[Federal Register Volume 86, Number 34 (Tuesday, February 23, 2021)]
[Proposed Rules]
[Pages 10892-10894]
[FR Doc No: 2021-02048]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 71

[Docket No. FAA-2021-0033; Airspace Docket No. 21-AEA-1]
RIN 2120-AA66

Proposed Amendment of Class E Airspace; Wellsville, NY

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of proposed rulemaking (NPRM).

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SUMMARY: This action proposes to amend the Class E airspace extending
upward from 700 feet above the surface at Wellsville Municipal Airport/
Tarantine Field, Wellsville, NY. The FAA is proposing this action as
the result of an airspace review caused by the decommissioning of the
Wellsville VHF omnidirectional range (VOR) navigation aids as part of
the VOR Minimum Operational Network (MON) Program. The name and
geographical coordinates of the airport would also be updated to
coincide with the FAA's aeronautical database.

DATES: Comments must be received on or before April 9, 2021.

ADDRESSES: Send comments on this proposal to the U.S. Department of
Transportation, Docket Operations, West Building Ground Floor, Room
W12-140, 1200 New Jersey Avenue SE, Washington, DC 20590; telephone
(202) 366-9826, or<PHONE_NUMBER>. You must identify FAA Docket No.
FAA-2021-0033/Airspace Docket No. 21-AEA-1, at the beginning of your
comments. You may also submit comments through the internet at https://www.regulations.gov. You may review the public docket containing the
proposal, any comments received, and any final disposition in person in
the Dockets Office between 9:00 a.m. and 5:00 p.m., Monday through
Friday, except federal holidays.

    FAA Order 7400.11E, Airspace Designations and Reporting Points, and
subsequent amendments can be viewed online at https://www.faa.gov/air_traffic/publications/. For further information, you can contact the
Airspace Policy Group, Federal Aviation Administration, 800
Independence Avenue SW, Washington, DC 20591; telephone: (202) 267-
8783. The Order is also available for inspection at the National
Archives and Records Administration (NARA). For information on the
availability of FAA Order 7400.11E at NARA, email<EMAIL_ADDRESS>or go to https://www.archives.gov/federal-register/cfr/ibr-locations.html.

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

SUPPLEMENTARY INFORMATION:

Authority for This Rulemaking

    The FAA's authority to issue rules regarding aviation safety is
found in Title 49 of the United States Code. Subtitle I, Section 106
describes the authority of the FAA Administrator. Subtitle VII,
Aviation Programs, describes in more detail the scope of the agency's
authority. This rulemaking is promulgated under the authority described
in Subtitle VII, Part A, Subpart I, Section 40103. Under that section,
the FAA is charged with prescribing regulations to assign the use of
airspace necessary to ensure the safety of aircraft and the efficient
use of airspace. This regulation is within the scope of that authority
as it would amend the Class E airspace extending upward from 700 feet
above the surface at Wellsville Municipal Airport/Tarantine Field,
Wellsville, NY, to support instrument flight rule operations at this
airport.

Comments Invited

    Interested parties are invited to participate in this proposed
rulemaking by submitting such written data, views, or arguments, as
they may desire. Comments that provide the factual basis supporting the
views and suggestions presented are particularly helpful in developing
reasoned regulatory decisions on the proposal. Comments are
specifically invited on the overall regulatory, aeronautical, economic,
environmental, and energy-related aspects of the proposal.
Communications should identify both docket numbers and be submitted in
triplicate to the address listed above. Commenters wishing the FAA to
acknowledge receipt of their comments on this notice must submit with
those comments a self-addressed, stamped postcard on which the
following statement is made: ``Comments to Docket No. FAA-2021-0033/
Airspace Docket No. 21-AEA-1.'' The postcard will be date/time stamped
and returned to the commenter.
    All communications received before the specified closing date for
comments will be considered before taking action on the proposed rule.
The proposal contained in this notice may be changed in light of the
comments received. A report summarizing each substantive public contact
with FAA personnel concerned with this rulemaking will be filed in the
docket.

Availability of NPRMs

    An electronic copy of this document may be downloaded through the
internet at https://www.regulations.gov. Recently published rulemaking
documents can also be accessed through the FAA's web page at https://www.faa.gov/air_traffic/publications/airspace_amendments/.
    You may review the public docket containing the proposal, any
comments received, and any final disposition in person in the Dockets
Office (see the ADDRESSES section for the address and phone number)
between 9:00 a.m. and 5:00 p.m., Monday through Friday, except federal
holidays. An informal docket may also be examined during normal
business hours at the Federal Aviation Administration, Air Traffic
Organization, Central Service Center, Operations Support Group, 10101
Hillwood Parkway, Fort Worth, TX 76177.

Availability and Summary of Documents for Incorporation by Reference

    This document proposes to amend FAA Order 7400.11E, Airspace
Designations and Reporting Points, dated July 21, 2020, and effective
September 15, 2020. FAA Order 7400.11E is publicly available as listed
in the ADDRESSES section of this document. FAA Order 7400.11E lists
Class A, B, C, D, and E airspace areas, air traffic service routes, and
reporting points.

The Proposal

    The FAA is proposing an amendment to 14 CFR part 71 by amending the
Class E airspace extending upward from 700 feet above the surface to
within a 8.6-mile (increased from a 7.9-mile) radius of Wellsville
Municipal Airport/Tarantine Field, Wellsville, NY; removing the
Wellsville VORTAC and associated extension from the airspace legal
description; removing the HALOS NDB and extension east of the airport
from the airspace legal description as they are no longer required;
adding an extension 2 miles each side of the 269[deg] bearing from the
airport extending from the 8.6 mile radius to 8.9 miles west of the
airport; updating the name (previously Wellsville Municipal/Tarantine
Field Airport, Wellsville, NY) and geographic coordinates of the
airport to coincide with the FAA's aeronautical database; and removing
the city associated with the airport in the header of the airspace
legal description to comply with changes to FAA Order 7400.2M,
Procedures for Handling Airspace Matters.
    This action is the result of airspace reviews caused by the
decommissioning of the Wellsville VOR, which provided navigation
information for the instrument procedures these airports, as part of
the VOR MON Program.
    Class E airspace designations are published in paragraph 6005 of
FAA Order 7400.11E, dated July 21, 2020, and effective September 15,
2020, which is incorporated by reference in 14 CFR 71.1. The Class E
airspace designations listed in this document will be published
subsequently in the Order.
    FAA Order 7400.11, Airspace Designations and Reporting Points, is
published yearly and effective on September 15.

Regulatory Notices and Analyses

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

Environmental Review

    This proposal will be subject to an environmental analysis in
accordance with FAA Order 1050.1F,

``Environmental Impacts: Policies and Procedures'' prior to any FAA
final regulatory action.

List of Subjects in 14 CFR Part 71

    Airspace, Incorporation by reference, Navigation (air).

The Proposed Amendment

    Accordingly, pursuant to the authority delegated to me, the Federal
Aviation Administration proposes to amend 14 CFR part 71 as follows:

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

0
1. The authority citation for 14 CFR part 71 continues to read as
follows:

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

Sec.  71.1  [Amended]

0
2. The incorporation by reference in 14 CFR 71.1 of FAA Order 7400.11D,
Airspace Designations and Reporting Points, dated August 8, 2019, and
effective September 15, 2019, is amended as follows:

Paragraph 6005 Class E Airspace Areas Extending Upward From 700
Feet or More Above the Surface of the Earth.

* * * * *

AEA NY E5 Wellsville, NY [Amended]

Wellsville Municipal Airport/Tarantine Field, NY
    (Lat. 42[deg]06'34'' N long. 77[deg]59'24'' W)

    That airspace extending upward from 700 feet above the surface
within an 8.6-mile radius of Wellsville Municipal Airport/Tarantine
Field, and within 2 miles each side of the 269[deg] bearing from the
airport extending from the 8.6-mile radius to 8.9 miles west of the
airport.

