[Federal Register Volume 77, Number 66 (Thursday, April 5, 2012)]
[Notices]
[Pages 20691-20692]
[FR Doc No: 2012-8175]

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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

[Docket Number FRA-2011-0050]

Petition for Waiver of Compliance

    In accordance with Part 211 of Title 49 Code of Federal Regulations
(CFR), notice is hereby given that the Federal Railroad Administration
(FRA) has received a request for a waiver of compliance from certain
requirements of its safety standards. The individual petition is
described below, including the party seeking relief, the regulatory
provisions involved, the nature of the relief being requested, and the
petitioner's arguments in favor of relief. FRA has assigned the
petition Docket Number FRA-2011-0050.
    The Alaska Railroad Corporation (ARRC) has applied for extension of
the clean, repair, and test intervals for air brake valves and related
components, as required by the Railroad Locomotive Safety Standards
found at Title 49 Code of Federal Regulations (CFR) Section 229.27,
Annual tests, and Section 229.29, Biennial tests. This relief has been
requested for Locomotives ARRC 4001-4016, which are equipped with New
York Air Brake (NYAB) CCB-I brake systems; Locomotives ARRC 4317-4328,
which are equipped with NYAB CCB-II brake systems; and Diesel Multiple
Unit ARRC 751, which is equipped with a NYAB CCB-II brake system. These
units are also equipped with air dryers. Applications were originally
submitted by ARRC for inclusion under the relief granted to the
Association of American Railroads (AAR) by Waiver Docket Number FRA-
2005-21613. However, the decision letter for that waiver specifically
limits the relief to AAR member railroads. ARRC is not an AAR member;
therefore, separate processing of these requests is necessary.
    In support of this petition, ARRC submitted letters from NYAB
attesting to the essential similarity of the air brake systems on these
units to air brake systems on locomotives tested and inspected at
extended intervals and granted relief under FRA-2005-21613 on CSX
Transportation and the Canadian Pacific Railway. In addition, ARRC
reported that they have experienced very few failures on units equipped
with CCB brake systems, and that inspection of air brake components
removed from Locomotives 4001-4016, at 5 years of age, ``revealed
exceptional cleanliness and no issues were noted which would prevent
the continued serviceability of the parts or materials * * *. ''

    Interested parties are invited to participate in these proceedings
by submitting written views, data, or comments. FRA does not anticipate
scheduling a public hearing in connection with these proceedings since
the facts do not appear to warrant a hearing. If any interested party
desires an opportunity for oral comment, they should notify FRA, in
writing, before the end of the comment period and specify the basis for
their request.
    All communications concerning these proceedings should identify the
appropriate docket number (e.g., Waiver Petition Docket Number FRA-
2011-0050) and may be submitted by any of the following methods:
     Web site: http://www.regulations.gov. Follow the online
instructions for submitting comments.
     Fax:<PHONE_NUMBER>.
     Mail: Docket Operations Facility, U.S. Department of
Transportation, 1200 New Jersey Avenue SE., W12-140, Washington, DC
20590.
     Hand Delivery: 1200 New Jersey Avenue SE., Room W12-140,
Washington, DC 20590, between 9 a.m. and 5 p.m., Monday through Friday,
except Federal Holidays.
    Communications received by May 21, 2012 will be considered by FRA
before final action is taken. Comments received after that date will be
considered as far as practicable. All written communications concerning
these proceedings are available for examination during regular business
hours (9 a.m.-5 p.m.) at the above facility. All documents in the
public docket are also available for inspection and copying on the
Internet at the docket facility's Web site at http://www.regulations.gov.
    Anyone is able to search the electronic form of any written
communications and comments received into any of our dockets by the
name of the individual submitting the comment (or signing the comment,
if submitted on behalf of an association, business, labor union, etc.).
You may review DOT's complete Privacy Act Statement in the Federal
Register published on April 11, 2000 (Volume 65, Number 70; Pages
19477-78), or online at http://www.dot.gov/privacy.html.

    Issued in Washington, DC, on March 30, 2012.
Ron Hynes,
Acting Deputy Associate Administrator for Regulatory and Legislative
Operations.
[FR Doc. 2012-8175 Filed 4-4-12; 8:45 am]
BILLING CODE 4910-06-P


78n, 78o(d), 80a-8, 80a-24, 80a-26, and 80a-29, unless otherwise
noted.
* * * * *

0
13. Form N-1A (referenced in Sec. Sec.  239.15A and 274.11A) is amended
by:
0
a. Revising the Cover Page by replacing the address reference ``450 5th
Street, NW., Washington, D.C. 20549-6009'' with ``100 F Street, NE,
Washington, DC 20549-1090'';
0
b. Revising the Table of Contents;
0
c. Revising the General Instructions as follows:
0
i. Adding the definitions ``Exchange-Traded Fund'' and ``Market Price''
in alphabetical order to paragraph A;
0
ii. Revising the phrase ``(except Items 1, 2, 3, and 8), B, and C
(except Items 23(e) and (i)-(k))'' in paragraph B.2.(b) to read
``(except Items 1, 2, 3, 4, and 13), B, and C (except Items 28(e) and
(i)-(k))'';
0
iii. Revising paragraphs B.4.(c), C.3.(a), C.3.(b), and C.3.(c);
0
iv. Revising the reference ``Items 6(b)-(d) and 7(a)(2)-(5)'' in
paragraph C.3.(d)(i) to read ``Items 6, 11(b)-(d), and 12(a)(2)-(5)'';
and
0
v. Revising the reference ``Items 2(c)(2)(iii)(B) and (C) and
2(c)(2)(iv)'' in paragraph C.3.(d)(iii) to read ``Items 4(b)(2)(iii)(B)
and (C) and 4(b)(2)(iv)'';
0
d. Revising Item 1 as follows:
0
i. Revising paragraph (a)(1);
0
ii. Adding new paragraph (a)(2) and redesignating paragraphs (a)(2) and
(a)(3) as paragraphs (a)(3) and (a)(4);
0
iii. Removing Instruction 6 to Item 1(b)(1);
0
iv. In Item 1(b)(3), revising the telephone number ``1-202-942-8090''
to read ``1-202-551-8090''; and
0
v. In Item 1(b)(3), revising the zip code ``20549-0102'' to read
``20549-1520'';
0
e. Redesignating Items 2, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16,
17, 18, 19, 20, 21, 22, 23, 24, 25, 26, 27, 28, 29, and 30 as Items 4,
9, 10, 11, 12, 13, 14, 15, 16, 17, 18, 19, 20, 21, 22, 23, 24, 25, 26,
27, 28, 29, 30, 31, 32, 33, 34, and 35, respectively;
0
f. Adding new Item 2;
0
g. Revising Item 3 as follows:
0
i. Adding a sentence after the sentence following the heading ``Fees
and expenses of the Fund'';
0
ii. Revising the heading ``Annual Fund Operating Expenses (expenses
that are deducted from Fund assets)'';
0
iii. Adding a new paragraph after the ``Example'' with the heading
``Portfolio Turnover'';
0
iv. Revising Instruction 1(b);
0
v. Adding new Instruction 1(e);
0
vi. In Instruction 2(a)(i), revising the reference ``Item 7(a)'' to
read ``Item 12(a)'';

