[Federal Register Volume 79, Number 65 (Friday, April 4, 2014)]
[Notices]
[Pages 18937-18944]
[FR Doc No: 2014-07512]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. IC-31000; File No. 812-14221]

MetLife Insurance Company of Connecticut, et al.; Notice of
Application

March 31, 2014.
AGENCY: Securities and Exchange Commission (``SEC'' or ``Commission'').

ACTION: Notice of application for an order approving the substitution
of certain securities pursuant to Section 26(c) of the Investment
Company Act of 1940, as amended (the ``1940 Act'' or ``Act'') and an
order of exemption pursuant to Section 17(b) of the Act from Section
17(a) of the Act.

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APPLICANTS: MetLife of CT Separate Account Eleven for Variable
Annuities (``Separate Account Eleven''), MetLife of CT Separate Account
QPN for Variable Annuities (``Separate Account QPN''), MetLife of CT
Fund UL for Variable Life Insurance (``Fund UL''), MetLife of CT Fund
UL III for Variable Life Insurance (``Fund UL III''), MetLife of CT
Separate Account CPPVUL1 (``Separate Account CPPVUL1''), First MetLife
Investors Variable Annuity Account One (``Separate Account One''),
MetLife Investors USA Separate Account A (``Separate Account A''),
Metropolitan Life Separate Account UL (``Separate Account UL''),
Metropolitan Life Variable Annuity Separate Account II (``Separate
Account II''), Security Equity Separate Account Twenty-Seven
(``Separate Account Twenty-Seven''), (collectively, the ``Separate
Accounts'') and MetLife Insurance Company of Connecticut (``MetLife of
CT''), First MetLife Investors Insurance Company (``First MetLife
Investors''), MetLife Investors USA Insurance Company (``MetLife
Investors USA'') and Metropolitan Life Insurance Company (``MetLife''),
(collectively the ``Insurance Companies''), Met Investors Series Trust
(``MIST'') and Metropolitan Series Fund (``Met Series Fund,'' and,
together with MIST, the ``Investment Companies'').
    The Insurance Companies and the Separate Accounts are referred to
herein collectively as the ``Substitution Applicants.'' The Insurance
Companies, the Separate Accounts and the Investment Companies are
referred to in this notice as the ``Section 17 Applicants.''
SUMMARY:  Summary of Application: The Substitution Applicants seek an
order pursuant to Section 26(c) of the 1940 Act, approving the
substitution of certain shares of the Trust for shares of other
registered investment companies unaffiliated with the Substitution
Applicants (the ``Substitutions'') each of which is currently used as
an underlying investment option for certain variable annuity contracts
(collectively, the ``Contracts''). The Section 17 Applicants seek an
order pursuant to Section 17(b) of the 1940 Act exempting them from
Section 17(a) of the Act to the extent necessary to permit them to
engage in certain in-kind transactions (``In-Kind Transfers'') in
connection with the Substitutions.

DATES:  Filing Date: The application was filed on September 30, 2013,
and an amended and restated application was filed on February 28, 2014.

Hearing or Notification of Hearing: An order granting the application
will be issued unless the Commission orders a hearing. Interested
persons may request a hearing by writing to the Secretary of the
Commission and serving the Applicants with a copy of the request,
personally or by mail. Hearing requests should be received by the
Commission by 5:30 p.m. on April 21, 2014, and should be accompanied by
proof of service on the Applicants in the form of an affidavit or, for
lawyers, a certificate of service. Hearing requests should state the
nature of the requester's interest, the reason for the request, and the
issues contested. Persons who wish to be notified of a hearing may
request notification by writing to the Secretary of the Commission.

ADDRESSES: Secretary, SEC, 100 F Street NE., Washington, DC 20549-1090.
Applicants: Applicants c/o Paul G. Cellupica, Chief Counsel--Securities
Regulation and Corporate Services, MetLife Group, 1095 Avenue of the
Americas, New York, NY 10036 and John Chilton, Esq., Sullivan &
Worcester LLP, 1666 K Street NW., Washington, DC 20006.

FOR FURTHER INFORMATION CONTACT: Ashley Vroman-Lee, Senior Counsel, or
Michael Kosoff, Branch Chief, Division of Investment Management, at
(202) 551-6795.

SUPPLEMENTARY INFORMATION: The following is a summary of the
application. The complete application may be obtained via the
Commission's Web site by searching for the file number, or for an
applicant using the Company name box, at http://www.sec.gov/search/search.htm, or by calling<PHONE_NUMBER>.

Applicants' Representations

    1. MetLife of CT is a stock life insurance company organized in
1863 under the laws of Connecticut and is a wholly-owned subsidiary of
MetLife, Inc. MetLife of CT is the depositor and

sponsor of Separate Account Eleven, Separate Account QPN, Fund UL, Fund
UL III and Separate Account CPPVUL1. First MetLife Investors is a stock
life insurance company organized on December 31, 1992 under the laws of
New York. First MetLife Investors is a wholly-owned subsidiary of
MetLife, Inc. First MetLife Investors is the depositor and sponsor of
Separate Account One. MetLife Investors USA is a stock life insurance
company organized on September 13, 1960 under the laws of Delaware.
MetLife Investors USA is an indirect wholly-owned subsidiary of
MetLife, Inc. MetLife Investors USA is the depositor and sponsor of
Separate Account A. MetLife is a stock life insurance company organized
in 1868 under the laws of New York. MetLife is the depositor and
sponsor of Separate Account UL, Separate Account II and Separate
Account Twenty-Seven.
    2. Separate Account Eleven, Fund UL, Fund UL III, Separate Account
One, Separate Account A, Separate Account UL, Separate Account II, and
Separate Account Twenty-Seven are registered under the Act as unit
investment trusts for the purpose of funding the Contracts. Security
interests under the Contracts have been registered under the Securities
Act of 1933.
    3. Separate Account QPN is exempt from registration under the Act.
Security interests under the Contracts have been registered under the
Securities Act of 1933.
    4. Separate Account CPPVUL1 serves as a separate account funding
vehicle for certain Contracts that are exempt from registration under
Section 4(2) of the Securities Act of 1933 and Regulation D thereunder.
    5. Although Separate Account QPN and Separate Account CPPVUL1 are
exempt from registration under the Act, they would be subject to the
investment limitations of Section 12 but for the exclusion contained in
Section 12(d)(1)(E) of the Act. To rely on such exclusion, an
investment company that is not a registered investment company must,
among other things, agree to refrain from substituting a security
unless the Commission approves the substitution in the manner provided
in Section 26 of the Act.
    6. MIST and Met Series Fund are each registered under the Act as
open-end management investment companies of the series type, and their
securities are registered under the Securities Act of 1933. MetLife
Advisers, LLC serves as investment adviser to MIST and Met Series Fund.
The investment adviser is an affiliate of the Insurance Companies.
    7. MetLife Investors Distribution Company, an affiliate of the
Insurance Companies, is the distributor of the Contracts and serves as
the principal underwriter of MIST and Met Series Fund.
    8. The Contracts permit the applicable Insurance Company, subject
to compliance with applicable law, to substitute shares of another
investment company for shares of an investment company held by a sub-
account of the Separate Accounts. The prospectuses for the Contracts
and the Separate Accounts contain appropriate disclosures of this
right. File numbers for the Contracts, the Separate Accounts and the
Investment Companies are included in the application.
    9. Each Insurance Company, on its behalf and on behalf of the
Separate Accounts proposes to make certain substitutions of shares of
13 funds (the ``Existing Funds'') held in sub-accounts of its
respective Separate Accounts into certain series of MIST and Met Series
Fund (the ``Replacement Funds'').
    The Substitution Applicants request an order from the Commission
pursuant to Section 26(c) of the 1940 Act approving the proposed
Substitutions of shares of the following series of the Trust, the
Replacement Funds, for shares of the corresponding third party,
unaffiliated underlying mutual funds, the Existing Funds, as shown in
the following table:

------------------------------------------------------------------------
             Existing fund                       Replacement fund
------------------------------------------------------------------------
DWS Capital Growth VIP (Class B).......  Jennison Growth Portfolio
                                          (Class B).
DWS Global Growth VIP (Class B)........  Oppenheimer Global Equity
                                          Portfolio (Class B).
Invesco V.I. American Franchise Fund     T. Rowe Price Large Cap Growth
 (Series I and Series II).                Portfolio (Class A and Class
                                          B).
Invesco V.I. American Value Fund         Invesco Mid Cap Value Portfolio
 (Series II).                             (currently known as Lord
                                          Abbett Mid Cap Value
                                          Portfolio) (Class B).
Invesco V.I. Global Real Estate Fund     Clarion Global Real Estate
 (Series I and Series II).                Portfolio (Class A and Class
                                          B).
Invesco V.I. Growth and Income Fund      Invesco Comstock Portfolio
 (Series I and Series II).                (Class A and Class B).
ClearBridge Variable All Cap Value       T. Rowe Price Large Cap Value
 Portfolio (Class I).                     Portfolio (Class E).
UIF U.S. Real Estate Portfolio (Class    Clarion Global Real Estate
 I).                                      Portfolio (Class B).
Pioneer Disciplined Value VCT Portfolio  MFS[supreg] Value Portfolio
 (Class II).                              (Class B).
Pioneer Emerging Markets VCT Portfolio   MFS[supreg] Emerging Markets
 (Class II).                              Equity Portfolio (Class A and
                                          Class B).
Pioneer Equity Income VCT Portfolio      Invesco Comstock Portfolio
 (Class II).                              (Class B).
Pioneer Ibbotson Growth Allocation VCT   MetLife Moderate to Aggressive
 Portfolio (Class II).                    Allocation Portfolio (Class
                                          B).
Pioneer Ibbotson Moderate Allocation     MetLife Moderate Allocation
 VCT Portfolio (Class II).                Portfolio (Class B).
------------------------------------------------------------------------

