EPA ICR SUPPORTING STATEMENTS GUIDANCE
Contents
ICR SUPPORTING STATEMENT  -  PART A	2
ABSTRACT	2
1.	NEED AND AUTHORITY FOR THE COLLECTION	2
2.	PRACTICAL UTILITY/USERS OF THE DATA	2
3.	USE OF TECHNOLOGY	3
4.	EFFORTS TO IDENTIFY DUPLICATION	3
5.	MINIMIZING BURDEN ON SMALL ENTITIES	4
6.	EFFECTS OF LESS FREQUENT COLLECTION	4
7.	GENERAL GUIDELINES	4
8.	PUBLIC COMMENT AND CONSULTATIONS	4
8a. PUBLIC COMMENT	4
8b. CONSULTATIONS	5
9.	PAYMENTS OR GIFTS TO RESPONDENTS	6
10.	PROVISIONS FOR PROTECTION OF INFORMATION	6
11.	JUSTIFICATION FOR SENSITIVE QUESTIONS	7
12.	ESTIMATE OF RESPONDENT BURDEN HOURS & LABOR COSTS	7
12a.  Respondents/NAICS Codes	7
12b. Information Requested	8
12c. Respondent Activities	8
12d. Respondent Hour and Labor Burden	8
13. RESPONDENT ANNUAL COST (NON-LABOR)	9
14.	AGENCY (EPA) BURDEN ESTIMATES	9
15.	CHANGE IN BURDEN	10
16.	PUBLICATION OF DATA	11
17.	DISPLAY OF OMB CONTROL NUMBER EXPIRATION DATE ON INSTRUMENTS	11
18. CERTIFICATION STATEMENT	11
APPENDIX A: Combined ETEP and GAP Work Plan Template	12

                     ICR SUPPORTING STATEMENT  -  PART A

Combined EPA-Tribal Environmental Plan (ETEP) and Indian Environmental General Assistance Program (GAP) Work Plan Template (New)

EPA-HQ-OITA-2023-0383

ABSTRACT

EPA is developing a template to assist grantees and EPA with the creation of combined EPA-Tribal Environmental Plans (ETEPs) and Indian Environmental General Assistance Program (GAP) work plans. This template will provide a streamlined way to identify and report information that is already outlined in the 2022 GAP Guidance, 40 40CFR § 35.507, and the 1992 Indian Environmental General Assistance Program Act, and is already being reported on.  In the 2022 GAP Guidance, section 2.3, the American Indian Environmental Office (AIEO) commits to providing templates to assist Tribes considering a streamlined format.  The template itself does not introduce any new requirements, nor does it limit the information that applicants may submit.

 NEED AND AUTHORITY FOR THE COLLECTION

This information is already being reported on and collected through the 2022 GAP Guidance, 40 CFR § 35.507, and the 1992 Indian Environmental General Assistance Program Act. The template itself does not introduce any new requirements; it reduces redundancy by compiling the data from EPA-Tribal Environmental Plans (ETEPs) and GAP work plans together into one streamlined document.
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For the Indian Environmental General Assistance Program (GAP) grants, grantees provide EPA with a variety of information as outlined in the 2022 GAP Guidance, 40 CFR § 35.507, and the 1992 Indian Environmental General Assistance Program Act.  This proposed template itself does not introduce any new requirements on what is already required to be submitted by grantees.

 PRACTICAL UTILITY/USERS OF THE DATA

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This information is already being collected and used by the Agency.  This document is combining an EPA-Tribal Environmental Plan (ETEP) and an Indian Environmental General Assistance Program (GAP) Work Plan.

This information is already being collected and used by GAP recipients and EPA.  This document is combining an EPA-Tribal Environmental Plan (ETEP) and an Indian Environmental General Assistance Program (GAP) Work Plan.

An ETEP, as introduced in the 2013 GAP Guidance and continued in the 2022 GAP Guidance, is a joint plan outlining how each Tribe and EPA intends to work together to address shared environmental priorities.  Building upon recommendations from the Office of Inspector General (OIG), as well as being an essential performance management evaluation tool, an ETEP is a planning and communication tool for the Tribe and EPA that provides a road map for decision-making and a basis for understanding changes in capacity development with GAP resources.  There are three required components to an ETEP: 1) EPA Regulated Entities 2) Tribal Environmental Priorities, and 3) EPA Program Priorities, including Direct Implementation.  For the EPA Regulated Entities section, EPA Regional Offices should provide the Tribe with a draft inventory of federally regulated entities in Indian country.  Tribes may include other entities of interest, if desired.  For the Tribal Environmental Priorities section, Tribes/recipients should include a short description of each priority area the recipient plans to address with GAP funds, capacity indicators the recipient intends to pursue that is associated with that priority, anticipated timeline for completing the capacity indicator, long-term program development goals, and requested assistance.  For the EPA Program Priorities section, including Direct Implementation, EPA Regional offices should identify EPA program priorities, as well as identify EPA's direct implementation responsibilities for each Tribe, if applicable.  The information in this section may be beneficial to Tribes to identify where they may wish to seek assumption of federal laws or meaningfully participate in partnership with EPA.

A work plan, as detailed in 40 CFR § 35.507, lists all the mandatory requirements that need to be included to issue and manage a grant, including, but not limited to, estimated years and estimated funding amounts of reach work plan component, work plan commitments for each work plan component, along with a time frame for accomplishment, a performance evaluation process and reporting schedule, role and responsibilities of the recipient and EPA in carrying out the work plan commitments, etc.

This proposed template combines an ETEP and GAP work plan into one streamlined and clear document, in an effort to reduce administrative burden and create nationally consistent data and submissions.

Also, as stated in section 2.3 of the 2022 GAP Guidance, "AIEO [American Indian Environmental Office] strongly encourages a combined GAP work plan and ETEP to streamline required planning, reporting and information sharing, and will provide templates to assist recipients considering this format."

 USE OF TECHNOLOGY

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The template will be in a Microsoft Word, or similar, format.

The template will be in a Microsoft Word, or similar, format, and therefore will have the ability for grantees to use this document with or without access to the internet.  The document will have locked cells that cannot be changed, with open ended cells for grantees to enter information directly into the document.

 EFFORTS TO IDENTIFY DUPLICATION

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The information in this template is already being requested, and reported on, from grantees.

The information in this template is already being requested, and reported on, from grantees.  EPA anticipates that this document will significantly reduce administrative burden for both grantees and EPA, as all required information from several sources is streamlined into one document.

 MINIMIZING BURDEN ON SMALL ENTITIES

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GAP provides grants to Federally Recognized Tribes and intertribal consortia.

Since one definition of a "small entity," or "small governmental jurisdiction," may include "Indian Tribes," this section is applicable to the proposed template.

GAP is a grant opportunity for federally recognized Tribal governments and intertribal consortia.  The purpose of GAP is for recipients to plan, develop, and establish the capacity to implement programs administered by the EPA, develop and implement solid and hazardous waste programs for Indian lands. In 2018, Congress gave tribes the authority to provide collection, transportation, backhaul, and disposal services for solid waste and recovered materials using GAP funds.  Additionally, GAP authorizes EPA to provide technical assistance to Tribes and intertribal consortia in the development of multimedia programs to address environmental issues.

The information being collected in this template is already mandatory reporting information for grantees, regardless of the size of the federally recognized Tribe.

 EFFECTS OF LESS FREQUENT COLLECTION

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This information is already required to be reported.