0
vii. Revising Instruction 3(e);
0
viii. In Instruction 3(f)(iii), revising the references ``Item 8(a)''
to read ``Item 13(a)'';
0
ix. In Instruction 3(f)(vii), revising the reference ``Item 8'' to read
``Item 13'';
0
x. Revising Instruction 4(a);
0
xi. Redesignating Instruction 5 as Instruction 6 and adding new
Instruction 5; and
0
xii. In newly redesignated Instruction 6, removing paragraph (b) and
redesignating paragraph (c) as paragraph (b);
0
h. Revising newly redesignated Item 4 as follows:
0
i. Removing paragraph (a) and redesignating paragraphs (b) and (c) as
paragraphs (a) and (b);
0
ii. In newly redesignated Item 4(a), revising the reference ``Item
4(b)'' to read ``Item 9(b)'';
0
iii. In newly redesignated Item 4(b)(1)(i), revising the reference
``Item 4(c)'' to read ``Item 9(c)'';
0
iv. In the Instruction to newly redesignated Item 4(b)(1)(iii),
revising the reference ``Items 2(c)(1)(ii) and (iii)'' to read ``Items
4(b)(1)(ii) and (iii)'';
0
v. Revising newly redesignated Item 4(b)(2)(i);
0
vi. In newly redesignated Item 4(b)(2)(iii), revising the reference
``Item 22(b)(7)'' to read ``Item 27(b)(7)'';
0
vii. In newly redesignated Item 4(b)(2)(iv), revising the reference
``paragraph 2(c)(2)(iii)'' to read ``paragraph 4(b)(2)(iii)'';
0
viii. In Instruction 1(a) to newly redesignated Item 4(b)(2), revising
the reference ``Item 8(a)'' to read ``Item 13(a)'';
0
ix. In Instruction 1(b) to newly redesignated Item 4(b)(2), revising
the reference ``paragraph (c)(2)(i)'' to read ``paragraph (b)(2)(i)'';
0
x. In Instruction 2(a) to newly redesignated Item 4(b)(2), revising the
references ``Item 21(a)'', ``Item 21(b)(1)'', and ``Items 21(b)(2) and
(3)'' to read ``Item 26(a)'', ``Item 26(b)(1)'', and ``Items 26(b)(2)
and (3)'', respectively;
0
xi. In Instruction 2(b) to newly redesignated Item 4(b)(2), revising
the reference ``Item 22(b)(7)'' to read ``Item 27(b)(7)'';
0
xii. In Instruction 2(d) to newly redesignated Item 4(b)(2), revising
the references ``Item 21(b)(2)'' and ``Item 21'' to read ``Item
26(b)(2)'' and ``Item 26'', respectively;
0
xiii. In newly redesignated Item 4(b)(2), revising Instructions 2(e),
3(a), 3(b), and 3(c);
0
xiv. In Instruction 3(c)(ii)(D) to newly redesignated Item 4(b)(2),
revising the reference ``paragraphs 2(c)(2)(iii)(B) and (C)'' to read
``paragraphs 4(b)(2)(iii)(B) and (C)'';
0
xv. In Instruction 3(c)(iii) to newly redesignated Item 4(b)(2),
revising the reference ``paragraphs 2(c)(2)(iii)(A), (B), and (C)'' to
read ``paragraphs 4(b)(2)(iii)(A), (B), and (C)''; and
0
xvi. In Instruction 4 to newly redesignated Item 4(b)(2), revising the
reference ``Item 22(b)(7)'' to read ``Item 27(b)(7)'';
0
i. Adding new Items 5, 6, 7, and 8;
0
j. In Instruction 5 to newly redesignated Item 9(b)(1), revising the
reference ``Item 11(c)(1)'' to read ``Item 16(c)(1)'';
0
k. Revising newly redesignated Item 10 as follows:
0
i. Revising paragraph (a)(1)(i);
0
ii. Revising paragraph (a)(2); and
0
iii. Removing the Instructions to newly redesignated Item 10(a)(2);
0
l. Revising newly redesignated Item 11 as follows:
0
i. Revising paragraph (a)(1);
0
ii Revising paragraph (b); and
0
iii. Revising paragraph (g);
0
m. Revising newly redesignated Item 12 as follows:
0
i. In Instruction 1 to newly redesignated Item 12(a)(2), revising the
reference ``Item 7'' to read ``Item 12'';
0
ii. In Instruction 2 to newly redesignated Item 12(a)(2), revising the
references ``Item 7'' and ``Items 12(d) and 17(b)'' to read ``Item 12''
and ``Items 17(d) and 22(b)'', respectively;
0
iii. In newly redesignated Item 12(a)(5), revising the reference ``Item
17(a)'' to read ``Item 22(a)''; and
0
iv. In the Instruction to newly redesignated Item 12(a)(5), revising
the references ``Item 7'' to read ``Item 12'';
0
n. Revising newly redesignated Item 14 as follows:
0
i. Revising paragraph (a)(1); and
0
ii. Adding new paragraph (a)(2) and redesignating paragraphs (a)(2) and
(a)(3) as paragraphs (a)(3) and (a)(4);
0
o. Revising newly redesignated Item 16 as follows:
0
i. In newly redesignated Item 16(d), revising the reference ``Item
4(b)'' to read ``Item 9(b)'';
0
ii. In newly redesignated Item 16(e), revising the reference ``Item 8''
to read ``Item 13''; and
0
iii. In Instruction 1 to newly redesignated Item 16(f)(2), revising the
reference ``Item 11(f)(2)'' to read ``Item 16(f)(2)'';
0
p. In newly redesignated Item 17, revising the references ``Item 12''
to read ``Item 17'';
0
q. In newly redesignated Items 20(a), 20(b), and 20(c), revising the
references ``Item 5(a)(2)'' to read ``Item 5(b)'';
0
r. Revising newly redesignated Item 23 as follows:
0
i. Removing the Instruction to newly redesignated Item 23(a);
0
ii. In Instruction 4 to newly redesignated Item 23(c), revising the
reference ``Item 22'' to read ``Item 27''; and
0
iii. In Instruction 1 to newly redesignated Item 23(e), revising the
reference ``Item 17(e)'' to read ``Item 23(e)'';
0
s. In Instruction 1 to newly redesignated Item 25(c), revising the
references ``Item 7(b)(2)'', ``Item 14(d)'', and ``Item 30'' to read
``Item 12(b)(2)'', ``Item 19(d)'', and ``Item 34'', respectively;
0
t. Revising newly redesignated Item 27 as follows:
0
i. In newly redesignated Item 27(a), revising the reference ``Item
17(c)'' to read ``Item 23(c)'';
0
ii. In newly redesignated Item 27(b)(2), revising the reference ``Item
8(a)'' to read ``Item 13(a)'';
0
iii. In newly redesignated Item 27(b)(5), revising the reference ``Item
12(a)(1)'' to read ``Item 17(a)(1)'';
0
iv. In newly redesignated Item 27(b)(7)(ii)(B), revising the reference
``Item 21(b)(1)'' to read ``Item 26(b)(1)'';
0
v. In newly redesignated Item 27(b)(7), adding new paragraph (iv);
0
vi. In Instruction 10 to newly redesignated Item 27(b)(7), revising the
reference ``Instruction 5 to Item 3'' to read ``Instruction 6 to Item
3'';
0
vii. In the Instruction to newly redesignated Item 27(c)(1), revising
the references ``Item 22(b)(1)'' and ``Item 22(c)(1)'' to read ``Item
27(b)(1)'' and ``Item 27(c)(1)'', respectively;
0
viii. In newly redesignated Item 27(c)(2), revising the reference
``Item 8(a)'' to read ``Item 13(a)'';
0
ix. In Instruction 1(c) to newly redesignated Item 27(d)(1), revising
the reference ``Item 8(a)'' to read ``Item 13(a)'';
0
x. In newly redesignated Item 27(d)(1), adding Instruction 1(e);
0
xi. In Instruction 2(a)(ii) to newly redesignated Item 27(d)(1),
revising the reference ``Item 22(d)(1)'' to read ``Item 27(d)(1)''; and
0
xii. In the Instruction to newly redesignated Item 27(d)(4), revising
the reference ``Item 12(f)'' to read ``Item 17(f)'';
0
u. In newly redesignated Item 28(k), revising the reference ``Item 22''
to read ``Item 27'';
0
v. Revising newly redesignated Item 32 as follows:
0
i. In newly redesignated Item 32(b), revising the reference ``Item 20''
to read ``Item 25'';
0
ii. In Instruction 2 to newly redesignated Item 32(c), revising the
reference ``Item 20(c)'' to read ``Item 25(c)''; and

