                             SUPPORTING STATEMENT                   FOR AN INFORMATION COLLECTION REQUEST (ICR)

1.	IDENTIFICATION OF THE INFORMATION COLLECTION                    1(a).	Title of the Information Collection                Soil Fumigant Risk Mitigation       OMB Control No.:  2070-NEW  	EPA No.:  2451.01	              1(b).	Short Characterization/Abstract

      This new information collection request (ICR) will ensure that for certain soil fumigant chemicals, risk mitigation measures necessary for reregistration eligibility are adequately implemented.  In May 2008, the Environmental Protection Agency ("EPA" or "the Agency") completed Reregistration Eligibility Decisions (REDs) for a group of soil fumigant chemicals after an extensive review and public participation process.  The Agency's decision takes into account the best available information on the potential risks and benefits of soil fumigant use.  EPA published the final decision documents for public comment, and issued final REDs in June 2009.                The Agency has determined that certain uses of these soil fumigants are eligible for reregistration, provided that the risk mitigation measures outlined in the REDs are adopted.  The required mitigation measures may result in a burden, applicable under the Paperwork Reduction Act (PRA), on those participating in soil fumigant applications, on those enforcing soil fumigant label requirements, and on the registrants of soil fumigant products.  These measures are designed to decrease the likelihood of exposures to these chemicals while maintaining important benefits to United States (U.S.) agriculture.  To ensure that risk mitigation measures are adequately implemented, the respondents identified below must complete the following activities:           * Users  -  Users of soil fumigants include both certified applicators and pesticide handlers.  Applicators must understand the new requirements, complete application information on posting signs, provide notice of fumigant applications to applicable states, prepare a Fumigant Management Plan (FMP) and Post-Application Summary (PAS), participate in an EPA-approved fumigant training program, and disseminate fumigant safe handling information to handlers.  Handlers may help in the posting of buffer zone signs, and must also complete a fumigant training program.     * Registrants  -  Registrants of soil fumigant products must develop and implement training for fumigators in charge of fumigations, develop and disseminate safety information for handlers, develop and implement community outreach and education programs, and develop and implement first responder training.    * States  -  States are involved in the enforcement of soil fumigant label requirements, and would receive notification of fumigations in their state if they have selected this option.       Without the complete suite of measures, these chemicals do not meet the requirements to be eligible for reregistration under the Federal Insecticide, Fungicide and Rodenticide Act (FIFRA).  The programs and activities represented in this ICR are the result of the Agency exercising the authority of section 3(c)(2)(B) or section 3(c)(5) of FIFRA, which authorizes EPA to require pesticide registrants to generate and submit data to the Agency, when such data are needed to maintain an existing registration of a pesticide.  Due to the high benefits to agriculture from these chemicals, there could be significant economic impact if soil fumigant products are no longer available to American farmers.

2.  NEED FOR AND USE OF THE COLLECTION

      2(a).	Need/Authority for the Collection

      EPA's Office of Pesticide Programs (OPP), under the Office of Chemical Safety and Pollution Prevention (OCSPP), will use the information collected under this ICR to ensure that risk mitigation measures for certain soil fumigant chemicals necessary for reregistration eligibility are adequately implemented.  The programs and activities represented in this new ICR are the result of the Agency exercising the authority of section 3(c)(2)(B) (Attachment A) or section 3(c)(5) (Attachment B) of FIFRA, which authorizes EPA to require pesticide registrants to generate and submit data to the Agency when such data are needed to maintain an existing registration of a pesticide.                Sections 3(a) and 12(a)(1) of FIFRA require a person to register a pesticide product with the EPA before the pesticide product may be lawfully sold or distributed in the U.S.  A pesticide registration is a license that allows a pesticide product to be sold and distributed for specific uses under specified terms and conditions such as use instructions and precautions.  The proponent of initial or continued registration always bears the burden of demonstrating that a pesticide product meets the statutory standard for registration.  A pesticide product may be registered or remain registered only if it meets the statutory standard for registration given in section 3(c)(5) of FIFRA, which is as follows:

 Its composition is such as to warrant the proposed claims for it.  Its labeling and other material required to be submitted comply with the 	requirements of this Act.              It will perform its intended function without unreasonable adverse effects on the environment.              When used in accordance with widespread and commonly recognized practice it will not generally cause unreasonable adverse effects on the environment.         Section 2(bb) of FIFRA defines "unreasonable adverse effects on the environment'' as (1) "any unreasonable risk to man or the environment, taking into account the economic, social, and environmental costs and benefits of the use of any pesticide, or (2) a human dietary risk from residues that result from a use of a pesticide in or on any food inconsistent with the standard under section 408 of the Federal Food Drug and Cosmetic Act.''

       Section 4 of FIFRA requires EPA to reassess the health and safety data for all pesticide active ingredients registered before November 1, 1984, to determine whether these "older" pesticides meet the criteria for registration that would be expected of a pesticide being registered today for the first time.  Section 4 directs EPA to use section 3(c)(2)(B) authority to obtain the required data.  Section 4(g)(2)(A) of FIFRA calls for EPA to determine, after submission of relevant data concerning an active ingredient, whether pesticides containing the active ingredient are eligible for reregistration.                  EPA completed REDs for a group of soil fumigant chemicals in May 2008 after an extensive review and public participation process.  The Agency's decision takes into account the best available information on the potential risks and benefits of soil fumigant use.  EPA published the final decision documents for public comment, and issued final REDs in June 2009.  The chemicals included in this review are metam sodium/potassium, dazomet, chloropicrin, and methyl bromide.  Preceding the REDs for these chemicals, the Agency had also completed a RED for another soil fumigant, 1,3-dichloropropene (Telone (R)), in 1998.  In addition to these chemicals, the soil fumigant dimethyl disulfide (DMDS) was registered in July 2010.            EPA considered these soil fumigants as a group in order to ensure that similar risk assessment tools and methods were used for all and that risk management approaches were consistent.  Documents to support the reregistration or registration actions for this group of chemicals can be found in the public docket at www.regulations.gov under the following docket numbers: EPA-HQ-OPP-2005-0123 (methyl bromide), EPA-HQ-OPP-2005-0124 (1,3-dichloropropene), EPA-HQ-OPP-2005-0125 (metam sodium/potassium), EPA-HQ-OPP-2005-0128 (dazomet), EPA-HQ-OPP-2007-0350 (chloropicrin), and EPA-HQ-OPP-2007-0092 (DMDS).  Attachment C lists these chemicals and the docket numbers.

      The Agency has determined that certain uses of these soil fumigants are eligible for reregistration, provided that the same risk mitigation measures outlined in the REDs are adopted.  EPA is requiring a suite of complementary mitigation measures to protect handlers, reentry workers, and bystanders from risks resulting from exposure to the soil fumigants. While these measures are designed to work together to address all risks, the new mitigation measures have a specific focus on the acute human inhalation risks that have been identified in the revised risk assessments for these fumigants.  This ICR accounts for the additional risk mitigation activities outlined in the REDs that are applicable under the PRA, and documents the respondent burden and costs for these activities.              In addition, when the new soil fumigant DMDS was registered in 2010, the conditions of the registration required products containing this active ingredient to include the same risk mitigation measures to those that were required in the REDs for the other chemicals.  Similarly, these measures are required to ensure handlers, reentry workers, and bystanders who may be exposed to soil fumigants are protected.                Without the complete suite of measures, these chemicals do not meet the eligibility requirements for reregistration under FIFRA.  EPA may determine that products containing these chemicals do not meet the 3(c)(5) standard for registration under FIFRA.  Due to the high benefits to agriculture, there could be significant economic impact if soil fumigant products are no longer available.

      2(b).	Practical Utility/Uses of the Data

      Background on Soil Fumigants

      Soil fumigants are pesticides that, when applied to soil, form a gas to control pests that live in the soil and can disrupt plant growth and crop production.  The fumigants are either volatile chemicals that become gases at relatively low temperatures, around 40 degrees Fahrenheit, or they are chemicals that react to produce such a gas (e.g., dazomet and metam sodium converting to methyl isothiocyanate, or MITC).  Soil fumigants are used on many high value crops, including vegetables, fruits, nuts, forest seedlings, ornamentals, and nursery crops, to control a wide range of pests including nematodes, fungi, bacteria, insects, and weeds.  Benefits analyses have indicated that fumigant use is important in a variety of crops.  If these fumigants could not be used, there would likely be significant negative economic impacts.

