[Federal Register Volume 77, Number 207 (Thursday, October 25, 2012)]
[Notices]
[Pages 65234-65237]
[FR Doc No: 2012-26234]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. IA-3490; October 19, 2012]

Notice of Intention To Cancel Registrations of Certain Investment
Advisers Pursuant to the Investment Advisers Act of 1940

    Notice is given that the Securities and Exchange Commission (the
``Commission'') intends to issue an order or orders, pursuant to
Section 203(h) of the Investment Advisers Act of 1940 (the ``Act''),
cancelling the registrations of the investment advisers whose names
appear in the attached Appendix, hereinafter referred to as the
registrants.

Background

    On July 21, 2010, President Obama signed into law the Dodd-Frank
Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act'')
which, among other things, amended certain provisions of the Act.\1\
These amendments included provisions that delegate generally to the
states regulatory responsibility over certain mid-sized advisers--i.e.,
those that have between $25 million and $100 million of assets under
management.\2\ These provisions and related rule amendments required a
significant number of advisers registered with the Commission to
withdraw their registrations with the Commission and to switch to
registration with one or more state securities authorities.\3\
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    \1\ Dodd-Frank Wall Street Reform and Consumer Protection Act,
Public Law 111-203, 124 Stat. 1376 (2010).
    \2\ See section 410 of the Dodd-Frank Act; 15 U.S.C. 80b-3a.
    \3\ For example, section 410 of the Dodd-Frank Act required mid-
sized advisers to register with the states: (i) if the adviser is
required to be registered as an investment adviser with the
securities commissioner of the state in which it maintains its
principal office and place of business; and (ii) if registered with
that state, the adviser would be subject to examination as an
investment adviser by that securities commissioner. 15 U.S.C. 80b-
3a(a)(2). The Commission also amended certain exemptions from the
prohibition on Commission registration that were previously adopted
under section 203A of the Act. See 17 CFR 275.203a-2.
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    To implement the division of regulatory responsibility mandated by
the Dodd-Frank Act, the Commission adopted rule 203A-5 under the
Act.\4\ Rule 203A-5 required each investment adviser registered with
the Commission to file an amended Form ADV in the first quarter of 2012
indicating whether it remained eligible for registration by the
Commission. The rule also extended until June 28, 2012 the deadline for
advisers no longer eligible for Commission registration to register
with the states and withdraw registration with the Commission.\5\ In
conjunction with adopting rule 203A-5 and other rules to implement the
Dodd-Frank Act, the Commission stated that it expected to cancel the
registration of advisers no longer eligible to register with the
Commission that failed to file an amendment or withdraw their
registrations in accordance with rule 203A-5.\6\
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    \4\ 17 CFR 275.203a-5.
    \5\ See 17 CFR 275.203a-5(b), (c).
    \6\ Rules Implementing Amendments to the Investment Advisers Act
of 1940, Investment Advisers Act Rel. No. 3221, at 15 (Jun. 22,
2012) [76 FR 42950, 42953-42954 (Jul. 19, 2011)].
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Discussion

    Section 203(h) of the Act provides, in pertinent part, that if the
Commission finds that any person registered under Section 203, or who
has pending an application for registration filed under that section,
is no longer in existence, is not engaged in business as an investment
adviser, or is prohibited from registering as an investment adviser
under section 203A, the Commission shall by order, cancel the
registration of such person.\7\
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    \7\ 15 U.S.C. 80b-3(h).
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    Commission staff, in coordination with state securities regulators,
contacted SEC-registered investment advisers before and after the
filing deadlines to remind them of their filing obligations under rule
203A-5 and to withdraw from Commission registration by filing Form ADV-
W if no longer eligible. The registrants listed in the Appendix either
have not filed a Form ADV amendment with the Commission in 2012, or
have indicated on Form ADV that they are no longer eligible to remain
registered with the Commission as investment advisers but have not
filed Form ADV-W to withdraw their registration. Accordingly, the
Commission believes that reasonable grounds exist for a finding that
these registrants are no longer in existence, are not engaged in
business as investment advisers, or are prohibited from registering as
investment advisers under section 203A, and that their registrations
should be cancelled pursuant to section 203(h) of the Act.
    Any registrant listed in the Appendix that wishes to file a Form
ADV amendment indicating that it is eligible for registration or a Form
ADV-W to withdraw its registration with the Commission may do so by
December 17, 2012. The registrations of registrants whose amended Form
ADVs are received by the Commission by December 17, 2012 will not be
cancelled, and the registrations of registrants that file Form ADV-W
will be withdrawn and will not be cancelled by a Commission order or
orders. For more information or for questions about the inclusion of a
registrant on this list, contact: Jennifer Porter, Senior Counsel or
Melissa Roverts, Branch Chief at<PHONE_NUMBER> (Division of Investment
Management, Office of Investment Adviser Regulation).
    Notice is also given that any interested person may, by December
17, 2012, at 5:30 p.m., submit to the Commission in writing a request
for a hearing on the cancellation of a registrant, accompanied by a
statement as to the nature of his interest, the reason for such
request, and the issues, if any, of fact or law proposed to be
controverted, and he may request that he be notified if the Commission
should order a hearing thereon. Any such communication should be
addressed: Secretary, Securities and Exchange Commission, 100 F Street
NE., Washington, DC 20549.
    At any time after December 17, 2012, the Commission may issue an
order or orders cancelling the registrations of any or all of the
registrants listed in the Appendix, upon the basis of the information
stated above, unless an order or orders for a hearing on the
cancellation shall be issued upon request or upon the Commission's own
motion. Persons who requested a hearing, or to be advised as to whether
a hearing is ordered, will receive any notices and orders issued in
this matter, including the date of the hearing (if ordered) and any
postponements thereof.

    By the Commission.
Elizabeth M. Murphy,
Secretary.

Appendix

801-68570 12 METER MANAGEMENT, LP
801-72955 3SISTERS SUSTAINABLE MANAGEMENT, LLC
801-71854 ACCESS GLOBAL ADVISORS
801-70973 ADVANCED FINANCIAL SOLUTIONS, INC.
801-71094 AFC ASSET MANAGEMENT SERVICES, INC.
801-67660 ALDUS CAPITAL, LLC
801-71247 ALDWYCH CAPITAL PARTNERS, LLC