    For Existing Funds and Replacement Funds with multiple classes, the
application specifies which class of the Replacement Fund will be
substituted for each class of an Existing Fund. Comparisons of the
investment objectives, principal strategies, principal risks, and
performance of the Existing Funds and the Replacement Funds are
included in the application.
    10. The following tables compare the fees and expenses of the
Existing Fund and the Replacement Fund as of December 31, 2012 (A more
detailed fee table is included in the application):

              Fee and Expense Data as of December 31, 2012
------------------------------------------------------------------------
                                                       Replacement fund
                                  Existing fund  DWS    Jennison Growth
                                    Capital  Growth    Portfolio  (Class
                                    VIP  (Class B)            B)
------------------------------------------------------------------------
Management Fee..................               0.37%               0.61%
12b-1 Fee.......................               0.25%               0.25%
Other Expenses..................               0.21%               0.03%

Total Expenses..................               0.83%               0.89%
Waivers.........................               0.00%               0.07%
Net Expenses....................               0.83%               0.82%
------------------------------------------------------------------------

------------------------------------------------------------------------
                                                       Replacement fund
                                  Existing fund  DWS      Oppenheimer
                                  Global  Growth VIP     Global Equity
                                       (Class B)       Portfolio  (Class
                                                              B)
------------------------------------------------------------------------
Management Fee..................               0.92%               0.67%
12b-1 Fee.......................               0.25%               0.25%
Other Expenses..................               0.59%               0.09%
Total Expenses..................               1.76%               1.01%
Waivers.........................               0.37%               0.02%
Net Expenses....................               1.39%               0.99%
------------------------------------------------------------------------

----------------------------------------------------------------------------------------------------------------
                                                                           Replacement fund    Replacement fund
                                     Existing fund       Existing fund       T. Rowe Price       T. Rowe Price
                                     Invesco V.I.        Invesco V.I.      Large Cap Growth    Large Cap Growth
                                  American Franchise  American Franchise   Portfolio  (Class   Portfolio  (Class
                                   Fund  (Series I)    Fund  (Series II)          A)                  B)
----------------------------------------------------------------------------------------------------------------
Management Fee..................               0.68%               0.68%               0.60%               0.60%
12b-1 Fee.......................               0.00%               0.25%               0.00%               0.25%
Other Expenses..................               0.30%               0.30%               0.04%               0.04%
Total Expenses..................               0.98%               1.23%               0.64%               0.89%
Waivers.........................               0.08%               0.08%               0.01%               0.01%
Net Expenses....................               0.90%               1.15%               0.63%               0.88%
----------------------------------------------------------------------------------------------------------------

------------------------------------------------------------------------
                                     Existing fund     Replacement fund
                                     Invesco V.I.       Invesco Mid Cap
                                    American Value      Value Portfolio
                                   Fund  (Series II)   (Class B)[dagger]
------------------------------------------------------------------------
Management Fee..................               0.72%               0.65%
12b-1 Fee.......................               0.25%               0.25%
Other Expenses..................               0.28%               0.04%
Acquired Expenses...............               0.00%               0.06%
Total Expenses..................               1.25%               1.00%
Waivers.........................               0.00%               0.02%
Net Expenses....................               1.25%               0.98%
------------------------------------------------------------------------

----------------------------------------------------------------------------------------------------------------
                                                                           Replacement fund    Replacement fund
                                     Existing fund       Existing fund      Clarion Global      Clarion Global
                                     Invesco V.I.        Invesco V.I.         Real Estate         Real Estate
                                  Global Real Estate  Global Real Estate   Portfolio  (Class   Portfolio  (Class
                                   Fund  (Series I)    Fund  (Series II)          A)                  B)
----------------------------------------------------------------------------------------------------------------
Management Fee..................               0.75%               0.75%               0.60%               0.60%
12b-1 Fee.......................               0.00%               0.25%               0.00%               0.25%
Other Expenses..................               0.39%               0.39%               0.06%               0.06%
Total Expenses..................               1.14%               1.39%               0.66%               0.91%
Waivers.........................               0.00%               0.00%               0.00%               0.00%
Net Expenses....................               1.14%               1.39%               0.66%               0.91%
----------------------------------------------------------------------------------------------------------------

----------------------------------------------------------------------------------------------------------------
                                     Existing fund       Existing fund     Replacement fund    Replacement fund
                                     Invesco V.I.        Invesco V.I.      Invesco Comstock    Invesco Comstock
                                   Growth and Income   Growth and Income   Portfolio  (Class   Portfolio  (Class
                                   Fund  (Series I)    Fund  (Series II)          A)                  B)
----------------------------------------------------------------------------------------------------------------
Management Fee..................               0.56%               0.56%               0.57%               0.57%
12b-1 Fee.......................               0.00%               0.25%               0.00%               0.25%
Other Expenses..................               0.28%               0.28%               0.03%               0.03%
Total Expenses..................               0.84%               1.09%               0.60%               0.85%
Waivers.........................               0.06%               0.06%               0.02%               0.02%

Net Expenses....................               0.78%               1.03%               0.58%               0.83%
----------------------------------------------------------------------------------------------------------------

------------------------------------------------------------------------
                                     Existing fund     Replacement fund
                                      ClearBridge        T. Rowe Price
                                   Variable All Cap     Large Cap Value
                                    Value Portfolio    Portfolio (Class
                                       (Class I)              E)
------------------------------------------------------------------------
Management Fee..................               0.75%               0.57%
12b-1 Fee.......................               0.00%               0.15%
Other Expenses..................               0.06%               0.02%
Total Expenses..................               0.81%               0.74%
Waivers.........................               0.00%               0.00%
Net Expenses....................               0.81%               0.74%
------------------------------------------------------------------------

------------------------------------------------------------------------
                                                       Replacement fund
                                   Existing fund UIF    Clarion Global
                                   U.S. Real Estate       Real Estate
                                   Portfolio (Class    Portfolio (Class
                                          I)                  B)
------------------------------------------------------------------------
Management Fee..................               0.80%               0.60%
12b-1 Fee.......................               0.00%               0.25%
Other Expenses..................               0.30%               0.06%
Total Expenses..................               1.10%               0.91%
Waivers.........................               0.00%               0.00%
Net Expenses....................               1.10%               0.91%
------------------------------------------------------------------------

------------------------------------------------------------------------
                                     Existing fund
                                        Pioneer        Replacement fund
                                   Disciplined Value   MFS[supreg] Value
                                     VCT Portfolio     Portfolio (Class
                                      (Class II)              B)
------------------------------------------------------------------------
Management Fee..................               0.70%               0.70%
12b-1 Fee.......................               0.25%               0.25%
Other Expenses..................               0.08%               0.03%
Total Expenses..................               1.03%               0.98%
Waivers.........................               0.03%               0.13%
Net Expenses....................               1.00%               0.85%
------------------------------------------------------------------------

----------------------------------------------------------------------------------------------------------------
                                                         Existing fund     Replacement fund    Replacement fund
                                                       Pioneer Emerging       MFS[supreg]         MFS[supreg]
                                                          Markets VCT      Emerging Markets    Emerging Markets
                                                       Portfolio (Class    Equity Portfolio    Equity Portfolio
                                                              II)              (Class A)           (Class B)
----------------------------------------------------------------------------------------------------------------
Management Fee......................................               1.15%               0.91%               0.91%
12b-1 Fee...........................................               0.25%               0.00%               0.25%
Other Expenses......................................               0.30%               0.16%               0.16%
Acquired Expenses...................................               0.01%               0.00%               0.00%
Total Expenses......................................               1.71%               1.07%               1.32%
Waivers.............................................               0.00%               0.02%               0.02%
Net Expenses........................................               1.71%               1.05%               1.30%
----------------------------------------------------------------------------------------------------------------

------------------------------------------------------------------------
                                     Existing fund
                                    Pioneer Equity     Replacement fund
                                      Income VCT       Invesco Comstock
                                   Portfolio (Class    Portfolio (Class
                                          II)                 B)
------------------------------------------------------------------------
Management Fee..................               0.65%               0.57%
12b-1 Fee.......................               0.25%               0.25%
Other Expenses..................               0.10%               0.03%
Total Expenses..................               1.00%               0.85%
Waivers.........................               0.00%               0.02%
Net Expenses....................               1.00%               0.83%
------------------------------------------------------------------------

------------------------------------------------------------------------
                                                       Replacement fund
                                     Existing fund     MetLife Moderate
                                   Pioneer Ibbotson      to Aggressive
                                   Growth Allocation      Allocation
                                     VCT Portfolio     Portfolio (Class
                                      (Class II)              B)
------------------------------------------------------------------------
Management Fee..................               0.17%               0.06%
12b-1 Fee.......................               0.25%               0.25%
Other Expenses..................               0.05%               0.01%
Acquired Fund Fees and Expenses.               0.84%               0.67%
Acquired Management Fees *......               0.63%               0.63%
Total Expenses..................               1.31%               0.99%
Waivers.........................               0.00%               0.00%
Net Expenses....................               1.31%               0.99%
------------------------------------------------------------------------
* This amount is the estimated amount of acquired fund fees and expenses
  attributable to the management fees of the underlying funds.

------------------------------------------------------------------------
                                   Existing fund
                                 Pioneer Ibbotson    Replacement fund
                                     Moderate        MetLife Moderate
                                  Allocation VCT        Allocation
                                 Portfolio (Class    Portfolio (Class
                                        II)                 B)
-----------------------------------------------------------------------
Management Fee................               0.17%               0.06%
12b-1 Fee.....................               0.25%               0.25%
Other Expenses................               0.08%               0.00%
Acquired Fund Fees and                       0.80%               0.63%
 Expenses.....................
Acquired Management Fees *....               0.58%               0.58%
Total Expenses................               1.30%               0.94%
Waivers.......................               0.02%               0.00%
Net Expenses..................               1.28%               0.94%
------------------------------------------------------------------------
* This amount is the estimated amount of acquired fund fees and expenses
  attributable to the management fees of the underlying funds.

