[Federal Register Volume 84, Number 34 (Wednesday, February 20, 2019)]
[Notices]
[Pages 5122-5124]
[FR Doc No: 2019-02699]

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SECURITIES AND EXCHANGE COMMISSION

[Release Nos. 33-10604; 34-85118; IA-5111; IC-33373]

Adjustments to Civil Monetary Penalty Amounts

AGENCY: Securities and Exchange Commission.

ACTION: Notice of annual inflation adjustment of civil monetary
penalties.

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SUMMARY: The Securities and Exchange Commission (the ``Commission'') is
publishing this notice pursuant to the Federal Civil Penalties
Inflation Adjustment Act Improvements Act of 2015 (the ``2015 Act'').
This Act requires all agencies to annually adjust for inflation the
civil monetary penalties that can be imposed under the statutes
administered by the agency and publish the adjusted amounts in the
Federal Register. This notice sets forth the annual inflation
adjustment of the maximum amount of civil monetary penalties (``CMPs'')
administered by the Commission under the Securities Act of 1933, the
Securities Exchange Act of 1934 (the ``Exchange Act''), the Investment
Company Act of 1940, the Investment Advisers Act of 1940, and certain
penalties under the Sarbanes-Oxley Act of 2002. These amounts are
effective beginning on January 15, 2019, and will apply to all
penalties imposed after that date for violations of the aforementioned
statutes that occurred after November 2, 2015.

FOR FURTHER INFORMATION CONTACT: Stephen M. Ng, Senior Special Counsel,
Office of the General Counsel, at<PHONE_NUMBER>, or Hannah W. Riedel,
Senior Counsel, Office of the General Counsel, at<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

I. Background

    This notice is being published pursuant to the 2015 Act,\1\ which
amended the Federal Civil Penalties Inflation Adjustment Act of 1990
(the ``Inflation Adjustment Act'').\2\ The Inflation Adjustment Act
previously had been amended by the Debt Collection Improvement Act of
1996 (the ``DCIA'') \3\ to require that each federal agency adopt
regulations at least once every four years that adjust for inflation
the CMPs that can be imposed under the statutes administered by the
agency. Pursuant to this requirement, the Commission previously adopted
regulations in 1996, 2001, 2005, 2009, and 2013 to adjust the maximum
amount of the CMPs that could be imposed under the statutes the
Commission administers.\4\
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    \1\ Public Law 114-74 Sec. 701, 129 Stat. 599-601 (Nov. 2,
2015), codified at 28 U.S.C. 2461 note.
    \2\ Public Law 101-410, 104 Stat. 890-892 (1990), codified at 28
U.S.C. 2461 note.
    \3\ Public Law 104-134, Title III, Sec.  31001(s)(1), 110 Stat.
1321-373 (1996), codified at 28 U.S.C. 2461 note.
    \4\ See Release Nos. 33-7361, 34-37912, IA-1596, IC-22310, dated
November 1, 1996 (effective December 9, 1996), previously found at
17 CFR 201.1001 and Table I to Subpart E of Part 201; Release Nos.
33-7946, 34-43897, IA-1921, IC-24846, dated January 31, 2001
(effective February 2, 2001), previously found at 17 CFR 201.1002
and Table II to Subpart E of Part 201; Release Nos. 33-8530, 34-
51136, IA-2348, IC-26748, dated February 9, 2005 (effective February
14, 2005), previously found at 17 CFR 201.1003 and Table III to
Subpart E of Part 201; Release Nos. 33-9009, 34-59449, IA-2845, IC-
28635, dated February 25, 2009 (effective March 3, 2009), previously
found at 17 CFR 201.1004 and Table IV to Subpart E of Part 201; and
Release Nos. 33-9387, 34-68994, IA-3557, IC-30408, dated February
27, 2013 (effective March 5, 2013), previously found at 17 CFR
201.1005 and Table V to Subpart E of Part 201. The penalty amounts
contained in these releases have now been consolidated into Table I
to 17 CFR 201.1001.
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    The 2015 Act replaces the inflation adjustment formula prescribed
in the DCIA with a new formula for calculating the inflation-adjusted
amount of CMPs. The 2015 Act requires that agencies use this new
formula to re-calculate the inflation-adjusted amounts of the penalties
they administer on an annual basis and publish these new amounts in the
Federal Register by January 15 of each year.\5\ The Commission
previously published the first annual adjustment required by the 2015
Act on January 6, 2017 (the ``2017 Adjustment'').\6\ As part of the
2017 Adjustment, the Commission promulgated 17 CFR 201.1001(a) and
Table I to Subsection 1001, which lists the penalty amounts for all
violations that occurred on or before November 2, 2015. For violations
occurring after November 2, 2015, Subsection 1001(b) provides that the
applicable penalty amounts will be adjusted annually based on the
formula set forth in the 2015 Act. Subsection 1001(b) further provides
that these adjusted amounts will be published in the Federal Register
and on the Commission's website. The Commission subsequently published
the next annual adjustment on January 8, 2018 (the ``2018
Adjustment'').\7\
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    \5\ 28 U.S.C. 2461 note Sec. 4.
    \6\ Release Nos. 33-10276; 34-79749; IA-4599; IC-32414
(effective Jan. 18, 2017).
    \7\ Release Nos. 33-10451; 34-82455; IA-4842; IC-32963
(effective Jan. 15, 2018).
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    A CMP is defined in relevant part as any penalty, fine, or other
sanction that: (1) Is for a specific amount, or has a maximum amount,
as provided by federal law; and (2) is assessed or enforced by an
agency in an administrative proceeding or by a federal court pursuant
to federal law.\8\ This definition applies to the monetary penalty
provisions contained in four statutes administered by the Commission:
The Securities Act, the Exchange Act, the Investment Company Act, and
the Investment Advisers Act. In addition, the Sarbanes-Oxley Act
provides the Public Company Accounting Oversight Board (the ``PCAOB'')
authority to levy civil monetary penalties in its disciplinary
proceedings pursuant to 15 U.S.C. 7215(c)(4)(D).\9\ The definition of a
CMP in the Inflation Adjustment Act encompasses such civil monetary
penalties.\10\
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    \8\ 28 U.S.C. 2461 note Sec. 3(2).
    \9\ 15 U.S.C. 7215(c)(4)(D).
    \10\ The Commission may by order affirm, modify, remand, or set
aside sanctions, including civil monetary penalties, imposed by the
PCAOB. See Section 107(c) of the Sarbanes-Oxley Act of 2002, 15
U.S.C. 7217. The Commission may enforce such orders in federal
district court pursuant to Section 21(e) of the Exchange Act. As a
result, penalties assessed by the PCAOB in its disciplinary
proceedings are penalties ``enforced'' by the Commission for
purposes of the Inflation Adjustment Act. See Adjustments to Civil
Monetary Penalty Amounts, Release No. 33-8530 (Feb. 4, 2005) [70 FR
7606 (Feb. 14, 2005)].
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II. Adjusting the Commission's Penalty Amounts for Inflation

