[Federal Register Volume 85, Number 249 (Tuesday, December 29, 2020)]
[Proposed Rules]
[Pages 85559-85562]
[FR Doc No: 2020-28825]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2020-1028; Project Identifier AD-2020-00978-T]
RIN 2120-AA64

Airworthiness Directives; The Boeing Company Airplanes

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of proposed rulemaking (NPRM).

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SUMMARY: The FAA proposes to adopt a new airworthiness directive (AD)
for all The Boeing Company Model 717-200 airplanes. This proposed AD
was prompted by a report of discrepant spoiler assemblies, which have
the wrong splice bar installed and lack reinforcing doublers. This
proposed AD would require a one-time inspection of the left- and right-
wing inboard and outboard spoiler assemblies for the correct splice bar
and doublers configuration, and repair if necessary. The FAA is
proposing this AD to address the unsafe condition on these products.

DATES: The FAA must receive comments on this proposed AD by February
12, 2021.

ADDRESSES: You may send comments, using the procedures found in 14 CFR
11.43 and 11.45, by any of the following methods:
     Federal eRulemaking Portal: Go to https://www.regulations.gov. Follow the instructions for submitting comments.
     Fax:<PHONE_NUMBER>.
     Mail: U.S. Department of Transportation, Docket
Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue SE, Washington, DC 20590.
     Hand Delivery: Deliver to Mail address above between 9
a.m. and 5 p.m., Monday through Friday, except Federal holidays.
    For service information identified in this NPRM, contact Boeing
Commercial Airplanes, Attention: Contractual & Data Services (C&DS),
2600 Westminster Blvd., MC 110-SK57, Seal Beach, CA 90740-5600;
telephone<PHONE_NUMBER>; internet https://www.myboeingfleet.com. You may
view this referenced service information at the FAA, Airworthiness
Products Section, Operational Safety Branch, 2200 South 216th St., Des
Moines, WA. For information on the availability of this material at the
FAA, call<PHONE_NUMBER>. It is also available on the internet at https://www.regulations.gov by searching for and locating Docket No. FAA-2020-
1028.

Examining the AD Docket

    You may examine the AD docket on the internet at https://www.regulations.gov by searching for and locating Docket No. FAA-2020-
1028; or in person at Docket Operations between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal holidays. The AD docket contains
this NPRM, any comments received, and other information. The street
address for Docket Operations is listed above. Comments will be
available in the AD docket shortly after receipt.

FOR FURTHER INFORMATION CONTACT: Mohit Garg, Aerospace Engineer,
Airframe Section, FAA, Los Angeles ACO Branch, 3960 Paramount
Boulevard, Lakewood, CA 90712-4137; phone:<PHONE_NUMBER>; fax: 562-627-
5210; email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Comments Invited

    The FAA invites you to participate in this rulemaking by submitting
written comments, data, or views about this proposal. The most helpful
comments reference a specific portion of the proposal, explain the
reason for any recommended change, and include supporting data. To
ensure the docket does not contain duplicate comments, commenters
should submit only one copy of the comments. Send your comments to an
address listed under the ADDRESSES section. Include ``Docket No. FAA-
2020-1028; Project Identifier AD-2020-00978-T at the beginning of your
comments.

    Except for Confidential Business Information (CBI) as described in
the following paragraph, and other information as described in 14 CFR
11.35, the FAA will post all comments received, without change, as well
as a report summarizing each substantive public contact with FAA
personnel concerning this proposed rulemaking. Before acting on this
proposal, the FAA will consider all comments received by the closing
date for comments. The FAA will consider comments filed after the
comment period has closed if it is possible to do so without incurring
expense or delay. The FAA may change this NPRM because of those
comments.

Confidential Business Information

    CBI is commercial or financial information that is both customarily
and actually treated as private by its owner. Under the Freedom of
Information Act (FOIA) (5 U.S.C. 552), CBI is exempt from public
disclosure. If your comments responsive to this NPRM contain commercial
or financial information that is customarily treated as private, that
you actually treat as private, and that is relevant or responsive to
this NPRM, it is important that you clearly designate the submitted
comments as CBI. Please mark each page of your submission containing
CBI as ``PROPIN.'' The FAA will treat such marked submissions as
confidential under the FOIA, and they will not be placed in the public
docket of this NPRM. Submissions containing CBI should be sent to the
person identified in the FOR FURTHER INFORMATION CONTACT section. Any
commentary that the FAA receives which is not specifically designated
as CBI will be placed in the public docket for this rulemaking.

Discussion

    The FAA has received a report of discrepant spoiler assemblies,
which have the wrong splice bar installed and lack reinforcing
doublers. These two features were introduced to meet fail-safe
requirements. The splice bar, unique to the Boeing Model 717 airplane,
features the capability to minimize uncommanded spoiler float in the
event of a spoiler drive connection failure. The Boeing Model 717
airplane design utilizes a back-up to the hold-down actuator. The drive
link in the spoiler operating mechanism features hooks that are
designed to engage the splice bar when the spoiler unintentionally
rises. In normal operation, the hooks of the drive link never contact
the splice bar. Although the incorrect spoilers with no reinforcing
doublers and an incorrect splice bar do not affect the strength
requirements of the spoiler under normal conditions, an incorrect
splice bar is not structurally adequate to support the spoiler drive
link hook fail-safe load condition. This condition, if not addressed,
could lead to failure of the splice bar to keep the spoiler drive link
engaged, and could result in spoiler float and consequent reduced
controllability of the airplane.

Related Service Information Under 1 CFR Part 51

    The FAA reviewed Boeing Alert Requirements Bulletin 717-57A0027 RB,
dated June 26, 2020. This service information describes procedures for
a one-time general visual inspection of the left- and right-wing
inboard and outboard spoiler assemblies for the correct splice bar and
doublers configuration, and repair. This service information is
reasonably available because the interested parties have access to it
through their normal course of business or by the means identified in
the ADDRESSES section.

FAA's Determination

    The FAA is proposing this AD because the agency evaluated all the
relevant information and determined the unsafe condition described
previously is likely to exist or develop in other products of the same
type design.

Proposed AD Requirements

    This proposed AD would require accomplishment of the actions
identified in Boeing Alert Requirements Bulletin 717-57A0027 RB, dated
June 26, 2020, described previously, except for any differences
identified as exceptions in the regulatory text of this proposed AD.
    For information on the procedures and compliance times, see this
service information at https://www.regulations.gov by searching for and
locating Docket No. FAA-2020-1028.

Explanation of Requirements Bulletin

    The FAA worked in conjunction with industry, under the
Airworthiness Directive Implementation Aviation Rulemaking Committee
(AD ARC), to enhance the AD system. One enhancement is a process for
annotating which steps in the service information are ``required for
compliance'' (RC) with an AD. Boeing has implemented this RC concept
into Boeing service bulletins.
    In an effort to further improve the quality of ADs and AD-related
Boeing service information, a joint process improvement initiative was
worked between the FAA and Boeing. The initiative resulted in the
development of a new process in which the service information more
clearly identifies the actions needed to address the unsafe condition
in the ``Accomplishment Instructions.'' The new process results in a
Boeing Requirements Bulletin, which contains only the actions needed to
address the unsafe condition (i.e., only the RC actions).

