                             SUPPORTING STATEMENT
                        ENVIRONMENTAL PROTECTION AGENCY

NESHAP for Plating and Polishing Area Sources (40 CFR Part 63, Subpart WWWWWW) (Renewal)

1.0 Identification of the Information Collection

      1(a)  Title of the Information Collection

NESHAP for Plating and Polishing Area Sources (40 CFR Part 63, Subpart WWWWWW) (Renewal), EPA ICR number 2294.03, OMB Control Number 2060-0623.

      1(b)  Short Characterization/Abstract

	The National Emission Standards for Hazardous air Pollutants (NESHAP) for Plating and Polishing Area Sources (40 CFR Part 63 Subpart WWWWWW), were proposed on March 14, 2008 (73 FR 14126), promulgated on July 1, 2008 (73 FR 37728), and amended on June 20, 2011 (76 FR 32005) and September 19, 2011 (76 FR 57913). These regulations apply to owners or operators of any existing or new plating and polishing facility that is an area source of hazardous air pollutants (HAP) emissions and uses one or more of the following metal HAP: cadmium, chromium, lead, manganese, or nickel (hereafter referred to as the plating and polishing metal HAP). This information is being collected to assure compliance with 40 CFR part 63, subpart WWWWWW.

      In general, all NESHAP standards require initial notifications, performance tests, and periodic reports.  Owners or operators are also required to maintain records of the occurrence and duration of any startup, shutdown, or malfunction in the operation of an affected facility, or any period during which the monitoring system is inoperative.  These notifications, reports, and records are essential in determining compliance, and are required of all affected facilities subject to NESHAP.

      Any owner or operator subject to the provisions of this part shall maintain a file of these measurements, and retain the file onsite for at least five years following the date of such measurements, maintenance reports, and records.  All reports are sent to the delegated state or local authority.  In the event that there is no such delegated authority, the reports are sent directly to the United States Environmental Protection Agency (EPA) regional office.

      Over the next three years, an average of 2,900 respondents per year will be subject to the standard, and no additional respondent per year will become subject to the standard. The affected sources at plating and polishing facilities includes all plating and polishing tanks that contain one or more of the plating and polishing metal HAP; thermal spraying operations that use one or more of the plating and polishing metal HAP; and dry mechanical polishing operations that emit one or more of the plating and polishing metal HAP.

      The Office of Management and Budget (OMB) approved the currently active Information Collection Request (ICR) without any "Terms of Clearance."

      The burden to the "Affected Public" may be found in Table 1: Annual Respondent Burden and Cost - NESHAP for Plating and Polishing Operations (40 CFR Part 63, Subpart WWWWWW) (Renewal).  The burden to the "Federal Government" is attributed entirely to work performed by federal employees or government contractors; this burden may be found in Table 2: Average Annual EPA Burden and Cost - NESHAP for Plating and Polishing Operations (40 CFR Part 63, Subpart WWWWWW) (Renewal).

2.  	Need For and Use of the Collection

      2(a)  Need/Authority for the Collection

      The EPA is charged under Section 112 of the Clean Air Act (CAA), as amended, to establish standards of performance for each category or subcategory of major sources and area sources of hazardous air pollutants.  These standards are applicable to new or existing sources of hazardous air pollutants and shall require the maximum degree of emission reduction.  In addition, Section 114(a) states that the Administrator may require any owner/operator subject to any requirement of this Act to:

            (A) Establish and maintain such records; (B) make such reports;    (C) install, use, and maintain such monitoring equipment, and use such audit procedures, or methods; (D) sample such emissions (in accordance with such procedures or methods, at such locations, at such intervals, during such periods, and in such manner as the Administrator shall prescribe); (E) keep records on control equipment parameters, production variables or other indirect data when direct monitoring of emissions is impractical; (F) submit compliance certifications in accordance with Section 114(a)(3); and (G) provide such other information as the Administrator may reasonably require.

      In the Administrator's judgment, HAP emissions from plating and polishing operations cause or contribute to air pollution that may reasonably be anticipated to endanger public health or welfare.  Therefore, the NESHAP was promulgated for this source category at 40 CFR part 63, subpart WWWWWW.

      2(b)  Practical Utility/Users of the Data

      The recordkeeping and reporting requirements in the standard(s) ensure compliance with the applicable regulations which where promulgated in accordance with the Clean Air Act.  The collected information is also used for targeting inspections and as evidence in legal proceedings.

      The notifications required in the standard are used to inform the Agency or delegated authority when a source becomes subject to the requirements of the regulations.  The reviewing authority may then inspect the source to check if the leaks are being detected and repaired and the standard is being met.

      The required semiannual reports are used to determine periods of excess emissions, identify problems at the facility, verify operation/maintenance procedures and for compliance determinations.

3.	Nonduplication, Consultations, and Other Collection Criteria

	The requested recordkeeping and reporting are required under 40 CFR part 63, subpart WWWWWW.

      3(a)	Nonduplication

      If the subject standards have not been delegated, the information is sent directly to the appropriate EPA regional office.  Otherwise, the information is sent directly to the delegated state or local agency.  If a state or local agency has adopted its own similar standards to implement the Federal standards, a copy of the report submitted to the state or local agency can be sent to the Administrator in lieu of the report required by the Federal standards.  Therefore, no duplication exists.

      3(b)  	Public Notice Required Prior to ICR Submission to OMB

      An announcement of a public comment period for the renewal of this ICR was published in the Federal Register (76 FR 26900) on May 9, 2011. No comments were received on the burden published in the Federal Register.

      3(c)	Consultations

      The Agency's industry experts have been consulted, and the Agency's internal data sources and projections of industry growth over the next three years have been considered.  The primary source of information as reported by industry, in compliance with the recordkeeping and reporting provisions in the standard, is the Online Tracking Information System (OTIS) which is operated and maintained by the EPA Office of Compliance.  OTIS is EPA's database for the collection, maintenance, and retrieval of all compliance data.  The growth rate for the industry is based on our consultations with the Agency's internal industry experts.

      Industry trade associations and other interested parties were provided an opportunity to comment on the burden associated with the standard as it was being developed and the standard has been previously reviewed to determine the minimum information needed for compliance purpose.  In developing this ICR, we contacted the Wisconsin Department of Natural Resources at<PHONE_NUMBER> and the National Association for Surface Finishing at<PHONE_NUMBER>.  In this case, one comment was received indicating that the respondent universe might be underestimated, however, no alternative estimates were provided.  In response to this comment, EPA reviewed the respondent universe in OTIS.  The respondent universe obtained from OTIS was not greater than the number of respondents estimated in this ICR; therefore, no changes were made.

      3(d)  Effects of Less Frequent Collection

	Less frequent information collection would decrease the margin of assurance that facilities are continuing to meet the standards.  Requirements for information gathering and recordkeeping are useful techniques to ensure that good operation and maintenance practices are applied and emission limitations are met.  If the information required by these standards was collected less frequently, the proper operation and maintenance of control equipment and the possibility of detecting violations would be less likely.

      3(e)  General Guidelines

      These reporting or recordkeeping requirements do not violate any of the regulations promulgated by OMB under 5 CFR part 1320, section 1320.5.

      These standards require the respondents to maintain all records, including reports and notifications for at least five years.  This is consistent with the General Provisions as applied to the standards.  EPA believes that the five year records retention requirements is consistent with the Part 70 permit program and the five year statute of limitations on which the permit program is based.  The retention of records for five years allows EPA to establish the compliance history of a source, any pattern of non-compliance and to determine the appropriate level of enforcement action.  EPA has found that the most flagrant violators have violations extending beyond five years.  In addition, EPA would be prevented from pursuing the violators due to the destruction or nonexistence of essential records.

      3(f)  Confidentiality

      Any information submitted to the Agency for which a claim of confidentiality is made will be safeguarded according to the Agency policies set forth in Title 40, Chapter 1, Part 2, Subpart B--Confidentiality of Business Information (see 40 CFR 2; 41 FR 36902, September 1, 1976; amended by 43 FR 39999, September 28, 1978; 43 FR 42251, September 28, 1978; 44 FR 17674, March 23, 1979).

      3(g)  Sensitive Questions

	The reporting or recordkeeping requirements in the standard do not include sensitive questions.

4.	The Respondents and the Information Requested

	4(a)  Respondents/SIC Codes

      The respondents to the recordkeeping and reporting requirements are owners or operators of plating and polishing operations.  The United States Standard Industrial Classification (SIC) codes for the respondents affected by the standard, which corresponds to the North American Industry Classification System (NAICS) codes, are listed below for plating and polishing operations.

