PAPERWORK REDUCTION ACT SUBMISSION Please read the instructions before completing this form. For additional forms or assistance in completing this form, contact your agency's Paperwork Clearance Officer. Send two copies of this form, the collection instrument to be reviewed, the Supporting Statement, and any additional documentation to: Office of Information and Regulatory Affairs, Office of Management and Budget, Docket Library, Room 10102, 725 17th Street NW Washington, DC 20503.

1. Agency/ Subagency originating request 2. OMB control number b. None EPA/ OAQPS a. B 2 0 6 0 3. Type of information collection ( check one) 4. Type of review requested ( check one)

a. X New collection a. X Regular b. Revision of a currently approved collection b. Emergency  Approval requested by: / /

c. Extension of a currently approved collection c. Delegated d. Reinstatement, without change, of a previously 5. Small entities approved collection for which approval has expired Will this information collection have a significant economic impact on a e. Reinstatement, with change, of a previously substantial number of small entities? Yes X No approved collection for which approval has expired f. Existing collection in use without OMB control 6. Requested expiration date number a. X Three years from approval date For b B f, note Item A2 of Supporting Statement Instructions b. Other Specify: /

7. Title Recordkeeping and Reporting Requirements for the Primary Magnesium Refining NESHAP 8. Agency form number( s) ( if applicable)

2098.02 9. Keywords Environmental protection, Air pollution control, Hazardous substances, Recordkeeping and reporting requirements 10. Abstract Owners or operators of primary magnesium refineries must comply with recordkeeping and reporting requirements of the NESHAP General Provisions ( 40 CFR Part 63, Subpart A) and maintain records of specific information needed by EPA to determine if compliance has been achieved.

11. Affected public 12. Obligation to respond ( Mark primary with " P" and all others that apply with " X") ( Mark primary with " P" and all others that apply with " X")

a. Individuals or households d. Farms a. Voluntary b. P Business or other for profit e. Federal Government b. Required to obtain or retain benefits c. Not for profit institutions f. X State, Local or Tribal c. P Mandatory Government 13. Annual reporting and recordkeeping hour burden 14. Annual reporting and recordkeeping cost burden ( in thousands of dollars)

a. Number of respondents 0.33 a. Total annualized capital/ startup costs 0 b. Total annual responses b. Total annual costs ( O& M) 0 1. Percentage of these responses c. Total annualized cost requested 0 collected electronically 10 % d. Current OMB inventory 0 c. Total annual hours requested 731 e. Difference 0 d. Current OMB inventory 0 f. Explanation of difference e. Difference 731 1. Program change f. Explanation of difference 2. Adjustment 1. Program change 731 2. Adjustment 15. Purpose of information collection 16. Frequency of recordkeeping or reporting ( check all that apply)

( Mark primary with " P" and all others that apply with " X") a. X Recordkeeping b. Third party disclosure a. Application for benefits e. Program planning or c. X Reporting b. Program evaluation management 1. On occasion 2. Weekly c. General purpose statistics f. Research 3. Monthly 4. Quarterly d. Audit g. P Regulatory or compliance 5. X Semi annually 6. Annually compliance 7. Biennially 8. Other ( describe)

17. Statistical methods 18. Agency contact ( person who can best answer questions regarding the Does this information collection employ statistical methods? content of this submission)

Yes X No Name: Lula Melton, EPA/ OAQPS/ MG Phone: ( 919) 541 2910 OMB 83 I 10/ 95 19. Certification for Paperwork Reduction Act Submissions On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9.

NOTE: The text of 5 CFR 1320.9, and the related provisions of 5 CFR 1320.8( b)( 3), appear at the end of the instructions. The certification is to be made with reference to those regulatory provisions as set forth in the instructions.

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers: ( a) It is necessary for the proper performance of agency functions; ( b) It avoids unnecessary duplication; ( c) It reduces burden on small entities; ( d) It uses plain, coherent, and unambiguous terminology that is understandable to respondents; ( e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices; ( f) It indicates the retention periods for recordkeeping requirements; ( g) It informs respondents of the information called for under 5 CFR 1320.8( b)( 3): ( i) Why the information is being collected; ( ii) Use of information; ( iii) Burden estimate; ( iv) Nature of response ( voluntary, required for a benefit, or mandatory); ( v) Nature and extent of confidentiality; and ( vi) Need to display currently valid OMB control number; ( h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected ( see note in Item 19 of the instructions); ( i) It uses effective and efficient statistical survey methodology; and ( j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item below and explain the reason in Item 18 of the Supporting Statement.