801-71312 ALLIANCE CONSULTING, LLC
801-39288 ALPHA CAPITAL MANAGEMENT INC
801-69679 ALPHA VISTA ADVISORS LLC
801-63858 ALPINE CAPITAL MANAGEMENT, LLC
801-63029 AM INVESTMENT PARTNERS LLC
801-67985 AMERICAN PEGASUS LDG, LLC
801-66956 AMOEBA CAPITAL PARTNERS PTE. LTD.
801-58279 AMUSSEN, HUNSAKER & ASSOCIATES INCORPORATED
801-72517 ANCHOR INVESTMENT PARTNERS LLC
801-74690 ANVIL CAPITAL ADVISORS, LLC
801-69544 APELLES INVESTMENT MANAGEMENT, LP
801-72622 ARCHETYPE ADVISORS, LLC
801-70395 ARTIENCE CAPITAL MANAGEMENT, LLC
801-70301 ASSET MANAGEMENT STRATEGIES, LLC
801-69874 ASSOCIATED PROFESSIONAL INVESTMENTS, LLC
801-69463 ATHENA ASSET MANAGEMENT & RESEARCH, LLC
801-72293 BAG SECURITIES, LLC
801-72112 BAOCHUAN CAPITAL MANAGEMENT, LLC
801-62938 BARRINGTON ASSET MANAGEMENT, INC.
801-60288 BEACON CAPITAL MANAGEMENT LIMITED
801-61433 BERKSHIRE ADVISORS, INC.
801-72146 BETA CAPITAL MANAGEMENT LLC
801-71757 BEYOND CAPITAL FINANCIAL MANAGEMENT GROUP, INC.
801-69391 BILTMORE INVESTMENT MANAGEMENT, LLC
801-56997 BISCAYNE ADVISORS, INC.
801-67617 BLACK KNIGHT ASSET MANAGEMENT
801-71729 BOLI FUND MANAGEMENT, LLC
801-14429 BOWMAN FINANCIAL MANAGEMENT CO INC
801-72221 BOYD INVESTMENT MANAGEMENT, LLC
801-68519 BRADLEY WEALTH MANAGEMENT, LLC
801-63049 BRICOLEUR CAPITAL MANAGEMENT, LLC
801-69628 BRIGHTON WEALTH MANAGEMENT, INC.
801-65969 BROADSTREET CAPITAL PARTNERS, LP
801-63011 BROADWATER CAPITAL MANAGEMENT LLC
801-70514 BRYN MAWR FINANCIAL, LLC
801-67201 BURR & COMPANY, LLC
801-68809 C.S. ANDERSON FINANCIAL SERVICES, INC
801-65805 C2 ASSET MANAGEMENT L.L.C.
801-70179 CABAL CAPITAL MANAGEMENT, LLC
801-70320 CACHE EQUITY LLC
801-30978 CAMBRIDGE FINANCIAL SERVICES, LTD
801-55780 CAMERON, MURPHY & SPANGLER, INC.
801-51319 CANNON TINGEY INVESTMENT ADVISORS INC
801-69502 CAPITAL CITY INVESTMENT MANAGEMENT COMPANY, INC.
801-37116 CAPITAL MANAGEMENT CORP OF THE NORTHEAST
801-69804 CAPITAL STRATEGIES FINANCIAL CORPORATION
801-68390 CAPSTONE CAPITAL GROUP
801-69331 CARLTON WEALTH MANAGEMENT LLC
801-66142 CARMICHAEL STRATEGIES LLC
801-71599 CARRINGTON STRATEGIC ADVISORS, LLC
801-65962 CASTLESTONE MANAGEMENT LLC
801-67329 CENTURION INVESTMENT PARTNERS, LLC
801-72550 CENTURY CITY CAPITAL MANAGEMENT, LLC
801-69779 CHELSEA MORGAN ADVISORS LLC
801-68372 CHESTER CAPITAL MANAGEMENT, LLC
801-57162 CHEVY CHASE ASSET MANAGEMENT LLC
801-64167 CHRONIM INVESTMENTS INC.
801-68715 CLEARPATH WEALTH MANAGEMENT, LLC
801-70840 CLOSED-END FUND ADVISORS INC.
801-68833 COAST WEALTH MANAGEMENT, INC.
801-68548 CONCORD ATLANTIC, INC.
801-34934 CONSTITUTION RESEARCH & MANAGEMENT INC
801-61705 COPLEY SQUARE CAPITAL MANAGEMENT, LLC
801-41021 CORDILLERA ASSET MANAGEMENT
801-63182 CORNERSTONE CAPITAL MANAGEMENT
801-55989 CREDICORP SECURITIES INC
801-69969 CREMAC ASSET MANAGEMENT, LLC
801-63124 CURTIS WEALTH MANAGEMENT GROUP, LLC
801-70413 D LITTLE, L.L.C.
801-56278 DANIEL FRISHBERG FINANCIAL SERVICES, INC.
801-72077 DB2 INVESTMENT ADVISORY SERVICES INC.
801-42306 DILMUN INVESTMENTS, INC
801-67499 DISCOVERY FINANCIAL GROUP, LLC
801-56038 DIVELEY LIND & ASSOCIATES LLC
801-70505 DJM WEALTH STRATEGIES, LLC
801-60809 DKR CAPITAL PARTNERS L.P.
801-66443 DKR FUSION MANAGEMENT L.P.
801-72443 DODD, ANDREW JAMES
801-70325 DOUBLE ALPHA GROUP LLC
801-72304 DOWNEY CAPITAL MANAGEMENT, INC.
801-68820 DUNCAN-WILLIAMS, INC.
801-65704 DURHAM ASSET MANAGEMENT L.L.C.
801-57802 DYNAMIC WEALTH MANAGEMENT
801-68994 EAGLEEYE ASSET MANAGEMENT, LLC
801-62482 EFFICIENT PORTFOLIO CONSULTANTS, LLC
801-68115 EMPIRE INVESTING GROUP, LLC
801-57005 EMPIRE INVESTMENT ADVISORS INC
801-65038 ERISEY WEALTH MANAGEMENT LLC
801-63668 EVOLUTION CAPITAL STRATEGIES LLC
801-61152 EXECUTIVE ASSET MANAGEMENT, INC.
801-60991 FAIRSON MANAGEMENT LIMITED
801-64720 FIDUCIARY MANAGEMENT GROUP, LLC
801-71217 FILIPINOFUNDS INVESTMENT MANAGEMENT, LLC
801-68836 FINANCIAL LEGACY ASSOCIATES, LLC
801-24481 FIRST INVESTMENT CORPORATION
801-36095 FLAGSHIP CAPITAL MANAGEMENT INC
801-69662 FLATFEEADVISORS.COM, INC.
801-66649 FORESIGHT ASSET MANAGEMENT, LLC
801-69724 FORT CAPITAL MANAGEMENT, LLC
801-63002 FOSTER INVESTMENT CONSULTING LLC
801-56788 FOUNDING PARTNERS CAPITAL MANAGEMENT COMPANY
801-61582 FPC SERVICES, INCORPORATED
801-69648 FUTURE VALUE CONSULTANTS LIMITED
801-45317 GANUCHEAU CAPITAL MANAGEMENT, INC.
801-19290 GARLIKOV ADVISORS INC
801-65627 GDG ASSET MANAGEMENT LIMITED
801-66112 GELLER & LEHMANN, LLC
801-72754 GILDED ADVISORS LLC
801-69546 GLANZ, DANIEL
801-74448 GLOBAL EVOLUTION USA, LLC
801-69333 GLOBAL PLUS+ INVESTMENT MANAGEMENT, LLC
801-72227 GLOBAL PORTFOLIO MANAGEMENT, LTD.
801-60090 GOLD COAST SECURITIES, INC.
801-74628 GOLDENGROVE LLC
801-62648 GOODSTEIN & ASSOCIATES, LLC
801-72960 GOSLIN III, ALBERT ERNEST
801-71624 GRANT PARK CAPITAL PARTNERS, LLC
801-71579 GRAVITY CAPITAL PARTNERS, LLC
801-67236 GRAYBEARD CAPITAL, LLC
801-69383 GREENWICH CREEK CAPITAL MANAGEMENT, LLC
801-66346 GUALARIO & CO., LLC
801-66823 GUNDERSON CAPITAL MANAGEMENT INC.
801-47199 HANSEN, BRIAN BENNETT
801-69429 HATTINGH, DIEDERIK JOHANNES
801-53254 HAVELL CAPITAL MANAGEMENT LLC
801-69963 HELIOS INVESTMENTS INC
801-68598 HEPWORTH EQUITY PARTNERS, LLC
801-66435 HIGHVIEW POINT PARTNERS, LLC
801-72056 HILL CAPITAL MANAGEMENT LLC