                   Standard (40 CFR Part 63, Subpart WWWWWW)
                                   SIC Codes
                                  NAICS Codes
Hardware Manufacturing
                                   3429/3499
                                     33251
Commercial Gravure Printing
                                   2754/2771
                                    323111
Metal Stamping
                                     3469
                                    332116
Bolt, Nut, Screw, Rivet, and Washer Manufacturing
                                   3429/3452
                                    332722
Metal Heat Treating
                                     3398
                                    332811
Metal Coating, Engraving (except jewelry and silverware), and Allied Services to Manufacturers
                                     3479
                                    332812
Plumbing Fixture Fitting and Trim Manufacturing
                                     3432
                                    332913
Other Metal Valve and Pipe Fitting Manufacturing
                              3429/3432/3494/3499
                                    332919
All Other Miscellaneous Fabricated Metal Product Manufacturing
               3291/3429/3432/3494/3497/3499/3537/3599/3914/3999
                                    332999
Bare Printed Circuit Board Manufacturing
                                     3672
                                    334412
Aircraft Engine and Engine Parts Manufacturing
                                     3724
                                    336412
Jewelry (except costume) Manufacturing
                                   3479/3911
                                    339911
  the Federal Register.d on the burden pubblished cesses that are collocated at many facilities onds to the NAICS (The North Am
      4(b)  Information Requested

            (i) Data Items

	In this ICR, all the data that is recorded or reported is required by the NESHAP for Plating and Polishing Area Sources (40 CFR Part 63, Subpart WWWWWW).

      A source must make the following reports:

--------------------------------------------------------------------------------
Notifications

--------------------------------------------------------------------------------
Notification of applicability

--------------------------------------------------------------------------------
40 CFR 63.9(a)(2)
--------------------------------------------------------------------------------
Notification of construction/reconstruction
--------------------------------------------------------------------------------
40 CFR 63.9(b)(5)
--------------------------------------------------------------------------------
Notification of special compliance requirements
--------------------------------------------------------------------------------
40 CFR 63.9(d)
--------------------------------------------------------------------------------
Notification of performance test
--------------------------------------------------------------------------------
40 CFR 63.9(e)
--------------------------------------------------------------------------------
Notification of opacity/VE observations
--------------------------------------------------------------------------------
40 CFR 63.9(f)
--------------------------------------------------------------------------------
Additional CMS notifications
--------------------------------------------------------------------------------
40 CFR 63.9(g)
--------------------------------------------------------------------------------
Notification of compliance status
--------------------------------------------------------------------------------
40 CFR 63.9(h)
--------------------------------------------------------------------------------
Notification of changes in information
--------------------------------------------------------------------------------
40 CFR 63.9(j)

                                    Reports
Startup, shutdown, or malfunction (SSM) plan
40 CFR 63.6(e)(3)
Performance test plan
40 CFR 63.7(c)(2)
CMS quality control plan
40 CFR 63.8(d)
CMS performance evaluation test plan
40 CFR 63.8(e)(3)

      A source must keep the following records:

                                 Recordkeeping
Records of notifications
40 CFR 63.10
Records that demonstrate continuous compliance
40 CFR 63.10
Monitoring/inspection information
40 CFR 63.10
Reports of deviations
N/A
Semiannual monitoring reports
N/A
Initial/repeat performance tests
40 CFR 63.7(e)(1)/ 40 CFR 63.6(h)(7)
Quality assurance test plan
40 CFR 63.7(c)
CMS performance evaluation/report
40 CFR 63.8(e)(5)
SSM reports
40 CFR 63.6(e)(3)
Excess emissions reports
40 CFR 63.10(e)(3)
Annual compliance certifications
N/A

Electronic Reporting

	Some of the respondents to CAA standards are using monitoring equipment that automatically records parameter data.  Although personnel at the affected facility must evaluate the data, internal automation has significantly reduced the burden associated with monitoring and recordkeeping at the plant site.

	Also regulatory agencies, in cooperation with the respondents, continue to create reporting systems to transmit data electronically.  However, electronic reporting systems are still not widely used.  At this time, it is estimated that approximately 10 percent of the respondents use electronic reporting.

            (ii)  Respondent Activities

                             Respondent Activities
Read instructions.
Write the notifications and reports listed above.
Enter information required to be recorded above.
Submit the required reports developing, acquiring, installing, and utilizing technology and systems for the purpose of collecting, validating, and verifying information.
Develop, acquire, install, and utilize technology and systems for the purpose of processing and maintaining information.
Develop, acquire, install, and utilize technology and systems for the purpose of disclosing and providing information.
Adjust the existing ways to comply with any previously applicable instruction and requirements.
Train personnel to be able to respond to a collection of information.
Transmit, or otherwise disclose the information.

      Currently sources are using monitoring and reporting equipment that provide parameter data in an automated way e.g., continuous parameter monitoring system.  Although personnel at the source still need to evaluate the data, this type of monitoring equipment has significantly reduced the burden associated with monitoring and recordkeeping.

5.	The Information Collected: Agency Activities, Collection Methodology, and Information Management

      5(a)  Agency Activities

	EPA conducts the following activities in connection with the acquisition, analysis, storage, and distribution of the required information.

                               Agency Activities
Review notifications and reports, including performance test reports, and excess emissions reports, required to be submitted by industry.
Audit facility records.
Input, analyze, and maintain data in the Online Tracking Information System (OTIS).

      5(b)  Collection Methodology and Management

      Following notification of startup, the reviewing authority could inspect the source to determine whether the pollution control devices are properly installed and operated.  Performance test reports are used by the Agency to discern a source's initial capability to comply with the emission standard, and note the operating conditions under which compliance was achieved.  Data and records maintained by the respondents are tabulated and published for use in compliance and enforcement programs. The semiannual reports are used for problem identification, as a check on source operation and maintenance, and for compliance determinations.

      Information contained in the reports is entered into OTIS, which is operated and maintained by EPA's Office of Compliance.  OTIS is EPA's database for the collection, maintenance, and retrieval of compliance data for approximately 125,000 industrial and government-owned facilities.  EPA uses OTIS for tracking air pollution compliance and enforcement by local and state regulatory agencies, EPA regional offices and EPA headquarters.  EPA and its delegated authorities can edit, store, retrieve and analyze the data.

      The records required by this regulation must be retained by the owner/operator for five years.

      5(c)  Small Entity Flexibility

      The majority of the respondents are large entities (i.e., large businesses).  However, the impact on small entities (i.e., small businesses) was taken into consideration during the development of the regulation.  Due to technical considerations involving the process operations and the types of control equipment employed, the recordkeeping and reporting requirements are the same for both small and large entities.  The Agency considers these to be the minimum requirements needed to ensure compliance and, therefore, cannot reduce them further for small entities.  To the extent that larger businesses can use economies of scale to reduce their burden, the overall burden will be reduced.

      5(d)  Collection Schedule

	The specific frequency for each information collection activity within this request is shown in Table 1: Annual Respondent Burden and Cost - NESHAP for Plating and Polishing Operations (40 CFR Part 63, Subpart WWWWWW) (Renewal).

6.   	Estimating the Burden and Cost of the Collection

      Table 1 documents the computation of individual burdens for the recordkeeping and reporting requirements applicable to the industry for the subpart included in this ICR.  The individual burdens are expressed under standardized headings believed to be consistent with the concept of burden under the Paperwork Reduction Act.  Wherever appropriate, specific tasks and major assumptions have been identified.  Responses to this information collection are mandatory.

      The Agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB Control Number.

      6(a)  Estimating Respondent Burden

      The average annual burden to industry over the next three years from these recordkeeping and reporting requirements is estimated to be 33,108 ( Total Labor Hours from Table 1).  These hours are based on Agency studies and background documents from the development of the regulation, Agency knowledge and experience with the NESHAP program, the previously approved ICR, and any comments received.

      6(b)  	Estimating Respondent Costs

      (i)  Estimating Labor Costs

      This ICR uses the following labor rates:

      Managerial	$121.42 ($57.82 + 110%)
      Technical	$99.14 ($47.21 + 110%)
      Clerical	$49.81 ($23.72 + 110%)

      These rates are from the United States Department of Labor, Bureau of Labor Statistics, September 2011, "Table 2. Civilian Workers, by occupational and industry group."  The rates are from column 1, "Total compensation."  The rates have been increased by 110 percent to account for the benefit packages available to those employed by private industry.

      	(ii)  Estimating Capital/Startup and Operation and Maintenance (O&M) Costs

      The type of industry costs associated with the information collection activities in the subject standard are both labor costs, which are addressed elsewhere in this ICR, and the costs associated with continuous monitoring.  The capital/startup costs are one-time costs when a facility becomes subject to the regulation.  The annual operation and maintenance costs are the ongoing costs to maintain the monitor and other costs, such as photocopying and postage.