Costs of Compliance

    The FAA estimates that this proposed AD affects 114 airplanes of
U.S. registry. The FAA estimates the following costs to comply with
this proposed AD:

                                      Estimated Costs for Required Actions
----------------------------------------------------------------------------------------------------------------
                                                                                Cost per      Cost on U.S.
                Action                         Labor cost           Parts cost        product        operators
----------------------------------------------------------------------------------------------------------------
Inspection............................  4 work-hours x $85 per                $0            $340         $38,760
                                         hour = $340.
----------------------------------------------------------------------------------------------------------------

    The FAA estimates the following costs to do any necessary on-
condition actions that would be required. The FAA has no way of
determining the number of aircraft that might need these on-condition
actions:

                 Estimated Costs of On-Condition Actions
------------------------------------------------------------------------
           Labor cost                 Parts cost       Cost per product
------------------------------------------------------------------------
Up to 2 work-hour x $85 per hour  $5,432 per spoiler  Up to $5,602 per
 = $170 per spoiler assembly.      assembly.           spoiler assembly.
------------------------------------------------------------------------

Authority for This Rulemaking

    Title 49 of the United States Code specifies the FAA's authority to
issue rules on aviation safety. 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.
    The FAA is issuing this rulemaking under the authority described in
Subtitle VII, Part A, Subpart III, Section 44701: General requirements.
Under that section, Congress charges the FAA with promoting safe flight
of civil aircraft in air commerce by prescribing regulations for
practices, methods, and procedures the Administrator finds necessary
for safety in air commerce. This regulation is within the scope of that
authority because it addresses an unsafe condition that is likely to
exist or develop on products identified in this rulemaking action.

Regulatory Findings

    The FAA determined that this proposed AD would not have federalism
implications under Executive Order 13132. This proposed AD would not
have a substantial direct effect on the States, on the relationship
between the national Government and the States, or on the distribution
of power and responsibilities among the various levels of government.
    For the reasons discussed above, I certify this proposed
regulation:
    (1) Is not a ``significant regulatory action'' under Executive
Order 12866,
    (2) Will not affect intrastate aviation in Alaska, and
    (3) Will not have a significant economic impact, positive or
negative, on a substantial number of small entities under the criteria
of the Regulatory Flexibility Act.

List of Subjects in 14 CFR Part 39

    Air transportation, Aircraft, Aviation safety, Incorporation by
reference, Safety.

The Proposed Amendment

    Accordingly, under the authority delegated to me by the
Administrator, the FAA proposes to amend 14 CFR part 39 as follows:

PART 39--AIRWORTHINESS DIRECTIVES

0
1. The authority citation for part 39 continues to read as follows:

    Authority:  49 U.S.C. 106(g), 40113, 44701.

Sec.  39.13   [Amended]

0
2. The FAA amends Sec.  39.13 by adding the following new airworthiness
directive (AD):

The Boeing Company: Docket No. FAA-2020-1028; Project Identifier AD-
2020-00978-T.

(a) Comments Due Date

    The FAA must receive comments by February 12, 2021.

(b) Affected ADs

    None.

(c) Applicability

    This AD applies to all The Boeing Company Model 717-200
airplanes, certificated in any category.

(d) Subject

    Air Transport Association (ATA) of America Code 57, Wings.

(e) Unsafe Condition

    This AD was prompted by a report of discrepant spoiler
assemblies, which have the wrong splice bar installed and lack
reinforcing doublers. The FAA is issuing this AD to address splice
bars which are not structurally adequate, which can lead to failure
of the splice bar to keep the spoiler drive link engaged, and could
result in spoiler float and consequent reduced controllability of
the airplane.

(f) Compliance

    Comply with this AD within the compliance times specified,
unless already done.

(g) Required Actions

    Except as specified by paragraph (h) of this AD: At the
applicable times specified in the ``Compliance'' paragraph of Boeing
Alert Requirements Bulletin 717-57A0027 RB, dated June 26, 2020, do
all applicable actions identified in, and in accordance with, the
Accomplishment Instructions of Boeing Alert Requirements Bulletin
717-57A0027 RB, dated June 26, 2020.

    Note 1 to paragraph (g):  Guidance for accomplishing the actions
required by this AD can be found in Boeing Alert Service Bulletin
717-57A0027, dated June 26, 2020, which is referred to in Boeing
Alert Requirements Bulletin 717-57A0027 RB, dated June 26, 2020.

(h) Exceptions to Service Information Specifications

    (1) Where Boeing Alert Requirements Bulletin 717-57A0027 RB,
dated June 26, 2020, uses the phrase ``the original issue date of
Requirements Bulletin 717-57A0027 RB,'' this AD requires using ``the
effective date of this AD.''
    (2) Where Boeing Alert Requirements Bulletin 717-57A0027 RB,
dated June 26, 2020, specifies contacting Boeing for repair
instructions: This AD requires doing the repair before further
flight using a method approved in accordance with the procedures
specified in paragraph (k) of this AD.

(i) Credit for Previous Actions

    This paragraph provides credit for the actions specified in
paragraph (g) of this AD, if those actions were performed before the
effective date of this AD using Boeing Multi Operator Message MOM-
MOM-19-0572-01B, dated October 16, 2019.

(j) Parts Installation Limitation

    As of the effective date of this AD, no person may install, on
any airplane, any affected spoiler assembly (a spoiler assembly that
does not have a splice bar having part number 3914588-501 and two
doublers having part/number 5940974-31), unless it has been
inspected and all applicable corrective actions have been done as
specified in paragraph (g) of this AD.

(k) Alternative Methods of Compliance (AMOCs)

    (1) The Manager, Los Angeles ACO Branch, FAA, has the authority
to approve AMOCs for this AD, if requested using the procedures
found in 14 CFR 39.19. In accordance with 14 CFR 39.19, send your
request to your principal inspector or responsible Flight Standards
Office, as appropriate. If sending information directly to the
manager of the certification office, send it to the attention of the
person identified in paragraph (l)(1) of this AD. Information may be
emailed to<EMAIL_ADDRESS>    (2) Before using any approved AMOC, notify your appropriate
principal inspector, or lacking a principal inspector, the manager
of the responsible Flight Standards Office.
    (3) An AMOC that provides an acceptable level of safety may be
used for any repair, modification, or alteration required by this AD
if it is approved by The Boeing Company Organization Designation
Authorization (ODA) that has been authorized by the Manager, Los
Angeles ACO Branch, FAA, to make those findings. To be approved, the
repair method, modification deviation, or alteration deviation must
meet the certification basis of the airplane, and the approval must
specifically refer to this AD.