Signature of Program Office Official Date Signature of Senior Official or designee Date Director, Collection Strategies Division ( OEI)

OMB 83 I 10/ 95


SF-83 SUPPORTING STATEMENT

ENVIRONMENTAL PROTECTION AGENCY

40 CFR PART 167

1.  Identification of the Information Collection

1(a)	Title of the Information Collection

Application for Registration of Pesticide-Producing and Device-Producing Establishments (EPA Form 3540-8); Notification of Registration of Pesticide-Producing and Device-Producing Establishments and Pesticide Report for Pesticide-Producing and Device-Producing Establishments (EPA Form 3540-16).  EPA ICR Number: 0160.09

1(b)	Short Characterization / Abstract

The Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA) section 7(a) requires that any person who produces pesticides or active ingredients subject to the Act must register with the Administrator of EPA the establishment in which the pesticide is produced.  This section further requires that the application for registration of any establishment shall include the name and address of the establishment and of the producer who operates such an establishment.  EPA Form 3540-8, Application for Registration of Pesticide-Producing and Device-Producing Establishments, is used to collect the establishment registration information required by this section.

FIFRA section 7(c) requires that any producer operating an establishment registered under section 7 report to the Administrator within 30 days after it is registered, and annually thereafter by March 1st for certain pesticide/device production and sales/distribution information.  The producers must report which types and amounts of pesticides, active ingredients, or devices are currently being produced, were produced during the past year, sold or distributed in the past year.  The supporting regulations at 40 CFR Part 167 provide the requirements and time schedules for submitting production information.  EPA Form 3540-16, Pesticide Reports for Pesticide-Producing and Device-Producing Establishments, is used to collect the pesticide production information required by section 7(c) of FIFRA.

Establishment registration information, collected on EPA Form 3540-8, is a one-time requirement for all pesticide-producing and device-producing establishments.  Pesticide and device production information, reported on EPA Form 3540-16, is required to be submitted within 30 days of receipt of the Notification of Registration of Pesticide-Producing and Device-Producing Establishments, and annually thereafter on or before March 1.

Attached are copies of: (1) Forms 3540-8 and 3540-16; (2) instructions for their completion; (3) section 7 of FIFRA; and (4) 40 CFR Part 167 (1998), to further explain the establishment registration and reporting requirements.

2.  Need for and Use of the Collection

2(a) Need / Authority for the Collection

FIFRA section 7 states that required pesticide production information be reported annually as required under regulations (40 CFR 167) as the Administrator may prescribe.

2(b)	Practical Utility / Users of the Data

The purpose of this reporting requirement is to obtain pesticide production information.  The EPA requires this information in order to maintain current and complete records of the locations of all pesticide-producing and device-producing establishments.  This information provides an overview of establishments engaged in pesticide activities and allows the Agency to target establishments for inspections with optimal utilization of limited inspection resources.  Such production information permits EPA to trace ineffective, contaminated, or otherwise violative products to their source, and minimizes any adverse environmental impact that might arise from the production or distribution of violative products.  If this information were not collected the Agency would be unable to meet the statutory requirements of FIFRA.

The Office of Compliance (OC) in the Office of Enforcement and Compliance Assurance (OECA) collects the establishment and pesticide production information for compliance purposes and risk assessment.  This information is used by EPA Regional pesticide enforcement and compliance staffs, the OC, the Office of Civil Enforcement (OCE), and the Office of Pesticide Programs (OPP) within the Office of Prevention, Pesticides and Toxic Substances (OPPTS), as well as the U.S. Department of Agriculture (USDA), the Food and Drug Administration (FDA), other Federal agencies, States under Cooperative Enforcement Agreements, and the public.

EPA Headquarters, Regions, and the States use the data for targeting inspection activities, compliance and outreach, and enforcement actions.  Establishment registration and production data are used to: identify where specific pesticides are made; target inspections in response to tips or complaints of producer violations; determine where violative products found in the marketplace were produced, thus facilitating recalls of problem products; facilitate the issuance of Stop Sale, Use, or Removal Orders for violative products; help locate production sites of canceled or suspended products; and assist in notifying producers of regulatory actions or requirements.

3.  Nonduplication, Consultations and Other Collection Criteria

3(a)	Nonduplication

No agency besides EPA, nor any other program within EPA,  requests this information.  The Agency, under section 29 of FIFRA, does collect a subset of production data for conditionally registered pesticides only.  However, this production data for conditionally registered pesticides does not fulfill the requirements of section 7 of FIFRA.  Therefore, no duplication exists.