    11. MetLife Advisers, LLC is the investment adviser of each of the
Replacement Funds.
    12. The Substitution Applicants believe the Substitutions will
provide significant benefits to Contract owners, including improved
selection of sub-advisers and simplification of fund offerings through
the elimination of overlapping offerings.
    13. Based on generally better performance records and lower total
expenses of the Replacement Funds, the Substitution Applicants believe
that the sub-advisers to the Replacement Funds overall may provide more
consistent performance for their Funds than the advisers or sub-
advisers of the Existing Funds (other than those advisers or sub-
advisers that manage both the Existing Fund and the Replacement Fund).
At the same time, Applicants assert that Contract owners will continue
to be able to select among a similar number of investment options, with
a similar range of investment objectives, investment strategies, and
managers.
    14. As a result of the Substitutions, the number of investment
options offered under the Contracts may change slightly. That number,
which currently ranges from three to 122, will range from three to 120
following the Substitutions. For the Contracts that will experience a
reduction in the number of available investment options, the Applicants
assert that none will be reduced by more than two investment options
and all will have at least 15 available investment options after the
Substitutions. With respect to products with fewer than 20 open
investment options, only one product's investment options will be
reduced, moving from 16 to 15 investment options.
    15. The Substitutions will replace investment options advised by
investment advisers that are not affiliated with the Substitution
Applicants with funds for which MetLife Advisers, LLC acts as
investment adviser, which will permit MetLife Advisers, LLC, under the
exemptive orders issued to New England Funds Trust I, et al., Inv. Co.
Rel. No. 22824 (1997) (order), Inv. Co. Release No. 23859 (1999)
(amended order) (the ``Multi-Manager Order'') to enter into and amend
sub-advisory agreements without shareholder approval under certain
conditions to hire, monitor and replace sub-advisers as necessary to
achieve optimal performance. Met Series Fund and MIST have been subject
to the Multi-Manager Order since 1999 and 2000, respectively.
    16. With respect to all of the proposed Substitutions, except for
the DWS Capital Growth VIP/Jennison Growth Portfolio and Invesco V.I.
Growth and Income Fund/Invesco Comstock Portfolio, the management fees
of the Replacement Funds are the same or lower than that of the
respective Existing Fund. With respect to the DWS Capital Growth VIP/
Jennison Growth Portfolio substitution, the net expenses (after
waivers) of Jennison Growth Portfolio were 0.01% lower than those of
DWS Capital Growth VIP. With respect to the Invesco V.I. Growth and
Income Fund/Invesco Comstock Portfolio substitution, the total expenses
(before waivers) and net expenses (after waivers) of Invesco Comstock
Portfolio were lower than those of Invesco V.I. Growth and Income Fund.
    17. The Applicants assert the Substitutions will result in
decreased net expense ratios, after waivers, ranging from 0.01% to
0.66%. Moreover, there will be no increase in Contract fees and
expenses, including mortality and expense risk fees and administration
and distribution fees charged to the Separate Accounts as a result of
the Substitutions. The Substitution Applicants believe that the
Replacement Funds have investment objectives, policies and risk
profiles, as described in their prospectuses, that are substantially
the same as, or sufficiently similar to, the corresponding Existing
Funds to make those Replacement Funds appropriate candidates as
substitutes. The Insurance Companies considered the performance history
of

the Existing Funds and the Replacement Funds and determined that no
Contract owners would be materially adversely affected as a result of
the Substitutions.
    18. The share classes of the Replacement Funds are either identical
to or less than the share classes of the Existing Funds with respect to
the imposition of Rule 12b-1 fees currently imposed, except with
respect to the substitution of ClearBridge Variable All Cap Value
Portfolio/T. Rowe Price Large Cap Value Portfolio (Class E) and UIF
U.S. Real Estate Portfolio/Clarion Global Real Estate Portfolio (Class
B). However, the total expenses for the T. Rowe Price Large Cap Value
Portfolio will be seven basis points lower than the total expenses of
the Existing Fund after the substitution, and the total expenses for
the Clarion Global Real Estate Portfolio will be 19 basis points less
than the total expenses of the Existing Fund after the substitution.
    19. Each MIST Replacement Fund's Class B shares Rule 12b-1 fees can
be increased to 0.50% and each MIST Replacement Fund's Class E shares
Rule 12b-1 fees can be increased to 0.25% by the Replacement Fund's
Board of Trustees. Each Met Series Funds' Replacement Fund's Class B
shares Rule 12b-1 fees can be increased to 0.50% of net assets by the
Replacement Fund's Board of Trustees without shareholder approval.
However, Met Series Fund and MIST represent that Rule 12b-1 fees of the
Class B and Class E shares of the Replacement Funds issued in
connection with the proposed substitutions will not be raised above the
current rate without approval of a majority in interest of the
respective Replacement Funds' shareholders after the Substitutions. The
distributors of the Existing Funds pay to the Insurance Companies, or
their affiliates, any Rule 12b-1 fees associated with the class of
shares sold to the Separate Accounts. Similarly, the distributors for
MIST and Met Series Fund will receive from the applicable class of
shares held by the Separate Accounts Rule 12b-1 fees in the same amount
or a lesser amount than the amount paid by the Existing Funds, except
as described above.

Legal Analysis and Conditions

    1. The Substitution Applicants request that the Commission issue an
order pursuant to Section 26(c) of the Act approving the proposed
substitutions.
    2. Applicants represent that the Contracts permit the applicable
Insurance Company, subject to compliance with applicable law, to
substitute shares of another investment company for shares of an
investment company held by a sub-account of the Separate Accounts. The
prospectuses for the Contracts and the Separate Accounts contain
appropriate disclosure of this right.
    3. By a supplement to the prospectuses for the registered Contracts
and Separate Accounts and private placement memoranda for the
unregistered Contracts and Separate Accounts, each Insurance Company
has notified all owners of the Contracts affected by the Substitutions
of its intention to take the necessary actions to substitute shares of
the funds as described in this notice. The supplement has advised
Contract owners that from the date of the supplement until the date of
the proposed substitution, owners are permitted to make one transfer of
Contract value (or annuity unit exchange) out of the Existing Fund sub-
account to one or more other sub-accounts without the transfer (or
exchange) being treated as one of a limited number of permitted
transfers (or exchanges) or a limited number of transfers (or
exchanges) permitted without a transfer charge. The supplement also has
informed Contract owners that the Insurance Company will not exercise
any rights reserved under any Contract to impose additional
restrictions on transfers until at least 30 days after the proposed
Substitutions. The supplement also has advised Contract owners that for
at least 30 days following the proposed Substitutions, the Insurance
Companies will permit Contract owners affected by the Substitutions to
make one transfer of Contract value (or annuity unit exchange) out of
the Replacement Fund sub-account to one or more other sub-accounts
without the transfer (or exchange) being treated as one of a limited
number of permitted transfers (or exchanges) or a limited number of
transfers (or exchanges) permitted without a transfer charge.
    4. The proposed Substitutions will take place at relative net asset
value with no change in the amount of any Contract owner's Contract
value, cash value, or death benefit or in the dollar value of his or
her investment in the Separate Accounts.
    5. The process for accomplishing the transfer of assets from each
Existing Fund to its corresponding Replacement Fund will be determined
on a case-by-case basis. In most cases, it is expected that the
Substitutions will be effected by redeeming shares of an Existing Fund
for cash and using the cash to purchase shares of the Replacement Fund.
In certain other cases, it is expected that the Substitutions will be
effected by redeeming the shares of an Existing Fund in-kind; those
assets will then be contributed in-kind to the corresponding
Replacement Fund to purchase shares of that Fund.
    6. Contract owners will not incur any fees or charges as a result
of the proposed Substitutions, nor will their rights or an Insurance
Company's obligations under the Contracts be altered in any way. All
expenses incurred in connection with the proposed Substitutions,
including brokerage, legal, accounting, and other fees and expenses,
will be paid by the Insurance Companies. In addition, the proposed
Substitutions will not impose any tax liability on Contract owners. The
proposed Substitutions will not cause the Contract fees and charges
currently being paid by existing Contract owners to be greater after
the proposed Substitutions than before the proposed Substitutions. No
fees will be charged on the transfers made at the time of the proposed
Substitutions because the proposed Substitutions will not be treated as
a transfer for the purpose of assessing transfer charges or for
determining the number of remaining permissible transfers in a Contract
year.
    7. In addition to the prospectus supplements distributed to owners
of Contracts, within five business days after the proposed
Substitutions are completed, Contract owners will be sent a written
notice informing them that the Substitutions were carried out and that
they may make one transfer of all Contract value or cash value under a
Contract invested in any one of the sub-accounts on the date of the
notice to one or more other sub-accounts available under their Contract
at no cost and without regard to the usual limit on the frequency of
transfers among sub-accounts or from the variable account options to
the fixed account options. The written notice will also reiterate that
(other than with respect to ``market timing'' activity) the Insurance
Company will not exercise any rights reserved by it under the Contracts
to impose additional restrictions on transfers or to impose any charges
on transfers until at least 30 days after the proposed Substitutions
are completed. The Insurance Companies will also send each Contract
owner current prospectuses for the Replacement Funds involved to the
extent that they have not previously received copies.
    8. Each Insurance Company also is seeking approval of the proposed
Substitutions from any state insurance regulators whose approval may be
necessary or appropriate.