      Because of the broad range of pests controlled, soil fumigants are used as part of the production of a wide variety of crops and provide high benefits for many growers. As gases, however, fumigants move from the soil to the air at the application site and may pose risks to handlers, re-entry workers, and bystanders. To reduce these exposures and address risks of concern, the Agency has required a number of mitigation measures designed to work together to address all risks, but focus on the acute human inhalation risks that have been identified in the revised risk assessments for these fumigants.              Bystanders, who are not involved in the fumigant application but who live, work, go to school, or are otherwise located in nearby areas, may be exposed to airborne fumigants that move off the application site. Bystanders also include agricultural workers in nearby fields who are not involved with the fumigant application. Incidents of bystander exposure demonstrate that fumigants have the potential to move off site at concentrations that produce adverse health effects in humans, over periods of several hours to days after application. These health effects may range from mild and reversible eye irritation to more severe and irreversible effects, depending on the fumigant and the level of exposure.

	The Agency is requiring a number of mitigation measures (as described in Section 4 of this document) that may result in a burden to those participating in soil fumigant applications, to those enforcing soil fumigant label requirements, and to those who register soil fumigant products.  These measures are designed to decrease the likelihood of exposures to these chemicals while maintaining their benefits to U.S. agriculture.  For example, measures such as FMPs are designed to reduce workplace injuries and accidents by prescribing a series of operational requirements and criteria.  Also, training is required to ensure applicators across the country receive the same basic level of information prior to making an application.  Although there are some areas of the country where training is currently available from states or registrants, there is currently no consistent training standard across states and regions where soil fumigation is conducted.  For the most part, people living and working near areas where fumigation is taking place do not have much knowledge about these types of applications.  In several incidents, even emergency first responders who have responded to incidents involving soil fumigants do not understand the unique chemical properties of these chemicals and have in some cases increased the exposure of bystanders to these chemicals following an incident.

      In general, more information on the soil fumigants, including links to all of the public comments received during the reregistration process for this group of chemicals, can be found at http://www.epa.gov/pesticides/reregistration/soil_fumigants/index.htm.

   3. NON-DUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA

		3(a). 	Non-duplication

      Respondents will not be asked to collect or provide information that has been or is currently being collected by EPA, other federal or state agencies or proprietary sources, or is available elsewhere.  The information collected is unique and is not duplicative of previous information collection requests.        3(b).	Public Notice              Pursuant to 5 CFR 1320.8(d), EPA published a Federal Register (FR) Notice (77 FR 39699, July 5, 2012) announcing this proposed information collection activity and provided a 60-day public comment period.  The Agency established a public docket for this proposal, which can be accessed at http://www.regulations.gov using the docket identifier EPA-HQ-OPP-2011-1036.  The Agency did not receive any comments during the public comment period. 	              3(c).	Consultation Required Prior to ICR Submission to OMB

      In addition to the public notice published in the Federal Register concerning the development of this ICR, the Agency has and will continue to consult with stakeholders and respondents who actively interact with the Agency.  For example, in developing the REDs the Agency used a thorough, multi-step, comprehensive process to elicit public comment, provide responses, and revise the decisions as appropriate.  Starting in 2004, EPA held a series of public meetings to discuss the proposed risk assessment methods which the Agency then used to develop draft risk assessments.  In 2005, EPA incorporated new modeling tools developed by industry and reviewed by the Scientific Advisory Panel (SAP) into the risk assessments, presented the preliminary risk assessments at another public meeting, and opened the first public comment period soliciting comments on the Agency's assessment.  In 2007, EPA issued responses to public comments on the revised risk and benefits assessments, and issued risk mitigation proposals for public comment.  EPA then held a series of public meetings around the country to get input on the risk mitigation proposals.  Then in 2008, EPA published REDs for public comment.  The REDs showed label statements that would be used to mitigate risks and how the new measures would be implemented.  In 2009, EPA published amended REDs that were revised based on public comments on the 2008 REDs.  EPA continues to work closely with stakeholders to help ensure new label changes are implemented in a timely manner, and that users and enforcement personnel are prepared when these changes take effect.  For more information, EPA's fumigant webpage contains a number of implementation resources as well as background information on these decisions.

      Before sending this ICR to OMB for review and approval, EPA staff contacted five representatives from a cross-section of respondents to seek feedback on the burden estimates in the ICR, the clarity of instructions provided, and other questions pertaining to the requirements of the program. Based on the comments received during the consultation process, EPA has made changes to the original burden estimates in section 6 of this supporting statement. EPA has summarized those comments and describes how EPA has changed its original estimates below. For representatives' contact information and their complete responses to the consultation questions, please see Attachment D.                First, in the original supporting statement, EPA did not specify additional capital or operation and maintenance costs. Several of the representatives commented that EPA should consider the costs associated with creating buffer zone signs.  Additionally, several commenters also suggested that there are costs associated with purchasing air monitoring equipment that EPA did not address. EPA agrees that these are additional costs, and has accounted for them in section 6(b)(1)(a) of the supporting statement.  None of the representatives provided estimates for costs associated with these items, so EPA has provided an estimate for each of these based off of current market prices for the materials and equipment.                 Second, in the original supporting statement, EPA had indicated that it would take approximately 30 minutes to post buffer zone signs (see Table 6). Several commenters suggested that this was too short of a time to post signs for buffer zones. These commenters suggested that it could take anywhere from 1 to 2 hours to post the necessary signs.  EPA has changed its estimate from 30 minutes to 1 hour based on these recommendations, accounting for the time it takes to both post and remove these signs after the buffer zone time period has expired.               Third, one commenter stated that EPA did not assign a cost to the distribution of training materials listed in Table 10.  However, EPA did include the distribution of materials as a "clerical task" in all cases, so the time associated with this activity is listed in the "clerical" column.  In reviewing the initial supporting statement and representative comments pertaining to this particular, EPA has decided to include 10 hours under the "technical" category for that activity in addition to the time accounted for in the "clerical" category.  EPA has also changed the name of that activity from "Distribute Training Materials" to "Maintain/Distribute Training Materials."  EPA felt that in addition the distribution of training materials at the clerical staff level, technical staff will also be needed to ensure that the fumigant training materials for certified applicators is up to date.              EPA also received two comments regarding EPA's estimate that it takes 30 minutes to read a soil fumigant label (see Table 6).  The representatives suggested that it could take 2-3 hours to read a soil fumigant label.  EPA has changed the activity name to "Understanding requirements," but it has not changed the burden estimate.  Reading the label is the law for all pesticide products, but the Agency did want to capture the additional time it may take to understand the suite of fumigant risk mitigation measures.  These measures are included on fumigant product labels, but could also be learned in REDs or on EPA's fumigant webpage.  Additionally, 30 minutes is an average for all soil fumigant applications.  Certified applicators will likely make multiple fumigant applications, oftentimes with the same soil fumigant.  The initial application will take more time to understand the requirements as suggested by the representatives, but EPA believes that subsequent applications will require less time as the certified applicator will already be familiar with the requirements.  Therefore, EPA has decided not to change this estimate.               For the representatives' complete responses to the consultation questions, as well as EPA's responses to those comments, please see Attachment D of this supporting statement.                  3(d).	Effects of Less Frequent Collection

      The Agency is not requiring regular reporting on the status of these tasks back to the Agency which will significantly reduce the burden on the respondents. Information is reported only when needed, and cannot be collected less frequently and still maintain necessary risk mitigation.  For example, certified applicators must only give FMPs to state enforcement officials when requested.

	3(e).	General Guidelines

      The information collection activities discussed in this ICR comply with all regulatory guidelines under 5 CFR 1320.5(d)(2).  Respondents are required to retain records, but respondents will not be required to retain records for more than 2 years.               3(f).	Confidentiality

      None of the information collected by EPA under this ICR comprises confidential business information.        3(g)	Sensitive Questions              The information collection activities discussed in this document do not involve any sensitive questions.

4.	THE RESPONDENTS AND THE INFORMATION REQUESTED

      4(a).	Respondents/NAICS Codes

      Respondents affected by the collection activities under this ICR are soil fumigant users, specifically certified applicators and agriculture pesticide handlers (NAICS 111000  -  Agriculture, Forestry, Fishing and Hunting); soil fumigant registrants (NAICS 325300 - Pesticide, Fertilizer, and Other Agricultural Chemical Manufacturing); and state and tribal lead agencies (NAICS 999200  -  State Government).