(l) Related Information

    (1) For more information about this AD, contact Mohit Garg,
Aerospace Engineer, Airframe Section, FAA, Los Angeles ACO Branch,
3960 Paramount Boulevard, Lakewood, CA 90712-4137; phone: 562-627-
5264; fax:<PHONE_NUMBER>; email<EMAIL_ADDRESS>    (2) For service information identified in this AD, contact
Boeing Commercial Airplanes, Attention: Contractual & Data Services
(C&DS), 2600 Westminster Blvd., MC 110-SK57, Seal Beach, CA 90740-
5600; telephone<PHONE_NUMBER>; internet https://www.myboeingfleet.com. You may view this referenced service
information at the FAA, Airworthiness Products Section, Operational
Safety Branch, 2200 South 216th St., Des Moines, WA. For information
on the availability of this material at the FAA, call<PHONE_NUMBER>.

    Issued on November 13, 2020.
Lance T. Gant,
Director, Compliance & Airworthiness Division, Aircraft Certification
Service.
[FR Doc. 2020-28825 Filed 12-28-20; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 87, Number 70 (Tuesday, April 12, 2022)]
[Notices]
[Page 21652]
[FR Doc No: 2022-07736]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 10481-000]

Eagle Creek Hydro Power, LLC, Eagle Creek Water Resources, LLC,
Eagle Creek Land Resources, LLC; Notice of Authorization for Continued
Project Operation

    On March 31, 2020, Eagle Creek Hydro Power, LLC, Eagle Creek Water
Resources, LLC, and Eagle Creek Land Resources, LLC, (collectively
referred to as Eagle Creek) co-licensees for the Mongaup Falls
Hydroelectric Project No. 10481, filed an application for a new major
license. The Mongaup Falls Hydroelectric Project is located on the
Mongaup River and Black Brook in Sullivan County, New York.
    The license for Project No. 10481 was issued for a period ending
March 31, 2022. Section 15(a)(1) of the FPA, 16 U.S.C. 808(a)(1),
requires the Commission, at the expiration of a license term, to issue
from year-to-year an annual license to the then licensee(s) under the
terms and conditions of the prior license until a new license is
issued, or the project is otherwise disposed of as provided in section
15 or any other applicable section of the FPA. If the project's prior
license waived the applicability of section 15 of the FPA, then, based
on section 9(b) of the Administrative Procedure Act, 5 U.S.C. 558(c),
and as set forth at 18 CFR 16.21(a), if the licensee of such project
has filed an application for a subsequent license, the licensee may
continue to operate the project in accordance with the terms and
conditions of the license after the minor or minor part license
expires, until the Commission acts on its application. If the licensee
of such a project has not filed an application for a subsequent
license, then it may be required, pursuant to 18 CFR 16.21(b), to
continue project operations until the Commission issues someone else a
license for the project or otherwise orders disposition of the project.
    If the project is subject to section 15 of the FPA, notice is
hereby given that an annual license for Project No. 10481 is issued to
Eagle Creek for a period effective April 1, 2022 through March 31, 2023
or until the issuance of a new license for the project or other
disposition under the FPA, whichever comes first. If issuance of a new
license (or other disposition) does not take place on or before March
23, 2023, notice is hereby given that, pursuant to 18 CFR 16.18(c), an
annual license under section 15(a)(1) of the FPA is renewed
automatically without further order or notice by the Commission, unless
the Commission orders otherwise.
    If the project is not subject to section 15 of the FPA, notice is
hereby given that Eagle Creek is authorized to continue operation of
the Mongaup Falls Hydroelectric Project, until such time as the
Commission takes final action on the application for a new major
license.

    Dated: April 5, 2022.
Kimberly D. Bose,
Secretary.
[FR Doc. 2022-07736 Filed 4-11-22; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 84, Number 147 (Wednesday, July 31, 2019)]
[Proposed Rules]
[Page 37195]
[FR Doc No: 2019-16191]

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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Part 300

[EPA-HQ-SFUND-2006-0759; FRL-9997-46-Region 5]

National Oil and Hazardous Substances Pollution Contingency Plan;
National Priorities List: Partial Deletion of the South Minneapolis
Residential Soil Contamination Superfund Site

AGENCY: Environmental Protection Agency (EPA).

ACTION: Proposed rule; notification of intent.

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SUMMARY: The Environmental Protection Agency (EPA) Region 5 is issuing
a Notice of Intent to Delete all but nine of approximately 3,632
properties located within the South Minneapolis Residential Soil
Contamination Superfund Site (South Minn. Site) in Minneapolis,
Minnesota from the National Priorities List (NPL) and requests public
comments on this proposed action. The NPL, promulgated pursuant to
Section 105 of the Comprehensive Environmental Response, Compensation,
and Liability Act (CERCLA) of 1980, as amended, is an appendix of the
National Oil and Hazardous Substances Pollution Contingency Plan (NCP).
The EPA and the State of Minnesota, through the Minnesota Department of
Agriculture (MDA), have determined that all appropriate response
actions identified for these properties have been completed. However,
this deletion does not preclude future actions under Superfund.

DATES: Comments must be received by August 30, 2019.

ADDRESSES: Submit your comments, identified by Docket ID no. EPA-HQ-
SFUND-2006-0759, by mail to Randolph Cano, NPL Deletion Coordinator,
U.S. Environmental Protection Agency Region 5 (ST-6J), 77 West Jackson
Boulevard, Chicago, IL 60604. Comments may also be submitted
electronically or through hand delivery/courier by following the
detailed instructions in the ADDRESSES section of the direct final rule
located in the ``Rules and Regulations'' section of this issue of the
Federal Register.

FOR FURTHER INFORMATION CONTACT: Randolph Cano, NPL Deletion
Coordinator, U.S. Environmental Protection Agency Region 5 (ST-6J), 77
West Jackson Boulevard, Chicago, IL 60604,<PHONE_NUMBER>, or via email
at<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: This partial deletion pertains to all
residential properties, parks, schools, playgrounds associated with
church schools and a cemetery located within an approximate three-
quarter mile radius of the CMC Heartland Lite Yard State Superfund
Cleanup Site (the area known as the South Minn. Site), excluding the
nine properties identified in Table 1 in the Docket that still require
sampling and/or remediation. The nine properties identified in Table 1
in the Docket will remain on the NPL and are not being considered for
deletion as part of this action.
    In the ``Rules and Regulations'' Section of this issue of the
Federal Register, we are publishing a direct final Notice of Partial
Deletion of the South Minn. Site without prior Notice of Intent for
Partial Deletion because EPA views this as a noncontroversial revision
and anticipates no adverse comment. We have explained our reasons for
this deletion in the preamble to the direct final Notice of Partial
Deletion, and those reasons are incorporated herein. If we receive no
adverse comment(s) on this partial deletion action, we will not take
further action on this Notice of Intent for Partial Deletion. If we
receive adverse comment(s), we will withdraw the direct final Notice of
Partial Deletion, and it will not take effect. We will, as appropriate,
address all public comments in a subsequent final Notice of Partial
Deletion based on this Notice of Intent for Partial Deletion. We will
not institute a second comment period on this Notice of Intent for
Partial Deletion. Any parties interested in commenting must do so at
this time.
    For additional information, see the direct final Notice of Partial
Deletion which is located in the ``Rules and Regulations'' section of
this Federal Register.

