[Federal Register Volume 77, Number 233 (Tuesday, December 4, 2012)]
[Notices]
[Pages 71850-71852]
[FR Doc No: 2012-29218]

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SECURITIES AND EXCHANGE COMMISSION

Self-Regulatory Organizations; International Securities Exchange,
LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule
Change To Make Available a New Market Data Offering

November 28, 2012.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that on November 15, 2012, the International Securities Exchange, LLC
(the ``Exchange'' or the ``ISE'') filed with the Securities and
Exchange Commission (``Commission'') the proposed rule change as
described in Items I and II below, which items have been prepared by
the Exchange. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to make available, through its member MEB
Options LLC (``MEB''), a new market data offering referred to as
``Spread Crawler.'' The text of the proposed rule change is available
on the Exchange's Web site www.ise.com, at the principal office of the
Exchange, 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, the Exchange 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. The self-regulatory organization 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, Proposed Rule Change

1. Purpose
    The Exchange proposes to make available, through MEB, a new market
data offering referred to as ``Spread Crawler,'' which will serialize
spread book data produced by certain U.S. options exchanges and provide
electronic alerts based on end-user defined filters (the ``Service'').
Spread Crawler, which was developed by MEB, listens to a streaming data
feed from all of the U.S. options exchanges that broadcast open complex
option orders (i.e. ISE, CBOE, C2, AMEX, ARCA, and PHLX) together with
their instrument definition (i.e. option legs) over various multi-cast
channels in a FIX format. Spread Crawler then serializes this enormous
amount of data and turns each record back into a formal structure so it
contains details of both sides of the order (i.e. bid and/or offer), as
well as the instrument definition. In addition to actual order detail,
this structure would contain the current option and underlying stock
National Best Bid or Offer (``NBBO''), together with a calculated
theoretical value based on the midpoint of the NBBO (``Order Object'').
The Order Object is then run through MEB's filtering technology which
applies filtering rules to each record based on a registered end-user
input (i.e. custom-set parameters for particular symbols or industry
sectors, minimum/maximum sizes, edge and specific expirations, etc.) to
determine which registered end-user(s), if any, would be interested in
seeing this order. These filtering rules are contained in a relational
database and are maintained by the registered end-user through the
Spread Crawler Web site where they can add or update individual
parameters in real-time. From the matching list of registered end-
users, Spread Crawler then creates and transmits individual alerts that
outline details of the order in an electronic format selected by the
registered end-user (i.e. email, instant messaging, etc.).
    The Exchange has entered into an agreement with MEB to offer Spread
Crawler to both ISE members and non-ISE members on a subscription
basis. Under the Agreement, MEB will operate and maintain the Service
and the Exchange will provide certain marketing, first line technical
support, accounting and contract administration services for Spread
Crawler. In exchange for the provision of such services, the Exchange
will receive a percentage of the total monthly subscription fees
received by MEB from parties who have subscribed to the Service.
    While Spread Crawler will be provided exclusively through the
Exchange to both ISE members and non-ISE members, the Exchange
represents that it would enter into a similar arrangement for a similar
market data offering with any third party, including another ISE
member, on the same terms and conditions as the arrangement with MEB,
should any such third party request to do so. Furthermore, because MEB
does not rely solely on the ISE complex option orders data feed to
provide the Service and instead utilizes a general aggregation of data
from all of the U.S. options exchanges that broadcast open complex
option orders, any third party (regardless of whether it is an ISE-
member or non-ISE member) may develop and/or establish a similar market
data offering, with or without ISE's participation, and increase the
competitive landscape for such market data offerings. In addition, the
Exchange confirms that: (i) MEB has not (and will not) receive any
preferential treatment as a result of being a ISE member which acts as
a service provider to other ISE members and non-ISE members pursuant to
this arrangement; (ii) MEB will not have any special, different, or
preferential access to the Exchange's data as a result of this
arrangement; and (iii) ISE, in the context of being one of

the marketplaces at which complex option orders may be executed as a
result of the Service, will not receive any preferential treatment or
informational advantage over any other exchange or marketplace at which
complex option orders may be executed with respect to the way the
Exchange is represented as part of the Service, or any resulting alerts
transmitted by the Service to a subscriber.
    The Exchange believes the Service provides valuable information
that can help users make informed investment decisions. The Exchange
will make Spread Crawler available to both ISE members and non-ISE
members on a subscription basis later this year and will submit a
separate proposal to establish fees for this market data offering. ISE
expects to launch the Service, through MEB, during the fourth quarter
of 2012.
 2. Statutory Basis
    The Exchange believe that the proposed rule change is consistent
with the provisions of Section 6 of the Act,\3\ in general, and with
Section 6(b)(5) of the Act,\4\ in particular, in that the proposal is
designed to prevent fraudulent and manipulative acts and practices, to
promote just and equitable principles of trade, to foster cooperation
and coordination with persons engaged in regulating, clearing,
settling, processing information with respect to, and facilitating
transactions in securities, to remove impediments to and perfect the
mechanism of a free and open market and national market system, and, in
general, to protect investors and the public interest, and is not
designed to permit unfair discrimination between customers.
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    \3\ 15 U.S.C. 78f.
    \4\ 15 U.S.C. 78f(b)(5).
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    The proposed rule change would allow the Exchange, through MEB, to
offer a new market data service on a voluntary and non-discriminatory
basis. Specifically, the Exchange believes that the Service is: (i)
Voluntary on the part of the Exchange, which is not required to offer
the Service and the subscription to the Service is not necessary to
execute complex orders on the Exchange; (ii) voluntary on the part of
prospective subscribers who are not required to use the Service and it
is not necessary to subscribe to such Service in order to execute
complex orders on the Exchange; and (iii) non-discriminatory as the
Service is made available on a subscription basis to both ISE members
and non-ISE members as a ``one-size fits all'' offering in which all
subscribers, regardless of whether each such subscriber is an ISE
member or non-ISE member, are subject to the same terms and conditions,
receive the same level of service (i.e. there are no differing or
advanced/upgraded levels of service or other ability to receive the
data contained in the Service faster or differently than other
subscribers), and receive alerts based on each user's input.
    By offering the Service through an exchange environment in
partnership with MEB, the Exchange believes that it will be promoting
just and equitable principles of trade, fostering cooperation and
coordination with persons engaged in regulating and processing
information with respect to, and facilitating transactions in
securities, and removing impediments to and perfecting the mechanism of
a free and open market and national market system by: (i) Increasing
the transparency associated with this product by converting it into an
exchange-offered product versus a broker-dealer offered product through
the wider dissemination and distribution of useful proprietary data;
(ii) clarifying the non-discriminatory availability of such proprietary
data to market participants; (iii) increasing availability as the data
will be made available to a broader range of market participants (i.e.
by offering exchange-wide distribution, this will significantly enhance
the current distribution of this product as it is now currently only
distributed by a single broker-dealer); and (iv) providing to
subscribers of the Service, both ISE members and non-ISE members, a
mechanism for managing the complexity of analyzing real-time complex
order book data from multiple exchanges with high efficiency which will
allow them to make more efficient trading decisions. As such, through
this proposed rule change, the Exchange is making a voluntary decision
to make this data available in order to improve market quality, to
attract order flow, and to increase the transparency and the
availability of certain proprietary market data.

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

    ISE does not believe that this proposed rule change will impose any
burden on competition that is not necessary or appropriate in
furtherance of the purposes of the Exchange Act.

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

    The Exchange has not solicited, and does not intend to solicit,
comments on this proposed rule change. The Exchange has not received
any unsolicited written comments from members or other interested
parties.

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

    Because the foregoing proposed rule change: (1) Does not
significantly affect the protection of investors or the public
interest; (2) does not impose any significant burden on competition;
and (3) by its terms does not become operative for 30 days after the
date of this filing, or such shorter time as the Commission may
designate if consistent with the protection of investors and the public
interest, the proposed rule change has become effective pursuant to
Section 19(b)(3)(A) \5\ of the Act and Rule 19b-4(f)(6) thereunder.\6\
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    \5\ 15 U.S.C. 78s(b)(3)(A).
    \6\ 17 CFR 240.19b-4(f)(6).
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    A proposed rule change filed under Rule 19b-4(f)(6) normally may
not become operative prior to 30 days after the date of filing.\7\
However, Rule 19b-4(f)(6)(iii) \8\ permits the Commission to designate
a shorter time if such action is consistent with the protection of
investors and the public interest. The Exchange has requested that the
Commission waive the 30-day operative delay so that it may offer the
Service immediately. The Exchange believes that a waiver of the
operative delay is consistent with the protection of investors and the
public interest because it will allow the Exchange, through MEB, to
bring an existing product that is currently offered in the marketplace
as a non-exchange-offered product to market as an exchange-offered
product in an exchange environment which will: (i) Improve market
quality through the wider dissemination and distribution of useful
proprietary data and also by clarifying the non-discriminatory
availability of such proprietary data to market participants; (ii)
increase transparency by bringing the Service to an exchange
environment which will allow the data to be made available to a broader
range of market participants; (iii) allow users of the Service, both
ISE members and non-ISE members, to manage the complexity of analyzing
real-time spread book data from multiple exchanges with high efficiency
and

allow them to make more efficient trading decisions; and (iv) help
attract new users and new order flow to the Exchange, thereby improving
the Exchange's ability to compete in the market for options order flow
and executions. Allowing the Exchange to bring the Service to the
market without delay would provide market participants with the
potential benefits of the Service as soon as possible. The Commission
believes that waiver of the operative delay is consistent with investor
protection and the public interest. Therefore, the Commission is hereby
waiving the 30-day operative delay.\9\
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    \7\ 17 CFR 240.19b-4(f)(6)(iii). In addition, Rule 19b-4(f)(6)
requires a self-regulatory organization to give the Commission
written notice of its intent to file the proposed rule change at
least five business days prior to the date of filing of the proposed
rule change, or such shorter time as designated by the Commission.
ISE has satisfied this requirement.
    \8\ Id.
    \9\ For purposes only of waiving the 30-day operative delay, the
Commission has considered the proposed rule's impact on efficiency,
competition, and capital formation. See 15 U.S.C. 78c(f).
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    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.