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

The Federal Register notice required by 5 CFR 1320.8(d) was published Arpil 14, 2008 at 73 FR 20042-20044.

3(c)	Consultations

No comments were received in response to the Federal Register Notice.

3(d)	Effects of Less Frequent Collection

EPA Form 3540-8 is a one-time requirement for information used to register pesticide-producing and device-producing establishments.  EPA Form 3540-16 must be submitted by all establishments subject to section 7 of FIFRA, 30 days after notification of the initial assignment of an establishment registration number, and thereafter on an annual basis.  The statute dictates the time schedule in which reporting must occur.  Therefore, EPA could not carry out the requirements of the statute if EPA collected such data on a less frequent reporting schedule.

Additionally, if the information were not submitted, the EPA would be unable to fulfill its statutory responsibilities relative to the review and registration of pesticides and the protection of human health and the environment.

3(e)	General Guidelines

None of the reporting or record keeping requirements contained in 40 CFR 167 or otherwise pertinent to this request violate any of the regulations established by OMB in 5 CFR 1320.6.

3(f)	Confidentiality

The information collected on EPA Form 3540-8 does not involve any confidentiality concerns or sensitive questions.  However, pesticide and device producers must report certain confidential business information (CBI) on EPA Form 3540-16, including the amounts of pesticides/devices produced, sold, and distributed, under FIFRA section 7 requirements.  EPA safeguards trade secrets in accordance with FIFRA sections 7(d) and 10.  The Agency’s copies of individual firms’ reports are stored in secure file cabinets within CBI security areas.  Confidential business information pertaining to specific data on any one firm cannot be released to the public.

3(g)	Sensitive questions

This information collection activity does not involve any questions of a sensitive nature.

4.  The Respondents and the Information Requested

4(a)	Respondents NAICS Codes

Establishments producing pesticide products, pesticide chemical ingredients, and devices are subject to FIFRA.  The six-digit sector/sub-sector United States North American Industry Classification System (NAICS) Codes assigned to the businesses and other institutions participating in this program include primarily Manufacturing, Sectors 31-33; and Agricultural, Forestry, Fishing & Hunting, Sector 11.

4(b)	Information Requested

(i)Data Items

All data in this ICR that is recorded is required by section 7 of FIFRA and the supporting regulations at 40 CFR 167.  Under this requirement producers of pesticides and devices must report to the Agency annually the amounts of pesticides and devices produced, repackaged, relabeled; the amount sold or distributed in U.S. markets; the amount sold or distributed in Foreign markets; and the amount anticipated to be produced in the following year.

	(ii)Respondent Activities

Read instructions (provided with each EPA Form)

Plan the reporting activity

Gather information

Plan and review information for accuracy

Store, file and maintain the information

During the course of normal business operations, a producer would plan and maintain the information required to comply with this information collection activity, arrange for the collection, review the information for accuracy, and arrange to maintain or store the information.  The information required to be reported is information that the producer would generally maintain as prudent business practices.  The Agency does not specify in the regulation how the data to be gathered must be organized, however, the Agency does supply a reporting form which provides for the reporting of the required information in a consistent manner.

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

5(a)	Agency Activities

In this collection the Agency will: 1) answer companies’ and producers’ questions; 2) will review the data collected; 3) provide appropriate protection of confidential business information; and 4) store collected data both electronically and in paper file system.

5(b)	Collection Methodology and Management

Producers determine how to best comply with the requirements for record keeping under FIFRA section 7.  They may collect and store the required data electronically or by paper copy.

The Agency in turn annually provides forms for pesticide-producing and device-producing establishments to report their collected and stored information.

5(c)	Small Entity Flexibility

The information collected under this ICR does not significantly impact small businesses, since the information being reported is that which their records would be considered as “customary and usual business activities.”  To the extent that larger businesses can use economies of scale to reduce their burden, the overall burden will be reduced.  However, even though the record keeping and reporting requirements are the same for small and large businesses, the Agency considers these requirements the minimum needed to ensure compliance and, therefore, cannot reduce them further for small businesses.

5(d)	Collection Schedule

The collection schedule established in the regulations at 40 CFR 167.85(d) requires that each producer report pesticide and device production information within 30 days of receipt of the notification of assignment of their establishment number from the Agency; thereafter, each producer is required to report their pesticide production information by March 1st annually.  The Agency will mail out notifications each December reminding producers of the March 1 reporting deadline and providing them with the link where they can obtain the forms online. The notification will also include a phone number for producers to call to request the Agency to mail them the forms, but it is expected that the majority of producers will print out the required forms from the website.

