) has been forwarded to the Office of Management
and Budget (OMB) for review and approval. This is a request to renew an
existing approved collection. The ICR, which is abstracted below,
describes the nature of the information collection and its estimated
burden and cost.

DATES: Additional comments may be submitted on or before August 22,
2007.

ADDRESSES: Submit your comments, referencing Docket ID No. EPA-HQ-OARM-
2007-0341, to (1) EPA online using http://www.regulations.gov (our preferred method), by e-mail to<EMAIL_ADDRESS>or by mail to: OEI Docket,

EPA Docket Center, Environmental Protection Agency, Mailcode 28221T,
1200 Pennsylvania Ave., NW., Washington, DC 20460, and (2) OMB by mail
to: Office of Information and Regulatory Affairs, Office of Management
and Budget (OMB), Attention: Desk Officer for EPA, 725 17th Street,
NW., Washington, DC 20503. EPA Docket Center, Environmental Protection
Agency.

FOR FURTHER INFORMATION CONTACT: Marilyn E. Chambers, Office of
Acquisition Management, 3802R, Environmental Protection Agency, 1200
Pennsylvania Ave., NW., Washington, DC 20460; telephone number: (202)
564-4398; fax number:<PHONE_NUMBER>; e-mail address:
<EMAIL_ADDRESS>

SUPPLEMENTARY INFORMATION: EPA has submitted the following ICR to OMB
for review and approval according to the procedures prescribed in 5 CFR
1320.12. On April 25, 2007 (72 FR 20532), EPA sought comments on this
ICR pursuant to 5 CFR 1320.8(d). EPA received one comment during the
comment period, which is addressed in the ICR. Any additional comments
on this ICR should be submitted to EPA and OMB within 30 days of this
notice.
    EPA has established a public docket for this ICR under Docket ID
No. EPA-HQ-OARM-2007-0341, which is available for online viewing at
http://www.regulations.gov, or in person viewing at the Office of

Environmental Information Docket in the EPA Docket Center (EPA/DC), EPA
West, Room 3334, 1301 Constitution Ave., NW., Washington, DC. The EPA/
DC Public Reading Room is open from 8 a.m. to 4:30 p.m., Monday through
Friday, excluding legal holidays. The telephone number for the Reading
Room is<PHONE_NUMBER>, and the telephone number for the Office of
Environmental Information Docket is<PHONE_NUMBER>.
    Use EPA's electronic docket and comment system at
http://www.regulations.gov, to submit or view public comments, access the

index listing of the contents of the docket, and to access those
documents in the docket that are available electronically. Once in the
system, select ``docket search,'' then key in the docket ID number
identified above. Please note that EPA's policy is that public
comments, whether submitted electronically or in paper, will be made
available for public viewing at http://www.regulations.gov as EPA receives

them and without change, unless the comment contains copyrighted
material, CBI, or other information whose public disclosure is
restricted by statute. For further information about the electronic
docket, go to http://www.regulations.gov.

    Title: Conflict of Interest Rule 1 (Renewal).
    ICR Numbers: EPA ICR No. 1550.07, OMB Control No. 2030-0023.
    ICR Status: This ICR is scheduled to expire on July 31, 2007. Under
OMB regulations, the Agency may continue to conduct or sponsor the
collection of information while this submission is pending at OMB. An
Agency may not conduct or sponsor, and a person is not required to
respond to, a collection of information, unless it displays a currently
valid OMB control number. The OMB control numbers for EPA's regulations
in title 40 of the CFR, after appearing in the Federal Register when
approved, are listed in 40 CFR part 9, are displayed either by
publication in the Federal Register or by other appropriate means, such
as on the related collection instrument or form, if