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-ISE-2012-75 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-ISE-2012-75. 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 the ISE. 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-ISE-2012-75 and should be
submitted on or before December 26, 2012.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\10\
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    \10\ 17 CFR 200.30-3(a)(12).
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Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2012-29218 Filed 12-3-12; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register: May 3, 2006 (Volume 71, Number 85)]
[Notices]
[Page 26130-26132]
[DOCID:fr03my06-113]

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SECURITIES AND EXCHANGE COMMISSION

[Investment Company Act Release No. 27304; 812-13113]

Forum Funds, et al.; Notice of Application

April 26, 2006.
AGENCY: Securities and Exchange Commission (``Commission'').

ACTION: Notice of an application for an order under section 6(c) of the
Investment Company Act of 1940 (``Act'') for an exemption from section
15(a) of the Act and rule 18f-2 under the Act, as well as from certain
disclosure requirements.

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    Summary of the Application: Applicants request an order that would
permit them to enter into and materially amend subadvisory agreements
without shareholder approval and would grant relief from certain
disclosure requirements.
    Applicants: Forum Funds (``Trust''), and Brown Investment Advisory
Incorporated (``Advisor'').
    Filing Dates: The application was filed on July 29, 2004, and
amended on February 13, 2006 and April 25, 2006.
    Hearing or Notification of Hearing: An order granting the
application will be issued unless the Commission orders a hearing.
Interested persons may request a hearing by writing to the Commission's
Secretary and serving applicants with a copy of the request, personally
or by mail. Hearing requests should be received by the Commission by
5:30 p.m. on May 22, 2006 and should be accompanied by proof of service
on applicants, in the form of an affidavit or, for lawyers, a
certificate of service. Hearing requests should state the nature of the
writer's interest, the reason for the request, and the issues
contested. Persons who wish to be notified of a hearing may request
notification by writing to the Commission's Secretary.

ADDRESSES: Secretary, U.S. Securities and Exchange Commission, 100 F
Street, NE., Washington, DC 20549-1090. Applicants: Anthony C.J.
Nuland, Seward & Kissel LLP, 1200 G Street, NW., Washington, DC 20005.

FOR FURTHER INFORMATION CONTACT: Barbara T. Heussler, Senior Counsel,
at<PHONE_NUMBER>, or Janet M. Grossnickle, Branch Chief, at (202) 551-
6821 (Office of Investment Company Regulation, Division of Investment
Management).

SUPPLEMENTARY INFORMATION: The following is a summary of the
application. The complete application may be obtained for a fee at the
Commission's Public Reference Branch, 100 F Street, NE., Washington, DC
20549-0104 (telephone<PHONE_NUMBER>).

Applicants' Representations

    1. The Trust, a Delaware statutory trust, is registered under the
Act as an open-end management investment company. The Trust currently
is comprised of twenty-eight series (``Funds''), each with a separate
investment objective, policy, and restrictions.\1\ The Advisor, a
Maryland corporation, is registered as an investment adviser under the
Investment Advisers Act of 1940 (``Advisers Act'') and serves as
investment adviser to nine of the existing Funds (``Series'') pursuant
to investment advisory agreements (``Advisory Agreements''). Each
Advisory Agreement has been approved by the Trust's board of trustees
(the ``Board''),\2\ including a majority of the trustees who are not
``interested persons,'' as defined in section 2(a)(19) of the Act, of
the Trust or the Advisor (``Independent Trustees''), as well as by the
shareholders of each Series.
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    \1\ Applicants also request relief with respect to future series
of the Trust and any other existing or future registered open-end
management investment company or series thereof that: (a) Is advised
by the Advisor or an entity controlling, controlled by, or under
common control with the Advisor; (b) uses the multi-manager
structure as described in the application; and (c) complies with the
terms and conditions of the application (included in the term
``Series''). The only existing registered open-end management
investment company that currently intends to rely on the requested
order is named as an applicant. All references to the term
``Advisor'' herein include (a) the Advisor or its successor in
interest (limited to any entity resulting from a reorganization of
the Advisor into another jurisdiction or a change in the type of
business organization), and (b) an entity controlling, controlled
by, or under common control with the Advisor. If the name of any
Series contains the name of a Subadvisor (as defined below), the
name of the Advisor will precede the name of the Subadvisor.
    \2\ With respect to a Series not part of the Trust, the term
``Board'' refers to the board of directors/trustees of the relevant
Series.
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    2. Applicants propose to establish a program in which the Advisor,
in its capacity as investment adviser to each Series, oversees the
portfolio management of a Series by its subadvisers (each, a
``Subadvisor''). The Advisor would provide overall investment
management services to each Series, including Subadvisor monitoring and
evaluation and would be responsible for recommending the hiring,
termination and replacement of Subadvisors to the Board. All
subadvisory agreements (``Subadvisory Agreements'') will be approved by
the Board, including a majority of the Independent Trustees. Under each
Subadvisory Agreement, the Subadvisor would determine which securities
will be purchased and sold for a Series' investment portfolio or for a
portion of the portfolio. Each Subadvisor will be registered under the
Advisers Act and paid by the Advisor out of the fee it receives from
the Series under its Advisory Agreement. Applicants request an order to
permit the Advisor, subject to Board approval, to enter into and
materially amend Subadvisory Agreements without obtaining shareholder
approval. The requested relief will not extend to any Subadvisor that
is an affiliated person, as defined in section 2(a)(3) of the Act, of a
Series or of the Advisor, other than by reason of serving as a
Subadvisor to one or more of the Series (``Affiliated Subadvisor'').
    3. Applicants also request an exemption from the various disclosure
provisions described below that may require a Series to disclose fees
paid by the Advisor to each Subadvisor. An exemption is requested to
permit each Series, in the event that a Series has more than one
Subadvisor, to disclose (both as a dollar amount and as a percentage of
a Series' net assets): (a) The aggregate fees paid to the Advisor and
Affiliated Subadvisors; and (b) aggregate fees paid to Subadvisors
other than Affiliated Subadvisors (``Aggregate Fee Disclosure''). For
any Series that employs an Affiliated Subadvisor, the Series will
provide separate disclosure of any fees paid to such Affiliated
Subadvisor.

Applicants' Legal Analysis

    1. Section 15(a) of the Act provides, in relevant part, that it is
unlawful for any person to act as an investment adviser to a registered
investment company except under a written contract that has been
approved by the vote of a majority of the company's outstanding voting
securities. Rule 18f-2 under the Act provides that each series or class
of stock in a series company affected by a matter must approve such
matter if the Act requires shareholder approval.
    2. Form N-1A is the registration statement used by open-end
investment companies. Item 14(a)(3) of Form N-1A requires disclosure of
the method and amount of the investment adviser's compensation.
    3. Rule 20a-1 under the Act requires proxies solicited with respect
to an

investment company to comply with Schedule 14A under the Securities
Exchange Act of 1934 (``1934 Act''). Items 22(c)(1)(ii), 22(c)(1)(iii),
22(c)(8) and 22(c)(9) of Schedule 14A, taken together, require a proxy
statement for a shareholder meeting at which the advisory contract will
be voted upon to include the ``rate of compensation of the investment
adviser,'' the ``aggregate amount of the investment adviser's fees,'' a
description of the ``terms of the contract to be acted upon,'' and, if
a change in the advisory fee is proposed, the existing and proposed
fees and the difference between the two fees.
    4. Form N-SAR is the semi-annual report filed with the Commission
by registered investment companies. Item 48 of Form N-SAR requires
investment companies to disclose the rate schedule for fees paid to
their investment advisers, including the subadvisers.
    5. Regulation S-X sets forth the requirements for financial
statements required to be included as part of investment company
registration statements and shareholder reports filed with the
Commission. Sections 6-07(2)(a), (b), and (c) of Regulation S-X require
that investment companies include in their financial statements
information about investment advisory fees.
    6. Section 6(c) of the Act provides that the Commission may exempt
any person, security, or transaction or any class or classes of
persons, securities, or transactions from any provisions of the Act, or
from any rule thereunder, if such exemption is necessary or appropriate
in the public interest and consistent with the protection of investors
and the purposes fairly intended by the policy and provisions of the
Act. Applicants state that their requested relief meets this standard
for the reasons discussed below.
    7. Applicants assert that by investing in a Series, shareholders
are in effect hiring the Advisor to manage the Series' assets through
monitoring and evaluation of Subadvisors rather than by hiring the
Advisor's own employees to directly manage assets, and that
shareholders will expect that the Advisor will oversee its Subadvisors
and recommend whether to hire, terminate or replace such Subadvisors
when deemed appropriate. Applicants believe that permitting the Advisor
to hire Subadvisors without incurring the unnecessary delay and expense
of obtaining shareholder approval of each Subadvisory Agreement is
appropriate in the interest of the Series' shareholders and will allow
each Series to potentially operate more efficiently. Applicants note
that the Advisory Agreements will continue to be subject to section
15(a) of the Act and rule 18f-2 under the Act.
    8. Applicants assert that, because the Advisor compensates the
Subadvisors out of the fee it receives from each Series for advisory
services, disclosure of the individual fees that the Advisor would pay
to each Subadvisor in a co-subadvisory or multi-subadvisory situation
does not serve any meaningful purpose. Applicants further assert that
some Subadvisors use a ``posted'' rate schedule to set their fees.
Applicants state that while Subadvisors are willing to negotiate fees
that are lower than those posted on the schedule, they are reluctant to
do so where the fees are disclosed to other prospective and existing
customers. Applicants submit that the requested relief will encourage
potential Subadvisors to negotiate lower subadvisory fees with the
Advisor, the benefits of which may be passed on to Series shareholders.