      (iii)  Capital/Startup vs. Operation and Maintenance (O&M) Costs

--------------------------------------------------------------------------------
Capital/Startup vs. Operation and Maintenance (O&M) Costs

--------------------------------------------------------------------------------
(A)
--------------------------------------------------------------------------------
Recordkeeping

--------------------------------------------------------------------------------
(B)
--------------------------------------------------------------------------------
Capital/Startup Cost for One Respondent

--------------------------------------------------------------------------------
(C)
--------------------------------------------------------------------------------
Number of Respondents [a]

--------------------------------------------------------------------------------
(D)
--------------------------------------------------------------------------------
Total Capital/Startup Cost,  (B X C)

--------------------------------------------------------------------------------
(E)
--------------------------------------------------------------------------------
Annual O&M Costs for One Respondent

--------------------------------------------------------------------------------
(F)
--------------------------------------------------------------------------------
Number of Respondents  with O&M

--------------------------------------------------------------------------------
(G)
--------------------------------------------------------------------------------
Total O&M,
--------------------------------------------------------------------------------
(E X F)

--------------------------------------------------------------------------------
Standard 4-drawer File Cabinet

--------------------------------------------------------------------------------
$25.80

--------------------------------------------------------------------------------
322.22

--------------------------------------------------------------------------------
$8,314 b

--------------------------------------------------------------------------------
$0

--------------------------------------------------------------------------------
322

--------------------------------------------------------------------------------
$0
[a] Assumes one standard four-drawer file cabinet for one-third  of the 2,900 facilities, or an average of 2,900/3/3=322 file cabinets per year required to maintain records at a cost of $235 per cabinet. The annualized cost per cabinet is $25.80.
[b] Annualized costs are calculated by multiplying the capital recovery factor (CRF) by the capital cost.  CRF=(i)(1+i)^t/((1+i)^t-1) where i = interest rate (%) and t = equipment life (years).  CRF = 0.1098. Cabinets are assumed to have a 15-year life, 7% interest. The total capital/startup costs for the 15-year period is $75,722.

      The total capital/startup costs for this ICR are $8,314.  This is the total of column D in the above table.

      The total operation and maintenance (O&M) costs consists of photocopying, and postage are $0.  This is the total of column G.

      The average annual cost for capital/startup and operation and maintenance costs to the industry over the next three years of the ICR is estimated to be $8,314.

      6(c)  	Estimating Agency Burden and Cost
--------------------------------------------------------------------------------

--------------------------------------------------------------------------------
      The only costs to the Agency are those costs associated with analysis of the reported information.  EPA's overall compliance and enforcement program includes activities such as the examination of records maintained by the respondents, periodic inspection of sources of emissions, and the publication and distribution of collected information.
--------------------------------------------------------------------------------

--------------------------------------------------------------------------------
      The average annual Agency cost during the three years of the ICR is estimated to be $160,287.
--------------------------------------------------------------------------------

--------------------------------------------------------------------------------
      This cost is based on the average hourly labor rate as follows:

		Managerial	$62.27 (GS-13, Step 5, $38.92 + 60%)
		Technical	$46.21 (GS-12, Step 1, $28.88 + 60%)
		Clerical	$25.01 (GS-6, Step 3, $15.63 + 60%)
--------------------------------------------------------------------------------

These rates are from the Office of Personnel Management (OPM), 2011 General Schedule, which excludes locality, rates of pay.  The rates have been increased by 60 percent to account for the benefit packages available to government employees.  Details upon which this estimate is based appear below in Table 2: Average Annual EPA Burden and Cost - NESHAP for Plating and Polishing Operations (40 CFR Part 63, Subpart WWWWWW) (Renewal).

      6(d) 	Estimating the Respondent Universe and Total Burden and Costs

      Based on our research for this ICR, on average over the next three years, approximately 2,900 existing respondents will be subject to the standard.  It is estimated that no additional respondents per year will become subject to the standard.

--------------------------------------------------------------------------------
      The total number of annual responses per year is calculated using the following table:
--------------------------------------------------------------------------------

--------------------------------------------------------------------------------
Total Annual Responses

--------------------------------------------------------------------------------
(A)
--------------------------------------------------------------------------------

--------------------------------------------------------------------------------
Information Collection Activity

--------------------------------------------------------------------------------
(B)
--------------------------------------------------------------------------------

--------------------------------------------------------------------------------
Number of Respondents

--------------------------------------------------------------------------------
(C)
--------------------------------------------------------------------------------

--------------------------------------------------------------------------------
Number of Responses

--------------------------------------------------------------------------------
(D)
--------------------------------------------------------------------------------
Number of Existing Respondents That Keep Records But Do Not Submit Reports

--------------------------------------------------------------------------------
(E)
--------------------------------------------------------------------------------
Total Annual  Responses
--------------------------------------------------------------------------------
E=(BxC)+D

--------------------------------------------------------------------------------
One-time initial notification

--------------------------------------------------------------------------------
967

--------------------------------------------------------------------------------
1

--------------------------------------------------------------------------------
N/A

--------------------------------------------------------------------------------
967

--------------------------------------------------------------------------------
One-time notification of compliance status

--------------------------------------------------------------------------------
967

--------------------------------------------------------------------------------
1

--------------------------------------------------------------------------------
N/A

--------------------------------------------------------------------------------
967

--------------------------------------------------------------------------------
Annual compliance certification

--------------------------------------------------------------------------------
48

--------------------------------------------------------------------------------
1

--------------------------------------------------------------------------------
N/A

--------------------------------------------------------------------------------
48

--------------------------------------------------------------------------------
Report of deviation

--------------------------------------------------------------------------------
48

--------------------------------------------------------------------------------
1

--------------------------------------------------------------------------------
N/A

--------------------------------------------------------------------------------
48

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

--------------------------------------------------------------------------------
Total

--------------------------------------------------------------------------------
2,030
--------------------------------------------------------------------------------

      The number of total annual responses is 2,030 per year.

      The total annual labor costs are $3,172,379.  Details regarding these estimates may be found below in Table 1: Annual Respondent Burden and Cost - NESHAP for Plating and Polishing Operations (40 CFR Part 63, Subpart WWWWWW) (Renewal).

       6(e)	Bottom Line Burden Hours and Cost Tables

      The detailed bottom line burden hours and cost calculations for the respondents and the Agency are shown in Tables 1 and 2 (below), respectively, and summarized below.

      (i)  Respondent tally

--------------------------------------------------------------------------------
      The total annual labor hours are 33,108.  Details regarding these estimates may be found in Table 1: Annual Respondent Burden and Cost - NESHAP for Plating and Polishing Operations (40 CFR Part 63, Subpart WWWWWW) (Renewal).
--------------------------------------------------------------------------------

--------------------------------------------------------------------------------
      Furthermore, the annual public reporting and recordkeeping burden for this collection of information is estimated to average 16 hours per response.
--------------------------------------------------------------------------------

      The total annual capital/startup and O&M costs to the regulated entity are $8,314.

      	(ii)  The Agency tally

      The average annual Agency burden and cost over the next three years is estimated to be 3,557 labor hours at a cost of $160,287.  See Table 2: Average Annual EPA Burden and Cost - NESHAP for Plating and Polishing Operations (40 CFR Part 63, Subpart WWWWWW) (Renewal).

      6(f)	Reasons for Change in Burden

--------------------------------------------------------------------------------
	There is a decrease in the total hours as currently identified in the OMB Inventory of Approved Burdens due to a mathematical error in determining the person hours per respondent in the previous ICR.  There is an increase in labor costs.  This is not due to any program changes.  The change in the cost estimates occurred due to adjustments in labor rates for both respondents and the Agency.

      6 (g)  	Burden Statement

	The annual public reporting and recordkeeping burden for this collection of information is estimated to average 16 hours per response.  Burden means the total time, effort, or financial resources expended by persons to generate, maintain, retain, or disclose or provide information to or for a Federal agency.  This includes the time needed to review instructions; develop, acquire, install, and utilize technology and systems for the purposes of collecting, validating, and verifying information, processing and maintaining information, and disclosing and providing information; adjust the existing ways to comply with any previously applicable instructions and requirements; train personnel to be able to respond to a collection of information; search data sources; complete and review the collection of information; and transmit or otherwise disclose the information.

	An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a valid OMB Control Number.  The OMB Control Numbers for EPA regulations are listed at 40 CFR part 9 and 48 CFR chapter 15.