801-69123 HILL-TOWNSEND CAPITAL, LLC
801-68714 HOLMAN INVESTMENTS AND PLANNING, LLC
801-67355 HOLTER, WILLIAM LATIMER
801-70767 HORIZON FUNDS MANAGEMENT, LLC
801-71677 HORIZONS WEST CAPITAL PARTNERS, LLC
801-67009 HRJ CAPITAL, L.L.C.
801-71614 INNOVATUM CAPITAL PARTNERS, LLC
801-70807 INSTITUTIONAL BULLION INVESTMENT ADVISORS, LLC
801-67273 INVESTMENT SECURITY GROUP, LLC
801-69098 IRVINGTON CAPITAL LLC
801-51879 J A GIBBONS LLC
801-64391 JADIS INVESTMENTS LLC
801-68063 JDM FINANCIAL GROUP LLC
801-66648 JENNINGS INVESTMENT ADVISORS, LLC
801-66895 JERMYN CAPITAL (SINGAPORE) PTE. LTD.
801-71822 JIM POE AND ASSOCIATES INC.
801-71814 JOBES SOLO INVESTMENT GROUP, LLC
801-66643 JOHN R. FIESTA, LLC
801-57979 JOHN SHAW NOTMAN
801-45453 JUMPER GROUP INC
801-66884 K.K. JERMYN CAPITAL
801-72005 KAJO INVESTMENTS, LLC
801-67024 KENNEDY WEALTH MANAGEMENT GROUP LTD.
801-69948 KLARAOS, LLC
801-42331 KOCH ASSET MANAGEMENT LLC
801-69365 KURTIN FINANCIAL ADVISERS, LLC
801-69343 L&P FINANCIAL TRUSTEES LTD
801-73035 LANCELOT CAPITAL LIMITED
801-63887 LANPHIER CAPITAL MANAGEMENT, INC.
801-68524 LEXINGTON INVESTMENT COUNSEL, LLC
801-70312 LIGHTHOUSE CAPITAL PARTNERS, LLC
801-56394 LITCHFIELD & NELSON, INC
801-56364 LITTLEFIELD ASSET MGMT. INC.
801-49599 LONGWOOD INVESTMENT ADVISORS INC
801-37592 M. D. FALK & COMPANY, INC.
801-66388 MACARTHURCOOK INVESTMENT MANAGERS LIMITED
801-74815 MADISONLEE PARTNERS, LLC
801-71939 MANAIA CAPITAL MANAGEMENT, INC.
801-45332 MAPLE LEAF INVESTMENT MANAGEMENT INC
801-71070 MARKS THERIOT WALSTON & COMPANY, INC.
801-55125 MARSDEN CAPITAL MANAGEMENT, LLC.
801-67908 MARTINELLI DISCENZA INVESTMENT COUNSEL, INC.
801-60658 MCW ADVISORS
801-63100 MEREDITH PORTFOLIO MANAGEMENT INC.
801-63422 MERIDIAN ASSET MANAGEMENT LLC
801-70666 MG SULLIVAN, LLC
801-69605 MICOUD INVESTMENTS LIMITED
801-66328 MIRAMAR ASSET MANAGEMENT, LLC
801-57042 MOHAWK ASSET MANAGEMENT INC
801-71711 MONTGOMERY ASSET MANAGEMENT, LLC
801-42907 NANCY ABRAMS & ASSOCIATES, INC.
801-69301 NEF ADVISORS, LLC
801-72732 NEMAN FINANCIAL, INC.
801-64824 NEXCORE FINANCIAL SERVICES, INCORPORATED
801-72628 NEXTGEN FAMILY OFFICE, LLC
801-65128 NIGHTWATCH CAPITAL ADVISORS, LLC
801-68540 NJR INVESTMENT ADVISORY, INC.
801-69484 NORTH POINT ADVISORS
801-50288 NORTHSTAR CAPITAL INC
801-65702 OLYMPIUS CAPITAL, L.P.
801-23421 OMICRON GROUP LTD
801-71953 ONYX INVESTMENT ADVISORS
801-67259 ORACLE FINANCIAL SERVICES, LLC
801-68545 OSAGE ENERGY PARTNERS, L.P.
801-71098 OUTSTANDING VALUE FINANCIAL MANAGEMENT, LLC
801-65021 PACIFIC FINANCIAL ADVISORS, INC.
801-65166 PARK PLACE CAPITAL LIMITED
801-60542 PATRICK LLOYD BECKER
801-34567 PCA REAL ESTATE ADVISORS, INC.
801-66276 PELION INVESTMENT ADVISORS, INC.
801-65099 PEMIGEWASSET CAPITAL LLC
801-66759 PENSION PERFORMANCE ADVISORS, INC.
801-63878 PERMANENT VALUE INC.
801-72260 PINACULO LLC
801-70132 PLACE, BRYAN, MCNEILL
801-68161 PRESIDIUM PARTNERS, LLC
801-14186 PROFESSIONAL INVESTMENT COUNSEL, INC
801-71591 PROSAPIA CAPITAL MANAGEMENT, LLC
801-62787 QUANTEL ASSOCIATES, INC.
801-63842 QUANTUM FAMILY OFFICE GROUP, LLC
801-68872 QUANTUM WEALTH MANAGEMENT LLC
801-70459 RANDY MEYER INVESTMENT MANAGEMENT, LLC
801-72606 RFG ADVISORY GROUP, LLC
801-44866 RICH INVESTMENTS INC
801-57081 RINCON PACIFIC MANAGEMENT INC
801-64933 RIOUX & COMPANY, LLC
801-68439 RIVERSEDGE CONVERTIBLE PORTFOLIO ADVISORS, LLC
801-70387 ROSE & SKY INVESTMENTS (CAYMAN) LTD
801-62387 RUBY CORPORATION
801-44751 RULAPAUGH STANLEY EUGENE
801-72770 RUTHERFORD, GARY LEE
801-60566 RYAN CAPITAL ADVISORS, LLC
801-72680 S BROWN AND ASSOCIATES, LLC
801-70230 SACHS INVESTMENT GROUP, LLC
801-69730 SANCTUARY WEALTH MANAGEMENT, LLC
801-26861 SANDER CAPITAL ADVISORS, INC.
801-51254 SCEPTRE INVESTMENT COUNSEL LIMITED
801-58027 SCHELLER FINANCIAL SERVICES INC.
801-70944 SEDGEFIELD CAPITAL MANAGEMENT, LLC
801-71779 SELECT ASSET MANAGEMENT, LLC
801-64724 SENTINEL WEALTH ADVISORS, LLC
801-63183 SFM, LLC
801-16175 SHEA JOHN A INVESTMENT ADVISOR
801-39915 SK GROUP, INC
801-33087 SMITH WILLIAM BRUCE
801-64817 SMITH, THURMAN LEONARD
801-70455 SOUTHPORT ASSET MANAGEMENT
801-61272 SOVEREIGN INTERNATIONAL ASSET MANAGEMENT, INC.
801-70589 SOVEREIGN PRIVATE WEALTH, INC.
801-67746 STATE CAPITAL WEALTH MANAGEMENT INC
801-25597 STEINE & GOOCH CO INC
801-66434 STEPHEN M. GROSS, INC.
801-47378 STEPHEN P. MOULTON & ASSOCIATES, LTD.
801-24483 STERLING JOHNSTON CAPITAL MANAGEMENT, L.P.
801-69491 STRANBERG CAPITAL LLC
801-36025 STRATEGIS FINANCIAL GROUP, INC
801-74213 TANDRAGEE GLOBAL ADVISORS, LLC
801-53568 TBIG FINANCIAL SERVICES INC
801-28191 THE CARMACK GROUP, INC.
801-68698 THE COLOMA GROUP, L.LC.
801-54184 THE DELANCEY CAPITAL GROUP, LP
801-64694 THE OXFORD PRIVATE CLIENT GROUP, LLC
801-36203 THE SPANGLER GROUP, INC.
801-71205 THE UNIVERSITY FUNDS, LLC
801-66115 THOMSON FINANCIAL ADVISORS LLC.
801-62975 THUNDERSTORM CAPITAL LLC
801-47405 TONG ROBERT WAI
801-65028 TRIBUTARY CAPITAL MANAGEMENT., LLC
801-72696 TRILLION CAPITAL, LLC
801-69905 TRIVELLONI ASSET MANAGEMENT, LLC
801-67142 TWEDDELL GOLDBERG LLC
801-61159 UNIVEST INVESTMENTS, INC.
801-64165 USF SERVICES, LLC
801-71511 VANTAGE POINT ADVISORS, LLC
801-42685 VARN INVESTMENT COUNSEL INC
801-39326 VIRGINIA CAPITAL MANAGEMENT GROUP INC
801-60397 W.WALL AND COMPANY, INC.
801-63137 WALRUS PARTNERS, LLC
801-67403 WASHINGTON CORNER CAPITAL MANAGEMENT, LP
801-62780 WATERS CAPITAL ADVISERS, LLC
801-63026 WATERVILLE INVESTMENTS, INC.