 This information is already required to be reported on from grantees.  Lack of reporting on this mandatory information may result in the grantee losing funding and being unable to remain eligible for their grant.

 GENERAL GUIDELINES

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There are no special circumstances.

There are no special circumstances.  The collection of information is conducted in a manner consistent with the guidelines in 5 CFR 1320.5(d)(2)

 PUBLIC COMMENT AND CONSULTATIONS

     8a. PUBLIC COMMENT

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If applicable, provide a copy and identify the date and page number of publication in the Federal Register of the Agency's notice, required by 5 CFR 1320.8(d), soliciting comments on the information collection prior to submission to OMB. Summarize public comments received in response to that notice and describe actions taken by the Agency in response to these comments. Specifically address comments received on cost and hour burden.
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In compliance with the PRA, any agency developing an ICR must solicit public comments for a 60-day period prior to submitting the ICR to OMB.  These comments, which are used partly to determine realistic burden estimates for respondents, must be considered when completing the ICR that is submitted to OMB. To address this section in supporting statements released with a renewal ICR's first Federal Register notice (announcing the 60-day comment period), use the following, or similar, language:

In compliance with the Paperwork Reduction Act of 1995, EPA will solicit public comments on this renewal ICR through a notice in the Federal Register.

In the final ICR's supporting statement, include in this section the full citation for the 60-day Federal Register notice, the date the Federal Register notice was published, and a specific statement as to whether any comments were received.  A copy of the Federal Register notice must be submitted to OMB along with the Supporting Statement.

If comments were received, provide a summary of the comments along with an explanation of what response the Agency took in response to the comments.  Note that you are not obligated to use commenter's input, but if you do not, you must include an explanation why the Agency chose the path it did. If the Agency received especially useful or well-informed comments from the public, those comments may be included in an Appendix.  If only non-substantive/off-topic comments were received, you can report that "No substantive comments were received during the public comment period."
For rule-related ICRs, the publication of the preamble to the proposed rule, which solicits public comment on the ICR, serves as the 60-day notice. In this section, for the proposed rule ICR, indicate that the Agency is soliciting comments via publication of the proposed rule, which will be considered while preparing the final rule and the associated ICR.  In this section, for the final rule, describe comments received and the Agency's response as described above.

     8b. CONSULTATIONS

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EPA received input from three Tribal/public contacts with current Indian Environmental General Assistance Program (GAP) grants, as well as presented on the template at an EPA Region 9 Regional Tribal Operations Committee (RTOC) meeting and a GAP Project Officer (PO) meeting.  Note that an RTOC is a working committee of EPA and Tribal personnel, co-chaired by an EPA representative and a Tribal representative.
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EPA received input from Tribal/public contacts with a current Indian Environmental General Assistance Program (GAP) grant, presented on the template at an EPA Region 9 Regional Tribal Operations Committee (RTOC) meeting, as well as presented at a GAP Project Officer (PO) meeting.  Note that an RTOC is a working committee of EPA and Tribal personnel, co-chaired by an EPA representative and a Tribal representative.

Jerry Cain, Environmental Manager at the Office of Environmental Protection, Mississippi Band of Choctaw Indians, had positive feedback, stating, "This form is very similar to the programmatic work plans we develop each year. This format has been successful for us. The work plan forms that we use have been around for a while and do not have imbedded links etc. in them. I like this document and find it compatible in form and function with work plan formats that we are familiar with using."

Jason Walker, Tribal Councilman, Northwest Band of Shoshone Nation, suggested optional use of the proposed template.  EPA has already addressed this, as the template would only be mandatory if a grantee chose to combine their ETEP and stand-alone GAP award.

Victoria Flowers, Senior Environmental Scientist Tribal Program Lead, Oneida Nation, stated that she is currently already trying to align her work plan metrics with ETEP metrics and that ETEPs "are a good idea."

The Region 9 RTOC meeting had positive feedback on the fact that all reporting requirements were placed into one document.  There was concern that no Tribal consultation would take place on the proposed template. EPA explained that Tribal consultation is not to be offered on this template, as it is an administrative tool that represents information already being collected and reported by Tribes.  Tribes are encouraged to comment on the template during the Public Comment Period. In addition, consistent with EPA's Policy on Consultation and Coordination with Indian Tribes, EPA will consider all requests from Tribes for consultation.

The GAP Project Officer meeting had positive feedback on the template as well, generally expressing support for the streamlined manner in which all data and information is being asked and collected into an easy-to-follow template.

 PAYMENTS OR GIFTS TO RESPONDENTS

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Not applicable.

No payments or gifts are provided to respondents.

 PROVISIONS FOR PROTECTION OF INFORMATION

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This information is already being requested of grantees and may be subject to the Freedom of Information Act (FOIA).
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This information is already being requested of grantees and, like other data submitted to the federal government, may be subject to the Freedom of Information Act (5 U.S.C. § 552) (FOIA).  Grantees should be aware that records created may be required to be released under FOIA.

 JUSTIFICATION FOR SENSITIVE QUESTIONS

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Not applicable.
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Questions of a sensitive nature are not included in this information collection.

 ESTIMATE OF RESPONDENT BURDEN HOURS & LABOR COSTS

       Currently, there are approximately 520 GAP grantee recipients.  Each grantee already completes both an ETEP and a work plan in order to receive GAP funds.  Therefore, this template is not creating any more burden to the grantees, since the information is already being reported and collected; in fact, this proposed template is anticipated to alleviate administrative burdens and work hours, as it eliminates redundancy, streamlines the process, and makes reporting requirements clear.
       Regarding the hour burden of work plans, by statute a GAP award project period can be up to four years.  Multi-year GAP work plans are allowed and encouraged, and need to be reviewed annually, as they are funded annually.  Annual check ins occur between the grantee and their Project Officer, and include discussions regarding any changes in the work plan, based on accomplishments in the previous year.  EPA staff estimate that an initial four-year work plan takes the grantee eight hours to complete, and two hours for the Project Officer to review.  Annual check-ins are estimated to last an hour.
       Regarding ETEPs, and the hours of burden, these documents are recommended to cover a period of at least three, but not more than five years.  Grantees and Project Officers should review the ETEP annually and make updates to priorities, indicators, and anticipated timelines as needed.  EPA staff estimate that it takes a grantee 20 hours to complete an initial ETEP, and EPA staff five hours.  Annual reviews are estimated to last an hour.
       All hours are estimates, as each Tribe is unique, but an estimate may be higher or lower for several reasons, including the varied nature of the internal development, review, and approval processes of each Tribe, as well as the time in position for Tribal environmental staff, since new Tribal or EPA staff may spend more time than average in developing the ETEP priorities and work plan, while more experienced staff may use less.
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     12a.  Respondents/NAICS Codes

 The major category of respondents are federally recognized Tribes and inter-Tribal consortia.  These are the grantees eligible for GAP grants, as outlined in the Indian Environmental General Assistance Program Act of 1992.

 The NAICS code for this is 92115.

     12b. Information Requested

EPA is developing a template to assist grantees and EPA with the creation of combined EPA-Tribal Environmental Plans (ETEPs) and Indian Environmental General Assistance Program (GAP) work plans. This template will provide a streamlined way to identify and report information that is already outlined in the 2022 GAP Guidance, 40 CFR § 35.507, and the 1992 Indian Environmental General Assistance Program Act and is already being reported on.