    This notice sets forth the annual inflation adjustment required by
the 2015 Act for all CMPs under the Securities Act, the Exchange Act,
the Investment Company Act, and the Investment Advisers Act, and
certain civil monetary penalties under the Sarbanes-Oxley Act.
    Pursuant to the 2015 Act, the penalty amounts in the 2018
Adjustment are adjusted for inflation by increasing them

by the percentage change between the Consumer Price Index for all Urban
Consumers (``CPI-U'') for October 2017 and the October 2018 CPI-U.\11\
OMB has provided its calculation of this multiplier (the ``CPI-U
Multiplier'') to agencies.\12\ The new penalty amounts are determined
by multiplying the amounts in the 2018 Adjustment by the CPI-U
Multiplier and then rounding to the nearest dollar.
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    \11\ 28 U.S.C. 2461 note Sec. 5.
    \12\ Office of Management and Budget, Implementation of Penalty
Inflation Adjustments for 2019, Pursuant to the Federal Civil
Penalties Inflation Adjustment Act Improvements Act of 2015
(December 17, 2018), available at https://www.whitehouse.gov/wp-content/uploads/2017/11/m_19_04.pdf. This multiplier represents the
percentage increase between the October 2017 CPI-U and the October
2018 CPI-U, plus 1.
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    For example, the CMP for certain insider trading violations by
controlling persons under Exchange Act Section 21A(a)(3) \13\ was
readjusted for inflation as part of the 2018 Adjustment to $2,052,107.
To determine the new CMP under this provision, the Commission
multiplies this amount by the CPI-U Multiplier of 1.02522, and rounds
to the nearest dollar. Thus, the new CMP for Exchange Act Section
21A(a)(3) is $2,103,861.
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    \13\ 15 U.S.C. 78u-1(a)(3).
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    Below is the Commission's calculation of the new penalty amounts
for the penalties it administers:

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                                                                       2018
                                         Civil monetary penalty     adjustment         CPI-U       2019 adjusted
          U.S. Code citation                   description            penalty       multiplier        penalty
                                                                      amounts                         amounts
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15 U.S.C. 77h-1(g) (Securities Act      For natural person......          $8,458         1.02522          $8,671
 Sec. 8A(g)).                           For any other person....          84,585         1.02522          86,718
                                        For natural person/fraud          84,585         1.02522          86,718
                                        For any other person/            422,925         1.02522         433,591
                                         fraud.
                                        For natural person/fraud/        169,171         1.02522         173,437
                                         substantial losses or
                                         risk of losses to
                                         others or gains to self.
                                        For any other person/            817,654         1.02522         838,275
                                         fraud/substantial
                                         losses or risk of
                                         losses to others or
                                         gain to self.
15 U.S.C. 77t(d) (Securities Act Sec.   For natural person......           9,239         1.02522           9,472
 20(d)).                                For any other person....          92,383         1.02522          94,713
                                        For natural person/fraud          92,383         1.02522          94,713
                                        For any other person/            461,916         1.02522         473,566
                                         fraud.
                                        For natural person/fraud/        184,767         1.02522         189,427
                                         substantial losses or
                                         risk of losses to
                                         others.
                                        For any other person/            923,831         1.02522         947,130
                                         fraud/substantial
                                         losses or risk of
                                         losses to others.
15 U.S.C. 78u(d)(3) (Exchange Act Sec.  For natural person......           9,239         1.02522           9,472
 21(d)(3)).                             For any other person....          92,383         1.02522          94,713
                                        For natural person/fraud          92,383         1.02522          94,713
                                        For any other person/            461,916         1.02522         473,566
                                         fraud.
                                        For natural person/fraud/        184,767         1.02522         189,427
                                         substantial losses or
                                         risk of losses to
                                         others or gains to self.
                                        For any other person/            923,831         1.02522         947,130
                                         fraud/substantial
                                         losses or risk of
                                         losses to others or
                                         gain to self.
15 U.S.C. 78u-1(a)(3) (Exchange Act     Insider Trading--              2,052,107         1.02522       2,103,861
 Sec. 21A(a)(3)).                        controlling person.
15 U.S.C. 78u-2 (Exchange Act Sec.      For natural person......           9,239         1.02522           9,472
 21B).                                  For any other person....          92,383         1.02522          94,713
                                        For natural person fraud          92,383         1.02522          94,713
                                        For any other person/            461,916         1.02522         473,566
                                         fraud.
                                        For natural person/fraud/        184,767         1.02522         189,427
                                         substantial losses or
                                         risk of losses to
                                         others.
                                        For any other person/            923,831         1.02522         947,130
                                         fraud/substantial
                                         losses or risk of
                                         losses to others.
15 U.S.C. 78ff(b) (Exchange Act Sec.    Exchange Act/failure to              545         1.02522             559
 32(b)).                                 file information
                                         documents, reports.
15 U.S.C. 78ff(c)(1)(B) (Exchange Act   Foreign Corrupt                   20,521         1.02522          21,039
 Sec. 32(c)(1)(B)).                      Practices--any issuer.
15 U.S.C. 78ff(c)(2)(B) (Exchange Act   Foreign Corrupt                   20,521         1.02522          21,039
 Sec. 32(c)(2)(B)).                      Practices--any agent or
                                         stockholder acting on
                                         behalf of issuer.
15 U.S.C. 80a-9(d) (Investment Company  For natural person......           9,239         1.02522           9,472
 Act Sec. 9(d)).                        For any other person....          92,383         1.02522          94,713
                                        For natural person/fraud          92,383         1.02522          94,713
                                        For any other person/            461,916         1.02522         473,566
                                         fraud.
                                        For natural person/fraud/        184,767         1.02522         189,427
                                         substantial losses or
                                         risk of losses to
                                         others or gains to self.
                                        For any other person/            923,831         1.02522         947,130
                                         fraud/substantial
                                         losses or risk of
                                         losses to others or
                                         gain to self.
15 U.S.C. 80a-41(e) (Investment         For natural person......           9,239         1.02522           9,472
 Company Act Sec. 42(e)).               For any other person....          92,383         1.02522          94,713
                                        For natural person/fraud          92,383         1.02522          94,713
                                        For any other person/            461,916         1.02522         473,566
                                         fraud.
                                        For natural person/fraud/        184,767         1.02522         189,427
                                         substantial losses or
                                         risk of losses to
                                         others.
                                        For any other person/            923,831         1.02522         947,130
                                         fraud/substantial
                                         losses or risk of
                                         losses to others.