      Soil fumigant users subject to the ICR are considered "applicators" and "handlers".  Soil fumigants are only allowed to be applied by, or under direct supervision of, specially trained and certified applicators.  Certification programs are conducted by states, territories, and tribes in accordance with national standards.  Fumigant handlers are identified as workers working in a fumigant application block or buffer zone that performs certain kinds of tasks as specified on fumigant labels.

      Users of soil fumigants containing the active ingredients listed in Table 1 are subject to the collection activities specified in this ICR.

Table 1:  Active Ingredients Subject to this ICR                                Active Ingredient                          Pesticide Chemical (PC) Code 1, 3-dichloropropene                                     029001 Chloropicrin                                     081501 Dazomet                                     035602 DMDS                                     000011 Metam sodium                                     039003 Metam potassium                                     039002 Methyl bromide                                     053201 Methyl isothiocyanate                                     068103

      4(b).	 Information Collected               Users of soil fumigants will need to engage in the following activities to assure compliance with new fumigant label requirements:

Table 2: User (applicators or handlers) Activities                                      Burden                                   Description Understand the requirements

(applicator's responsibility) Learn/refresh understanding of fumigant requirements.

While all of the new requirements are on fumigant labels, EPA has also provided information on these requirements at http://www.epa.gov/pesticides/reregistration/soil_fumigants/index.htm.  Specific links to new requirements are included below. Posting: Fill-in application information on signs and post buffer zones

(applicator or handler's responsibility) Obtain signs from product dealers (provided to dealers by registrants); fill in (1) product name, and (2) contact information for the fumigator; place signs at usual points of entry and along likely routes of approach unless a physical barrier (fence, wall) prevents access to the buffer; remove signs after buffer zone time period has ended.

Information on buffer zone posting can be found at http://www.epa.gov/pesticides/reregistration/soil_fumigants/factsheets/sfm-posting-2012.pdf  State Lead Agencies (SLAs): Check EPA website to determine if notice is required and provide notice of applications to applicable SLAs

(applicator's responsibility) Applicators must check the EPA fumigant website for a list of states that require notification. Provide to the SLA that require notification, the following:  contact information for the fumigator and owner/operator; location of the field to be treated; product name and registration number; and when the fumigation is expected to occur.

Information on notification to SLAs can be found at http://www.epa.gov/pesticides/reregistration/soil_fumigants/statenotices/  Fumigant Management Plan (FMP): Prepare a FMP and a post-application summary (PAS)

(applicator's responsibility) Prepare a written FMP for each fumigation to include the following:  information on the site, fumigator, and owner/operator; fumigation procedures; buffer determinations; information on worker protection; procedures for air monitoring, posting, communication among key parties; and record keeping; emergency response plans and procedures for addressing accidental fumigant releases.

Results of air monitoring for handlers, air monitoring results between buffers and bystanders, as well as any deviations from the FMP must be recorded in a PAS.

Both documents must be filed and retained by both the certified applicator and the property owner for at least 2 years, and available to disclose to enforcement personnel or handlers participating in the application if requested.

Information on FMPs can be found at http://www.epa.gov/pesticides/reregistration/soil_fumigants/soil-fum-mgmt-plans-templates.html  Applicator Training: Applicators must take registrant developed and EPA approved fumigant training

(applicator's responsibility) Applicators must attend a soil fumigant training program designed specifically to cover the following topics: how to correctly apply the fumigant, how to protect handlers and bystanders, how to determine buffer zone distances, how to develop an FMP and post-fumigation summary report, how to determine when unfavorable conditions exist, and how to comply with the required GAPs.

The applicators participation in the training must be documented in the FMP.

Information on applicator training can be found at http://www.epa.gov/pesticides/reregistration/soil_fumigants/soil-fum-handlers.html#applicators  Handler Information: Handlers must receive fumigant specific information

(applicator and handler's responsibilities) Applicators are responsible for disseminating fumigant specific information prior to each fumigation to every handler participating in the application.

Information on handler information can be found at http://www.epa.gov/pesticides/reregistration/soil_fumigants/soil-fum-handlers.html#handlers

      EPA has included certain aspects of these requirements in the Data Call-In (DCI) notices that are being sent to the fumigant registrants.  The DCI is requiring registrants to submit proposals on how they are planning to address each of the reregistration requirements listed below.  The registrant's burden covered in the DCI ICR (OMB Control No. 2070-0174) has not been duplicated here.  The burden and activities listed below deal with development and implementation of requirements and therefore fall outside of the scope of the DCI ICR.

Table 3:  Registrant Activities                                     Burden                                   Description Training: Develop/update and implement training for fumigators in charge of fumigations

Prepare training materials, develop channels for training fumigators, and design and implement mechanisms for tracking fumigators who successfully complete training. Update training materials periodically. Disseminate training materials (either electronically, by paper, or in person)

As discussed in Table 2, information on applicator training can be found at http://www.epa.gov/pesticides/reregistration/soil_fumigants/soil-fum-handlers.html#applicators  Handler Information: Develop/update and disseminate safety information for handlers Prepare safety training materials for handlers and make them available to fumigators to provide to fumigant handlers under their supervision. Update safety information periodically. Disseminate training materials (either electronically or by paper)

As discussed in table 2, information on handler information can be found at http://www.epa.gov/pesticides/reregistration/soil_fumigants/soil-fum-handlers.html#handlers  Community Outreach: Develop/update and implement community outreach and education programs Design and implement outreach programs to provide communities with information about soil fumigants, buffer zones, early signs of exposure, and what to do in case of an exposure, emergency, or incident;  Update community outreach program periodically.

Information on community outreach can be found at http://www.epa.gov/pesticides/reregistration/soil_fumigants/soil-fum-communities.html  First Responder Training: Develop/update and implement first responder training Identify communities in which fumigants are used which do not already have information or training on appropriate response to soil fumigant incidents, and develop and incorporate training for first responders into existing programs; Update first responder training periodically.

Information on first responder training can be found at http://www.epa.gov/pesticides/reregistration/soil_fumigants/soil-fum-communities.html

Table 4: State Activities                                     Burden                                   Description Notice to States State Lead Agencies (SLAs) have the option to receive notice prior to fumigant applications.

As discussed in table 2, information on notification to SLAs can be found at http://www.epa.gov/pesticides/reregistration/soil_fumigants/statenotices/

5.	THE INFORMATION COLLECTED  -  AGENCY ACTIVITIES, COLLECTION METHODOLOGY, AND INFORMATION MANAGEMENT

      5(a).	Agency Activities

      This ICR primarily involves activities conducted for the purpose of submitting or providing information to third parties. EPA, however, does receive and review training and safety information materials developed or updated by registrant task forces prior to their distribution to third parties. EPA implements the soil fumigant mitigation measures as part of the reregistration program.

Table 5: Agency Activities                                     Burden                                   Description EPA Review, Coordination, and Implementation Responsibilities EPA has the responsibility to implement the soil fumigant mitigation measures, review and approve materials that are submitted, and coordinate reviews among experienced professionals.

      5(b).	Collection Methodology and Management

      This ICR primarily involves activities conducted for the purpose of submitting or providing information to third parties. For the information that EPA may collect in the future under this ICR (i.e., training and safety information materials), registrant task forces will submit the materials as needed and EPA will track, review and approve any new or updated materials consistent with current Agency processes and procedures for the submission of pesticide information to the Agency.               5(c).	Small Entity Flexibility

      The reregistration eligibility of the soil fumigants depend upon applicators receiving the various information and training required in the soil fumigant labels. These cannot be reduced for small establishments without seriously compromising the protections offered to applicators and bystanders.  As such, small entities are required to follow the same requirements as larger establishments.

      5(d).	Collection Schedule

      This ICR primarily involves activities conducted for the purpose of submitting or providing information to third parties.  For registrant task forces who must submit training and safety information materials to the Agency for review, there is no set collection schedule as registrant task forces submit materials only when developed or updated.  EPA periodically checks the fumigant risk mitigation measures as a part of the registration review program.         6. 	ESTIMATING THE BURDEN AND COST OF THE COLLECTION

      6(a).	Estimating Respondent Burden                    The burden associated with this collection of information is described in detail in the following sections.  The respondents include certified applicators, pesticide handlers, fumigant registrants and states.  To estimate the respondent burden, the Agency used current information and statistics on the number of fumigant applications made annually, the number of certified applicators and pesticide handlers that apply or handle soil fumigants, and the number of fumigant registrants.                Certified applicators and pesticide handlers have paperwork burden associated with fumigant application activities, such as understanding the requirements, posting treatment areas and developing a FMP.  It is estimated that the burden associated with the first application will be highest, mostly due to the time necessary to develop the FMP (12 hours).  Each of the other paperwork related activities is estimated to take no more than an hour.  Total burden for the first application is estimated to be nearly 15 hours, while each subsequent application is estimated to take less than 4 hours.  The Agency estimates that more than 12,000 soil fumigant applications are made in the U.S. each year.