applicable. The display of OMB control numbers in certain EPA
regulations is consolidated in 40 CFR part 9.
    Abstract: EPA contractors will be required to keep a database of
business relationships. EPA contractors will be required to certify
annually, or when work is ordered under a contract, that they have no
actual or potential conflicts of interest involving the work to be
performed under the contract. If an actual or potential conflict of
interest is identified, then the contractor must disclose the relevant
information to EPA. Under certain contracts, the contractor will be
restricted in its future contracting in certain areas. To enter
contracts in the restricted area, the contractor must submit a request
to EPA with the relevant facts. This information is used by EPA to
ensure contractors' work products are objective and unbiased, that
contractors render impartial assistance or advice to EPA, and that
contractors do not have an unfair competitive advantage. Responses are
required to obtain a benefit. 5 U.S.C. 301; Sec. 205(c), 63 Stat. 390,
as amended, 40 U.S.C. 486(c); and 41 U.S.C. 418b. Information received
is treated as confidential in accordance with 40 CFR part 2, subpart B.
    Burden Statement: The annual public reporting and recordkeeping
burden for this collection of information is estimated to average 1,138
hours per response. Burden means the total time, effort, or financial
resources expended by persons to generate, maintain, retain, or
disclose or provide information to or for a Federal agency. This
includes the time needed to review instructions; develop, acquire,
install, and utilize technology and systems for the purposes of
collecting, validating, and verifying information, processing and
maintaining information, and disclosing and providing information;
adjust the existing ways to comply with any previously applicable
instructions and requirements which have subsequently changed; train
personnel to be able to respond to a collection of information; search
data sources; complete and review the collection of information; and
transmit or otherwise disclose the information.
    Respondents/Affected Entities: 135.
    Estimated Number of Respondents: 135 .
    Frequency of Response: On occasion.
    Estimated Total Annual Hour Burden: 153,626.
    Estimated Total Annual Cost: $9,561,000, which includes $0
annualized capital or O&M costs and $9,561,000 labor costs.
    Changes in the Estimates: There is an increase of 7,986 hours in
the total estimated burden currently identified in the OMB Inventory of
Approved ICR Burdens. This increase is due to an increase in the number
of EPA contracts containing conflict of interest requirements.

    Dated: July 10, 2007.
Robert L. Gunter,
Acting Director, Collection Strategies Division.
 [FR Doc. E7-14155 Filed 7-20-07; 8:45 am]

BILLING CODE 6560-50-P


[Federal Register Volume 83, Number 132 (Tuesday, July 10, 2018)]
[Notices]
[Page 31987]
[FR Doc No: 2018-14790]

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SECURITIES AND EXCHANGE COMMISSION

Sunshine Act Meetings

TIME AND DATE:  2:00 p.m. on Thursday, July 12, 2018.

PLACE:  Closed Commission Hearing Room 10800.

STATUS:  This meeting will be closed to the public.

MATTERS TO BE CONSIDERED:  Commissioners, Counsel to the Commissioners,
the Secretary to the Commission, and recording secretaries will attend
the closed meeting. Certain staff members who have an interest in the
matters also may be present.
    The General Counsel of the Commission, or his designee, has
certified that, in his opinion, one or more of the exemptions set forth
in 5 U.S.C. 552b(c)(3), (5), (6), (7), (8), 9(B) and (10) and 17 CFR
200.402(a)(3), (a)(5), (a)(6), (a)(7), (a)(8), (a)(9)(ii) and (a)(10),
permit consideration of the scheduled matters at the closed meeting.
    Commissioner Piwowar, as duty officer, voted to consider the items
listed for the closed meeting in closed session.
    The subject matters of the closed meeting will be:
    Institution and settlement of injunctive actions;
    Institution and settlement of administrative proceedings;
    Resolution of litigation claims; and
    Other matters relating to enforcement proceedings.
    At times, changes in Commission priorities require alterations in
the scheduling of meeting items.

CONTACT PERSON FOR MORE INFORMATION:  For further information and to
ascertain what, if any, matters have been added, deleted or postponed;
please contact Brent J. Fields from the Office of the Secretary at
(202) 551-5400.

