[Federal Register: September 16, 2010 (Volume 75, Number 179)]
[Notices]
[Page 56603-56607]
[DOCID:fr16se10-102]

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SECURITIES AND EXCHANGE COMMISSION

[Investment Company Act Release No. 29415; File No. 812-13465]

Tri-Continental Corporation, et al.; Notice of Application

September 10, 2010.
AGENCY: Securities and Exchange Commission (``Commission'').

ACTION: Notice of application under section 6(c) of the Investment
Company Act of 1940 (``Act'') for an exemption from section 19(b) of
the Act and rule 19b-1 under the Act.

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SUMMARY: Summary of Application: Applicants request an order to permit
certain registered closed-end investment companies to make periodic
distributions of long-term capital gains with respect to their common
shares as often as monthly in any one taxable year, and as frequently
as distributions are specified by or in accordance with the terms of
any preferred shares.
    Applicants: Tri-Continental Corporation (``Tri-Continental''),
RiverSource LaSalle International Real Estate Fund, Inc. (``RLIREF''),
Seligman Premium Technology Growth Fund, Inc. (``SPTGF,'' together with
Tri-Continental and RLIREF, the ``Funds''), and Columbia Management
Investment Advisers, LLC (the ``Investment Adviser'').

DATES: Filing Dates: The application was filed on December 26, 2007,
and amended on September 1, 2009, and May 13, 2010. Applicants have
agreed to file an amendment during the notice period, the substance of
which is reflected in this notice.
    Hearing or Notification of Hearing: An order granting the
application will be

issued unless the Commission orders a hearing. Interested persons may
request a hearing by writing to the Commission's Secretary and serving
applicants with a copy of the request, personally or by mail. Hearing
requests should be received by the Commission by 5:30 p.m. on October
4, 2010, 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: Tri-Continental, RLIREF,
and SPTGF, 50605 Ameriprise Financial Center, Minneapolis, MN 55474;
the Investment Adviser, 100 Federal Street, Boston, MA 02110.

FOR FURTHER INFORMATION CONTACT: Christine Y. Greenlees, Senior
Counsel, at<PHONE_NUMBER>, or Mary Kay Frech, Branch Chief, at (202)
551-6821 (Division of Investment Management, Office of Investment
Company Regulation).

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

Applicants' Representations

    1. Each of the Funds is a closed-end management investment company
registered under the Act and incorporated in the State of Maryland.\1\
Tri-Continental's investment objective is future growth of both capital
and income while providing reasonable current income. Tri-Continental's
common shares are listed on the New York Stock Exchange (``NYSE'').
Tri-Continental has also issued preferred shares. RLIREF's primary
investment objective is long-term capital appreciation and its
secondary objective is current income. RLIREF's common shares are
listed on the NYSE. To date, RLIREF has not issued preferred shares.
SPTGF's primary investment objective is growth of capital and current
income. SPTGF's common shares are listed on the NYSE. To date, SPTGF
has not issued preferred shares. Applicants believe that the
shareholders of each Fund are generally conservative, dividend-
sensitive investors who desire current income periodically and may
favor a fixed distribution policy.
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    \1\ All registered closed-end investment companies that
currently intend to rely on the order are named as applicants.
Applicants request that the order also apply to each registered
closed-end investment company that in the future: (a) Is advised by
the Investment Adviser (including any successor in interest) or by
an entity controlling, controlled by, or under common control
(within the meaning of section 2(a)(9) of the Act) with the
Investment Adviser; and (b) complies with the terms and conditions
of the application (included in the term ``Funds''). A successor in
interest is limited to entities that result from a reorganization
into another jurisdiction or a change in the type of business
organization.
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    2. The Investment Adviser, a wholly-owned subsidiary of Ameriprise
Financial, Inc., is registered under the Investment Advisers Act of
1940 (``Advisers Act''). The Investment Adviser acts as investment
adviser to the Funds. Each Fund will be advised by investment advisers
that are registered under the Advisers Act.
    3. Applicants state that prior to implementing a distribution plan,
the board of directors (the ``Board'') of each Fund, including a
majority of the members of the Board who are not ``interested persons''
of the Fund as defined in section 2(a)(19) of the Act (the
``Independent Directors''), will review information regarding the
purpose and terms of a proposed distribution policy, the likely effects
of such policy on the Fund's long-term total return (in relation to
market price and net asset value (``NAV'') per common share) and the
relationship between such Fund's distribution rate on its common shares
under the policy and such Fund's total return (in relation to NAV per
share). Applicants state that the Independent Directors also will
consider what conflicts of interest the Investment Adviser and the
affiliated persons of the Investment Adviser and each such Fund might
have with respect to the adoption or implementation of such policy.
Applicants further state that after considering such information, the
Board, including the Independent Directors, of each Fund will approve a
distribution policy with respect to such Fund's common shares (the
``Plan'') and will determine that such Plan is consistent with the
Fund's investment objective(s) and in the best interests of the Fund's
common shareholders.
    4. Applicants state that the purpose of each Fund's Plan is to
permit the Fund to distribute over the course of each year, through
periodic distributions as nearly equal as practicable and any required
special distributions, an amount closely approximating the total
taxable income of such Fund during such year and, if so determined by
its Board, all or a portion of the return of capital paid by portfolio
companies to such Fund during such year. Applicants note that under the
Plan, each Fund would distribute to its respective common shareholders
a fixed monthly percentage of the market price of such Fund's common
shares at a particular point in time or a fixed monthly percentage of
NAV at a particular time or a fixed monthly amount, any of which may be
adjusted from time to time. Applicants further state that the minimum
annual distribution rate would be independent of each Fund's
performance during any particular period, but would be expected to
correlate with such Fund's performance over time. Applicants explain
that except for extraordinary distributions and potential increases or
decreases in the final dividend periods in light of the Fund's
performance for the entire calendar year and to enable the Fund to
comply with the distribution requirements of subchapter M of the
Internal Revenue Code of 1986 (``Code'') for the calendar year, each
distribution on the common shares would be at the stated rate then in
effect.
    5. Applicants state that the Board of each of Tri-Continental and
RLIREF has adopted policies and procedures under rule 38a-1 under the
Act that are reasonably designed to ensure that all notices required to
be sent to the Fund's shareholders pursuant to section 19(a) of the
Act, rule 19a-1 under the Act, and condition 4 below (each a ``19(a)
Notice'') comply with condition 2.a. below, and that all other written
communications by the Fund or its agents regarding distributions under
the Plan include the disclosure required by condition 3.a. below.
Applicants state that the Board of each of Tri-Continental and RLIREF
also has adopted policies and procedures that require each of the Funds
to keep records that demonstrate its compliance with all of the
conditions of the requested order and that are necessary for such Fund
to form the basis for, or demonstrate the calculation of, the amounts
disclosed in its 19(a) Notices. SPTGF and any future Fund would adopt
similar policies and procedures before relying on the requested relief.