6.  Estimating the Burden and Cost of the Collection

6(a) Estimating Respondent Burden

The estimates for EPA Form 3540-8 are based on discussions with the industry.  The one-time submission of information is of such a nature as to demand no research of company records or calculations; it is easily completed by clerical personnel and reviewed and signed by a company officer.  The completion of the application rarely exceeds the estimated hourly rate.  See Table 1 for respondent burden estimates.

Burden estimates for EPA Form 3540-16 are based on the results of interviews with a cross-section of industry respondents.  We asked six industry representatives of the respondent universe -- small businesses, firms with multiple establishments, and repackagers -- to estimate the amount of time they typically spent gathering, compiling, and filling out information for the report.

From these interviews we learned that, generally, the information is already assembled and compiled so filling out the form involves little burden.  See Table 2 for the respondent burden estimates for EPA Form 3540-16.

6(b)	Estimating Respondent Costs

(i) Estimating Labor Costs

Since the regulation and associated information collection has a minor economic impact on respondents, a regulatory impact analysis was not conducted..  This ICR uses estimates of labor rates and associated costs based on Department of Commerce Bureau of Labor Statistics estimates.  Specifically this ICR uses the May 2006 National Industry-Specific Occupational Employment and Wage Estimates for the industry NAICS code 325300 (Pesticide, Fertilizer and other Agricultural Chemical Manufacturing), which is presumed to dominate this sector.  Although the NAICS code 115100 also applies to this ICR, but since the sector 115100 wage estimates are slightly lower than sector 325300, this ICR errs on the side of overestimating wage costs.   The mean hourly wage rates for NAICS code 325300 were: management, $48.31; technical (engineering), $35.66; and clerical (administrative), $15.78.  A factor of 1.16 was added to adjust for benefit costs, resulting in respective total wage costs of $109.57, $80.88, and $35.78.

Application for Registration of Pesticide-Producing  and Device-Producing Establishments (EPA Form 3540-8):

Public reporting burden for this collection of information is estimated to average 0.30 hours (18 minutes) per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing the review and collection of information.

Pesticide Report for Pesticide-Producing Establishments (EPA Form 3540-16)

Public reporting burden for this collection of information is estimated to average 1.43 hour (1 hour and 26 minutes) per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing the review and collection of information.

See Tables 1 and 2 for the respondent cost estimates for EPA Forms 3540-8 and 3540-16, respectively.

(ii) Estimating Capital and Operations and Maintenance Costs

The only type of industry costs associated with the ICR activity in the standards are labor costs.

	(iii) Capitol/Start-up -vs- Operating and Maintenance (O&M) Costs

This is not applicable as there are no capital/start-up costs.

6(c)	Estimate of Agency Burden and Costs

The cost to the Government for the Application for Registration of Pesticide-Producing and Device-Producing Establishments (EPA Form 3540-8) is based on one work-year to review and process applications.  Other direct costs are limited to printing costs for instructions and reporting forms, review of the data, mailing costs, etc.  The number of respondents (700) are estimated based on the average annual number of applicants registering establishments over past three year periods.  See Table 3 for Agency burden and cost estimates.

The cost to the Government for the Pesticide Report for Pesticide-Producing and Device-Producing Establishments (EPA Form 3540-16) is based on one work-year to review and process production reports.  Other direct costs are limited to printing costs for instructions and reporting forms.  The number of respondents is the number of active pesticide-producing and device-producing establishments registered with EPA (13,250)  See Table 4 for Agency burden and cost estimates.

This ICR consolidated all government labor costs to that of a GS-13 step 1, as the bulk of the work is performed at this level.  The minor shares of burden carried by management and clerical staff have been judged approximately equal and thus balance out if the entire burden is estimated at the GS-13/1 level.

The estimates for Agency costs for EPA Forms 3540-8 and 3540-16 are shown in Tables 3 and 4, respectively.

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

As of March 2008, there were 13,250 active pesticide-producing and device-producing establishments registered with EPA.  While the actual number of registered establishments fluctuates somewhat, the average over the past three year period has appeared to stabilize approximately at the present level. For purposes of this ICR, EPA assumes that the number of newly-registered establishments in any period of time will approximately equal the number of currently registered establishments going out of business.  The total annual labor costs are $15,808 + $1,399,351 = $1,415,159.  Details upon which this estimate is based appear in Tables 1 & 2: Respondent Burden.