15 U.S.C. 80b-3(i) (Investment          For natural person......           9,239         1.02522           9,472
 Advisers Act Sec. 203(i)).             For any other person....          92,383         1.02522          94,713
                                        For natural person/fraud          92,383         1.02522          94,713
                                        For any other person/            461,916         1.02522         473,566
                                         fraud.
                                        For natural person/fraud/        184,767         1.02522         189,427
                                         substantial losses or
                                         risk of losses to
                                         others or gains to self.
                                        For any other person/            923,831         1.02522         947,130
                                         fraud/substantial
                                         losses or risk of
                                         losses to others or
                                         gain to self.
15 U.S.C. 80b-9(e) (Investment          For natural person......           9,239         1.02522           9,472
 Advisers Act Sec. 209(e)).             For any other person....          92,383         1.02522          94,713
                                        For natural person/fraud          92,383         1.02522          94,713
                                        For any other person/            461,916         1.02522         473,566
                                         fraud.
                                        For natural person/fraud/        184,767         1.02522         189,427
                                         substantial losses or
                                         risk of losses to
                                         others.
                                        For any other person/            923,831         1.02522         947,130
                                         fraud/substantial
                                         losses or risk of
                                         losses to others.
15 U.S.C. 7215(c)(4)(D)(i) (Sarbanes-   For natural person......         136,052         1.02522         139,483
 Oxley Act Sec. 105(c)(4)(D)(i)).       For any other person....       2,721,050         1.02522       2,789,675
15 U.S.C. 7215(c)(4)(D)(ii) (Sarbanes-  For natural person......       1,020,394         1.02522       1,046,128
 Oxley Act Sec. 105(c)(4)(D)(ii)).      For any other person....      20,407,871         1.02522      20,922,558
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    Pursuant to the 2015 Act and 17 CFR 201.1001, the adjusted penalty
amounts in this notice (and all penalty adjustments performed pursuant
to the 2015 Act) apply to penalties imposed after the date the
adjustment is effective for violations that occurred after November 2,
2015, the 2015 Act's enactment date. These penalty amounts supersede
the amounts in the 2018 Adjustment.\14\ For violations that occurred on
or before November 2, 2015, the penalty amounts in Table I to 17 CFR
201.1001 continue to apply.\15\
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    \14\ The penalty amounts in this notice are being published in
the Federal Register and will not be added to the Code of Federal
Regulations in accordance with the 2015 Act and 17 CFR 201.1001(b).
See 28 U.S.C. 2461 note Sec. 4(a)(2); 17 CFR 201.1001(b). In
addition to being published in the Federal Register, the penalty
amounts in this notice will be made available on the Commission's
website at https://www.sec.gov/enforce/civil-penalties-inflation-adjustments.htm, as detailed in 17 CFR 201.1001(b). This website
also lists the penalty amounts for violations that occurred on or
before November 2, 2015.
    \15\ 17 CFR 201.1001(a).
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    By the Commission.

    Dated: February 13, 2019.
Eduardo A. Aleman,
Deputy Secretary.
[FR Doc. 2019-02699 Filed 2-19-19; 8:45 am]
 BILLING CODE 8011-01-P


Date Modified: 8/ 23/ 2006 By: Abt Associates Inc. Data Sources: Survey Data, EPA Analysis Description:

Purpose:

The original version of this file contains, or is linked to a file that contains, confidential business information ( CBI), or information that could be used to reveal CBI. As a result, the values for any variables determined by EPA to be CBI, or that could be used to reveal CBI, have been replaced with dummy values. Such variables have been marked with light orange highlight. It should be noted that the dummy values have been added to illustrate how the spreadsheets work; they may not always be consistent with other data provided for the same model facility. Any observed patterns of the dummy values is for illustration purposes only and has no significance with respect to the original values. It should also be noted that any information that uses the dummy values will not show the true results of EPA's analysis.

Many of the spreadsheets in this part of the docket are linked to other spreadsheets so that the user can follow the flow of data through the analysis. When opening such a linked spreadsheet, click " No" at the initial message box to avoid delays while the spreadsheet tries to update. Also, in some cases, a formula may exhibit a value of "# VALUE!". In this case, open the spreadsheet from which the cell in question pulls its information to reestablish the broken link. If the user wishes to replace the existing data with their own data to see the effect of such changes, other linked spreadsheets need to be opened for the change to take effect throughout the analysis. To see a list of all spreadsheets linked to a given spreadsheet, go to Edit | Links. Assess reasonableness of including facilities in the Other Industries within the finding of economic practicability for the proposed regulation. Comparison of compliance cost metrics for facilities in Other Industries to facilities in the Primary Manufacturing Industries.