Applicants' Legal Analysis

    1. Section 19(b) of the Act generally makes it unlawful for any
registered investment company to make long-term capital gains
distributions more than once every twelve months. Rule 19b-1 under the
Act limits the number of capital gains dividends, as defined in section
852(b)(3)(C) of the Code (``distributions''), that a fund may make

with respect to any one taxable year to one, plus a supplemental
``clean up'' distribution made pursuant to section 855 of the Code not
exceeding 10% of the total amount distributed for the year, plus one
additional capital gain dividend made in whole or in part to avoid the
excise tax under section 4982 of the Code.
    2. Section 6(c) provides that the Commission may, by order upon
application, conditionally or unconditionally exempt any person,
security, or transaction, or any class or classes of persons,
securities or transactions, from any provision of the Act, if and to
the extent that the 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.
    3. Applicants state that one of the concerns underlying section
19(b) and rule 19b-1 is that shareholders might be unable to
differentiate between frequent distributions of capital gains and
dividends from investment income. Applicants state, however, that rule
19a-1 effectively addresses this concern by requiring that a separate
statement showing the sources of a distribution (e.g., net investment
income, net short-term capital gains, net long-term capital gains and/
or return of capital) accompany any distributions (or the confirmation
of the reinvestment of distributions) estimated to be sourced in part
from capital gains or capital. Applicants also state that the same
information is included in each Fund's annual reports to shareholders
and similar information is included on its IRS Form 1099-DIV, which is
sent to each common and preferred shareholder who received
distributions during a particular year (including shareholders who have
sold shares during the year).
    4. Applicants further state that each Fund will make the additional
disclosures required by the conditions set forth below, and each of
them has adopted, or will adopt, compliance policies and procedures in
accordance with rule 38a-1 under the Act to ensure that all required
19(a) Notices and disclosures are sent to shareholders. Applicants
argue that by providing the information required by section 19(a) and
rule 19a-1, and by complying with the procedures adopted under the Plan
and the conditions listed below, each Fund's shareholders would be
provided sufficient information to understand that their periodic
distributions are not tied to the Fund's net investment income (which
for this purpose is each Fund's taxable income other than from capital
gains) and realized capital gains to date, and may not represent yield
or investment return. Applicants also state that compliance with the
Fund's compliance procedures and condition 3 set forth below will
ensure that prospective shareholders and third parties are provided
with the same information. Accordingly, applicants assert that
continuing to subject the Funds to section 19(b) and rule 19b-1 would
afford shareholders no extra protection.
    5. Applicants note that section 19(b) and rule 19b-1 also were
intended to prevent certain improper sales practices, including, in
particular, the practice of urging an investor to purchase shares of a
fund on the basis of an upcoming capital gains dividend (``selling the
dividend''), where the dividend would result in an immediate
corresponding reduction in NAV and would be in effect a taxable return
of the investor's capital. Applicants submit that the ``selling the
dividend'' concern should not apply to closed-end investment companies,
such as the Funds, that do not continuously distribute shares.\2\
According to applicants, if the underlying concern extends to secondary
market purchases of shares of closed-end funds that are subject to a
large upcoming capital gains dividend, adoption of a periodic
distribution plan actually helps minimize the concern by avoiding,
through periodic distributions, any buildup of large end-of-the-year
distributions.
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    \2\ Applicants note that Tri-Continental is technically
continuously distributing its common shares because it has
outstanding warrants to purchase common stock, which were either
issued prior to 1940 or in connection with a series of corporate
acquisitions in the 1950s. In addition, Tri-Continental has a cash
purchase plan that is part of a dividend reinvestment plan, which is
described in its current prospectus and recently has accounted for
less than .6% of the average issued and outstanding shares of common
stock.
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    6. Applicants also note that common shares of closed-end funds
often trade in the marketplace at a discount to the funds' NAV.
Applicants believe that this discount may be reduced if the Funds are
permitted to pay relatively frequent dividends on their common shares
at a consistent rate, whether or not those dividends contain an element
of capital gain.
    7. Applicants assert that the application of rule 19b-1 to a Plan
actually could have an undesirable influence on portfolio management
decisions. Applicants state that, in the absence of an exemption from
rule 19b-1, the implementation of a periodic distribution plan imposes
pressure on management (a) not to realize any net long-term capital
gains until the point in the year that the fund can pay all of its
remaining distributions in accordance with rule 19b-1, and (b) not to
realize any long-term capital gains during any particular year in
excess of the amount of the aggregate pay-out for the year (since as a
practical matter excess gains must be distributed and accordingly would
not be available to satisfy pay-out requirements in following years),
notwithstanding that purely investment considerations might favor
realization of long-term gains at different times or in different
amounts. Applicants thus assert that by limiting the number of capital
gain distributions that a fund may make with respect to any one year,
rule 19b-1 may prevent the efficient operation of a periodic
distribution plan whenever that fund's realized net long-term capital
gains in any year exceed the total of the periodic distributions that
may include such capital gains under the rule.
    8. Applicants also assert that rule 19b-1 may cause fixed regular
periodic distributions under a periodic distribution plan to be funded
with returns of capital \3\ (to the extent net investment income and
realized short-term capital gains are insufficient to fund the
distribution), even though realized net long-term capital gains
otherwise could be available. To distribute all of a fund's long-term
capital gains within the limits in rule 19b-1, a fund may be required
to make total distributions in excess of the annual amount called for
by its periodic distribution plan, or to retain and pay taxes on the
excess amount. Applicants thus assert that the requested order would
minimize these effects of rule 19b-1 by enabling the Funds to realize
long-term capital gains as often as investment considerations dictate
without fear of violating rule 19b-1.
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    \3\ Returns of capital as used in the application means return
of capital for financial accounting purposes and not for tax
accounting purposes.
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    9. Applicants state that Revenue Ruling 89-81 under the Code
requires that a fund that has both common stock and preferred stock
outstanding designate the types of income, e.g., investment income and
capital gains, in the same proportion as the total distributions
distributed to each class for the tax year. To satisfy the
proportionate designation requirements of Revenue Ruling 89-81,
whenever a fund has realized a long-term capital gain with respect to a
given tax year, the fund must designate the required proportionate
share of such capital gain to be included in common and preferred stock
dividends. Applicants state that although rule 19b-1 allows a fund some
flexibility with respect to the frequency

of capital gains distributions, a fund might use all of the exceptions
available under the rule for a tax year and still need to distribute
additional capital gains allocated to the preferred stock to comply
with Revenue Ruling 89-81.
    10. Applicants assert that the potential abuses addressed by
section 19(b) and rule 19b-1 do not arise with respect to preferred
stock issued by a closed-end fund. Applicants assert that such
distributions are fixed or determined in periodic auctions by reference
to short-term interest rates rather than by reference to performance of
the issuer, and Revenue Ruling 89-81 determines the proportion of such
distributions that are comprised of the long-term capital gains.
    11. Applicants also submit that the ``selling the dividend''
concern is not applicable to preferred stock, which entitles a holder
to no more than a periodic dividend at a fixed rate or the rate
determined by the market, and, like a debt security, is priced based
upon its liquidation value, dividend rate, credit quality, and
frequency of payment. Applicants state that investors buy preferred
shares for the purpose of receiving payments at the frequency bargained
for, and do not expect the liquidation value of their shares to change.
    12. Applicants request an order under section 6(c) granting an
exemption from section 19(b) and rule 19b-1 to permit each Fund to
distribute periodic capital gain dividends (as defined in section
852(b)(3)(C) of the Code) as often as monthly in any one taxable year
in respect of its common shares and as often as specified by or
determined in accordance with the terms thereof in respect of its
preferred.