List of Subjects in 40 CFR Part 300

    Environmental protection, Air pollution control, Chemicals,
Hazardous waste, Hazardous substances, Intergovernmental relations,
Penalties, Reporting and recordkeeping requirements, Superfund, Water
pollution control, Water supply.

    Authority: 33 U.S.C. 1321(d); 42 U.S.C. 9601-9675; E.O. 13626,
77 FR 56749, 3 CFR, 2013 Comp., p. 306; E.O. 12777, 56 FR 54757, 3
CFR, 1991 Comp., p. 351; E.O. 12580, 52 FR 2923, 3 CFR, 1987 Comp.,
p. 193.

    Dated: July 19, 2019.
Cheryl Newton,
Acting Regional Administrator, Region 5.
[FR Doc. 2019-16191 Filed 7-30-19; 8:45 am]
 BILLING CODE 6560-50-P


[Federal Register Volume 84, Number 95 (Thursday, May 16, 2019)]
[Rules and Regulations]
[Page 22049]
[FR Doc No: 2019-09942]

========================================================================
Rules and Regulations
                                                Federal Register
________________________________________________________________________

This section of the FEDERAL REGISTER contains regulatory documents
having general applicability and legal effect, most of which are keyed
to and codified in the Code of Federal Regulations, which is published
under 50 titles pursuant to 44 U.S.C. 1510.

The Code of Federal Regulations is sold by the Superintendent of Documents.

========================================================================

Federal Register / Vol. 84, No. 95 / Thursday, May 16, 2019 / Rules
and Regulations

ENVIRONMENTAL PROTECTION AGENCY

40 CFR Part 52

[EPA-R06-OAR-2015-0850; FRL-9993-58-Region 6]

Air Plan Approval; New Mexico; Approval of Revised Statutes;
Error Correction

AGENCY: Environmental Protection Agency (EPA).

ACTION: Partial withdrawal of direct final rule.

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SUMMARY: The Environmental Protection Agency (EPA) is withdrawing a
portion of a direct final rule published on February 27, 2019 because
relevant adverse comments were received. The rule pertained to EPA
approval of revisions to New Mexico's State Implementation Plan (SIP)
incorporating updates to SIP-approved New Mexico statutes, as well as
removing several provisions from the SIP, as EPA's previous approval of
these provisions into the SIP was done in error. In a separate
subsequent final rulemaking, EPA will address the portion of the direct
final on which relevant adverse comments were received.

DATES: Effective May 16, 2019, the EPA withdraws amendatory
instructions 2.b. and 2.h. in the direct final rule published at 84 FR
6334, on February 27, 2019.

FOR FURTHER INFORMATION CONTACT: Jeff Riley, Infrastructure and Ozone
Section, 1445 Ross Avenue, Dallas, Texas, Suite 700, Dallas, TX 75202,
214-665-8542<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: Throughout this document ``we,'' ``us,'' and
``our'' means the EPA. On February 27, 2019 we published a direct final
rule to approve revisions to the New Mexico SIP incorporating updates
to SIP-approved New Mexico statutes, as well as removing several
provisions from the SIP, as EPA's previous approval of these provisions
into the SIP was done in error (84 FR 6334). The direct final rule was
published without prior proposal because we anticipated no adverse
comments. We stated in the direct final rule that if we received
relevant adverse comments by March 29, 2019, we would publish a timely
withdrawal in the Federal Register. We received relevant adverse
comments regarding the removal of New Mexico Statutes Annotated 1978
(NMSA) sections 74-2-6, 74-2-12, and 74-2-13 and accordingly are
withdrawing the portion of the direct final rule on which adverse
comments were received. In a separate subsequent final rulemaking we
will address the comments received.

List of Subjects in 40 CFR Part 52

    Environmental protection, Air pollution control, Incorporation by
reference, Nitrogen dioxide, Ozone, Particulate matter, Reporting and
recordkeeping requirements, Sulfur oxides, Volatile organic compounds.

    Dated: May 9, 2019.
David Gray,
Acting Regional Administrator, Region 6.

0
Accordingly, amendatory instructions 2.b. and 2.h., published in the
Federal Register on February 27, 2019 (84 FR 6334), which were to
become effective on May 28, 2019, are withdrawn as of May 16, 2019.

[FR Doc. 2019-09942 Filed 5-15-19; 8:45 am]
 BILLING CODE 6560-50-P


UNITED STATES OF AMERICA

DEPARTMENT OF TRANSPORTATION

OFFICE OF THE SECRETARY

WASHINGTON, DC

Issued by the Department of Transportation on August 15, 2003

   NOTICE OF ACTION TAKEN -- DOCKET OST-2003-15696

________________________________________________________________________
_________________________________

This serves as notice to the public of the action described below, taken
by the Department official indicated (no additional confirming order
will be issued in this matter).

Application of    US Airways, Inc.          filed    7/16/2003  for:

XX  Exemption for two years under 49 U.S.C. 40109 to provide the
following service:

Scheduled foreign air transportation of persons, property, and mail
between Los Angeles and San Francisco, California, on the one hand, and
Sydney and Melbourne, Australia, on the other hand.  US Airways also
requests authority to integrate this authority with its existing
certificate and exemption authority.  US Airways intends to operate this
service under a code-share arrangement with United Air Lines.

Applicant rep:   Joel Stephen Burton,<PHONE_NUMBER>   DOT Analyst:
Gerald Caolo,<PHONE_NUMBER>

D I S P O S I T I O N

XX  Granted

The above action was effective when taken:  August 15, 2003, through
August 15, 2005

Action taken by:   Paul L. Gretch, Director

		    Office of International Aviation

XX  The authority granted is consistent with the overall state of
aviation relations between the United States and Australia.

Except to the extent exempted or waived, this authority is subject to
the terms, conditions, and limitations indicated:  XX Holder’s
certificates of public convenience and necessity

	   XX  Standard exemption conditions (attached)

________________________________________________________________________
______________

Conditions:  The route integration authority granted is subject to the
condition that any service provided

under this exemption shall be consistent with all applicable agreements
between the United States and the foreign countries involved.
Furthermore, (a) nothing in the award of the route integration authority

requested should be construed as conferring upon US Airways rights
(including fifth-freedom intermediate and/or beyond rights) to serve
markets where U.S. carrier entry is limited unless US Airways notifies
the Department of its intent to serve such a market and unless and until
the Department has completed any necessary carrier selection procedures
to determine which carrier(s) should be authorized to exercise such
rights; and (b) should there be a request by any carrier to use the
limited-entry route rights that are included in US Airways’ authority
by virtue of the route integration exemption granted here, but that are
not then being used by US Airways, the holding of such authority by
route integration will not be considered as providing any preference for
US Airways in a competitive carrier selection proceeding to determine
which carrier(s) should be entitled to use the authority at issue.