Applicants' Conditions

    Applicants agree that any order granting the requested relief will
be subject to the following conditions:
    1. The Advisor will provide general investment management services
to each Series, including overall supervisory responsibility for the
general management and investment of the Series' assets and, subject to
review and approval of the Board, will: (i) Set the Series' overall
investment strategies; (ii) evaluate, select and recommend Subadvisors
to manage all or a portion of a Series' assets; (iii) allocate and,
when appropriate, reallocate a Series' assets among multiple
Subadvisors; (iv) monitor and evaluate Subadvisor performance; and (v)
implement procedures reasonably designed to ensure that Subadvisors
comply with the relevant Series' investment objective, policies and
restrictions.
    2. Before a Series may rely on the order requested herein, the
operation of the Series in the manner described in this application
will be approved by a majority of the Series' outstanding voting
securities as defined in the Act, or, in the case of a Series whose
public shareholders purchase shares on the basis of a prospectus
containing the disclosure contemplated by condition 3 below, by the
initial shareholder before such Series' shares are offered to the
public.
    3. The prospectus for each Series will disclose the existence,
substance and effect of any order granted pursuant to this application.
In addition, each Series will hold itself out to the public as
employing the manager of managers structure described in this
application. The prospectus will prominently disclose that the Advisor
has ultimate responsibility, subject to oversight by the Board, to
oversee the Subadvisors and recommend their hiring, termination, and
replacement.
    4. Within 90 days of the hiring of any new Subadvisor, the
shareholders of the relevant Series will be furnished all information
about the new Subadvisor that would be included in a proxy statement,
except as modified to permit Aggregate Fee Disclosure. This information
will include Aggregate Fee Disclosure and any change in such disclosure
caused by the addition of a new Subadvisor. To meet this obligation,
the Advisor will provide shareholders of the applicable Series, within
90 days of the hiring of a new Subadvisor, with an information
statement meeting the requirements of Regulation 14C, Schedule 14C and
Item 22 of Schedule 14A under the 1934 Act, except as modified by the
order to permit Aggregate Fee Disclosure.
    5. No trustee or officer of the Trust or a Series or director or
officer of the Advisor will own directly or indirectly (other than
through a pooled investment vehicle that is not controlled by such
person) any interest in a Subadvisor except for: (i) ownership of
interests in the Advisor or any entity that controls, is controlled by,
or is under common control with the Advisor; or (ii) ownership of less
than 1% of the outstanding securities of any class of equity or debt of
a publicly traded company that is either a Subadvisor or an entity that
controls, is controlled by or is under common control with a
Subadvisor.
    6. At all times, at least a majority of the Board will be
independent Trustees, and the nomination of new or additional
Independent Trustees will be placed within the discretion of the then-
existing Independent Trustees. The Board also will satisfy the fund
governance standards defined in rule 0-1(a)(7) under the Act.
    7. Whenever a Subadvisor change is proposed for a Series with an
Affiliated Subadvisor, the Series' Board, including a majority of the
Independent Trustees, will make a separate finding, reflected in the
applicable Board minutes, that such change is in the best interests of
the Series and its shareholders and does not involve a conflict of
interest from which the Advisor or the Affiliated Subadvisor derives an
inappropriate advantage.
    8. Each Series in its registration statement will disclose the
Aggregate Fee Disclosure.
    9. Independent legal counsel, as defined in rule 0-1(a)(6) under
the Act,

will be engaged to represent the Independent Trustees. The selection of
such counsel will be within the discretion of the then-existing
Independent Trustees.
    10. The Advisor will provide the Board, no less frequently than
quarterly, with information about the Advisor's profitability on a per
Series basis. This information will reflect the impact on profitability
of the hiring or termination of any Subadvisor during the applicable
quarter.
    11. Whenever a Subadvisor is hired or terminated, the Advisor will
provide the Board with information showing the expected impact on the
Advisor's profitability.
    12. The Advisor will not enter into a Subadvisory Agreement with
any Affiliated Subadvisor, without such agreement, including the
compensation to be paid thereunder, being approved by the shareholders
of the applicable Series.
    13. The requested order will expire on the effective date of rule
15a-5 under the Act, if adopted.

    For the Commission, by the Division of Investment Management,
under delegated authority.
Nancy M. Morris,
Secretary.
 [FR Doc. E6-6638 Filed 5-2-06; 8:45 am]

BILLING CODE 8010-01-P


[Federal Register: January 9, 2007 (Volume 72, Number 5)]
[Notices]
[Page 965]
[DOCID:fr09ja07-44]

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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OAR-2004-0076; FRL-8267-2]

Extension of Period for Objection for the Notice of Data
Availability for EGU NOX Annual and NOX Ozone Season Allocations for
the Clean Air Interstate Rule Federal Implementation Plan Trading
Programs

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice to extend period for objections.

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

SUMMARY: EPA is extending the period for submission of objections
concerning the Notice of Data Availability (NODA) for EGU
NOX Annual and NOX Ozone Season Allocations for
the Clean Air Interstate Rule Federal Implementation Plan Trading
Programs (CAIR FIP) published on August 4, 2006 for an additional 45
days with regard to cogeneration units combusting biomass (biomass
cogeneration units). The period had previously been extended to October
5, 2006 for all objections, and further extended to January 3, 2007 for
objections concerning biomass cogeneration units. This notice further
extends the period for objections concerning biomass cogeneration units
an additional 45 days from January 3 to February 20, 2007. Certain
biomass cogeneration unit owners and operators requested the additional
time to submit objections because of difficulties in collection of
information relating to the application of efficiency standards for
cogeneration units (as defined in the CAIR FIP) to biomass cogeneration
units. For all other objections, the deadline was October 5, 2006.

DATES: The EPA is establishing a period ending on February 20, 2007
only for objections (including data) related to biomass cogeneration
units. Objections must be postmarked by the last day of the period for
objection and sent directly to the Docket Office listed in ADDRESSES
(in duplicate form if possible).

ADDRESSES: Submit your objections, identified by Docket Number OAR-
2004-0076 by one of the following methods:
    A. Federal Rulemaking Portal: http://www.regulations.gov. The NODA

is not a rulemaking, but you may use the Federal Rulemaking Portal to
submit objections to the NODA. To submit objections, follow the on-line
instructions for submitting comments.
    B. Mail: Air Docket, ATTN: Docket Number OAR-2004-0076,
Environmental Protection Agency, Mail Code: 6102T, 1200 Pennsylvania
Ave., NW., Washington, DC 20460
    C. E-mail<EMAIL_ADDRESS>    D. Hand Delivery: EPA Docket Center, 1301 Constitution Avenue, NW.,
Room 3334, Washington, DC. Such deliveries are only accepted during the
Docket's normal hours of operation, and special arrangements should be
made for deliveries of boxed information.

FOR FURTHER INFORMATION CONTACT: General questions concerning today's
action and technical questions concerning heat input or fuel data
should be addressed to Brian Fisher, USEPA Headquarters, Ariel Rios
Building, 1200 Pennsylvania Ave., Mail Code 6204 J, Washington, DC
20460. Telephone at<PHONE_NUMBER>, e-mail at<EMAIL_ADDRESS>If
mailing by courier, address package to Brian Fisher, 1310 L St., NW.,
RM 713G, Washington, DC 20005.

SUPPLEMENTARY INFORMATION:
    Docket: All documents in the docket are listed in the
http://www.regulations.govindex. 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 West, Room 3334, 1301 Constitution Avenue, NW., Washington, DC. The
Public Reading Room 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 Air
Docket is<PHONE_NUMBER>.