801-74505 WEALTH FOCUS RESOURCES, LLC
801-69539 WEALTH LTD
801-54769 WEALTH MANAGEMENT LLC
801-62294 WELLS, CANNING & ASSOCIATES INC.
801-48199 WENDEL ANDREW MARTIN
801-40981 WEST ELLIS INVESTMENT MANAGEMENT INC
801-71961 WEST RIDGE REALTY ADVISORS LLC
801-19899 WESTRIDGE CAPITAL MANAGEMENT INC
801-64673 WFP SECURITIES CORPORATION
801-37177 WHB WOLVERINE ASSET MANAGEMENT INC
801-72403 WICKER PARK ADVISORS, LLC
801-16393 WILLIAMSON & SNEED INCORPORATED
801-67795 WILSHIRE-PENNINGTON GROUP, INC.
801-12695 WITTER WILLIAM D INC
801-69064 WORLDWIDE ASSET MANAGEMENT GROUP, LLC
801-70899 WYNNCORR CAPITAL MANAGEMENT, LLC
[FR Doc. 2012-26234 Filed 10-24-12; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register: October 15, 2010 (Volume 75, Number 199)]
[Notices]
[Page 63467-63468]
[DOCID:fr15oc10-65]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 13798-000]

Lanai Hydro, LLC; Notice of Preliminary Permit Application
Accepted for Filing and Soliciting Comments, Motions To Intervene, and
Competing Applications

October 7, 2010.
    On June 10, 2010, Lanai, LLC filed an application for a preliminary
permit, pursuant to section 4(f) of the Federal Power Act (FPA),
proposing to study the feasibility of the Lanai Pumped Storage Project
to be located on the Pacific Ocean in the vicinity of Lanai City, in
Maui County, Hawaii. The sole purpose of a preliminary permit, if
issued, is to grant the permit holder priority to file a license
application during the permit term. A preliminary permit does not
authorize the permit holder to perform any land-disturbing activities
or otherwise enter upon lands or waters owned by others without the
owners' express permission.
    The proposed project would consist of the following: (1) An
artificial, lined 57-acre reservoir created by the construction of
embankments; (2) an approximately 11,650-foot-long conduit joined to
the Pacific Ocean; (3) three reversible pump-turbines, totaling 300
megawatts (MW) of generating capacity, with up to 100 MW of additional
pumping capacity; (4) an approximately 6-mile-long, single-circuit 230-
kilovolt transmission line; and (5) appurtenant facilities. The
estimated annual generation of the Lanai Pumped Storage project would
be 919,800 megawatt-hours.
    Applicant Contact: Matthew Shapiro, CEO, Gridflex Energy, LLC, 725
1210 W. Franklin St., Suite 2, Boise, ID 83702; phone:<PHONE_NUMBER>.
    FERC Contact: Shana Murray<PHONE_NUMBER>.
    Deadline for filing comments, motions to intervene, competing
applications (without notices of intent), or notices of intent to file
competing applications: 60 days from the issuance of this notice.
Competing applications and notices of intent must meet the requirements
of 18

CFR 4.36. Comments, motions to intervene, notices of intent, and
competing applications may be filed electronically via the Internet.
See 18 CFR 385.2001(a)(1)(iii) and the instructions on the Commission's
Web site http://www.ferc.gov/docs-filing/efiling.asp. Commenters can
submit brief comments up to 6,000 characters, without prior
registration, using the eComment system at http://www.ferc.gov/docs-
filing/ecomment.asp. You must include your name and contact information
at the end of your comments. For assistance, please contact FERC Online
Support. Although the Commission strongly encourages electronic filing,
documents may also be paper-filed. To paper-file, mail an original and
seven copies to: Kimberly D. Bose, Secretary, Federal Energy Regulatory
Commission, 888 First Street, NE., Washington, DC 20426.
    More information about this project, including a copy of the
application, can be viewed or printed on the ``eLibrary'' link of
Commission's Web site at http://www.ferc.gov/docs-filing/elibrary.asp.
Enter the docket number (P-13798-000) in the docket number field to
access the document. For assistance, contact FERC Online Support.

Kimberly D. Bose,
Secretary.
[FR Doc. 2010-25961 Filed 10-14-10; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register: December 22, 2005 (Volume 70, Number 245)]
[Proposed Rules]
[Page 76013-76018]
[DOCID:fr22de05-22]

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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Parts 122 and 123

[EPA-HQ-OW-2005-0523, FRL--8013-9]

National Pollutant Discharge Elimination System (NPDES) Permit
Requirements for Peak Wet Weather Discharges From Publicly Owned
Treatment Works Treatment Plants Serving Separate Sanitary Sewer
Collection Systems

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice of availability and request for comment.

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SUMMARY: Today, EPA is inviting comment on a draft policy regarding
NPDES permit requirements for peak wet weather discharges from publicly
owned treatment works (POTW) treatment plants serving separate sanitary
sewer collection systems. Regulatory agencies, municipal operators of
wastewater facilities, and representatives of environmental advocacy
groups have expressed uncertainty about the appropriate regulatory
interpretation for such situations. Today's draft policy describes both
an interpretation of regulations, as well as guidance to implement such
an interpretation. EPA's intention is to ensure that NPDES requirements
be developed and applied in a nationally-consistent manner that
improves the capacity, management, operation and maintenance of POTW
treatment plants and separate sanitary sewer collection systems and
protects human health and the environment.

DATES: Comments must be received or postmarked on or before January 23,
2006.

ADDRESSES: Submit your comments, identified by Docket ID No. EPA-HQ-OW-
2005-0523, by one of the following methods:
     http://www.regulations.gov: Follow the on-line

instructions for submitting comments.
     E-mail: Comments may be sent by electronic mail (e-mail)
to<EMAIL_ADDRESS>Attention Docket ID No. EPA-HQ-OW-2005-0523. In
contrast to EPA's electronic public docket, EPA's e-mail system is not
an ``anonymous access'' system. If you send an e-mail comment directly
to the Docket without going through EPA's electronic public docket,
EPA's e-mail system automatically captures your e-mail address. E-mail
addresses that are automatically captured by EPA's e-mail system are
included as part of the comment that is placed in the official public
docket, and made available in EPA's electronic public docket.
     Mail: Send an original and three copies of your comments
to: Water Docket, Environmental Protection Agency, Mailcode 4101T, 1200
Pennsylvania Ave., NW., Washington, DC 20460, Attention Docket ID No.
EPA-HQ-OW-2005-0523.
     Hand Delivery: Deliver your comments to: EPA Docket
Center, EPA West, Room B102, 1301 Constitution Ave., NW., Washington,
DC, Attention Docket ID No. EPA-HQ-OW-2005-0523. Such deliveries are
only accepted during the Docket's normal hours of operation and special
arrangements should be made for deliveries of boxed information.
    Instructions: Direct your comments to Docket ID No. EPA-HQ-OW-2005-
0523. EPA's policy is that all comments received will be included in
the public docket without change and may be made available online at
http://www.regulations.gov, including any personal information

provided, unless the comment includes information claimed to be
Confidential Business Information (CBI) or other information

whose disclosure is restricted by statute. Do not submit information
that you consider to be CBI or otherwise protected through http://www.regulations.gov or through e-mail. The http://www.regulations.gov

Web site is an ``anonymous access'' system, which means EPA will not
know your identify or contact information unless you provide it in the
body of your comment. If you send an e-mail comment directly to EPA
without going through http://www.regulations.gov your e-mail address

will be automatically captured and included as part of the comment that
is placed in the public docket and made available on the Internet. If
you submit an electronic comment, EPA recommends that you include your
name and other contact information in the body of your comment and with
any disk or CD-ROM you submit. If EPA cannot read your comment due to
technical difficulties and cannot contact you for clarification, EPA
may not be able to consider your comment. Electronic files should avoid
the use of special characters, any form of encryption, and be free of
any defects or viruses. For additional information about EPA's public
docket visit the EPA Docket Center homepage at http://www.epa.gov/epahome/dockets.htm
.

    Docket: All documents in the docket are listed in the http://www.regulations.gov
 index. Although listed in the index, some

information is not publicly available, e.g., CBI or other information
whose disclosure is restricted by statute. Certain other material, such
as copyrighted material, will be publicly available only in hard copy.
Publicly available docket materials are available either electronically
in http://www.regulations.gov or in hard copy at the EPA Docket Center,

EPA/DC, EPA West, Room B102, 1301 Constitution Ave., NW., Washington,
DC. The Docket Facility is open from 8:30 a.m. to 4:30 p.m., Monday
through Friday, excluding legal holidays. The telephone number for the
Public Reading Room is<PHONE_NUMBER>, and the telephone number for the
Water Docket is<PHONE_NUMBER>.