0
w. In Instruction 1 to newly redesignated Item 34, revising the
reference ``Item 14'' to read ``Item 19''.
    The additions and revisions are to read as follows:

    Note: The text of Form N-1A does not, and these amendments will
not, appear in the Code of Federal Regulations.

Form N-1A

* * * * *

Contents of Form N-1A

General Instructions

A. Definitions
B. Filing and Use of Form N-1A
C. Preparation of the Registration Statement
D. Incorporation by Reference
    Part A: Information Required in a Prospectus
    Item 1. Front and Back Cover Pages
    Item 2. Risk/Return Summary: Investment Objectives/Goals
    Item 3. Risk/Return Summary: Fee Table
    Item 4. Risk/Return Summary: Investments, Risks, and Performance
    Item 5. Management
    Item 6. Purchase and Sale of Fund Shares
    Item 7. Tax Information
    Item 8. Financial Intermediary Compensation
    Item 9. Investment Objectives, Principal Investment Strategies,
Related Risks, and Disclosure of Portfolio Holdings
    Item 10. Management, Organization, and Capital Structure
    Item 11. Shareholder Information
    Item 12. Distribution Arrangements
    Item 13. Financial Highlights Information
    Part B: Information Required in a Statement of Additional
Information
    Item 14. Cover Page and Table of Contents
    Item 15. Fund History
    Item 16. Description of the Fund and Its Investments and Risks
    Item 17. Management of the Fund
    Item 18. Control Persons and Principal Holders of Securities
    Item 19. Investment Advisory and Other Services
    Item 20. Portfolio Managers
    Item 21. Brokerage Allocation and Other Practices
    Item 22. Capital Stock and Other Securities
    Item 23. Purchase, Redemption, and Pricing of Shares
    Item 24. Taxation of the Fund
    Item 25. Underwriters
    Item 26. Calculation of Performance Data
    Item 27. Financial Statements
    Part C: Other Information
    Item 28. Exhibits
    Item 29. Persons Controlled by or Under Common Control With the
Fund
    Item 30. Indemnification
    Item 31. Business and Other Connections of the Investment
Adviser
    Item 32. Principal Underwriters
    Item 33. Location of Accounts and Records
    Item 34. Management Services
    Item 35. Undertakings
    Signatures

General Instructions

A. Definitions

* * * * *
    ``Exchange-Traded Fund'' means a Fund or Class, the shares of which
are traded on a national securities exchange, and that has formed and
operates pursuant to an exemptive order granted by the Commission or in
reliance on an exemptive rule adopted by the Commission.
* * * * *
    ``Market Price'' refers to the last reported sale price at which
Exchange-Traded Fund shares trade on the principal U.S. market on which
the Fund's shares are traded during a regular trading session or, if it
more accurately reflects the current market value of the Fund's shares
at the time the Fund uses to calculate its net asset value, a price
within the range of the highest bid and lowest offer on the principal
U.S. market on which the Fund's shares are traded during a regular
trading session.
* * * * *

B. Filing and Use of Form N-1A

* * * * *
    4. * * *
    (c) The plain English requirements of rule 421 under the Securities
Act [17 CFR 230.421] apply to prospectus disclosure in Part A of Form
N-1A. The information required by Items 2 through 8 must be provided in
plain English under rule 421(d) under the Securities Act.
* * * * *

C. Preparation of the Registration Statement

* * * * *
    3. * * *
    (a) Organization of Information. Organize the information in the
prospectus and SAI to make it easy for investors to understand.
Notwithstanding rule 421(a) under the Securities Act regarding the
order of information required in a prospectus, disclose the information
required by Items 2 through 8 in numerical order at the front of the
prospectus. Do not precede these Items with any other Item except the
Cover Page (Item 1) or a table of contents meeting the requirements of
rule 481(c) under the Securities Act. Information that is included in
response to Items 2 through 8 need not be repeated elsewhere in the
prospectus. Disclose the information required by Item 12 (Distribution
Arrangements) in one place in the prospectus.
    (b) Other Information. A Fund may include, except in response to
Items 2 through 8, information in the prospectus or the SAI that is not
otherwise required. For example, a Fund may include charts, graphs, or
tables so long as the information is not incomplete, inaccurate, or
misleading and does not, because of its nature, quantity, or manner of
presentation, obscure or impede understanding of the information that
is required to be included. Items 2 through 8 may not include
disclosure other than that required or permitted by those Items.
    (c) Use of Form N-1A by More Than One Registrant, Series, or Class.
Form N-1A may be used by one or more Registrants, Series, or Classes.
    (i) When disclosure is provided for more than one Fund or Class,
the disclosure should be presented in a format designed to communicate
the information effectively. Except as required by paragraph (c)(ii)
for Items 2 through 8, Funds may order or group the response to any
Item in any manner that organizes the information into readable and
comprehensible segments and is consistent with the intent of the
prospectus to provide clear and concise information about the Funds or
Classes. Funds are encouraged to use, as appropriate, tables, side-by-
side comparisons, captions, bullet points, or other organizational
techniques when presenting disclosure for multiple Funds or Classes.
    (ii) Paragraph (a) requires Funds to disclose the information
required by Items 2 through 8 in numerical order at the front of the
prospectus and not to precede Items 2 through 8 with other information.
Except as permitted by paragraph (c)(iii), a prospectus that contains
information about more than one Fund must present all of the
information required by Items 2 through 8 for each Fund sequentially
and may not integrate the information for more than one Fund together.
That is, a prospectus must present all of the information for a
particular Fund that is required by Items 2 through 8 together,
followed by all of the information for each additional Fund, and may
not, for example, present all of the Item 2 (Risk/Return Summary:
Investment Objectives/Goals) information for several Funds followed by
all of the Item 3 (Risk/Return Summary: Fee Table) information for
several Funds. If a prospectus contains information about multiple
Funds, clearly identify the name of the relevant Fund at the beginning
of the information for the Fund that is required by Items 2 through 8.
A Multiple Class Fund may present the information required by Items 2
through 8 separately for each Class or may integrate the information
for