     12c. Respondent Activities

 To create a work plan and an ETEP, a grantee usually liaisons with their EPA Project Officer, Tribal government, Tribal environmental staff, and local community to understand their needs related to planning, developing, and establishing environmental protection programs, and for potentially developing and implementing solid and hazardous waste programs on Tribal lands.
 Since any burden for preparing, keeping, or reporting information is exempt from further burden and cost analysis if the information is already prepared, kept, or reported as part of usually of customary business practice, there is no need for EPA to report on this.  As previously mentioned, the ETEP and GAP work plan information is already being reported/collected.

 Additionally, access to reliable internet connections may be a challenge for GAP grantees, specifically those located in Alaska.  Therefore, this proposed template will be in a Microsoft Word, or similar, format, so an internet connection is not necessary to complete the document.

     12d. Respondent Hour and Labor Burden

The burden hours were estimated by surveying EPA staff, such as project officers, senior advisors, and EPA staff who were previous Tribal environmental staff.

 Respondent (Tribal) hours have been calculated via the Burden Calculator Excel Table.  The average salary of a Tribal Environmental Director is estimated at $104,287/year (which is calculated as the average of a GS 13 from Seattle, WA [$109,546], St. Louis, MO [$100,694] and Richmond, VA [$102,622]).

 This total ($104,287) was then multiplied by 110% (to account for benefits) to create the new total of $114,716/year, or $55/hour.

 The Burdon Table for the grantee is attached as part of the OMB submitted documentation.  It should be noted that there are approximately 520 GAP recipients, and EPA anticipated that roughly 25 recipients would need to complete this template, as they have both an ETEP and stand-alone GAP work plan.

13. RESPONDENT ANNUAL COST (NON-LABOR)

Not applicable.
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 Capital/Start-Up Costs
 Not applicable.
 Operating and Maintenance (O&M) Costs
 Not applicable.
 Annualizing Capital Costs
 Not applicable.

 AGENCY (EPA) BURDEN ESTIMATES
 Regarding the hour burden of work plans, by statute, a GAP award project period can be up to four years.  Multi-year GAP work plans are allowed and encouraged, and need to be reviewed annually, as they are funded annually.  Annual check ins, as part of the joint evaluation process within §35.507/§35.515, occur between the grantee and their project officer, and include accomplishments as measured against work plan commitments, a discussion of the cumulative effectiveness of the work performed under all work plan components, a discussion of existing and potential problem areas, and suggestions for improvement, including, where feasible, schedules for making improvements.  EPA staff estimate that an initial four-year work plan takes the grantee eight hours to complete, and two hours for the project officer to review.  Annual check-ins, as part of the joint evaluation process, are estimated to last an hour.
       Regarding ETEPs, and the hours of burden, these documents cover a period of at least three, but not more than five years.  Grantees and project officers should review the ETEP annually and make updates to priorities, indicators, and anticipated timelines.  EPA staff estimate that it takes a grantee 20 hours to complete an initial ETEP, and EPA staff five hours.  Annual reviews are estimated to last an hour.
       All hours are estimates, as each Tribe is unique, but an estimate may be higher or lower for several reasons, including the varied nature of the internal development, review, and approval processes of each Tribe, as well as the time in position for Tribal environmental staff, since new tribal or EPA staff may spend more time than average in developing the ETEP priorities and work plan, and more experienced staff may use less.
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The burden hours were estimated by surveying EPA staff, such as project officers, senior advisors, and EPA staff who were previous Tribal environmental staff.

 Labor hours have been calculated via the Burden Calculator Excel Table.  The average salary of an EPA Project Officer is estimated at $104,287/year (which is calculated as the average of a GS 13 from Seattle, WA [$109,546], St. Louis, MO [$100,694] and Richmond, VA [$102,622]).

 This total ($104,287) was then multiplied by 110% (to account for benefits) to create the new total of $114,716/year, or $55/hour.

 The Burdon Table for EPA staff is attached as part of the OMB submitted documentation.  It should be noted that there are approximately 60 GAP Project Officers, and EPA anticipated that roughly 25 of these Project Officers would have grantees that would complete this template, as the grantee has both an ETEP and stand-alone GAP work plan.

    CHANGE IN BURDEN

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Not applicable.
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 Not applicable.

 PUBLICATION OF DATA

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Some data from the ETEP and/or work plan will be entered into the GAP Hub, which is an EPA internal performance management application for GAP.
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Some data from the ETEP and/or work plan will be entered into the GAP Hub, which is an EPA internal performance management application for GAP.  EPA is responsible for efficient program administration and oversight of GAP, and a pillar of this responsibility is analyzing performance data. GAP Hub will make existing data accessible and help EPA better answer questions related to how well GAP funding is doing at assisting Tribes in building environmental program capacity and implementing solid and hazardous waste programs.  Using the reported information provided by EPA Regional Offices, EPA will prepare national GAP performance reports and use this information to inform reports to Congress, the Office of Management and Budget (OMB), Tribal governments, and others. This information can provide key insights into unmet needs, better anticipate where programmatic support is needed, assist with establishing national priorities, identify success stories, and bolster appropriation requests to Congress.  Note, though, that data, at the individual Tribal/grantee level, will not be publicly shared.

     DISPLAY OF OMB CONTROL NUMBER EXPIRATION DATE ON INSTRUMENTS

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Not applicable.
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Not applicable.

18. CERTIFICATION STATEMENT

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This information collection complies with all provisions of the Certification for Paperwork Reduction Act Submissions.
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This information collection complies with all provisions of the Certification for Paperwork Reduction Act Submissions.

APPENDIX A: Combined ETEP and GAP Work Plan Template

Needs to be attached


[Federal Register Volume 85, Number 173 (Friday, September 4, 2020)]
[Notices]
[Pages 55275-55276]
[FR Doc No: 2020-19616]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings

    Take notice that the Commission has received the following Natural
Gas Pipeline Rate and Refund Report filings:

    Docket Numbers: RP19-1340-000.
    Applicants: Viking Gas Transmission Company.
    Description: Report Filing: Refund Report.
    Filed Date: 8/28/20.

    Accession Number: 20200828-5021.
    Comments Due: 5 p.m. ET 9/9/20.

    Docket Numbers: RP20-1124-000.
    Applicants: Transcontinental Gas Pipe Line Company, LLC.
    Description: Sec.  4(d) Rate Filing: 2020 ACA Tracker Filing--GSS,
LSS, SS-2 & S-2 to be effective 10/1/2020.
    Filed Date: 8/28/20.
    Accession Number: 20200828-5015.
    Comments Due: 5 p.m. ET 9/9/20.

    Docket Numbers: RP20-1125-000.
    Applicants: Texas Eastern Transmission, LP.
    Description: Compliance filing 2020 Operational Entitlements
Filing.
    Filed Date: 8/28/20.
    Accession Number: 20200828-5023.
    Comments Due: 5 p.m. ET 9/9/20.

    Docket Numbers: RP20-1126-000.
    Applicants: TransColorado Gas Transmission Company LLC.
    Description: Sec.  4(d) Rate Filing: Quarterly Fuel and L&U
Percentage Update to be effective 10/1/2020.
    Filed Date: 8/28/20.
    Accession Number: 20200828-5035.
    Comments Due: 5 p.m. ET 9/9/20.

    Docket Numbers: RP20-1127-000.
    Applicants: Rockies Express Pipeline LLC.
    Description: Sec.  4(d) Rate Filing: REX 2020-08-28 Negotiated Rate
Agreement to be effective 9/1/2020.
    Filed Date: 8/28/20.
    Accession Number: 20200828-5057.
    Comments Due: 5 p.m. ET 9/9/20.