Applicants' Conditions

    Applicants agree that any order of the Commission granting the
requested relief will be subject to the following conditions:
    1. Compliance Review and Reporting. Each Fund's chief compliance
officer will: (a) Report to the Fund's Board, no less frequently than
once every three months or at the next quarterly scheduled regular
Board meeting, whether (i) the Fund and its Investment Adviser have
complied with the conditions of the order, and (ii) a material
compliance matter (as defined in rule 38a-1(e)(2) under the Act) has
occurred with respect to such conditions; and (b) review the adequacy
of the policies and procedures adopted by the Board no less frequently
than annually.
2. Disclosures to Fund Shareholders
    a. Each 19(a) Notice disseminated to the holders of the Fund's
common shares, in addition to the information required by section 19(a)
and rule 19a-1:
    i. Will provide, in a tabular or graphical format:
    (1) The amount of the distribution, on a per share basis, together
with the amounts of such distribution amount, on a per share basis and
as a percentage of such distribution amount, from estimated: (A) Net
investment income; (B) net realized short-term capital gains; (C) net
realized long-term capital gains; and (D) return of capital or other
capital source;
    (2) The fiscal year-to-date cumulative amount of distributions, on
a per share basis, together with the amounts of such cumulative amount,
on a per share basis and as a percentage of such cumulative amount of
distributions, from estimated: (A) Net investment income; (B) net
realized short-term capital gains; (C) net realized long-term capital
gains; and (D) return of capital or other capital source;
    (3) The average annual total return in relation to the change in
NAV for the 5-year period (or, if the Fund's history of operations is
less than five years, the time period commencing immediately following
the Fund's first public offering) ending on the last day of the month
ended immediately prior to the most recent distribution record date
compared to the current fiscal period's annualized distribution rate
expressed as a percentage of NAV as of the last day of the month prior
to the most recent distribution record date; and
    (4) The cumulative total return in relation to the change in NAV
from the last completed fiscal year to the last day of the month prior
to the most recent distribution record date compared to the fiscal
year-to-date cumulative distribution rate expressed as a percentage of
NAV as of the last day of the month prior to the most recent
distribution record date. Such disclosure shall be made in a type size
at least as large and as prominent as the estimate of the sources of
the current distribution; and
    ii. Will include the following disclosure:
    (1) ``You should not draw any conclusions about the Fund's
investment performance from the amount of this distribution or from the
terms of the Fund's Plan'';
    (2) ``The Fund estimates that it has distributed more than its
income and net realized capital gains; therefore, a portion of your
distribution may be a return of capital. A return of capital may occur,
for example, when some or all of the money that you invested in the
Fund is paid back to you. A return of capital distribution does not
necessarily reflect the Fund's investment performance and should not be
confused with `yield' or `income' ''; \4\ and
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    \4\ The disclosure in this condition 2.a.ii.(2) will be included
only if the current distribution or the fiscal year-to-date
cumulative distributions are estimated to include a return of
capital.
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    (3) ``The amounts and sources of distributions reported in this
19(a) Notice are only estimates and are not being provided for tax
reporting purposes. The actual amounts and sources of the amounts for
tax reporting purposes will depend upon the Fund's investment
experience during the remainder of its fiscal year and may be subject
to changes based on tax regulations. The Fund will send you a Form
1099-DIV for the calendar year that will tell you how to report these
distributions for Federal income tax purposes.''
    Such disclosure shall be made in a type size at least as large as
and as prominent as any other information in the 19(a) Notice and
placed on the same page in close proximity to the amount and the
sources of the distribution.
    b. On the inside front cover of each report to shareholders under
rule 30e-1 under the Act, the Fund will:
    i. Describe the terms of the Plan (including the fixed amount or
fixed percentage of the distributions and the frequency of the
distributions);
    ii. Include the disclosure required by condition 2.a.ii.(1) above;
    iii. State, if applicable, that the Plan provides that the Board
may amend or terminate the Plan at any time without prior notice to
Fund shareholders; and
    iv. Describe any reasonably foreseeable circumstances that might
cause the Fund to terminate the Plan and any reasonably foreseeable
consequences of such termination.
    c. Each report provided to shareholders under rule 30e-1 under the
Act and each prospectus filed with the Commission on Form N-2 under the
Act, will provide the Fund's total return in relation to changes in NAV
in the financial highlights table and in any discussion about the
Fund's total return.
3. Disclosure to Shareholders, Prospective Shareholders and Third
Parties
    a. Each Fund will include the information contained in the relevant
19(a) Notice, including the disclosure required by condition 2.a.ii.
above, in any written communication (other than a communication on Form
1099) about