8/ 23/ 2006 DCTM_ ARP. xls  File Info Economic indicator dollar values are in millions Ratio of Total Annualized Compliance Cost to Facility Revenue Employment Operating Expenses Net Income Assets Prim. Mfg Industries Other Industries Prim. Mfg Industries Other Industries Prim. Mfg Industries Other Industries Prim. Mfg Industries Other Industries Prim. Mfg Industries Other Industries Median 10.00 10.00 10.00 10.00 1.00 1.00 1.00 1.00 1.00 1.00 Mean 10.00 10.00 10.00 10.00 1.00 1.00 1.00 1.00 1.00 1.00 Std. Dev. 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 Minimum 10.00 10.00 10.00 10.00 1.00 1.00 1.00 1.00 1.00 1.00 Maximum 10.00 10.00 10.00 10.00 1.00 1.00 1.00 1.00 1.00 1.00 5th Percentile 10.00 10.00 10.00 10.00 1.00 1.00 1.00 1.00 1.00 1.00 25th Percentile 10.00 10.00 10.00 10.00 1.00 1.00 1.00 1.00 1.00 1.00 75th Percentile 10.00 10.00 10.00 10.00 1.00 1.00 1.00 1.00 1.00 1.00 95th Percentile 10.00 10.00 10.00 10.00 1.00 1.00 1.00 1.00 1.00 1.00 Ratio of Compliance Operating and Maintenance Cost to Facility Revenue Employment Operating Expenses Net Income Assets Prim. Mfg Industries Other Industries Prim. Mfg Industries Other Industries Prim. Mfg Industries Other Industries Prim. Mfg Industries Other Industries Prim. Mfg Industries Other Industries Median 20.00 20.00 20.00 20.00 2.00 2.00 2.00 2.00 2.00 2.00 Mean 20.00 20.00 20.00 20.00 2.00 2.00 2.00 2.00 2.00 2.00 Std. Dev. 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 Minimum 20.00 20.00 20.00 20.00 2.00 2.00 2.00 2.00 2.00 2.00 Maximum 20.00 20.00 20.00 20.00 2.00 2.00 2.00 2.00 2.00 2.00 5th Percentile 20.00 20.00 20.00 20.00 2.00 2.00 2.00 2.00 2.00 2.00 25th Percentile 20.00 20.00 20.00 20.00 2.00 2.00 2.00 2.00 2.00 2.00 75th Percentile 20.00 20.00 20.00 20.00 2.00 2.00 2.00 2.00 2.00 2.00 95th Percentile 20.00 20.00 20.00 20.00 2.00 2.00 2.00 2.00 2.00 2.00 Ratio of Compliance Capital Cost to Facility Revenue Employment Operating Expenses Net Income Assets Prim. Mfg Industries Other Industries Prim. Mfg Industries Other Industries Prim. Mfg Industries Other Industries Prim. Mfg Industries Other Industries Prim. Mfg Industries Other Industries Median 30.00 30.00 30.00 30.00 3.00 3.00 3.00 3.00 3.00 3.00 Mean 30.00 30.00 30.00 30.00 3.00 3.00 3.00 3.00 3.00 3.00 Std. Dev. 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 Minimum 30.00 30.00 30.00 30.00 3.00 3.00 3.00 3.00 3.00 3.00 Maximum 30.00 30.00 30.00 30.00 3.00 3.00 3.00 3.00 3.00 3.00 5th Percentile 30.00 30.00 30.00 30.00 3.00 3.00 3.00 3.00 3.00 3.00 25th Percentile 30.00 30.00 30.00 30.00 3.00 3.00 3.00 3.00 3.00 3.00 75th Percentile 30.00 30.00 30.00 30.00 3.00 3.00 3.00 3.00 3.00 3.00 95th Percentile 30.00 30.00 30.00 30.00 3.00 3.00 3.00 3.00 3.00 3.00 8/ 23/ 2006 DCTM_ ARP. xls, Summary Stat Tables Ratio of Total Annualized Compliance Cost to Facility Industry SIC Code Revenue Employment Operating Expenses Net Income Assets Agriculture, crops 0133 1 0.0% 0.0% 0.0% 0.0% 0.0%

Iron ores 1011 2 0.0% 0.0% 0.0% 0.0% 0.0%

Potash, soda, & borate minerals 1474 3 0.0% 0.0% 0.0% 0.0% 0.0%

Wet corn milling 2046 4 0.0% 0.0% 0.0% 0.0% 0.0%

Wet corn milling 2046 5 0.0% 0.0% 0.0% 0.0% 0.0%

Wet corn milling 2046 6 0.0% 0.0% 0.0% 0.0% 0.0%

Raw cane sugar 2061 7 0.0% 0.0% 0.0% 0.0% 0.0%

Cane sugar refining 2062 8 0.0% 0.0% 0.0% 0.0% 0.0%

Cane sugar refining 2062 9 0.0% 0.0% 0.0% 0.0% 0.0%

Cane sugar refining 2062 10 0.0% 0.0% 0.0% 0.0% 0.0%

Beet sugar 2063 11 0.0% 0.0% 0.0% 0.0% 0.0%

Beet sugar 2063 12 0.0% 0.0% 0.0% 0.0% 0.0%

Distilled liquor, except brandy 2085 13 0.0% 0.0% 0.0% 0.0% 0.0%

Finishing plants, cotton 2261 14 0.0% 0.0% 0.0% 0.0% 0.0%

Sawmills & planing mills 2421 15 0.0% 0.0% 0.0% 0.0% 0.0%

Sawmills & planing mills 2421 16 0.0% 0.0% 0.0% 0.0% 0.0%

Cutlery 3421 17 0.0% 0.0% 0.0% 0.0% 0.0%

Aircraft engines & engine parts 3724 18 0.0% 0.0% 0.0% 0.0% 0.0%

8/ 23/ 2006 DCTM_ ARP. xls, Other Ind Facilities Comparison Percentile Rank of Other Industries Facilities Against Primary Manufacturing Industries Facilities Other Industries Facilities Ratio of Total Annualized Compliance Cost to Facility No. SIC Code Industry Sector Revenue Employment Op. Expense Net Income Assets 1 0133 Agriculture: sugarcane and sugar beets 0.0% 0.0% 0.0% 0.0% 0.0%

2 1011 Mining: iron ore 0.0% 0.0% 0.0% 0.0% 0.0% 3 1474 Mining: potash, soda, & borate minerals 0.0% 0.0% 0.0% 0.0% 0.0%

4 2046 Food products: wet corn milling 0.0% 0.0% 0.0% 0.0% 0.0% 5 2046 Food products: wet corn milling 0.0% 0.0% 0.0% 0.0% 0.0% 6 2046 Food products: wet corn milling 0.0% 0.0% 0.0% 0.0% 0.0% 7 2061 Food products: raw cane sugar 0.0% 0.0% 0.0% 0.0% 0.0% 8 2062 Food products: cane sugar refining 0.0% 0.0% 0.0% 0.0% 0.0%

9 2062 Food products: cane sugar refining 0.0% 0.0% 0.0% 0.0% 0.0%

10 2062 Food products: cane sugar refining 0.0% 0.0% 0.0% 0.0% 0.0%

11 2063 Food products: beet sugar 0.0% 0.0% 0.0% 0.0% 0.0% 12 2063 Food products: beet sugar 0.0% 0.0% 0.0% 0.0% 0.0% 13 2085 Food products: distilled liquor, except brandy 0.0% 0.0% 0.0% 0.0% 0.0%