________________________________________________________________________
______________

On the basis of data officially noticeable under Rule 24(g) of the
Department's regulations, we found the applicant qualified to provide
the services authorized.

Under authority assigned by the Department in its regulations, 14 CFR
Part 385, we found that

(1) our action was consistent with Department policy; (2) grant of the
exemption authority was consistent with the public interest; and (3)
grant of the authority would not constitute a major regulatory action
under the Energy Policy and Conservation Act of 1975.  To the extent not
granted, we denied all requests in the referenced Docket.  We may amend,
modify, or revoke the authority granted in this Notice at any time
without hearing at our discretion.

Persons entitled to petition the Department for review of the action set
forth in this Notice under the Department’s regulations, 14 CFR
§385.30, may file their petitions within seven (7) days after the date
of issuance of this Notice.  This action was effective when taken, and
the filing of a petition for review will not alter such effectiveness.

An electronic version of this document is available on the World Wide
Web at:

http://dms.dot.gov//reports/reports_aviation.asp

U.S. Carrier Exemption Conditions

In the conduct of the operations authorized, the U.S. carrier
applicant(s) shall:

(1)  Hold at all times effective operating authority from the government
of each country served;

(2)  Comply with applicable requirements concerning oversales contained
in 14 CFR 250 (for scheduled operations, if authorized);

(3)  Comply with the requirements for reporting data contained in 14 CFR
241;

(4)  Comply with requirements for minimum insurance coverage, and for
certifying that coverage to the Department, contained in 14 CFR 205;

(5)  Except as specifically exempted or otherwise provided for in a
Department Order, comply with the requirements of 14 CFR 203, concerning
waiver of Warsaw Convention liability limits and defenses;

(6)  Comply with all applicable requirements of the Federal Aviation
Administration and with all applicable U.S. Government requirements
concerning security.  To assure compliance with all applicable U.S.
Government requirements concerning security, the holder shall, before
commencing any new service (including charter flights) to or from a
foreign airport, contact its Principal Security Inspector (PSI) to
advise the PSI of its plans and to find out whether the Transportation
Security Administration has determined that security is adequate to
allow such airport(s) to be served; and

(7)  Comply with such other reasonable terms, conditions, and
limitations required by the public interest as may be prescribed by the
Department of Transportation, with all applicable orders and regulations
of other U.S. agencies and courts, and with all applicable laws of the
United States.

The authority granted shall be effective only during the period when the
holder is in compliance with the conditions imposed above.

08/2003

 PAGE

 PAGE   2

08/2003


[Federal Register Volume 82, Number 4 (Friday, January 6, 2017)]
[Notices]
[Page 1749]
[FR Doc No: 2016-32054]

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DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Docket ID: FEMA-2016-0027; OMB No. 1660-0114]

Agency Information Collection Activities: Submission for OMB
Review; Comment Request; FEMA Preparedness Grants: Port Security Grant
Program (PSGP)

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice.

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SUMMARY: The Federal Emergency Management Agency (FEMA) will submit the
information collection abstracted below to the Office of Management and
Budget for review and clearance in accordance with the requirements of
the Paperwork Reduction Act of 1995. The submission will describe the
nature of the information collection, the categories of respondents,
the estimated burden (i.e., the time, effort and resources used by
respondents to respond) and cost, and the actual data collection
instruments FEMA will use.

DATES: Comments must be submitted on or before February 6, 2017.

ADDRESSES: Submit written comments on the proposed information
collection to the Office of Information and Regulatory Affairs, Office
of Management and Budget. Comments should be addressed to the Desk
Officer for the Department of Homeland Security, Federal Emergency
Management Agency, and sent via electronic mail to
<EMAIL_ADDRESS>
FOR FURTHER INFORMATION CONTACT: Requests for additional information or
copies of the information collection should be made to Director,
Records Management Division, 500 C Street SW., Washington, DC 20472-
3100, or email address<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: This proposed information collection
previously published in the Federal Register on October 12, 2016 at 81
FR 70431 with a 60 day public comment period. FEMA received several
requests for a copy of the proposed information collection via email
and telephone, as well as from participants at a public meeting. FEMA
provided these requesters with a copy of the proposed collection. FEMA
also received one comment with formatting suggestions for the form. The
purpose of this notice is to notify the public that FEMA will submit
the information collection abstracted below to the Office of Management
and Budget for review and clearance.

Collection of Information

    Title: FEMA Preparedness Grants: Port Security Grant Program
(PSGP).
    Type of Information Collection: Revision of a currently approved
information collection.
    OMB Number: 1660-0114.
    Form Titles and Numbers: FEMA Form 089-5, PSGP Investment
Justification.
    Abstract: The previous version of FEMA Form 089-5 is outdated and
has become cumbersome with subsequent program explanations within the
notice of funding opportunity explaining the type of information
required. The revised form consolidates the requested information and
provides easy to follow drop-down boxes to minimize confusion among
applicants, reducing time needed to collect the information for both
applicants and FEMA, and reducing the review time by FEMA and federal
partners.
    Affected Public: State, Local or Tribal Government; Business or
other for-profit.
    Estimated Number of Respondents: 597.
    Estimated Total Annual Burden Hours: 17,154 hours.
    Estimated Cost: The estimated annual cost to respondents for the
hour burden is $1,094,112.60. There are no annual costs to respondents'
operations and maintenance costs for technical services. There are no
annual start-up or capital costs. The cost to the Federal Government is
$770,401.

    Dated: December 27, 2016.
Richard W. Mattison,
Records Management Program Chief, Mission Support, Federal Emergency
Management Agency, Department of Homeland Security.
[FR Doc. 2016-32054 Filed 1-5-17; 8:45 am]
 BILLING CODE 9111-46-P


[Federal Register: December 11, 2009 (Volume 74, Number 237)]
[Notices]
[Page 65812-65816]
[DOCID:fr11de09-96]

=======================================================================
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SECURITIES AND EXCHANGE COMMISSION

[Investment Company Act Release No. 29068; File No. 812-13653]

Madison Asset Management, LLC, et al.; Notice of Application

December 7, 2009.
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 that would
permit certain series of registered open-end management investment
companies to acquire shares of other registered open-end management
investment companies and unit investment trusts (``UITs'') that are
within or outside the same group of investment companies.

Applicants: Madison Asset Management, LLC (``MAM''), MEMBERS Mutual
Funds (``MMF''), Ultra Series Fund (``USF''), Madison Mosaic Equity
Trust, Madison Mosaic Income Trust, Madison Mosaic Tax-Free Trust,
Madison Mosaic Government Money Market (each, a ``Madison Mosaic
Fund,'' and collectively, the ``Madison Mosaic Funds,'' and together
with MMF and USF, the ``Trusts''), Madison Investment Advisors, Inc.
(``Madison'') and Madison Mosaic, LLC (``MMLLC'').

Filing Dates: The application was filed on April 16, 2009 and amended
on September 4, 2009, December 4, 2009, and December 7, 2009.