6(e) Bottom Line Burden Hours and Cost Tables

Table 1

Respondent Burden Hours and Costs for

Application for Registration of Pesticide-Producing Establishments

(EPA Form 3540-8)

ACTIVITIES

ANNUAL BURDEN HOURS

TOTAL

	HOURS

TOTAL

COST

$

Mgmt

Tech

Cler

$109.57

$80.88

$35.78

a.Read or Hear Any Instructions

	14

	21

	0

	35

$3,232.46

b.Plan Activities

	0

	0

	0

	0

   $0

c.Create Information

	0

	0

	0

	0

   $0

d.Gather Information

	0

	0

	0

	0

   $0

e.Process, Compile, and Review the Information

	0

	35

	0

	35

  $2,830.8

f.Complete Form(s)

	0

	70

	0

	70

$5,661.60

g.Record, Disclose, Display, or Report the Information

	0

	35

	0

	35

$2,830.80

h.Store, File, or Maintain the Information

	0

	0

	35

	35

$1,252.30

	TOTAL

	14

	161

	35

	210

$15807.96

Annual Burden Hour total = 210*

Annual Cost total = $15,808*

* assumes 700 responses annually

***NOTE:Numbers in the Tables (1-4) may vary slightly because of a rounding factor.

Table 2

Respondent Burden Hours and Costs for

Pesticide Report for Pesticide-Producing Establishments (EPA Form 3540-16)

ACTIVITIES

ANNUAL BURDEN HOURS

TOTAL

	HOURS

	TOTAL

	COST

	$

Mgmt

Tech

Clerical

$109.57

$80.88

$35.78

a.Read or Hear Any Instructions

1325

1987.5

0

3312.5

$305,929.25

b.Plan Activities

1325

1987.5

0

3312.5

$305,929.25

c.Create Information

0

0

0

    0

$0

d.Gather Information

0

2120

0

2120

$171,465.6

e.Process, Compile, and Review the Information

0

2252.5

0

2252.5

$182,182.2

f.Complete Written Form(s)

0

3312.5

0

3312.5

$267,915.0

g.Photocopying Form(s)

0

0

1325

1325

$47408.5

h.Record, Disclose, Display, or Report the Information

0

0

2252.5

2252.5

  $80,594.45

i.Store, File, or Maintain the Information

0

0

1060

1060

$37,926.8

	TOTAL

2650

11660

4637.5

18947.5

$1,399,351.05

Annual Burden Hour total = 18,947.5*

Annual Cost total = $1,399,351*

* assumes 13,250 responses annually

***NOTE:Numbers in the Tables (1-4) may vary slightly because of a rounding factor.

Table 3

Annual Agency Burden/Cost Estimates for

Application and Notification for Pesticide-Producing Establishments

 (EPA Form 3540-8)

	ACTIVITIES

ANNUAL BURDEN HOURS

	TOTAL

	COSTS

	$

a.Respond to Inquiries

1120

 $96,320

b.Review Information for Accuracy

520

 $44,720

c.Record Form Submission and Assign Establishment Number

185

 $15910

d.Store and Maintain Data

140

 $12,040

e.Prepare Notification

195

 $16,770

	TOTAL

2160

$185,760

Other Annual Agency Costs associated with Table 3:

1.	Postal Mailing Costs. . . . . . . . . . . . . . .$ 200

Other Annual Total Costs . . . . . …... . $ 200

Burden Cost + Other costs are: $185,760 + $200 = $185,960

***NOTE:	Numbers in the Tables (1-4) may vary slightly because of a rounding factor.

Table 4.

Annual Agency Burden Cost Estimates for

Pesticide Report for Pesticide-Producing Establishments

(EPA Form 3540-16)

ACTIVITIES

ANNUAL

BURDEN

HOURS

ANNUAL

COST

a. Preparation of Notification

90

$7,740

b.Respond to Inquiries

1375

$118,250

c.Review Information for Accuracy

1050

$90,300

d.Record and Enter Data into Electronic Database

1060

$91,160

e.Store and Maintain Data

430

$36,980

f.Prepare Annual Solicitation/

Mailings

80

$6,880

	TOTAL

4085

$351,310

Other Annual Agency Costs associated with Table 4:

1.	Printing of Notification. . . . . . . $ 1,400

2.	Postage Mailing Costs . . . . . . . . $7,000

      Other Annual Agency Costs  . . . . . . $8400

Burden Cost + Other Costs are: $351,310 + $8,400 = $359,710

$185,960 (Table #3) + $359,710 (Table #4) = $545,670

COMBINED AGENCY BURDEN COSTS FOR THIS ICR = $545,670

***NOTE:	Numbers in the Tables (1-4) may vary slightly because of a rounding factor.

6(f)	Program Changes and Adjustments

No program changes occurred affecting the burden estimates of this ICR.  Adjustments to the burden estimates per response resulted from (1) adjustments in the salary computation for industry to reflect current wage scales, (2) adjustments in the salary computation for Agency personnel to reflect current wage scales, (3) adjustments for inflation, and (4) adjustment to the number of respondents.