FOR FURTHER INFORMATION CONTACT: For questions about the substance of
this draft policy, contact Kevin Weiss (e-mail at<EMAIL_ADDRESS>or phone at<PHONE_NUMBER>) at Water Permits Division, Office of
Wastewater Management, U.S. Environmental Protection Agency (Mailcode
4203M), 1200 Pennsylvania Ave., NW., Washington, DC 20460.

SUPPLEMENTARY INFORMATION:

I. General Information

A. What Should I Consider as I Prepare My Comments for EPA?

1. Submitting CBI
    Do not submit information that you consider to be CBI
electronically through http://www.regulations.gov or e-mail. Clearly

mark the part or all of the information that you claim to be CBI. For
CBI information in a disk or CD ROM that you mail to EPA, mark the
outside of the disk or CD ROM as CBI and then identify electronically
within the disk or CD ROM the specific information that is claimed as
CBI. In addition to one complete version of the comment that includes
information claimed as CBI, a copy of the comment that does not contain
the information claimed as CBI must be submitted for inclusion in the
public docket. Information so marked will not be disclosed except in
accordance with procedures set forth in 40 CFR Part 2.
2. Tips for Preparing Your Comments
    When submitting comments, remember to:
     Identify the rulemaking by docket number and other
identifying information (subject heading, Federal Register date and
page number).
     Follow directions--The agency may ask you to respond to
specific questions or organize comments by referencing a Code or
Federal Regulations (CFR) part or section number.
     Explain why you agree or disagree; suggest alternatives
and substitute language for your requested changes.
     Describe any assumptions and provide any technical
information and/or data that you used.
     If you estimate potential costs or burdens, explain how
you arrived at your estimate in sufficient detail to allow for it to be
reproduced.
     Provide specific examples to illustrate your concerns, and
suggest alternatives.
     Explain your views as clearly as possible, avoiding the
use of profanity or personal threats.
     Make sure to submit your comments by the comment period
deadline identified.
3. Docket Copying Costs
    You may copy 266 pages per day free of charge. Beginning with page
267, you will be charged $0.15 per page plus an administrative fee of
$25.00.

Acronyms Used

CSO Combined sewer overflow.
EPA Environmental Protection Agency.
I/I infiltration and inflow.
NPDES National Pollutant Discharge Elimination System.
POTW Publicly owned treatment works.
SSO Sanitary sewer overflow (this does not include CSOs).

II. Background

    EPA has received requests from many stakeholders to clarify the
NPDES requirements for discharges from POTW treatment plants serving
separate sanitary sewers where peak wet weather flow is routed around
biological treatment units and then blended with the effluent from the
biological units prior to discharge and where the final discharge meets
permit effluent limitations based on the secondary treatment regulation
(40 CFR Part 133) or any more stringent limitations necessary to attain
water quality standards. On November 7, 2003, EPA requested public
comment on a proposed policy addressing this issue. Under the proposed
interpretation in the November 7, 2003 proposed policy, a wet weather
diversion around biological treatment units that was blended with the
wastewaters from the biological units prior to discharge would not have
been considered to constitute a prohibited bypass if the six criteria
specified in the November 7, 2003 proposed policy were met.
    EPA received significant public comment on the proposed policy,
including over 98,000 comments opposing the policy due to concerns
about human health risks. On May 19, 2005, EPA indicated that after
consideration of the comments, the Agency had no intention of
finalizing the 2003 proposal. On July 26, 2005, Congress enacted the FY
2006 Department of the Interior, Environment, and Related Agencies
Appropriations Act (P.L. 109-54). Section 203 of the Appropriations Act
provides that none of the funds made available in the Act could be used
to finalize, issue, implement or enforce the November 7, 2003 proposed
blending policy.
    In October of 2005, the Natural Resources Defense Council (NRDC)
and the National Association of Clean Water Agencies (NACWA) provided
EPA with their joint proposal recommending further action that the
Agency should take regarding the blending issue. The NRDC/NACWA
recommended approach includes an interpretation of the bypass
regulation that is significantly different from the November 7, 2003
proposal, in that it would clarify that the bypass provision would
apply, in all instances, to wet weather diversions at POTW treatment
plants serving separate

sanitary sewers. Today's draft policy invites comment on this
interpretation, as well as the recommended guidance to implement the
interpretation, and reflects the approach of the NRDC/NACWA
recommendation.

III. General Information

A. Draft Policy

    If the draft policy is made final, the following statement will be
announced by EPA.

Draft Memorandum

From: Benjamin H. Grumbles, Assistant Administrator, Office of Water.

To: Regional Administrators, Region I-X, Granta Y. Nakayama, Assistant
Administrator, Office of Enforcement and Compliance Assurance.

Subject: National Pollutant Discharge Elimination System Permit
Requirements for Peak Wet Weather Discharges from Publicly Owned
Treatment Works Treatment Plants Serving Separate Sanitary Sewer
Collection Systems

Introduction

    Many municipalities currently have situations in which high peak
influent flows during significant wet weather events exceed the
treatment capacity of existing secondary treatment units. In these
situations, wet weather flows are sometimes diverted around secondary
treatment units and then either recombined with flows from the
secondary treatment units or discharged directly into waterways from
the treatment plant. This policy only applies to peak wet weather
diversions around secondary treatment units that occur at publicly
owned treatment works (POTW) treatment plants serving separate sanitary
sewer systems that are recombined with flow from the secondary
treatment unit. The process by which wet weather diversions can be
approved in National Pollutant Discharge Elimination System (NPDES)
permits for POTW treatment plants serving combined sewer systems was
previously outlined in the 1994 CSO Policy, 59 FR 18,693-18,694 (April
19, 1994). Nothing in this policy addresses the requirements for POTW
treatment plants serving combined sewer systems.
    While EPA recognizes that peak wet weather flow diversions around
secondary treatment units at POTW treatment plants serving separate
sanitary sewer conveyance systems may be necessary in some
circumstances to prevent temporary loss of function of secondary
treatment units, the Agency and stakeholders have been concerned for
some time that peak wet weather flow diversions could have adverse
environmental or public health impacts because of the higher expected
pollutant load of diverted flows.
    Accordingly, EPA strongly discourages reliance on peak wet weather
flow diversions around secondary treatment units as a long-term wet
weather management approach at a POTW treatment plant serving separate
sanitary sewer conveyance systems and that such diversions should be
minimized to the maximum extent feasible taking into account the
factors discussed in this policy. EPA anticipates that, over time, the
need to undertake peak wet weather flow diversions at POTW treatment
plants serving separate sanitary sewer conveyance systems can be
eliminated from most systems in a variety of ways, such as by enhancing
storage and treatment capacity and reducing sources of peak wet weather
flow volume. EPA expects that aggressive efforts by POTW treatment
plant operators in consultation with NPDES authorities can lead to
dramatic reductions in the volume and duration of peak wet weather
flows and can improve the treatment and quality of peak wet weather
flow discharges. EPA also believes that the involvement of the general
public will improve the assessment of various options to minimize peak
wet weather flow diversions.
    In recent years there has been substantial confusion regarding the
regulatory status of peak wet weather flow diversions around secondary
treatment units at POTW treatment plants serving separate sanitary
sewer conveyance systems. In some cases, such diversions have been
considered a bypass and held to the criteria of the NPDES bypass
regulation (40 CFR 122.41(m)). In other cases, diversion scenarios
around secondary treatment units at POTW treatment plants have been
constructed and permitted at facilities without consideration of the
bypass regulation criteria.
    In 2003, EPA proposed a policy to clarify the regulatory status of
peak wet weather flows that are combined with secondary effluent, a
practice known as blending. 68 FR 63,042 (Nov. 7, 2003). In that
proposed policy, EPA stated that if certain procedures were followed,
peak wet weather flow blending would not be considered a bypass under
40 CFR 122.41(m). The Agency received over 98,000 comments on the
proposed policy and on May 19, 2005 indicated that it no longer
intended to pursue further action on the proposal.