    Docket Numbers: RP20-1128-000.
    Applicants: Colorado Interstate Gas Company, L.L.C.
    Description: Sec.  4(d) Rate Filing: Annual Fuel and LUF True Up
Filing to be effective 10/1/2020.
    Filed Date: 8/28/20.
    Accession Number: 20200828-5058.
    Comments Due: 5 p.m. ET 9/9/20.

    Docket Numbers: RP20-1129-000.
    Applicants: Texas Eastern Transmission, LP.
    Description: Sec.  4(d) Rate Filing: Negotiated Rates--Chevron
911109 Releases eff 9-1-2020 to be effective 9/1/2020.
    Filed Date: 8/28/20.
    Accession Number: 20200828-5118.
    Comments Due: 5 p.m. ET 9/9/20.

    Docket Numbers: RP20-1130-000.
    Applicants: El Paso Natural Gas Company, L.L.C.
    Description: Sec.  4(d) Rate Filing: Negotiated Rate Update Filing
(Conoco Sept 20) to be effective 9/1/2020.
    Filed Date: 8/28/20.
    Accession Number: 20200828-5135.
    Comments Due: 5 p.m. ET 9/9/20.

    Docket Numbers: RP20-1131-000.
    Applicants: Transcontinental Gas Pipe Line Company, LLC.
    Description: Sec.  4(d) Rate Filing: Negotiated Rates--Cherokee
AGL--Replacement Shippers--Sep 2020 to be effective 9/1/2020.
    Filed Date: 8/28/20.
    Accession Number: 20200828-5153.
    Comments Due: 5 p.m. ET 9/9/20.

    The filings are accessible in the Commission's eLibrary system
(https://elibrary.ferc.gov/idmws/search/fercgensearch.asp) by querying
the docket number.
    Any person desiring to intervene or protest in any of the above
proceedings must file in accordance with Rules 211 and 214 of the
Commission's Regulations (18 CFR 385.211 and 385.214) on or before 5:00
p.m. Eastern time on the specified comment date. Protests may be
considered, but intervention is necessary to become a party to the
proceeding.
    eFiling is encouraged. More detailed information relating to filing
requirements, interventions, protests, service, and qualifying
facilities filings can be found at: http://www.ferc.gov/docs-filing/efiling/filing-req.pdf. For other information, call<PHONE_NUMBER>
(toll free). For TTY, call<PHONE_NUMBER>.

    Dated: August 31, 2020.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2020-19616 Filed 9-3-20; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 84, Number 140 (Monday, July 22, 2019)]
[Notices]
[Pages 35168-35169]
[FR Doc No: 2019-15528]

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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-504, OMB Control No. 3235-0561]

Proposed Collection; Comment Request

Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of FOIA Services, 100 F Street NE, Washington, DC
20549-2736

Extension:
    Rule 12d3-1

    Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities

and Exchange Commission (the ``Commission'') is soliciting comments on
the collections of information summarized below. The Commission plans
to submit these existing collections of information to the Office of
Management and Budget (``OMB'') for extension and approval.
    Section 12(d)(3) of the Investment Company Act of 1940 (15 U.S.C.
80a) generally prohibits registered investment companies (``funds''),
and companies controlled by funds, from purchasing securities issued by
a registered investment adviser, broker, dealer, or underwriter
(``securities-related businesses''). Rule 12d3-1 (``Exemption of
acquisitions of securities issued by persons engaged in securities
related businesses'' (17 CFR 270.12d3-1)) permits a fund to invest up
to five percent of its assets in securities of an issuer deriving more
than fifteen percent of its gross revenues from securities-related
businesses, but a fund may not rely on rule 12d3-1 to acquire
securities of its own investment adviser or any affiliated person of
its own investment adviser.
    A fund may, however, rely on an exemption in rule 12d3-1 to acquire
securities issued by its subadvisers in circumstances in which the
subadviser would have little ability to take advantage of the fund,
because it is not in a position to direct the fund's securities
purchases. The exemption in rule 12d3-1(c)(3) is available if (i) the
subadviser is not, and is not an affiliated person of, an investment
adviser that provides advice with respect to the portion of the fund
that is acquiring the securities, and (ii) the advisory contracts of
the subadviser, and any subadviser that is advising the purchasing
portion of the fund, prohibit them from consulting with each other
concerning securities transactions of the fund, and limit their
responsibility in providing advice to providing advice with respect to
discrete portions of the fund's portfolio.
    Based on an analysis of fund filings, the staff estimates that
approximately 216 fund portfolios enter into subadvisory agreements
each year.\1\ Based on discussions with industry representatives, the
staff estimates that it will require approximately 3 attorney hours to
draft and execute additional clauses in new subadvisory contracts in
order for funds and subadvisers to be able to rely on the exemptions in
rule 12d3-1. Because these additional clauses are identical to the
clauses that a fund would need to insert in their subadvisory contracts
to rely on rules 10f-3, 17a-10, and 17e-1 and because we believe that
funds that use one such rule generally use all of these rules, we
apportion this 3 hour time burden equally to all four rules. Therefore,
we estimate that the burden allocated to rule 12d3-1 for this contract
change would be 0.75 hours.\2\ Assuming that all 216 funds that enter
into new subadvisory contracts each year make the modification to their
contract required by the rule, we estimate that the rule's contract
modification requirement will result in 162 burden hours annually.\3\
---------------------------------------------------------------------------

    \1\ Based on data from Morningstar Direct, as of December 31,
2018, there are 12,459 registered funds (open-end funds, closed-end
funds, and exchange-traded funds), 4,615 of which have subadvisory
relationships (approximately 37%). 583 new funds were established in
2018. 583 new funds x 37% = 216 funds.
    \2\ This estimate is based on the following calculation (3 hours
/ 4 rules = .75 hours).
    \3\ This estimate is based on the following calculation: (0.75
hours x 216 portfolios = 162 burden hours).
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    An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid control number.
    Written comments are invited on: (a) Whether the proposed
collection of information is necessary for the proper performance of
the functions of the agency, including whether the information will
have practical utility; (b) the accuracy of the agency's estimate of
the burden of the collection of information; (c) ways to enhance the
quality, utility, and clarity of the information collected; and (d)
ways to minimize the burden of the collection of information on
respondents, including through the use of automated collection
techniques or other forms of information technology. Consideration will
be given to comments and suggestions submitted in writing within 60
days of this publication.
    Please direct your written comments to Charles Riddle, Acting
Director/Chief Information Officer, Securities and Exchange Commission,
C/O Candace Kenner, 100 F Street NE, Washington, DC 20549; or send an
email to<EMAIL_ADDRESS>
    Dated: July 17, 2019.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2019-15528 Filed 7-19-19; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 77, Number 63 (Monday, April 2, 2012)]
[Notices]
[Pages 19657-19658]
[FR Doc No: 2012-7779]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings 1

    Take notice that the Commission received the following electric
corporate filings:

    Docket Numbers: EC12-82-000.
    Applicants: Ridgeline Alternative Energy, LLC, Wolverine Creek
Goshen Interconnection LLC.
    Description: Errata Letter to Submit Revised Exhibit B.
    Filed Date: 3/21/12.
    Accession Number: 20120321-5175.
    Comments Due: 5 p.m. ET 4/6/12.

    Docket Numbers: EC12-83-000.
    Applicants: Goshen Phase II LLC, Ridgeline Alternative Energy, LLC.