	To comment on the Agency's need for this information the accuracy of the provided burden estimates, and any suggestions for minimizing respondent burden, including through the use of automated collection techniques, EPA has established a public docket for this ICR under Docket ID No. EPA-HQ-OECA-2011-0233, which is available for online viewing at http://www.regulations.gov, or in person viewing at the Enforcement and Compliance Docket and Information Center in the EPA Docket Center (EPA/DC), EPA West, Room 3334, 1301 Constitution Ave., NW, Washington, DC.  The EPA Docket Center Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays.  The telephone number for the Reading Room is<PHONE_NUMBER>, and the telephone number for the Enforcement and Compliance Docket is<PHONE_NUMBER>.  An electronic version of the public docket is available at http://www.regulations.gov.  This site can be used to submit or view public comments, access the index listing of the contents of the public docket, and to access those documents in the public docket that are available electronically.  When in the system, select "search," then key in one of the Docket ID Numbers identified above.  Also, you can send comments to the Office of Information and Regulatory Affairs, Office of Management and Budget, 725 17[th] Street, NW, Washington, DC 20503, Attention Desk Officer for EPA.  Please include the relevant Docket ID Number EPA-HQ-OECA-2011-0233 and OMB Control Number 2060-0623 in any correspondence.

PART B

      This section is not applicable because statistical methods are not used in data collection associated with the final rule.
Table 1: Annual Respondent Burden and Cost - NESHAP for Plating and Polishing Operations (40 CFR Part 63, Subpart WWWWWW) (Renewal)

                      REPORTING/RECORDKEEPING REQUIREMENT
                                      (A)

                          Person-hours per occurrence
                                      (B)

                  No. of occurrences per respondent per year
                                     (C)

                          Person-hours per respondent

                                   (A) x (B)
                                      (D)

                             Respondents per year
                                      (E)

                            Technical person-hours

                                   (C) x (D)
                                      (F)

                            Managerial person-hours

                                  (E) x 0.05
                                      (G)

                             Clerical person-hours

                                  (E) x 0.10
                                      (H)

                                    Cost, $
1.  Applications
N/A
2.  Surveys and Studies
N/A
3.  Acquisition, Installation, and Utilization of Technology and Systems
N/A
4.  Reporting Requirements

A.  Read instructions [b]
                                       4
                                       1
                                       4
                                      967
                                     3,868
                                     193.4
                                     386.8
                                                                    $426,227.68
B.  Required activities

     Initial Notification of applicability [c]
                                       2
                                       1
                                       2
                                      967
                                     1,934
                                     96.7
                                     193.4
                                                                    $213,113.84
     Notification of Compliance Status [d]
                                       4
                                       1
                                       4
                                      967
                                     3,868
                                     193.4
                                     386.8
                                                                    $426,227.68
     Annual Compliance Certification [e]
                                       2
                                       1
                                       2
                                      967
                                     1,934
                                     96.7
                                     193.4
                                                                    $213,113.84
     Annual Report of Deviations [f]
                                       2
                                       1
                                       2
                                      48
                                      96
                                      4.8
                                      9.6
                                                                     $10,578.56
C.  Create information
                                    See 4B

D.  Gather existing information
                                    See 4B

E.  Write report
                                    See 4B

Reporting Subtotal

                                    13,455
                                                                     $1,289,262
5.  Recordkeeping Requirements

A.  Read instructions
                                    See 4A

B.  Plan activities
                                    See 5E

C.  Implement activities
                                    See 5E

D.  Develop record system
                                    See 5E

E.  Time to enter information
N/A
      Records of all information required by standards [g]
                                     0.33
                                      52
                                     17.16
                                      967
                                   16,593.72
                                    829.69
                                   1,659.37
                                                                  $1,828,517.00
F.  Time to train personnel
N/A
G.  Time to adjust existing ways to comply with previously applicable requirements
N/A
H.  Time to transmit or disclose information [h]
                                     0.25
                                       1
                                     0.25
                                     1,982
                                     495.5
                                     24.78
                                     49.55
                                                                     $54,601.00
I.  Time for audits
N/A
Recordkeeping Subtotal

                                    19,653
                                                                  $1,883,118.00
                                 GRAND TOTAL
                                    33,108
                                                                     $3,172,379
TOTAL NUMBER OF ANNUAL RESPONSES [i]
                                     2,030
CAPITAL COSTS

      File cabinets [j]

                                                                     $75,722.22
ANNUALIZED CAPITAL COSTS [k]

      File cabinets (15 year life, 7% interest -> CRF=0.1098)

                                                                         $8,314
TOTAL ANNUALIZED COSTS

                                                                         $8,314

N/A = not applicable.
[a]  This ICR uses the following labor rates:  $121.42 for managerial labor, $99.14 for technical labor, and $49.81 for clerical labor.  These rates are from the United States Department of Labor, Bureau of Labor Statistics, December 2010, "Table 2. Civilian Workers, by occupational and industry group."  The rates have been increased by 110 percent to account for the benefit packages available to those employed by private industry.
[b]  There are an estimated 2,900 existing plating and polishing plants and no new facilities are expected; the average number expected to read the rule during the 3-yr clearance period is 2,900/3 = 967.
[c]  Each of the 2,900 existing plants noted above would be required to submit an initial notification.
[d]  Each of the 2,900 existing plants noted above would be required to submit a notification of compliance status.
[e]  The 2,900 existing plants would be required to prepare an annual compliance certification at the end of Year 3 of the ICR clearance period and submit the certifications if a deviation occurred; assuming that 5 percent of the plants experience a deviation, the number of compliance certifications submitted will be  (2,900  0.05)/3 = 48.
f  Assumes that 5% of existing facilities would have to submit a report of deviations starting in Year 3 of the ICR clearance period, or (2,900  0.05)/3 = 48.
[g]  Recordkeeping requirements begin in Year 3 of ICR clearance period for all existing plants, or 2,900/3 = 967; it is assumed that 0.33 hr (20 minutes) per week will be required per facility for recordkeeping.
h  Transmittals would include initial notifications for 2,900 plants, notifications of compliance status for 2,900 plants, annual compliance certifications for 5% of one-third of 2,900 plants, and annual reports of deviations for 5% of one-third of 2,900 facilities in Year 3 , for an average of (2,900 + 2,900 + 2,900/3  0.05 + 2,900/3  0.05)/3 = 2,030 for each year of the 3-yr ICR clearance period.
[i]  The total annual number of responses is calculated by summing up the product of columns B and D for each of the reports listed in 4B.
[j]  Assumes one standard four-drawer file cabinet for one-third of the 2,900 facilities, or an average of 2,900/3/3=322 file cabinets per year required to maintain records at a cost of $235 per cabinet.
[k]  Annualized costs are calculated by multiplying the capital recovery factor (CRF) by the capital cost.  CRF=(i)(1+i)^t/((1+i)^t-1) where i = interest rate (%) and t = equipment life (years).

Table 2: Average Annual EPA Burden and Cost - NESHAP for Plating and Polishing Operations (40 CFR Part 63, Subpart WWWWWW) (Renewal)

                      REPORTING/RECORDKEEPING REQUIREMENT
                                      (A)
                                      (B)
                                     (C)
                                      (D)
                                      (E)
                                      (F)
                                      (G)
                                      (H)

                          Person-hours per occurrence
                  No. of occurrences per respondent per year
                          Person-hours per respondent
                             Respondents per year
                            Technical person-hours
                            Managerial person-hours
                             Clerical person-hours
                                    Cost, $

                                   (A) x (B)

                                   (C) x (D)
                                  (E) x 0.05
                                  (E) x 0.10

Report Review:

     Initial Notification of applicability [b]
                                       1
                                       1
                                       1
                                      967
                                    967.00
                                     48.35
                                     96.7
                                                                     $50,112.26
     Notification of Compliance Status [c]
                                       2
                                       1
                                       2
                                      967
                                   1,934000
                                     96.7
                                     193.4
                                                                    $100,224.52
     Annual Compliance Certification [d]
                                       2
                                       1
                                       2
                                      48
                                     96.00
                                      4.8
                                      9.6
                                                                      $4,974.95
     Annual Report of Deviations [e]
                                       2
                                       1
                                       2
                                      48
                                     96.00
                                      4.8
                                      9.6
                                                                      $4,974.95
                            SUBTOTAL ANNUAL BURDEN
                                     3,093
                                      155
                                      309
                                                                      $160,287
                             GRAND TOTAL (Rounded)
                                     3,557

[a]   This ICR uses the following average hourly labor rates: $62.27 for managerial (GS-13, Step 5, $38.92 x 1.6), $46.21 (GS-12, Step 1, $28.88 x 1.6) for technical and $25.01 (GS-6, Step 3, $15.63 x 1.6) for clerical.  These rates are from the Office of Personnel Management (OPM) 2011 General Schedule, which excludes locality rates of pay.
[b]  Assumes 2,900 existing and no new plants will complete initial notifications for an average of (2,900)/3 = 967 per year during each year of the 3-yr ICR clearance period.
[c]  Each of the 2,900 existing plants noted above would be required to submit a notification of compliance status.
[d]  The 2,900 existing plants would be required to prepare an annual compliance certification at the end of Year 3 of the ICR clearance period; any plant that experiences a deviation will have to submit the compliance certification; assuming 5 percent of the plants experience a deviation, the number of submittals would be (2,900  0.05)/3 =48.
[e]   Assumes that 5% of existing facilities would have to submit a report of deviations starting in Year 3 of the ICR clearance period, or (2,900  0.05)/3 = 48.