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 December 28, 2009, 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: c/o Madison/Mosaic Legal
and Compliance Department, 8777 N. Gainey Center Drive, 220,
Scottsdale, AZ 85258.

FOR FURTHER INFORMATION CONTACT: John Yoder, Senior Counsel, at (202)
551-6878, or Marilyn Mann, Branch Chief, at<PHONE_NUMBER> (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 via the
Commission's Web site by searching for the file number, or an applicant
using the Company name box, at http://www.sec.gov/search/search.htm or
by calling<PHONE_NUMBER>.

Applicants' Representations

    1. MMF is a statutory trust organized under the laws of Delaware.
USF and the Madison Mosaic Funds are business trusts organized under
the laws of Massachusetts. Each Trust is registered under the Act as an
open-end management investment company and, except for Madison Mosaic
Government Money Market, offers multiple series (``Funds'').\1\ USF is
offered solely to CUNA Mutual Insurance Society (``CMIS'') and its
separate accounts (together with the separate accounts of any
unaffiliated insurance company that may invest in the future in USF,
``Separate Accounts'') which support the variable annuity contracts and
variable life insurance policies it issues. The Separate Accounts may
be registered under the Act (``Registered Separate Accounts'') or
unregistered under the Act (``Unregistered Separate Accounts'').
---------------------------------------------------------------------------

    \1\ Applicants request that the order also extend to any future
series of the Trusts, and any other existing or future registered
open-end management investment companies and any series thereof that
are, or may in the future be, advised by MAM, Madison or MMLLC or
any other investment adviser controlling, controlled by, or under
common control with MAM, Madison or MMLLC (together with the Trusts,
the ``Funds''). All entities that currently intend to rely on the
requested order are named as applicants. Any other entity that
relies on the order in the future will comply with the terms and
conditions of the application.
---------------------------------------------------------------------------

    2. MAM, an Iowa corporation, is registered under the Investment
Advisers Act of 1940 (``Advisers Act'') and serves as investment
adviser to MMF and USF. MAM is the investment adviser to each of the
Fund of Funds, as defined below. Madison, a Wisconsin corporation, and
MMLLC, a Wisconsin limited liability corporation, are each registered
as investment advisors under the Advisers Act and jointly serve as
investment advisers to the Madison Mosaic Funds, with the exception of
the Madison Institutional Equity Option Fund (a series of Madison
Mosaic Equity Trust), which is advised by MAM. MAM and MMLLC are
controlled by Madison. CMIS has a non-voting interest in MAM and does
not control MAM within the meaning of section 2(a)(9) of the Act.\2\
---------------------------------------------------------------------------

    \2\ Under a prior order, the Commission granted relief to MMF,
USF, Members Capital Advisors, Inc. (``MCA'') and CUNA Mutual Life
Insurance Company from the provisions of sections 12(d)(1)(A),
12(d)(1)(B) and 17(a) of the Act, pursuant to which certain series
of MMF and USF acquire shares of other registered open-end
investment companies that are within or outside the same group of
investment companies. MEMBERS Mutual Funds, et al., Investment
Company Act Release Nos. 27598 (December 13, 2006)(notice) and 27657
(January 9, 2007)(order) (``Existing Order''). On April 15, 2009,
MCA, an indirectly wholly owned subsidiary of CMIS, and CMIS entered
into an agreement under which MAM would become the investment
adviser to MMF and USF (the ``Transaction''). MAM became the
investment adviser to MMF and USF on July 1, 2009. On June 30, 2009,
the Commission staff issued a no-action letter permitting MAM to
rely on the Existing Order until the earlier of the receipt of any
order granted by the Commission on the application or December 30,
2009. Madison Asset Management, LLC, et al. (pub. avail. June 30,
2009).
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    3. Applicants request relief to permit, (a) certain Funds (each, a
``Fund of Funds'') to acquire shares of registered open-end management
investment companies (the ``Unaffiliated Underlying Funds'') and unit
investment trusts (``Unaffiliated Underlying Trusts,'' and together
with the Unaffiliated Underlying Funds, the ``Unaffiliated Funds'')
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 Funds of Funds,
(b) the Unaffiliated Underlying Funds, their principal underwriters and
any broker or dealer (``Broker'') registered under the Securities
Exchange Act of 1934 to sell their shares to the Fund of Funds, (c) the
Funds of Funds to acquire shares of certain other Funds in the same
``group of investment companies'' (as defined in section
12(d)(1)(G)(ii) of the Act) as the Fund of Funds (the ``Affiliated
Funds,'' and together with the Unaffiliated Funds, the ``Underlying
Funds''), and (d) the Affiliated Funds, their principal underwriters
and any Brokers to sell shares of the Affiliated Funds to the

Funds of Funds. Certain of the Unaffiliated Funds may be listed and
traded on a national securities exchange at negotiated prices
(``ETFs''). Each Fund of Funds also may invest in securities other than
shares of an investment company and in financial instruments that may
not be securities within the meaning of section 2(a)(36) of the Act
that are consistent with its investment objectives.