    Issued in Fort Worth, Texas, on January 27, 2021.
Martin A. Skinner,
Manager, Operations Support Group,ATO Central Service Center.
[FR Doc. 2021-02048 Filed 2-22-21; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 86, Number 241 (Monday, December 20, 2021)]
[Notices]
[Pages 71935-71936]
[FR Doc No: 2021-27497]

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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-489, OMB Control No. 3235-0541]

Proposed Collection; Comment Request

Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of FOIA Services, 100 F Street NE, Washington, DC
20549-2736

Extension:
    Rule 606 of Regulation NMS

    Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.) (``PRA''), the Securities and
Exchange Commission (``Commission'') is soliciting comments on the
existing collection of information provided for in Rule 606 of
Regulation NMS (``Rule 606'') (17 CFR 242.606), under the Securities
Exchange Act of 1934 (15 U.S.C. 78a et seq.). The Commission plans to
submit this existing collection of information to the Office of
Management and Budget (``OMB'') for extension and approval.
    Rule 606 (formerly known as Rule 11Ac1-6) requires disclosure by
broker-dealers of (1) pursuant to Rule 606(a)(1), a quarterly
aggregated public report on the handling of orders in NMS stocks that
are submitted on a held basis and orders in NMS securities that are
option contracts with a market value less than $50,000; (2) pursuant to
Rule 606(b)(1), a report, upon request of a customer, on the routing of
that customer's orders in NMS stocks that are submitted on a held
basis, orders in NMS stocks that are submitted on a not held basis and
do not qualify for two de minimis exceptions, and orders in NMS
securities that are option contracts, containing certain information on
the broker-dealer's routing of such orders for that customer for the
prior six months; and (3) pursuant to Rule 606(b)(3), a report, upon
request of a customer that places with the broker-dealer, directly or
indirectly, NMS stock orders of any size that are submitted on a not
held basis (subject to two de minimis exceptions), containing certain
information on the broker-dealer's handling of such orders for that
customer for the prior six months.
    The total annual time burden associated with Rule 606 is
approximately 190,240 hours per year and the total annual cost burden
associated with Rule 606 is approximately $1,300,000 per year,
calculated as described below.
    The Commission estimates that out of the currently 3,585 broker-
dealers that are subject to the collection of information obligations
of Rule 606(a)(1), clearing brokers bear a substantial portion of the
burden of complying with the reporting and recordkeeping requirements
of Rule 606 on behalf of small to mid-sized introducing firms. There
currently are approximately 186 clearing brokers. In addition, there
are approximately 78 introducing brokers that receive funds or
securities from their customers. Because at least some of these firms
also may have greater involvement in determining where customer orders
are routed for execution, they have been included, along with clearing
brokers, in estimating the total burden of Rule 606(a)(1).
    The Commission staff estimates that each firm significantly
involved in order routing practices incurs an average burden of 40
hours to prepare and disseminate the quarterly report required by Rule
606(a)(1), or a burden of 160 hours per year. With an estimated 264 \1\
broker-dealers significantly involved in order routing practices, the
total industry-wide time burden per year to comply with the quarterly
reporting requirement in Rule 606 is estimated to be 42,240 hours (160
x 264). Additionally, for each of the 264 broker-dealers subject to
disclosure requirements of Rule 606(a)(1), the Commission estimates the
annual burden under Rule 606(a)(1)(iv) to monitor payment for order
flow and profit-sharing relationships and potential self-regulatory
organization rule changes that could impact their order routing
decisions and incorporate any new information into their reports to be
10 hours and the annual burden for each broker-dealer to describe and
update any terms of payment for order flow arrangements and profit-
sharing relationships with a Specified Venue

that may influence their order routing decisions to be 15 hours, for a
total annual time burden of approximately 6,600 hours (25 x 264).
Therefore, the estimated total annual time burden to comply with Rule
606(a)(1) is 48,840 hours (42,240 + 6,600).
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    \1\ 186 clearing brokers + 78 introducing brokers = 264.
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    Clearing brokers generally bear the burden of responding to
individual customer requests under Rule 606(b)(1) for order handling
information. The Commission staff estimates that an average clearing
broker incurs an annual burden of 400 hours (2000 responses x 0.2
hours/response) to prepare, disseminate, and retain responses to
customers required by Rule 606(b)(1). With an estimated 186 clearing
brokers subject to Rule 606(b)(1), the total industry-wide time burden
per year to comply with the customer response requirement in Rule
606(b)(1) is estimated to be 74,400 hours (186 x 400).
    The Commission estimates that approximately 200 broker-dealers are
involved in routing orders subject to the disclosure requirements of
Rule 606(b)(3). The Commission believes that some such broker-dealers
will respond to requests for customer-specific reports in house, while
others will engage a third-party service provider to do so. The
Commission estimates that approximately 135 broker-dealers will respond
in-house to individual customer requests for information on order
handling under Rule 606(b)(3), and that for each, the individual annual
time burden will be 400 hours (200 responses x 2 hours/response), with
a total annual time burden of 54,000 hours (400 x 135).
    The Commission estimates that approximately 65 broker-dealers will
engage a third party to respond to individual customer requests, and
that for each, the individual annual time burden will be 200 hours (200
responses x 1 hour/response), with a total annual time burden of 13,000
hours (200 x 65). The total annual cost burden associated with engaging
such third parties is approximately $1,300,000 (65 x 200 annual
requests x $100 per request to engage a third-party service provider).
Therefore, the estimated total annual burden to comply with Rule
606(b)(3) is 67,000 hours (54,000 + 13,000) and $1,300,000.
    The total annual time burden associated with Rule 606 is thus
approximately 190,240 hours per year (48,840 + 74,400 + 67,000) and the
total annual cost burden associated with Rule 606 is approximately
$1,300,000 per year.
    Written comments are invited on: (a) Whether the proposed
collection of information is necessary for the proper performance of
the functions of the Commission, including whether the information will
have practical utility; (b) the accuracy of the Commission's estimate
of the burden of the collection of information; (c) ways to enhance the
quality, utility, and clarity of the information collected; and (d)
ways to minimize the burden of the collection of information on
respondents, including through the use of automated collection
techniques or other forms of information technology. Consideration will
be given to comments and suggestions submitted in writing within 60
days of this publication.
    An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information under the PRA unless it
displays a currently valid OMB control number
    Please direct your written comments to David Bottom, Director/Chief
Information Officer, Securities and Exchange Commission, c/o John
Pezzullo, 100 F Street NE, Washington, DC 20549; or send an email to:
[email protected].

    Dated: December 15, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-27497 Filed 12-17-21; 8:45 am]
BILLING CODE 8011-01-P


SF tc \l2 "SF -83 SUPPORTING STATEMENT

ENVIRONMENTAL PROTECTION AGENCY

NESHAP for Pesticide Active Ingredient Production (40 CFR part 63, subpart MMM) (Renewal)

1.  Identification of the Information Collection

1(a)  Title of the Information Collection

NESHAP for Pesticide Active Ingredient Production (40 CFR part 63, subpart MMM) (Renewal)

1(b)  Short Characterization/Abstract

The National Emission Standards for Hazardous Air Pollutants (NESHAP) Pesticide Active Ingredient Production were promulgated on June 23, 1999 (64 FR 33550).  This standard applies to all owners and operators of new and existing facilities engaged in the production of pesticide active ingredients that emit hazardous air pollutants (HAPs).

Owners or operators of a pesticide active ingredient (PAI) production facility to which this regulation applies, must choose one of the compliance options described in the rule or install and monitor a specific control system that reduces HAP emissions to the compliance level.  The respondents are subject to sections of subpart A of 40 CFR part 63 relating to NESHAP.  These requirements include: those associated with the applicability determination; the notification that the facility is subject to the rule; the notification of testing (control device performance test and continuous monitoring system (CMS) performance evaluation); the results of performance testing and CMS performance evaluations; startup, shutdown, and malfunction report; semiannual or quarterly summary reports and/or excess emissions and CMS performance reports.  In addition to the requirements of subpart A, many respondents are required to submit  precompliance plan and leak detention and repair (LDAR) reports; and plants that wish to implement emissions averaging provisions must submit an emission averaging plan.

Respondents electing to comply with the emission limit or emission reduction requirements for process vents, storage tanks, or wastewater must record the values of equipment operating parameters as specified in section 63.1367 of the rule.  Owners or operators are required to install, operate, and maintain a continuous monitoring system.

If the owner or operator identifies any deviation resulting from a known cause for which no federally approved or promulgated exemption from an emission limitation or standard applies, the compliance report will also include all records that the source is required to maintain that pertain to the periods during which such deviation occurred, as well as the following: the magnitude of each deviation; the reason for each deviation; a description of the corrective action taken for each deviation, including action taken to minimize each deviation and action taken to prevent recurrence; and a copy of all quality assurance activities performed on any element of the monitoring protocol.

Owners or operators of PAI production facilities subject to the rule must maintain a copy of all monitored equipment operating parameter values that demonstrate compliance with the standards.  Those records must be maintained for a minimum of five years.  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.  The information is used to determine whether or not all sources subject to the NESHAP are achieving the standards.

Approximately 88 sources are currently subject to the regulation, and it is estimated that an additional two sources per year will become subject to the regulation in the next three years and that one existing source will be reconstructed.  The cost of this Information Collection Request (ICR) will be $1,542,049.

In the development of this ICR, we addressed the Office of Management and Budget (OMB) (Terms of Clearance( (TOC) on the active ICR which states:

This collection is approved for three years.  Prior to next submitting the collection to OMB for revision of extension, EPA should review the burden estimates to ensure that they are accurate.

EPA has addressed the item of concern in the TOC as instructed by OMB in the previous ICR, and has reviewed the burden estimates for accuracy.

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, 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.  In addition, section 114(a) states that the Administrator may require any owner or 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 PAI 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 MMM.