Page 1 of 14 TOLERANCE EXEMPTION PETITION FOR:

COPPER SULFATE PENTAHYDRATE SUBMITTED BY:

ARCHANGEL LLC Page 2 of 14 SECTION A: CHEMICAL IDENTITY OF THE PESTICIDE CHEMICAL C Chemical Name :

Copper Sulfate Pentahydrate C CASRN:

7758 99 8 C Molecular Formula:

Cu S O4.5H2 O C Manufacturing Process:

The manufacturing process for Copper Sulfate Pentahydrate has been previously provided to the Agency.

C Sample Analysis including Impurities Associated with Copper Sulfate Pentahydrate Analytical data on representative samples of Copper Sulfate Pentahydrate was previously submitted to the Agency. .

C Physical and Chemical Properties:

Physical and chemical property data on Copper Sulfate Pentahydrate was previously submitted to the Agency. Please see chemistry data submitted for Stalosan F ( EPA Application No. 75526 R).

* COPPER SULFATE PENTAHYDRATE is manufactured, using an integrated formulation system, as a 2.66% granular. The sample analysis and physical chemical property tests were conducted Page 3 of 14 SECTION B: USE OF THE PESTICIDE CHEMICAL Copper sulfate pentahydrate is an antimicrobial and/ or fungicide that is applied by hand to animal bedding and stall areas occupied by food or feed animals. This product is applied at the rate of 1 pound per 100 sq. ft. or 0.15 oz. per sq. ft.

Copper sulfate pentahydrate is applied to lower the ammonia level in the bedding, and also serves to reduce bacteria. As provided in additional information, copper sulfate pentahydrate is applied directly to foods at levels over 250 ppm. The amount of material applied to animal bedding and stall areas is well below that level, and very little of the material will ultimately be consumed by the animals, since it is not added to actual food stock.

It is important to note that the Agency has previously registered Copper Sulfate Pentahydrate for use for all raw agriculatural commodities.

The end use formulation of copper sulfate pentahydrate is a granular. The product, Stalosan F ( EPA Appl. No. 75526 R) contains 02.66% of the active ingredient, copper sulfate pentahydrate..

A copy of the Stalosan F product label is provided on pages 4 5 of this petition Page 4 of 14 [ bracketed phrases are optional text]

Stalosan F Adsorb Plus ( additional brand name)

For use in livestock housing, to improve the external environment and flooring conditions around animals. Lack of moisture assists in the reduction of non public health microorganisms Stalosan F adsorbs moisture, ammonia, hydrogen sulphide and other gases. [ Inhibits the growth of bacteria and fungi] [ Eliminates odor causing bacteria, fungi, mold, and mildew] [ Inhibits the growth of non public health bacteria] [ Inhibits the growth of fungi] [ Reduces ammonia and moisture] [ Eliminates odor causing bacteria, fungi, mold, and mildew] [ Eliminates odors associated with bacteria, mold, and mildew] [ Deodorizes], [ Deodorizer] [ Controls and inhibits odor causing bacteria, fungi, mold, and mildew]

Caution Keep Out of Reach of Children FIRST AID If in eyes:

Hold eye open and rinse slowly and gently with water for 15 20 minutes. Remove contact lenses, if present, after the first 5 minutes, then continue rinsing eye.

Call a poison control center or doctor for treatment advice.

Have the product container or label with you when calling a poison control center or doctor, or going for treatment.

SEE SIDE PANEL FOR ADDITIONAL PRECAUTIONARY STATEMENTS Active Ingredients: Copper Sulfate Pentahydrate*     .  2.66% Inert Ingredients            98.54% TOTAL              . 100.00% * Metallic Copper Equivalent Equal 0.68%

EPA Reg. No. 75526 R ArchAngel LLC 636 Hampshire, Suite 208 Page 5 of 14 Quincy, IL 62301 EPA est. No. 75613 DNK 01 phone number 25 Kg. Net Wt.

PRECAUTIONARY STATEMENTS Hazards to Humans and Domestic Animals CAUTION. Causes moderate eye irritation. Avoid contact with eyes or clothing. Wear protective eyewear. Wash thoroughly with soap and water after handling and before eating, drinking or using tobacco.

ENVIRONMENTAL HAZARDS This product is toxic to fish and aquatic organisms.

Directions for Use It is a violation of federal law to use this product in a manner inconsistent with its labeling. Do not apply this product in a way that will contact workers or other persons, either directly or through drift. Only protected handlers may be in the area during application.

Add 1 pound of Stalosan F to every 100 sq. ft. If the area is badly affected, increase the dosage slightly. Initially apply Stalosan F once a day for 3 days. Continue treatment once a week, thereafter. Stalosan F can be applied while animals are present.

STORAGE AND DISPOSAL Do not contaminate water, food or feed by storage or disposal.

PESTICIDE STORAGE: Store this product in a cool, dry area away from direct sunlight and heat to avoid deterioration and in an area inaccessible to children.

PESTICIDE DISPOSAL: Pesticide wastes are acutely hazardous. Improper disposal of excess pesticide, spray mixture, or rinsate is a violation of Federal law. If these wastes cannot be disposed of by use according to label instructions, contact your State Pesticide or Environmental Control Agency, or the Hazardous Waste representative at the nearest EPA Regional Office for guidance.

CONTAINER DISPOSAL: Once bag is empty, dispose of in a sanitary landfill or by incineration, or; if allowed by state and local authorities, by burning. If burned, stay out of smoke. Page 6 of 14 SECTION C: TOXICOLOGY DATA 1) Acute Toxicology Acute toxicology studies have been conducted with Stolason F, which is a 2.66%

Formulation of Copper Sulfate Pentahydrate. The acute study results are summarized below:

Data Requirement Study Title MRID Number Results 81 1 Acute Oral Toxicity Vol 3 LD50 = > 5000 mg/ kg 81 2 Acute Dermal Toxicity Vol 4 LD50 = > 5000 mg/ kg 81 4 Primary Eye Irritation Vol 6 Mildly irritating 81 5 Primary Skin Irritation Vol. 7 Non Irritant 81 6 Dermal Sensitization Vol. 8 Not a sensitizer 81 3 Acute Inhalation Toxicity Vol 5 LC50 => 2.07 mg/ L These results indicate that Copper Sulfate Pentahydrate is non toxic by all routes of exposure.

2) Sub Chronic/ Chronic Toxicity, Mutagenicity, Teratology and Reproductive Toxicity Only acute toxicology studies have been performed with Copper Sulfate Pentahydrate. Additional toxicology data on Copper Sulfate Pentahydrate should not be required since Copper Sulfate Pentahydrate, degrades to common copper. Accordingly, any dietary assessment from the use of Copper Sulfate Pentahydrate regarding meat animals should focus on copper.

In 1986, a review* of several copper compounds by the Office of Pesticide Programs Toxicology Branch concluded that the toxicity from dietary exposure to copper was well established in the published literature and that all sub chronic, chronic/ oncogenicity, mutagenicity, teratology and reproductive data requirements for the subject copper compounds, including Copper Sulfate Pentahydrate, should be waived. In support of its conclusion, the review made the following points:

1. Copper is unique among the pesticides since it is also a nutritional trace element, essential for growth and well being of both higher level plants and animals.

2. Humans possess a natural, efficient homeostatic mechanism for regulating body copper levels over a wide range of dietary intake.

5. There is an overwhelming lack of evidence of any chronic effects induced in normal man by dietary ingestion of copper unless the intake is of such enormous magnitude that there is a disruption of the natural homeostatic Page 7 of 14 mechanism for controlling body levels.

The petitioner conducted a comprehensive literature search for articles on copper toxicity published subsequent to the 1986 Toxicology Branch review. No information that called into question the above conclusions was found.

* Source: Toxicology Chapter for Copper Group II Registration Standard, D 7828, ( 1986).

SECTION C/ PART 2 INVESTIGATIONS MADE WITH RESPECT TO THE SAFETY HUMANS AND DOMETIC ANIMALS Complete toxicology information for technical copper sulfate pentahydrate has previously been submitted to the Agency. The toxicity data for Stalosan F were submitted with the application for registration, and indicate a toxicity category IV level for all studies, other than eye irritation, which may be listed as toxicity category III.