multiple Classes, although the order of the information must be as
prescribed in Items 2 through 8. For example, the prospectus may
present all of the Item 2 (Risk/Return Summary: Investment Objectives/
Goals) information for several Classes followed by all of the Item 3
(Risk/Return Summary: Fee Table) information for the Classes, or may
present Items 2 and 3 for each of several Classes sequentially. Other
presentations of multiple Class information also would be acceptable if
they are consistent with the Form's intent to disclose the information
required by Items 2 through 8 in a standard order at the beginning of
the prospectus. For a Multiple Class Fund, clearly identify the
relevant Classes at the beginning of the Items 2 through 8 information
for those Classes.
    (iii) A prospectus that contains information about more than one
Fund may integrate the information required by any of Items 6 through 8
for all of the Funds together, provided that the information contained
in any Item that is integrated is identical for all Funds covered in
the prospectus. If the information required by any of Items 6 through 8
is integrated pursuant to this paragraph, the integrated information
should be presented immediately following the separate presentations of
Item 2 through 8 information for individual Funds. In addition, include
a statement containing the following information in each Fund's
separate presentation of Item 2 through 8 information, in the location
where the integrated information is omitted: ``For important
information about [purchase and sale of fund shares,] [tax
information,] and [financial intermediary compensation], please turn to
[identify section heading and page number of prospectus].''
* * * * *
Part A: Information Required in a Prospectus
Item 1. Front and Back Cover Pages
    (a) Front Cover Page. Include the following information, in plain
English under rule 421(d) under the Securities Act, on the outside
front cover page of the prospectus:
    (1) The Fund's name and the Class or Classes, if any, to which the
prospectus relates.
    (2) The exchange ticker symbol of the Fund's shares or, if the
prospectus relates to one or more Classes of the Fund's shares,
adjacent to each such Class, the exchange ticker symbol of such Class
of the Fund's shares. If the Fund is an Exchange-Traded Fund, also
identify the principal U.S. market or markets on which the Fund shares
are traded.
* * * * *
Item 2. Risk/Return Summary: Investment Objectives/Goals
    Disclose the Fund's investment objectives or goals. A Fund also may
identify its type or category (e.g., that it is a Money Market Fund or
a balanced fund).
Item 3. Risk/Return Summary: Fee Table
* * * * *
Fees and Expenses of the Fund
    * * * You may qualify for sales charge discounts if you and your
family invest, or agree to invest in the future, at least $[----] in
[name of fund family] funds. More information about these and other
discounts is available from your financial professional and in
[identify section heading and page number] of the Fund's prospectus and
[identify section heading and page number] of the Fund's statement of
additional information.
* * * * *
    Annual Fund Operating Expenses (expenses that you pay each year as
a percentage of the value of your investment)
* * * * *

Example

* * * * *

Portfolio Turnover

    The Fund pays transaction costs, such as commissions, when it
buys and sells securities (or ``turns over'' its portfolio). A
higher portfolio turnover rate may indicate higher transaction costs
and may result in higher taxes when Fund shares are held in a
taxable account. These costs, which are not reflected in annual fund
operating expenses or in the example, affect the Fund's performance.
During the most recent fiscal year, the Fund's portfolio turnover
rate was --% of the average value of its portfolio.

    Instructions.
    1. General.
    (a) * * *
    (b) Include the narrative explanations in the order indicated. A
Fund may modify the narrative explanations if the explanation contains
comparable information to that shown. The narrative explanation
regarding sales charge discounts is only required by a Fund that offers
such discounts and should specify the minimum level of investment
required to qualify for a discount as disclosed in the table required
by Item 12(a)(1).
* * * * *
    (e) If the Fund is an Exchange-Traded Fund,
    (i) Modify the narrative explanation to state that investors may
pay brokerage commissions on their purchases and sales of Exchange-
Traded Fund shares, which are not reflected in the example; and
    (ii) If the Fund issues or redeems shares in creation units of not
less than 25,000 shares each, exclude any fees charged for the purchase
and redemption of the Fund's creation units.
* * * * *
    3. Annual Fund Operating Expenses.
    (a) * * *
    (e) If there are expense reimbursement or fee waiver arrangements
that will reduce any Fund operating expenses for no less than one year
from the effective date of the Fund's registration statement, a Fund
may add two captions to the table: One caption showing the amount of
the expense reimbursement or fee waiver, and a second caption showing
the Fund's net expenses after subtracting the fee reimbursement or
expense waiver from the total fund operating expenses. The Fund should
place these additional captions directly below the ``Total Annual Fund
Operating Expenses'' caption of the table and should use appropriate
descriptive captions, such as ``Fee Waiver [and/or Expense
Reimbursement]'' and ``Total Annual Fund Operating Expenses After Fee
Waiver [and/or Expense Reimbursement],'' respectively. If the Fund
provides this disclosure, also disclose the period for which the
expense reimbursement or fee waiver arrangement is expected to
continue, including the expected termination date, and briefly describe
who can terminate the arrangement and under what circumstances.
* * * * *
    4. Example.
    (a) Assume that the percentage amounts listed under ``Total Annual
Fund Operating Expenses'' remain the same in each year of the 1-, 3-,
5-, and 10-year periods, except that an adjustment may be made to
reflect any expense reimbursement or fee waiver arrangements that will
reduce any Fund operating expenses for no less than one year from the
effective date of the Fund's registration statement. An adjustment to
reflect any expense reimbursement or fee waiver arrangement may be
reflected only in the period(s) for which the expense reimbursement or
fee waiver arrangement is expected to continue.
* * * * *
    5. Portfolio Turnover. Disclose the portfolio turnover rate
provided in response to Item 13(a) for the most