    Dated: July 5, 2018.
Lynn M. Powalski,
Deputy Secretary.
[FR Doc. 2018-14790 Filed 7-6-18; 11:15 am]
 BILLING CODE 8011-01-P


[Federal Register: November 13, 2008 (Volume 73, Number 220)]
[Notices]
[Page 67243-67244]
[DOCID:fr13no08-90]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-58899; File No. SR-NYSEArca-2008-116]

Self-Regulatory Organizations; Notice of Filing and Immediate
Effectiveness of Proposed Rule Change by NYSE Arca, Inc. Amending
Exchange Rule 6.39--Securities Accounts of Market Makers

November 5, 2008.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby
given that, on November 3, 2008, NYSE Arca, Inc. (``NYSE Arca'' or the
``Exchange'') filed with the Securities and Exchange Commission (the
``Commission'') the proposed rule change as described in Items I, II,
and III below, which Items have been prepared by the self-regulatory
organization. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to amend Exchange Rule 6.39--Securities
Accounts of Market Makers. The text of the proposed rule change is
attached as Exhibit 5, is available on the Exchange's Web site at
www.nyse.com, at the Exchange's principal office and at the
Commission's Public Reference Room.

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

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

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

1. Purpose
    The purpose of this filing is to amend Rule 6.39 by modifying the
terms under which a clearing firm reports trade information to the
Exchange on behalf of a Market Maker.
    Presently, with respect to transactions to be cleared into all
accounts carried for Market Makers, each clearing firm shall, on the
business day following order entry date report to the Exchange every
executed order entered by the Market Maker for the purchase or sale of
a security underlying options traded on the Exchange, as well as
opening and closing positions in all such securities held in each
account.
    The Exchange does, on occasion, find the need to review Market
Maker order records in conjunction with an investigation, inquiries
regarding a specific trade, or a routine examination. However, since
this is not information that the Exchange typically uses on a daily
basis, there is no need for the Exchange to collect such information,
on a daily basis. Requiring this information to be reported on a daily
basis, instead of ``upon request'' creates an unnecessary burden on
Market Makers, clearing firms and the Exchange alike.
    The Exchange hereby proposes to amend Rule 6.39 by removing the
obligation for a clearing firm to report such trades on a daily basis,
and instead require the firms to report such trades only upon request
of the Exchange. Supplying the Exchange with trade information, when
requested instead of on a daily basis, is consistent with the
requirements at both the International Securities Exchange (``ISE'')
\4\ and the Boston Options Exchange (``BOX'').\5\
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    \4\ See ISE Rule 807(b)--Reports of Orders.
    \5\ See BOX Trading Rules Chapter VI Sec. 7(b)--Reports of
Orders.
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2. Statutory Basis
    This rule change is designed merely to create a more efficient
mechanism for clearing firms to report market maker trade information
to the Exchange. NYSE Arca believes that the proposed rule change is
consistent with Section 6(b) of the Act \6\ in general, and furthers
the objectives of Section 6(b)(5) of the Act \7\ in particular, because
it is

designed to prevent fraudulent and manipulative acts and practices, to
promote just and equitable principles of trade, to foster cooperation
and coordination with persons engaged in facilitating transactions in
securities, and to remove impediments to and perfect the mechanism of a
free and open market and a national market system.
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    \6\ 15 U.S.C. 78f (b).
    \7\ 15 U.S.C. 78f (b)(5).
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B. Self-Regulatory Organization's Statement on Burden on Competition

    The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Act.

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

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

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

    Pursuant to Section 19(b)(3)(A) \8\ of the Act and Rule 19b-4(f)(6)
\9\ thereunder, NYSE Arca has designated this proposed rule change as
one that does not:
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    \8\ 15 U.S.C. Sec.  78s(b)(3)(A).
    \9\ 17 CRF 240.19b-4(f)(6).
---------------------------------------------------------------------------