2(b)  Practical Utility/Users of the Data

The control of emissions of HAPs from pesticide active ingredient production facilities requires not only the installation of properly designed equipment, but also the operation and maintenance of that equipment.  Emissions of HAPs from pesticide active ingredient production facilities are the result of operation of the affected facilities.  The subject standards are achieved by the reduction of HAP emissions using control technology and leak detection and repair procedures.  The notifications required in the applicable regulations 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 ensure that the pollution control devices are properly installed and operated, that leaks are being detected and repaired, and that the regulations are being met.  Performance test reports are needed as these are the Agency's records of a source's initial capability to comply with the emission standards, and serve as a record of the operating conditions under which compliance was achieved.  The semiannual reports are used for problem identification, as a check on source operation and maintenance, and for compliance determinations.

The information generated by the monitoring, recordkeeping and reporting requirements described in this ICR is used by the Agency to ensure that facilities affected by the NESHAP continue to operate the control equipment in compliance with the regulation.  Adequate monitoring, recordkeeping, and reporting are necessary to ensure compliance with the applicable regulations as required by the Clean Air Act.  The information collected from recordkeeping and reporting requirements is also used for targeting inspections, and is of sufficient quality to be used as evidence in court.

3.  Nonduplication, Consultations, and Other Collection Criteria

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

subpart MMM.

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 a 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 (69 FR 29718) on May 25, 2004.  No comments were received on the burden published in the Federal Register

3(c)  Consultations

For this information collection, we referenced the most recent ICR, and accessed the most recent data available on the Air Facility System (AFS) database as maintained by the Office of Compliance.  We reviewed information available from the Office of Compliance Sector Notebook (Profile of the Agricultural Chemical, Pesticide, and Fertilizer Industry,( the United States Census Bureau, and other websites covering pesticide active ingredient production.  We consulted with the EPA(s Office of Air Quality Planning and Standards, Information Transfer, the Program Integration Division, and Mr. John Habazin, Neville Chemical Company,

(412) 331-4200.

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 likelihood of detecting poor operation and maintenance of control equipment and noncompliance would decrease.

3(e)  General Guidelines

None of these reporting or recordkeeping requirements violate any of the regulations established by OMB at 5 CFR 1320.5.

These standards require affected facilities 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 record(s retention requirement is consistent with Part 70 permit programs and the five-year statute of limitations on which the permit program is based.  Also, the retention of records for five years would allow EPA to establish the compliance history of a source and any pattern of compliance for purposes of determining the appropriate level of enforcement action.  Historically, EPA has found that the most flagrant violators frequently have violations extending beyond the five years.  EPA would be prevented from pursuing the worst violators due to the destruction or nonexistence of records if records were retained for less than five years.

3(f)  Confidentiality

Any information submitted to the Agency for which 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 40000, September 8, 1978; 43 FR 42251,

September 20, 1978; 44 FR 17674, March 23, 1979).

3(g)  Sensitive Questions

None of the reporting or recordkeeping requirements contain sensitive questions.

4.  The Respondents and the Information Requested

4(a)  Respondents/SIC Codes

The respondents to the recordkeeping and reporting requirements are pesticide active ingredient production facilities.  The United States Standard Industrial Classification (SIC) codes for the respondents affected by the standards, which corresponds to The North American Industry Classification System (NAICS) codes, are listed below for source category description.

Standard (40 CFR Part 63, Subpart MMM)

SIC Codes

NAICS Codes

Petrochemical Manufacturing

2869

325110

All Other Basic Inorganic Chemical Manufacturing

2869

325188

Cyclic Crude and Intermediate Manufacturing

2869

325192

Ethyl Alcohol Manufacturing

2869

325193

All Other Basic Organic Chemical Manufacturing

2869

325199

Industrial Gas Manufacturing

2869

325120

All Other Miscellaneous Chemical Production and Preparation Manufacturing

2869

325998

Pesticide and Other Agricultural Chemical Manufacturing

2879

325320

4(b)  Information Requested

None of these reporting or recordkeeping requirements violate any of the regulations established by OMB at 5 CFR 1320.5.

(i)  Data Items

All data in this ICR that are recorded and/or reported are required by National Emission Standards for Hazardous Air Pollutants - Pesticide Active Ingredient Production (40 CFR

part 63, subpart MMM).

A source must make the following reports:

Notification Reports

Standard Citation by Section

Notification and application of construction and reconstruction

63.5(d) and 63.1368(c)

Initial notification

63.9 and 63.1368(b)

Notification of CMS performance evaluation

63.8(e)(2) and 63.1368(d)

Notification of performance test and test plan

63.7(c) and 63.1368(m)

Request for extension of compliance

63.1364(a)(2) and 63.1368(n)

Precompliance report

63.1368(e)

Request for approval to use alternative monitoring parameters

63.8(f), 63.1366(b)(4), and 63.1368(e)(1)

Notification of compliance status report

63.9(h) and 63.1368(f)

Periodic reports of excess emissions and noncompliance

63.10(e)(3) and 63.1368(g)

Notification of process change

63.1368(h)

Reports

Startup, shutdown, and malfunction reports

63.10(d)(5) and 63.1368(i)

Equipment leaks reports

63.1363(h) and 63.1368(j)

Emissions averaging reports

63.1368(k)

Heat exchange system reports

63.1368(l)

A source must keep the following records:

Recordkeeping

Control device operating parameters to monitor and record

63.1366(b)(1), 63.1367(b)(1), and 63.1367(b)(5)

Monitoring and records for process vent annual emission

limits standard

63.10(c), 63.1366(b)(5), 63.1367(a)(4), and 63.1367(b)(3)

Monitoring and records for process vent annual emission

limits standard

63.1366(c) and 63.1367(b)(4)

Monitor and record for equipment leaks

63.1366(d) and 63.1367(c)

Monitoring and records for heat exchanger systems

63.1362(f), 63.1366(e), and 63.1367(e)

Monitoring and records for pollution prevention

63.1366(f) and 63.1367(b)(2)

Monitoring and records for emissions averaging

63.1366(g) and 63.1367(d)

Records of process operating parameters

63.1367(b)(6) and 63.1367(b)(7)

Applicability determinations

63.10(b)(3) and 63.1367(a)(2)

Startup, shutdown, and malfunction plan

63.6(e)(3) and 63.1367(a)(3)

Application for approval of construction or reconstruction

63.5(d) and 63.1367(a)(5)

Records for vapor collection systems and closed-vent systems

63.1367(f)

Electronic Reporting

Currently, sources are using monitoring equipment that provides automated parameter data, e.g., reduction requirements for process vents, storage tanks or wastewater.  Although personnel at the affected facility must evaluate the data, this type of monitoring equipment has significantly reduced the burden associated with monitoring and recordkeeping.  In addition, some regulatory agencies are setting up electronic reporting systems to allow sources to report electronically which is reducing the reporting burden.  However, electronic reporting systems are still not widely used by the regulatory agencies.  It is estimated that approximately 20 percent of the respondents use electronic reporting.

(ii)  Respondent Activities

Respondent Activities

Read instructions.

Install, calibrate, maintain, and operate CMS.

Perform initial performance test, Reference Methods 18, 25A, 301 and 1818 test, and repeat performance tests if necessary.

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 instructions

and requirements.

Train personnel to be able to respond to a collection of information.

Transmit, or otherwise disclose the information.

Currently, sources are using automated monitoring equipment that provides parameter data.  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

Observe initial performance tests and repeat performance tests if necessary.

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 Air Facility System (AFS).

5(b)  Collection Methodology and Management

Following notification of startup, the reviewing authority might 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 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 the AFS which is operated and maintained by EPA's Office of Compliance.  AFS is EPA(s database for the collection, maintenance, and retrieval of compliance data for approximately 125,000 industrial and government-owned facilities.  EPA uses the AFS 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 or operator for

five years.

5(c)  Small Entity Flexibility

A majority of the affected facilities are large entities (e.g., 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 requirements the minimum 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 Industry Burden for NESHAP - Pesticide Active Ingredient Production (40 CFR part 63, subpart MMM).

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 burdens under the Paperwork Reduction Act.  Where 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 24,164 (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	$95.32   ($45.39 + 110%)

Technical	$64.60   ($30.76 + 110%)

Clerical	$40.09   ($19.09 + 110%)

These rates are from the United States Department of Labor, Bureau of Labor Statistics, December, 2003, (Table 10. Private industry, 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 Costs

The types of industry cost associated with the information collection activities in the subject standards 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 cost when a facility becomes subject to the regulation.  The annual operation and maintenance costs are the ongoing costs to maintain the monitors and other costs such as photocopying and postage.

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

All existing sources are in compliance and, therefore, no capital cost has been attributed to them.  However, there will still be O&M costs associated with CMS.

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

(A)

Continuous Monitoring Device

(B)

Capital/Startup Cost for One Respondent

(C)

Number of New Respondents

(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)

Performance tests

$52,2001

3

$156,600

$1,325

88

$116,600

Wastewater CMS

$10,690

3

$32,070

CMS cost for process vents

$15,920

3

$47,760

Total

$236,430

$116,600

 	1 Owners and operators are required to run two tests to complete the process vent performance test for each facility.  Each run will cost $26,100 for a total of $52,200 per test.

The total capital/startup costs for this ICR are $236,000 (rounded).  This is the total of column D in the above table.  These costs are shown on the OMB 83-I form in block 14(a), Total annualized capital/startup costs.