40 CFR, § 180.1021 specifically exempts copper sulfate pentahydrate from the requirement of a tolerance when applied as a fungicide to growing crops or raw agricultural commoditites after harvest ( with no limitation). Copper is exempted from the requirement of a tolerance in meat, poultry, eggs, fish, shellfish and irrigated crops for various uses, but the specific use of adding copper to animal bedding was not specifically identified,

FDA has determined that Copper sulfate is a direct food substance affirmed as generally recognized as safe ( GRAS) ( Title 21, § 184.1261). They have indicated that this ingredient is to be used in food with no limitation other than current good manufacturing practice. It may be used in infant formula in accordance with section 412( g) of FFDCA. Page 8 of 14 Regarding the essentiality of copper, the Food and Nutrition Board of the National Academy of Sciences issued recommended daily allowance ( RDA) levels for copper.

These values are shown in the table below:

National Academy of Sciences Recommendations for Copper in the Diet*

Age Estimated Safe and Adequate Daily Dietary Intakes ( mg)

To 6 months 0.5 0.7 6 months 1 year 0.7 1.0 1 3 years 1.0 1.5 4 6 years 1.5 2.0 7 10 years 2.0 2.5 11 years and over 2.0 3.0 Adult 2.0 3.0 * Source: Committee on Dietary Allowances, Food and Nutrition Board, National Academy of Sciences National Research Council ( 1980). Page 9 of 14 SECTION D: RESIDUE DATA AND ANALYTICAL METHOD As noted above, Copper Sulfate Pentahydrate, upon application, forms copper hydroxide. Accordingly, the nature of the residue is copper.

The petitioner is requesting that the Agency waive all residue chemistry data requirements for copper since:

C Copper is an essential trace element critical for the propagation of plants.

C It will be impossible to distinguish copper residues resulting from naturally occurring copper or Copper Sulfate Pentahydrate.

C Copper is found in several fruits and vegetables ( refer to attached tables on pages 12 14 of this petition).

The amount of copper applied to crops from the use of Copper Sulfate Pentahydrate is equivalent to the amount of copper applied from the use of compounds such as copper hydroxide for which there is an existing tolerance exemption for all RAC= s.

Regarding the requirement for a residue analytical method, the Agency noted in its 1996 residue review of Group II Copper Compounds that adequate atomic absorption, emission spectroscopic, and colorimetric analytical methods are available to determine copper in formulations, crops, animal tissues and water. Accordingly, there is no need to provide a residue analytical method for Copper Sulfate Pentahydrate. Page 10 of 14 SECTION E: PRACTICABLE METHODS FOR REMOVING RESIDUES THAT EXCEED ANY PROPOSED TOLERANCE Since the petitioner is requesting a tolerance exemption and copper is a natural crop constituent and is part of the normal diet of feed or food animals, methods for removing excess residues are not applicable. Page 11 of 14 SECTION F: PROPOSED TOLERANCE:

ArchAngel LLC is proposing to amend 40 C. F. R. by revising the very end of ' 180.1021( c), as follows:

' 180.1021 Copper; exemptions from the requirement of a tolerance ( a) ***

( b) ***

( c) Copper sulfate pentahydrate ( CAS Reg. No. 7758 99 8) is exempt from the requirement of a tolerance when applied as a fungicide to growing crops or to raw agricultural commoditities after harvest, and in meat, milk, poultry, and eggs when used in animal bedding to inhibit the growth of bacteria and fungi. Page 12 of 14 SECTION G: REASONABLE GROUNDS IN SUPPORT OF THIS PETITION The regulations ( 40 C. F. R. ' 180.1021) permit the use of several copper compounds In meat, milk, poultry, eggs, fish, shellfish, growing crops. Since Copper Sulfate Pentahydrate is a substitute for these copper compounds and, under use conditions, releases equivalent amounts of copper, approval of this petition will not result in any increased dietary intake or risk. Moreover, copper is an essential nutrient for which the National Academy of Sciences has established a recommended daily dietary intake. The use of Copper Sulfate Pentahydrate to inhibit the growth of bacteria in animal bedding will, at most, make a negligible contribution to the dietary intake of naturally occurring copper. As mentioned in the previous section Complete toxicology information for technical copper sulfate pentahydrate has previously been submitted to the Agency. The toxicity data for Stalosan F were submitted with the application for registration, and indicate a toxicity category IV level for all studies, other than eye irritation, which may be listed as toxicity category III.

40 CFR, § 180.1021 specifically exempts copper sulfate pentahydrate from the requirement of a tolerance when applied as a fungicide to growing crops or raw agricultural commoditites after harvest ( with no limitation). Copper is exempted from the requirement of a tolerance in meat, poultry, eggs, fish, shellfish and irrigated crops for various uses, but the specific use of adding copper to animal bedding was not specifically identified,

FDA has determined that Copper sulfate is a direct food substance affirmed as generally recognized as safe ( GRAS) ( Title 21, § 184.1261). They have indicated that this ingredient is to be used in food with no limitation other than current good manufacturing practice. It may be used in infant formula in accordance with section 412( g) of FFDCA. Page 13 of 14 SECTION H: SUPPLEMENTAL INFORMATION AGGREGATE EXPOSURE Aggregate human exposure, excluding occupational, to copper was examined in a 1987 U. S. EPA report *. The estimates provided in the report of copper exposure from drinking water, food and air are summarized below:

Drinking Water The report noted that naturally occurring levels of copper in drinking water are less than 50 ppb and exposure was largely due to corrosion of plumbing materials. A survey cited in the report indicated that ~ 10% of the taps sampled had copper levels of 500 ppb and ~ 2% had levels above 1.3 ppm ( the MCL for copper is 1 ppm). Another report * issued by U. S. EPA stated that the average copper concentration in drinking water is ~ 130 ppb and a little over 1% of the drinking water in the U. S. exceeds the MCL.

Food Daily intakes of copper from twelve FDA total diet studies conducted from mid 1982 1984 are provided on the attached table. The dietary levels range from 0.77 to 1.24 mg/ day.

Air Data on air concentrations of copper were collected by U. S. EPA= s Environmental Monitoring Systems Laboratory. The data were from a nationwide study on copper concentrations in ambient air for the years 1977 1983. Concentrations in the 23, 814 air samples analyzed ranged from 0.003 7.32 ug/ m 3 .

* U. S. EPA. 1987. Drinking Water Criteria Document for Copper, Prepared by U. S. EPA Office of Health and Environmental Assessment. Page 14 of 14 ** U. S. EPA. 1987. Health Issue Assessment: Copper.

Based on the above data, the petitioner estimates the aggregate exposure to copper from food, drinking water and air ranges from 1.2 3.0 mg/ day.

Occupational copper exposure may occur to workers involved in the following jobs: copper manufacture, asphalt and battery production, electroplating, wood preservation, paint formulation, water treatment, rayon production, copper fungicide application, gem coloring,

lithography, pigment manufacture and soldering. The OSHA standard for copper is 0.1 mg/ m 3 ( copper fume) and 1 mg/ m 3 ( copper dust).


[Federal Register Volume 77, Number 6 (Tuesday, January 10, 2012)]
[Rules and Regulations]
[Page 1407]
[FR Doc No: 2012-171]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 117

[Docket No. USCG-2011-1154]

Drawbridge Operation Regulation; Islais Creek, San Francisco, CA

AGENCY: Coast Guard, DHS.

ACTION: Notice of temporary deviation from regulations.

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SUMMARY: The Commander, Eleventh Coast Guard District, has issued a
temporary deviation from the regulation governing the operation of the
Third Street Drawbridge across Islais Creek, mile 0.4, at San
Francisco, CA. The deviation is necessary to allow the City of San
Francisco to make emergency electrical repairs on the bridge. This
deviation allows the bridge to be secured in the closed-to-navigation
position during the deviation period.

DATES: This deviation is effective from 8 a.m. on December 18, 2011 to
6 p.m. on January 31, 2012.

ADDRESSES: Documents mentioned in this preamble as being available in
the docket are part of the docket USCG-2011-1154 and are available
online by going to http://www.regulations.gov, inserting USCG-2011-1154
in the ``Keyword'' box and then clicking ``Search''. They are also
available for inspection or copying at the Docket Management Facility
(M-30), U.S. Department of Transportation, West Building Ground Floor,
Room W12-140, 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 David H. Sulouff, Chief, Bridge Section, Eleventh Coast
Guard District; telephone<PHONE_NUMBER>, email
<EMAIL_ADDRESS>If you have questions on viewing the docket,
call Renee V. Wright, Program Manager, Docket Operations, telephone
(202) 366-9826.