14 2261 Textile products: finishing plants, cotton 0.0% 0.0% 0.0% 0.0% 0.0%

15 2421 Lumber and wood products: sawmills & planing mills 0.0% 0.0% 0.0% 0.0% 0.0%

16 2421 Lumber and wood products: sawmills & planing mills 0.0% 0.0% 0.0% 0.0% 0.0%

17 3421 Fabricated metal products: cutlery 0.0% 0.0% 0.0% 0.0% 0.0% 18 3724 Transportation equipment: aircraft engines & engine parts 0.0% 0.0% 0.0% 0.0% 0.0%

8/ 23/ 2006 DCTM_ ARP. xls, Summary Comparison Table Record for the Proposed Section 316( b) Rule for Phase III Facilities 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 A B C D E F G H I J K L M N O Baseline Financial Data  Excluding Baseline Closure Facilities ( from 8 2533 data2. txt  dummy values used)

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 Survey ID ( Abt) Survey ID ( Costs) Weight Sector Total Annualized Cost O& M Cost Capital Cost Avg Revenue ( millions) Employment Operating Expenses Net Income Assets Total Cost /

Revenue Total Cost / Employment Total Cost /

Operating Expenses ALUMINUM 22 1.00 Aluminum 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.000 10.000 1.000 23 1.00 Aluminum 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.000 10.000 1.000 24 1.00 Aluminum 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.000 10.000 1.000 25 1.00 Aluminum 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.000 10.000 1.000 26 1.00 Aluminum 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.000 10.000 1.000 CHEMICALS 27 1.00 Chemicals 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 28 1.00 Chemicals 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 29 1.00 Chemicals 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 30 1.00 Chemicals 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 31 1.00 Chemicals 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 32 1.00 Chemicals 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 33 1.00 Chemicals 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 34 1.00 Chemicals 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 35 1.00 Chemicals 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 36 1.00 Chemicals 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 37 1.00 Chemicals 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 38 1.00 Chemicals 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 39 1.00 Chemicals 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 40 1.00 Chemicals 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 41 1.00 Chemicals 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 42 1.00 Chemicals 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 43 1.00 Chemicals 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 44 1.00 Chemicals 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 45 1.00 Chemicals 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 46 1.00 Chemicals 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 47 1.00 Chemicals 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 48 1.00 Chemicals 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 49 1.00 Chemicals 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 50 1.00 Chemicals 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 51 1.00 Chemicals 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 52 1.00 Chemicals 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 53 1.00 Chemicals 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 54 1.00 Chemicals 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 55 1.00 Chemicals 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 56 1.00 Chemicals 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 57 1.00 Chemicals 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 58 1.00 Chemicals 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 59 1.00 Chemicals 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 60 1.00 Chemicals 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 61 1.00 Chemicals 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 62 1.00 Chemicals 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 63 1.00 Chemicals 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 64 1.00 Chemicals 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 65 1.00 Chemicals 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 66 1.00 Chemicals 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 67 1.00 Chemicals 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 68 1.00 Chemicals 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 69 1.00 Chemicals 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 70 1.00 Chemicals 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 71 1.00 Chemicals 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 PAPER November 11, 2004 5 of 21 DCTM_ ARP. xls  Data Record for the Proposed Section 316( b) Rule for Phase III Facilities 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 P Q R S T U V W X Y Z AA AB 16 17 18 19 20 21 22 23 24 25 26 27 Total Cost /

Net Income Total Cost /

Assets O& M Cost /

Revenue O& M Cost / Employment O& M Cost /

Operating Expenses O& M Cost / Net Income O& M Cost /

Assets Capital Cost /

Revenue Capital Cost /

Employment Capital Cost /

Operating Expenses Capital Cost /

Net Income Capital Cost /

Assets Baseline Closure 1.000 1.000 20.000 20.000 2.000 2.000 2.000 30.000 30.000 3.000 3.000 3.000 0 1.000 1.000 20.000 20.000 2.000 2.000 2.000 30.000 30.000 3.000 3.000 3.000 0 1.000 1.000 20.000 20.000 2.000 2.000 2.000 30.000 30.000 3.000 3.000 3.000 0 1.000 1.000 20.000 20.000 2.000 2.000 2.000 30.000 30.000 3.000 3.000 3.000 0 1.000 1.000 20.000 20.000 2.000 2.000 2.000 30.000 30.000 3.000 3.000 3.000 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 November 11, 2004 6 of 21 DCTM_ ARP. xls  Data Record for the Proposed Section 316( b) Rule for Phase III Facilities 3 4 A B C D E F G H I J K L M N O Survey ID ( Abt) Survey ID ( Costs) Weight Sector Total Annualized Cost O& M Cost Capital Cost Avg Revenue ( millions) Employment Operating Expenses Net Income Assets Total Cost /

Revenue Total Cost / Employment Total Cost /

Operating Expenses 59 60 61 62 63 64 65 66 67 68 69 70 71 72 73 74 75 76 77 78 79 80 81 82 83 84 85 86 87 88 89 90 91 92 93 94 95 96 97 98 99 100 101 102 103 104 105 106 107 108 109 110 111 112 113 114 115 116 72 1.00 Paper 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 73 1.00 Paper 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 74 1.00 Paper 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 75 1.00 Paper 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 76 1.00 Paper 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 77 1.00 Paper 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 78 1.00 Paper 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 79 1.00 Paper 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 80 1.00 Paper 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 81 1.00 Paper 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 82 1.00 Paper 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 83 1.00 Paper 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 84 1.00 Paper 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 85 1.00 Paper 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 86 1.00 Paper 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 87 1.00 Paper 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 88 1.00 Paper 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 89 1.00 Paper 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 90 1.00 Paper 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 91 1.00 Paper 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 92 1.00 Paper 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 93 1.00 Paper 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 94 1.00 Paper 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 95 1.00 Paper 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 96 1.00 Paper 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 97 1.00 Paper 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 98 1.00 Paper 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 99 1.00 Paper 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 100 1.00 Paper 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 101 1.00 Paper 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 102 1.00 Paper 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 103 1.00 Paper 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 104 1.00 Paper 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 105 1.00 Paper 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 106 1.00 Paper 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 107 1.00 Paper 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 108 1.00 Paper 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 109 1.00 Paper 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 110 1.00 Paper 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 111 1.00 Paper 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 112 1.00 Paper 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 113 1.00 Paper 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 114 1.00 Paper 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 115 1.00 Paper 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 116 1.00 Paper 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 117 1.00 Paper 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 118 1.00 Paper 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 119 1.00 Paper 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 120 1.00 Paper 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 121 1.00 Paper 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 122 1.00 Paper 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 123 1.00 Paper 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 124 1.00 Paper 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 125 1.00 Paper 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 126 1.00 Paper 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 127 1.00 Paper 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 128 1.00 Paper 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 129 1.00 Paper 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 November 11, 2004 7 of 21 DCTM_ ARP. xls  Data Record for the Proposed Section 316( b) Rule for Phase III Facilities 3 4 P Q R S T U V W X Y Z AA AB Total Cost /