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 from the limitations of sections 12(d)(1)(A) and
(B) to the extent necessary to permit the Funds of Funds to acquire
shares of the Underlying Funds in excess of the limits set forth in
section 12(d)(1)(A) of the Act and to permit the Unaffiliated
Underlying Funds and Affiliated Funds, their principal underwriters and
any Brokers to sell shares to the Funds of Funds in excess of the
limits set forth in sections 12(d)(1)(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 or its
affiliated persons 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 Underlying Funds. The concern about undue influence does not arise
in connection with a Fund of Funds' investment in the Affiliated Funds,
since they are part of the same group of investment companies. To limit
the control that a Fund of Funds or its affiliated persons may have
over an Unaffiliated Fund, applicants propose a condition prohibiting:
(a) MAM and any person controlling, controlled by or under common
control with MAM, any investment company and any 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 MAM or any person controlling, controlled
by or under common control with MAM (collectively, the ``Group''), and
(b) any investment adviser within the meaning of section 2(a)(20)(B) of
the Act to a Fund of Funds (``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) an Unaffiliated Fund within the
meaning of section 2(a)(9) of the Act. No Separate Account will be a
member of the Group or Subadvisor Group.
    5. Applicants further state that condition 2 precludes a Fund of
Funds, MAM, any Subadviser, promoter or principal underwriter of a Fund
of Funds, and any person controlling, controlled by or under common
control with any of those entities (each, a ``Fund of Funds
Affiliate'') from taking advantage of an Unaffiliated Fund, with
respect to transactions between the Fund of Funds or a Fund of Funds
Affiliate and the Unaffiliated Fund or the Unaffiliated Fund's
investment adviser(s), sponsor, promoter, principal underwriter or any
person controlling, controlled by or under common control with any of
these entities (each, an ``Unaffiliated Fund Affiliate''). Condition 5
precludes a Fund of Funds or Fund of Funds Affiliate (except to the
extent it is acting in its capacity as an investment adviser to an
Unaffiliated Underlying Fund or sponsor to an Unaffiliated Underlying
Trust) from causing an Unaffiliated Fund to purchase 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, trustee, member of an advisory board, investment adviser,
Subadviser, or employee of the Fund of Funds, or a person of which any
such officer, director, trustee, investment adviser, Subadviser, member
of an advisory board, or employee is an affiliated person (each, an
``Underwriting Affiliate,'' except any person whose relationship to the
Unaffiliated Fund is covered by section 10(f) of the Act is not an
Underwriting Affiliate). An offering of securities during the existence
of any underwriting or selling syndicate of which a principal
underwriter is an Underwriting Affiliate is an ``Affiliated
Underwriting.''
    6. As an additional assurance that an Unaffiliated Underlying Fund
understands the implications of an investment by a Fund of Funds under
the requested order, prior to a Fund of Funds' investment in the
Unaffiliated Underlying Fund in excess of the limit in section
12(d)(1)(A)(i), condition 8 requires that the Fund of Funds and
Unaffiliated Underlying Fund execute an agreement stating, without
limitation, that their boards of directors or trustees (``Boards'') 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 an Unaffiliated
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
by a Fund of Funds.\3\
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    \3\ An Unaffiliated Underlying Fund, including an ETF, would
retain its right to reject any initial investment by a Fund of Funds
in excess of the limit 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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    7. Applicants do not believe that the proposed arrangement will
involve excessive layering of fees. With respect to investment advisory
fees, applicants state that, in connection with the approval of any
investment advisory contract under section 15 of the Act, the Board of
each Fund of Funds, including a majority of the trustees who are not
``interested persons,'' as defined in section 2(a)(19) of the Act
(``Independent Trustees''), will find that the advisory fees charged
under the 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 MAM 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 an
Unaffiliated Underlying Fund pursuant to rule 12b-1 under the Act)
received from an Unaffiliated Fund by MAM, or an affiliated person of
MAM, other than any advisory fees paid to MAM or an affiliated person
of MAM by an Unaffiliated Underlying Fund, in connection with the
investment by the Fund of Funds in the Unaffiliated Fund.
    8. Applicants state that with respect to Registered Separate
Accounts that invest in a Fund of Funds, no sales load will be charged
at the Fund of Funds level or at the Underlying Fund level. Other sales
charges and service fees, as defined in Rule 2830 of the Conduct Rules
of the NASD (``NASD Conduct Rule 2830''), if any, will only be charged
at the Fund of Funds level or at the Underlying Fund level, not both.
With respect to other investments in a Fund of Funds, any sales charges
and/or service fees charged with respect to shares of the Fund of Funds
will not exceed the limits applicable to funds of funds as set forth in
NASD Conduct Rule 2830.
    9. Applicants represent that each Fund of Funds will represent in
the Participation Agreement that no insurance company sponsoring a
Registered Separate Account funding variable annuity and variable life
insurance contracts will be permitted to invest in the Fund of Funds
unless the insurance company has certified to the Fund of Funds that
the aggregate of all fees and charges associated with each contract
that invests in the Fund of Funds, including fees and charges at the
separate account, Fund of Funds, and Underlying Fund levels, are
reasonable in relation to the services rendered, the expenses expected
to be incurred, and the risks assumed by the insurance company.
    10. 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 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 investment companies for
short-term cash management purposes, or (ii) engage in interfund
borrowing and lending transactions.

B. Section 17(a)

    1. Section 17(a) of the Act generally prohibits sales or purchases
of securities between a registered investment company and its
affiliated persons or affiliated persons of such persons. 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.
    2. Applicants state that the Funds of Funds and the Affiliated
Funds may be deemed to be under common control and therefore affiliated
persons of one another. Applicants also state that the Funds of Funds
and the Underlying Funds may 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.\4\
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    \4\ Applicants acknowledge that receipt of any compensation by
(a) an affiliated person of a Funds 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 may be
prohibited by section 17(e)(1) of the Act. The Participation
Agreement also will include this acknowledgement.
---------------------------------------------------------------------------

    3. 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.
    4. 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.
Applicants state 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.\5\ Applicants also
state that the proposed transactions will be consistent with the
policies of each Fund of Funds and Underlying Fund, and with the
general purposes of the Act.
---------------------------------------------------------------------------

    \5\ Applicants note that a Fund of Funds generally would
purchase and sell shares of an Underlying Fund that operates as an
ETF through secondary market transactions rather than through
principal transactions with the Underlying Fund. 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.
---------------------------------------------------------------------------

Applicants' Conditions

    Applicants agree that the order granting the requested relief shall
be subject to the following conditions:
    1. The members of the Group will not control (individually or in
the aggregate) an Unaffiliated Fund within the meaning of section
2(a)(9) of the Act. The members of a Subadviser Group will not control
(individually or in the aggregate) an Unaffiliated 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 an Unaffiliated Fund, the Group or
a Subadviser Group, each in the aggregate, becomes a holder of more
than 25% of the outstanding voting securities of the Unaffiliated Fund,
then the Group or the Subadviser Group will vote its shares of the
Unaffiliated Fund in the same proportion as the vote of all other
holders of the Unaffiliated Fund's shares. This condition will not
apply to a Subadviser Group with respect to an Unaffiliated Fund for
which the Fund of Funds' Sub-Adviser 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 an Unaffiliated Underlying Fund) or the sponsor (in the