the Plan or distributions under the Plan by the Fund, or agents that
the Fund has authorized to make such communication on the Fund's
behalf, to any Fund's common shareholder, prospective common
shareholder or third-party information provider;
    b. Each Fund will issue, contemporaneously with the issuance of any
19(a) Notice, a press release containing the information in the 19(a)
Notice and file with the Commission the information contained in such
19(a) Notice, including the disclosure required by condition 2.a.ii.
above, as an exhibit to its next filed Form N-CSR; and
    c. Each Fund will post prominently a statement on its (or the
Investment Adviser's) Web site containing the information in each 19(a)
Notice, including the disclosure required by condition 2.a.ii. above,
and will maintain such information on such Web site for at least 24
months.
4. Delivery of 19(a) Notices to Beneficial Owners
    If a broker, dealer, bank or other person (``financial
intermediary'') holds common stock issued by a Fund in nominee name, or
otherwise, on behalf of a beneficial owner, the Fund: (a) Will request
that the financial intermediary, or its agent, forward the 19(a) Notice
to all beneficial owners of the Fund's shares held through such
financial intermediary; (b) will provide, in a timely manner, to the
financial intermediary, or its agent, enough copies of the 19(a) Notice
assembled in the form and at the place that the financial intermediary,
or its agent, reasonably requests to facilitate the financial
intermediary's sending of the 19(a) Notice to each beneficial owner of
the Fund's shares; and (c) upon the request of any financial
intermediary, or its agent, that receives copies of the 19(a) Notice,
will pay the financial intermediary, or its agent, the reasonable
expenses of sending the 19(a) Notice to such beneficial owners.
5. Additional Board Determinations for Funds Whose Shares Trade at a
Premium
    If:
    a. A Fund's common shares have traded on the stock exchange that
they primarily trade on at the time in question at an average premium
to NAV equal to or greater than 10%, as determined on the basis of the
average of the discount or premium to NAV of the Fund's common shares
as of the close of each trading day over a 12-week rolling period (each
such 12-week rolling period ending on the last trading day of each
week); and
    b. The Fund's annualized distribution rate for such 12-week rolling
period, expressed as a percentage of NAV as of the ending date of such
12-week rolling period, is greater than the Fund's average annual total
return in relation to the change in NAV over the 2-year period ending
on the last day of such 12-week rolling period; then:
    i. At the earlier of the next regularly scheduled meeting or within
four months of the last day of such 12-week rolling period, the Board,
including a majority of the Independent Directors:
    (1) Will request and evaluate, and the Fund's Investment Adviser
will furnish, such information as may be reasonably necessary to make
an informed determination of whether the Plan should be continued or
continued after amendment;
    (2) Will determine whether continuation, or continuation after
amendment, of the Plan is consistent with the Fund's investment
objective(s) and policies and is in the best interests of the Fund and
its shareholders, after considering the information in condition
5.b.i.(1) above; including, without limitation:
    (A) Whether the Plan is accomplishing its purpose(s);
    (B) The reasonably foreseeable material effects of the Plan on the
Fund's long-term total return in relation to the market price and NAV
of the Fund's common shares; and
    (C) The Fund's current distribution rate, as described in condition
5.b. above, compared with the Fund's average annual taxable income or
total return over the 2-year period, as described in condition 5.b., or
such longer period as the Board deems appropriate; and
    (3) Based upon that determination, will approve or disapprove the
continuation, or continuation after amendment, of the Plan; and
    ii. The Board will record the information considered by it,
including its consideration of the factors listed in condition
5.b.i.(2) above, and the basis for its approval or disapproval of the
continuation, or continuation after amendment, of the Plan in its
meeting minutes, which must be made and preserved for a period of not
less than six years from the date of such meeting, the first two years
in an easily accessible place.
6. Public Offerings
    A Fund will not make a public offering of the Fund's common shares
other than:
    a. A rights offering below NAV to holders of the Fund's common
shares;
    b. An offering in connection with a dividend reinvestment and cash
purchase plan, merger, consolidation, acquisition, spin-off or
reorganization of the Fund or, in the case of Tri-Continental, in
connection with its outstanding warrants (9,491 of which were
outstanding on February 26, 2010); or
    c. An offering other than an offering described in conditions 6.a.
and 6.b. above, provided that, with respect to such other offering:
    i. The Fund's annualized distribution rate for the six months
ending on the last day of the month ended immediately prior to the most
recent distribution record date,\5\ expressed as a percentage of NAV
per share as of such date, is no more than 1 percentage point greater
than the Fund's average annual total return for the 5-year period
ending on such date; \6\ and
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    \5\ If the Fund has been in operation fewer than six months, the
measured period will begin immediately following the Fund's first
public offering.
    \6\ If the Fund has been in operation fewer than five years, the
measured period will begin immediately following the Fund's first
public offering.
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    ii. The transmittal letter accompanying any registration statement
filed with the Commission in connection with such offering discloses
that the Fund has received an order under section 19(b) to permit it to
make periodic distributions of long-term capital gains with respect to
its common stock as frequently as twelve times each year, and as
frequently as distributions are specified by or determined in
accordance with the terms of any outstanding preferred stock as such
Fund may issue.
7. Amendments to Rule 19b-1
    The requested order will expire on the effective date of any
amendment to rule 19b-1 that provides relief permitting certain closed-
end investment companies to make periodic distributions of long-term
capital gains with respect to their outstanding common stock as
frequently as twelve times each year.

    For the Commission, by the Division of Investment Management,
under delegated authority.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2010-23113 Filed 9-15-10; 8:45 am]
BILLING CODE 8010-01-P


From: " George D. Thurston, Sc. D." [ gdt1@ nyu. edu] Sent: 03/ 08/ 2006 10: 03 PM To: Johnd Bachmann/ RTP/ USEPA/ US@ EPA Subject: Testimony/ JAMA study just released John, No hard feelings regarding time limit, but you might still want to read what you missed in my last page. Also, here's the article I put in the record as an attachment to my testimony ( FYI: read what I add regarding it in my testimony). George  George D. Thurston, Associate Professor of Environmental Medicine Nelson Institute of Environmental Medicine, NYU School of Medicine 57 Old Forge Rd. Tuxedo, NY 10987 5007 USA PH: 845 731 3564 or, if not in service, call 212 263 7300 and ask for extension 885 5309 in Sterling Forest FAX: 845 351 5472 or 845 351 3317 Faculty Web Page: http:// www. med. nyu. edu/ people/ gdt1. html It is not enough to prepare our children for the world; We must also prepare the world for our children.   Luis J. Rodriguez


[Federal Register: July 9, 2009 (Volume 74, Number 130)]
[Notices]
[Page 32902]
[DOCID:fr09jy09-46]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 1494-376]

Grand River Dam Authority; Notice of Application for Amendment of
License and Soliciting Comments, Motions To Intervene, and Protests