      Requirements currently exist to ensure that certified applicators and agricultural handlers possess general pesticide use and safety information.  Applicators must be determined to be competent to become certified, and to maintain their certification they must either receive training or be recertified by exam on a schedule determined by the state (Certification of Pesticide Applicators, 40 CFR 171).  That schedule ranges, depending on the state, from 1 to 5 years.  Under the agricultural Worker Protection Standard (40 CFR 170), agricultural handlers are required to receive general pesticide safety training at least once every 5 years.  Burdens from those requirements are included in currently-approved ICRs for those two rules (Certification of Pesticide Applicators (OMB Control No. 2070-0029) and Worker Protection Standard Training and Notification (OMB Control No. 2070-0148)), and are not included here.              The soil fumigant label revisions establish training requirements specific to soil fumigation for certified applicators and handlers on the safe and appropriate use of these products. Soil fumigant applicators are required to receive this fumigant-specific training every 3 years; handlers involved in soil fumigant application must be provided with the specific safe handling information annually.  Burdens from these fumigant-specific requirements are included in this ICR and are separate and distinct from the requirements cited above under the Certification of Pesticide Applicators ICR (OMB Control No. 2070-0029) and the agricultural Worker Protection Standard ICR (OMB Control No. 2070-0148). There are an estimated 4,458 certified applicators applying soil fumigants and 13,374 pesticide handlers of soil fumigants subject to these training requirements.

      Registrant burden is associated with the development and dissemination of fumigant application, handler safety and first responder training materials.  They must also develop and implement a community outreach program.  The majority of the burden associated with these activities is in the one-time development of the materials.  An estimated 320 hours will be spent by each registrant developing the fumigant training materials; 120 hours will be spent developing the handler safety materials; and 240 hours will be spent developing the first responder training and developing the community outreach program.  The annual dissemination of fumigant training and handler safety materials is estimated to take 22 hours per registrant for each activity, while the implementation of the community outreach program is estimated to take 120 hours per registrant annually, and the dissemination of first responder training is estimated to take 120 hours per registrant annually.  There are six task forces that will be developing and disseminating the required materials.              States are responsible for enforcement and compliance of the fumigant application-related requirements.  It is estimated that states will spend an average of 15 minutes per application on enforcement and compliance activities.  Given the more than 12,000 fumigant applications made per year, state activities amount to more than 3,000 hours per year.

      The detailed burden estimates and calculations are presented below for each respondent group, along with costs.  The burden for certified applicators and pesticide handlers is shown in Tables 6, 7, 8, and 9; burden for registrants of soil fumigant products in Tables 10 and 11; and burden for states in Tables 12 and 13.

	6(b).	Methodology for Estimating Respondent Cost

	Respondent cost is based on the burden as described above and summarized below, and wages, benefits and overhead for all labor categories for affected industries, state government, and EPA employees.  This approach uses a transparent and consistent methodology and current publicly-available data to provide more accurate estimates and allow easy replication of the estimates of wages, benefits and overhead.

	Methodology:	The methodology uses data on each sector and labor type for an unloaded wage rate (hourly wage rate), and calculates the loaded wage rate (unloaded wage rate + benefits), and the fully loaded wage rate (loaded wage rate + overhead).  Costs are indexed to 2010 dollars.

	Wage Rates:  Wages are estimated for occupations (management, technical, and clerical) within applicable sectors.  The Agency uses average unloaded wage data for the relevant sectors available in the National Industry-Specific Occupational Employment and Wage Estimates from the Bureau of Labor Statistics (BLS) at http://www.bls.gov/oes/current/oes_nat.htm.  For loaded wage rates, benefits represent 44% of unloaded wage rates, based on benefits for all civilian non-farm workers, from http://www.bls.gov/news.release/ecec.t01.htm.  Fully loaded wage rates include an additional 50% on top of the loaded wage rate to capture overhead costs (EPA guidelines 20-70%).  The data and calculations for wage rates used in this document are presented in Attachment E.

	Sectors: The specific North American Industry Classification System (NAICS) code and website for each sector is included in that sector's wage rate table.  Within each sector, the wage data are provided by Standard Occupational Classification (SOC).  The SOC system is used by Federal statistical agencies to classify workers into occupational categories for the purpose of collecting, calculating, or disseminating data (see http://www.bls.gov/oes/current/oes_stru.htm ).   	 	There are three categories of respondents: certified applicators and handlers, registrants and states.  The cost associated with each is described in this section.

      (1) Certified Applicators and Pesticide Handlers        The estimated costs of paperwork activities for certified applicators and pesticide handlers are shown in Tables 6, 7, 8, and 9, along with burden.  Tables 6 and 7 list the estimated costs associated with paperwork for user application activities, while Tables 8 and 9 list the costs associated with training activities.  Wage rates are based on NAICS code 111000 - Agriculture, Fishing, Forestry and Hunting.  They are loaded to account for some benefits paid by the employer, but do not account for overhead.  The loaded wage rate for certified applicators ($33.24) is based on the scientist/technician labor category, while the pesticide handler wage is based on an average of the loaded wage rate for the scientist/technician and agriculture worker labor categories (($33.24+$13.40)/2 = $23.32), reflecting a higher skilled worker (see Attachment E). 	 		(1a) User Application Activities       Table 6 summarizes the burden and cost for paperwork activities per soil fumigant application for certified applicators and pesticide handlers.  Table 7 summarizes the burden and cost per year.  The annual burden and cost is based on the number of applications made per year.  EPA estimates that more than 12,000 applications are made per year by certified applicators and pesticide handlers based on historical pesticide usage data for the soil fumigants.

      In addition to the hourly burden and cost of compliance with the application requirements, applicators are required to purchase signs for the posting requirement and tubes and pumps for the air monitoring requirement.  The sign cost is $0.09 per sheet and assuming 4 sheets per application (posting at 2 points of entry to the treated field and 2 postings along routes of approach to the treated field on average), the cost per application is $0.36.  The total annual material cost for posting, assuming 12,651 applications per year, is $4,554.  With 37,953 applications over 3 years, the total estimated 3 year cost is $13,663.                Monitoring devices must be used during methyl bromide applications and if sensory irritation occurs while applying other fumigants.  Each application requires a pump to be on-site, and a new tube is necessary for every measurement.  The cost of a Draeger tube for monitoring the air at an application site is $16 on average and the cost of a Draeger pump is $405.  Assuming one tube per application, the total annual cost of the tubes is $202,416 ($16 per tube per application multiplied by 12,651 applications).  Over 3 years, the total cost of the tubes is $607,248.  Assuming each certified applicator (there are an estimated 4,458 certified applicators) purchases one new pump every 3 years, the total 3 year cost for the pumps is $1,805,490, for an average of $601,830 per year.  Burden for this measurement is included in the FMP estimates since the labels require measurements to be recorded in the PAS.              The material cost of compliance is equal to the cost of purchasing the signs for posting plus the cost of the tubes and pumps for air monitoring.  The total 3 year cost is $2,426,401, for an average annual cost of $808,800.

Table 6.  Certified Applicator and Pesticide Handler Burden and Cost for User Application Activities per Application, By Activity Category Activity Frequency Certified Applicator Hours Cost (@$33.24/hr)[1] Pesticide Handler Hours Cost (@$23.32/hr)[1] Total Hours Cost[2] Understanding requirements Learn/refresh understanding of fumigant requirements Annual 0.50 $16.62 0 $0 0.50 $16.62 Posting Fill in Information Per Application 0.13 $4.32 0 $0 0.13 $4.32

Post/Remove Signs Per Application 0 $0 1.0 $23.32 1.0 $23.32 Notice to SLA Prepare information in Notice Per Application 0.17 $5.65 0 $0 0.17 $5.65

Send Notice Per Application 0.05 $1.66 0 $0 0.05 $1.66 Fumigant Management Plan Prepare Initial Plan Per Initial Application 12.00 $398.88 0 $0 12.00 $398.88

Prepare Subsequent Plan Per Subsequent Application 1.00 $33.24 0 $0 1.00 $33.24

Create Post Fumigation Report Per Application 1.00 $33.24 0 $0 1.00 $33.24

File and Disclose Plan Per Application 0.05 $1.66 0 $0 0.05 $1.66 Total Burden and Cost Per Initial and Subsequent Application[3]

Initial Application 13.90 $462.04 1.0 $23.32 14.90 $485.36

Subsequent Application 2.90 $96.40 1.0 $23.32 3.90 $119.72 Numbers may not add due to rounding. 1 - Cost is equal to the hours times the wage rate ($/hr). 2 - Total hours and cost are the sum of certified applicator and pesticide handler hours and cost.  3  -  Initial Application is equal to the sum of each activity less prepare subsequent plan.  Subsequent application hours and cost is equal to the sum of each activity less prepare initial application.