case of an Unaffiliated Underlying Trust).
    2. No Fund of Funds or Fund of Funds Affiliate will cause any
existing or potential investment by the Fund of Funds in an
Unaffiliated Fund to influence the terms of any services or
transactions between the Fund of Funds or a Fund of Funds Affiliate and
the Unaffiliated Fund or an Unaffiliated Fund Affiliate.
    3. The Board of each Fund of Funds, including a majority of the
Independent Trustees, will adopt procedures reasonably designed to
assure that MAM 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 of Funds
Affiliate from an Unaffiliated Fund or an Unaffiliated Fund Affiliate
in connection with any services or transactions.
    4. Once an investment by a Fund of Funds in the securities of an
Unaffiliated Underlying Fund exceeds the limit of section
12(d)(1)(A)(i) of the Act, the Board of the Unaffiliated Underlying
Fund, including a majority of the Independent Trustees, will determine
that any consideration paid by the Unaffiliated Underlying Fund to a
Fund of Funds or a Fund of Funds Affiliate 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
Unaffiliated Underlying Fund; (b) is within the range of consideration
that the Unaffiliated Underlying Fund 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 an Unaffiliated Underlying Fund and
its investment adviser(s), or any person controlling, controlled by, or
under common control with such investment adviser(s).
    5. No Fund of Funds or Fund of Funds Affiliate (except to the
extent it is acting in its capacity as an investment adviser to an
Unaffiliated Underlying Fund or sponsor to an Unaffiliated Underlying
Trust) will cause an Unaffiliated Fund to purchase a security in any
Affiliated Underwriting.
    6. The Board of an Unaffiliated Underlying Fund, including a
majority of the Independent Trustees, will adopt procedures reasonably
designed to monitor any purchases of securities by the Unaffiliated
Underlying Fund in an Affiliated Underwriting once an investment by a
Fund of Funds in the securities of the Unaffiliated Underlying Fund
exceeds the limit of section 12(d)(1)(A)(i) of the Act, including any
purchases made directly from an Underwriting Affiliate. The Board of
the Unaffiliated Underlying Fund will review these purchases
periodically, but no less frequently than annually, to determine
whether or not the purchases were influenced by the investment by the
Fund of Funds in the Unaffiliated Underlying Fund. The Board of the
Unaffiliated Underlying Fund will consider, among other things: (a)
Whether or not the purchases were consistent with the investment
objectives and policies of the Unaffiliated Underlying Fund; (b) how
the performance of securities purchased in an Affiliated Underwriting
compares to the performance of comparable securities purchased during a
comparable period of time in underwritings other than Affiliated
Underwritings or to a benchmark such as a comparable market index; and
(c) whether or not the amount of securities purchased by the
Unaffiliated Underlying Fund in Affiliated Underwritings and the amount
purchased directly from an Underwriting Affiliate have changed
significantly from prior years. The Board of an Unaffiliated Underlying
Fund will take any appropriate actions based on its review, including,
if appropriate, the institution of procedures designed to assure that
purchases of securities in Affiliated Underwritings are in the best
interests of shareholders.
    7. Each Unaffiliated Underlying Fund will maintain and preserve
permanently in an easily accessible place a written copy of the
procedures described in the preceding condition, and any modifications
to such procedures, and will maintain and preserve for a period of not
less than six years from the end of the fiscal year in which any
purchase from an Affiliated Underwriting occurred, the first two years
in an easily accessible place, a written record of each purchase of
securities in an Affiliated Underwriting once an investment by a Fund
of Funds in the securities of an Unaffiliated Underlying Fund exceeds
the limit of section 12(d)(1)(A)(i) of the Act, setting forth the: (a)
Party from whom the securities were acquired, (b) identity of the
underwriting syndicate's members, (c) terms of the purchase, and (d)
information or materials upon which the determinations of the Board of
the Unaffiliated Underlying Fund were made.
    8. Prior to its investment in shares of an Unaffiliated Underlying
Fund in excess of the limit set forth in section 12(d)(1)(A)(i) of the
Act, the Fund of Funds and the Unaffiliated Underlying Fund will
execute a Participation Agreement stating, without limitation, that
their Boards 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 an
Unaffiliated Underlying Fund in excess of the limit set forth in
section 12(d)(1)(A)(i), a Fund of Funds will notify the Unaffiliated
Underlying Fund of the investment. At such time, the Fund of Funds will
also transmit to the Unaffiliated Underlying Fund a list of the names
of each Fund of Funds Affiliate and Underwriting Affiliate. The Fund of
Funds will notify the Unaffiliated Underlying Fund of any changes to
the list as soon as reasonably practicable after a change occurs. The
Unaffiliated Underlying Fund 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.
    9. Before approving any advisory contract under section 15 of the
Act, the Board of each Fund of Funds, including a majority of the
Independent Trustees, shall find that the advisory fees charged under
the advisory contract are based on services provided that are 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. Such finding, and the basis upon which the finding was
made, will be recorded fully in the minute books of the appropriate
Fund of Funds.
    10. MAM 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 an Unaffiliated Underlying
Fund pursuant to rule 12b-1 under the Act) received from an
Unaffiliated Fund by MAM, or an affiliated person of MAM, other than
any advisory fees paid to MAM or its affiliated person by an
Unaffiliated Underlying Fund, in connection with the investment by the
Fund of Funds in the Unaffiliated 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
by the Subadviser, or an affiliated person of the Subadviser, from an
Unaffiliated Fund, other than any advisory fees paid to the Subadviser
or its affiliated person by an Unaffiliated Underlying Fund, in

connection with the investment by the Fund of Funds in the Unaffiliated
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.
    11. With respect to Registered Separate Accounts that invest in a
Fund of Funds, no sales load will be charged at the Fund of Funds level
or at the Underlying Fund level. Other sales charges and service fees,
as defined in NASD Conduct Rule 2830, if any, will only be charged at
the Fund of Funds level or at the Underlying Fund level, not both. With
respect to other investments in a Fund of Funds, any sales charges and/
or service fees charged with respect to shares of a Fund of Funds will
not exceed the limits applicable to funds of funds set forth in NASD
Conduct Rule 2830.
    12. No Underlying Fund will acquire securities of any other
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
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. E9-29523 Filed 12-10-09; 8:45 am]

BILLING CODE 8011-01-P


Z: \ data \ SIP \ Connecticut \ 8 hour Ozone Redesignation \ MARAMA 2025 Appendices

Name	Size	Type	Last Modified
marama_2025_appendices.zip 	4,200KB	WinZip File	1/10/2013 10:57 AM

Appendix A1 AEO2010 New England.xls 	274KB	Microsoft Office Excel 97-2003 Worksheet	2/8/2012 10:46 AM
Appendix A2 AEO2010 Mid Atlantic.xls 	277KB	Microsoft Office Excel 97-2003 Worksheet	2/8/2012 10:46 AM
Appendix A3 AEO2010 South Atlantic.xls 	281KB	Microsoft Office Excel 97-2003 Worksheet	2/8/2012 10:46 AM
Appendix A4 AEO2011 New England.xlsx 	32KB	Microsoft Office Excel Worksheet	2/8/2012 10:46 AM
Appendix A5 AEO2011 Mid Atlantic.xlsx 	33KB	Microsoft Office Excel Worksheet	2/8/2012 10:46 AM
Appendix A6 AEO2011 South Atlantic.xlsx 	34KB	Microsoft Office Excel Worksheet	2/8/2012 10:46 AM
Appendix A7 AEO2010 vs AEO2011 Comparison.docx 	1,110KB	Microsoft Office Word Document	2/8/2012 10:46 AM
Appendix B Population_Factors.xls 	2,449KB	Microsoft Office Excel 97-2003 Worksheet	2/8/2012 10:46 AM
Appendix C Employment_Factors.xls 	3,001KB	Microsoft Office Excel 97-2003 Worksheet	2/8/2012 10:46 AM
Appendix D VMT GF Nonattainment Counties.xlsx 	23KB	Microsoft Office Excel Worksheet	2/8/2012 10:46 AM
Appendix E EPA2020 Res Wood.xls 	41KB	Microsoft Office Excel 97-2003 Worksheet	2/8/2012 10:46 AM
Appendix F AEO2011-Electricity_Generation_by_EMM.xlsx 	185KB	Microsoft Office Excel Worksheet	2/8/2012 10:46 AM
Appendix G UAF  NEEDS Control FileMASTER92211.xls 	1,544KB	Microsoft Office Excel 97-2003 Worksheet	2/8/2012 10:46 AM
Appendix H MAR Growth and Control.xls 	550KB	Microsoft Office Excel 97-2003 Worksheet	2/8/2012 10:46 AM