The total operation and maintenance costs for this ICR are $117,000 (rounded).  This is the total of column G.  These costs are shown on the OMB 83-I form in block 14(b), Total annual costs (O&M).

The total respondent costs in block 14 have been calculated as the addition of the capital/startup costs, and the annual operation and maintenance costs.  The average annual cost for capital/startup and operation and maintenance cost to industry over the next three years of the ICR is estimated to be $353,000.  This cost is shown on the OMB 83-I form in block 14(c), Total annualized cost requested.  The numbers in block 14 of the OMB 83-I form are rounded to show the cost in thousands of dollars.

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 $50,637.  This cost is based on the average hourly labor rate as follows:

Managerial	$54.66   (GS-13, Step 5, $34.16 x 1.6)

Technical	$40.56   (GS-12, Step 1, $25.35 x 1.6)

Clerical	$21.95   (GS-6, Step 3, $13.72 x 1.6)

These rates are from the Office of Personnel Management (OPM) (2004 General Schedule( which excludes locality rates of pay.  Details upon which this estimate is based appear in

Table 2: Average Annual EPA Burden - NESHAP - Pesticide Active Ingredient Production

(40 CFR part 63, subpart MMM).

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

Based on our research for this ICR, approximately 88 existing sources are currently subject to the standard.  It is estimated that an additional two new sources and one reconstructed source per year will become subject to the standard in the next three years.  Furthermore, the industry is experiencing a 2 percent annual growth rate (i.e., new respondents).

Number of respondents is calculated using the following table which addresses the three years covered by this ICR.

Number of Respondents

Respondents That Submit Reports

Respondents That Do Not Submit Any Reports

Year

(A)

Number of New Respondents 1

(B)

Number of Existing Respondents

(C)

Number of ExistingRespondents That Keep Records but Do Not Submit Reports

(D)

Number of Existing Respondents That Are Also New Respondents

(E)

Number of Respondents

(E=A+B+C-D)

1

3

84

0

1

86

2

3

86

0

1

88

3

3

88

0

1

90

Average

3

86

0

1

88

1 New respondents include sources that have reconstructed.

To avoid double-counting respondents, column D is subtracted.  As shown above, the average Number of Respondents over the three-year period of this ICR is 88.  This number appears on the OMB 83-I form in block 13(a), Number of respondents.

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

Notification of construction/reconstruction

3

1

N/A

3

Notification of process changes

9

1

N/A

9

Notification of anticipated startup

3

1

N/A

3

Notification of actual startup

3

1

N/A

3

Notification of initial performance test

3

1

N/A

3

Notification of initial CMS performance evaluation

3

1

N/A

3

Quarterly reporting

9

4

N/A

36

Semiannual reporting

79

2

N/A

158

Leak detention and repair (LDAR) report

88

2

N/A

176

Emissions averaging plan

8

1

N/A

8

Total

402

The number of Total Annual Responses is 402.  This number is shown on the OMB 83-I form in block 13(b), Total annual responses.

The Total Hours Requested is shown on the OMB 83-I form in block 13(c).  The total annual labor costs are $1,542,049.  The annual labor costs are not shown on the OMB 83-I form. Details regarding these estimates may be found in Table 1. Annual Respondent Burden and Cost, NESHAP - Pesticide Active Ingredient Production (40 CFR part 63, subpart MMM).

The total annual capital/startup and O&M costs to the regulated entities are $353,000. This number is shown on the OMB 83-I form in block 14(c), Total annualized cost requested. The cost calculations are detailed in Section 6(b)(iii), Capital/Startup vs. Operation and Maintenance (O&M) Costs.

6(e)  Bottom Line Burden Hours 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, respectively, and summarized below.

(i) Respondent Tally

The Total Hours Requested are shown on the OMB 83-I form in block 13(c).  The total annual labor costs are $1,542,049.  The annual labor costs are not shown on the OMB 83-I form. Details regarding these estimates may be found in Table 1. Annual Respondent Burden and Cost, NESHAP - Pesticide Active Ingredient Production (40 CFR part 63, subpart MMM) attached.  Furthermore, the annual public reporting and recordkeeping burden for this collection of information are estimated to average 60 (rounded) hours per response.

The total annual capital/startup and O&M costs to the regulated entity are $353,000.  This number is shown on the OMB 83-I form in block 14(c), Total annualized cost requested.  The cost calculations are detailed in Section 6(b)(iii), Capital/Startup vs. Operation and Maintenance (O&M) Costs.

(ii) The Agency Tally

The average annual Agency burden and cost over next three years are estimated to be 1,265 labor hours at a cost of $50,637.  See Table 2. Annual Agency Burden and Cost, NESHAP - Pesticide Active Ingredient Production (40 CFR Part 63, Subpart MMM) attached.

6(f)  Reasons for Change in Burden

The decrease in burden hours from the most recently approved ICR is due to an adjustment.  Change in the burden for the existing facilities is due primarily to an assumption that they are in compliance with the initial requirements of the rule since the previous ICR covers the first three years prior to the compliance date of the rule.  To achieve compliance the respondents incurred initial expenses they no longer have.

In addition, this assumption resulted in a significant reduction in capital/startup cost since CMS monitors are assumed to be purchased during the period of the active ICR which is a one time cost.  The Operation and Maintenance (O&M) Costs increased slightly due to an increase in the number of sources.

6(g)  Burden Statement

The annual public reporting and recordkeeping burden for this collection of information are estimated to average 60 (rounded) hours per response.  Burdens 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(s 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 suggested methods for minimizing a respondent burden, including the use of automated collection techniques, EPA has established a public docket for this ICR under Docket ID Number OECA-2004-0007, which is available for public viewing at the Enforcement and Compliance Docket and Information Center in the EPA Docket Center (EPA/DC), EPA West, Room B102, 1301 Constitution Avenue, NW, Washington, D.C.  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 (202) 566-1744, and the telephone number for the Enforcement and Compliance Docket and Information Center Docket is<PHONE_NUMBER>.  An electronic version of the public docket is available through EPA Dockets (EDOCKET) at http://www.epa.gov/edocket.  Use EDOCKET 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 the Docket ID Number identified above.  Also, you can send comments to the Office of Information and Regulatory Affairs, Office of Management and Budget,

725 17th Street, NW, Washington, D.C. 20503, Attention: Desk Officer for EPA.  Please include EPA Docket ID Number OECA-2004-0007 and OMB Control Number 2060-0370 in any correspondence.

Part B of the Supporting Statement

This part is not applicable because no statistical methods were used in collecting

this information.

Table 1:  Annual Respondent Burden and Cost - NESHAP for Pesticide Active Ingredient Production (40 CFR part 63,

subpart MMM)

	Burden item

	(A)

Person-

hours per

occurrence

(B)

No.  of

occurrences

per respondent

per year

(C)

Person-

hours per

respondent

per year

(C=AxB)

(D)

Respondents

per year

(E)

Technical

person-

hours per

year

(E=CxD)

(F)

Management

person-hours per

year

(Ex0.05)

(G)

Clerical

person-

hours per year

(Ex0.1)

(H)

Total Cost

Per Year  a

1.  Applications

N/A

2.  Survey and Studies

N/A

3.  Reporting Requirements

   A.  Read instructions

2

1

2

2b

4

0.2

0.4

$293.50

   B.  Required Activities

     Performance evaluation test

     (certification of CMS)

13

6

78

2c

156

7.8

15.6

$11,446.50

   C.  Create information

Included in 3E

   D.  Gather existing information

Included in 3E

   E.  Write Report

     Notification of                                 construction/reconstruction

2

1

2

3b,d

6

0.3

0.6

$440.25

     Notification of process                    changes

8

1

8

9e

72

3.6

7.2

$5,283.00

     Notification of anticipated              startup

2

1

2

3b,d

6

0.3

0.6

$440.25

     Notification of actual startup

2

1

2

3b,d

6

0.3

0.6

$440.25

     Notification of applicability of        the standard

     - Existing source

     - New source

2

2

1

1

2

2

0f

3b,d

0

6

0

0.3

0

0.6

$0

$440.25

     Precompliance plan

40

1

40

2g

80

4

8

$5,870.00

     Notification of initial                       performance test

2

1

2

3h

6

0.3

0.6

$440.25

     Notification of initial CMS             performance evaluation

2

1

2

3b,d

6

0.3

0.6

$440.25

     Notification of compliance             status

     - With performance test

     - Without performance test

80

120

1

1

80

120

3i

0j

240

0

12

0

24

0

$17,610.00

$0

   F.  Write periodic report                    -  Quarterly reporting

     -  Semiannual reporting

     -  LDAR reporting

     -  Emissions averaging plan

24

8

94

40

4

2

2

1

96

16

188

40

9k

79l

88m

9n

864

1,264

16,544

360

43.2

63.2

827.2

18

86.4

126.4

1,654.4

36

$63,396.00

$92,746.00

$1,213,916.00

$26,415.00

4.  Recordkeeping Requirements

A.  Read instructions

Included in 3A

B.  Plan activities

N/A

C.  Implement activities

N/A

D.  Develop record system

40

1

40

2o

80

4

8

$5,870.00

E.  Develop startup, shutdown,            and malfunction plans

100

1

100

2p

200

10

20

$14,675.00

F.  Develop QA/QC plan for                CMS

40

1

40

2q

80

4

8

$5,870.00

G.  Time to enter information

     -  Records of startup,                          shutdown, and malfunction

     Records of CMS data

     -  Record continuously                        monitored parameters

     -  Enter/verify information

         for semiannual reports

1.5

1

16

52

320

2

78

320

32

2r

2s

2t

156

640

64

7.8

32

3.2

15.6

64

6.4

$11,446.50

$46,960.00

$4,696.00

F.  Calibration of CMS

48

1

48

2u

96

4.8

9.6

$7,044.00

G.  Time to train personnel

40

1

40

2

80

4

8

$5,870.00

H.  Time for audits

N/A

Subtotal Labor Burden

21,016

1,050.8

2,097.61

$1,542,049.00

TOTAL LABOR  BURDEN AND COST (rounded)