Table 7.  Total Annual Certified Applicator and Pesticide Handler Burden and Cost for User Application Activities Year Certified Applicator Hours Cost[1] Pesticide Handler Hours Cost[1] Total Hours Cost[2] Year 1 175,849 $5,845,217 12,651 $295,021 188,500 $6,140,239 Year 2 175,849 $5,845,217 12,651 $295,021 188,500 $6,140,239 Year 3 106,268 $3,532,362 12,651 $295,021 118,919 $3,827,383 3 Year Annual Average 152,655 $5,074,265 12,651 $295,021 165,306 $5,369,287 3 Year Total 457,966 $15,222,796 37,953 $885,064 495,919 $16,107,860 Numbers may not add due to rounding. 1 - Cost is equal to the total hours and cost for the initial and subsequent application as listed in rows 11 and 12 of Table 6 multiplied times the number of applications.  EPA assumes that fumigations occur once every two years, and that 100% of fumigations in year 1 and 2 are first time fumigation, and 50% of fumigations are first time fumigations starting in year 3. The estimated number of applications per year is as follows:  			Initial Applications	Subsequent Applications Year 1			12,651			0 Year 2			12,651			0 Year 3			6,326			6,326 3 Year Average		10,543			2,109 3 Year Total		31,628			6,326 For Example: For certified applicators in Year 3 the hours are equal to following: Certified applicator: (13.90 hours/application x 6,326 applications) + (2.90 hours/application x 6,326 applications) 2 - Total hours and cost are the sum of certified applicator and pesticide handler hours and cost.

      (1b)  Training Activities       Table 8 summarizes the burden and cost for certified applicators and pesticide handlers for training activities per trainee, while Table 9 summarizes the burden and cost per year of training activities.  The annual burden and cost is based on the number of certified applicators and pesticide handlers involved with soil fumigant applications.  EPA estimates that there are 4,458 applicable certified applicators and 13,374 handlers. This is based on data submitted to EPA on the number of certified applicators and the assumption of three pesticide handlers per certified applicator.

Table 8.  Certified Applicator and Pesticide Handler Burden and Cost for Training Activities per Applicator, By Activity Category Activity Frequency Certified Applicator Hours and Cost (@$33.24/hr)[1] Pesticide Handler Hours and Cost (@$23.32/hr)[1] Total Hours and Cost[2] Applicator Fumigant Training Mandatory Training Once Every 3 Years 8.00 $265.92 0 $0 8.00 $265.92

Retain Training Documentation Once Every 3 Years 0.05 $1.66 0 $0 0.05 $1.66 Handler Safety Information Fumigant Specific Safety Information  Annual[3] 0.08 $2.66 1.00 $23.32 1.08 $25.98

Numbers may not add due to rounding. 1 - Cost is equal to the hours times the wage rate ($/hr). 2 - Total hours and cost are the sum of certified applicator and pesticide handler hours and cost. 3  -  Information is disseminated to pesticide handlers on a per application basis.  Estimates presented here are the total estimated annual burden of all applications conducted by a certified applicator or pesticide handler in a given year.

Table 9.  Total Annual Certified Applicator and Pesticide Handler Burden and Cost for Training Activities Year Certified Applicator Hours and Cost[1] Pesticide Handler Hours and Cost[1] Total Hours and Cost[2] Year 1 36,244 $1,204,735 13,374 $311,882 49,618 $1,516,617 Year 2 357 $11,855 13,374 $311,882 13,731 $323,736 Year 3 357 $11,855 13,374 $311,882 13,731 $323,736 3 Year Annual Average 12,319 $409,482 13,374 $311,882 25,693 $721,363 3 Year Total 36,957 $1,228,445 40,122 $935,645 77,079 $2,164,090 Numbers may not add due to rounding. 1 - Cost is equal to the total hours and costs as listed Table 8 times the number of certified applicators and pesticide handlers that apply or handle soil fumigants.  EPA estimates an applicable 4,458 certified applicators and 13,374 pesticide handlers.   For Example: For certified applicators in Year 1 the hours are equal to following: Certified applicator:  (8.00 hours/applicator + 0.05 hours/applicators + 0.08 hours/applicator) x (4,458 applicators) 2 - Total hours and cost are the sum of certified applicator and pesticide handler hours and cost.

      (2) Registrants of Soil Fumigant Products       The estimated paperwork costs for soil fumigant registrants are shown in Tables 10 and 11.  Wage rates are for NAICS 325300 - Pesticide, Fertilizer, and Other Agricultural Chemical Manufacturing and are fully loaded to account for benefits and overhead.  EPA estimates that there are 6 registrant task forces that will develop and distribute the required materials based on correspondence with these task forces.  Table 10 shows the estimates of burden and cost per registrant task force to develop and distribute training materials; prepare and distribute safety information; design and implement community outreach; and develop and distribute first responder training materials.  Table 11 shows the annual cost across all registrants of the activities taking into account the frequency of the activity.

Table 10.  Soil Fumigant Registrant Burden and Cost, By Activity Category Activities Frequency Management Hours and Cost (@$120.28/ hr)[1] Technical Hours and Cost (@$60.85/ hr)[1] Clerical Hours and Cost (@$37.11/ hr)[1] Total Hours and Cost[2] Fumigant Training Develop/Update Training Materials One Time 80.00 $9,622.40 160.00 $9,736.00 80.00 $2,968.80 320.00 $22,327

Maintain / Distribute Training Materials Annually 0 $0 10 $608.50 12.00 $445.32 22.00 $1,054 Handler Safety Information Prepare/Update Information One Time 40.00 $4,811.20 40.00 $2,434.00 40.00 $1,484.40 120.00 $8,730

Distribute Training Materials Annually 0 $0 0 $0 12.00 $445.32 12.00 $445 Community Outreach Program Design/Update Program One Time 80.00 $9,622.40 80.00 $4,868.00 80.00 $2,968.80 240.00 $17,459

Implement Program in High Use  Areas Annually 40.00 $4,811.20 40.00 $2,434.00 40.00 $1,484.40 120.00 $8,730 First Responder Training Develop/Update Training Materials One Time 80.00 $9,622.40 80.00 $4,868.00 80.00 $2,968.80 240.00 $17,459

Distribute Material in High Use  Areas Annually 0 $0 0 $0 120.00 $4,453.20 120.00 $4,453 Numbers may not add due to rounding. 1 - Cost is equal to the hours times the wage rate ($/hr). 2 - Total hours and cost are the sum of managerial, technical and clerical hours and cost.

Table 11.  Total Annual Registrant Burden and Cost  Year Managerial Hours and Cost[1] Technical Hours and Cost[1] Clerical Hours and Cost[1] Total Hours and Cost[2] Year 1 1,920 $230,938 2,460 $149,691 2,784 $103,314 7,164 $483,943 Year 2 240 $28,867 300 $18,255 1,104 $40,969 1,644 $88,092 Year 3 240 $28,867 300 $18,255 1,104 $40,969 1,644 $88,092 3 Year Annual Average 800 $96,224 1,020 $62,067 1,664 $61,751 3,484 $220,042 3 Year Total 2,400 $288,672 3,060 $186,201,201 4,992 $185,253 10,452 $660,126 Numbers may not add due to rounding. 1 - Cost is equal to the total hours and cost in Table 10 multiplied times the estimated number of registrant task forces (6).  For Example: The Year 1 number of managerial hours is equal to the hours per registrant for each of the activities times 6:  (80 hours/registrant+0 hours/registrant+40 hours/registrant+0 hours/registrant+80 hours/registrant+40 hours/registrant+80 hours/registrant+0 hours/registrant) x (6 registrants) 2 - Total hours and cost are the sum of managerial, technical and clerical hours and cost.