Extension of Period for Objections

    In the August 4, 2006 NODA (71 FR 44283), EPA provided notice that
it had placed in the CAIR FIP docket allocation tables for EGU
NOX annual and EGU NOX ozone season allocations
for control periods 2009-2014. The allocation tables also included
inventories of heat input and inventories of potentially exempt units.
In addition, EPA also placed in the docket a Technical Support Document
describing the allocation table data fields.
    The EPA originally provided a 30-day period for the unit owners,
unit operators, and the public to submit objections regarding
individual units' treatment as potentially covered or not covered by
CAIR and, for units treated as potential CAIR units, the data used in
the allocation calculations and the allocations resulting from such
calculations. In response to a request from the American Forest and
Paper Association, EPA extended the period for all objections an
additional 30 days to October 5, 2006.
    In requesting an additional extension of the period, certain
biomass cogeneration unit owners noted the unique nature of the fuels
utilized by biomass cogeneration units and the difficulties encountered
in collecting data necessary to apply the efficiency standard to this
type of cogeneration unit. In light of these circumstances, the EPA
extended the period an additional 90 days only for objections
(including data) related to any biomass cogeneration units, and extends
it another 45 days in this notice. For all other objections, the
deadline was October 5, 2006.
    EPA believes the addition of 45 days will provide the Agency more
adequate time to receive and evaluate necessary data and, if
appropriate, address the concerns raised about application of the
efficiency standard to biomass cogeneration units.

    Dated: January 3, 2007.
Edward Callahan,
Acting Director, Office of Air and Radiation.
[FR Doc. E7-91 Filed 1-8-07; 8:45 am]

BILLING CODE 6560-50-P


[Federal Register Volume 79, Number 18 (Tuesday, January 28, 2014)]
[Rules and Regulations]
[Pages 4403-4407]
[FR Doc No: 2014-00963]

=======================================================================
-----------------------------------------------------------------------

ENVIRONMENTAL PROTECTION AGENCY

40 CFR Parts 30 and 31

[EPA-HQ-OARM-2013-0705; FRL-9803-9]

Changes to Dispute Procedures

AGENCY: Environmental Protection Agency (EPA).

ACTION: Interim final rule with request for comments.

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

SUMMARY: This regulatory update revises agency policies and procedures
for certain pre-award and post-award assistance agreement disputes at
the United States Environmental Protection Agency. This section
provides a uniform process, including appropriate timelines, for the
efficient, effective and timely resolution of assistance agreement
disputes. This rule is exempt from the notice and comment requirements
of the Administrative Procedure Act (APA) because it is a matter
relating to agency management concerning grants.

DATES: Effective date: January 28, 2014.
    Comment date: Comments must be received on or before March 31,
2014.
    Applicability date: This interim final rule applies to disputes
arising from agency decisions issued on or after January 28, 2014.
Disputes arising from agency decisions issued prior to the effective
date of this rule will remain subject to the procedures in the prior
regulations.

ADDRESSES: Submit your comments, identified by Docket ID No. EPA-HQ-
OARM-2013-0705, by one of the following methods:
     www.regulations.gov: Follow the on-line instructions for
submitting comments.
     Email<EMAIL_ADDRESS>     Mail: OARM Docket, Environmental Protection Agency,
Mailcode: 28221T, 1200 Pennsylvania Ave., NW., Washington, DC 20460].
     Hand Delivery: EPA Docket Center, WJC West, Room 3334,
1301 Constitution Ave. NW., Washington, DC 20004. The telephone number
for the Docket Center is<PHONE_NUMBER>. For additional information about
EPA's public docket, visit http://www.epa.gov/dockets. Such deliveries
are only accepted during the Docket's normal hours of operation: 8:30
a.m. to 4:30 p.m., and special arrangements should be made for
deliveries of boxed information.
    Instructions: Direct your comments to Docket ID No. EPA-HQ-OARM-
2013-0705. 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 www.regulations.gov
or email. The www.regulations.gov Web site is an ``anonymous access''
system, which means EPA will not know your identity or contact
information unless you provide it in the body of your comment. If you
send an email comment directly to EPA without going through
www.regulations.gov your email 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.
    Docket: All documents in the docket are listed in the
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 www.regulations.gov or in hard copy at Docket ID No. EPA-HQ-OARM-
2013-0705. OARM Docket, EPA/DC, EPA West, Room 3334, 1301 Constitution
Ave. NW., Washington, DC. The Public Reading Room 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 OARM Docket is<PHONE_NUMBER>.

FOR FURTHER INFORMATION CONTACT: Elizabeth January, National Policy
Training and Compliance Division in the Office of Grants and Debarment
(3903R), Environmental Protection Agency, 1200 Pennsylvania Avenue NW.,
Washington, DC 20460; telephone number:<PHONE_NUMBER>; fax number: 617-
918-8555; email address<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. General Information

A. Affected Entities

    Entities affected by this action are those that apply for and/or
receive Federal financial assistance (grants, cooperative agreements or
fellowships) from EPA including but not limited to:

State and local governments, Indian Tribes, Intertribal Consortia,
Institutions of Higher Education, Hospitals, and other Non-profit
Organizations, and Individuals.

II. Background

    On September 21, 2011, the EPA Office of Inspector General (OIG)
issued a final audit report entitled ``EPA Should Improve Timeliness
for Resolving Audits under Appeal'' (Report No. 11-P-0687, ``Report'').
The Report cited examples where appeals of Agency decisions to sustain
some or all of the questioned costs in OIG audits of awards had been in
resolution for 10 to 21 years. The Report recommended, among other
things, reforms to EPA's dispute resolution process for audit appeals,
including establishing timelines and milestones for each step of the
resolution process, limits on time extensions and the submission of
additional documentation, and limits on the number of opportunities to
request reconsideration of decisions by an Assistant Administrator or
Regional Administrator. In response to the Inspector General dated
December 19, 2011, EPA agreed to implement these reforms.
    While the OIG's recommended reforms specifically addressed the
resolution of audit appeals, EPA believes there is merit to applying
the reforms more broadly to ensure timely resolution of other types of
disputes between the Agency and recipients of, or applicants for, an
assistance agreement. Accordingly, EPA is revising its assistance
agreement dispute procedures in 40 CFR parts 30 and 31 subpart F to
generally apply the OIG's recommendations to all monetary and non-
monetary pre-award and post-award disputes. The only exception is for
disputes involving applicants for competitive assistance agreements,
which are governed by the procedures set forth at 70 FR 3629 et seq
that can be found at http://www.epa.gov/ogd/competition/70fr3629.pdf.
EPA is not addressing these procedures in this rulemaking since they
currently provide a meaningful, timely and effective process for
resolving assistance agreement competition-related disputes and
disagreements.
    In addition, this rule does not apply to any appeal process
regarding an award official's determination that an entity is not
qualified for an award that may be developed under guidance
implementing Section 872 of the Duncan Hunter National Defense
Authorization Act for Fiscal Year 2009 (Pub. L. 110-417, as amended).
    Consistent with the Report recommendations, this revision will
streamline the resolution process for covered disputes by establishing
submission and decision-making timelines for each stage of the process
(with provisions for extensions in the interest of fairness and
equity), specifying the contents of submissions and the administrative
record, and, for Regional decisions, eliminating petitions for
discretionary review to EPA Assistant Administrators. Viewed as a
whole, EPA believes these reforms will make the dispute process more
timely and efficient for applicants and recipients while providing them
a full and fair opportunity to present their case.
    Besides incorporating the OIG's recommendations, this revision
updates the list of determinations made pursuant to other Agency
decision-making processes that may affect assistance agreements but
that are not subject to review under this section or the Agency's
procedures for resolving assistance agreement competition-related
disputes or disagreements.
    7 U.S.C. 135 et seq., 15 U.S.C. 2601 et seq., 33 U.S.C. 1251 et
seq., 42 U.S.C. 241, 242b, 243, 246, 300f, 300j-1, 300j-2, 300j-3, 1857
et seq., 6901 et seq., 7401 et seq., 9601 et seq., OMB Circular A-110
(64 FR 54926, October 8, 1999), 20 U.S.C. 4011 et seq., and 33 U.S.C.
1401 et seq.

III. Statutory and Executive Order Reviews

A. Executive Order 12866: Regulatory Planning and Review

    This action is not a ``significant regulatory action'' under the
terms of Executive Order 12866 (58 FR 51735, October 4, 1993) and is
therefore not subject to review under Executive Orders 12866 and 13563
(76 FR 3821, January 21, 2011). This action will provide a uniform
process, including appropriate timelines for the efficient, effective
and timely resolution of assistance agreement disputes.

B. Paperwork Reduction Act

    This action does not impose any new information collection burden.
However, the Office of Management and Budget (OMB) has previously
approved the information collection requirements contained in the
existing regulations 40 CFR parts 30.63 and 31.70 under the provisions
of the Paperwork Reduction Act, 44 U.S.C. 3501 et seq. and has assigned
OMB control number 2030-0020. The OMB control numbers for EPA's
regulations in 40 CFR are listed in 40 CFR part 9.

C. Regulatory Flexibility Act

    Today's interim final rule is not subject to the Regulatory
Flexibility Act (RFA), which generally requires an agency to prepare a
regulatory flexibility analysis for any rule that will have a
significant economic impact on a substantial number of small entities.
The RFA applies only to rules subject to notice and comment rulemaking
requirements under the Administrative Procedure Act (APA) or any other
statute. This rule is not subject to notice and comment requirements
under the APA or any other statute because this rule pertains to
grants, which the APA expressly exempts from notice and comment
rulemaking requirements. 5 U.S.C. 553(a)(2).