    Description: Errata Letter to Submit Revised Exhibit B.
    Filed Date: 3/21/12.
    Accession Number: 20120321-5176.
    Comments Due: 5 p.m. ET 4/9/12.

    Take notice that the Commission received the following electric
rate filings:

    Docket Numbers: ER10-1484-003.
    Applicants: Shell Energy North America (US), L.P.
    Description: Notice of Change in Status of Shell Energy North
America (US), L.P.
    Filed Date: 3/21/12.
    Accession Number: 20120321-5185.
    Comments Due: 5 p.m. ET 4/11/12.

    Docket Numbers: ER12-726-001.
    Applicants: Spring Valley Wind LLC.
    Description: Supplement to Amended Application for Market-Based
Rate Authority of Spring Valley Wind LLC.
    Filed Date: 3/21/12.
    Accession Number: 20120321-5180.
    Comments Due: 5 p.m. ET 4/11/12.

    Docket Numbers: ER12-1170-001.
    Applicants: Imperial Valley Solar Company (IVSC) 1, LLC.
    Description: Amended Market-Based Rate Tariff of IVSC 1 to be
effective 2/28/2012.
    Filed Date: 3/21/12.
    Accession Number: 20120321-5162.
    Comments Due: 5 p.m. ET 4/11/12.

    Docket Numbers: ER12-1305-000.
    Applicants: California Independent System Operator Corporation.
    Description: 2013-03-21 CAISOs LGIA with Nevada Hydro and SDGE to
be effective 5/21/2012.
    Filed Date: 3/21/12.
    Accession Number: 20120321-5125.
    Comments Due: 5 p.m. ET 4/11/12.

    Docket Numbers: ER12-1306-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: Original Service Agreement No. 3262; Queue No. W4-068
to be effective 2/28/2012.
    Filed Date: 3/21/12.
    Accession Number: 20120321-5127.
    Comments Due: 5 p.m. ET 4/11/12.

    Docket Numbers: ER12-1307-000.
    Applicants: Oklahoma Gas and Electric Company.
    Description: Ministerial Filing to be effective 3/22/2012.
    Filed Date: 3/21/12.
    Accession Number: 20120321-5128.
    Comments Due: 5 p.m. ET 4/11/12.

    Docket Numbers: ER12-1308-000.
    Applicants: Palouse Wind, LLC.
    Description: Palouse Wind, LLC Market-Base Rate Tariff to be
effective 5/20/2012.
    Filed Date: 3/21/12.
    Accession Number: 20120321-5144.
    Comments Due: 5 p.m. ET 4/11/12.

    Docket Numbers: ER12-1309-000.
    Applicants: New England Power Company.
    Description: Local Service Agreement with Templeton Municipal Light
Plant to be effective 3/1/2012.
    Filed Date: 3/21/12.
    Accession Number: 20120321-5146.
    Comments Due: 5 p.m. ET 4/11/12.

    Docket Numbers: ER12-1310-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: Original Service Agreement No. 3261; Queue No. W3-045
to be effective 2/27/2012.
    Filed Date: 3/21/12.
    Accession Number: 20120321-5152.
    Comments Due: 5 p.m. ET 4/11/12.

    Docket Numbers: ER12-1311-000.
    Applicants: Stetson Holdings, LLC.
    Description: Notice of Succession to be effective 3/22/2012.
    Filed Date: 3/21/12.
    Accession Number: 20120321-5156.
    Comments Due: 5 p.m. ET 4/11/12.

    Docket Numbers: ER12-1312-000.
    Applicants: California Independent System Operator Corporation.
    Description: Notice of the California ISO of Termination of Large
Generator Interconnection Agreement Among the Nevada Hydro Company,
Inc.; San Diego Gas & Electric Company; and the California Independent
System Operator Corporation.
    Filed Date: 3/21/12.
    Accession Number: 20120321-5183.
    Comments Due: 5 p.m. ET 4/11/12.
    The filings are accessible in the Commission's eLibrary system by
clicking on the links or querying the docket number.
    Any person desiring to intervene or protest in any of the above
proceedings must file in accordance with Rules 211 and 214 of the
Commission's Regulations (18 CFR 385.211 and 385.214) on or before 5
p.m. Eastern time on the specified comment date. Protests may be
considered, but intervention is necessary to become a party to the
proceeding.
    eFiling is encouraged. More detailed information relating to filing
requirements, interventions, protests, service, and qualifying
facilities filings can be found at: http://www.ferc.gov/docs-filing/efiling/filing-req.pdf. For other information, call<PHONE_NUMBER>
(toll free). For TTY, call<PHONE_NUMBER>.

    Dated: March 22, 2012.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2012-7779 Filed 3-30-12; 8:45 am]
BILLING CODE 6717-01-P


Conrad Chin/RTP/USEPA/US

11/29/2007 01:48 PM	To

Conrad Chin/RTP/USEPA/US@EPA

cc

bcc

Subject

Clarification on AFS Comments

		On page 38 in Section VIII (Opacity Limit) of AFS comments dated November

1, 2007, AFS proposed to use EPA Method 22 as a screening tool to

demonstrate compliance with the proposed opacity limit for the area source

foundries rule.  In the comments, AFS stated that if NO fugitive emissions

are visible from the facility, the proposed opacity would be met.  If

fugitive emissions are visible from the facility, then the foundry could

conduct a (EPA) Method 9 test to demonstrate compliance with the opacity

limit.

		A call was initiated by Conrad Chin to Christian Richter of AFS on

November 28 for clarification on:

		1) the frequency of the proposed Method 22 observation

		2) confirmation that AFS was proposing that Method 9 would be followed if

fugitive emissions are observed during the Method 22 screening test

		A phone message was left by Jeff Hannapel of AFS to Conrad Chin on the

same day in response to EPA's inquiry:

		1) AFS preferred Method 22 to be performed on an annual basis.

		2)  AFS confirmed that Method 22 is the preferred screening tool to

demonstrate compliance with the opacity limit.  Jeff Hannapel reiterated

that, since Method 22 does not require a certified observer, it will

minimize burden on smaller foundries.  AFS confirmed that if no visible

emissions are observed for Method 22, then the semi-annual Method 9 would

not be required.

		Conrad K. Chin

Mail Code D243-02

Metals and Minerals Group

Sector Policies and Programs Division

Office of Air Quality Planning and Standards

U.S. Environmental Protection Agency

919-541-1512 (voice)

919-541-3207 (fax)


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Page 926 EPA219_ BC_ 16b_ 2010_ Pechan RET3 Oil/ Gas Early Retirements RET3 Oil/ Gas Early Retirements Page 927 EPA219_ BC_ 16b_ 2010_ Pechan Page 928 EPA219_ BC_ 16b_ 2010_ Pechan RET3 Oil/ Gas Early Retirements RET3 Oil/ Gas Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET3 Oil/ Gas Early Retirements RET3 Oil/ Gas Early Retirements RET3 Oil/ Gas Early Retirements RET3 Oil/ Gas Early Retirements RET3 Oil/ Gas Early Retirements RET3 Oil/ Gas Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements Page 929 EPA219_ BC_ 16b_ 2010_ Pechan RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements SNR1 SNCR SNR1 SNCR SNR1 SNCR SNR1 SNCR RET1 CT Early Retirements RET1 CT Early Retirements RET3 Oil/ Gas Early Retirements RET3 Oil/ Gas Early Retirements RET3 Oil/ Gas Early 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Page 964 EPA219_ BC_ 16b_ 2010_ Pechan SCR1 SCR ired units only)