recent fiscal year (or for such shorter period as the Fund has been in
operation). Disclose the period for which the information is provided
if less than a full fiscal year. A Fund that is a Money Market Fund may
omit the portfolio turnover information required by this Item.
* * * * *
Item 4. Risk/Return Summary: Investments, Risks, and Performance
* * * * *
    (b) Principal risks of investing in the Fund.
* * * * *
    (2) Risk/Return Bar Chart and Table.
    (i) Include the bar chart and table required by paragraphs
(b)(2)(ii) and (iii) of this section. Provide a brief explanation of
how the information illustrates the variability of the Fund's returns
(e.g., by stating that the information provides some indication of the
risks of investing in the Fund by showing changes in the Fund's
performance from year to year and by showing how the Fund's average
annual returns for 1, 5, and 10 years compare with those of a broad
measure of market performance). Provide a statement to the effect that
the Fund's past performance (before and after taxes) is not necessarily
an indication of how the Fund will perform in the future. If
applicable, include a statement explaining that updated performance
information is available and providing a Web site address and/or toll-
free (or collect) telephone number where the updated information may be
obtained.
* * * * *
    Instructions.
* * * * *
    2. Table.
* * * * *
    (e) Returns required by paragraphs 4(b)(2)(iii)(A), (B), and (C)
for a Fund or Series must be adjacent to one another and appear in that
order. The returns for a broad-based securities market index, as
required by paragraph 4(b)(2)(iii), must precede or follow all of the
returns for a Fund or Series rather than be interspersed with the
returns of the Fund or Series.
    3. Multiple Class Funds.
    (a) When a Multiple Class Fund presents information for more than
one Class together in response to Item 4(b)(2), provide annual total
returns in the bar chart for only one of those Classes. The Fund can
select which Class to include (e.g., the oldest Class, the Class with
the greatest net assets) if the Fund:
    (i) Selects the Class with 10 or more years of annual returns if
other Classes have fewer than 10 years of annual returns;
    (ii) Selects the Class with the longest period of annual returns
when the Classes all have fewer than 10 years of returns; and
    (iii) If the Fund provides annual total returns in the bar chart
for a Class that is different from the Class selected for the most
immediately preceding period, explain in a footnote to the bar chart
the reasons for the selection of a different Class.
    (b) When a Multiple Class Fund offers a new Class in a prospectus
and separately presents information for the new Class in response to
Item 4(b)(2), include the bar chart with annual total returns for any
other existing Class for the first year that the Class is offered.
Explain in a footnote that the returns are for a Class that is not
presented that would have substantially similar annual returns because
the shares are invested in the same portfolio of securities and the
annual returns would differ only to the extent that the Classes do not
have the same expenses. Include return information for the other Class
reflected in the bar chart in the performance table.
    (c) When a Multiple Class Fund presents information for more than
one Class together in response to Item 4(b)(2):
    (i) Provide the returns required by paragraph 4(b)(2)(iii)(A) of
this Item for each of the Classes;
    (ii) Provide the returns required by paragraphs 4(b)(2)(iii)(B) and
(C) of this Item for only one of those Classes. The Fund may select the
Class for which it provides the returns required by paragraphs
4(b)(2)(iii)(B) and (C) of this Item, provided that the Fund:
* * * * *
Item 5. Management
    (a) Investment Adviser(s). Provide the name of each investment
adviser of the Fund, including sub-advisers.
    Instructions.
    1. A Fund need not identify a sub-adviser whose sole responsibility
for the Fund is limited to day-to-day management of the Fund's holdings
of cash and cash equivalent instruments, unless the Fund is a Money
Market Fund or other Fund with a principal investment strategy of
regularly holding cash and cash equivalent instruments.
    2. A Fund having three or more sub-advisers, each of which manages
a portion of the Fund's portfolio, need not identify each such sub-
adviser, except that the Fund must identify any sub-adviser that is (or
is reasonably expected to be) responsible for the management of a
significant portion of the Fund's net assets. For purposes of this
paragraph, a significant portion of a Fund's net assets generally will
be deemed to be 30% or more of the Fund's net assets.
    (b) Portfolio Manager(s). State the name, title, and length of
service of the person or persons employed by or associated with the
Fund or an investment adviser of the Fund who are primarily responsible
for the day-to-day management of the Fund's portfolio (``Portfolio
Manager'').
    Instructions.
    1. This requirement does not apply to a Money Market Fund.
    2. If a committee, team, or other group of persons associated with
the Fund or an investment adviser of the Fund is jointly and primarily
responsible for the day-to-day management of the Fund's portfolio,
information in response to this Item is required for each member of
such committee, team, or other group. If more than five persons are
jointly and primarily responsible for the day-to-day management of the
Fund's portfolio, the Fund need only provide information for the five
persons with the most significant responsibility for the day-to-day
management of the Fund's portfolio.
Item 6. Purchase and Sale of Fund Shares
    (a) Purchase of Fund Shares. Disclose the Fund's minimum initial or
subsequent investment requirements.
    (b) Sale of Fund Shares. Also disclose that the Fund's shares are
redeemable and briefly identify the procedures for redeeming shares
(e.g., on any business day by written request, telephone, or wire
transfer).
    (c) Exchange-Traded Funds. If the Fund is an Exchange-Traded Fund,
    (i) Specify the number of shares that the Fund will issue (or
redeem) in exchange for the deposit or delivery of basket assets (i.e.,
the securities or other assets the Fund specifies each day in name and
number as the securities or assets in exchange for which it will issue
or in return for which it will redeem Fund shares) and explain that:
    (A) Individual Fund shares may only be purchased and sold on a
national securities exchange through a broker-dealer; and
    (B) The price of Fund shares is based on market price, and because
Exchange-Traded Fund shares trade at market prices rather than net
asset value, shares may trade at a price greater than net asset value
(premium) or less than net asset value (discount); and
    (ii) If the Fund issues shares in creation units of not less than
25,000 shares each, the Fund may omit the information required by Items
6(a) and 6(b).

Item 7. Tax Information
    State, as applicable, that the Fund intends to make distributions
that may be taxed as ordinary income or capital gains or that the Fund
intends to distribute tax-exempt income. For a Fund that holds itself
out as investing in securities generating tax-exempt income, provide,
as applicable, a general statement to the effect that a portion of the
Fund's distributions may be subject to federal income tax.
Item 8. Financial Intermediary Compensation
    Include the following statement. A Fund may modify the statement if
the modified statement contains comparable information. A Fund may omit
the statement if neither the Fund nor any of its related companies pay
financial intermediaries for the sale of Fund shares or related
services.
    Payments to Broker-Dealers and Other Financial Intermediaries.
    If you purchase the Fund through a broker-dealer or other financial
intermediary (such as a bank), the Fund and its related companies may
pay the intermediary for the sale of Fund shares and related services.
These payments may create a conflict of interest by influencing the
broker-dealer or other intermediary and your salesperson to recommend
the Fund over another investment. Ask your salesperson or visit your
financial intermediary's Web site for more information.
* * * * *
Item 10. Management, Organization, and Capital Structure
    (a) Management.
    (1) Investment Adviser.
    (i) Provide the name and address of each investment adviser of the
Fund, including sub-advisers. Describe the investment adviser's
experience as an investment adviser and the advisory services that it
provides to the Fund.
* * * * *
    (2) Portfolio Manager. For each Portfolio Manager identified in
response to Item 5(b), state the Portfolio Manager's business
experience during the past 5 years. Include a statement, adjacent to
the foregoing disclosure, that the SAI provides additional information
about the Portfolio Manager's(s') compensation, other accounts managed
by the Portfolio Manager(s), and the Portfolio Manager's(s') ownership
of securities in the Fund. If a Portfolio Manager is a member of a
committee, team, or other group of persons associated with the Fund or
an investment adviser of the Fund that is jointly and primarily
responsible for the day-to-day management of the Fund's portfolio,
provide a brief description of the person's role on the committee,
team, or other group (e.g., lead member), including a description of
any limitations on the person's role and the relationship between the
person's role and the roles of other persons who have responsibility
for the day-to-day management of the Fund's portfolio.
* * * * *
Item 11. Shareholder Information
    (a) * * *
    (1) An explanation that the price of Fund shares is based on the
Fund's net asset value and the method used to value Fund shares (market
price, fair value, or amortized cost); except that if the Fund is an
Exchange-Traded Fund, an explanation that the price of Fund shares is
based on market price.
* * * * *
    (b) Purchase of Fund Shares. Describe the procedures for purchasing
the Fund's shares.
* * * * *
    (g) Exchange-Traded Funds. If the Fund is an Exchange-Traded Fund:
    (1) The Fund may omit from the prospectus the information required
by Items 11(a)(2), (b), and (c) if the Fund issues or redeems Fund
shares in creation units of not less than 25,000 shares each; and
    (2) Provide a table showing the number of days the Market Price of
the Fund shares was greater than the Fund's net asset value and the
number of days it was less than the Fund's net asset value (i.e.,
premium or discount) for the most recently completed calendar year, and
the most recently completed calendar quarters since that year (or the
life of the Fund, if shorter). The Fund may omit this table if the Fund
provides an Internet address at the Fund's Web site, which is publicly
accessible, free of charge, that investors can use to obtain the
premium/discount information required in this Item.
    Instructions.
    1. Provide the information in tabular form.
    2. Express the information as a percentage of the net asset value
of the Fund, using separate columns for the number of days the Market
Price was greater than the Fund's net asset value and the number of
days it was less than the Fund's net asset value. Round all percentages
to the nearest hundredth of one percent.
    3. Adjacent to the table, provide a brief explanation that:
Shareholders may pay more than net asset value when they buy Fund
shares and receive less than net asset value when they sell those
shares, because shares are bought and sold at current market prices.
    4. Include a statement that the data presented represents past
performance and cannot be used to predict future results.
* * * * *
Item 14. Cover Page and Table of Contents
    (a) Front Cover Page. Include the following information on the
outside front cover page of the SAI:
    (1) The Fund's name and the Class or Classes, if any, to which the
SAI relates. If the Fund is a Series, also provide the Registrant's
name.
    (2) The exchange ticker symbol of the Fund's securities or, if the
SAI relates to one or more Classes of the Fund's securities, adjacent
to each such Class, the exchange ticker symbol of such Class of the
Fund's securities. If the Fund is an Exchange-Traded Fund, also
identify the principal U.S. market or markets on which the Fund shares
are traded.
* * * * *
Item 27. Financial Statements
* * * * *
    (b) Annual Report. * * *
* * * * *
    (7) Management's Discussion of Fund Performance. * * *
* * * * *
    (iv) Provide a table showing the number of days the Market Price of
the Fund shares was greater than the Fund's net asset value and the
number of days it was less than the Fund's net asset value (i.e.,
premium or discount) for the most recently completed five fiscal years
(or the life of the Fund, if shorter). The Fund may omit this table
from the annual report if the Fund provides an Internet address at the
Fund's Web site, which is publicly accessible, free of charge, that
investors can use to obtain the premium/discount information required
in Item 11(g)(2).
    Instructions.
    1. Provide the information in tabular form.
    2. Express the information as a percentage of the net asset value
of the Exchange-Traded Fund, using separate columns for the number of
days the Market Price was greater than the Fund's net asset value and
the number of days it was less than the Fund's net asset value. Round
all percentages to the nearest hundredth of one percent.
    3. Adjacent to the table, provide a brief explanation that:
Shareholders may pay more than net asset value when they buy Fund
shares and receive less than net asset value when they sell