D. Unfunded Mandates Reform Act

    This action contains no Federal mandates under the provisions of
Title II of the Unfunded Mandates Reform Act of 1995 (UMRA), 2 U.S.C.
1531-1538 for State, local, or tribal governments or the private
sector. The action imposes no enforceable duty on any State, local or
tribal governments or the private sector. Therefore, this action is not
subject to the requirements of sections 202 or 205 of the UMRA.
    This action is also not subject to the requirements of section 203
of UMRA because it contains no regulatory requirements that might
significantly or uniquely affect small governments. This action affects
all applicants and recipients of EPA financial federal assistance and
therefore no one entity type will be impacted disproportionally or
significantly.

E. Executive Order 13132 (Federalism)

    This action does not have federalism implications. It will not have
substantial direct effects on the States, on the relationship between
the national government and the States, or on the distribution of power
and responsibilities among the various levels of government, as
specified in Executive Order 13132. This action affects all applicants
and recipients of EPA financial federal assistance and therefore no one
entity type will be impacted disproportionally. Thus, Executive Order
13132 does not apply to this action.

F. Executive Order 13175

    This action does not have tribal implications, as specified in
Executive Order 13175 (65 FR 67249, November 9, 2000). This action
affects all applicants and recipients of EPA financial federal
assistance and therefore no one entity type will be impacted
disproportionally. Thus, Executive Order 13175 does not

apply to this action. Although Executive Order 13175 does not apply to
this action, EPA has made a conscious effort to engage tribal entities
on changes to federal financial assistance requirements. EPA published
materials summarizing these changes which can be found at http://www.epa.gov/ogd/grants/regulations.htm. EPA intends to host
informational sessions tailored to tribal entities.

G. Executive Order 13045: Protection of Children From Environmental
Health Risks and Safety Risks

    This action is not subject to EO 13045 (62 FR 19885, April 23,
1997) because it is not economically significant as defined in EO
12866.

H. Executive Order 13211: Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution, or Use

    This action is not subject to Executive Order 13211 (66 FR 28355,
May 22, 2001), because it is not a significant regulatory action under
Executive Order 12866.

I. National Technology Transfer and Advancement Act

    Section 12(d) of the National Technology Transfer and Advancement
Act of 1995 (``NTTAA''), Public Law 104-113, 12(d) (15 U.S.C. 272 note)
directs EPA to use voluntary consensus standards in its regulatory
activities unless to do so would be inconsistent with applicable law or
otherwise impractical. Voluntary consensus standards are technical
standards (e.g., materials specifications, test methods, sampling
procedures, and business practices) that are developed or adopted by
voluntary consensus standards bodies. NTTAA directs EPA to provide
Congress, through OMB, explanations when the Agency decides not to use
available and applicable voluntary consensus standards.
    This action does not involve technical standards. Therefore, EPA
did not consider the use of any voluntary consensus standards.

J. Executive Order 12898: Federal Actions To Address Environmental
Justice in Minority Populations and Low-Income Populations

    Executive Order (EO) 12898 (59 FR 7629, Feb. 16, 1994) establishes
federal executive policy on environmental justice. Its main provision
directs federal agencies, to the greatest extent practicable and
permitted by law, to make environmental justice part of their mission
by identifying and addressing, as appropriate, disproportionately high
and adverse human health or environmental effects of their programs,
policies, and activities on minority populations and low-income
populations in the United States.
    EPA has concluded that it is not practicable to determine whether
there would be disproportionately high and adverse human health or
environmental effects on minority and/or low income populations from
this final rule.

K. Congressional Review Act

    The Congressional Review Act, 5 U.S.C. 801 et seq., as added by the
Small Business Regulatory Enforcement Fairness Act of 1996, generally
provides that before a rule may take effect, the agency promulgating
the rule must submit a rule report, which includes a copy of the rule,
to each House of the Congress and to the Comptroller General of the
United States. Section 808 allows the issuing agency to make a rule
effective sooner than otherwise provided by the CRA if the agency makes
a good cause finding that notice and public procedure is impracticable,
unnecessary or contrary to the public interest. This determination must
be supported by a brief statement. 5 U.S.C. 808(2). EPA will submit a
report containing this rule and other required information to the U.S.
Senate, the U.S. House of Representatives, and the Comptroller General
of the United States prior to publication of the rule in the Federal
Register. This action is not a ``major rule'' as defined by 5 U.S.C.
804(2). This interim final rule applies to disputes arising from agency
decisions issued on or after January 28, 2014. Disputes arising from
agency decisions issued prior to the effective date of this rule will
remain subject to the procedures in the prior regulations.

List of Subjects

40 CFR Part 30

    Environmental protection, Accounting, Grant programs, Reporting and
recordkeeping requirements.

40 CFR Part 31

    Environmental protection, Accounting, Administrative practice and
procedure, Grant programs, Reporting and recordkeeping requirements.

    Dated: January 6, 2014.
Gina McCarthy,
Administrator.
    For the reasons set forth in the preamble, the Environmental
Protection Agency amends 40 CFR parts 30 and 31 as follows:

PART 30--UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND
AGREEMENTS WITH INSTITUTIONS OF HIGHER EDUCATION, HOSPITALS, AND
OTHER NON-PROFIT ORGANIZATIONS

0
1. The authority citation for part 30 continues to read as follows:

    Authority:  7 U.S.C. 135 et seq., 15 U.S.C. 2601 et seq., 33
U.S.C. 1251 et seq., 42 U.S.C. 241, 242b, 243, 246, 300f, 300j-1,
300j-2, 300j-3, 1857 et seq., 6901 et seq., 7401 et seq., 9601 et
seq., and OMB Circular A-110 (64 FR 54926, October 8, 1999).

0
2. Revise Sec.  30.63 to read as follows:

Sec.  30.63  Disputes.

    Pre-award and post-award dispute procedures for EPA assistance
agreements are outlined at 40 CFR part 31, subpart F.

PART 31--UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND
COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS

0
3. The authority citation for part 31 continues to read as follows:

    Authority: 33 U.S.C. 1251 et seq., 42 U.S.C. 7401 et seq., 42
U.S.C. 6901 et seq., 42 U.S.C. 300f et seq., 7 U.S.C. 136 et seq.,
15 U.S.C. 2601 et seq., 42 U.S.C. 9601 et seq., 20 U.S.C. 4011 et
seq., and 33 U.S.C. 1401 et seq.

0
4. Revise subpart F, consisting of Sec. Sec.  31.70 through 31.77, to
read as follows:

Subpart F--Disputes

Sec.
31.70 Purpose and scope of this part.
31.71 Definitions.
31.72 Submission of Appeal.
31.73 Notice of receipt of Appeal to Affected Entity.
31.74 Determination of Appeal.
31.75 Request for review.
31.76 Notice of receipt of request for review.
31.77 Determination of request for review.

Sec.  31.70  Purpose and scope of this part.

    (a) This section provides the process for the resolution of pre-
award and post-award assistance agreement disputes as described in
Sec.  31.71, except for:
    (1) Assistance agreement competition-related disputes; and
    (2) Any appeal process relating to an award official's
determination that an entity is not qualified for award that may be
developed pursuant to guidance implementing Section 872 of the Duncan
Hunter National Defense Authorization Act for Fiscal Year 2009 (Pub. L.
110-417, as amended).
    (b) Pre-award and post-award disagreements between affected
entities

and EPA related to an assistance agreement should be resolved at the
lowest level possible. If an agreement cannot be reached, absent any
other applicable statutory or regulatory dispute provisions, affected
entities must follow the dispute procedures outlined in this subpart.
    (c) Determinations affecting assistance agreements made under other
Agency decision-making processes are not subject to review under the
procedures in this Subpart or the Agency's procedures for resolving
assistance agreement competition-related disputes. These determinations
include, but are not limited to:
    (1) Decisions on requests for exceptions under Sec.  31.6;
    (2) Bid protest decisions under Sec.  31.36(b)(12);
    (3) National Environmental Policy Act decisions under part 6;
    (4) Policy decisions of the EPA Internal Audit Dispute Resolution
Process (formerly known as Audit Resolution Board); and
    (5) Suspension and Debarment Decisions under 2 CFR parts 180 and
1532.

Sec.  31.71  Definitions.