    9. The Substitution Applicants agree that for those who were
Contract owners on the date of the proposed Substitutions, the
Insurance Companies will reimburse, on the last business day of each
fiscal period (not to exceed a fiscal quarter) during the twenty-four
months following the date of the proposed Substitutions, those Contract
owners whose sub-account invests in the Replacement Fund such that the
sum of the Replacement Fund's net operating expenses (taking into
account fee waivers and expense reimbursements) and sub-account
expenses (asset-based fees and charges deducted on a daily basis from
sub-account assets and reflected in the calculation of sub-account unit
values) for such period will not exceed, on an annualized basis, the
sum of the Existing Fund's net operating expenses taking into account
fee waivers and expense reimbursements and sub-account expenses for
fiscal year 2013, except with respect to the ClearBridge Variable All
Cap Value Portfolio/T. Rowe Price Large Cap Value Portfolio, DWS
Capital Growth VIP/Jennison Growth Portfolio, Invesco V.I. American
Franchise Fund/T. Rowe Price Large Cap Growth Portfolio, Invesco V.I.
Growth and Income Fund/Invesco Comstock Portfolio and UIF U.S. Real
Estate Portfolio/Clarion Global Real Estate Portfolio Substitutions.
    10. With respect to the ClearBridge Variable All Cap Value
Portfolio/T. Rowe Price Large Cap Value Portfolio, DWS Capital Growth
VIP/Jennison Growth Portfolio, Invesco V.I. American Franchise Fund/T.
Rowe Price Large Cap Growth Portfolio, Invesco V.I. Growth and Income
Fund/Invesco Comstock Portfolio and UIF U.S. Real Estate Portfolio/
Clarion Global Real Estate Portfolio Substitutions, the reimbursement
agreement with respect to the Replacement Fund's operating expenses and
sub-account expenses, will extend for the life of each Contract
outstanding on the date of the proposed Substitutions.
    11. The Substitution Applicants further agree that, except with
respect to the ClearBridge Variable All Cap Value Portfolio/T. Rowe
Price Large Cap Value Portfolio, DWS Capital Growth VIP/Jennison Growth
Portfolio, Invesco V.I. American Franchise Fund/T. Rowe Price Large Cap
Growth Portfolio, Invesco V.I. Growth and Income Fund/Invesco Comstock
Portfolio and UIF U.S. Real Estate Portfolio/Clarion Global Real Estate
Portfolio Substitutions, they will not increase total separate account
charges (net of any reimbursements or waivers) for any existing owner
of the Contracts on the date of the substitutions for a period of two
years from the date of the substitutions.
    12. With respect to the ClearBridge Variable All Cap Value
Portfolio/T. Rowe Price Large Cap Value Portfolio, DWS Capital Growth
VIP/Jennison Growth Portfolio, Invesco V.I. American Franchise Fund/T.
Rowe Price Large Cap Growth Portfolio, Invesco V.I. Growth and Income
Fund/Invesco Comstock Portfolio and UIF U.S. Real Estate Portfolio/
Clarion Global Real Estate Portfolio Substitutions, the agreement not
to increase the separate account charges will extend for the life of
each Contract outstanding on the date the proposed Substitutions are
completed.
    13. In each case, the applicable Insurance Companies believe that
it is in the best interests of the Contract owners to substitute the
Replacement Fund for the Existing Fund. The Insurance Companies believe
that the Replacement Fund's sub-adviser, where applicable, will, over
the long term, be positioned to provide at least comparable performance
to that of the Existing Fund's sub-adviser.
    14. The Substitution Applicants assert that Contract owners will be
better off with the array of sub-accounts offered after the proposed
Substitutions than they have been with the array of sub-accounts
offered prior to the substitutions.
    15. The Substitution Applicants represent that none of the proposed
Substitutions is of the type that Section 26(c) was designed to
prevent. Unlike traditional unit investment trusts where a depositor
could only substitute an investment security in a manner which
permanently affected all the investors in the trust, the Contracts
provide each Contract owner with the right to exercise his or her own
judgment and transfer Contract or cash values into other sub-accounts.
Moreover, the Insurance Companies will offer Contract owners the
opportunity to transfer amounts out of the affected sub-accounts into
any of the remaining sub-accounts without cost or other disadvantage.
The proposed Substitutions, therefore, will not result in the type of
costly forced redemption which Section 26(c) was designed to prevent.

Section 17(b) Relief

    1. The Section 17 Applicants request an order under Section 17(b)
exempting them from the provisions of Section 17(a) to the extent
necessary to permit the Insurance Companies to carry out each of the
proposed Substitutions.
    2. Section 17(a)(1) of the Act, in relevant part, prohibits any
affiliated person of a registered investment company, or any affiliated
person of such person, acting as principal, from knowingly selling any
security or other property to that company. Section 17(a)(2) of the Act
generally prohibits the persons described above, acting as principals,
from knowingly purchasing any security or other property from the
registered company.
    3. Shares held by a separate account of an insurance company are
legally owned by the insurance company, the Insurance Companies and
their affiliates collectively own of record substantially all of the
shares of MIST and Met Series Fund. Therefore, MIST and Met Series Fund
and their respective funds are arguably under the control of the
Insurance Companies notwithstanding the fact that Contract owners may
be considered the beneficial owners of the shares held in the Separate
Accounts. If MIST and Met Series Fund and their respective funds are
under the control of the Insurance Companies, then each Insurance
Company is an affiliated person or an affiliated person of an
affiliated person of MIST and Met Series Fund and their respective
funds. If MIST and Met Series Fund and their respective funds are under
the control of the Insurance Companies, then MIST and Met Series Fund
and their respective funds are affiliated persons of the Insurance
Companies. Regardless of whether or not the Insurance Companies can be
considered to control MIST and Met Series Fund and their respective
funds, because the Insurance Companies own of record more than 5% of
the shares of each of them and are under common control with each
Replacement Fund's investment adviser, the Insurance Companies are
affiliated persons of both MIST and Met Series Fund and their
respective funds. Likewise, their respective funds are each an
affiliated person of the Insurance Companies. The Insurance Companies,
through their separate accounts, in the aggregate, own more than 5% of
the outstanding shares of the following Existing Funds: Invesco V.I.
American Value Fund, Invesco V.I. Global Real Estate Fund, Invesco V.I.
Growth and Income Fund, ClearBridge Variable All Cap Value Portfolio,
UIF U.S. Real Estate Portfolio, Pioneer Disciplined Value VCT
Portfolio, Pioneer Emerging Markets VCT Portfolio, Pioneer Equity
Income VCT Portfolio, Pioneer Ibbotson Growth Allocation VCT Portfolio,
Pioneer Ibbotson Moderate Allocation VCT Portfolio. Therefore, each
Insurance Company is an affiliated person of those funds. All in-kind
redemptions from an

Existing Fund of which any of the Substitution Applicants is an
affiliated person will be effected in accordance with the conditions
set forth in the Commission's no-action letter issued to Signature
Financial Group, Inc. (available December 28, 1999).
    4. The Section 17 Applicants submit that the In-Kind Transactions,
as described in the application, meet the conditions set forth in
Section 17(b) of the 1940 Act.
    5. Section 17 Applicants maintain that the terms of the proposed
in-kind purchase transactions, including the consideration to be paid
and received by each Fund involved, are reasonable, fair and do not
involve overreaching principally because the transactions will conform
with all but one of the conditions (that the consideration paid for the
securities being purchased or sold may not be entirely cash) enumerated
in Rule 17a-7 of the 1940 Act. The proposed transactions will take
place at relative net asset value in conformity with the requirements
of Section 22(c) of the Act and Rule 22c-1 thereunder with no change in
the amount of any Contract owner's contract value or death benefit or
in the dollar value of his or her investment in any of the Separate
Accounts. The Applicants assert that Contract owners will not suffer
any adverse tax consequences as a result of the substitutions, and the
fees and charges under the Contracts will not increase because of the
substitutions.
    6. The Boards of Trustees of MIST and Met Series Fund have adopted
procedures, as required by paragraph (e)(1) of Rule 17a-7, pursuant to
which the series of each may purchase and sell securities to and from
their affiliates. The Section 17 Applicants assert they will carry out
the proposed Insurance Company in-kind purchases in conformity with all
of the conditions of Rule 17a-7 and each series' procedures thereunder,
except that the consideration paid for the securities being purchased
or sold may not be entirely cash. Nevertheless, the Substitution
Applicants state that the circumstances surrounding the proposed
Substitutions will be such as to offer the same degree of protection to
each Replacement Fund from overreaching that Rule 17a-7 provides to
them generally in connection with their purchase and sale of securities
under that Rule in the ordinary course of their business. In
particular, the Insurance Companies (or any of their affiliates) cannot
effect the proposed transactions at a price that is disadvantageous to
any of the Replacement Funds. Although the transactions may not be
entirely for cash, each will be effected based upon (1) the independent
market price of the portfolio securities valued as specified in
paragraph (b) of Rule 17a-7, and (2) the net asset value per share of
each Fund involved valued in accordance with the procedures disclosed
in its respective investment company registration statement and as
required by Rule 22c-1 under the Act. No brokerage commission, fee, or
other remuneration will be paid to any party in connection with the
proposed in-kind purchase transactions.
    7. The sale of shares of Replacement Funds for investment
securities, as contemplated by the proposed Insurance Company in-kind
purchases, is consistent with the investment policies and restrictions
of the Investment Companies and the Replacement Funds because (1) the
shares are sold at their net asset value, and (2) the portfolio
securities are of the type and quality that the Replacement Funds would
each have acquired with the proceeds from share sales had the shares
been sold for cash. To assure that the second of these conditions is
met, MetLife Advisers, LLC and the sub-adviser, as applicable, will
examine the portfolio securities being offered to each Replacement Fund
and accept only those securities as consideration for shares that it
would have acquired for each such Fund in a cash transaction.
    8. The Section 17 Applicants represent that the proposed in-kind
purchases meet all of the requirements of Section 17(b) of the Act and
that an exemption should be granted, to the extent necessary, from the
provisions of Section 17(a).

Conclusion

    Applicants assert that for the reasons summarized above that the
proposed substitutions and related transactions meet the standards of
Section 26(c) of the Act and are consistent with the standards of
Section 17(b) of the Act and that the requested orders should be
granted.

    For the Commission, by the Division of Investment Management
pursuant to delegated authority.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-07512 Filed 4-3-14; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 77, Number 132 (Tuesday, July 10, 2012)]
[Rules and Regulations]
[Pages 40509-40511]
[FR Doc No: 2012-16777]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 165

[Docket Number USCG-2012-0526]
RIN 1625-AA00

Safety Zone; Fireworks Display in Captain of the Port, Puget
Sound Zone

AGENCY: Coast Guard, DHS.

ACTION: Temporary final rule.