July 1, 2009.
    a. Type of Application: Non-project use of project lands and
waters.
    b. Project Number: 1494-376.
    c. Date Filed: June 1, 2009.
    d. Applicant: Grand River Dam Authority.
    e. Name of Project: Pensacola Project.
    f. Location: The proposed non-project use is located in Lawhead
Hollow on Grand Lake, in Delaware County, Oklahoma.
    g. Filed Pursuant to: Federal Power Act, 16 U.S.C. 791a-825r.
    h. Applicant Contact: Ms. Tamara E. Jahnke, Assistant General
Council, Grand Dam River Authority, P.O. Box 409, Vinita, Oklahoma
74301,<PHONE_NUMBER>.
    i. FERC Contact: Any questions on this notice should be addressed
to Jade Alvey at<PHONE_NUMBER>.
    j. Deadline for filing comments and/or motions: August 3, 2009.
    All documents (original and eight copies) should be filed with:
Secretary, Federal Energy Regulatory Commission, 888 First Street, NE.,
Washington, DC 20426.
    The Commission's Rules of Practice and Procedure require all
interveners filing documents with the Commission to serve a copy of
that document on each person whose name appears on the official service
list for the project. Further, if an intervener files comments or
documents with the Commission relating to the merits of an issue that
may affect the responsibilities of a particular resource agency, they
must also serve a copy of the document on that resource agency. A copy
of any motion to intervene must also be served upon each representative
of the Applicant specified in the particular application.
    k. Description of Request: Grand River Dam Authority filed an
application seeking Commission authorization to permit Fox Pointe
Development, LLC to install two homeowners' docks and a walkway on
project lands along or near the shoreline of Lawhead Hollow on Grand
Lake in Eucha, Delaware County, Oklahoma. The application is for a
total of 19 boat slips and 21 PWCs. The filing includes maps and
descriptions of the areas and of dock and slip configurations,
photographs, environmental and historic considerations. No dredging is
proposed.
    l. Locations of the Application: A copy of the application is
available for inspection and reproduction at the Commission's Public
Reference Room, located at 888 First Street, NE., Room 2A, Washington,
DC 20426, or by calling<PHONE_NUMBER>. This filing may also be viewed
on the Commission's Web site at http://www.ferc.gov using the
``eLibrary'' link. Enter the docket number excluding the last three
digits in the docket number field (P-1494) to access the document. You
may also register online at http://www.ferc.gov/docs-filing/
esubscription.asp to be notified via e-mail of new filings and
issuances related to this or other pending projects. For assistance,
call 1-866-208-3372 or e-mail<EMAIL_ADDRESS>for TTY, call
(202) 502-8659. A copy is also available for inspection and
reproduction at the address in item (h) above.
    m. Individuals desiring to be included on the Commission's mailing
list should so indicate by writing to the Secretary of the Commission.
    n. Comments, Protests, or Motions To Intervene: Anyone may submit
comments, a protest, or a motion to intervene in accordance with the
requirements of Rules of Practice and Procedure, 18 CFR 385.210, .211,
.214. In determining the appropriate action to take, the Commission
will consider all protests or other comments filed, but only those who
file a motion to intervene in accordance with the Commission's Rules
may become a party to the proceeding. Any comments, protests, or
motions to intervene must be received on or before the specified
comment date for the particular application.
    o. Any filings must bear in all capital letters the title
``COMMENTS'', ``PROTEST'', or ``MOTION TO INTERVENE'', as applicable,
and the Project Number of the particular application to which the
filing refers.
    p. Agency Comments: Federal, state, and local agencies are invited
to file comments on the described application. A copy of the
application may be obtained by agencies directly from the Applicant. If
an agency does not file comments within the time specified for filing
comments, it will be presumed to have no comments. One copy of an
agency's comments must also be sent to the Applicant's representatives.
    q. Comments, protests and interventions may be filed electronically
via the Internet in lieu of paper. See, 18 CFR 385.2001(a)(1)(iii) and
the instructions on the Commission's Web site at http://www.ferc.gov
under the ``e-Filing'' link.

Kimberly D. Bose,
Secretary.
[FR Doc. E9-16160 Filed 7-8-09; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register: September 9, 2009 (Volume 74, Number 173)]
[Rules and Regulations]
[Page 46331-46334]
[DOCID:fr09se09-12]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2009-0476; Directorate Identifier 2008-NM-188-AD;
Amendment 39-16006; AD 2009-18-10]
RIN 2120-AA64

Airworthiness Directives; Boeing Model 707 Airplanes, and Model
720 and 720B Series Airplanes

AGENCY: Federal Aviation Administration (FAA), Department of
Transportation (DOT).

ACTION: Final rule.

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SUMMARY: The FAA is superseding an existing airworthiness directive
(AD), which applies to certain Boeing Model 707 airplanes, and Model
720 and 720B series airplanes. The existing AD currently requires
repetitive detailed inspections to detect cracks and corrosion on any
existing repairs and at certain body stations (STA) of the visible
surfaces of the wing to body terminal fittings including the web,
flanges, and ribs; and applicable related investigative and corrective
actions. This new AD retains the requirements of the existing AD and
requires repetitive ultrasonic inspections to detect any stress
corrosion cracks within the outboard flange of the left and right body
terminal fittings at STA 820, and related investigative and corrective
actions if necessary. This AD also provides an optional terminating
action for the repetitive inspections. This AD also adds two airplanes
to the applicability. This AD results from reports of cracks found in
the wing to body terminal fittings during routine inspections. We are
issuing this AD to detect and correct cracks and corrosion in the body
terminal fittings above and below the floor, which could cause loss of
support for the wing and could adversely affect the structural
integrity of the airplane.

DATES: This AD becomes effective October 14, 2009.
    The Director of the Federal Register approved the incorporation by
reference of a certain publication listed in the AD as of October 14,
2009.

ADDRESSES: For service information identified in this AD, contact
Boeing Commercial Airplanes, Attention: Data & Services Management,
P.O. Box 3707, MC 2H-65, Seattle, Washington 98124-2207; telephone 206-
544-5000, extension 1; fax<PHONE_NUMBER>; e-mail<EMAIL_ADDRESS>
Internet https://www.myboeingfleet.com.

Examining the AD Docket

    You may examine the AD docket on the Internet at http://
www.regulations.gov; or in person at the Docket Management Facility
between 9 a.m. and 5 p.m., Monday through Friday, except Federal
holidays. The AD docket contains this AD, the regulatory evaluation,
any comments received, and other information. The address for the
Docket Office (telephone<PHONE_NUMBER>) is the Document Management
Facility, U.S. Department of Transportation, Docket Operations, M-30,
West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE.,
Washington, DC 20590.

FOR FURTHER INFORMATION CONTACT: Berhane Alazar, Aerospace Engineer,
Airframe Branch, ANM-120S, FAA, Seattle Aircraft Certification Office,
1601 Lind Avenue, SW., Renton, Washington 98057-3356; telephone (425)
917-6577; fax<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Discussion

    The FAA issued a notice of proposed rulemaking (NPRM) to amend 14
CFR part 39 to include an AD that supersedes AD 2008-17-10, amendment
39-15648 (73 FR 50703, August 28, 2008). The existing AD applies to
certain Boeing Model 707 airplanes, and Model 720 and 720B series
airplanes. That NPRM was published in the Federal Register on May 26,
2009 (74 FR 24715). That NPRM proposed to continue to require detailed
inspections and applicable related investigative and corrective
actions. That NPRM also proposed to require repetitive ultrasonic
inspections to detect any stress corrosion cracks within the outboard
flange of the left and right body terminal fittings at station (STA)
820, and related investigative and corrective actions if necessary.
That NPRM also proposed an optional terminating action for the
repetitive inspections. That NPRM also proposed to add two airplanes to
the applicability.

Comments

    We provided the public the opportunity to participate in the
development of this AD. We have considered the comment that has been
received on the NPRM. The commenter concurs with the content of the
NPRM.

Conclusion

    We have carefully reviewed the available data, including the
comment that has been received, and determined that air safety and the
public interest require adopting the AD as proposed.

Costs of Compliance

    There are about 128 airplanes of the affected design in the
worldwide fleet. The following table provides the estimated costs for
U.S. operators to comply with this AD.