those shares, because shares are bought and sold at current market
prices.
    4. Include a statement that the data presented represents past
performance and cannot be used to predict future results.
* * * * *
    (d) Annual and Semi-Annual Reports. * * *
    (1) Expense Example. * * *
* * * * *
    Instructions.
    1. General.
* * * * *
    (e) If the Fund is an Exchange-Traded Fund:
    (i) Modify the narrative explanation to state that investors may
pay brokerage commissions on their purchases and sales of Exchange-
Traded Fund shares, which are not reflected in the example; and
    (ii) If the Fund issues or redeems shares in creation units of not
less than 25,000 shares each, exclude any fees charged for the purchase
and redemption of the Fund's creation units.
* * * * *
    14. Form N-4 (referenced in Sec. Sec.  239.17b and 274.11c) is
amended by revising the reference ``Item 22(b)(ii) of Form N-1A'' to
read ``Item 27(b)(ii) of Form N-1A'' and by revising the reference
``Item 22(b)(ii) equation'' to read ``Item 27(b)(ii) equation'' in
Instruction 3 to Item 20(b)(ii).

    Note: The text of Form N-4 does not, and these amendments will
not, appear in the Code of Federal Regulations.

    Dated: January 13, 2009.

    By the Commission.
Elizabeth M. Murphy,
Secretary.
[FR Doc. E9-1035 Filed 1-23-09; 8:45 am]

BILLING CODE 8011-01-P


Site Visits Related to Diacetyl and Flavorings that Contain Diacetyl:

Food Production Facility C – Seasoned Snack Product Manufacturing

Table of Contents

  TOC \o "1-5" \h \z \u    HYPERLINK \l "_Toc215990225"  1	Introduction
 PAGEREF _Toc215990225 \h  1

  HYPERLINK \l "_Toc215990226"  1.1.	Project Overview	  PAGEREF
_Toc215990226 \h  1

  HYPERLINK \l "_Toc215990227"  1.2.	Food Manufacturing Facility C -
Overview	  PAGEREF _Toc215990227 \h  2

  HYPERLINK \l "_Toc215990228"  1.3.	Quantifying Diacetyl Usage
PAGEREF _Toc215990228 \h  2

  HYPERLINK \l "_Toc215990229"  1.4.	Facility, Equipment, and Processes
 PAGEREF _Toc215990229 \h  3

  HYPERLINK \l "_Toc215990230"  1.4.1.	Seasoned Snack Food Production
PAGEREF _Toc215990230 \h  3

  HYPERLINK \l "_Toc215990231"  1.4.2.	Packaging Room	  PAGEREF
_Toc215990231 \h  4

  HYPERLINK \l "_Toc215990232"  1.4.3.	Q/A Laboratory	  PAGEREF
_Toc215990232 \h  4

  HYPERLINK \l "_Toc215990233"  1.4.4.	Sanitation and Cleaning	  PAGEREF
_Toc215990233 \h  5

  HYPERLINK \l "_Toc215990234"  2	Process Descriptions for Monitored
Employees	  PAGEREF _Toc215990234 \h  5

  HYPERLINK \l "_Toc215990235"  2.1.	Production Worker	  PAGEREF
_Toc215990235 \h  5

  HYPERLINK \l "_Toc215990236"  2.1.1.	Bag Dumping	  PAGEREF
_Toc215990236 \h  7

  HYPERLINK \l "_Toc215990237"  3	Exposure Assessment	  PAGEREF
_Toc215990237 \h  7

  HYPERLINK \l "_Toc215990238"  3.1.	Sampling and Analytical Methods
PAGEREF _Toc215990238 \h  7

  HYPERLINK \l "_Toc215990239"  3.1.1.	Equipment	  PAGEREF _Toc215990239
\h  7

  HYPERLINK \l "_Toc215990240"  3.1.2.	Limit of Quantification	  PAGEREF
_Toc215990240 \h  9

  HYPERLINK \l "_Toc215990241"  3.1.3.	Blank Samples	  PAGEREF
_Toc215990241 \h  10

  HYPERLINK \l "_Toc215990242"  3.2.	Air Monitoring Results	  PAGEREF
_Toc215990242 \h  10

  HYPERLINK \l "_Toc215990243"  3.2.1.	Diacetyl and Acetoin	  PAGEREF
_Toc215990243 \h  10

  HYPERLINK \l "_Toc215990244"  3.2.2.	Total and Respirable Aerosols
PAGEREF _Toc215990244 \h  10

  HYPERLINK \l "_Toc215990245"  4	Examples of Controls in Place
PAGEREF _Toc215990245 \h  18

  HYPERLINK \l "_Toc215990246"  4.1.	Overview	  PAGEREF _Toc215990246 \h
 18

  HYPERLINK \l "_Toc215990247"  4.2.	Controls Associated with Individual
Jobs	  PAGEREF _Toc215990247 \h  18