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SUMMARY: The Coast Guard is establishing a safety zone in Shilshole Bay
for a fireworks display. The safety zone is necessary to help ensure
the safety of the maritime public during the display and will do so by
prohibiting all persons and vessels from entering the safety zone
unless authorized by the Captain of the Port or his Designated
Representative.

DATES: This rule is effective from August 2, 2012, until August 3,
2012.

ADDRESSES: Documents mentioned in this preamble are part of docket
USCG-2012-0526. To view documents mentioned in this preamble as being
available in the docket, go to http://www.regulations.gov, type the
docket number in the ``SEARCH'' box and click ``SEARCH.'' Click on Open
Docket Folder on the line associated with this rulemaking. You may also
visit the Docket Management Facility in Room W12-140 on the ground
floor of the Department of Transportation West Building, 1200 New
Jersey Avenue SE., Washington, DC 20590, between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal holidays.

FOR FURTHER INFORMATION CONTACT: If you have questions on this rule,
call or email ENS Nathaniel P. Clinger, Coast Guard Sector Puget Sound,
Waterways Management Division; telephone<PHONE_NUMBER>, email
<EMAIL_ADDRESS>If you have questions on viewing or
submitting material to the docket, call Renee V. Wright, Program
Manager, Docket Operations, telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Table of Acronyms

DHS Department of Homeland Security
FR Federal Register
NPRM Notice of Proposed Rulemaking

A. Regulatory History and Information

    The Coast Guard is issuing this temporary final rule without prior
notice and opportunity to comment pursuant to authority under section
4(a)

of the Administrative Procedure Act (APA) (5 U.S.C. 553(b)). This
provision authorizes an agency to issue a rule without prior notice and
opportunity to comment when the agency for good cause finds that those
procedures are ``impracticable, unnecessary, or contrary to the public
interest.''
    Under 5 U.S.C. 553(b)(B), the Coast Guard finds that good cause
exists for not publishing a notice of proposed rulemaking (NPRM) with
respect to this rule because to do so would be impracticable, since the
event would be over before notice could be given and comments taken,
and it is immediately necessary to protect the event's spectators from
the hazards associated with fireworks displays.

B. Basis and Purpose

    (a) The authority for this action can be found in 33 CFR 1.05-1(f).
    (b) Fireworks displays create hazardous conditions for the maritime
public because of the large number of vessels that congregate near the
displays as well as the noise, falling debris, and explosions that
occur during the event.
    (c) The establishment of a safety zone around displays helps to
ensure the safety of the maritime public by prohibiting all persons and
vessels from coming too close to the fireworks display and the
associated hazards.

C. Discussion of the Final Rule

    This rule establishes a safety zone for the following fireworks
display: Comcast Cablepalooza on August 2, 2012 in Shilshole Bay near
Puget Sound, WA. All persons and vessels will be prohibited from
entering the safety zone during the date and time it is effective
unless authorized by the Captain of the Port or his Designated
Representative.

D. Regulatory Analyses

    We developed this rule after considering numerous statutes and
executive orders related to rulemaking. Below we summarize our analyses
based on 13 of these statutes or executive orders.

1. Regulatory Planning and Review

    This rule is not a significant regulatory action under section 3(f)
of Executive Order 12866, Regulatory Planning and Review, as
supplemented by Executive Order 13563, Improving Regulation and
Regulatory Review, and does not require an assessment of potential
costs and benefits under section 6(a)(3) of Executive Order 12866 or
under section 1 of Executive Order 13563. The Office of Management and
Budget has not reviewed it under those Orders. This rule is not a
significant regulatory action because it creates a safety zone that is
minimal in size and short in duration, and maritime traffic will be
able to transit around the zone.

2. Impact on Small Entities

    The Regulatory Flexibility Act of 1980 (RFA), 5 U.S.C. 601-612, as
amended, requires federal agencies to consider the potential impact of
regulations on small entities during rulemaking. The Coast Guard
certifies under 5 U.S.C. 605(b) that this rule will not have a
significant economic impact on a substantial number of small entities.
This rule will affect the following entities, some of which may be
small entities: The owners or operators of vessels intending to transit
through the established safety zone during the time of enforcement.
This rule will not have a significant economic impact on a substantial
number of small entities because the temporary safety zone is minimal
in size and short in duration, maritime traffic will be able to transit
around it and may be permitted to transit it with permission from the
Captain of the Port or his Designated Representative.

3. Assistance for Small Entities

    Under section 213(a) of the Small Business Regulatory Enforcement
Fairness Act of 1996 (Pub. L. 104-121), we want to assist small
entities in understanding this rule. If the rule would affect your
small business, organization, or governmental jurisdiction and you have
questions concerning its provisions or options for compliance, please
contact the person listed in the FOR FURTHER INFORMATION CONTACT,
above.
    Small businesses may send comments on the actions of Federal
employees who enforce, or otherwise determine compliance with, Federal
regulations to the Small Business and Agriculture Regulatory
Enforcement Ombudsman and the Regional Small Business Regulatory
Fairness Boards. The Ombudsman evaluates these actions annually and
rates each agency's responsiveness to small business. If you wish to
comment on actions by employees of the Coast Guard, call 1-888-REG-FAIR
(1-888-734-3247). The Coast Guard will not retaliate against small
entities that question or complain about this rule or any policy or
action of the Coast Guard.

4. Collection of Information

    This rule will not call for a new collection of information under
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520).

5. Federalism

    A rule has implications for federalism under Executive Order 13132,
Federalism, if it has a substantial direct effect on the States, on the
relationship between the national government and the States, or on the
distribution of power and responsibilities among the various levels of
government. We have analyzed this rule under that Order and determined
that this rule does not have implications for federalism.

6. Protest Activities

    The Coast Guard respects the First Amendment rights of protesters.
Protesters are asked to contact the person listed in the FOR FURTHER
INTFORMATION CONTACT section to coordinate protest activities so that
your message can be received without jeopardizing the safety or
security of people, places, or vessels.

7. Unfunded Mandates Reform Act

    The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538)
requires Federal agencies to assess the effects of their discretionary
regulatory actions. In particular, the Act addresses actions that may
result in the expenditure by a State, local, or tribal government, in
the aggregate, or by the private sector of $100,000,000 (adjusted for
inflation) or more in any one year. Though this rule will not result in
such an expenditure, we do discuss the effects of this rule elsewhere
in this preamble.

8. Taking of Private Property

    This rule will not cause a taking of private property or otherwise
have taking implications under Executive Order 12630, Governmental
Actions and Interference with Constitutionally Protected Property
Rights.

9. Civil Justice Reform

    This rule meets applicable standards in sections 3(a) and 3(b)(2)
of Executive Order 12988, Civil Justice Reform, to minimize litigation,
eliminate ambiguity, and reduce burden.

10. Protection of Children

    We have analyzed this rule under Executive Order 13045, Protection
of Children from Environmental Health Risks and Safety Risks. This rule
is not an economically significant rule and does not create an
environmental risk to health or risk to safety that may
disproportionately affect children.

11. Indian Tribal Governments

    This rule does not have tribal implications under Executive Order
13175, Consultation and Coordination With Indian Tribal Governments,

because it does not have a substantial direct effect on one or more
Indian tribes, on the relationship between the Federal Government and
Indian tribes, or on the distribution of power and responsibilities
between the Federal Government and Indian tribes.

12. Energy Effects

    This action is not a ``significant energy action'' under Executive
Order 13211, Actions Concerning Regulations That Significantly Affect
Energy Supply, Distribution, or Use.

13. Technical Standards

    This rule does not use technical standards. Therefore, we did not
consider the use of voluntary consensus standards.

14. Environment

    We have analyzed this rule under Department of Homeland Security
Management Directive 023-01 and Commandant Instruction M16475.lD, which
guide the Coast Guard in complying with the National Environmental
Policy Act of 1969 (NEPA) (42 U.S.C. 4321-4370f), and have determined
that this action is one of a category of actions that do not
individually or cumulatively have a significant effect on the human
environment. This rule involves the establishment of a safety zone.
This rule is categorically excluded from further review under paragraph
34(g) of Figure 2-1 of the Commandant Instruction. An environmental
analysis checklist and a categorical exclusion determination are
available in the docket where indicated under ADDRESSES. We seek any
comments or information that may lead to the discovery of a significant
environmental impact from this rule.

List of Subjects in 33 CFR Part 165

    Harbors, Marine safety, Navigation (water), Reporting and
recordkeeping requirements, Security measures, Waterways.

    For the reasons discussed in the preamble, the Coast Guard amends
33 CFR part 165 as follows:

PART 165---REGULATED NAVIGATION AREAS AND LIMITED ACCESS AREAS

0
1. The authority citation for part 165 continues to read as follows:

    Authority:  33 U.S.C. 1226, 1231; 46 U.S.C. Chapters 701, 3306,
3703; 50 U.S.C. 191, 195; 33 CFR 1.05-1, 6.04-1, 6.04-6, and 160.5;
Public Law 107-295, 116 Stat. 2064; Department of Homeland Security
Delegation No. 0170.1.

0
2. Add Sec.  165.T13-223 to read as follows:

Sec.  165.T13-223  Safety Zone; Fireworks Display in Captain of the
Port, Puget Sound Zone

    (a) Location. The following area is designated as a safety zone:
All waters of Shilshole Bay encompassed within a 100 yard radius around
position 47[deg]40.465' N, 122[deg]24.573' W.
    (b) Regulations. In accordance with the general regulations in 33
CFR part 165, Subpart C, no person or vessel may enter or remain in the
safety zone created by this section without the permission of the
Captain of the Port or his Designated Representative. Designated
Representatives are Coast Guard Personnel authorized by the Captain of
the Port to grant persons or vessels permission to enter or remain in
the safety zone created by this section. See 33 CFR part 165, Subpart
C, for additional information and requirements.
    (c) Enforcement Period. The safety zone created by this section
will be enforced from 5 p.m. on August 2, 2012 until 1 a.m. on August
3, 2012.