Applicability of the Bypass Regulation to Blending

    This policy provides the Agency's interpretation that the 40 CFR
122.41(m), the bypass regulation, applies to peak wet weather
diversions at POTW treatment plants serving separate sanitary sewer
conveyance systems that are recombined with flow from the secondary
treatment units. If the criteria of 40 CFR 122.41(m)(4)(i)(A)-(C) are
met, NPDES authorities can approve peak wet weather flow diversions
around secondary treatment units in a NPDES permit for discharges from
a POTW treatment plants as an anticipated bypass under 40 CFR
122.41(m)(4)(ii).
    This policy:
    [cir] Interprets the provisions of 40 CFR 122.41(m)(4) as they
apply to peak wet weather flow diversions around secondary treatment
units at POTW treatment plants serving separate sanitary sewer systems
where the diverted flow is recombined with flow from the secondary
treatment units prior to discharge;
    [cir] Interprets the term ``no feasible alternatives'' in 40 CFR
122.41(m)(4)(i)(B) as it applies to such peak wet weather flow
diversions;
    [cir] Does not apply to discharges or overflows prior to the
headworks of a POTW treatment plant; dry weather diversions; diversions
around primary or tertiary treatment units; or diverted flow that is
not recombined with flow from the secondary treatment units prior to
discharge;
    [cir] Promotes use of measures to provide the highest possible
treatment to the greatest possible peak wet weather flow; and
    [cir] Promotes reporting and public notification of peak wet
weather diversion events.
    A combination of approaches can be used to achieve the goals of
this policy. These approaches include:
    [cir] Ensuring full utilization of available secondary treatment
capacity;
    [cir] Reducing infiltration and inflow (I/I);
    [cir] Maximizing the use of the collection system for storage;
    [cir] Providing off-line storage; and
    [cir] Providing sufficient secondary treatment capacity.
    EPA recognizes that these approaches, alone or in combination, may
not be sufficient in some cases to enable a POTW treatment plant to
process its peak wet weather flows through its secondary treatment
units. In such cases, a POTW treatment plant operator may have no
feasible alternative to peak wet weather flow diversions around

secondary treatment units. This policy sets forth a process for
determining whether or not such feasible alternatives to peak wet
weather flow diversions exist. If the NPDES authority determines that
there are no feasible alternatives to peak wet weather flow diversions
around secondary treatment units at the treatment plant using the
analysis set forth in this policy, then the NPDES authority may approve
peak wet weather flow diversions around secondary treatment units at a
POTW treatment plant serving separate sanitary sewer conveyance systems
as an anticipated bypass in accordance with 40 CFR 122.41(m) in a new
or renewed NPDES permit. The only flow that can be approved as an
anticipated bypass around secondary treatment units is flow that is
anticipated to exceed the peak flow capacity of the secondary treatment
unit(s) even after implementation of the feasible technologies and
approaches identified via the process outlined in this policy. NPDES
authorities should include an implementation schedule in the permit for
the feasible technologies and approaches that would need to be
implemented and the associated flow volumes. In NPDES permits with such
implementation schedules, the approval of any anticipated bypass would
be contingent upon the permittee's performance of the implementation
schedule. This implementation schedule would be considered a permit
condition as opposed to a schedule of compliance under 40 CFR 122.47.
    A thoughtful public planning process at the local level is
important to minimize or eliminate overflows in the collection system,
minimize I/I into the collection system, maximize treatment of all
flows, and improve wet weather flow management. EPA recommends that
POTW treatment plant operators work with their NPDES authorities and
local communities to proactively minimize peak wet weather influent
flow volume and improve effluent quality, reduce the frequency and
volume of diversion events, and improve the structural integrity and
capacity of collection systems and the reliability of POTW treatment
plants.
    The use of diversions around secondary treatment units at POTW
treatment plants serving separate sanitary sewer conveyance systems to
manage peak wet weather flows is not necessary in many cases and cannot
be approved if feasible alternatives are identified through the
analysis described herein. Accordingly, on permit renewal, the
presumption by the NPDES authority would be against the utility's
continued use of diversions to manage peak wet weather flows. This
presumption could be overcome by the POTW treatment plant operator
again demonstrating that there are no feasible alternatives to such
diversions through updating and resubmission of the utility analysis
described in this policy, ensuring that the submission identifies any
changes at the facility, progress made in relevant areas, any new
circumstances, the timing of ongoing projects or construction, or I/I
reduction schedules. Timely permit renewals for facilities that employ
peak wet weather diversions around secondary treatment units at the
POTW treatment plant should be a priority. Because of the importance of
regular analysis of the ongoing need to utilize diversions at a
particular facility, NPDES permits for facilities that employ or seek
to employ peak wet weather diversions around secondary treatment units
at their treatment plant should be timely renewed rather than
administratively continued.
    The determination of what constitutes a `peak wet weather event,'
during which the use of a peak wet weather diversion may be approved by
a NPDES authority as an anticipated bypass, will be a site-specific
determination. Certainly, EPA does not expect diversions at POTW
treatment plants serving separate sanitary sewer conveyance systems to
be used for routine rain events. EPA also cannot reasonably estimate or
endorse an `acceptable' number of anticipated bypasses (e.g., five per
year). Such a one-size-fits all approach would not recognize the site-
specific nature of peak wet weather diversions and could lead to
excessive use of diversions in some communities. Rather, it is EPA's
intention through this policy to ensure that POTW treatment plant
operators, NPDES authorities, and the general public evaluate what
constitutes a peak wet weather event for a POTW treatment plant for
which there is no feasible alternative to a peak wet weather diversion,
based upon past diversions, opportunities for eliminating or reducing
diversions, and future considerations. Where such peak wet weather
diversions at a POTW treatment plant cannot be feasibly avoided,
additional technologies (e.g., providing supplemental biological or
physical/chemical treatment) and approaches should be used to maximize
treatment of diverted flows where feasible. EPA does not support the
use of peak wet weather diversions around secondary treatment units at
POTW treatment plants when the peak flows are largely due to poor (or
lack of) collection system maintenance or the lack of investment in or
upgrades to treatment capacity.
    Under this policy, NPDES authorities and POTW treatment plant
operators need to ensure that all flows that will be diverted from the
secondary treatment units in peak wet weather events receive a minimum
of primary treatment and any supplemental treatment or technology shown
feasible using the factors outlined in this policy. All discharges from
POTW treatment plants serving separate sanitary sewer conveyance
systems must meet effluent limitations, including the 85 percent
removal requirement (unless the discharge from the POTW treatment plant
meets the requirements of 40 CFR 133.103(d) (less concentrated influent
wastewater for separate sanitary sewers)) and other secondary treatment
requirements and any more stringent limitations necessary to meet water
quality standards. Failure to meet effluent limitations is a permit
violation. NPDES authorities should ensure that the facility, including
when diverting, does not have the reasonable potential to cause or
contribute to non-attainment of any water quality standards.
    EPA recognizes that some POTW treatment plants may be implementing
technologies more advanced than or supplementary to secondary
treatment. The Agency encourages the use and permitting of such
technologies (e.g., membrane, tertiary) where they produce a higher
quality effluent. In the case where a POTW treatment plant is using, or
plans to use, technology that is more effective in baseline pollutant
removal than is required to meet secondary treatment-based permit
limits, the NPDES authority should take that improved baseline
performance into consideration when determining whether peak flow
diversions at a POTW treatment plant are approved and under what
conditions.