SUPPLEMENTARY INFORMATION: The City of San Francisco requested a
temporary change to the operation of the Third Street Drawbridge, mile
0.4, over Islais Creek, at San Francisco, CA. The drawbridge navigation
span provides a vertical clearance of 4 feet above Mean High Water in
the closed-to-navigation position. As required by 33 CFR 117.163(b),
the draw shall open on signal if at least 72 hours advance notice is
given to the San Francisco Department of Public Works. Navigation on
the waterway is commercial and recreational.
    The Third Street Drawbridge will be secured in the closed-to-
navigation position from 8 a.m. on December 18, 2011 to 6 p.m. on
January 31, 2012, to allow the City of San Francisco to complete
emergency electrical repairs. This temporary deviation has been
coordinated with the waterway users. No objections to the proposed
temporary deviation were received.
    Vessels that can transit the bridge, while in the closed-to-
navigation position, may continue to do so at any time.
    In accordance with 33 CFR 117.35(e), the drawbridge must return to
its regular operating schedule immediately at the end of the designated
time period. This deviation from the operating regulations is
authorized under 33 CFR 117.35.

    Dated: December 18, 2011.
D.H. Sulouff,
Bridge Section Chief, Eleventh Coast Guard District.
[FR Doc. 2012-171 Filed 1-9-12; 8:45 am]
BILLING CODE 4910-15-P


[Federal Register Volume 78, Number 36 (Friday, February 22, 2013)]
[Notices]
[Page 12306]
[FR Doc No: 2013-04074]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings 1

    Take notice that the Commission received the following electric
rate filings:

    Docket Numbers: ER12-2292-002.
    Applicants: Southwest Power Pool, Inc.
    Description: Southwest Power Pool, Inc. submits Petition for Waiver
of its Open Access Transmission Tariff Provisions implementing certain
curtailment procedures.
    Filed Date: 2/13/13.
    Accession Number: 20130213-5183.
    Comments Due: 5 p.m. e.t. 3/1/13.

    Docket Numbers: ER13-934-000.
    Applicants: Southwest Power Pool, Inc.
    Description: 2520 Blue Canyon Windpower V LLC GIA to be effective
1/14/2013.
    Filed Date: 2/13/13.
    Accession Number: 20130213-5131.
    Comments Due: 5 p.m. e.t. 3/6/13.

    Docket Numbers: ER13-935-000.
    Applicants: ISO New England Inc.
    Description: ISO New England Inc. submits Capital Budget and
Capital Budget Quarterly Filing for Fourth Quarter of 2012.
    Filed Date: 2/13/13.
    Accession Number: 20130213-5182.
    Comments Due: 5 p.m. e.t. 3/6/13.

    Docket Numbers: ER13-936-000.
    Applicants: Powerex Corp.
    Description: Expiration of Limited Waiver Tariff Revision to be
effective 1/9/2013.
    Filed Date: 2/14/13.
    Accession Number: 20130214-5041.
    Comments Due: 5 p.m. e.t. 3/7/13.

    Docket Numbers: ER13-937-000.
    Applicants: Southwest Power Pool, Inc.
    Description: Southwest Power Pool, Inc. submits Notice of
Cancellation of Large Generator Interconnection Service Agreement (1st
revised No. 1255).
    Filed Date: 2/14/13.
    Accession Number: 20130214-5071.
    Comments Due: 5 p.m. e.t. 3/7/13.

    The filings are accessible in the Commission's eLibrary system by
clicking on the links or querying the docket number.
    Any person desiring to intervene or protest in any of the above
proceedings must file in accordance with Rules 211 and 214 of the
Commission's Regulations (18 CFR 385.211 and 385.214) on or before 5:00
p.m. Eastern time on the specified comment date. Protests may be
considered, but intervention is necessary to become a party to the
proceeding.
    eFiling is encouraged. More detailed information relating to filing
requirements, interventions, protests, service, and qualifying
facilities filings can be found at: http://www.ferc.gov/docs-filing/efiling/filing-req.pdf. For other information, call<PHONE_NUMBER>
(toll free). For TTY, call<PHONE_NUMBER>.

    Dated: February 14, 2013.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2013-04074 Filed 2-21-13; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register: January 11, 2010 (Volume 75, Number 6)]
[Rules and Regulations]
[Page 1492-1494]
[DOCID:fr11ja10-12]

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SECURITIES AND EXCHANGE COMMISSION

17 CFR Parts 276

[Release Nos. IA-2969; FR-81]

Commission Guidance Regarding Independent Public Accountant
Engagements Performed Pursuant to Rule 206(4)-2 Under the Investment
Advisers Act of 1940

AGENCY: Securities and Exchange Commission.

ACTION: Interpretation.

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SUMMARY: The Securities and Exchange Commission (the ``Commission'') is
publishing interpretive guidance for independent public accountants in
connection with the adoption of amendments to Rule 206(4)-2 under the
Investment Advisers Act of 1940 (the ``Custody Rule''). This guidance
provides direction with respect to the independent verification and
internal control report as required under the amended Custody Rule.

DATES: Effective Date March 12, 2010.

FOR FURTHER INFORMATION CONTACT: General questions about this release
should be referred to Bryan J. Morris, Assistant Chief Accountant,
Jaime L. Eichen, Assistant Chief Accountant, or Richard F. Sennett,
Chief Accountant at<PHONE_NUMBER> or<EMAIL_ADDRESS>Office of the
Chief Accountant, Division of Investment Management, U.S. Securities
and Exchange Commission, 100 F Street, NE., Washington, DC 20549-8626.
Questions about Rule 206(4)-2 should be directed to staff of the Office
of Investment Adviser Regulation, Division of Investment Management,
U.S. Securities and Exchange Commission, 100 F Street, NE., Washington,
DC 20549-8549 at<PHONE_NUMBER> or<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. Background

    Rule 206(4)-2(a) under the Investment Advisers Act of 1940 (the
``Act'') provides, among other things, that it is a fraudulent,
deceptive or manipulative act, practice, or course of business within
the meaning of Section 206(4) of the Act for any investment adviser
registered (or required to be registered) under Section 203 of the Act
(herein ``investment adviser'') to have custody of client funds or
securities unless:
    (1) A qualified custodian maintains those funds and securities in a
separate account for each client under that client's name; or in
accounts that contain only clients' funds and securities, under the
investment adviser's name as agent or trustee for the clients;
    (2) Clients are notified promptly in writing of the qualified
custodian's name, address, and the manner in which the funds or
securities are maintained, when an account is opened by an investment
adviser on a client's behalf and following any changes to this
information; and
    (3) The investment adviser has a reasonable basis, after due
inquiry, for believing that the qualified custodian sends an account
statement, at least quarterly, to each of its clients for which it
maintains funds or securities, identifying the amount of funds and of
each security in the account at the end of the period and setting forth
all transactions in the account during that period.
    Rule 206(4)-2(a) generally requires that client funds and
securities of which an investment adviser has custody under the rule be
verified by actual examination at least once during each calendar year
by an independent public accountant \1\ (``accountant''), pursuant to a
written agreement, between the investment adviser and the accountant,
at a time that is chosen by the accountant without prior notice or
announcement to the investment

adviser and that is irregular from year to year.
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    \1\ If the investment adviser itself or a related person
maintains clients' funds and securities as qualified custodian, the
independent public accountant must be registered with, and subject
to inspection by, the Public Company Accounting Oversight Board
(``PCAOB''). See Rule 206(4)-2(a)(6)(i).
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II. Independent Verification of Funds and Securities

    The objective of the accountant's examination \2\ is to verify that
client funds and securities of which an investment adviser has custody
are held by a qualified custodian in a separate account for each client
under that client's name, or in accounts that contain only clients'
funds and securities, under the investment adviser's name as agent or
trustee for the clients. The accountant should obtain from the
investment adviser records that detail client funds and securities of
which the investment adviser has custody and the identification of the
qualified custodian(s) of those funds and securities.\3\ The accountant
should also obtain records of accounts that were closed during the
period or that have a zero balance as of the date of the examination.
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    \2\ The examination is a compliance examination to be conducted
in accordance with American Institute of Certified Public
Accountants' (``AICPA'') attestation standards. See AT Section 601,
Compliance Attestation (``AT 601'').
    \3\ Rule 204-2(b) under the Act requires that an investment
adviser who has custody or possession of funds and securities of any
client must record all transactions for such client in a journal and
in separate ledger accounts for each client and must maintain copies
of confirmations of all transactions in such accounts and a position
record for each security in which a client has an interest. Rule
204-2(h) of the Act indicates that records maintained and preserved
in compliance with Rules 17a-3 and 17a-4 under the Securities
Exchange Act of 1934 (i.e., records maintained by a broker-dealer)
can be deemed to satisfy the requirements of Rule 204-2(b), provided
that they are substantially the same types of records. See Rule 204-
2(b) and Rule 204-2(h) under the Act.
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    For a sample of client accounts, the accountant should obtain
records of the purchases, sales, contributions, withdrawals and any
other debits or credits to each selected client's account occurring
since the date of the last examination. The accountant's procedures to
meet the objective of the examination should normally include, but are
not limited to, the following with respect to each selected client
account:
     Confirmation with the qualified custodian(s) of client
funds and securities as of the date of the examination and that the
client's funds and securities are held in either a separate account
under the client's name or in accounts under the name of the investment
adviser as agent or trustee for clients;
     Confirmation with the client of funds and securities held
in the account as of the date of the examination and contributions and
withdrawals of funds and securities to and from the account since the
date of the last examination; where confirmation replies are not
received, the accountant should perform alternative procedures; and
     Reconciliation of confirmations received and other
evidence obtained to the investment adviser's records.