    Dated: June 26, 2012.
S.J. Ferguson,
Captain, U.S. Coast Guard, Captain of the Port, Puget Sound.
[FR Doc. 2012-16777 Filed 7-9-12; 8:45 am]
BILLING CODE 9110-04-P


[Federal Register Volume 85, Number 104 (Friday, May 29, 2020)]
[Notices]
[Pages 32401-32403]
[FR Doc No: 2020-11463]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2019-D-5364]

Submission of Plans for Cigarette Packages and Cigarette
Advertisements (Revised); Guidance for Industry; Availability

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice of availability.

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

SUMMARY: The Food and Drug Administration (FDA or Agency) is announcing
the availability of a revised guidance for industry entitled
``Submission of Plans for Cigarette Packages and Cigarette
Advertisements (Revised).'' This is a revision to the first edition of
this final guidance, which issued in March 2020, and is intended to
assist those required to submit cigarette plans for cigarette packages
and cigarette advertisements by providing content, timing, and other
recommendations related to those submissions. FDA is revising this
guidance to reflect the May 8, 2020, court order that postponed, by 120
days, the effective date of the final rule, entitled ``Tobacco
Products; Required Warnings for Cigarette Packages and
Advertisements.'' Pursuant to the court order, this revised guidance
strongly encourages entities to submit cigarette plans to FDA as soon
as possible after publication of the final rule, and in any event
within 5 months and 120 days after the date of publication of the final
rule (i.e., by December 16, 2020).

DATES: The announcement of the revised guidance is published in the
Federal Register on May 29, 2020.

ADDRESSES: You may submit comments on any guidance at any time as
follows:

Electronic Submissions

    Submit electronic comments in the following way:
     Federal eRulemaking Portal: https://www.regulations.gov.
Follow the instructions for submitting comments. Comments submitted
electronically, including attachments, to https://www.regulations.gov
will be posted to the docket unchanged. Because your comment will be
made public, you are solely responsible for ensuring that your comment
does not include any confidential information that you or a third party
may not wish to be posted, such as medical information, your or anyone
else's Social Security number, or confidential business information,
such as a manufacturing process. Please note that if you include your
name, contact information, or other information that identifies you in
the body of your comments, that information will be posted on https://www.regulations.gov.
     If you want to submit a comment with confidential
information that you do not wish to be made available to the public,
submit the comment as a written/paper submission and in the manner
detailed (see ``Written/Paper Submissions'' and ``Instructions'').

Written/Paper Submissions

    Submit written/paper submissions as follows:
     Mail/Hand delivery/Courier (for written/paper
submissions): Dockets Management Staff (HFA-305), Food and Drug
Administration, 5630 Fishers Lane, Rm. 1061, Rockville, MD 20852.
     For written/paper comments submitted to the Dockets
Management Staff, FDA will post your comment, as well as any
attachments, except for information submitted, marked and identified,
as confidential, if submitted as detailed in ``Instructions.''
    Instructions: All submissions received must include the Docket No.
FDA-2019-D-5364 for ``Submission of Plans

for Cigarette Packages and Cigarette Advertisements (Revised).''
Received comments will be placed in the docket and, except for those
submitted as ``Confidential Submissions,'' publicly viewable at https://www.regulations.gov or at the Dockets Management Staff office between
9 a.m. and 4 p.m., Monday through Friday.
     Confidential Submissions--To submit a comment with
confidential information that you do not wish to be made publicly
available, submit your comments only as a written/paper submission. You
should submit two copies total. One copy will include the information
you claim to be confidential with a heading or cover note that states
``THIS DOCUMENT CONTAINS CONFIDENTIAL INFORMATION.'' The Agency will
review this copy, including the claimed confidential information, in
its consideration of comments. The second copy, which will have the
claimed confidential information redacted/blacked out, will be
available for public viewing and posted on https://www.regulations.gov.
Submit both copies to the Dockets Management Staff. If you do not wish
your name and contact information to be made publicly available, you
can provide this information on the cover sheet and not in the body of
your comments and you must identify this information as
``confidential.'' Any information marked as ``confidential'' will not
be disclosed except in accordance with 21 CFR 10.20 and other
applicable disclosure law. For more information about FDA's posting of
comments to public dockets, see 80 FR 56469, September 18, 2015, or
access the information at: https://www.govinfo.gov/content/pkg/FR-2015-09-18/pdf/2015-23389.pdf.
    Docket: For access to the docket to read background documents or
the electronic and written/paper comments received, go to https://www.regulations.gov and insert the docket number, found in brackets in
the heading of this document, into the ``Search'' box and follow the
prompts and/or go to the Dockets Management Staff, 5630 Fishers Lane,
Rm. 1061, Rockville, MD 20852,<PHONE_NUMBER>.
    You may submit comments on any guidance at any time (see 21 CFR
10.115(g)(5)).
    Submit written requests for single copies of this guidance to the
Center for Tobacco Products, Food and Drug Administration, Document
Control Center, Bldg. 71, Rm. G335, 10903 New Hampshire Ave., Silver
Spring, MD 20993-0002. Send one self-addressed adhesive label to assist
that office in processing your request or include a fax number to which
the guidance may be sent. See the SUPPLEMENTARY INFORMATION section for
information on electronic access to the guidance.

FOR FURTHER INFORMATION CONTACT: Lauren Belcher or Courtney Smith,
Center for Tobacco Products, Food and Drug Administration, 10903 New
Hampshire Ave., Document Control Center, Bldg. 71, Rm. G335, 10903 New
Hampshire Ave., Silver Spring, MD 20993-0002, 1-877-287-1373, email:
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. Background

    FDA is announcing the availability of a revised guidance for
industry entitled ``Submission of Plans for Cigarette Packages and
Cigarette Advertisements (Revised).''
    The Family Smoking Prevention and Tobacco Control Act (Tobacco
Control Act) (Pub. L. 111-31) was enacted on June 22, 2009, and granted
FDA important new authority to regulate the manufacture, marketing, and
distribution of tobacco products. The Tobacco Control Act also amended
section 4 of the Federal Cigarette Labeling and Advertising Act (FCLAA)
to direct FDA to issue regulations requiring each cigarette package and
advertisement to bear a new textual warning label statement accompanied
by color graphics depicting the negative health consequences of smoking
(section 201 of the Tobacco Control Act). In enacting this legislation,
Congress also provided that FDA may adjust the required warnings if FDA
found that such a change would promote greater public understanding of
the risks associated with the use of tobacco products (section 202 of
the Tobacco Control Act). The Tobacco Control Act also modified the
requirements of the FCLAA regarding the submission of cigarette plans
for the random and equal display and distribution of required warnings
on cigarette packages and quarterly rotation of required warnings in
cigarette advertisements. It also requires that such cigarette plans be
submitted to FDA for review and approval, rather than to the Federal
Trade Commission.
    In the Federal Register of March 18, 2020, FDA issued a rule
entitled ``Tobacco Products; Required Warnings for Cigarette Packages
and Advertisements'' (85 FR 15638). The rule specifies the color
graphics that must accompany the new textual warning label statements
and establishes marketing requirements for cigarette packages and
advertisements. The marketing requirements include, among other things,
submission of a cigarette plan that provides for the random and equal
display and distribution of the required warnings on cigarette packages
and quarterly rotation of the required warnings in cigarette
advertisements, as described under section 4 of FCLAA.
    On April 3, 2020, the final rule was challenged in the U.S.
District Court for the Eastern District of Texas.\1\ Due to the COVID-
19 pandemic and its impacts, on May 8, 2020, the court granted a joint
motion to govern proceedings in that case and postpone the effective
date of the final rule by 120 days.\2\ The new effective date of the
final rule is October 16, 2021. Pursuant to the court order, any
obligation to comply with a deadline tied to the effective date of the
rule is similarly postponed, and those obligations and deadlines are
now tied to the postponed effective date. As such, this revised
guidance strongly encourages entities to submit cigarette plans to FDA
as soon as possible after publication of the final rule, and in any
event within 5 months and 120 days after the date of publication of the
final rule (i.e., by December 16, 2020).
---------------------------------------------------------------------------

    \1\ R.J. Reynolds Tobacco Co. et al. v. United States Food and
Drug Administration et al., No. 6:20-cv-00176 (E.D. Tex. filed April
3, 2020).
    \2\ R.J. Reynolds Tobacco Co. et al., No. 6:20-cv-00176 (E.D.
Tex. May 8, 2020) (order granting joint motion and establishing
schedule), Doc. No. 33.
---------------------------------------------------------------------------

II. Significance of Guidance

    FDA is issuing this guidance consistent with FDA's good guidance
practices regulation (21 CFR 10.115). The guidance represents the
current thinking of FDA regarding the submission of plans for cigarette
packages and cigarette advertisements. It does not establish any rights
for any person and is not binding on FDA or the public. You can use an
alternative approach if it satisfies the requirements of the applicable
statutes and regulations.

III. Paperwork Reduction Act of 1995

    This guidance refers to previously approved FDA collections of
information. These collections of information are subject to review by
the Office of Management and Budget (OMB) under the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501-3521). The collections of information in 21
CFR 1141.10 have been approved under 0910-0877.

IV. Electronic Access

    Persons with access to the internet may obtain an electronic
version of the guidance at either https://www.regulations.gov or
https://www.fda.gov/TobaccoProducts/

GuidanceComplianceRegulatoryInformation/default.htm.

    Dated: May 22, 2020.
Lowell J. Schiller,
Principal Associate Commissioner for Policy.
[FR Doc. 2020-11463 Filed 5-28-20; 8:45 am]
 BILLING CODE 4164-01-P


Summary of Guaranteed Returns Site Visit

Site:		Guaranteed Returns

		Holbrook, NY

Date:		March 28, 2006

Purpose: 	To learn about the reverse distribution industry as well as
the generation and management of RCRA hazardous wastes at reverse
distributors.