Net Income Total Cost /

Assets O& M Cost /

Revenue O& M Cost / Employment O& M Cost /

Operating Expenses O& M Cost / Net Income O& M Cost /

Assets Capital Cost /

Revenue Capital Cost /

Employment Capital Cost /

Operating Expenses Capital Cost /

Net Income Capital Cost /

Assets Baseline Closure 59 60 61 62 63 64 65 66 67 68 69 70 71 72 73 74 75 76 77 78 79 80 81 82 83 84 85 86 87 88 89 90 91 92 93 94 95 96 97 98 99 100 101 102 103 104 105 106 107 108 109 110 111 112 113 114 115 116 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 November 11, 2004 8 of 21 DCTM_ ARP. xls  Data Record for the Proposed Section 316( b) Rule for Phase III Facilities 3 4 A B C D E F G H I J K L M N O Survey ID ( Abt) Survey ID ( Costs) Weight Sector Total Annualized Cost O& M Cost Capital Cost Avg Revenue ( millions) Employment Operating Expenses Net Income Assets Total Cost /

Revenue Total Cost / Employment Total Cost /

Operating Expenses 117 118 119 120 121 122 123 124 125 126 127 128 129 130 131 132 133 134 135 136 137 138 139 140 141 142 143 144 145 146 147 148 149 150 151 152 153 154 155 156 157 158 159 160 161 162 163 164 165 166 167 168 169 170 171 172 173 130 1.00 Paper 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 131 1.00 Paper 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 132 1.00 Paper 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 133 1.00 Paper 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 134 1.00 Paper 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 135 1.00 Paper 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 136 1.00 Paper 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 137 1.00 Paper 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 138 1.00 Paper 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 139 1.00 Paper 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 140 1.00 Paper 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 141 1.00 Paper 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 142 1.00 Paper 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 143 1.00 Paper 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 144 1.00 Paper 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 145 1.00 Paper 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 146 1.00 Paper 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 147 1.00 Paper 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 148 1.00 Paper 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 PETROLEUM 149 1.00 Petroleum 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 150 1.00 Petroleum 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 151 1.00 Petroleum 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 152 1.00 Petroleum 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 153 1.00 Petroleum 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 154 1.00 Petroleum 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 155 1.00 Petroleum 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 156 1.00 Petroleum 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 157 1.00 Petroleum 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 158 1.00 Petroleum 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 159 1.00 Petroleum 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 160 1.00 Petroleum 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 161 1.00 Petroleum 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 162 1.00 Petroleum 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 163 1.00 Petroleum 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 164 1.00 Petroleum 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 165 1.00 Petroleum 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 166 1.00 Petroleum 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 167 1.00 Petroleum 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 168 1.00 Petroleum 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 169 1.00 Petroleum 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 170 1.00 Petroleum 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 STEEL 171 1.00 Steel 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 172 1.00 Steel 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 173 1.00 Steel 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 174 1.00 Steel 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 175 1.00 Steel 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 176 1.00 Steel 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 177 1.00 Steel 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 178 1.00 Steel 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 179 1.00 Steel 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 180 1.00 Steel 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 181 1.00 Steel 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 182 1.00 Steel 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 November 11, 2004 9 of 21 DCTM_ ARP. xls  Data Record for the Proposed Section 316( b) Rule for Phase III Facilities 3 4 P Q R S T U V W X Y Z AA AB Total Cost /

Net Income Total Cost /

Assets O& M Cost /

Revenue O& M Cost / Employment O& M Cost /

Operating Expenses O& M Cost / Net Income O& M Cost /

Assets Capital Cost /

Revenue Capital Cost /

Employment Capital Cost /

Operating Expenses Capital Cost /

Net Income Capital Cost /

Assets Baseline Closure 117 118 119 120 121 122 123 124 125 126 127 128 129 130 131 132 133 134 135 136 137 138 139 140 141 142 143 144 145 146 147 148 149 150 151 152 153 154 155 156 157 158 159 160 161 162 163 164 165 166 167 168 169 170 171 172 173 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 November 11, 2004 10 of 21 DCTM_ ARP. xls  Data Record for the Proposed Section 316( b) Rule for Phase III Facilities 3 4 A B C D E F G H I J K L M N O Survey ID ( Abt) Survey ID ( Costs) Weight Sector Total Annualized Cost O& M Cost Capital Cost Avg Revenue ( millions) Employment Operating Expenses Net Income Assets Total Cost /

Revenue Total Cost / Employment Total Cost /

Operating Expenses 174 175 176 177 178 179 180 181 182 183 184 185 186 187 188 189 190 191 192 193 194 195 196 197 198 199 200 201 202 203 183 1.00 Steel 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 184 1.00 Steel 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 185 1.00 Steel 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 186 1.00 Steel 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 187 1.00 Steel 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 OTHER INDUSTRIES 1 1.00 Other 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 2 1.00 Other 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 3 1.00 Other 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 4 1.00 Other 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 5 1.00 Other 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 6 1.00 Other 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 7 1.00 Other 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 8 1.00 Other 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 9 1.00 Other 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 10 1.00 Other 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 11 1.00 Other 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 12 1.00 Other 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 13 1.00 Other 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 14 1.00 Other 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 15 1.00 Other 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 16 1.00 Other 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 17 1.00 Other 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 18 1.00 Other 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 INCOMPLETE DATA 19 1.00 Petroleum 1,000.0 2,000.0 3,000.0 100 100 1,000 1,000 1,000 10.00 10.00 1.00 20 1.00 Paper 2,000.0 4,000.0 6,000.0 200 200 2,000 2,000 2,000 10.00 10.00 1.00 21 1.00 Steel 3,000.0 6,000.0 9,000.0 300 300 3,000 3,000 3,000 10.00 10.00 1.00 November 11, 2004 11 of 21 DCTM_ ARP. xls  Data Record for the Proposed Section 316( b) Rule for Phase III Facilities 3 4 P Q R S T U V W X Y Z AA AB Total Cost /