      (3) States       The burden for states per application for compliance and enforcement activities is shown in Table 12.  Wage rates are for NAICS 999200  -  State Government and are fully loaded to account for benefits and overhead.  EPA's requirements are for only those states with high fumigant use, and currently, EPA estimates that there are 15 states that account for the majority of fumigant use and are considered high use: California, Washington, Idaho, Oregon, Wisconsin, Michigan, Florida, Minnesota, North Carolina, Virginia, Arizona, Nevada, Georgia, Colorado, and North Dakota.  This is based on an EPA analysis of fumigant pesticide usage and U.S. crop acreage grown which showed that a majority of soil fumigant usage occurred in 15 states.    Costs are measured on a per application basis.  Annual burden, assuming more than 12,000 fumigant applications per year, is shown in Table 13.  The Agency estimates that all of the paperwork burden for responding to this ICR will be conducted by clerical (or administrative) staff.

Table 12.  State Burden and Cost per Application Category Activities Frequency Clerical Hours and Cost (@$39.20/hr)[1] Total Hours and Cost[2] State Compliance and Enforcement Paperwork for Compliance and Enforcement  Annually 0.25 $9.80 0.25 $9.80 Numbers may not add due to rounding.  State management and technical staff are not estimated to be impacted by this ICR. 1 - Cost is equal to the hours times the wage rate ($/hr). 2 - Total hours and cost are the sum of managerial, technical and clerical hours and cost.  Since only clerical staff is impacted, the total hours and cost are equal to the clerical hours and cost.

Table 13.  Total Annual State Burden and Cost Year Clerical Hours and Cost[1] Total Hours and Cost[2] Year 1 3,163 $123,980 3,163 $123,980 Year 2 3,163 $123,980 3,163 $123,980 Year 3 3,163 $123,980 3,163 $123,980 3 Year Annual Average 3,163 $123,980 3,163 $123,980 3 Year Total 9,488 $371,939 9,488 $371,939 Numbers may not add due to rounding.  State management and technical staff are not estimated to be impacted by this ICR. 1 - Cost is equal to the total hours and cost per application as listed in Table 7 multiplied times the number of applications.  EPA assumes that fumigations occur once every two years, and that 100% of fumigations in year 1 and 2 are first time fumigation, and 50% of fumigations are first time fumigations starting in year 3. The estimated number of applications per year as follows:  			Initial Applications	Subsequent Applications Year 1			12,651			0 Year 2			12,651			0 Year 3			6,326			6,326 3 Year Average		10,543			2,109 3 Year Total		31,628			6,326 For Example: For states in Year 1, the hours are equal to the following: (0.25 hours/application x 12,651 applications) 2 - Total hours and cost are the sum of managerial, technical and clerical hours and cost.  Since only clerical staff is impacted, the total hours and cost are equal to the clerical hours and cost.

      6(c).	Estimating Agency Burden and Cost              Agency burden is shown in Tables 14 and 15.  To determine Agency costs, the Agency used the Bureau of Labor Statistics estimates of labor rates for the North American Industry Classification System code for the Federal Executive Branch (NAICS 999100).  Wage rates are fully loaded to account for benefits and overhead.  Table 14 shows the burden and cost per activity for the Agency, while Table 15 is the annual burden and cost across all activities.  Agency costs are based on managerial and technical hours spent on compliance and enforcement activities.

Table 14.  Agency Burden and Cost Category Activities Frequency Management Hours and Cost (@$119.85/hr)[1] Technical Hours and Cost (@$71.58/hr)[1] Total Hours and Cost[2] Federal Compliance and Enforcement Review Registrant Training Materials One Time 80.00 $9,588.00 1,092.00 $78,165.36 1,172 $87,753

Develop User Tools and Templates One Time 40.00 $4,794.00 1,092.00 $78,165.36 1,132 $82,959

Review Labels and Materials One Time 40.00 $4,794.00 2,184.00 $156,330.72 2,224 $161,125

Compliance Training and Stakeholder Engagement Annually 104.00 $12,464.40 1,092.00 $78,165.36 1,196 $90,630 Numbers may not add due to rounding.  Agency clerical staff are not impacted by this ICR. 1 - Cost is equal to the hours times the wage rate ($/hr). 2 - Total hours and cost are the sum of managerial, technical hours and cost.

Table 15.  Total Annual Agency Burden and Cost  Year Managerial Hours/Cost[1] Technical Hours/Cost[1] Total Hours/Cost[2] Year 1 264 $31,640 5,460 $390,827 5,724 $422,467 Year 2 104 $12,464 1,092 $78,165 1,196 $90,630 Year 3 104 $12,464 1,092 $78,165 1,196 $90,630 3 Year Annual Average 157 $18,856 2,548 $182,386 2,705 $201,242 3 Year Total 472 $56,569 7,644 $547,158 8,116 $603,727 Numbers may not add due to rounding. 1 - Cost is equal to the total hours and cost across activities based on frequency from Table 14.  For example: The Year 1 number of managerial hours is equal to the sum of the hours for each activity:  80 hours + 40 hours + 40 hours + 104 hours.  Years 2 and 3 only include the activities incurred annually (104 hours). 2 - Total hours and cost are the sum of managerial and technical hours and cost.

             6(d).	Bottom Line Burden Hours and Cost              Tables 16 and 17 summarize the total annual respondent and Agency burden, respectively.  Including the cost to applicators for the materials required for compliance with the posting and air monitoring requirements ($2,426,401), the total 3 year respondent cost is $21,730,417.        Table 16.  Annual Respondent Burden and Cost                             Information Collection                                   Respondent                                No. of Responses                                  Burden Hours                                      Costs Fumigant User Application Activities  (Table 7)                              Certified Applicators                                     12,651                                     152,655                                  $5,883,065[1]

                              Pesticide Handlers                                     12,651                                     12,651                                    $295,021 Fumigant Training Activities (Table 9)                              Certified Applicators                                      4,458                                     12,319                                    $409,482

                              Pesticide Handlers                                     13,374                                     13,374                                    $311,882 Development and Distribution of Training & Informational Materials  (Table 11)                                   Registrants                                        6                                      3,484                                    $220,042 Paperwork for Compliance and Enforcement in High Use States   (Table 13)                                 State Agencies                                     12,651                                      3,163                                                                            $123,980 Total Annual Average                                                                             55,791                                     197,646                                   $7,243,472 1- Costs for certified applicators include the capital costs of $808,800 for purchasing buffer zone signs and air monitoring equipment (pumps and tubes).  See section 6(b)(1a) and Table 7.

Table 17.  Annual Agency Burden and Cost Year Total Hours[1] Total Cost[1] Year 1 5,724 $422,467 Year 2 1,196 $90,630 Year 3 1,196 $90,630 3 Year Annual Average 2,705 $201,242 3 Year Total 8,116 $603,727 1  -  Total hours and cost are a sum of total hours and cost for the Agency.  See Table 15.

      6(e).	Reasons for Change in Burden

      This is a new ICR.

      6(f).	Burden Statement

      The total estimated annual respondent paperwork burden to comply with this information collection activity is 197,646 hours.  This estimate includes the time needed for certified applicators (164,974 hours), pesticide handlers (26,025 hours), registrants (3,484 hours), and states (3,163 hours) to conduct fumigant application related paperwork activities (see section 6(b) and 6 (d)).  For certified applicators, the burden for this collection is estimated to be 2.9 to 13.9 hours per soil fumigant application, and 0.08 to 8.13 hours per certified applicator per year for training.  For pesticide handlers, the burden for this collection is estimated to average 1 hour per soil fumigant application, and 1 hour per pesticide handler per year for safety training.  The burden for registrant task forces to develop, distribute, and implement fumigant training and informational materials is estimated to be 274 to 1,194 hours per task force per year.  For states, the burden for this collection is estimated to average 0.25 hours per application.              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, are listed in 40 CFR Part 9, and included on the related collection instrument or form, if applicable.

      To comment on the Agency's need for this information, the accuracy of the provided burden estimates, and any suggested methods for minimizing respondent burden, including the use of automated collection techniques, EPA has established a public docket for this ICR under docket ID No. EPA-HQ-OPP-2011-1036, which is available for public viewing at the OPP Docket in the EPA Docket Center, EPA West, Rm. 3334, 1200 Pennsylvania Ave, NW, Washington, DC 20460-0001.  This docket facility is open from 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays.  The OPP Docket telephone number is<PHONE_NUMBER>.  An electronic version of the public docket is available through Federal eRulemaking Portal, http://www.regulations.gov.  Follow the online instructions for viewing documents and submitting comments. You can also send comments to the Office of Information and Regulatory Affairs, Office of Management and Budget, 725 17th Street, NW, Washington, DC 20503, Attention: Desk Office for EPA.  Please include the docket ID No. EPA-HQ-OPP-2011-1036 and OMB control number 2070-NEW in any correspondence.