Attendees:

U.S. EPA, Office of Solid Waste

Meg McCarthy

Lisa Lauer

Guaranteed Returns

Jerry Meekins – Compliance Manager

Site visit began with a tour of the facility which included the
Receiving, Processing, Shipping and Hazardous Waste Storage areas.
During the tour, Mr. Meekins provided an overview of each area as well
as addressed questions.  After the tour, Mr. Meekins presented an
overview of the reverse distributor industry and Guaranteed Returns.
Specifically, we discussed the types of pharmaceuticals that are
received, how a waste determination is made and how wastes are managed.

Guaranteed Returns’ RCRA Challenges:

P-listed wastes – the low accumulation threshold

90-day accumulation for large quantity generators – not accumulating
enough hazardous waste in a 90-day period to make shipment via a
hazardous waste transporter cost-effective.


[Federal Register: August 31, 2010 (Volume 75, Number 168)]
[Notices]
[Page 53316-53317]
[DOCID:fr31au10-75]

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

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2010-D-0431]

Draft Guidance for Food and Drug Administration Staff and Tobacco
Retailers on Civil Money Penalties and No-Tobacco-Sale Orders for
Tobacco Retailers; Availability

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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

SUMMARY: The Food and Drug Administration (FDA) is announcing the
availability of a draft guidance entitled ``Civil Money Penalties and
No-Tobacco-Sale Orders for Tobacco Retailers.'' This guidance document
is intended to describe FDA's current policies with respect to civil
money penalties and no-tobacco-sale orders for retailers who violate
requirements of the Federal Food, Drug, and Cosmetic Act (the FD&C Act)
relating to tobacco products, including the FD&C Act requirement that
tobacco products may not be sold or distributed in violation of FDA's
``Regulations Restricting the Sale and Distribution of Cigarettes and
Smokeless Tobacco to Protect Children and Adolescents.'' When this
guidance document is final, several provisions in the Family Smoking
Prevention and Tobacco Control Act (Tobacco Control Act) that relate to
civil money penalties and no-tobacco-sale orders will become effective.

DATES: Although you can comment on any guidance at any time (see 21 CFR
10.115(g)(5)), to ensure that the agency considers your comment on this
draft guidance before it begins work on the final version of the
guidance, submit either electronic or written comments on the draft
guidance by November 1, 2010.

ADDRESSES: Submit written requests for single copies of the guidance
entitled ``Civil Money Penalties and No-Tobacco-Sale Orders for Tobacco
Retailers'' to the Center for Tobacco Products, Food and Drug
Administration, 9200 Corporate Blvd., Rockville, MD 20850-3229. Send
one self-addressed adhesive label to assist that office in processing
your request or include a fax number to which the guidance document may
be sent. See the SUPPLEMENTARY INFORMATION section for electronic
access to the draft guidance document.
    Submit electronic comments on the draft guidance to http://
www.regulations.gov. Submit written comments to the Division of Dockets
Management (HFA-305), Food and Drug Administration, 5630 Fishers Lane,
rm. 1061, Rockville, MD 20852.

FOR FURTHER INFORMATION CONTACT: Gerie A. Voss, Center for Tobacco
Products, Food and Drug Administration, 9200 Corporate Blvd.,
Rockville, MD 20850, 1-877-287-1373<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. Background

    FDA is announcing the availability of a draft guidance for FDA
Staff and tobacco retailers entitled ``Civil Money Penalties and No-
Tobacco-Sale Orders for Tobacco Retailers.'' On June 22, 2009,
President Obama signed the Tobacco Control Act (Public Law 111-31) into
law . The Tobacco Control Act grants FDA important new authority to
regulate the manufacture, marketing and distribution of tobacco
products to protect the public health generally and to reduce tobacco
use by minors.
    Among its many provisions, the Tobacco Control Act authorizes FDA
to impose civil money penalties for violations of FD&C Act requirements
that relate to tobacco products (section 303(f)(9) of the FD&C Act (21
U.S.C. 333

(f)(9)). Of special interest to retailers, one of the FD&C Act's
requirements is that tobacco products may not be sold or distributed in
a manner that violates regulations issued under section 906(d) of the
FD&C Act, such as the ``Regulations Restricting the Sale and
Distribution of Cigarettes and Smokeless Tobacco to Protect Children
and Adolescents'' that were published by FDA in the Federal Register of
March 19, 2010 (75 FR 13225) (21 CFR part 1140). The Tobacco Control
Act also authorizes FDA to impose a no-tobacco-sale order on a retail
outlet for repeated violations of regulations issued under section
906(d) of the FD&C Act, and discusses a number of technical and
procedural issues relating to civil money penalties and no-tobacco-sale
orders.
    The draft guidance document describes the penalty structure and
draft FDA policies with respect to civil money policies and no-tobacco-
sale orders. When this guidance is final, several Tobacco Control Act
provisions that relate to civil money penalties and no-tobacco-sale
orders will become effective (section 103(q)(3) of the Tobacco Control
Act).

II. Significance of Guidance

    FDA is issuing this draft guidance document as a level 1 draft
guidance consistent with FDA's good guidance practices regulation
(Sec.  10.115 (21 CFR 10.115)). The draft guidance, when finalized,
will represent the agency's current thinking on ``Civil Money Penalties
and No-Tobacco-Sale Orders for Tobacco Retailers.'' It does not create
or confer any rights for or on any person and does not operate to bind
FDA or the public. An alternative approach may be used if such approach
satisfies the requirements of the applicable statute and regulations.

III. Comments

    Interested persons may submit to the Division of Dockets Management
(See ADDRESSES), electronic or written comments regarding this
document. It is only necessary to send one set of comments. It is no
longer necessary to send two copies of mailed comments. Identify
comments with the docket number found in brackets in the heading of
this document. Received comments may be seen in the Division of Dockets
Management between 9 a.m. and 4 p.m., Monday through Friday.

IV. Electronic Access

    Persons with access to the Internet may obtain the draft guidance
at either http://www.fda.gov/TobaccoProducts/
GuidanceComplianceRegulatoryInformation/default.htm or http://
www.regulations.gov.

    Dated: August 26, 2010.
David Dorsey,
Acting Deputy Commissioner for Policy, Planning and Budget.
[FR Doc. 2010-21661 Filed 8-30-10; 8:45 am]
BILLING CODE 4160-01-S