Net Income Total Cost /

Assets O& M Cost /

Revenue O& M Cost / Employment O& M Cost /

Operating Expenses O& M Cost / Net Income O& M Cost /

Assets Capital Cost /

Revenue Capital Cost /

Employment Capital Cost /

Operating Expenses Capital Cost /

Net Income Capital Cost /

Assets Baseline Closure 174 175 176 177 178 179 180 181 182 183 184 185 186 187 188 189 190 191 192 193 194 195 196 197 198 199 200 201 202 203 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 0 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 1.00 1.00 20.00 20.00 2.00 2.00 2.00 30.00 30.00 3.00 3.00 3.00 November 11, 2004 12 of 21 DCTM_ ARP. xls  Data Baseline Failures Survey ID D MN 3006 D MN 3008 D MN 3009 D MN 3010 D MN 3020 D MN 3027 D MN 3033 D MN 3042 D MN 3045 D MN 3083 D MN 3086 D MN 3088 D MN 3110 D MN 3112 D MN 3116 D MN 3121 D MN 3132 D MN 3135 D MN 3136 D MN 3154 D MN 3156 D MN 3175 D MN 3191 D MU 3212 D MU 3215 D MU 3229 D MU 3235 D MU 3266 D MU 3299 D MU 3306 D MN 3049 D MU 3213 D MU 3280 D MU 3298 8/ 23/ 2006, 8: 15 AM 13 DCTM_ ARP. xls, Baseline Closures Record for the Proposed Section 316( b) Rule for Phase III Facilities 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 A B C D E F G H I J K L M N id1 id2 Weight Sector tot_ ann_ cost O_ M_ Cost cap_ cost avg_ rev Employment oper_ expense s net_ income Assets tot_ rev Tot_ cost_ emp All data on this worksheet is facility level CBI and not available in the public record.

November 11, 2004 14 of 21 DCTM_ ARP. xls  Data for SAS Analysis Record for the Proposed Section 316( b) Rule for Phase III Facilities 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 58 59 60 O P Q R S T U V W X Y Z AA Tot_ cost_ op Tot_ cost_ net Tot_ cost_ asse t OM_ revenue OM_ emp OM_ op om_ net_ inc om_ assets cap_ rev cap_ emp cap_ op Cap_ net_ inc cap_ assets November 11, 2004 15 of 21 DCTM_ ARP. xls  Data for SAS Analysis Record for the Proposed Section 316( b) Rule for Phase III Facilities 61 62 63 64 65 66 67 68 69 70 71 72 73 74 75 76 77 78 79 80 81 82 83 84 85 86 87 88 89 90 91 92 93 94 95 96 97 98 99 100 101 102 103 104 105 106 107 108 109 110 111 112 113 114 115 116 117 118 119 120 121 A B C D E F G H I J K L M N November 11, 2004 16 of 21 DCTM_ ARP. xls  Data for SAS Analysis Record for the Proposed Section 316( b) Rule for Phase III Facilities 61 62 63 64 65 66 67 68 69 70 71 72 73 74 75 76 77 78 79 80 81 82 83 84 85 86 87 88 89 90 91 92 93 94 95 96 97 98 99 100 101 102 103 104 105 106 107 108 109 110 111 112 113 114 115 116 117 118 119 120 121 O P Q R S T U V W X Y Z AA November 11, 2004 17 of 21 DCTM_ ARP. xls  Data for SAS Analysis Record for the Proposed Section 316( b) Rule for Phase III Facilities 122 123 124 125 126 127 128 129 130 131 132 133 134 135 136 137 138 139 140 141 142 143 144 145 146 147 148 149 150 151 152 153 154 155 156 157 158 159 160 161 162 163 164 165 166 167 168 169 170 171 172 173 174 175 176 177 178 179 180 181 182 A B C D E F G H I J K L M N November 11, 2004 18 of 21 DCTM_ ARP. xls  Data for SAS Analysis Record for the Proposed Section 316( b) Rule for Phase III Facilities 122 123 124 125 126 127 128 129 130 131 132 133 134 135 136 137 138 139 140 141 142 143 144 145 146 147 148 149 150 151 152 153 154 155 156 157 158 159 160 161 162 163 164 165 166 167 168 169 170 171 172 173 174 175 176 177 178 179 180 181 182 O P Q R S T U V W X Y Z AA November 11, 2004 19 of 21 DCTM_ ARP. xls  Data for SAS Analysis Record for the Proposed Section 316( b) Rule for Phase III Facilities 183 184 185 A B C D E F G H I J K L M N November 11, 2004 20 of 21 DCTM_ ARP. xls  Data for SAS Analysis Record for the Proposed Section 316( b) Rule for Phase III Facilities 183 184 185 O P Q R S T U V W X Y Z AA November 11, 2004 21 of 21 DCTM_ ARP. xls  Data for SAS Analysis


[Federal Register: July 1, 2010 (Volume 75, Number 126)]
[Rules and Regulations]
[Page 38007-38009]
[DOCID:fr01jy10-7]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2010-0275; Directorate Identifier 2009-NM-231-AD;
Amendment 39-16344; AD 2010-14-01]
RIN 2120-AA64

Airworthiness Directives; The Boeing Company Model 747-100, 747-
100B, 747-100B SUD, 747-200B, 747-200C, 747-200F, 747-300, 747-400,
747-400F, 747SR, and 747SP Series Airplanes

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule.

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

SUMMARY: We are adopting a new airworthiness directive (AD) for certain
Model 747-100, 747-100B, 747-100B SUD, 747-200B, 747-200C, 747-200F,
747-300, 747-400, 747-400F, 747SR, and 747SP series airplanes. This AD
requires reworking or replacing certain duct assemblies in the
environmental control system (ECS). This AD results from reports of
duct assemblies in the ECS with burned Boeing Material Specification
(BMS) 8-39 polyurethane foam insulation. This proposed AD also results
from a report from the airplane manufacturer that airplanes were
assembled with duct assemblies in the ECS wrapped with BMS 8-39
polyurethane foam insulation, a material of which the fire retardant
properties deteriorate with age. We are issuing this AD to prevent a
potential electrical arc from igniting the BMS 8-39 polyurethane foam
insulation on the duct assemblies of the ECS, which could propagate a
small fire and lead to a larger fire that might spread throughout the
airplane through the ECS.