                    Attachments to the Supporting Statement    Attachments to the supporting statement are available in the public docket established for this ICR under docket identification number EPA-HQ-OPP-2011-1036.  These attachments are available for online viewing at www.regulations.gov or otherwise accessed as described in section 6(f) of the supporting statement.    Attachment A:	7 U.S.C. 136a - FIFRA section 3(c)(2)(B). This is also available online at the House of Representatives' US Code Website      Attachment B:	7 U.S.C. 136a - FIFRA Section 3(c)(5). This is also available online at the House of Representatives' US Code Website      Attachment C:	Docket Numbers for Fumigant Reregistration Eligibility Decisions and Supporting Documents    Attachment D:	Record of Consultations Between the U.S. Environmental Protection Agency and Respondents to the Information Collection Request: "Soil Fumigant Risk Mitigation"    Attachment E:	Worksheet for Estimating OPP ICR Wage Rates for Industry, State and EPA Labor Costs


[Federal Register Volume 85, Number 151 (Wednesday, August 5, 2020)]
[Notices]
[Pages 47443-47446]
[FR Doc No: 2020-16997]

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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-89432; File No. SR-NYSEArca-2020-71]

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing
and Immediate Effectiveness of a Proposed Rule Change To Amend the Rule
11.6800 Series

July 30, 2020.
    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 July 27, 2020, NYSE Arca, Inc. (``NYSE Arca'' or the
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I and
II below, which Items have been prepared by the self-regulatory
organization. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
---------------------------------------------------------------------------

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

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

    The Exchange proposes to amend the Rule 11.6800 Series, the
Exchange's compliance rule (``Compliance Rule'') regarding the National
Market System Plan Governing the Consolidated Audit Trail (the ``CAT
NMS Plan'' or ``Plan'') \3\ to be consistent with an amendment to the
CAT NMS Plan recently approved by the Commission. The proposed rule
change is available on the Exchange's website at www.nyse.com, at the
principal office of the Exchange, and at the Commission's Public
Reference Room.
---------------------------------------------------------------------------

    \3\ Unless otherwise specified, capitalized terms used in this
rule filing are defined as set forth in the Compliance Rule.
---------------------------------------------------------------------------

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 proposed rule change is to amend the Rule
11.6800 Series, the Compliance Rule regarding the CAT NMS Plan, to be
consistent with an amendment to the CAT NMS Plan recently approved by
the Commission.\4\ The Commission approved an amendment to the CAT NMS
Plan to amend the requirements for Firm Designated IDs in four ways:
(1) To prohibit the use of account numbers as Firm Designated IDs for
trading accounts that are not proprietary accounts; (2) to require that
the Firm Designated ID for a trading account be persistent over time
for each Industry Member so that a single account may be tracked across
time within a single Industry Member; (3) to permit the use of
relationship identifiers as Firm Designated IDs in certain
circumstances; and (4) to permit the use of entity identifiers as Firm
Designated IDs in certain circumstances (the ``FDID Amendment''). As a
result, the Exchange proposes to amend the definition of ``Firm
Designated ID'' in Rule 11.6810 to reflect the changes to the CAT NMS
Plan regarding the requirements for Firm Designated IDs.
---------------------------------------------------------------------------

    \4\ See Securities Exchange Act Release No. 89397 (July 24,
2020) (Federal Register publication pending).
---------------------------------------------------------------------------

    Rule 11.6810(r) defines the term ``Firm Designated ID'' to mean ``a
unique identifier for each trading account designated by Industry
Members for purposes of providing data to the Central Repository, where
each such identifier is unique among all identifiers from any given
Industry Member for each business date.''
(1) Prohibit Use of Account Numbers
    The Exchange proposes to amend the definition of ``Firm Designated
ID'' in Rule 11.6810(r) to provide that Industry Members may not use
account numbers as the Firm Designated ID for trading accounts that are
not proprietary accounts. Specifically, the Exchange proposes to add
the following to the definition of a Firm Designated ID: ``provided,
however, such identifier may not be the account number for such trading
account if the trading account is not a proprietary account.''
(2) Persistent Firm Designated ID
    The Exchange also proposes to amend the definition of ``Firm
Designated ID'' in Rule 11.6810(r) to require a Firm Designated ID
assigned by an Industry Member to a trading account to be persistent
over time, not for each business day.\5\ To effect this change, the
Exchange proposes to amend the definition of ``Firm Designated ID'' in
Rule 11.6810(r) to add ``and persistent'' after ``unique'' and delete
``for each business date'' so that the definition of ``Firm Designated
ID'' would read, in relevant part, as follows:
---------------------------------------------------------------------------

    \5\ If an Industry Member assigns a new account number or entity
identifier to a client or customer due to a merger, acquisition or
some other corporate action, then the Industry Member should create
a new Firm Designated ID to identify the new account identifier/
relationship identifier/entity identifier in use at the Industry
Member for the entity. In addition, if a previously assigned Firm
Designated ID is no longer in use by an Industry Member (e.g., if
the trading account associated with the Firm Designated ID has been
closed), then an Industry Member may reuse the Firm Designated ID
for another trading account. The Plan Processor will maintain a
history of the use of each Firm Designated ID, including, for
example, the effective dates of the Firm Designated ID with respect
to each associated trading account.
---------------------------------------------------------------------------

    A unique and persistent identifier for each trading account
designated by Industry Members for purposes of providing data to