i TABLE OF CONTENTS Chapter Page Abbreviations and Acronyms ....................................................................................... vi 1.0 Introduction...................................................................................................... 1 1 1.1 Background ......................................................................................... 1 1 1.2 Correspondence with States and Tribes ................................................ 1 2 2.0 EPA PM2.5 Nonattainment Designations ......................................................... 2 1 2.1 PM2.5 Nonattainment Designations by State ........................................ 2 1 2.2 PM2.5 Nonattainment Designations by EPA Region     ............. 2 13 3.0 Urban Excess Methodology.............................................................................. 3 1 3.1 Concept ................................................................................................ 3 1 3.2 Derivation of Urban Excess .................................................................. 3 6 4.0 Constructing the Weighted Emissions Score..................................................... 4 1 4.1 Basis and Assumptions ......................................................................... 4 1 4.2 Calculating the Weighted Emission Scores ........................................... 4 2 4.3 Comparing Weighted Emissions Scores Among Counties..................... 4 3 5.0 An Explanation of EPA's Nine Factor Analysis ............................................... 5 1 5.1 Factor 1: Emissions in Areas Potentially Included Versus Excluded from the Nonattainment Area ................................................ 5 1 5.2 Factor 2: Air Quality in Potentially Included Versus Excluded Areas .................................................................................................... 5 1 5.3 Factor 3: Population Density and Degree of Urbanization Including Commercial Development in Included Versus Excluded Areas ............. 5 2 5.4 Factor 4: Traffic and Commuting Patterns............................................. 5 2 5.5 Factor 5: Expected Growth ................................................................... 5 2 5.6 Factor 6: Meteorology........................................................................... 5 2 5.7 Factor 7: Geography/ Topography ......................................................... 5 2 5.8 Factor 8: Jurisdictional Boundaries ....................................................... 5 3 5.9 Factor 9: Level of Control of Emission Sources .................................... 5 3 ii 6.0 Nine Factor Analyses of Individual Nonattainment Areas................................. 6 1 6.1 Region 1 Nonattainment Areas ............................................................. 6 1 6.1.1 EPA 9 Factor Analyses for Southern New England for the Designation of PM2.5 Nonattainment Areas..................................... 6 1 6.2 Region 2 Nonattainment Areas ............................................................. 6 16 6.2.1 EPA 9 Factor Analyses for New Jersey for the Designation of PM2.5 Nonattainment Areas........................................................................ 6 16 6.2.2 EPA 9 Factor Analyses for New York for the Designation of PM2.5 Nonattainment Areas........................................................................ 6 23 6.3 Region 3 Nonattainment Areas ............................................................. 6 37 6.3.1 EPA 9 Factor Analyses for Delaware for the Designation of PM2.5 Nonattainment Areas........................................................................ 6 37 6.3.2 EPA 9 Factor Analyses for the District of Columbia for the Designation of PM2.5 Nonattainment Areas ............................................................ 6 42 6.3.3 EPA 9 Factor Analyses for Maryland for the Designation of PM2.5 Nonattainment Areas........................................................................ 6 44 <IP_ADDRESS> Philadelphia Area .................................................................... 6 45 <IP_ADDRESS> Baltimore Area........................................................................ 6 50 <IP_ADDRESS> Washington DC Area .............................................................. 6 53 <IP_ADDRESS> Hagerstown Martinsburg......................................................... 6 62 6.3.4 EPA 9 Factor Analyses for Pennsylvania for the Designation of PM2.5 Nonattainment Areas........................................................................ 6 63 <IP_ADDRESS> Harrisburg Area....................................................................... 6 64 <IP_ADDRESS> Johnstown Area....................................................................... 6 69 <IP_ADDRESS> Lancaster Area ........................................................................ 6 75 <IP_ADDRESS> New York Area ....................................................................... 6 76 <IP_ADDRESS> Philadelphia Area .................................................................... 6 76 <IP_ADDRESS> Pittsburgh Area ....................................................................... 6 82 <IP_ADDRESS> Reading Area .......................................................................... 6 92 <IP_ADDRESS> York Area ............................................................................... 6 95 <IP_ADDRESS> Youngstown............................................................................ 6 96 6.3.5 EPA 9 Factor Analyses for Virginia for the Designation of PM2.5 Nonattainment Areas....................................................................... 6 100 <IP_ADDRESS> Washington DC Area ............................................................... 6 101 6.3.6 EPA 9 Factor Analyses for West Virginia for the Designation of PM2.5 Nonattainment Areas........................................................................ 6 110 <IP_ADDRESS> Charleston Area........................................................................ 6 111 <IP_ADDRESS> Huntington Ashland ( KY WV OH) Area ................................. 6 118 <IP_ADDRESS> Marion Area ( Fairmont CSA) ................................................... 6 122 <IP_ADDRESS> Parkersburg Area...................................................................... 6 126 <IP_ADDRESS> Steubenville OH WV Area....................................................... 6 130 <IP_ADDRESS> Hagerstown Martinsville Area.................................................. 6 132 <IP_ADDRESS> Wheeling, WV OH Area .......................................................... 6 133 6.4 Region 4 Nonattainment Areas ............................................................. 6 137 iii 6.4.1 EPA 9 Factor Analyses for Alabama for the Designation of PM2.5 Nonattainment Areas....................................................................... 6 137 <IP_ADDRESS> Birmingham Area MSA........................................................... 6 137 <IP_ADDRESS> Columbus Area MSA.............................................................. 6 144 <IP_ADDRESS> Chattanooga Area.................................................................... 6 149 <IP_ADDRESS> DeKalb and Etowah Counties.................................................. 6 156 6.4.2 EPA 9 Factor Analyses for Georgia for the Designation of PM2.5 Nonattainment Areas....................................................................... 6 156 <IP_ADDRESS> Atlanta Area MSA................................................................... 6 156 <IP_ADDRESS> Macon Area MSA ................................................................... 6 169 <IP_ADDRESS> Athens Area MSA................................................................... 6 173 <IP_ADDRESS> Chattanooga Area.................................................................... 6 178 <IP_ADDRESS> Columbus Area MSA.............................................................. 6 183 <IP_ADDRESS> Augusta Area .......................................................................... 6 189 6.4.3 EPA 9 Factor Analyses for Kentucky for the Designation of PM2.5 Nonattainment Areas....................................................................... 6 189 <IP_ADDRESS> Cincinnati Hamilton Area ....................................................... 6 189 <IP_ADDRESS> Louisville Area........................................................................ 6 197 <IP_ADDRESS> Lexington Area ....................................................................... 6 202 <IP_ADDRESS> Huntington Ashland Area........................................................ 6 211 <IP_ADDRESS> Boyd County Area .................................................................. 6 218 6.4.3 EPA 9 Factor Analyses for North Carolina for the Designation of PM2.5 Nonattainment Areas ...................................................................... 6 219 <IP_ADDRESS> Greensboro Winston Salem High Point Area ......................... 6 219 <IP_ADDRESS> Hickory Morganton Lenoir Area............................................. 6 226 6.4.5 EPA 9 Factor Analyses for South Carolina for the Designation of PM2.5 Nonattainment Areas....................................................................... 6 232 <IP_ADDRESS> Greenville Spartanburg Anderson Area................................... 6 232 6.4.6 EPA 9 Factor Analyses for Tennessee for the Designation of PM2.5 Nonattainment Areas....................................................................... 6 236 <IP_ADDRESS> Chattanooga Area.................................................................... 6 236 <IP_ADDRESS> Knoxville Area........................................................................ 6 242 6.5 Region 5 Nonattainment Areas ............................................................. 6 251 6.5.1 EPA 9 Factor Analyses for Illinois for Designation of PM2.5 Nonattainment Areas....................................................................... 6 251 <IP_ADDRESS> Chicago Gary Kenosha Area................................................... 6 251 <IP_ADDRESS> Saint Louis Area...................................................................... 6 256 6.5.2 EPA 9 Factor Analyses for Indiana for Designation of PM2.5 Nonattainment Areas....................................................................... 6 261 <IP_ADDRESS> Chicago Northwest Indiana Area............................................. 6 263 <IP_ADDRESS> Cincinnati Area ....................................................................... 6 268 <IP_ADDRESS> Elkhart Area............................................................................ 6 272 <IP_ADDRESS> Southwest Indiana ( Evansville Area) ....................................... 6 275 <IP_ADDRESS> Indianapolis Area .................................................................... 6 280 <IP_ADDRESS> Louisville Area........................................................................ 6 286 <IP_ADDRESS> Muncie Area............................................................................ 6 292 iv 6.5.3 EPA 9 Factor Analyses for Michigan for Designation of PM2.5 Nonattainment Areas....................................................................... 6 293 <IP_ADDRESS> Detroit Ann Arbor Flint Area.................................................. 6 293 6.5.4 EPA 9 Factor Analyses for Ohio for Designation of PM2.5 Nonattainment Areas ............................................................................................. 6 297 <IP_ADDRESS> Canton Massillon, OH............................................................. 6 299 <IP_ADDRESS> Cincinnati Hamilton Area ....................................................... 6 301 <IP_ADDRESS> Cleveland Akron Lorain Area ................................................. 6 306 <IP_ADDRESS> Columbus Area ....................................................................... 6 311 <IP_ADDRESS> Dayton Springfield Area ......................................................... 6 315 <IP_ADDRESS> Huntington Ashland Area........................................................ 6 318 <IP_ADDRESS> Parkersburg Marietta Area ...................................................... 6 323 <IP_ADDRESS> Steubenville Weirton Area ...................................................... 6 326 <IP_ADDRESS> Toledo Area ............................................................................ 6 328 <IP_ADDRESS> Wheeling Area ........................................................................ 6 331 <IP_ADDRESS> Youngstown Warren Area....................................................... 6 333 6.5.5 EPA 9 Factor Analyses for Wisconsin for Designation of PM2.5 Nonattainment Areas....................................................................... 6 337 <IP_ADDRESS> Chicago Gary Kenosha Area .................................................. 6 337 6.7 Region 7 Nonattainment Areas ............................................................. 6 342 6.7.1 EPA 9 Factor Analyses for Missouri for Designation of PM2.5 Nonattainment Areas....................................................................... 6 342 6.8 Region 8 Nonattainment Areas ............................................................. 6 347 6.8.1 EPA 9 Factor Analyses for Montana for Designation of PM2.5 Nonattainment Areas....................................................................... 6 347 6.8.2 Justifications for Changes to EPA Recommendations Contained in the June 29, 2004 Letters to States ........................................................ 6 353 6.9 Region 9 Nonattainment Areas ............................................................. 6 356 6.9.1 EPA 9 Factor Analyses for California for Designation of PM2.5 Nonattainment Areas....................................................................... 6 356 <IP_ADDRESS> City of Calexico, Imperial County, California.......................... 6 357 <IP_ADDRESS> San Diego Area ....................................................................... 6 357 <IP_ADDRESS> San Joaquin Valley Area ......................................................... 6 360 <IP_ADDRESS> South Coast Air Basin Area..................................................... 6 365 6.9.2 Justifications for Changes to EPA Recommendations Contained in the June 29, 2004 Letters to States ........................................................ 6 379 7.0 Supporting Maps and Figures ........................................................................... 7 1 v List of Tables Table 1 Data Used in Calculating Urban Excess Percentages ....................... 3 8 List of Figures Figure 3.1 Urban Excess PM2.5 for 13 Cities................................................... 3 2 Figure 3.2 Rural Sulfate Concentrations........................................................... 3 3 Figure 3.3 Rural Nitrate Concentrations ........................................................... 3 3 Figure 3.4 Rural Total Carbonaceous Mass Concentrations.............................. 3 4 Figure 3.5 Local and Regional Contribution to the Sulfate Component of PM2.53 4........................................................................................ 3 4 Figure 3.6 Local and Regional Contribution to the Carbonaceous Component of PM2.5......................................................................................... 3 5 Figure 3.7 Local and Regional Contribution to the Nitrate Component of PM2.5............................................................................................. 3 6 vi Abbreviations and Acronyms CAA Clean Air Act CBSA Core Based Statistical Area CTG RACT Control Technology Guidelines Reasonable Available Control Technology CM Crustal matter C/ MSA Consolidated Metropolitan Statistical Area CSA Combined Statistical Area DV Design Value EC Elemental carbon EPA United States Environmental Protection Agency FGD Flue Gas Desulfurization FIPS Federal Information Processing Standards FTIR   Fourier Transform Infrared HAP Hazardous Air Pollutants HYSPLIT  Hybrid Single Particle Lagrangian Integrated Trajectory model. IMPROVE Interagency Monitoring of Protected Visual Environments ISCST  Industrial Source Complex Simple Terrain MACT  Maximum Achievable Control Technology MDL Minimum detection limit MOBILE6 Mobile Source Emission Factor Model version 6 MPO Metropolitan Planning Organization NA Nonattainment NAAQS National Ambient Air Quality Standards NA P Part of the county was designated nonattainment NEI National Emissions Inventory NOx Nitrogen Oxides NSPS  New Source Performance Standards OC Organic carbon OMB Office of Management and Budget OMC Organic mass by carbon OP Pyrolized organics PIXE Particle Included X Ray Emission PM   Particulate Matter PM2.5   Particulate Matter with aerodynamic diameter less than 2.5 microns PSD Prevention of Significant Deterioration REMSAD  Regional Modeling System for Aerosols and Deposition SASS Source Assessment Sampling System SCR Selective Catalytic Reduction SIP State Implementation Plan STN Speciation Trends Network TEA 21   Transportation Equity Act for the 21st Century ( TEA 21) TCM Total carbon mass TOR  Thermal Optical Reflectance TOT Thermal Optical Transmittance U Unclassifiable vii UE Urban Excess VMT Vehicle Miles Traveled VOC Volatile Organic Compound WES Weighted Emission Score