Privately Offered Securities

    Rule 206(4)-(2)(b)(2) generally exempts privately offered
securities from the qualified custodian requirements established under
Rule 206(4)-(2)(a)(1).\4\ Under the rule, a privately offered security
is a security that is:
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    \4\ The exemption provided by the rule is available with respect
to securities held for the account of a limited partnership (or a
limited liability company, or other type of pooled investment
vehicle) only if the limited partnership is audited, and the audited
financial statements are distributed, as described in paragraph
(b)(4) of the rule.
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    (1) Acquired from the issuer in a transaction or chain of
transactions not involving any public offering;
    (2) Uncertificated, and ownership thereof is recorded only on the
books of the issuer or its transfer agent in the name of the client;
and
    (3) Transferable only with prior consent of the issuer or holders
of the outstanding securities of the issuer.
    The accountant's verification procedures with respect to any
privately offered security selected for testing should include
confirmation with the issuer of or counterparty to the security, or,
where replies are not received, alternative procedures.

Reporting--Independent Verification

    The accountant's examination report should include an opinion as to
whether, with respect to the rules under the Act, the investment
adviser was in compliance, in all material respects, with paragraph
(a)(1) of Rule 206(4)-2 as of the examination date and had been
complying with Rule 204-2(b) during the period since the prior
examination date. The accountant should identify the date as of which
the examination was made within the report.
    Pursuant to the written agreement required under Rule 206(4)-
2(a)(4), upon finding any material discrepancy during the course of the
examination, the accountant should notify the Commission within one
business day of the finding, by means of a facsimile transmission or
electronic mail, followed by first class mail, directed to the
attention of the Director of the Office of Compliance Inspections and
Examinations. For purposes of this examination, a material discrepancy
is material non-compliance with the provisions of either Rule 206(4)-2
or Rule 204-2(b) under the Act.\5\
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    \5\ Reporting on material non-compliance is discussed within AT
601 of the AICPA attestation standards. See AT 601.
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    Pursuant to the written agreement required under Rule 206(4)-
2(a)(4), the examination should be completed and the resulting
examination report should be filed on Form ADV-E by the accountant
within 120 days of the time chosen by the accountant. The accountant
should also file Form ADV-E with the Commission upon resignation or
dismissal from, or other termination of, the engagement, or upon
removing itself or being removed from consideration for being
reappointed within four business days. Such filing should be
accompanied by a statement that includes:
    (1) The date of such resignation, dismissal, removal, or other
termination, and the name, address, and contact information of the
accountant; and
    (2) An explanation of any problems relating to examination scope or
procedure that contributed to such resignation, dismissal, removal, or
other termination.

III. Internal Control Report

    Rule 206(4)-2(a)(6) establishes additional requirements for an
investment adviser that itself, or its related person, maintains client
funds or securities as a qualified custodian in connection with
advisory services provided to clients. Such an investment adviser must
at least once each calendar year obtain or receive from its related
person an internal control report related to its or its affiliates'
custody services, including the safeguarding of funds and securities,
prepared by an independent public accountant that is registered with,
and subject to inspection by, the PCAOB.\6\
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    \6\ A Type II SAS 70 Report conducted in accordance with AU
Section 324, Service Organizations (``AU 324'') of the AICPA
auditing standards would be sufficient to satisfy the requirements
of the internal control report. In addition to the Type II SAS 70
Report, an examination on internal control conducted in accordance
with AT 601 would also be sufficient.
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    The objective of the examination supporting the internal control
report is to obtain reasonable assurance that the qualified custodian's
controls have been placed in operation as of a specific date, and are
suitably designed and are operating effectively to meet control
objectives related to custody of funds and securities during the period
specified. The internal control report should address control
objectives and associated controls related to the areas of client
account setup and

maintenance, authorization and processing of client transactions,
security maintenance and setup, processing of income and corporate
action transactions, reconciliation of funds and securities to
depositories and other unaffiliated custodians, and client reporting.
Control objectives addressing these areas should include--
     Documentation for the opening and modification of client
accounts is received, authenticated, and established completely,
accurately, and timely on the applicable system.
     Client transactions, including contributions and
withdrawals, are authorized and processed in a complete, accurate, and
timely manner.
     Trades are properly authorized, settled, and recorded
completely, accurately, and timely in the client account.
     New securities and changes to securities are authorized
and established in a complete, accurate and timely manner.
     Securities income and corporate action transactions are
processed to client accounts in a complete, accurate, and timely
manner.
     Physical securities are safeguarded from loss or
misappropriation.
     Cash and security positions are reconciled completely,
accurately and on a timely basis between the custodian and
depositories.
     Account statements reflecting cash and security positions
are provided to clients in a complete, accurate and timely manner.
    Rule 206(4)-2(a)(6)(ii)(B) states that, as part of the internal
control report, the independent public accountant must verify that
funds and securities are reconciled to a custodian other than the
adviser or its related person (for example, the Depository Trust
Corporation). The accountant's tests of the custodian's
reconciliation(s) should include either direct confirmation, on a test
basis, with unaffiliated custodians or other procedures designed to
verify that the data used in reconciliations performed by the qualified
custodian is obtained from unaffiliated custodians and is unaltered.

Reporting--Internal Control Report

    The accountant's internal control report should identify the
control objectives included within the scope of the examination and
include the accountant's opinion as to whether controls have been
placed in operation as of the specific date, and are suitably designed
and are operating effectively to meet the identified control objectives
during the specified period. The report should also describe the
nature, timing, extent and results of the accountant's procedures
performed to verify that funds and securities are reconciled to
depositories and other unaffiliated custodians.\7\
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    \7\ Paragraph .62 of AU 324 discusses reporting on substantive
procedures as part of a Type II SAS 70 report. See AU 324.
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IV. Relationship Between Independent Verification and Internal Control
Report

    When performing an independent verification of client funds and
securities for an investment adviser that itself, or its related
person, maintains custody as a qualified custodian, the accountant
should obtain a copy of the most recently issued internal control
report and determine whether there are any findings in the internal
control report that would affect the nature and extent of his or her
procedures. If findings within the internal control report indicate
information provided by the qualified custodian may not be reliable,
the accountant should consider whether the circumstances warrant the
issuance of a qualified or adverse opinion, or a disclaimer of opinion.
    If a significant period of time has elapsed since the issuance of
the internal control report, the accountant should perform appropriate
procedures to determine whether there have been significant changes to
the procedures and controls related to custody at the qualified
custodian since the date of the report. If significant changes have
occurred, the accountant should perform procedures to update his or her
understanding of whether the controls at the qualified custodian have
been placed in operation, are suitably designed, and are operating
effectively to meet the identified control objectives, as appropriate
in the circumstances. The accountant can perform these procedures
directly or can request that the accountant that prepared the internal
control report perform such procedures.

V. Codification Update

    The ``Codification of Financial Reporting Policies'' announced in
Financial Reporting Release No. 1 (April 15, 1982) [47 FR 21028] is
updated by replacing Section 404.01.b. Investment Advisers with the
text in Sections I, II, III, and IV of this release. The Codification
is a separate publication of the Commission. It will not be published
in the Federal Register/Code of Federal Regulations.

List of Subjects in 17 CFR Part 276

    Reporting and recordkeeping requirements, Securities.

Amendments to the Code of Federal Regulations

0
For the reasons set out in the preamble, the Commission is amending
title 17, chapter II of the Code of Federal Regulations as set forth
below:

PART 276--INTERPRETATIVE RELEASES RELATING TO THE INVESTMENT
ADVISERS ACT OF 1940 AND GENERAL RULES AND REGULATIONS THEREUNDER

0
Part 276 is amended by adding Release No. IA-2969 and the release date
of December 30, 2009 to the list of interpretive releases.

    Dated: December 30, 2009.

    By the Commission.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-19 Filed 1-8-10; 8:45 am]
BILLING CODE 8011-01-P