    (i) Significantly affect the protection of investors or the public
interest;
    (ii) Impose any significant burden on competition; and
    (iii) Become operative for 30 days from the date on which it was
filed, or such shorter time as the Commission may designate, if
consistent with the protection of investors and the public interest.
    The Exchange provided the Commission with written notice of its
intent to file this proposed rule change at least five business days
prior to the date of the filing. At any time within 60 days of the
filing of the proposed rule change, the Commission may summarily
abrogate such rule change if it appears to the Commission that such
action is necessary or appropriate in the public interest, for the
protection of investors, or otherwise in furtherance of the purposes of
the Act.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://
www.sec.gov/rules/sro.shtml); or
     Send an e-mail to<EMAIL_ADDRESS>Please include
File Number SR-NYSEArca-2008-116 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSEArca-2008-116. 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 20549-1090. Copies of the filing will also be
available for inspection and copying at NYSE Arca's principal office
and on its Internet Web site at http://www.nyse.com. 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
submissions should refer to File Number SR-NYSEArca-2008-116 and should
be submitted on or before December 4, 2008.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\10\
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    \10\ 17 CFR 200.30-3(a)(12).
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Florence E. Harmon,
Acting Secretary.
[FR Doc. E8-26885 Filed 11-12-08; 8:45 am]

BILLING CODE 8011-01-P


[Federal Register Volume 77, Number 26 (Wednesday, February 8, 2012)]
[Notices]
[Pages 6555-6556]
[FR Doc No: 2012-2855]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 13272-002]

Alaska Village Electric Cooperative; Notice of Preliminary Permit
Application Accepted for Filing and Soliciting Comments, Motions To
Intervene, and Competing Applications

    On January 3, 2012, Alaska Village Electric Cooperative (AVEC)
filed an application for a preliminary permit, pursuant to section 4(f)
of the Federal Power Act (FPA), proposing to study the feasibility of
the Old Harbor Hydroelectric Project (Old Harbor Project or project) to
be located on the East Fork of Mountain Creek (a Lagoon Creek
tributary), near the town of Old Harbor, Kodiak Island Borough, Alaska.
The project crosses federal lands of the Kodiak National Wildlife
Refuge. The sole purpose of a preliminary permit, if issued, is to
grant the permit holder priority to file a license application during
the permit term. A preliminary permit does not authorize the permit
holder to perform any land-disturbing activities or otherwise enter
upon lands or waters owned by others without the owners' express
permission.
    The proposed run-of-river project would consist of an intake,
penstock, powerhouse, tailrace and constructed channel, access road and
trail, and transmission line. Power from this project would be used by
the residents of the city of Old Harbor.

Intake

    The intake would consist of a diversion/cut off weir with a height
ranging from about 4 feet at the spillway to 6 feet elsewhere and
having an overall length of approximately 100 feet. The creek bottom is
close to bedrock so the base of the diversion wall would be a shallow
grouted or concrete footing dug into the stream bed. The weir would not
create any significant impoundment of water and would only be high
enough to have an intake that pulls water from the midpoint of the
water column. This would allow floatable objects and bottom moving
sediments to remain in the creek. A water filtering system consisting
of a trash rack, diversion gates, and secondary screens would be
incorporated into the weir structure as a separate desanding box that
would be partially exposed above grade. The project diversion and
intake works would consist of concrete, or other suitable material,
with an integral spillway. A below grade transition with an above
ground air relief inlet pipe would convey water to a buried High
Density Polyethylene Pipe (HDPE) pipeline.

Penstock

    A 10,100-foot-long penstock consisting of an 18-inch-diameter HDPE
pipe, a 20-inch-diameter HDPE pipe, and a 16-inch-diameter steel pipe
would be installed. A total of 7,250 feet of HDPE would be installed
from the intake and 2,850 feet of steel pipe would be installed near
the powerhouse. The pipe would be buried 1 to 3 feet underground and
follow the natural terrain as much as possible. The pipeline would be
located such that bends would be gradual while minimizing the amount of
excavation and fill needed.