24,164

$1,542,049

Assumptions:

a  This ICR uses the following labor rates: $95.32 per hour for Executive, Administrative, and Managerial labor; $64.60 per hour for Technical labor, and $40.09 per hour for Clerical labor.  These rates are from the United States Department of Labor, Bureau of Labor Statistics, December, 2003, (Table 10. Private industry, by occupational and industry group.(

b  Assume that there will be 2 percent growth per year, which will equate to two new facilities that will be built per year over the three year period of this ICR.

c  Assume that all new sources are required to report the performance evaluation test (continuous monitoring system certification).

d  Assume that one existing facility will be reconstructed each year.

e  Assume that 10 percent of existing facilities will implement process changes.

f  Assume that rule only applies to new sources and reconstructed facilities.

g  Assume 50 percent of new or reconstructed facilities will submit a precompliance report with their notification of construction/reconstruction.

h  Assume that 90 percent of new and reconstructed facilities will conduct a performance test.

i  Assume that 90 percent of facilities will conduct a performance test.  The notification of compliance status includes the report of the performance test and the CMS performance evaluation.

j  Assume that 10 percent of facilities will comply by submitting engineering calculations, design calculations and report of CMS performance evaluation.

k  Assume 10 percent of facilities will have exceedances and periods of noncompliance.

l  Assume 90 percent of facilities will have no exceedances.

m  Assume that it will take ninety-four hours to write a leak detention and repair (LDAR) report.

n  Assume that 10 percent of existing facilities will comply with emissions averaging requirements.  New sources are not allowed to use emissions averaging.

o  Assume it will take forty hours to develop a record system for recording parameter monitoring information.

p  Assume one person would require 80 hours to draft the startup, shutdown, and malfunction plan and another twenty hours to review/revisions for a total

of 100 hours.

r   Assume it will take 1.5 hours to record startup, shutdown, and malfunction information.

s  Assume it will take one hour to record continuously monitored parameters.

t  Assume it will take sixteen hours to enter/verify information for semiannual report.

u  Assume that it will take 48 hours for the calibration of the continuous monitoring system (CMS) to be completed.

Table 2:  Average Annual EPA Burden - NESHAP for Pesticide Active Ingredient Production (40 CFR part 63, subpart MMM)

	Burden Item

(A)

Person

Hours Per

Occurrence

(B)

Number  of

Occurrences

Per Plant

Per Year

(C)

Person Hours Per Plant Per

Year

(C=AxB)

(D)

Plants Per  Year

(E)

Technical Hours

Per Year

(E=CxD)

	(F)

Management   Hours Per Year

(F=0.05xE)

(G)

Clerical

Hours Per

Year

(G=0.1xE)

(H)

Total a

Costs,

Per Year

Initial Performance Test

40

1

40

2b

80

4

8

$3,639.04

Repeat performance test

40

1

40

0c

0

0

0

$0

Performance evaluation test (certification of CMS)

2

1

2

1d

2

0.1

0.2

$90.98

Report Review

   Notification of applicability

2

2

4

2b

8

0.4

0.8

$363.90

   Notification of construction         and reconstruction

2

1

2

3b,e

6

0.3

0.6

$272.93

   Notification of anticipated           startup

2

1

2

3b,e

6

0.3

0.6

$272.93

   Notification of actual startup

2

1

2

3b,e

6

0.3

0.6

$272.93

   Notification of process                changes

8

1

8

9f

72

3.6

7.2

$3,275.14

   Review of precompliance            report

4

1

4

1g

4

0.2

0.4

$181.95

   Notification of performance        test

2

1

2

3b,e

6

0.3

0.6

$272.93

   Notification of CMS                    performance evaluation

2

1

2

3b,e

6

0.3

0.6

$272.93

   Review of notification of             compliance status

     -  With performance test

     -  Without performance test

40

40

1

0

40

0

  3b,e,h

0i

120

0

6

0

12

0

$5,458.56

$0

   Review of emission averaging     plan

20

1

20

9f

180

9

18

$8,187.84

   Review of semiannual

2

2

4

79j

316

15.8

31.6

$14,374.21

   Review of quarterly reports

8

4

32

9f

288

14.4

28.8

$13,100.54

   Review of NESHAP waiver        application

N/A

Subtotal

1,100

55

110

$50,036.81

Travel Expenses

 (1 person x 2 plant/yr x 2 day/plant x $50 per diem) + ($400/round trip x 1 round trip/yr) =                                   $600.00

TOTAL LABOR BURDEN and COST (rounded)

1,265

$50,637

Assumptions:

a   This cost is based on the following hourly labor rates times a 1.6 benefits multiplication factor to account for government overhead expenses: $54.66 for Managerial (GS-13, Step 5, $34.16 x 1.6), $40.56 for Technical (GS-12, Step 1, $25.35 x 1.6) and $21.95 Clerical (GS-6, Step 3, $13.72 x 1.6).  These rates are from the Office of Personnel Management (OPM) (2004 General Schedule( which excludes locality rates of pay.

b  Assume that there will be 2 percent growth per year, which will equate to two new facilities that will be built per year over the three year period of this ICR.

c  Assume that 5 percent of new facilities will repeat performance test.

d  Assume EPA personnel will attend 10 percent of these performance evaluation tests.

e  Assume that one existing facility will be reconstructed each year.

f  Assume 10 percent of existing facilities will require process changes over the three year period of this ICR.

g  Assume 50 percent of new facilities will submit a precompliance report.

h  Assume 90 percent of all new sources will conduct a performance test that covers the reviewing of compliance status report.

i  Assume 10 percent of facilities will comply by submitting engineering calculations, design calculations and report of CMS performance evaluation.

j  Assume 90 percent of facilities will have no exceedances.

 PAGE  22


Comment Info: =================

General Comment:Dear Mr. Zeller:

I am writing as an individual consumer to request an extension of the comment period for the Food and Drug Administration's ("FDA") Proposed Rule Deeming Tobacco Products to be Subject to the Federal Food, Drug, and Cosmetic Act, as amended by the Family Smoking and Prevention and Tobacco Control Act (the "Proposed Rule") published at 79 Fed. Reg. 23,142 and Federal Register No. 2014-09491. On behalf of myself, I am requesting that the comment period for the Proposed Rule be extended by the FDA for an additional 105 days, from its current 75-day period, to 180 days.

The Proposed Rule raises a number of significant issues and questions that are important and relevant to me, as a consumer of products that are proposed for regulation under the Proposed Rule. The Proposed Rule asks about a hundred different questions I might want to respond to. I want to provide my thoughts and comments on many of these issues, but my time to devote to researching and providing thoughtful comments on these important questions is limited. I have already spent many hours researching and dissecting these issues, but they take time. I know that the FDA took many years to even come up with the Proposed Rule, so I do not think it is at all unreasonable to allow the public a mere six months to comment on it. This is our only opportunity, as consumers, to provide our feedback.

I feel very strongly about e-cigarettes as an alternative to combustible cigarettes. Quite simply, I firmly believe that they saved my life. I wish to provide you with my personal story so that you can take my comment into account. I was a pack a day smoker for over 15 years.  I have tried various smoking cessation products but they were ineffective.  In March of 2013, I found e-cigarettes and have not looked back.  Now, more than a year later I am smoke free.  I realize that the FDA has the authority under 21 CFR 10.40 to extend this time frame and that the FDA has exercised this authority on numerous occasions in the past. I would therefore ask that you do so here, so that all stakeholders have the opportunity to provide their comments on this proposed regulation.

I appreciate your consideration of my request and am happy to discuss this issue with you further.


[Federal Register: October 4, 2007 (Volume 72, Number 192)]
[Notices]
[Page 56808-56811]
[DOCID:fr04oc07-114]

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SECURITIES AND EXCHANGE COMMISSION

[Investment Company Act Release No. 28008; 812-13232]

Fidelity Rutland Square Trust, et al.; Notice of Application

September 28, 2007.
AGENCY: Securities and Exchange Commission (``Commission'').