    As used in this part:
    Action Official (AO) is the EPA official who authors the Agency
Decision to the Affected Entity regarding a pre-award or post-award
matter.
    Affected Entity is an entity that applies for and/or receives
Federal financial assistance from EPA including but not limited to:
State and local governments, Indian Tribes, Intertribal Consortia,
Institutions of Higher Education, Hospitals, and other Non-profit
Organizations, and Individuals.
    Agency Decision is the Agency's initial pre-award or post-award
determination. The Agency Decision is sent by the Action Official (AO)
to the Affected Entity electronically and informs them of their dispute
rights including appealing the Agency Decision to the DDO.
    Assistance Agreement Appeal (or Appeal) is the letter an Affected
Entity submits to the DDO to challenge an Agency Decision.
    Dispute is a disagreement by an Affected Entity with a specific
Agency Decision regarding a pre-award or post-award action.
    Disputes Decision Official (DDO) is the designated agency official
responsible for issuing a decision resolving an Appeal.
    (1) The DDO for a Headquarters Assistance Agreement Appeal is the
Director of the Grants and Interagency Agreement Management Division in
the Office of Grants and Debarment or designee. To help provide for a
fair and impartial review, the AO for the challenged Agency Decision
may not serve as the Headquarters DDO and the DDO cannot serve as the
Review Official for the Appeal decision.
    (2) The DDO for a Regional Assistance Agreement Appeal is the
official designated by the Regional Administrator to issue the written
decision resolving the Appeal. To help provide for a fair and impartial
review, the AO for the challenged Agency Decision may not serve as the
Regional DDO and the DDO cannot serve as the Review Official for the
Appeal decision.
    Request for Review is the letter an Affected Entity submits to the
designated Review Official to challenge the DDO's Appeal decision.
    Review Official is the EPA official responsible for issuing a
decision resolving an Affected Entity's request for review of a DDO's
Appeal decision.
    (1) For a Headquarters DDO Appeal decision, the Review Official is
the Director of the Office of Grants and Debarment or designee.
    (2) For a Regional DDO Appeal decision, the Review Official is the
Regional Administrator or designee.

Sec.  31.72  Submission of Appeal.

    An Affected Entity or its authorized representative may dispute an
Agency Decision by electronically submitting an Appeal to the DDO
identified in the Agency Decision. In order for the DDO to consider the
Appeal, it must satisfy the following requirements:
    (a) Timeliness. The DDO must receive the Appeal no later than 30
calendar days from the date the Agency Decision is electronically sent
to the Affected Entity. The DDO will dismiss any Appeal received after
the 30-day period unless the DDO grants an extension of time to submit
the Appeal. The Affected Entity must submit a written request for
extension to the DDO before the expiration of the 30-day period. The
DDO may grant a one-time extension of up to 30 calendar days when
justified by the situation, which may include the unusual complexity of
the Appeal or because of exigent circumstances.
    (b) Method of submission. The Affected Entity must submit the
Appeal electronically via email to the DDO, with a copy to the AO,
using the email addresses specified in the Agency Decision within the
30-day period stated in paragraph (a) of this section.
    (c) Contents of Appeal. The Appeal submitted to the DDO must
include:
    (1) A copy of the disputed Agency Decision;
    (2) A detailed statement of the specific legal and factual grounds
for the Appeal, including copies of any supporting documents;
    (3) The specific remedy or relief the Affected Entity seeks under
the Appeal; and
    (4) The name and contact information, including email address, of
the Affected Entity's designated point of contact for the Appeal.

Sec.  31.73  Notice of receipt of Appeal to Affected Entity.

    Within 15 calendar days of receiving the Appeal, the DDO will
provide the Affected Entity a written notice, sent electronically,
acknowledging receipt of the Appeal.
    (a) Timely Appeals. If the Appeal was timely submitted, the notice
of acknowledgement may identify any additional information or
documentation that is required for a thorough consideration of the
Appeal. The notice should provide no more than 30 calendar days for the
Affected Entity to provide the requested information. If it is not
feasible to identify such information or documentation in the notice
the DDO may request it at a later point in time prior to Appeal
resolution.
    (b) Untimely Appeals. If the DDO did not receive the Appeal within
the required 30-day period, or any extension of it, the DDO will notify
the Affected Entity that the Appeal is being dismissed as untimely and
the Agency Decision of the AO becomes final. The notification will also
identify the Review Official. The dismissal of an untimely Appeal
constitutes the final agency action, unless further review is sought in
accordance with the requirements of Sec.  31.75. In limited
circumstances, the DDO may, as a matter of discretion, consider an
untimely Appeal if doing so would be in the interests of fairness and
equity.

Sec.  31.74  Determination of Appeal.

    (a) Record on Appeal. In determining the merits of the Appeal, the
DDO will consider the record related to the Agency Decision, any
documentation that the Affected Entity submits with its Appeal, any
additional documentation submitted by the Affected Entity in response
to the DDO's request under Sec.  31.73(a), and any other information
the DDO determines is relevant to the Appeal provided the DDO gives
notice of that information to the Affected Entity. The Affected Entity
may not on its own initiative submit any additional documents.
    (b) Appeal decision. The DDO will issue the Appeal decision within
180 calendar days from the date the Appeal

is received by the DDO unless a longer period is necessary based on the
complexity of the legal, technical and factual issues presented. The
DDO will notify the Affected Entity if the expected decision will not
be issued within the 180 day period and if feasible will indicate when
the decision is expected to be issued. The Appeal decision will also
identify the Review Official. The DDO will issue the Appeal decision
electronically. The DDO's decision will constitute the final agency
action unless the Affected Entity files a timely request for review in
accordance with the Request for Review procedures in Sec.  31.75.

Sec.  31.75  Request for review.

    An Affected Entity may file an electronic written request for
review of the DDO's Appeal decision to the appropriate Review Official
within 15 calendar days from the date the Appeal decision is
electronically sent to the Affected Entity. The request for review must
comply with the following requirements:
    (a) Submission of request for review. The request must be submitted
to the Review Official identified in the Appeal decision as follows:
    (1) If a Headquarters DDO issued the Appeal decision, the request
must be electronically submitted to the Director of the Office of
Grants and Debarment, or designee, at the email address identified in
the Appeal decision, with a copy to the DDO.
    (2) If the Appeal decision was issued by a DDO located in an agency
Regional Office, the request for review must be electronically
submitted to the Regional Administrator, or designee, at the email
address identified in the Appeal decision, with a copy to the DDO.
    (b) Contents and grounds of request for review. The request for
review must include a copy of the DDO's Appeal decision and provide a
detailed statement of the factual and legal grounds warranting reversal
or modification of the Appeal decision. The only ground for review of a
DDO's Appeal decision is that there was a clear and prejudicial error
of law, fact or application of agency policy in deciding the Appeal.
    (c) Conducting the review. In reviewing the Appeal decision, the
Review Official will only consider the information that was part of the
Appeal decision unless:
    (i) The Affected Entity provides new information in the request for
review that was not available to the DDO for the Appeal decision; and
    (ii) The Review Official determines that the new information is
relevant and should be considered in the interests of fairness and
equity.

Sec.  31.76  Notice of receipt of request for review.

    Timeliness. The Review Official will provide the Affected Entity
electronic written notice acknowledging receipt of the review request
within 15 calendar days of receiving the request. The Review Official
will further provide a copy of the notice to the DDO.
    (a) If the request was submitted in accordance with section Sec.
31.75, the notice of acknowledgment will also advise the Affected
Entity that the Review Official expects to issue a decision within 45
calendar days from the date they received the request.
    (b) If the request for review was not submitted within the required
15 calendar day period, or does not allege reviewable grounds
consistent with Sec.  31.75, the Review Official will notify the
Affected Entity that the request is denied as untimely and/or for
failing to state a valid basis for review. In limited circumstances,
the Review Official may, as a matter of discretion, consider an
untimely review if doing so would be in the interest of fairness and
equity.

Sec.  31.77  Determination of request for review.

    (a) Within 15 calendar days of receiving a copy of the notice
acknowledging the receipt of a timely and reviewable Request for
Review, the DDO will submit the Appeal record to the Review Official.
    (b) The Review Official will issue a final written decision within
45 calendar days of the submission of the request for review unless a
longer period is necessary based on the complexity of the legal,
technical and factual issues presented.
    (1) The Review Official will notify the Affected Entity if the
expected decision will not be issued within the 45-day period and if
feasible will indicate when the decision is expected to be issued.
    (2) The Review Official's decision constitutes the final agency
action and is not subject to further review within the agency.

[FR Doc. 2014-00963 Filed 1-27-14; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register Volume 79, Number 48 (Wednesday, March 12, 2014)]
[Notices]
[Pages 14031-14032]
[FR Doc No: 2014-05337]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket Nos. RM01-8-000; RM10-12-000; RM12-3-000]

Filing Requirements for El. Utility S.A.; Electricity Market
Transparency Provisions of Section 220 of the Federal Power Act;
Revisions to Electric Quarterly Report Filing Process; Order Extending
and Setting Deadlines To File Electric Quarterly Reports

Before Commissioners: Cheryl A. LaFleur, Acting Chairman; Philip D.
Moeller, John R. Norris, and Tony Clark.