                                                                     Estimated Costs
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                             Average  labor                           Number of U.S.- registered
               Action                      Work hours        rate  per hour     Cost per airplane             airplanes                 Fleet cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Inspections (required by AD 2008-17- 20....................             $80  $1,600 per inspection   11.........................  $17,600 per inspection
 10).                                                                         cycle.                                               cycle.
Inspections (new required action)..  20 to 30, depending on              80  $1,600 to $2,400 per    Up to 13...................  Up to $31,200 per
                                      group.                                  inspection cycle.                                    inspection cycle.
--------------------------------------------------------------------------------------------------------------------------------------------------------

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.
    We are 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

    We have determined that this AD will not have federalism
implications under Executive Order 13132. This AD will 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 that this AD:
    (1) Is not a ``significant regulatory action'' under Executive
Order 12866;
    (2) Is not a ``significant rule'' under DOT Regulatory Policies and
Procedures (44 FR 11034, February 26, 1979); and
    (3) 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.
    We prepared a regulatory evaluation of the estimated costs to
comply with this AD and placed it in the AD docket. See the ADDRESSES
section for a location to examine the regulatory evaluation.

List of Subjects in 14 CFR Part 39

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

Adoption of the Amendment

0
Accordingly, under the authority delegated to me by the Administrator,
the FAA amends 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 Federal Aviation Administration (FAA) amends Sec.  39.13 by
removing amendment 39-15648 (73 FR 50703, August 28, 2008) and by
adding the following new airworthiness directive (AD):

2009-18-10 Boeing: Amendment 39-16006. Docket No. FAA-2009-0476;
Directorate Identifier 2008-NM-188-AD.

Effective Date

    (a) This AD becomes effective October 14, 2009.

Affected ADs

    (b) This AD supersedes AD 2008-17-10, amendment 39-15648.

Applicability

    (c) This AD applies to Boeing Model 707-100 long body, -200, -
100B long body, and -100B short body series airplanes; Model 707-
300, -300B, -300C, and -400 series airplanes; and Model 720 and 720B
series airplanes; certificated in any category; as identified in
Boeing 707 Alert Service Bulletin A3524, Revision 1, dated September
18, 2008.

Subject

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

Unsafe Condition

    (e) This AD results from new findings of cracks found in the
wing to body terminal fittings during routine inspections. We are
issuing this AD to detect and correct cracks and corrosion in the
body terminal fittings above and below the floor, which could cause
loss of support for the wing and could adversely affect the
structural integrity of the airplane.

Compliance

    (f) You are responsible for having the actions required by this
AD performed within the compliance times specified, unless the
actions have already been done.

Restatement of Requirements of AD 2008-17-10 With Updated Service
Information

Inspections and Corrective Actions

    (g) For airplanes identified in Boeing 707 Special Attention
Service Bulletin 3524, dated July 18, 2007: Within 24 months after
October 2, 2008 (the effective date of AD 2008-17-10), do detailed
inspections and applicable related investigative and corrective
actions, by accomplishing all the actions specified in the
Accomplishment Instructions of Boeing 707 Special Attention Service
Bulletin 3524, dated July 18, 2007; or Boeing 707 Alert Service
Bulletin A3524, Revision 1, dated September 18, 2008; except as
provided by paragraph (h) of this AD. After the effective date of
this AD, use only Boeing 707 Alert Service Bulletin A3524, Revision
1, dated September 18, 2008. Repeat the detailed inspections
thereafter at intervals not to exceed 24 months. Do all applicable
related investigative and corrective actions before further flight.
    (h) If any crack or corrosion is found during any inspection
required by paragraph (g) of this AD, and Boeing 707 Special
Attention Service Bulletin 3524, dated July 18, 2007, or Boeing 707
Alert Service Bulletin A3524, Revision 1, dated September 18, 2008,
specifies to contact Boeing for appropriate action: Before further
flight, repair the terminal fittings using a method approved in
accordance with the procedures specified in paragraph (o) of this
AD.

No Information Submission

    (i) Although Boeing 707 Special Attention Service Bulletin 3524,
dated July 18, 2007; and Boeing 707 Alert Service Bulletin A3524,
Revision 1, dated September 18, 2008; specify to submit information
to the manufacturer, this AD does not include that requirement.

New Requirements of This AD

Inspections

    (j) For Group 1 and Group 2 airplanes identified in Boeing 707
Alert Service Bulletin A3524, Revision 1, dated September 18, 2008,
on which a modification or repair was done in accordance with Boeing
707/720 Service Bulletin 2912, Revision 1, dated March 13, 1970: At
the later of the times specified in paragraphs (j)(1) and (j)(2) of
this AD, do an ultrasonic inspection to detect any stress corrosion
cracks within the outboard flange of the left and right body
terminal fittings at body station (STA) 820, and all applicable
related investigative and corrective actions, by accomplishing all
the actions specified in the Accomplishment Instructions of Boeing
707 Alert Service Bulletin A3524, Revision 1, dated September 18,
2008, except as provided by paragraph (m) of this AD. Repeat the
ultrasonic inspection thereafter at intervals not to exceed 24
months or 2,000 flight cycles, whichever occurs first. Do all
applicable related investigative and corrective actions before
further flight.
    (1) Within 24 months or 2,000 flight cycles after the effective
date of this AD, whichever occurs first.
    (2) Within 24 months or 2,000 flight cycles after doing the
repair or modification, whichever occurs first.
    (k) For Group 3 and Group 4 airplanes identified in Boeing 707
Alert Service Bulletin A3524, Revision 1, dated September 18, 2008:
Within 2,000 flight cycles or 24 months after the effective date of
this AD, whichever occurs first, do an ultrasonic inspection to
detect any stress corrosion cracks within the outboard flange of the
left and right body terminal fittings at STA 820, and all applicable
corrective actions, by accomplishing all the actions specified in
the Accomplishment Instructions of Boeing 707 Alert Service Bulletin
A3524, Revision 1, dated September 18, 2008, except as provided by
paragraph (m) of this AD. Repeat the ultrasonic inspection
thereafter at intervals not to exceed 24 months or 2,000 flight
cycles, whichever occurs first. Do all applicable corrective actions
before further flight.
    (l) For Group 4 airplanes identified in Boeing 707 Alert Service
Bulletin A3524, Revision 1, dated September 18, 2008: Within 24
months after the effective date of this AD, do detailed inspections
for corrosion and cracking of the body terminal fittings at STA 820,
and all applicable related investigative and corrective actions, by
accomplishing all the actions specified in the Accomplishment
Instructions of Boeing 707 Alert Service Bulletin A3524, Revision 1,
dated September 18, 2008, except as provided by paragraph (m) of
this AD. Repeat the detailed inspections thereafter at intervals not
to exceed 24 months. Do all applicable related investigative and
corrective actions before further flight.