6(g)	Burden Statement

The annual public reporting and recordkeeping burden for this collection of information is estimated to average 1.45 hours per response.  Burden means the total time, effort, or financial resources expended by persons to generate, maintain, retain, or disclose or provide information to or for a Federal agency.  This includes the time needed to review instructions; develop, acquire, install, and utilize technology and systems for the purposes of collecting, validating, and verifying information, processing and maintaining information, and disclosing and providing information; adjust the existing ways to comply with any previously applicable instructions and requirements; train personnel to be able to respond to a collection of information; search data sources; complete and review the collection of information; and transmit or otherwise disclose the information.  An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number.  The OMB control numbers for EPA’s regulations are listed in 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 respondent burden, including the use of automated collection techniques, EPA has established a public docket for this ICR under Docket ID No. EPA-HQ-OECA-2008_0259, which is available for public viewing at the Enforcement and Compliance  Docket in the EPA Docket Center (EPA/DC), EPA West, Room 3334, 1301 Constitution Ave., NW, Washington, DC. The EPA Docket Center Public Reading Room  is open from 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays.  The telephone number for the Reading Room is<PHONE_NUMBER>, and the telephone number for the Enforcement and Compliance  Docket is<PHONE_NUMBER>.  An electronic version of the public docket is available at www.regulations.gov.  Use www.regulations.gov 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.  Once in the system, input the docket ID number identified above into the “search” box.

Part B of the Supporting Statement

This part is not applicable to this collection.

( PAGE  12 (


[Federal Register Volume 77, Number 231 (Friday, November 30, 2012)]
[Notices]
[Page 71460]
[FR Doc No: 2012-28947]

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

SECURITIES AND EXCHANGE COMMISSION

Proposed Collection; Comment Request

Upon Written Request Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC
20549-0213.

Extension: Rule 17Ad-16; OMB Control No. 3235-0413, SEC File No.
270-363.

    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 17Ad-16 (17 CFR
240.17Ad-16) 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 17Ad-16 requires a registered transfer agent to provide
written notice to the appropriate qualified registered securities
depository when assuming or terminating transfer agent services on
behalf of an issuer or when changing its name or address. In addition,
transfer agents that provide such notice shall maintain such notice for
a period of at least two years in an easily accessible place. This rule
addresses the problem of certificate transfer delays caused by transfer
requests that are directed to the wrong transfer agent or the wrong
address.
    We estimate that the transfer agent industry submits 3,700 Rule
17Ad-16 notices to appropriate qualified registered securities
depositories. The staff estimates that the average amount of time
necessary to create and submit each notice is approximately 15 minutes
per notice. Accordingly, the estimated total industry burden is 925
hours per year (15 minutes multiplied by 3,700 notices filed annually).
    Because the information needed by transfer agents to properly
notify the appropriate registered securities depository is readily
available to them and the report is simple and straightforward, the
cost is relatively minimal. The average internal compliance cost to
prepare and send a notice is approximately $7.50 (15 minutes at $30 per
hour). This yields an industry-wide internal compliance cost estimate
of $27,750 (3,700 notices multiplied by $7.50 per notice).
    The Commission may not conduct or sponsor a collection of
information unless it displays a currently valid OMB control number. No
person shall be subject to any penalty for failing to comply with a
collection of information subject to the PRA that does not display a
valid OMB control number.
    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
shall have practical utility; (b) the accuracy of the Commission's
estimates of the burden of the proposed collection of information; (c)
ways to enhance the quality, utility, and clarity of the information to
be 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.
    Please direct your comments to Thomas Bayer, Director/Chief
Information Officer, Securities and Exchange Commission, c/o Remi
Pavlik-Simon, 6432 General Green Way, Alexandria, VA 22312 or send an
email to<EMAIL_ADDRESS>
    Dated: November 26, 2012.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2012-28947 Filed 11-29-12; 8:45 am]
BILLING CODE 8011-01-P