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

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Summary of the Application: Applicants request an order to permit
certain registered open-end management investment companies to acquire
shares of other registered open-end management investment companies and
unit investment trusts that are within and outside the same group of
investment companies.

Applicants: Fidelity Management & Research Company (``FMR''), Fidelity
Management Trust Company (``FMTC''), Strategic Advisers, Inc. (``SAI'')
(collectively, the ``Adviser''); Fidelity Distributors Corporation
(``FDC'') and National Financial Services LLC (``NFS'') (collectively,
the ``Distributor''); and Fidelity Rutland Square Trust (the
``Trust'').

Filing Dates: The application was filed on September 6, 2005, and
amended on September 27, 2007.

Hearing or Notification of Hearing: An order granting the application
will be issued unless the Commission orders a hearing. Interested
persons may request a hearing by writing to the Commission's Secretary
and serving applicants with a copy of the request, personally or by
mail. Hearing requests should be received by the Commission by 5:30
p.m. on October 23, 2007, and should be accompanied by proof of service
on applicants in the form of an affidavit or, for lawyers, a
certificate of service. Hearing requests should state the nature of the
writer's interest, the reason for the request, and the issues
contested. Persons who wish to be notified of a hearing may request
notification by writing to the Commission's Secretary.

ADDRESSES: Secretary, Securities and Exchange Commission, 100 F Street,
NE., Washington, DC 20549-1090; Applicants, 82 Devonshire Street,
Boston, MA 02109.

FOR FURTHER INFORMATION CONTACT: Christine Y. Greenlees, Senior
Counsel, at<PHONE_NUMBER>, or Michael W. Mundt, Assistant Director, at
(202) 551-6821 (Office of Investment Company Regulation, Division of
Investment Management).

SUPPLEMENTARY INFORMATION: The following is a summary of the
application. The complete application may be obtained for a fee at the
Commission's Public Reference Desk, 100 F Street, NE., Washington, DC
20549-0102 (telephone<PHONE_NUMBER>).

Applicants' Representations

    1. The Trust is a statutory trust organized under the laws of the
state of Delaware and is registered under the Act as an open-end
management investment company. The Trust currently offers three series
that intend to rely on the relief requested by the application: PAS
Small Cap Fund of Funds, PAS International Fund of Funds, and PAS U.S.
Opportunity Fund of Funds (``PAS Funds,'' and each a ``Fund of
Funds'').\1\ Each PAS Fund operates as a fund of funds and has its own
distinct investment objectives, policies and restrictions.
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    \1\ Applicants request that the order extend to each registered
open-end management investment company or series thereof that is
part of the same group of investment companies, as defined in
section 12(d)(1)(G)(ii) of the Act as the Trust (each included in
the term ``Fund of Funds'') and advised by the Adviser or any
investment adviser controlling, controlled by, or under common
control with the Adviser (each included in the term ``Adviser'').
Each existing registered open-end management investment company that
currently intends to rely on the order is named as an applicant. Any
other existing or future registered open-end management investment
company that subsequently relies on the order will do so only in
accordance with the terms and conditions of the application.
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    2. SAI currently serves as the investment adviser to each PAS Fund.
FMR and SAI are investment advisers registered under the Investment
Advisers Act of 1940 (the ``Advisers Act''). FMTC is a ``bank'' within
the meaning of section 202(a)(2) of the Advisers Act and, accordingly,
is exempt from registration under the Advisers Act. Any future Adviser
will be registered under the Advisers Act or exempt from registration.
Each of FMR, FMTC, and SAI is a direct or indirect subsidiary of FMR
Corp., a Massachusetts corporation. FDC and NFS are broker-dealers
registered under the Securities Exchange Act of 1934 (``Exchange
Act''). Each of FDC and NFS is a direct or indirect subsidiary of FMR
Corp. FDC is currently the distributor of the PAS Funds.
    3. Applicants request relief to permit: (a) A Fund of Funds to
acquire shares of registered open-end management investment companies
that are not part of the same ``group of investment companies'' (as
defined in section 12(d)(1)(G)(ii) of the Act) as the Fund of Funds
(the ``Non-Affiliated Investment Companies'') and unit investment
trusts (``UITs'') that are not part of the same group of investment
companies as the Fund of Funds (``Non-Affiliated Trusts,'' and together
with the Non-Affiliated Investment Companies, the ``Non-Affiliated
Underlying Funds''); (b) the Non-Affiliated Underlying Funds, their
principal underwriter and brokers and dealers registered under the
Exchange Act (``Brokers'') to sell such shares to the Fund of Funds;
(c) a Fund of Funds to acquire shares of certain other registered open-
end management investment companies advised by the Adviser or series
thereof and that are part of the same ``group of investment companies''
(as defined in section 12(d)(1)(G)(ii) of the Act) as the Fund of Funds
(``Affiliated Underlying Funds,'' and together with the Non-Affiliated
Underlying Funds, the ``Underlying Funds''); and (d) the Affiliated
Underlying Funds, their principal underwriter and Brokers to sell such
shares to the Fund of Funds.\2\ Certain of the Non-Affiliated
Underlying Funds

may be registered under the Act as either UITs or open-end management
investment companies and have received exemptive relief to permit their
shares to be listed and traded on a national securities exchange at
negotiated prices (``ETFs''). Each Fund of Funds also may invest in
stocks, bonds, money market instruments and other securities and
financial instruments that are consistent with its investment
objective.
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    \2\ With regard to purchases of shares of Non-Affiliated
Underlying Funds, the requested order would apply to purchases made
by a Fund of Funds only to the extent that the Fund of Funds could
not rely on the provisions of section 12(d)(1)(F) of the Act.
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Applicants' Legal Analysis

A. Section 12(d)(1)

    1. Section 12(d)(1)(A) of the Act prohibits a registered investment
company from acquiring shares of an investment company if the
securities represent more than 3% of the total outstanding voting stock
of the acquired company, more than 5% of the total assets of the
acquiring company, or, together with the securities of any other
investment companies, more than 10% of the total assets of the
acquiring company. Section 12(d)(1)(B) of the Act prohibits a
registered open-end investment company, its principal underwriter and
any broker or dealer from selling the shares of the investment company
to another investment company if the sale will cause the acquiring
company to own more than 3% of the acquired company's voting stock, or
if the sale will cause more than 10% of the acquired company's voting
stock to be owned by investment companies generally.
    2. Section 12(d)(1)(J) of the Act provides that the Commission may
exempt any person, security, or transaction, or any class or classes of
persons, securities or transactions, from any provision of section
12(d)(1) if the exemption is consistent with the public interest and
the protection of investors. Applicants seek an exemption under section
12(d)(1)(J) of the Act to permit the Funds of Funds to acquire shares
of the Underlying Funds and to permit the Underlying Funds, their
principal underwriter and Brokers to sell shares to the Funds of Funds
beyond the limits set forth in sections 12(d)(1)(A) and (B) of the Act.
    3. Applicants state that the proposed arrangement will not give
rise to the policy concerns underlying sections 12(d)(1)(A) and (B),
which include concerns about undue influence by a fund of funds over
underlying funds, excessive layering of fees, and overly complex fund
structures. Accordingly, applicants believe that the requested
exemption is consistent with the public interest and the protection of
investors.
    4. Applicants state that the proposed arrangement will not result
in undue influence by a Fund of Funds or its affiliated persons over
the Non-Affiliated Underlying Funds. The concern about undue influence
does not arise in connection with a Fund of Funds' investment in the
Affiliated Underlying Funds, since they are part of the same group of
investment companies. To limit the control that a Fund of Funds may
have over a Non-Affiliated Underlying Fund, applicants propose a
condition prohibiting: (a) The Adviser and any person controlling,
controlled by or under common control with the Adviser, any investment
company or issuer that would be an investment company but for section
3(c)(1) or section 3(c)(7) of the Act, advised or sponsored by the
Adviser or any person controlling, controlled by or under common
control with the Adviser (collectively, the ``Group''), and (b) any
investment adviser to a Fund of Funds within the meaning of section
2(a)(20)(B) of the Act (``Subadviser''), any person controlling,
controlled by or under common control with the Subadviser, and any
investment company or issuer that would be an investment company but
for section 3(c)(1) or 3(c)(7) of the Act (or portion of such
investment company or issuer) advised or sponsored by the Subadviser or
any person controlling, controlled by or under common control with the
Subadviser (collectively, the ``Subadviser Group'') from controlling
(individually or in the aggregate) a Non-Affiliated Underlying Fund
within the meaning of section 2(a)(9) of the Act.
    5. Applicants further state that condition 2 below precludes a Fund
of Funds and its Adviser, Subadviser, promoter, principal underwriter
and any person controlling, controlled by or under common control with
any of these entities (each, a ``Fund Affiliate'') from causing any
existing or potential investment by the Fund of Funds in a Non-
Affiliated Underlying Fund to influence the terms of any services or
transactions between the Fund of Funds or a Fund Affiliate and the Non-
Affiliated Underlying Fund or its investment adviser(s), sponsor,
promoter, principal underwriter and any person controlling, controlled
by or under common control with any of these entities (each, a ``Non-
Affiliated Fund Affiliate''). Non-Affiliated Underlying Funds will be
prohibited from purchasing a security in an offering of securities
during the existence of any underwriting or selling syndicate of which
a principal underwriter is an officer, director, member of an advisory
board, Adviser, Subadviser, or employee of the Fund of Funds, or a
person of which any such officer, director, member of an advisory
board, Adviser, Subadviser, or employee is an affiliated person (each,
an ``Underwriting Affiliate,'' except any person whose relationship to
the Non-Affiliated Underlying Fund is covered by section 10(f) of the
Act is not an Underwriting Affiliate). An offering of securities during
the existence of an underwriting or selling syndicate of which a
principal underwriter is an Underwriting Affiliate is an ``Affiliated
Underwriting.''
    6. Applicants also propose a condition that once an investment by a
Fund of Funds in the securities of a Non-Affiliated Investment Company
exceeds the limit in section 12(d)(1)(A)(i) of the Act, the board of
directors or trustees of the Non-Affiliated Investment Company,
including a majority of the independent directors or trustees, will
determine that any consideration paid by the Non-Affiliated Investment
Company to the Fund of Funds or a Fund Affiliate Service Provider \3\
in connection with any services or transactions: (a) Is fair and
reasonable in relation to the nature and quality of the services and
benefits received by the Non-Affiliated Investment Company; (b) is
within the range of consideration that the Non-Affiliated Investment
Company would be required to pay to another unaffiliated entity in
connection with the same services or transactions; and (c) does not
involve overreaching on the part of any person concerned.
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    \3\ A ``Fund Affiliate Service Provider'' is the Adviser, any
Subadviser, promoter or principal underwriter of the Fund of Funds,
and any person controlling, controlled by or under common control
with any of these entities, provided that (i) such person would
reasonably be expected to be in a position to provide services of a
securities-related nature (that is, investment advisory, brokerage,
distribution, transfer agency, administration, participant
recordkeeping or shareholder services) to a Non-Affiliated
Underlying Fund, or (ii) if such person is not described by clause
(i), to the actual knowledge of the Adviser, any Subadviser,
promoter or principal underwriter of the Fund of Funds, such person
currently has or is reasonably expected to begin having a material
business relationship with a Non-Affiliated Underlying Fund.
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    7. To further assure that a Non-Affiliated Investment Company
understands the implications of an investment by a Fund of Funds under
the requested order, prior to a Fund of Funds' investment in a Non-
Affiliated Investment Company in excess of the limit in section
12(d)(1)(A)(i) of the Act, the Fund of Funds and Non-Affiliated
Investment Company will execute an agreement stating, without
limitation,