No Feasible Alternatives Analysis Process

    An authority's determination as to whether or not there is a
feasible alternative to peak wet weather diversions at a POTW treatment
plant serving a separate sanitary sewer collection system should be
made using the following inputs and criteria, which are based on 40 CFR
122.41(m)(4)(i)(A)-(C) and 40 CFR 122.21(j). At the time of NPDES
permit application or NPDES permit renewal:
    1. POTW treatment plant operators seeking approval of peak wet
weather diversions at a treatment plant as an anticipated bypass should
submit a

comprehensive analysis (utility analysis) to the NPDES authority that:
    a. Documents current treatment plant design capacity for all
treatment units, the maximum flow that can be processed through those
units, and the feasibility of increasing such treatment capacity and
related costs;
    b. Estimates the frequency, duration, and volume of current wet
weather diversions, and evaluates alternatives to reduce the frequency,
duration, and volume of such occurrences and related costs;
    c. Estimates the potential for future peak wet weather diversions
based upon information such as predicted weather patterns, population
growth, and projected treatment plant and collection system changes
(e.g., upgrades, extensions, deterioration) and evaluates options for
reducing diversions based on these variables;
    d. Assesses existing storage within the collection system or on-
site and options for enhanced utilization or expansion (taking into
account physical and technological considerations) of storage to reduce
the frequency, duration, and volume of peak wet weather diversions, and
the related costs;
    e. Assesses other ways to reduce peak wet weather flow volumes,
such as limiting collection system extensions or slug loadings from
indirect dischargers;
    f. Evaluates technologies (such as supplemental biological
treatment, physical chemical treatment, ballasted flocculation, deep
bed filtration, or membrane technology) that are or could be used to
provide additional treatment to peak wet weather flows or peak wet
weather diversions at the POTW treatment plant and the costs of
implementing those technologies;
    g. Evaluates the extent to which the permittee is maximizing its
ability to reduce I/I throughout the entire collection system (i.e.,
not only the portions operated by the utility, but also portions
operated by any municipal satellite community), including the use of
existing legal authorities, potential improvements in the timing or
quality of such efforts, and options for obtaining or expanding legal
authorities to reduce I/I from satellite collection systems;
    h. Evaluates peak flow reductions obtainable through implementation
of existing Capacity, Management, Operations, and Maintenance (C-MOM)
programs and potential improvements in the timing or enhancement of
those programs and the related costs; or, if no such program exists,
reductions obtainable through the development and implementation of a
C-MOM program and the related costs;
    i. Assesses the community's ability to fund the peak wet weather
flow improvements discussed in the utility analysis, taking into
consideration: current sewer rates, planned rate increases, and the
costs, schedules, anticipated financial impacts to the community of
other planned water and wastewater expenditures, and other relevant
factors impacting the utility's rate base, using as a guide EPA's CSO
Guidance for Financial Capability Assessment and Schedule Development,
EPA 832-B-97-004;
    j. Proposes a protocol for monitoring the recombined flow at least
once daily during diversions for all parameters for which the POTW
treatment plant has daily effluent limitations or other requirements
(e.g., monitoring only requirements) and ensures appropriate
representative monitoring for other monitoring requirements of the
permit, the total volume diverted, and the duration of the peak wet
weather diversion event; and
    k. Projects the POTW treatment plant effluent improvements and
other improvements in collection system and treatment plant performance
that could be expected should the technologies, practices, and/or other
measures discussed in the utility analysis be implemented.
    2. For any POTW treatment plant operator seeking approval in an
NPDES permit for an anticipated bypass under this policy, the NPDES
authority should:
    a. Make the utility analysis publicly available with other draft
permit information for public review and comment;
    b. Review and evaluate the utility analysis and require measures to
be undertaken to provide the highest possible treatment to the greatest
possible peak wet weather flow, taking into account the full range of
economic, environmental, public health, and engineering considerations;
    c. Review and approve or deny the peak wet weather diversions based
on the determination of whether there are feasible alternatives to
those diversions using the analysis set forth in this policy;
    d. Include a permit provision recognizing any approved peak wet
weather diversions as anticipated bypasses, and specify the conditions
for allowing such diversions;
    e. Include a permit provision requiring any POTW treatment plant
operator that has an approved anticipated bypass to provide notice of
the peak wet weather diversion event consistent with 40 CFR
122.41(m)(3);
    f. Include a permit provision requiring the operator of any POTW
treatment plant that has an approved anticipated bypass to monitor the
recombined flow at least once daily during diversions for all
parameters for which the POTW treatment plant has daily effluent
limitations or other requirements (e.g., monitoring only requirements),
the total volume diverted, and the duration of the peak wet weather
diversion event. For parameters for which the permit establishes non-
daily effluent limitations, include in the permit monitoring
requirements sufficient to yield data representative of the final
blended discharge, in order to ensure compliance with applicable
effluent limitations. See 40 CFR 122.48(b);
    g. Describe in the permit Fact Sheet prepared under 40 CFR 124.8(b)
how the peak wet weather event was calculated, the reason for allowing
peak wet weather diversions, and any requirements for such peak wet
weather diversions;
    h. Ensure that permit load limitations account for the anticipated
flow into secondary treatment units during both wet and dry weather
conditions;
    i. Include permit provisions for public notification (e.g., via
utility website) of the peak wet weather diversion event within 24
hours of the inception of each event; follow up public notification of
the duration and volume of the event within 48 hours of its cessation;
and for public review of the POTW treatment plant operator's peak wet
weather flow diversion practices upon request;
    j. Include permit provisions requiring the control authority with
an approved pretreatment program to review, and revise if necessary,
local pretreatment limits for indirect dischargers to take into account
peak wet weather diversion events (e.g., significant industrial users
with batch discharging);
    k. If the discharge will be to sensitive receiving waters (i.e.,
waters used for recreation; drinking water; shellfish beds; waters
formally designated by state or federal authorities as requiring
special consideration or protection; waters with threatened or
endangered species), ensure that the impact of any peak wet weather
diversion events on these waters is minimized and additional caution
exercised as permit limitations are set; and
    l. Rigorously review each and every POTW permit renewal request
that seeks continued approval of peak wet weather diversions to ensure
that a comprehensive utility analysis consistent with section 1 above
is submitted and evaluated and that peak wet weather diversions are
approved only when no feasible alternatives to

them are identified through the process set forth in this policy.
    3. EPA will:
    a. Use this policy in making NDPES permitting decisions for all
POTW treatment plants serving separate sanitary sewer conveyance
systems in non-authorized states;
    b. Review permits in NPDES authorized states within the timelines
specified in 40 CFR 123.44 for all POTW treatment plant operators
seeking approval for diversions pursuant to this policy to ensure that
they are consistent with this interpretation of the regulations;
    c. Ensure that enforcement actions are taken, where appropriate,
against POTW treatment plant operators that fail to move forward
expeditiously to meet their legal obligations as determined consistent
with this policy; and
    d. Ensure that monitoring data received concerning peak wet weather
diversions at POTW treatment plants is available to the public on EPA's
website in a searchable and correctable database.

    Dated: December 19, 2005.
Benjamin H. Grumbles,
Assistant Administrator, Office of Water.
 [FR Doc. E5-7696 Filed 12-21-05; 8:45 am]

BILLING CODE 6560-50-P


[Federal Register Volume 85, Number 242 (Wednesday, December 16, 2020)]
[Notices]
[Pages 81466-81468]
[FR Doc No: 2020-27600]

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

ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OPPT-2020-0621; FRL-10017-86]

Draft Compliance Guide for Imported Articles Containing Surface
Coatings Subject to the Long-Chain Perfluoroalkyl Carboxylate and
Perfluoroalkyl Sulfonate Chemical Substances Significant New Use Rule;
Notice of Availability and Request for Comment

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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

SUMMARY: The Environmental Protection Agency (EPA) is announcing the
availability of and soliciting public comment on the draft compliance
guide for the significant new uses EPA identified under the Toxic
Substances Control Act (TSCA) for the import of articles with certain
long-chain perfluoroalkyl carboxylate (LCPFAC) chemicals as part of the
surface coating, as established by EPA's final rule ``Long-Chain
Perfluoroalkyl Carboxylate and Perfluoroalkyl Sulfonate Chemical
Substances; Significant New Use Rule.'' Specifically, the guide
provides additional clarity on what is meant by a ``surface coating,''
identifies which entities are regulated, describes the activities that
are required or prohibited, and summarizes the notification
requirements of the final significant new use rule (SNUR).

DATES: Comments must be received on or before January 15, 2021.