Powerhouse

    The powerhouse would consist of a 30-foot by 35-foot (approximate)
by 16-foot-high metal building or similar structure. The building would
house the turbines and associated equipment, switchgear, controls, and
tools and would be placed on a fill pad. The power generation equipment
would consist of two Pelton 262 kilowatt (kW) units with a 480-volt, 3-
phase synchronous generator and switchgear for each unit. Each unit
would have a hydraulic capacity of 5.9 cubic feet per second (cfs) for
a total project peak flow rate of 11.8 cfs capable of producing 525 kW
of power. A bypass flow system for maintaining environmental flows is
not proposed at this time, since the source creek runs dry during
certain times of the year.

Tailrace

    A tailrace structure and constructed channel would convey the
project flows approximately 700 feet from the powerhouse to the nearby
lake, known in the city of Old Harbor as the Swimming Pond. A culvert
would contain some of the tailrace near the powerhouse to allow for
vehicle travel over the tailrace. The constructed channel would convey
project flows 1,100 feet from the Swimming Pond to the headwaters of
the Lagoon Creek tributary.

Access Road and Trail

    An approximately 11,200-foot-long intake access trail would run
between the intake and the powerhouse following the penstock route. The
12-foot-wide trail would be made of 1 to 2 feet of rock fill placed
over a geo-textile filter fabric. Two gates would be placed along on
the access trail to block the public from accessing the Kodiak National
Wildlife Refuge on all terrain vehicles. One gate would be located at
the powerhouse. Another gate would be placed where an existing trail
connects to the new trail at about 7,000 feet northwest of the
powerhouse. A new 6,800-foot-long by 24-foot-wide powerhouse access
road would extend from powerhouse to the existing community drinking
water tank access road. The road would be open to the public.

Transmission Line

    A 6,800-foot-long (1.5-mile), 7.2-kV, 3-phase overhead power line
would be installed from the powerhouse to the existing power
distribution system in Old Harbor. The transmission line would follow
the powerhouse access road and drinking water tank road alignment.
    The estimated dependable capacity of the project is 140 kW. The
peak installed capacity will primarily depend on economics and the
projected increase in demand. AVEC has chosen to permit the project
with a peak capacity of 525 kW.
    Applicant Contact: Brent Petrie; Manager, Community Development and
Key Accounts; Alaska Village Electric Cooperative; 4831 Eagle Street,

Anchorage, Alaska 99503-7497;<PHONE_NUMBER> or email at
<EMAIL_ADDRESS>    FERC Contact: Carolyn Templeton;<PHONE_NUMBER> or
<EMAIL_ADDRESS>    Deadline for filing comments, motions to intervene, competing
applications (without notices of intent), or notices of intent to file
competing applications: 60 days from the issuance of this notice.
Competing applications and notices of intent must meet the requirements
of 18 CFR 4.36. Comments, motions to intervene, notices of intent, and
competing applications may be filed electronically via the Internet.
See 18 CFR 385.2001(a)(1)(iii) and the instructions on the Commission's
Web site http://www.ferc.gov/docs-filing/efiling.asp. Commenters can
submit brief comments up to 6,000 characters, without prior
registration, using the eComment system at http://www.ferc.gov/docs-filing/ecomment.asp. You must include your name and contact information
at the end of your comments. For assistance, please contact FERC Online
Support at<EMAIL_ADDRESS>or toll free at 1<PHONE_NUMBER>,
or for TTY,<PHONE_NUMBER>. Although the Commission strongly encourages
electronic filing, documents may also be paper-filed. To paper-file,
mail an original and seven copies to: Kimberly D. Bose, Secretary,
Federal Energy Regulatory Commission, 888 First Street NE., Washington,
DC 20426.
    More information about this project, including a copy of the
application, can be viewed or printed on the ``eLibrary'' link of
Commission's Web site at http://www.ferc.gov/docs-filing/elibrary.asp.
Enter the docket number (P-13272) in the docket number field to access
the document. For assistance, contact FERC Online Support.

    Dated: February 2, 2012.
Kimberly D. Bose,
Secretary.
[FR Doc. 2012-2855 Filed 2-7-12; 8:45 am]
BILLING CODE 6717-01-P