that their boards of directors or trustees and their investment
advisers understand the terms and conditions of the order and agree to
fulfill their responsibilities under the order (``Participation
Agreement''). Applicants note that a Non-Affiliated Underlying Fund
(other than an ETF whose shares are purchased by a Fund of Funds in the
secondary market) will retain the right to reject an investment from a
Fund of Funds.\4\
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    \4\ A Non-Affiliated Investment Company (including an ETF) would
retain its right to reject any initial investment by a Fund of Funds
in excess of the limits in section 12(d)(1)(A)(i) of the Act by
declining to execute the Participation Agreement with the Fund of
Funds.
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    8. Applicants do not believe that the proposed arrangement will
involve excessive layering of fees. With respect to investment advisory
fees, applicants state that, prior to approving any investment advisory
contract under section 15 of the Act, the board of trustees of the Fund
of Funds (the ``Board''), including a majority of the trustees who are
not ``interested persons,'' as defined in section 2(a)(19) of the Act
(the ``Independent Trustees''), will find that the investment advisory
fees charged under the Fund of Fund's investment advisory contract are
based on services provided that are in addition to, rather than
duplicative of, services provided pursuant to any Underlying Fund's
advisory contract(s). Applicants further state that the Adviser or
Distributor will waive fees otherwise payable to it by a Fund of Funds
in an amount at least equal to any compensation (including fees
received pursuant to any plan adopted by a Non-Affiliated Investment
Company under rule 12b-1 under the Act) received from a Non-Affiliated
Underlying Fund by the Adviser, or an affiliated person of the Adviser,
other than any advisory fees paid to the Adviser or its affiliated
person by the Non-Affiliated Investment Company, in connection with the
investment by the Fund of Funds in the Non-Affiliated Underlying Fund.
Applicants also state that any sales charges and/or service fees, as
defined in Rule 2830 of the Conduct Rules of the NASD (``NASD Conduct
Rule 2830''), charged with respect to shares of a Fund of Funds will
not exceed the limits applicable to a funds of funds set forth in NASD
Conduct Rule 2830.
    9. Applicants state that the proposed arrangement will not create
an overly complex fund structure. Applicants note that an Underlying
Fund will be prohibited from acquiring securities of any investment
company or company relying on section 3(c)(1) or 3(c)(7) of the Act in
excess of the limits contained in section 12(d)(1)(A), except in
certain circumstances identified in condition 10 below. Applicants also
represent that a Fund of Funds' prospectus and sales literature will
contain concise, ``plain English'' disclosure designed to inform
investors about the unique characteristics of the proposed arrangement,
including its expense structure and the additional expenses of
investing in Underlying Funds.\5\
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    \5\ Each Fund of Funds also will comply with the disclosure
requirements concerning the aggregate expenses of investing in
Underlying Funds set forth in Investment Company Act Release No.
27399 (June 20, 2006).
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B. Section 17(a)

    10. Section 17(a) of the Act generally prohibits sales or purchases
of securities between a registered investment company and any
affiliated person of the company. Section 2(a)(3) of the Act defines an
``affiliated person'' of another person to include: (a) Any person
directly or indirectly owning, controlling, or holding with power to
vote, 5% or more of the outstanding voting securities of the other
person; (b) any person 5% or more of whose outstanding voting
securities are directly or indirectly owned, controlled, or held with
power to vote by the other person; and (c) any person directly or
indirectly controlling, controlled by, or under common control with the
other person.
    11. Applicants state that if a Funds of Funds and an Affiliated
Underlying Fund were deemed to be under common control, they would be
affiliated persons of each another. Applicants also state that a Funds
of Funds and an Underlying Fund might be deemed to be affiliated
persons of one another if a Fund of Funds acquires 5% or more of an
Underlying Fund's outstanding voting securities. In light of these
possible affiliations, section 17(a) could prevent an Underlying Fund
from selling shares to and redeeming shares from a Fund of Funds.\6\
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    \6\ Applicants note that a Fund of Funds investing in ETFs
generally would purchase and sell shares of an ETF through secondary
market transactions at market prices rather than through principal
transactions with the Underlying Fund. Applicants would not rely on
the requested relief from section 17(a) for such secondary market
transactions. To the extent that a Fund of Funds purchases or
redeems shares from an ETF that is an affiliated person of the Fund
of Funds in exchange for a basket of specified securities as
described in the application for the exemptive order upon which the
ETF relies, applicants also request relief from section 17(a) for
those transactions.
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    12. Section 17(b) of the Act authorizes the Commission to grant an
order permitting a transaction otherwise prohibited by section 17(a) if
it finds that (a) The terms of the proposed transaction are fair and
reasonable and do not involve overreaching on the part of any person
concerned; (b) the proposed transaction is consistent with the policies
of each registered investment company involved; and (c) the proposed
transaction is consistent with the general purposes of the Act. Section
6(c) of the Act permits the Commission to exempt any person or
transactions from any provision of the Act if such exemption is
necessary or appropriate in the public interest and consistent with the
protection of investors and the purposes fairly intended by the policy
and provisions of the Act.
    13. Applicants submit that the proposed transactions satisfy the
standards for relief under sections 17(b) and 6(c) of the Act as the
terms are fair and reasonable and do not involve overreaching.\7\
Applicants note that the terms upon which an Underlying Fund will sell
its shares to or purchase its shares from a Fund of Funds will be based
on the net asset value of each Underlying Fund. Applicants state that
the proposed arrangement will be consistent with the policies of each
Fund of Funds and Underlying Fund, and with the general purposes of the
Act.
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    \7\ Applicants acknowledge that receipt of any compensation by
(a) An affiliated person of a Fund of Funds, or an affiliated person
of such person, for the purchase by the Fund of Funds of shares of
an Underlying Fund or (b) an affiliated person of an Underlying
Fund, or an affiliated person of such person, for the sale by the
Underlying Fund of its shares to a Fund of Funds is subject to
section 17(e) of the Act. The Participation Agreement also will
include this acknowledgement.
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Applicants' Conditions

    Applicants agree that any order granting the requested relief will
be subject to the following conditions:
    1. The members of the Group will not control (individually or in
the aggregate) a Non-Affiliated Underlying Fund within the meaning of
section 2(a)(9) of the Act. The members of the Subadviser Group will
not control (individually or in the aggregate) a Non-Affiliated
Underlying Fund within the meaning of section 2(a)(9) of the Act. If,
as a result of a decrease in the outstanding voting securities of a
Non-Affiliated Underlying Fund, the Group or the Subadviser Group, each
in the aggregate, becomes a holder of more than 25% of the outstanding
voting securities of a Non-Affiliated Underlying Fund, it will vote its
shares of the Non-Affiliated Underlying Fund in the same proportion as
the vote of all other holders of the Non-Affiliated Underlying Fund's
shares. This condition will not apply to the