ADDRESSES: Submit your comments, identified by docket identification
(ID) number EPA-HQ-OPPT-2013-0225, using the Federal eRulemaking Portal
at http://www.regulations.gov. Follow the online instructions for
submitting comments. Do not submit electronically any information you
consider to be Confidential Business Information (CBI)

or other information whose disclosure is restricted by statute.
    Due to the public health concerns related to COVID-19, the EPA
Docket Center (EPA/DC) and Reading Room is closed to visitors with
limited exceptions. The staff continues to provide remote customer
service via email, phone, and webform. For the latest status
information on EPA/DC services and docket access, visit https://www.epa.gov/dockets.

FOR FURTHER INFORMATION CONTACT:
    For technical information contact: Tyler Lloyd, Chemical Control
Division (7405M), Office of Pollution Prevention and Toxics,
Environmental Protection Agency, 1200 Pennsylvania Ave. NW, Washington,
DC 20460-0001; telephone number:<PHONE_NUMBER>; email address:
<EMAIL_ADDRESS>    For general information contact: The TSCA-Hotline, ABVI-Goodwill,
422 South Clinton Ave., Rochester, NY 14620; telephone number: (202)
554-1404; email address<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. Executive Summary

A. What action is the Agency taking?

    EPA is announcing the availability of and soliciting public comment
on the draft compliance guide for the significant new uses EPA
identified under section 5(a) the Toxic Substances Control Act (TSCA),
15 U.S.C. 2604(a), for the import of articles with certain long-chain
perfluoroalkyl carboxylate (LCPFAC) chemicals as part of the surface
coating, as established by EPA's final rule ``Long-Chain Perfluoroalkyl
Carboxylate and Perfluoroalkyl Sulfonate Chemical Substances;
Significant New Use Rule'' (85 FR 45109, July 27, 2020) (FRL-10010-44)
(Ref. 1). Specifically, the draft compliance guide provides additional
clarity on what is meant by a ``surface coating,'' identifies which
entities are regulated, describes the activities that are required or
prohibited, and summarizes the notification requirements of the final
significant new use rule (SNUR).
    During the public comment period for the 2020 supplemental proposal
(Ref. 2), several commenters asked EPA to define ``surface coating''
and to include a definition in the regulatory text. In the final rule
(Ref. 1), EPA did not finalize a regulatory definition of ``surface
coating.'' Rather, EPA stated that the Agency would issue guidance for
imported articles that may contain LCPFAC chemical substances as part
of a surface coating. This draft compliance guide was prepared
consistent with Executive Order 13891 (84 FR 55235, October 9, 2019)
and EPA's procedural rule for guidance, ``EPA Guidance; Administrative
Procedures for Issuance and Public Petitions'' (85 FR 66230, October
19, 2020).

B. Do guidance documents contain binding requirements?

    While the requirements in the statutes and Agency regulations are
binding on EPA and the regulated entities, the contents of this
compliance guide do not have the force and effect of law and are not
meant to bind the public in any way. This compliance guide is intended
only to provide clarity to the public regarding existing requirements
under the law or agency policies. The statements in the compliance
guide are intended solely as guidance to aid in complying with the EPA
regulations in 40 CFR part 721.

C. Does this action apply to me?

    You may be potentially affected by this action if you import
articles containing certain LCPFAC chemical substances. The following
list of North American Industrial Classification System (NAICS) codes
is not intended to be exhaustive, but rather provides a guide to help
readers determine whether this document applies to them. Potentially
affected entities may include:
     Manufacturers (including importers) of one or more of
subject chemical substances (NAICS codes 325 and 324110) (e.g.,
chemical manufacturing and petroleum refineries).
     Fiber, yarn, and thread mills (NAICS code 31311).
     Carpet and rug mills (NAICS code 314110).
     Home furnishing merchant wholesalers (NAICS code 423220).
     Carpet and upholstery cleaning services (NAICS code
561740).
     Manufacturers of computer and other electronic products,
appliances, and components (NAICS codes 324 and 335).
     Manufacturers of surgical and medical instruments (NAICS
339112).
     Merchant wholesalers (NAICS codes 423 and 424).
     Stores and retailers (NAICS codes 442, 442, 444, 448, 451,
and 454).
     Providers of other support services (NAICS code 561990).
    Other types of entities not listed in this unit could also be
affected. The NAICS codes have been provided to assist you and others
in determining whether this action might apply to certain entities. If
you have any questions regarding the applicability of this action to a
particular entity, consult the technical information contact listed
under FOR FURTHER INFORMATION CONTACT.

D. What should I consider as I prepare my comments for EPA?

    1. Submitting CBI. Do not submit this information to EPA through
regulations.gov or email. Clearly mark the part or all of the
information that you claim to be CBI. For CBI information in a disk or
CD-ROM that you mail to EPA, mark the outside of the disk or CD-ROM as
CBI and then identify electronically within the disk or CD-ROM the
specific information that is claimed as CBI. In addition to one
complete version of the comment that includes information claimed as
CBI, a copy of the comment that does not contain the information
claimed as CBI must be submitted for inclusion in the public docket.
Information so marked will not be disclosed except in accordance with
procedures set forth in 40 CFR part 2.
    2. Tips for preparing your comments. When preparing and submitting
your comments, see the commenting tips at http://www.epa.gov/dockets/comments.html.

II. Request for Public Comment

    EPA welcomes comments on any aspect of the draft compliance guide.
EPA specifically solicits comments to enable it to enhance the clarity
of the compliance guide.

III. References

    The following is a listing of the documents that are specifically
referenced in this document. The docket includes these documents and
other information considered by EPA, including documents that are
referenced within the documents that are included in the docket, even
if the referenced document is not physically located in the docket. For
assistance in locating these other documents, please consult the
technical person listed under FOR FURTHER INFORMATION CONTACT.

1. EPA. Long-Chain Perfluoroalkyl Carboxylate and Perfluoroalkyl
Sulfonate Chemical Substances; Significant New Use Rule. Final Rule.
Federal Register. 85 FR 45109, July 27, 2020 (FRL-10010-44).
2. EPA. Long-Chain Perfluoroalkyl Carboxylate and Perfluoroalkyl
Sulfonate Chemical Substances; Significant New Use Rule.
Supplemental Proposal. Federal Register. 85 FR 12479, March 3, 2020
(FRL-10003-21).

IV. Statutory and Executive Order Reviews

    Additional information about these statutes and Executive Orders
can be found at http://www2.epa.gov/laws-regulations/laws-and-executive-orders.

A. Executive Order 12866: Regulatory Planning and Review, Executive
Order 13563: Improving Regulation and Regulatory Review, and Executive
Order 13891: Promoting the Rule of Law Through Improved Agency Guidance
Documents

    This draft compliance guide was submitted to the Office of
Management and Budget (OMB) for review under Executive Orders 12866 (58
FR 51735, October 4, 1993), 13563 (76 FR 3821, January 21, 2011), and
13891 (84 FR 55235, October 9, 2019). Any changes made in response to
OMB recommendations have been documented in the docket for this action
as required by section 6(a)(3)(E) of Executive Order 12866.

B. Paperwork Reduction Act (PRA)

    This action does not impose any new information collection burden
under the PRA, 44 U.S.C. 3501 et seq. Burden is defined in 5 CFR
1320.3(b). The information collection activities associated with
existing chemical SNURs are already approved under OMB control number
2070-0038 (EPA ICR No. 1188); and the information collection activities
associated with export notifications are already approved under OMB
control number 2070-0030 (EPA ICR No. 0795).
    An agency may not conduct or sponsor, and a person is not required
to respond to a collection of information that requires OMB approval
under the PRA, unless it has been approved by OMB and displays a
currently valid OMB control number. The OMB control numbers for EPA's
regulations in Title 40 of the CFR, after appearing in the Federal
Register, are listed in 40 CFR, part 9, and included on the related
collection instrument, or form, as applicable.

    Authority: 15 U.S.C. 2601 et seq.

    Dated: December 10, 2020.
Alexandra Dapolito Dunn,
Assistant Administrator, Office of Chemical Safety and Pollution
Prevention.
[FR Doc. 2020-27600 Filed 12-15-20; 8:45 am]
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