  HYPERLINK \l "_Toc215990248"  4.2.1.	Production Worker (Q/A–bag
dumping duty)	  PAGEREF _Toc215990248 \h  18

  HYPERLINK \l "_Toc215990249"  5	Discussion	  PAGEREF _Toc215990249 \h
19

  HYPERLINK \l "_Toc215990250"  5.1.	Relationship between Results,
Sources of Exposure, and Controls in Use	  PAGEREF _Toc215990250 \h  19

  HYPERLINK \l "_Toc215990251"  5.2.	Other Opportunities for Exposure
Control	  PAGEREF _Toc215990251 \h  19

  HYPERLINK \l "_Toc215990252"  6	References	  PAGEREF _Toc215990252 \h
20

 Butter Flavor and Food Flavors Containing Diacetyl

Site visit report:

Food Production Facility C –

Seasoned Snack Product Manufacturing

Executive Summary

Diacetyl is a naturally occurring component of cheese and other cultured
dairy products, which are ingredients of seasonings applied to certain
snack foods. ERG evaluated worker exposure to diacetyl and acetoin
during surface application of a powdered seasoning slurry (seasoning
mixed with vegetable oil) via tumbler. This is the only use of
diacetyl-containing ingredients during production of this particular
snack food and the surface application occurs as the last step before
snacks are packaged in airtight bags.

The employees who were monitored dumped 50-pound sacks of prepared
powdered seasoning into a hopper at hourly intervals to feed the
automated slurry production equipment. These same employees also
performed quality assurance tests on products and ingredients at various
points in the production process, spending approximately 70 percent of
the shift in the laboratory.

Results of real-time air monitoring suggest only a modest contribution
to background aerosol levels from employees dumping bags of the two
seasoning formulations in use on this date and from the seasoning
application as a slurry in open-ended tumbler.

No diacetyl or acetoin was detected in air samples associated with snack
food production using these seasoning formulations.

Introduction

Project Overview

Eastern Research Group, Inc. (ERG) conducted an industrial hygiene site
visit in June 2008 at Food Manufacturing Facility C, a seasoned snack
food production plant (hereafter referred to as Facility C). This is one
of a series of site visits conducted for the purpose of obtaining
information on: (1) the use of flavor products containing diacetyl and
commonly associated flavor ingredients (e.g., acetoin) in the
manufacture of food and beverage products; (2) the exposures of
employees at the facility to diacetyl and acetoin; and (3) the controls
in place to reduce exposure. In particular, the site visit was intended
to evaluate the exposures of workers who produce a fried savory seasoned
snack food, conduct quality assurance tasks, package the product, and
clean the work area.

In June 2008, three ERG industrial hygienists met with representatives
of Facility C to discuss the process of making the snack food product,
the materials used in this process, and the job categories with
potential for exposure to food flavorings that contain diacetyl. A
walk-through of the facility was conducted as part of the meeting. The
ERG team subsequently conducted short-term, partial-shift and full-shift
personal breathing-zone (PBZ) air monitoring and observed the work
practices of employees identified as having potential for exposure to
diacetyl. ERG also monitored real-time dust levels, performed area air
sampling for diacetyl and acetoin, and noted airflow patterns and
exposure controls in use at the facility.

Food Manufacturing Facility C - Overview

Facility C manufactures millions of pounds of snack foods annually using
automated processes. Employees produce the foods in a variety of
flavors, including snacks coated with cheese flavor and non-cheese
flavor seasonings that contain ingredients that typically include
diacetyl as a natural component of the ingredient (e.g., cheese powder
or other flavored seasoning component). To make a seasoned product, a
seasoning agent is applied to the cooked snack as the last step before
the product is packaged. The product dough ingredients do not include
diacetyl-containing flavoring and production activities prior to the
seasoning process (e.g., dough mixing, frying, salting, cooling, and
most quality assurance [Q/A] tests) do not involve diacetyl-containing
flavorings. The final Q/A test, however, is performed after the
seasoning is added.

Quantifying Diacetyl Usage

The seasoning products used by Facility C during the site visit
contained naturally occurring diacetyl. The seasoning manufacturer
reports that the naturally occurring diacetyl concentration in a dairy
component of the mix is “less than 1 percent” of the prepared
seasoning as provided to Facility C. This quantity could potentially
vary from batch to batch and, based on the reported natural diacetyl
content of various non-butter dairy products, is likely to be 10 to 50
fold lower than this reported maximum of 1 percent. Facility C indicated
that naturally occurring diacetyl can contribute to the diacetyl content
and may be as high as 0.1 percent in some seasonings. Furthermore, a
company representative indicated that nearly half of the various
seasonings used by this company contain some naturally occurring
diacetyl. ERG was not permitted to collect a bulk sample of the
seasoning.

The seasoning usage rate varies somewhat depending on the seasoning
flavor and snack food production rate. On the date of this site visit
(deemed “typical” by employees) the facility used approximately 100
to 200 pounds of seasoning per hour. Thus, the total amount of diacetyl
used during an 8-hour work shift could be between 0.16 pounds (about 2.5
ounces) and 16 pounds, always as a naturally occurring, integral
component of the pre-blended seasoning purchased by Facility C. The true
value probably falls at the lower end of this range. Information on the
acetoin content of the seasoning was not provided by the seasoning
supplier, which delivers the seasoning as a powder in 50-pound Kraft
paper sacks that are transported to the production area on pallets.

Facility, Equipment, and Processes

The plant was built as a dedicated food production facility in an
industrial park within the past 20 years. The facility is divided into
separate but adjacent production rooms comprising:

A single large multi-function production space, with a 20- to 30-foot
ceiling for product mixing, forming, frying and seasoning.

A large packaging area, with a drop ceiling at about 8 feet.

Warehouse space.

A Q/A laboratory (including a typical laboratory hood and lab benches).

Doors from the packaging and laboratory areas open into one corner of
the production space, near the seasoning application station. An
administrative zone (offices, reception, conference room) is physically
isolated from the production rooms. All areas are separated by latching
man doors or roll-up cargo doors and most doors were constantly kept
closed on the day of the site visit.

Seasoned Snack Food Production

On the day of the site visit, the production space contained two
operating parallel production lines. During each of the three 8-hour
shifts per day, two employees typically control the automated production
process from a workstation in the Q/A laboratory. One worker is
responsible for dough mixing and for monitoring process equipment (no
direct seasoning handling), while the other conducts QA tests on all
phases of production and also dumps bags of seasoning powder into
hoppers. The two workers switch roles on alternate days, thus over the
course of a week both have the same potential exposure to seasoning
ingredients such as diacetyl.

The freshly prepared snacks are conveyed into the tumblers, which apply
a specific flavor of seasoning powder uniformly across the product
surface. The large-diameter open-ended tumblers are elevated so that the
end discharging the product is above breathing zone-height.  Inside the
tumbler barrel, seasoning nozzles apply an oil/seasoning slurry to the
snack food as it proceeds through the tumbler.

The Production-Q/A worker uses unventilated bag dumping stations to
periodically refill hoppers with the dry seasoning used to make the
seasoning slurry. The bag dumping station consists of a hip-height
safety grate that sits flush over a hopper. Except when open for bag
dumping, a hinged cover folds over the grate. Seasoning is automatically
conveyed from the hopper through enclosed tubing leading to the tumbler.
Slurry production is an enclosed process. On the day of the site visit
two pairs of tumblers and associated hoppers were in use within 15 to 30
feet of the Q/A laboratory door.