Exception to Certain Procedures

    (m) If any crack or corrosion is found during any inspection
required by paragraph (j), (k), or (l) of this AD, and Boeing 707
Alert Service Bulletin A3524, Revision 1, dated September 18, 2008,
specifies to contact Boeing for appropriate action: Before further
flight, repair the terminal fittings using a method approved in
accordance with the procedures specified in paragraph (o) of this
AD.

    Note 1:  Boeing 707 Alert Service Bulletin A3524, Revision 1,
dated September 18, 2008, refers to Boeing 707/720 Service Bulletin
2912, Revision 1, dated March 13, 1970, as an additional source of
guidance for doing certain inspections and repairs.

Optional Terminating Action

    (n) Replacing a body terminal fitting with a fitting made from
7075-T73 material, using a method approved in accordance with the
procedures specified in paragraph (o) of this AD, terminates the
repetitive inspections required by this AD for that fitting only.

Alternative Methods of Compliance (AMOCs)

    (o)(1) The Manager, Seattle Aircraft Certification Office (ACO),
FAA, has the authority to approve AMOCs for this AD, if requested
using the procedures found in 14 CFR 39.19. Send information to
ATTN: Berhane Alazar, Aerospace Engineer, Airframe Branch, ANM-120S,
FAA, Seattle Aircraft Certification Office, 1601 Lind Avenue, SW.,
Renton, Washington 98057-3356; telephone<PHONE_NUMBER>; fax (425)
917-6590; or, e-mail information to 9-ANM-Seattle-ACO-AMOC-
<EMAIL_ADDRESS>    (2) To request a different method of compliance or a different
compliance time for this AD, follow the procedures in 14 CFR 39.19.
Before using any approved AMOC on any airplane to which the AMOC
applies, notify your principal maintenance inspector (PMI) or
principal avionics inspector (PAI), as appropriate, or lacking a
principal inspector, your local Flight Standards District Office.
The AMOC approval letter must specifically reference this AD.
    (3) An AMOC that provides an acceptable level of safety may be
used for any repair required by this AD, if it is approved by an
Authorized Representative for the Boeing Commercial Airplanes
Delegation Option Authorization Organization who has been authorized
by the Manager, Seattle ACO, to make those findings. For a repair
method to be approved, the repair must meet the certification basis
of the airplane, and the approval must specifically refer to this
AD.

Material Incorporated by Reference

    (p) You must use Boeing 707 Alert Service Bulletin A3524,
Revision 1, dated September 18, 2008, to do the actions required by
this AD, unless the AD specifies otherwise.
    (1) The Director of the Federal Register approved the
incorporation by reference of

this service information under 5 U.S.C. 552(a) and 1 CFR part 51.
    (2) For service information identified in this AD, contact
Boeing Commercial Airplanes, Attention: Data & Services Management,
P.O. Box 3707, MC 2H-65, Seattle, Washington 98124-2207; telephone
206-544-5000, extension 1; fax<PHONE_NUMBER>; e-mail
<EMAIL_ADDRESS>Internet https://www.myboeingfleet.com.
    (3) You may review copies of the service information at the FAA,
Transport Airplane Directorate, 1601 Lind Avenue, SW., Renton,
Washington. For information on the availability of this material at
the FAA, call<PHONE_NUMBER> or<PHONE_NUMBER>.
    (4) You may also review copies of the service information that
is incorporated by reference at the National Archives and Records
Administration (NARA). For information on the availability of this
material at NARA, call<PHONE_NUMBER>, or go to: http://
www.archives.gov/federal_register/code_of_federal_regulations/
ibr_locations.html.

    Issued in Renton, Washington, on August 18, 2009.
Stephen P. Boyd,
Acting Manager, Transport Airplane Directorate, Aircraft Certification
Service.
[FR Doc. E9-20838 Filed 9-8-09; 8:45 am]

BILLING CODE 4910-13-P


[Federal Register Volume 84, Number 193 (Friday, October 4, 2019)]
[Notices]
[Pages 53143-53144]
[FR Doc No: 2019-21688]

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ENVIRONMENTAL PROTECTION AGENCY

[EPA R9-2019-05; FRL-10000-77-Region 9]

Notice of Proposed Administrative Settlement Agreement and Order
on Consent for Removal Site Evaluation and Removal Action for the
Offsite Operable Unit of the Triple Site, Sunnyvale, California

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice of proposed settlement; request for public comment.

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

SUMMARY: In accordance with the Comprehensive Environmental Response,
Compensation and Liability Act of 1980, as amended (``CERCLA''), notice
is hereby given that the Environmental Protection Agency (``EPA''), has
entered into a proposed settlement, embodied in an Administrative
Settlement Agreement and Order on Consent for Removal Site Evaluation
and Removal Action (``Settlement Agreement''), with Advanced Micro
Devices, Inc. (``AMD''), Northrop Grumman Systems Corporation
(``NGC''), and Philips Semiconductors, Inc. (``PSI''). Under the
Settlement Agreement, AMD, NGC, and PSI agree to carry out a removal
action to investigate and address vapor intrusion in the Offsite
Operable Unit (``OOU'') of the Triple Site located in Sunnyvale,
California. In addition, AMD, NGC, and PSI agree to pay EPA compromised
past costs incurred by EPA at the OOU and future response costs
incurred by EPA at the OOU during the cleanup.

DATES: Comments must be received on or before November 4, 2019.

ADDRESSES: The Settlement Agreement is available for public inspection
at the United States Environmental Protection Agency, Superfund Records
Center, 75 Hawthorne Street, Room 3110, San Francisco, California
94105. Telephone:<PHONE_NUMBER>. Comments should be addressed to Rebekah
Reynolds, Assistant Regional Counsel, Office of Regional Counsel (ORC-
3), U.S. Environmental Protection Agency, 75 Hawthorne Street, San
Francisco, CA 94105; or Email<EMAIL_ADDRESS>and should
reference the Offsite Operable Unit, Triple Site, EPA R9-2019-05. EPA's
response to any comments received will be available for public
inspection at the same address.

FOR FURTHER INFORMATION CONTACT: Rebekah Reynolds, Assistant Regional
Counsel (ORC-3), Office of Regional Counsel, U.S. EPA Region IX, 75
Hawthorne Street, San Francisco, CA 94105; Email:
<EMAIL_ADDRESS>Phone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: Notice of this proposed administrative
settlement is made in accordance with the Section 122(i) of CERCLA. The
Settlement Agreement concerns work to be done by AMD, NGC, and PSI in
connection with the OOU of the Triple Site, located in Sunnyvale,
California. Parties to the Settlement Agreement include the EPA, AMD,
NGC, and PSI. The Site that is the subject of this Settlement Agreement
includes all portions of the OOU where CERCLA hazardous substances are
located. Under this Settlement Agreement, AMD, NGC and PSI agrees to
carry out a removal action to

investigate and address vapor intrusion. The performance of this work
by AMD, NGC, and PSI shall be approved and monitored by EPA. The
settlement includes a covenant not to sue pursuant to Sections 106 or
107(a) of CERCLA.
    Under the Settlement Agreement, AMD, NGC, and PSI also agree to pay
EPA $3,143,623.42 in past response costs. This represents a compromise
payment for past costs incurred by EPA. EPA is also entitled to
reimbursement of additional future response costs. EPA will consider
all comments received on the Settlement Agreement in accordance with
the DATES and ADDRESSES sections of this Notice and may modify or
withdraw its consent to the Settlement Agreement if comments received
disclose facts or considerations that indicate that the settlement is
inappropriate, improper, or inadequate.