DATES: This AD is effective August 5, 2010.
    The Director of the Federal Register approved the incorporation by
reference of certain publications listed in the AD as of August 5,
2010.

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: Sue McCormick, Aerospace Engineer,
Cabin Safety and Environmental Systems Branch, ANM-150S, FAA, Seattle
Aircraft Certification Office, 1601 Lind Avenue, SW., Renton,
Washington 98057-3356; telephone<PHONE_NUMBER>; fax<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Discussion

    We issued a notice of proposed rulemaking (NPRM) to amend 14 CFR
part 39 to include an airworthiness directive (AD) that would apply to
certain Model 747-100, 747-100B, 747-100B SUD, 747-200B, 747-200C, 747-
200F, 747-300, 747-400, 747-400F, 747SR, and 747SP series airplanes.
That NPRM was published in the Federal Register on April 12, 2010 (75
FR 18446). That NPRM proposed to require reworking or replacing certain
duct assemblies in the environmental control system (ECS).

Comments

    We gave the public the opportunity to participate in developing
this AD. We considered the comments received. The Boeing Company
concurs with the contents of the NPRM, and Delta Airlines states that
it is not affected by the NPRM.

Conclusion

    We reviewed the relevant data, considered the comments received,
and determined that air safety and the public interest require adopting
the AD as proposed.

Costs of Compliance

    There are about 558 airplanes of the affected design in the
worldwide fleet. The average labor rate is $85 per work-hour. The
following table provides the estimated costs for U.S. operators to
comply with this AD.

                                                                     Estimated Costs
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                       Parts cost, per                                      Number of U.S.-
             Action                  Work hours           airplane             Cost per airplane          registered airplanes          Fleet cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
Duct assembly rework, specified  8 per duct          $12,305 (average).  $100,705 (average)...........  185....................  $18,630,425.
 in Boeing Service Bulletin 747-  (average of 130
 21A2421.                         ducts per
                                  airplane).
Duct assembly rework or          1 per duct (1 duct  The manufacturer    $85..........................  Up to 168..............  Up to $14,280.
 replacement, specified in        per airplane).      states that it
 Boeing Service Bulletin 747-                         will supply
 21A2422.                                             required parts to
                                                      the operators at
                                                      no cost.
--------------------------------------------------------------------------------------------------------------------------------------------------------

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

    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.
    You can find our regulatory evaluation and the estimated costs of
compliance in the AD Docket.

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

    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 AD:

2010-14-01 The Boeing Company: Amendment 39-16344. Docket No. FAA-
2010-0275; Directorate Identifier 2009-NM-231-AD.

Effective Date

    (a) This airworthiness directive (AD) is effective August 5,
2010.

Affected ADs

    (b) None.

Applicability

    (c) This AD applies to the airplanes specified in paragraphs
(c)(1) and (c)(2) of this AD, certificated in any category.
    (1) The Boeing Company Model 747-100, 747-100B, 747-100B SUD,
747-200B, 747-200C, 747-200F, 747-300, 747-400, 747SR, and 747SP
series airplanes identified in Boeing Service Bulletin 747-21A2421,
Revision 2, dated December 19, 2006.
    (2) The Boeing Company Model 747-100, 747-100B, 747-200B, 747-
200C, 747-200F, 747-300, 747-400F, 747SR, and 747SP series airplanes
identified in Boeing Service Bulletin 747-21A2422, Revision 2, dated
November 16, 2006.

Subject

    (d) Air Transport Association (ATA) of America Code 21: Air
conditioning.

Unsafe Condition

    (e) This AD results from reports of duct assemblies in the
environmental control system (ECS) with burned Boeing Material
Specification (BMS) 8-39 polyurethane foam insulation. This AD also
results from a report from the airplane manufacturer that airplanes
were assembled with duct assemblies in the ECS wrapped with BMS 8-39
polyurethane foam insulation, a material of which the fire retardant
properties deteriorate with age. We are issuing this AD to prevent a
potential electrical arc from igniting the BMS 8-39 polyurethane
foam insulation on the duct assemblies of the ECS, which could
propagate a small fire and lead to a larger fire that could spread
throughout the airplane through the ECS.

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.

ECS Duct Assembly Rework or Replacement

    (g) Within 72 months after the effective date of this AD, rework
or replace the applicable duct assemblies in the ECS specified in
and in accordance with the Accomplishment Instructions and
Appendices A through F of Boeing Service Bulletin 747-21A2421,
Revision 2, dated December 19, 2006 (for Model 747-100, 747-100B,
747-100B SUD, 747-200B, 747-200C, 747-200F, 747-300, 747-400, 747SR,
and 747SP series airplanes); and the Accomplishment Instructions and
Appendices A through C of Boeing Service Bulletin 747-21A2422,
Revision 2, dated November 16, 2006 (for Model 747-100, 747-100B,
747-200B, 747-200C, 747-200F, 747-300, 747-400F, 747SR, and 747SP
series airplanes).

Parts Installation

    (h) As of the effective date of this AD, no person may install
an ECS duct assembly with BMS 8-39 polyurethane foam insulation on
any airplane.

Alternative Methods of Compliance (AMOCs)

    (i)(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: Sue McCormick, Aerospace Engineer, Cabin Safety and
Environmental Systems Branch, ANM-150S, FAA, Seattle Aircraft
Certification Office, 1601 Lind Avenue, SW., Renton, Washington
98057-3356; telephone<PHONE_NUMBER>; fax<PHONE_NUMBER>. Or, e-mail
information to<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.

Material Incorporated by Reference

    (j) You must use Boeing Service Bulletin 747-21A2421, Revision
2, dated December 19, 2006; or Boeing Service Bulletin 747-21A2422,
Revision 2, dated November 16, 2006; as applicable; 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>.
    (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 June 17, 2010.
Robert D. Breneman,
Acting Manager, Transport Airplane Directorate, Aircraft Certification
Service.
[FR Doc. 2010-15659 Filed 6-30-10; 8:45 am]
BILLING CODE 4910-13-P