    1. This order establishes new deadlines for filing the third
quarter (Q3) 2013 Electric Quarterly Report (EQR), fourth quarter (Q4)
2013 EQR, and first quarter (Q1) 2014 EQR. On September 21, 2012, the
Federal Energy Regulatory Commission (Commission) issued Order No.
768,\1\ which, among other things, revised the existing EQR filing
requirements to require market participants that are excluded from the
Commission's jurisdiction under section 205 of the Federal Power Act
(FPA) \2\ and have more than a de minimis market presence to file EQRs
with the Commission. The requirement for certain non-public utilities
to file EQRs was to be implemented at the same time as the requirement
for all EQR filers (both public utilities and non-public utilities) to
report the revised EQR data fields adopted in Order No. 768, i.e.,
beginning with Q3 2013.\3\
---------------------------------------------------------------------------

    \1\ Electricity Market Transparency Provisions of Section 220 of
the Federal Power Act, Order No. 768, FERC Stats. & Regs. ] 31,336
(2012), order on reh'g, Order No. 768-A, 143 FERC ] 61,054 (2013);
see also Revised Public Utility Filing Requirements, Order No. 2001,
FERC Stats. & Regs. ] 31,127, reh'g denied, Order No. 2001-A, 100
FERC ] 61,074, reh'g denied, Order No. 2001-B, 100 FERC ] 61,342,
order directing filing, Order No. 2001-C, 101 FERC ] 61,314 (2002),
order directing filing, Order No. 2001-D, 102 FERC ] 61,334, order
refining filing requirements, Order No. 2001-E, 105 FERC ] 61,352
(2003), order on clarification, Order No. 2001-F, 106 FERC ] 61,060
(2004), order revising filing requirements, Order No. 2001-G, 120
FERC ] 61,270, order on reh'g and clarification, Order No. 2001-H,
121 FERC ] 61,289 (2007), order revising filing requirements, Order
No. 2001-I, FERC Stats. & Regs. ] 31,282 (2008).
    \2\ 16 U.S.C. ] 824d (2012). Order No. 768 refers to market
participants that are not public utilities under section 201(f) of
the FPA as ``non-public utilities.''
    \3\ Order No. 768, FERC Stats. & Regs. ] 31,336 at P 4.
---------------------------------------------------------------------------

    2. On November 12, 2012, the Commission issued Order No. 770,\4\
which, among other things, revised the Commission's regulations to
change the process for filing EQRs. In Order No. 770, the Commission
announced that, due to technology changes that will render the current
filing process outmoded, ineffective, and unsustainable, the Commission
will discontinue the use of Commission-distributed software to file an
EQR. The Commission reported that, instead, it will adopt a web-based
approach to filing EQRs that will allow a public or non-public utility
to file an EQR directly through the Commission's Web site, either
through a web interface or by submitting an Extensible Mark-Up
Language-formatted file. The Commission stated that the changes to the
process for filing EQRs would apply to EQR filings beginning with the
Q3 2013 EQR.\5\
---------------------------------------------------------------------------

    \4\ Revisions to Electric Quarterly Report Filing Process, Order
No. 770, FERC Stats. & Regs. ] 31,338 (2012).
    \5\ Id. PP 1, 47.
---------------------------------------------------------------------------

    3. On October 10, 2013, the Commission notified all public and non-
public utilities that they were not to file Q3 2013 EQRs until the web-
based approach was available.\6\ The Commission extended the deadline
for public and non-public utilities to file Q3

2013 EQRs from October 31, 2013 to a date to be determined.
---------------------------------------------------------------------------

    \6\ Filing Requirements for El. Utility S.A., 145 FERC ] 61,031
(2013).
---------------------------------------------------------------------------

    4. On December 27, 2013, the Commission notified all public and
non-public utilities that they were not to file Q4 2013 EQRs until
after the web-based approach was available.\7\ The Commission extended
the deadline for public and non-public utilities to file Q4 2013 EQRs
from January 31, 2014 to a date to be determined. The Commission stated
that it would issue a notice that would notify all public and non-
public utility EQR filers when the new web-based approach was available
and provide the new deadline for filing Q3 and Q4 2013 EQRs.
---------------------------------------------------------------------------

    \7\ Filing Requirements for El. Utility S.A., 145 FERC ] 61,282
(2013).
---------------------------------------------------------------------------

    5. The Commission hereby notifies all public and non-public
utilities that they are to file Q3 2013 EQRs during the period April 1,
2014 to April 30, 2014.
    6. The Commission further notifies all public and non-public
utilities that they are to file Q4 2013 EQRs during the period May 1,
2014 to May 31, 2014.
    7. The Commission further notifies all public and non-public
utilities that they are not to file Q1 2014 EQRs during the period
April 1, 2014 to April 30, 2014. The Commission hereby extends the
deadline for public and non-public utilities to file Q1 2014 EQRs to
the period June 1, 2014 to June 30, 2014.
    8. EQRs for the second quarter (Q2) 2014 will be due during the
normal filing period of July 1, 2014 to July 31, 2014 and all
subsequent filings will be due during the normal filing period, unless
otherwise directed by the Commission.
    9. The Commission understands that it may take parties some time to
become proficient with the new filing system. As a result, the
Commission does not intend to penalize parties that are making best
efforts for the Q3 2013 EQRs, the Q4 2013 EQRs, and the Q1 2014 EQRs.
In that regard, the Commission strongly encourages parties to utilize
the month of March 2014 to assure that they are well prepared for the
first filing period under the new system. Parties should assure that
they are properly eRegistered through the Commission's Web site and
that they have tested their filing processes through the Commission's
EQR Sandbox. Finally, the Commission strongly encourages parties to
file early in the filing period and use the ``Test-Only'' functionality
in the filing system so that any issues may be addressed well before
the final filing deadline. Finally, the Commission reminds parties that
staff is available to answer questions, as directed by Order No.
770.\8\ Questions may be submitted via email to<EMAIL_ADDRESS>---------------------------------------------------------------------------

    \8\ Order No. 770, FERC Stats. & Regs. ] 31,338 at P 12.
---------------------------------------------------------------------------

    The Commission orders:
    (A) The period for filing Q3 2013 EQRs will be April 1, 2014 to
April 30, 2014.
    (B) The period for filing Q4 2013 EQRs will be May 1, 2014 to May
31, 2014.
    (C) The period for filing Q1 2014 EQRs is hereby extended, as
discussed in the body of this order, to June 1, 2014 to June 30, 2014.
    (D) The period for filing Q2 2014 EQRs, as discussed in the body of
this order, will remain July 1, 2014 to July 31, 2014. All other filing
periods shall remain the same, unless otherwise directed by the
Commission.

    Dated: Issued February 28, 2014.

    By the Commission.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2014-05337 Filed 3-11-14; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 81, Number 51 (Wednesday, March 16, 2016)]
[Notices]
[Pages 14101-14102]
[FR Doc No: 2016-05870]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings #1

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

    Docket Numbers: ER10-2374-010; ER12-673-008; ER12-672-008.
    Applicants: Puget Sound Energy, Inc., Brea Generation LLC, Brea
Power II, LLC.
    Description: Notice of Non-Material Change in Status of Puget Sound
Energy, Inc., et al.
    Filed Date: 3/9/16.
    Accession Number: 20160309-5158.
    Comments Due: 5 p.m. ET 3/30/16.

    Docket Numbers: ER15-1825-003.
    Applicants: California Independent System Operator Corporation.
    Description: Compliance filing: 2016-03-10 Filing in Compliance
With Feb. 24 Order Delaying RSI Effective Date to be effective 5/1/
2016.
    Filed Date: 3/10/16.
    Accession Number: 20160310-5148.
    Comments Due: 5 p.m. ET 3/31/16.

    Docket Numbers: ER16-540-001.
    Applicants: Public Service Company of Colorado.
    Description: Tariff Amendment: CSU Deficiency Response #1 to be
effective 1/1/2013.
    Filed Date: 3/10/16.
    Accession Number: 20160310-5100.
    Comments Due: 5 p.m. ET 3/31/16.

    Docket Numbers: ER16-542-001.
    Applicants: Public Service Company of Colorado.
    Description: Tariff Amendment: CSU Deficiency Response #2 to be
effective 1/1/2015.
    Filed Date: 3/10/16.
    Accession Number: 20160310-5124.
    Comments Due: 5 p.m. ET 3/31/16.

    Docket Numbers: ER16-733-000.
    Applicants: LQA, LLC.
    Description: Supplement to January 15, 2016 LQA, LLC tariff filing.
    Filed Date: 3/9/16.
    Accession Number: 20160309-5116.
    Comments Due: 5 p.m. ET 3/30/16.

    Docket Numbers: ER16-750-002.
    Applicants: Bethel Wind Farm LLC.
    Description: Tariff Amendment: Second Supplement to MBR Application
and Request for Expedited Treatment to be effective 3/21/2016.
    Filed Date: 3/10/16.
    Accession Number: 20160310-5123.
    Comments Due: 5 p.m. ET 3/31/16.

    Docket Numbers: ER16-897-001.
    Applicants: California Independent System Operator Corporation.
    Description: Compliance filing: 2016-03-10 Filing in compliance
with February 24, 2016 order (CPM_ER16-897) to be effective 3/25/2016.
    Filed Date: 3/10/16.
    Accession Number: 20160310-5096.
    Comments Due: 5 p.m. ET 3/31/16.

    Docket Numbers: ER16-910-000.
    Applicants: EPP New Jersey Solar, LLC.
    Description: Amendment to February 8, 2016 EPP New Jersey Solar,
LLC and EPP New Jersey Biogas, LLC tariff filings.
    Filed Date: 3/8/16.
    Accession Number: 20160308-5262.
    Comments Due: 5 p.m. ET 3/29/16.

    Docket Numbers: ER16-914-000.
    Applicants: Axpo U.S. LLC.
    Description: Supplement to February 4, 2015 Axpo U.S. LLC tariff
filing.
    Filed Date: 3/10/16.
    Accession Number: 20160310-5105.
    Comments Due: 5 p.m. ET 3/21/16.