RET3 Oil/ Gas Early Retirements RET3 Oil/ Gas Early Retirements Page 965 EPA219_ BC_ 16b_ 2010_ Pechan RET1 CT Early Retirements RET1 CT Early Retirements Page 966 EPA219_ BC_ 16b_ 2010_ Pechan tom boilers only) tom boilers only) tom boilers only)

SCR1 SCR SCR1 SCR Page 967 EPA219_ BC_ 16b_ 2010_ Pechan LD01 Scrubber gy with Close coupled and Separated OFA ( Tangentially fired units only)

RET3 Oil/ Gas Early Retirements RET3 Oil/ Gas Early Retirements RET3 Oil/ Gas Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements SCR1 SCR SCR1 SCR Page 968 EPA219_ BC_ 16b_ 2010_ Pechan ML01 Scrubber ML01 Scrubber RO01 Scrubber & SCR RO01 Scrubber & SCR Page 969 EPA219_ BC_ 16b_ 2010_ Pechan RET3 Oil/ Gas Early Retirements RET3 Oil/ Gas Early Retirements RET3 Oil/ Gas Early Retirements RET3 Oil/ Gas Early Retirements RET3 Oil/ Gas Early Retirements RET3 Oil/ Gas Early Retirements RET3 Oil/ Gas Early Retirements RET3 Oil/ Gas Early Retirements RET3 Oil/ Gas Early Retirements Page 970 EPA219_ BC_ 16b_ 2010_ Pechan SCR1 SCR SCR1 SCR SCR1 SCR SCR1 SCR RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements Page 971 EPA219_ BC_ 16b_ 2010_ Pechan Page 972 EPA219_ BC_ 16b_ 2010_ Pechan RET3 Oil/ Gas Early Retirements RET3 Oil/ Gas Early Retirements Page 973 EPA219_ BC_ 16b_ 2010_ Pechan RET3 Oil/ Gas Early Retirements RET3 Oil/ Gas Early Retirements RET3 Oil/ Gas Early Retirements RET3 Oil/ Gas Early Retirements Page 974 EPA219_ BC_ 16b_ 2010_ Pechan RET3 Oil/ Gas Early Retirements SNR1 SNCR SNR1 SNCR Page 975 EPA219_ BC_ 16b_ 2010_ Pechan RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements Page 976 EPA219_ BC_ 16b_ 2010_ Pechan RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements Page 977 EPA219_ BC_ 16b_ 2010_ Pechan RET1 CT Early Retirements Page 978 EPA219_ BC_ 16b_ 2010_ Pechan Page 979 EPA219_ BC_ 16b_ 2010_ Pechan Page 980 EPA219_ BC_ 16b_ 2010_ Pechan RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements Page 981 EPA219_ BC_ 16b_ 2010_ Pechan RET1 CT Early Retirements RET1 CT Early Retirements Page 982 EPA219_ BC_ 16b_ 2010_ Pechan RET3 Oil/ Gas Early Retirements Page 983 EPA219_ BC_ 16b_ 2010_ Pechan RET1 CT Early Retirements Page 984 EPA219_ BC_ 16b_ 2010_ Pechan RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements Page 985 EPA219_ BC_ 16b_ 2010_ Pechan Page 986 EPA219_ BC_ 16b_ 2010_ Pechan Page 987 EPA219_ BC_ 16b_ 2010_ Pechan tom boilers only)

Page 988 EPA219_ BC_ 16b_ 2010_ Pechan RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements Page 989 EPA219_ BC_ 16b_ 2010_ Pechan RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements SCR2 SCR SCR2 SCR SCR1 SCR SCR1 SCR RET3 Oil/ Gas Early Retirements RET3 Oil/ Gas Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements Page 990 EPA219_ BC_ 16b_ 2010_ Pechan LD02 Scrubber LD02 Scrubber RET3 Oil/ Gas Early Retirements RET3 Oil/ Gas Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements Page 991 EPA219_ BC_ 16b_ 2010_ Pechan RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements RET1 CT Early Retirements Page 992 EPA219_ BC_ 16b_ 2010_ Pechan SNR1 SNCR SNR1 SNCR Page 993 EPA219_ BC_ 16b_ 2010_ Pechan SCR1 SCR SCR1 SCR SCR1 SCR SCR1 SCR Page 994 EPA219_ BC_ 16b_ 2010_ Pechan gy with Close coupled and Separated OFA ( Tangentially fired units only)


[Federal Register Volume 78, Number 142 (Wednesday, July 24, 2013)]
[Notices]
[Pages 44559-44560]
[FR Doc No: 2013-17727]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket Nos. RM07-16-000; RM01-5-000; and RM12-3-000]

Effective Date of Revised Company Registration Requirements

AGENCY: Federal Energy Regulatory Commission, DOE.

ACTION: Notice.

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SUMMARY: This document establishes the effective date of the Revised
Company Registration Requirements. The Commission issued a Notice in
the Federal Register, 78 FR 10,614 (February 14, 2013), requesting
public comments by April 15, 2013.

DATES: Effective on August 5, 2013.

FOR FURTHER INFORMATION CONTACT: For legal issues: Nicholas Gladd,
Office of the General Counsel, Federal Energy Regulatory Commission,
888 First Street NE., Washington, DC 20426,<PHONE_NUMBER>,
<EMAIL_ADDRESS>    For technical issues: Anthony Barracchini, Office of the Executive
Director, Federal Energy Regulatory Commission, 888 First Street NE.,
Washington, DC 20426,<PHONE_NUMBER><EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Notice of Effective Date of Revised Company Registration Requirements

    Take notice that beginning on August 5, 2013, the Commission will
implement the new company registration format for those filings
requiring the use of a Company Identifier (CID) number. The company
registration system currently applies only to electronic tariff
(eTariff) and Electric Quarterly Report (EQR) filings and does not
apply to, or change the procedures relating to, other filings made
through the Commission's eFiling system.
    After August 5, filings requiring the use of a CID number cannot be
made until the filer either has registered using the new format or
transitioned its existing company registration to the new format.
Companies required to file using CIDs are urged to register or complete
the transition process prior to making a filing to avoid the potential
for registration problems on the day of the filing.
    As explained in the Commission's February 7, 2013 order,\1\ the new
system adopts a revised method of authenticating filings requiring the
use of a CID number that improves the filer's security by eliminating
the practical need under the current CID system for a filing company to
share its company registration password.\2\ Under the new system, the
filer will maintain a list of eRegistered account administrators and
agents whom it has authorized to submit filings on its behalf. Account
administrators, in addition to making filings themselves, will have
additional rights to administer the company registration account
settings and designate agents to make filings. To make a filing, an
account administrator or agent will use its individual eRegistration
account to log onto FERC Online and choose the type of filing (e.g.,
eTariff), and then will be presented with a list of all the filing
companies for which they are registered to make that type of filing.
---------------------------------------------------------------------------

    \1\ Revisions to Company Registration and Establishing Technical
Conference, 142 FERC ] 61,097 (2013).
    \2\ A company with an existing CID will use its password to
effectuate the transition to the new process. After the transition,
the password will not be needed.
---------------------------------------------------------------------------

    A detailed instruction manual for the new company registration
system is posted at http://www.ferc.gov/docs-filing/revised-company-registration-instruct.pdf.
    For more information, please contact:

For legal issues: Nicholas Gladd, Office of the General Counsel,
Federal Energy Regulatory Commission, 888 First Street NE., Washington,
DC 20426,<PHONE_NUMBER><EMAIL_ADDRESS>For technical issues: Anthony Barracchini, Office of the Executive
Director, Federal Energy Regulatory Commission, 888 First Street NE.,
Washington, DC 20426,<PHONE_NUMBER><EMAIL_ADDRESS>

    Dated: July 17, 2013.
Kimberly D. Bose,
Secretary.
[FR Doc. 2013-17727 Filed 7-23-13; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 79, Number 154 (Monday, August 11, 2014)]
[Notices]
[Pages 46898-46900]
[FR Doc No: 2014-18880]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-72765; File No. SR-FINRA-2014-034]

Self-Regulatory Organizations; Financial Industry Regulatory
Authority, Inc.; Notice of Filing and Immediate Effectiveness of a
Proposed Rule Change To Revise the Series 23 Examination Program

August 5, 2014.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'' or ``SEA'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby
given that on July 29, 2014, Financial Industry Regulatory Authority,
Inc. (``FINRA'') filed with the Securities and Exchange Commission
(``SEC'' or ``Commission'') the proposed rule change as described in
Items I, II, and III below, which Items have been prepared by FINRA.
FINRA has designated the proposed rule change as ``constituting a
stated policy, practice, or interpretation with respect to the meaning,
administration, or enforcement of an existing rule'' under Section
19(b)(3)(A)(i) of the Act \3\ and Rule 19b-4(f)(1) thereunder,\4\ which
renders the proposal effective upon receipt of this filing by the
Commission. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ 15 U.S.C. 78s(b)(3)(A)(i).
    \4\ 17 CFR 240.19b-4(f)(1).
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    FINRA is filing revisions to the content outline and selection
specifications for the General Securities Principal Sales Supervisor
Module (Series 23) examination program.\5\ The proposed revisions
update the material to reflect changes to the laws, rules and
regulations covered by the examination and to incorporate the functions
and associated tasks currently performed by a General Securities
Principal. In addition, FINRA is proposing to make changes to the
format of the content outline. FINRA is not proposing any textual
changes to the By-Laws, Schedules to the By-Laws or Rules of FINRA.
---------------------------------------------------------------------------

    \5\ FINRA also is proposing corresponding revisions to the
Series 23 question bank. Based on instruction from SEC staff, FINRA
is submitting this filing for immediate effectiveness pursuant to
Section 19(b)(3)(A) of the Act and Rule 19b-4(f)(1) thereunder, and
is not filing the question bank for review. See Letter to Alden S.
Adkins, Senior Vice President and General Counsel, NASD Regulation,
from Belinda Blaine, Associate Director, Division of Market
Regulation, SEC, dated July 24, 2000. The question bank is available
for SEC review.
---------------------------------------------------------------------------

    The revised content outline is attached. The Series 23 selection
specifications have been submitted to the Commission under separate
cover with a request for confidential treatment pursuant to SEA Rule
24b-2.\6\
---------------------------------------------------------------------------

    \6\ 17 CFR 240.24b-2. The Commission notes that the content
outline is an exhibit to the filing, not to this Notice.
---------------------------------------------------------------------------

    The text of the proposed rule change is available on FINRA's Web
site at http://www.finra.org, at the principal office of FINRA and at
the Commission's Public Reference Room.

II. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change

    In its filing with the Commission, FINRA included statements
concerning the purpose of and basis for the proposed rule change and
discussed any comments it received on the proposed rule change. The
text of these statements may be examined at the places specified in
Item IV below. FINRA has prepared summaries, set forth in sections A,
B, and C below, of the most significant aspects of such statements.

A. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change

1. Purpose
    Section 15A(g)(3) of the Act \7\ authorizes FINRA to prescribe
standards of training, experience, and competence for persons
associated with FINRA members. In accordance with that provision, FINRA
has developed examinations that are designed to establish that persons
associated with FINRA members have attained specified levels of
competence and knowledge, consistent with applicable registration
requirements under FINRA rules. FINRA periodically reviews the content
of the examinations to determine whether revisions are necessary or
appropriate in view of changes pertaining to the subject matter covered
by the examinations.
---------------------------------------------------------------------------

    \7\ 15 U.S.C. 78o-3(g)(3).
---------------------------------------------------------------------------

    NASD Rule 1022(a) (General Securities Principal) sets forth the
registration requirements for a General Securities Principal.\8\ Among
other requirements, a person registering as a General Securities
Principal must pass the General Securities Principal (Series 24)
qualification examination or an alternative examination. The Series 23
examination, in combination with the General Securities Sales
Supervisor (Series 9/10) examination,\9\ is an acceptable qualification
alternative to the Series 24 examination for associated persons who are
required to register and qualify as General Securities Principals with
FINRA. The Series 23 examination tests material from the Series 24

examination not otherwise tested on the Series 9/10 examination.
---------------------------------------------------------------------------

    \8\ See SR-FINRA-2014-035 (Notice of Filing and Immediate
Effectiveness of a Proposed Rule Change to Revise the Series 24
Examination Program) for a discussion of the requirements for a
General Securities Principal.
    \9\ As a prerequisite to the Series 23 examination, FINRA also
recognizes the Series 8 examination, the historical equivalent to
the Series 9/10 examination, and the former Series 12 examination, a
subset of the Series 9/10 examination omitting questions on options
and municipal securities.
---------------------------------------------------------------------------

    In consultation with a committee of industry representatives, FINRA
recently undertook a review of the Series 23 examination program. As a
result of this review, FINRA is proposing to make revisions to the
content outline to reflect changes to the laws, rules and regulations
covered by the examination and to incorporate the functions and
associated tasks currently performed by a General Securities Principal.
FINRA also is proposing to make changes to the format of the content
outline.
Current Outline
    The current content outline is divided into five sections. The
following are the five sections and the number of questions associated
with each of the sections, denoted Section 1 through Section 5:
    1. Supervision of Investment Banking, Underwriting Activities and
Research, 30 questions;
    2. Supervision of Trading and Market Making Activities, 24
questions;
    3. Supervision of Brokerage Office Operations, 12 questions;
    4. Sales Supervision and General Supervision of Employees, 23
questions; and
    5. Compliance with Financial Responsibility Rules, 11 questions.
    Each section also includes the applicable laws, rules and
regulations associated with that section. The current outline also
includes a preface (addressing, among other things, the purpose,
administration and scoring of the examination), sample questions and
reference materials.
Proposed Revisions
    FINRA is proposing to divide the content outline into five major
job functions that are performed by a General Securities Principal. The
following are the five major job functions, denoted Function 1 through
Function 5, with the associated number of questions:
    Function 1: Supervision of Registration of the Broker-Dealer and
Personnel Management Activities, 6 questions;
    Function 2: Supervision of General Broker-Dealer Activities, 26
questions;
    Function 3: Supervision of Retail and Institutional Customer-
Related Activities, 12 questions;
    Function 4: Supervision of Trading and Market Making Activities, 28
questions; and
    Function 5: Supervision of Investment Banking and Research, 28
questions.
    FINRA is also proposing to adjust the number of questions assigned
to each major job function to ensure that the overall examination
better reflects the key tasks performed by a General Securities
Principal. The questions on the revised Series 23 examination will
place greater emphasis on key tasks such as supervision of registered
persons, sales practices and compliance.
    Each function also includes specific tasks describing activities
associated with performing that function. There are two tasks (1.1-1.2)
associated with Function 1; seven tasks (2.1-2.7) associated with
Function 2; three tasks (3.1-3.3) associated with Function 3; three
tasks (4.1-4.3) associated with Function 4; and three tasks (5.1-5.3)
associated with Function 5.\10\ By way of example, one such task (Task
2.1) is to develop, implement and update firm's policies, written
supervisory procedures (WSP) and controls for applicable rules and
regulations; and implement appropriate monitoring and testing.\11\
Further, the outline lists the knowledge required to perform each
function and associated tasks (e.g., business and regulatory
requirements for firm's systems and technologies).\12\ In addition,
where applicable, the outline lists the laws, rules and regulations a
candidate is expected to know to perform each function and associated
tasks. These include the applicable FINRA Rules (e.g., FINRA Rule
2090), NASD Rules (e.g., NASD Rule 2510) and SEC rules (e.g., SEA Rule
15c1-7).\13\ FINRA conducted a job analysis study of General Securities
Principals, which included the use of a survey, in developing each
function and associated tasks and updating the required knowledge set
forth in the revised outline. The functions and associated tasks, which
appear in the revised outline for the first time, reflect the day-to-
day activities of a General Securities Principal.
---------------------------------------------------------------------------