the Central Repository . . . where each such identifier is unique
among all identifiers from any given Industry Member.
(3) Relationship Identifiers
    The FDID Amendment also permits an Industry Member to provide a
relationship identifier as the Firm Designated ID, rather than an
identifier that represents a trading account, in certain scenarios in
which an Industry Member does not have an account number available to
its order handling and/or execution system at the time of order receipt
(e.g., certain institutional accounts, managed accounts, accounts for
individuals). In such scenarios, the trading account structure may not
be available when a new order is first received from a client and,
instead, only an identifier representing the client's trading
relationship is available. In these limited instances, the Industry
Member may provide an identifier used by the Industry Member to
represent the client's trading relationship with the Industry Member
instead of an account number.
    When a trading relationship is established at a broker-dealer for
clients, the broker-dealer typically creates a parent account, under
which additional subaccounts are created. However, in some cases, the
broker-dealer establishes the parent relationship for a client using a
relationship identifier as opposed to an actual parent account. The
relationship identifier could be any of a variety of identifiers, such
as a short name for a relevant individual or institution. This
relationship identifier is established prior to any trading for the
client. If a relationship identifier has been established rather than a
parent account, and an order is placed on behalf of the client, any
executed trades will be kept in a firm account (e.g., a facilitation or
average price account) until they are allocated to the proper
subaccount(s), i.e., the accounts associated with the parent
relationship identifier connecting them to the client.
    Relationship identifiers are used in circumstances in which the
account structure is not available to the trading system at the time of
order placement. The clients have established accounts prior to the
trade that satisfy relevant regulatory obligations for opening
accounts, such as Know Your Customer and other customer obligations.
However, the order receipt workflows operate using relationship
identifiers, not accounts.
    For Firm Designated ID purposes, as with an identifier for a
trading account, the relationship identifier must be persistent over
time. The relationship identifier also must be unique among all
identifiers from any given Industry Member. With these requirements, a
single relationship could be tracked across time within a single
Industry Member using the Firm Designated ID. In addition, the
relationship identifier must be masked as the relationship identifier
could be a name or otherwise provide an indication as to the identity
of the relationship. The masking requirement would avoid potentially
revealing the identity of the relationship.
    An example of the use of a relationship identifier as a Firm
Designated ID would be as follows: Suppose that Big Fund Manager is
known in Industry Member A's systems as ``BFM1.'' When an order is
placed by Big Fund Manager, the order is tagged to BFM1. Industry
Member A could use a masked version of BFM1 in place of the Firm
Designated ID representing a trading account when reporting a new order
from Big Fund Manager instead of the account numbers to which executed
shares/contracts will be allocated at a later time via a booking or
other system. Similarly, another example of the use of a relationship
identifier as a Firm Designated ID would involve an individual in place
of the Big Fund Manager in the above example.
    In accordance with the FDID Amendment, the Exchange proposes to
amend the definition of a ``Firm Designated ID'' in Rule 11.6810(r) to
permit Industry Members to provide a relationship identifier as the
Firm Designated ID as described above. Specifically, the Exchange
proposes to amend the definition of ``Firm Designated ID'' in Rule
11.6810(r) to state that a Firm Designated ID means, in relevant part,
``a unique and persistent relationship identifier when an Industry
Member does not have an account number available to its order handling
and/or execution system at the time of order receipt, provided,
however, such identifier must be masked.''
(4) Entity Identifiers
    The FDID Amendment also permits Industry Members to provide an
entity identifier, rather than an identifier that represents a trading
account, when an employee of the Industry Member is exercising
discretion over multiple client accounts and creates an aggregated
order for which a trading account number of the Industry Member is not
available at the time of order origination. An entity identifier is an
identifier of the Industry Member that represents the firm
discretionary relationship with the client rather than a firm trading
account.
    The scenarios in which a firm uses an entity identifier are
comparable to when a firm uses a relationship identifier (as described
above) except the entity identifier represents the Industry Member
rather than a client. As with relationship identifiers, entity
identifiers are used in circumstances in which the account structure is
not available to the trading system at the time of order placement. In
this workflow, the Industry Member's order handling and/execution
system does not have an account number at the time of order
origination. The relevant clients that will receive an allocation of
the execution have established accounts prior to the trade that satisfy
relevant regulatory obligations for opening accounts, such as Know Your
Customer and other customer obligations. However, the order origination
workflows operate using entity identifiers, not accounts.
    For Firm Designated ID purposes, as with the identifier for a
trading account or a relationship, the entity identifier must be
persistent over time. The entity identifier also must be unique among
all identifiers from any given Industry Member. Each Industry Member
must make its own risk determination as to whether it believes it is
necessary to mask the entity identifier when using an entity identifier
to report the Firm Designated ID to CAT.
    An example of the use of an entity identifier as a Firm Designated
ID would be when Industry Member 1 has an employee that is a registered
representative that has discretion over several client accounts held at
Industry Member 1. The registered representative places an order that
he will later allocate to individual client accounts. At the time the
order is placed, the trading system only knows it involves a
representative of Industry Member 1 and it does not have a specific
trading account that could be used for Firm Designated ID reporting.
Therefore, Industry Member 1 could report IM1, its entity identifier,
as the FDID with the new order.
    In accordance with the FDID Amendment to the CAT NMS Plan, the
Exchange proposes to amend the definition of ``Firm Designated ID'' in
Rule 11.6810(r) to permit the use of an entity identifier as a Firm
Designated ID as described above. Specifically, the Exchange proposes
to amend the definition of a ``Firm Designated ID'' in Rule 11.6810(r)
to state that a Firm Designated ID means, in relevant part, ``a unique
and persistent entity identifier when an employee of an Industry Member
is exercising discretion over multiple client accounts

and creates an aggregated order for which a trading account number of
the Industry Member is not available at the time of order
origination.''
2. Statutory Basis
    NYSE Arca believes that the proposed rule change is consistent with
the provisions of Section 6(b)(5) of the Act,\6\ which require, among
other things, that the Exchange's rules must be designed to prevent
fraudulent and manipulative acts and practices, to promote just and
equitable principles of trade, and, in general, to protect investors
and the public interest, and Section 6(b)(8) of the Act,\7\ which
requires that the Exchange's rules not impose any burden on competition
that is not necessary or appropriate.
---------------------------------------------------------------------------

    \6\ 15 U.S.C. 78f(b)(6).
    \7\ 15 U.S.C. 78f(b)(8)
---------------------------------------------------------------------------

    NYSE Arca believes that this proposal is consistent with the Act
because it is consistent with, and implements, a recent amendment to
the CAT NMS Plan, and is designed to assist the Exchange and its
Industry Members in meeting regulatory obligations pursuant to the
Plan. In approving the Plan, the SEC noted that the Plan ``is necessary
and appropriate in the public interest, for the protection of investors
and the maintenance of fair and orderly markets, to remove impediments
to, and perfect the mechanism of a national market system, or is
otherwise in furtherance of the purposes of the Act.'' \8\ To the
extent that this proposal implements the Plan, and applies specific
requirements to Industry Members, the Exchange believes that this
proposal furthers the objectives of the Plan, as identified by the SEC,
and is therefore consistent with the Act.
---------------------------------------------------------------------------

    \8\ See Securities Exchange Act Release No. 79318 (November 15,
2016), 81 FR 84696, 84697 (November 23, 2016).
---------------------------------------------------------------------------

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

    NYSE Arca does not believe that the proposed rule change will
result in any burden on competition that is not necessary or
appropriate in furtherance of the purposes of the Act. NYSE Arca notes
that the proposed rule changes are consistent with a recent amendment
to the CAT NMS Plan, and are designed to assist the Exchange in meeting
its regulatory obligations pursuant to the Plan. NYSE Arca also notes
that the FDID Amendment will apply equally to all Industry Members that
trade NMS Securities and OTC Equity Securities. In addition, all
national securities exchanges and FINRA are proposing this amendment to
their Compliance Rules. Therefore, this is not a competitive rule
filing, and, therefore, it does not impose a burden on competition.

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

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

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

    The Exchange has filed the proposed rule change pursuant to Section
19(b)(3)(A)(iii) of the Act \9\ and Rule 19b-4(f)(6) thereunder.\10\
Because the proposed rule change does not: (i) Significantly affect the
protection of investors or the public interest; (ii) impose any
significant burden on competition; and (iii) become operative prior to
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 proposed rule change has become
effective pursuant to Section 19(b)(3)(A) of the Act \11\ and Rule 19b-
4(f)(6)(iii) thereunder.\12\
---------------------------------------------------------------------------

    \9\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \10\ 17 CFR 240.19b-4(f)(6).
    \11\ 15 U.S.C. 78s(b)(3)(A).
    \12\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires the Exchange to give the Commission written notice of the
Exchange's intent to file the proposed rule change, along with a
brief description and text of the proposed rule change, at least
five business days prior to the date of filing of the proposed rule
change, or such shorter time as designated by the Commission. The
Exchange has satisfied this requirement.
---------------------------------------------------------------------------

    A proposed rule change filed under Rule 19b-4(f)(6) \13\ normally
does not become operative prior to 30 days after the date of the
filing. However, pursuant to Rule 19b-4(f)(6)(iii),\14\ the Commission
may designate a shorter time if such action is consistent with the
protection of investors and the public interest. The Exchange has asked
the Commission to waive the 30-day operative delay so that the proposal
may become operative by July 31, 2020. The Commission believes that
waiver of the 30-day operative delay is consistent with the protection
of investors and the public interest because it implements an amendment
to the CAT NMS Plan approved by the Commission.\15\ Accordingly, the
Commission hereby waives the 30-day operative delay and designates the
proposal operative as of July 31, 2020.\16\
---------------------------------------------------------------------------

    \13\ 17 CFR 240.19b-4(f)(6).
    \14\ 17 CFR 240.19b-4(f)(6)(iii).
    \15\ See Securities Exchange Act Release No. 89397 (July 24,
2020) (Federal Register publication pending).
    \16\ For purposes only of waiving the 30-day operative delay,
the Commission has considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
---------------------------------------------------------------------------

    At any time within 60 days of the filing of this proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission will institute proceedings to
determine whether the proposed rule change should be approved or
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 is consistent with the Act. Comments may be submitted by any of
the following methods:

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-NYSEArca-2020-71 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSEArca-2020-71. This
file number should be included on the subject line if email is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the proposed
rule change between the Commission and any person, other than those
that may be withheld from the public in accordance with the provisions
of 5 U.S.C. 552, will be available for website viewing and printing in
the Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549, on official business days between the hours of

10:00 a.m. and 3:00 p.m. Copies of the filing also will be available
for inspection and copying at the principal office of the Exchange. All
comments received will be posted without change. Persons submitting
comments are cautioned that we do not redact or edit personal
identifying information from comment submissions. You should submit
only information that you wish to make available publicly. All
submissions should refer to File Number SR-NYSEArca-2020-71, and should
be submitted on or before August 26, 2020.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\17\
---------------------------------------------------------------------------

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

J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-16997 Filed 8-4-20; 8:45 am]
BILLING CODE 8011-01-P