    Docket Numbers: ER16-1124-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: Sec.  205(d) Rate Filing: Revised Service Agreement
No. 4355; Queue Z2-011 (ISA Assignment) to be effective 12/21/2015.
    Filed Date: 3/9/16.
    Accession Number: 20160309-5154.
    Comments Due: 5 p.m. ET 3/30/16.

    Docket Numbers: ER16-1124-001.
    Applicants: PJM Interconnection, L.L.C.
    Description: Tariff Amendment: Errata to Correct Metadata in
Revised Service Agreement No. 4355 to be effective 12/21/2015.
    Filed Date: 3/10/16.
    Accession Number: 20160310-5034.
    Comments Due: 5 p.m. ET 3/31/16.

    Docket Numbers: ER16-1125-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: Sec.  205(d) Rate Filing: Amended ISA No. 3198 and
ICSA Nos. 2642 and 2643, Queue No. T157/W4-037 to be effective 9/1/
2010.
    Filed Date: 3/10/16.
    Accession Number: 20160310-5053.
    Comments Due: 5 p.m. ET 3/31/16.

    Docket Numbers: ER16-1126-000.
    Applicants: Tucson Electric Power Company.
    Description: Sec.  205(d) Rate Filing: NEC BA Agreement to be
effective 5/9/2016.
    Filed Date: 3/10/16.
    Accession Number: 20160310-5113.
    Comments Due: 5 p.m. ET 3/31/16.

    Docket Numbers: ER16-1128-000.
    Applicants: Southern California Edison Company.
    Description: Sec.  205(d) Rate Filing: Service Agreement with
AgPower Visalia, LLC to be effective 5/10/2016.
    Filed Date: 3/10/16.
    Accession Number: 20160310-5121.
    Comments Due: 5 p.m. ET 3/31/16.

    Docket Numbers: ER16-1129-000.
    Applicants: VPI Enterprises, Inc.
    Description: Baseline eTariff Filing: Application for Initial
Market-Based Rate Tariff and Granting Certain Waivers to be effective
3/11/2016.
    Filed Date: 3/10/16.
    Accession Number: 20160310-5137.
    Comments Due: 5 p.m. ET 3/31/16.

    Docket Numbers: ER16-1130-000.
    Applicants: DifWind Farms Limited I.
    Description: Baseline eTariff Filing: Application for Initial
Market-Based Rate Tariff and Granting Certain Waivers to be effective
3/11/2016.
    Filed Date: 3/10/16.
    Accession Number: 20160310-5138.
    Comments Due: 5 p.m. ET 3/31/16.

    Docket Numbers: ER16-1131-000.
    Applicants: DifWind Farms Limited II.
    Description: Baseline eTariff Filing: Application for Initial
Market-Based Rate Tariff and Granting Certain Waivers to be effective
3/11/2016.
    Filed Date: 3/10/16.
    Accession Number: 20160310-5139.
    Comments Due: 5 p.m. ET 3/31/16.

    Docket Numbers: ER16-1132-000.
    Applicants: DifWind Farms Limited V.
    Description: Baseline eTariff Filing: Application for Initial
Market-Based Rate Tariff and Granting Certain Waivers to be effective
3/11/2016.
    Filed Date: 3/10/16.
    Accession Number: 20160310-5140.
    Comments Due: 5 p.m. ET 3/31/16.

    Docket Numbers: ER16-1133-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: Sec.  205(d) Rate Filing: Original Service Agreement
No. 4425; Queue Position #Z2-076 to be effective 2/9/2016.
    Filed Date: 3/10/16.
    Accession Number: 20160310-5149.
    Comments Due: 5 p.m. ET 3/31/16.

    Docket Numbers: ER16-1134-000.
    Applicants: TransCanada Power Marketing Ltd.
    Description: Baseline eTariff Filing: Notice of Succession to be
effective 3/10/2016.
    Filed Date: 3/10/16.
    Accession Number: 20160310-5151.
    Comments Due: 5 p.m. ET 3/31/16.

    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 5:00
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: March 10, 2016.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2016-05870 Filed 3-15-16; 8:45 am]
 BILLING CODE 6717-01-P


PAPERWORK REDUCTION ACT SUBMISSION Please read the instructions before completing this form. For additional forms or assistance in completing this form, contact your agency s Paperwork Clearance Officer.

Send two copies of this form, the collection instrument to be reviewed, the Supporting Statement and any additional documentation to: Office of Information and Regulatory Affairs, Office of Management and Budget, Docket Library, Room 10102, 725 17th Street NW Washington, DC 20503.

1. Agency/ Subagency originating request U. S. EPA, OA/ OPEI/ Ofc. Of Business & Community Innovation/ Small Bus. Div. 2. OMB control number b. G None a. 2 0 6 0  0 337 __ __ __ __

3. Type of information collection ( check one)

a. G New collection b. G Revision of a currently approved collection c. X Extension of a currently approved collection d.

Reinstatement, without change, of a previously approved collection for which approval has expired e. X Reinstatement, with change, of a previously approved collection for which approval has expired f. G Existing collection in use without an OMB control number 4. Type of review requested ( check one)

a. X Regular b. G Emergency  Approval requested by: / /

c. G Delegated 5. Small entities Will this information collection have a significant economic impact on a substantial number of small entities? G Yes X No 6. Requested expiration date a. X Three years from approval date b. G Other Specify: / /___

7. Title: State Small Business Stationary Source Technical and Environmental Compliance Assistance Program Annual Reporting Form 8. Agency form number( s) ( If applicable) 1748.03 9. Keywords: air pollution control, reporting and recordkeeping requirements 10. Abstract: s.

As part of the Clean Air Act Amendments of 1990, the US Congress included, as Section 507, the requirement that each state establish a Small BUsiness Stationary SOurce Technical and Environmental Compliance Assistance Program to assist small businesses in complying with the Act. EPA must provide the Congress with periodic reports from the EPA Small Business Ombudsman on these programs, including their effectiveness, difficulties encountered, and other relevant information. Each state assistance program will submit requested information to EPA for compilation and summarization on an annual basis.

11. Affected public ( Mark primary with   P  and all others that apply with   X )

a. Individuals or households d. Farms b. Business or other for profit e. Federal Government c. X Not for profit institutions f. X State, Local or Tribal Government 12. Obligation to respond ( Mark primary with   P  and all others that apply with   X )

a. G Voluntary b. G Required to obtain or retain benefits c. X Mandatory 13. Annual reporting and recordkeeping hour burden a. Number of respondents 53 b. Total annual responses 53 1. Percentage of these responses collected electronically 100 %

c. Total annual hours requested 2120 d. Current OMB inventory 4240 e. Difference  2120 f. Explanation of difference 1. Program Change  2120 2. Adjustment 0 14. Annual reporting and recordkeeping cost burden ( in thousands of dollars)

a. Total annualized capital/ startup costs 0 b. Total annual costs ( O& M) 0 c. Total annualized cost requested 0 d. Current OMB inventory 0 e. Difference 0 1. Program change 0 2. Adjustment 0 15. Purpose of information collection ( Mark Primary With   P  and all others that apply with   X )

a. __ Application for benefits b. X__ Program evaluation c. __ General purpose statistics d. _ _ Audit e. __ Program planning or management f. __ Research g. __ Regulatory or compliance 16. Frequency of recordkeeping or reporting ( check all that apply)

a. X Recordkeeping b. Q Third party disclosure c. X Reporting 1. Q On occasion 2. Q Weekly 3. Q Monthly 4. Quarterly 5. Semi annually 6. X Annually 7. Q Biannually 8. Q Other ( describe)

17. Statistical methods Does this information collection employ statistical methods?

Q Yes X No 18. Agency contact ( person who can best answer questions regarding the content of this submission)

Name: Angela Suber Phone: 202 260 7205 OMB 83 I 10/ 95 19. Certification for Paperwork Reduction Act Submissions On behalf of this Federal agency, 1 certify that the collection of information encompassed by this request complies with' 5 CFR 1320.9.

NOTE: The text of 5 CFR 1320.9, and the related provisions of 5 CFR 1320.8( b)( 3), appear at the end of the instructions. The certification is to be made with reference to those regulatory provisions as set forth in the instructions.

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

( a) It is necessary for the proper performance of agency functions;

( b) It avoids unnecessary duplication;

© It reduces burden on small entities;

( d) It uses plain, coherent, and unambiguous terminology that is understandable to respondents;

( e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

( f) It indicates the retention periods for recordkeeping requirements;

( g) It informs respondents of the information called for under 5 CFR 1320.8( b)( 3): ( I) Why the information is being collected; ( ii) Use of information; ( iii) Burden estimate; ( iv) Nature of response ( voluntary, required for a benefit, or mandatory); ( v) Nature and extent of confidentiality; and ( vi) Need to display currently valid OMB control number;

( h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected ( see note in Item 19 of the instructions);

( I) It uses effective and efficient statistical survey methodology; and ( j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item below and explain the reason in Item 18 of the Supporting Statement.

Signature of Program Office Official Director Date Signature of Senior Official or designee Oscar Morales, Director Collection Strategies Division Office of Environmental Information ( OEI) Date OMB 83 I 10/ 95