    \10\ See Exhibit 3a, Outline Pages 6-29. The Commission notes
that Exhibit 3a is an exhibit to the filing, not to this Notice.
    \11\ See Exhibit 3a, Outline Page 9.
    \12\ See Exhibit 3a, Outline Page 9.
    \13\ See Exhibit 3a, Outline Page 19.
---------------------------------------------------------------------------

    As noted above, FINRA also is proposing to revise the content
outline to reflect changes to the laws, rules and regulations covered
by the examination. Among other revisions, FINRA is proposing to revise
the content outline to reflect the adoption of rules in the
consolidated FINRA rulebook (e.g., NASD Rule 2310 (Recommendations to
Customers (Suitability), NASD Rule 2212 (Telemarketing) and NASD Rule
3110 (Books and Records) were adopted as FINRA Rule 2111 (Suitability),
FINRA Rule 3230 (Telemarketing) and FINRA Rule 4510 Series (Books and
Records Requirements), respectively)).\14\
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    \14\ See Rule Conversion Chart, available at http://www.finra.org/Industry/Regulation/FINRARules/p085560.
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    FINRA is proposing similar changes to the Series 23 selection
specifications and question bank.
    Finally, FINRA is proposing to make changes to the format of the
content outline, including the preface, sample questions and reference
materials. Among other changes, FINRA is proposing to: (1) Add a table
of contents; \15\ (2) provide more details regarding the purpose of the
examination; \16\ (3) provide more details on the application
procedures; \17\ (4) provide more details on the development and
maintenance of the content outline and examination; \18\ (5) explain
that the passing scores are established by FINRA staff, in consultation
with a committee of industry representatives, using a standard setting
procedure and that the scores are an absolute standard independent of
the performance of candidates taking the examination; \19\ and (6) note
that each candidate will receive a score report at the end of the test
session, which will indicate a pass or fail status and include a score
profile listing the candidate's performance on each major content area
covered on the examination.\20\
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    \15\ See Exhibit 3a, Outline Page 2.
    \16\ See Exhibit 3a, Outline Page 3.
    \17\ See Exhibit 3a, Outline Page 3.
    \18\ See Exhibit 3a, Outline Page 4.
    \19\ See Exhibit 3a, Outline Page 5.
    \20\ See Exhibit 3a, Outline Page 5.
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    The number of questions on the Series 23 examination will remain at
100 multiple-choice questions, and candidates will continue to have 2
hours and 30 minutes to complete the examination. Currently, a score of
70 percent is required to pass the examination. The passing score will
remain the same.
Availability of Content Outlines
    The current Series 23 content outline is available on FINRA's Web
site, at www.finra.org/brokerqualifications/exams. The revised Series
23 content outline will replace the current content outline on FINRA's
Web site.
    FINRA is filing the proposed rule change for immediate
effectiveness. FINRA proposes to implement the revised Series 23
examination program on October 13, 2014. FINRA will announce the
proposed rule change and the implementation date in a Regulatory
Notice.

2. Statutory Basis
    FINRA believes that the proposed revisions to the Series 23
examination program are consistent with the provisions of Section
15A(b)(6) of the Act,\21\ which requires, among other things, that
FINRA rules must be designed to prevent fraudulent and manipulative
acts and practices, to promote just and equitable principles of trade,
and, in general, to protect investors and the public interest, and
Section 15A(g)(3) of the Act,\22\ which authorizes FINRA to prescribe
standards of training, experience, and competence for persons
associated with FINRA members. FINRA believes that the proposed
revisions will further these purposes by updating the examination
program to reflect changes to the laws, rules and regulations covered
by the examination and to incorporate the functions and associated
tasks currently performed by a General Securities Principal.
---------------------------------------------------------------------------

    \21\ 15 U.S.C. 78o-3(b)(6).
    \22\ 15 U.S.C. 78o-3(g)(3).
---------------------------------------------------------------------------

B. Self-Regulatory Organization's Statement on Burden on Competition

    FINRA does not believe that the proposed rule change will result in
any burden on competition that is not necessary or appropriate in
furtherance of the purposes of the Act. The updated examination aligns
with the functions and associated tasks currently performed by a
General Securities Principal and tests knowledge of the most current
laws, rules, regulations and skills relevant to those functions and
associated tasks. As such, the proposed revisions would make the
examination more efficient and effective.

C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants, or Others

    Written comments were neither solicited nor received.

III. Date of Effectiveness of the Proposed Rule Change and Timing for
Commission Action

    The foregoing rule change has become effective pursuant to Section
19(b)(3)(A) of the Act \23\ and paragraph (f)(1) of Rule 19b-4
thereunder.\24\ At any time within 60 days of the filing of the
proposed rule change, the Commission summarily may temporarily suspend
such rule change if it appears to the Commission that such action is
necessary or appropriate in the public interest, for the protection of
investors, or otherwise in furtherance of the purposes of the Act. If
the Commission takes such action, the Commission shall institute
proceedings to determine whether the proposed rule should be approved
or disapproved.
---------------------------------------------------------------------------

    \23\ 15 U.S.C. 78s(b)(3)(A).
    \24\ 17 CFR 240.19b-4(f)(1).
---------------------------------------------------------------------------

IV. Solicitation of Comments

    Interested persons are invited to submit written data, views and
arguments concerning the foregoing, including whether the proposed rule
change is consistent with the Act. Comments may be submitted by any of
the following methods:

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-FINRA-2014-034 on the subject line.

Paper Comments

     Send paper comments in triplicate to Secretary, Securities
and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090.

    All submissions should refer to File Number SR-FINRA-2014-034. This
file number should be included on the subject line if email is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street NE.,
Washington, DC 20549, on official business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of such filing also will be available
for inspection and copying at the principal office of FINRA. All
comments received will be posted without change; the Commission does
not edit personal identifying information from submissions. You should
submit only information that you wish to make available publicly. All
submissions should refer to File Number SR-FINRA-2014-034 and should be
submitted on or before September 2, 2014.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\25\
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    \25\ 17 CFR 200.30-3(a)(12).
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Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-18880 Filed 8-8-14; 8:45 am]
BILLING CODE 8011-01-P