Subadviser Group with respect to a Non-Affiliated Underlying Fund for
which the Subadviser or a person controlling, controlled by, or under
common control with the Subadviser, acts as the investment adviser
within the meaning section 2(a)(20)(A) of the Act (in the case of a
Non-Affiliated Investment Company) or as the sponsor (in the case of a
Non-Affiliated Trust).
    2. No Fund of Funds or Fund Affiliate will cause any existing or
potential investment by the Fund of Funds in a Non-Affiliated
Underlying Fund to influence the terms of any services or transactions
between the Fund of Funds or a Fund Affiliate and the Non-Affiliated
Underlying Fund or a Non-Affiliated Fund Affiliate.
    3. The Board of the Fund of Funds, including a majority of the
Independent Trustees, will adopt procedures reasonably designed to
assure that the Adviser and any Subadviser are conducting the
investment program of the Fund of Funds without taking into account any
consideration received by the Fund of Funds or a Fund Affiliate from a
Non-Affiliated Underlying Fund or a Non-Affiliated Fund Affiliate in
connection with any services or transactions.
    4. Once an investment by a Fund of Funds in the securities of a
Non-Affiliated Investment Company exceeds the limit in section
12(d)(1)(A)(i) of the Act, the board of directors or trustees of the
Non-Affiliated Investment Company, including a majority of the
independent directors or trustees, will determine that any
consideration paid by the Non-Affiliated Investment Company to the Fund
of Funds or a Fund Affiliate Service Provider in connection with any
services or transactions: (a) Is fair and reasonable in relation to the
nature and quality of the services and benefits received by the Non-
Affiliated Investment Company; (b) is within the range of consideration
that the Non-Affiliated Investment Company would be required to pay to
another unaffiliated entity in connection with the same services or
transactions; and (c) does not involve overreaching on the part of any
person concerned. This condition does not apply with respect to any
services or transactions between a Non-Affiliated Investment Company
and its investment adviser(s), or any person controlling, controlled
by, or under common control with such investment adviser(s).
    5. No Non-Affiliated Underlying Fund will purchase a security in
any Affiliated Underwriting.
    6. Before investing in a Non-Affiliated Investment Company in
excess of the limit in section 12(d)(1)(A)(i) of the Act, the Fund of
Funds and the Non-Affiliated Investment Company will execute a
Participation Agreement stating, without limitation, that their boards
of directors or trustees and their investment advisers understand the
terms and conditions of the order and agree to fulfill their
responsibilities under the order. At the time of its investment in
shares of a Non-Affiliated Investment Company in excess of the limit in
section 12(d)(1)(A)(i), the Fund of Funds will notify the Non-
Affiliated Investment Company of the investment. At such time, the Fund
of Funds will also transmit to the Non-Affiliated Investment Company a
list of the names of each Fund Affiliate Service Provider. The Fund of
Funds will notify the Non-Affiliated Investment Company of any changes
to the list of names as soon as reasonably practicable after a change
occurs. The Non-Affiliated Investment Company and the Fund of Funds
will maintain and preserve a copy of the order, the Participation
Agreement, and the list with any updated information for the duration
of the investment and for a period of not less than six years
thereafter, the first two years in an easily accessible place.
    7. Before approving any advisory contract under section 15 of the
Act, the Board of the Fund of Funds, including a majority of the
Independent Trustees, will find that the advisory fees charged under
the advisory contract will be based on services provided that will be
in addition to, rather than duplicative of, services provided under the
advisory contract(s) of any Underlying Fund in which the Fund of Funds
may invest. These findings and the basis upon which they are made will
be recorded fully in the minute books of the appropriate Fund of Funds.
    8. The Adviser or Distributor will waive fees otherwise payable to
it by a Fund of Funds in an amount at least equal to any compensation
(including fees received pursuant to any plan adopted by a Non-
Affiliated Investment Company under rule 12b-1 under the Act) received
from a Non-Affiliated Underlying Fund by the Adviser, or an affiliated
person of the Adviser, other than any advisory fees paid to the Adviser
or its affiliated person by the Non-Affiliated Investment Company, in
connection with the investment by the Fund of Funds in the Non-
Affiliated Underlying Fund. Any Subadviser will waive fees otherwise
payable to the Subadviser, directly or indirectly, by the Fund of Funds
in an amount at least equal to any compensation received from a Non-
Affiliated Underlying Fund by the Subadviser, or an affiliated person
of the Subadviser, other than any advisory fees paid to the Subadviser
or its affiliated person by the Non-Affiliated Investment Company, in
connection with the investment by the Fund of Funds in the Non-
Affiliated Underlying Fund made at the direction of the Subadviser. In
the event that the Subadviser waives fees, the benefit of the waiver
will be passed through to the Fund of Funds.
    9. Any sales charges and/or service fees (as defined in NASD
Conduct Rule 2830) charged with respect to shares of a Fund of Funds
will not exceed the limits applicable to a fund of funds set forth in
NASD Conduct Rule 2830.
    10. No Underlying Fund will acquire securities of any investment
company or company relying on section 3(c)(1) or 3(c)(7) of the Act in
excess of the limits contained in section 12(d)(1)(A) of the Act,
except to the extent that such Underlying Fund: (a) Receives securities
of another investment company as a dividend or as a result of a plan of
reorganization of a company (other than a plan devised for the purpose
of evading section 12(d)(1) of the Act); or (b) acquires (or is deemed
to have acquired) securities of another investment company pursuant to
exemptive relief from the Commission permitting such Underlying Fund to
(i) Acquire securities of one or more affiliated investment companies
for short-term cash management purposes, or (ii) engage in interfund
borrowing and lending transactions.

    For the Commission, by the Division of Investment Management,
pursuant to delegated authority.
Florence E. Harmon,
Deputy Secretary.
 [FR Doc. E7-19631 Filed 10-3-07; 8:45 am]

BILLING CODE 8011-01-P


[Federal Register Volume 79, Number 246 (Tuesday, December 23, 2014)]
[Notices]
[Pages 77003-77004]
[FR Doc No: 2014-30090]

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ENVIRONMENTAL PROTECTION AGENCY

[FRL-9920-78-ORD]

Environmental Laboratory Advisory Board (ELAB) Meeting Dates and
Agenda

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice of teleconference and face-to-face meetings.

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SUMMARY: The Environmental Protection Agency's Environmental Laboratory
Advisory Board (ELAB), as previously announced, holds teleconference
meetings the third Wednesday of each month at 1:00 p.m. ET and two
face-to-face meetings each calendar year. For 2015, teleconference only
meetings will be January 21, 2015 at 1:00 p.m. ET; March 18, 2015 at
1:00 p.m. ET; April 15, 2015 at 1:00 p.m. ET; May 20, 2015 at 1:00 p.m.
ET; June 17, 2015 at 1:00 p.m. ET; August 19, 2015 at 1:00 p.m. ET;
September 16, 2015 at 1:00 p.m. ET; October 21, 2015 at 1:00 p.m. ET;
November 18, 2015 at 1:00 p.m. ET; and December 16, 2015 at 1:00 p.m.
ET to discuss the ideas and views presented at the previous ELAB
meetings, as well as new business. Items to be discussed by ELAB over
these coming meetings include: (1) Issues in continuing the expansion
of national environmental accreditation; (2) ELAB support to the Agency
on issues relating to measurement and monitoring for all programs; and
(3) follow-up on some of ELAB's past recommendations and issues. In
addition to these teleconferences, ELAB will be hosting their two face-
to-face meetings with teleconference line also available on February 2,
2015 at the Hyatt Regency Crystal City in Crystal City, VA at 1:00 p.m.
(ET) and on July 13, 2015 at the Hyatt Regency Chicago in Chicago, IL
at 1:00 p.m. (CT).
    Written comments on laboratory accreditation issues and/or
environmental monitoring or measurement issues are encouraged and
should be sent to Ms. Lara P. Phelps, DFO, US EPA (E243-05), 109 T.W.
Alexander Drive, Research Triangle Park, NC 27709 or emailed to
<EMAIL_ADDRESS>Members of the public are invited to listen to the
teleconference calls, and time permitting, will be allowed to comment
on issues discussed during this and previous ELAB meetings.
    Those persons interested in attending should call Lara P. Phelps at
(919) 541-5544 to obtain teleconference information. For information on
access or services for individuals with

disabilities, please contact Lara P. Phelps at the number above,
preferably at least 10 days prior to the meeting, to give EPA as much
time as possible to process your request.

    Dated: December 10, 2014.
Robert Kavlock,
Interim EPA Science Advisor.
[FR Doc. 2014-30090 Filed 12-22-14; 8:45 am]
BILLING CODE 6560-50-P