    Dated: September 23, 2019.
John Lyons,
Acting Director, Superfund Division, EPA Region 9.
[FR Doc. 2019-21688 Filed 10-3-19; 8:45 am]
 BILLING CODE 6560-50-P


[Federal Register Volume 79, Number 84 (Thursday, May 1, 2014)]
[Notices]
[Pages 24731-24732]
[FR Doc No: 2014-09897]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2009-N-0458]

Providing Information About Pediatric Uses of Medical Devices;
Guidance for Industry and Food and Drug Administration Staff;
Availability

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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SUMMARY: The Food and Drug Administration (FDA) is announcing the
availability of the guidance entitled ``Providing Information about
Pediatric Uses of Medical Devices.'' FDA is issuing this guidance
document to describe how to compile and submit the readily available
pediatric use information required under the Federal Food, Drug, and
Cosmetic Act (the FD&C Act).

DATES: Submit either electronic or written comments on this guidance at
any time. General comments on Agency guidance documents are welcome at
any time.

ADDRESSES: An electronic copy of the guidance document is available for
download from the Internet. See the SUPPLEMENTARY INFORMATION section
for information on electronic access to the guidance. Submit written
requests for a single hard copy of the guidance document entitled
``Providing Information About Pediatric Uses of Medical Devices'' to
the Office of the Center Director, Guidance and Policy Development,
Center for Devices and Radiological Health (CDRH), Food and Drug
Administration, 10903 New Hampshire Ave., Bldg. 66, Rm. 5431, Silver
Spring, MD 20993-0002 or Office of Communication, Outreach and
Development (HFM-40), Center for Biologics Evaluation and Research
(CBER), Food and Drug Administration, 1401 Rockville Pike, Suite 200N,
Rockville, MD 20852-1448. Send one self-addressed adhesive label to
assist that office in processing your request.
    Submit electronic comments on the guidance to http://www.regulations.gov. Submit written comments to the Division of Dockets
Management (HFA-305), Food and Drug Administration, 5630 Fishers Lane,
Rm. 1061, Rockville, MD 20852. Identify comments with the docket number
found in brackets in the heading of this document.

FOR FURTHER INFORMATION CONTACT: Sheila Brown, Center for Devices and
Radiological Health, Food and Drug Administration, 10903 New Hampshire
Ave., Bldg. 66, Rm. 1651, Silver Spring, MD 20993-0002,<PHONE_NUMBER>;
or Stephen Ripley, Center for Biologics Evaluation and Research (HFM-
17), Food and Drug Administration, 1401 Rockville Pike, Suite 200N,
Rockville, MD 20852,<PHONE_NUMBER>.

I. Background

    On September 27, 2007, the Food and Drug Administration Amendments
Act of 2007 (FDAAA) \1\ (Pub. L. 110-85) amended the FD&C Act by
adding, among other things, a new section 515A (21 U.S.C. 360e-1) of
the FD&C Act. Section 515A(a) of the FD&C Act requires persons who
submit certain medical device applications to include, if readily
available: (1) A description of any pediatric subpopulations that
suffer from the disease or condition that the device is intended to
treat, diagnose, or

cure and (2) the number of affected pediatric patients.
---------------------------------------------------------------------------

    \1\ Title III of FDAAA, which includes new section 515A, is also
known as the Pediatric Medical Device Safety and Improvement Act of
2007.
---------------------------------------------------------------------------

    The purpose of this guidance document is to describe the type of
information that FDA believes is readily-available to the applicant,
and the information FDA believes should be included in a submission to
meet the requirements of section 515A(a) of the FD&C Act. The draft
version of this guidance was issued on February 19, 2013 (78 FR 11654).

II. Significance of Guidance

    This guidance is being issued consistent with FDA's good guidance
practices regulation (21 CFR 10.115). The guidance represents the
Agency's current thinking on the requirements relating to the
submission of information on pediatric subpopulations that suffer from
the disease or condition that a device is intended to treat, diagnose,
or cure. It does not create or confer any rights for or on any person
and does not operate to bind FDA or the public. An alternative approach
may be used if such approach satisfies the requirements of the
applicable statute and regulations.

III. Electronic Access

    Persons interested in obtaining a copy of the guidance may do so by
downloading an electronic copy from the Internet. A search capability
for all Center for Devices and Radiological Health guidance documents
is available at http://www.fda.gov/MedicalDevices/DeviceRegulationandGuidance/GuidanceDocuments/default.htm. Guidance
documents are also available at http://www.regulations.gov or from CBER
at http://www.fda.gov/BiologicsBloodVaccines/GuidanceComplianceRegulatoryInformation/default.htm. Persons unable to
download an electronic copy of ``Providing Information about Pediatric
Uses of Medical Devices,'' may send an email request to<EMAIL_ADDRESS>to receive an electronic copy of the document.
Please use the document number 1801 to identify the guidance you are
requesting.

IV. Paperwork Reduction Act of 1995

    On January 9, 2014, the Agency submitted a proposed collection of
information entitled ``Providing Information About Pediatric Uses of
Medical Devices Under Section 515A of the Federal Food, Drug and
Cosmetic Act'' to OMB for review and clearance under 44 U.S.C. 3507. 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. OMB has now approved the information
collection and has assigned OMB control number 0910-0762. The approval
expires on March 31, 2017. A copy of the supporting statement for this
information collection is available on the Internet at http://www.reginfo.gov/public/do/PRAMain.
    This guidance also refers to previously approved collections of
information found in FDA regulations. The collections of information in
21 CFR part 814, subpart B have been approved under OMB control number
0910-0231 and the collections of information in 21 CFR part 814,
subpart H have been approved under OMB control number 0910-0332.

V. Comments

    Interested persons may submit either written comments regarding
this document to http://www.regulations.gov or written comments to the
Division of Dockets Management (see ADDRESSES). It is only necessary to
send one set of comments. Identify comments with the docket number
found in brackets in the heading of this document. Received comments
may be seen in the Division of Dockets Management between 9 a.m. and 4
p.m., Monday through Friday, and will be posted to the docket at http://www.regulations.gov.

    Dated: April 25, 2014.
Leslie Kux,
Assistant Commissioner for Policy.
[FR Doc. 2014-09897 Filed 4-30-14; 8:45 am]
BILLING CODE 4160-01-P