Packaging Room

Seasoned snack foods is transferred by conveyer to the packaging room.
Risers on the sides of the conveyer prevent product from falling from
the conveyer before it reaches a hopper that feeds the packaging
machine.

The packaging room, used for several products, consists of a large area
containing numerous automated packaging machines of the form/fill/seal
type. From the point it is bagged, the product is completely sealed in
an airtight package with no possibility of seasoning release.

Q/A Laboratory

As previously noted, the Q/A laboratory opens onto the snack food
seasoning area. The lab room contains a standard 4-foot wide vertical
sash laboratory hood. ERG measured an average air velocity of 152 feet
per minute at the hood face with the sash positioned at the pre-set sash
stop located at approximately 20 inches. ERG noted that the sash stop on
one side was not functioning, so the open sash hung at an angle.
Although the hood exhausted air when turned on, it is usually switched
off and the sash closed. On the day of the site visit, one employee
noted that the air seemed “stuffy” and wondered whether the normal
lab ventilation might have been temporarily shut down for repair as it
reportedly was in the adjacent packaging area.

Since day-to-day lab activities are performed on open benches, employees
indicated that the hood is used only rarely – for special projects.
The bench top activities for seasoned snacks include weighing snacks
foods, pulverizing them in a closed 1- or 2-liter canister on a blender
base (the size of a typical household blender), and performing tests on
ground snacks. The slight residual oil in this fried snack product
appears to have the effect of suppressing dust during the pulverizing
step and ERG noticed no visible airborne dust as the canister was
opened. Additional sensory tests are performed twice per shift and
involve an employee smelling and eating a few pieces of the snack food,
a process that takes a moment and involves markedly less than a single
consumer serving of this snack product.

Sanitation and Cleaning

Workers on the night shift typically clean equipment, using a water hose
to wash the tumblers in place. Conveyors are also cleaned in place,
either by hand or by automated water sprays at a specific point on the
conveyer line. During automatic cleaning, the operator activates the
automatic washing unit and runs the conveyer so the length of the belt
is cleaned as it passes through the washer. Wash water is collected in
drains below the conveyor. The cleaning operation is estimated to take
approximately 10 to 15 minutes. Equipment is also wet cleaned if
necessary when the seasoning flavor is changed, such as to avoid cross
contamination when switching from a dairy-based seasoning to a non-dairy
based seasoning. Wash water is reportedly usually cool; hot water is
seldom used except for sanitization purposes at the end of the cleaning
process.

Floors and surfaces are dry swept or wiped as necessary during all
shifts. In general there was very little spillage. Floors and surfaces
required only occasional minor sweeping.

Process Descriptions for Monitored Employees

Production Worker

ERG monitored two production workers consecutively performing the same
job during the shift.  Production Worker A (working in the
production-Q/A capacity this day), was monitored for approximately two
hours (116 minutes) at the beginning of the morning shift, which is
considered a particularly busy period. Production Worker A was observed
conducting quantitative quality control procedures on snacks from all
production phases (including pre-seasoned and seasoned) and dumping
50-lb bags of each of the two different seasoning powders (dairy-based
and non-dairy based) several times during the 2-hour period. One to two
bags of each seasoning were dumped approximately once every 20 minutes.
In all, over the 2 hours this worker spent a cumulative total of 22
minutes dumping 11 bags. Production Worker A, however, was called away
from the plant by a family emergency mid-morning.

The second worker, Production Worker B, spent the first several hours of
the workshift (not monitored) in the packaging department before being
transferred mid-day to replace Production Worker A. Production Worker B
was monitored for the second half of the shift. During this time, the
second worker performed the same activities described for Production
Worker A, except that Production Worker A had fully filled the seasoning
hopper before leaving, so less bag dumping was required during the
second half of the shift. Production Worker B spent a cumulative total
of approximately 15 minutes emptying seven bags over the course of the 3
hour sampling period. In the afternoon, one (or occasionally two) bags
of each seasoning were dumped once every hour or more.

The production workers stayed in their primary work area during the
monitored period, except during two 15-minute breaks and a 30-minute
lunch, and visits to the packaging area to obtain packaged samples for
QA testing (5 to 6 minutes) or to the plant administrative office (once
for 5 minutes). Table 1 summarizes job categories and major activities
associated with snack food seasonings used on this day.

Table 1.

Job Categories and Activities with Potential for Exposure to Flavors
That Contain Diacetyl

Food Manufacturing Facility C – Chip Manufacture

June 2008

Job Title	Activities/Potential Sources of Exposure (percent of shift)

Snack Production Worker

(A and B)	Rotates every other day between two primary jobs: 1) Q/A work
and seasoning bag dumping and 2) primarily overseeing dough mixing and
frying process equipment.

During this typical Q/A–bag dumping day:

Q/A control functions in lab (65-70%).

Work on production floor (20%), consisting of: collecting Q/A samples
from process equipment (15%); dumping bags of seasoning containing less
than one percent naturally-occurring diacetyl (5-10% of shift); cleaning
lab and production area (5%).

Breaks (outdoors) and business in other parts of plant (10-15%).

Packaging Worker

(area sample only)	Monitors function of multiple packaging machines from
a central console. Puts sealed bags of snacks in boxes. Changes rolls of
packaging film and adjusts equipment as necessary.

Bag Dumping

The bag dumping operation consisted of the worker lifting a 50-lb bag of
seasoning powder onto a shelf on the bag dumping hopper so the bag is
between the worker and the hopper, using a knife to cut open the bag
along the long edge facing the hopper, and tilting the bag over the
hopper so the contents pour into the hopper grate. Throughout these
steps the opening in the bag is about 2 feet below, and points away,
from the worker’s face. Each worker was observed to have different bag
dumping styles but both workers who were monitored employed a restrained
style of dumping that generated minimal dust. ERG observed a small
amount of visible airborne dust, generally below the workers’
breathing zones. Tables 4 and 5 summarize the results of real-time
monitoring conducted while Production Worker B (the shorter of the two
workers) preformed this activity.

Another worker, observed on another shift during the initial walkthrough
portion of the site visit (not monitored), used a more energetic dumping
style. That third worker lifted the slit-open bag further above the
grate and shook the bag to free the last of the seasoning powder, which
formed a small visible dust cloud around the worker and the bag dumping
station.

Each worker took approximately two minutes to prepare the station (lift
the cover, collect the bag from the pallet) and dump one 50-lb bag of
seasoning powder into the bag dumping hopper. The cover was lowered
immediately upon completion of the task. Empty bags were placed as they
were (not crushed, flattened or compacted) on a pallet.

During the day, a cumulative total of a few ounces of spilled seasoning
product was observed on the edges of the hopper and the surrounding
floor.

Exposure Assessment

Sampling and Analytical Methods

Equipment

Sampling and analytical methods are summarized in Table 2. ERG used SKC
AirCheck 2000 sampling pumps combined with an SKC constant pressure
controller (CPC, part number 224-26-CPC) and SKC adjustable-flow single
tube holders to draw either 0.10 or 0.05 liters per minute. The pumps
were checked for calibration levels immediately before sampling and
again at the end of the period using Drycal DC-Lite Primary Air Flow
Meters (5 ml/min to 5000 ml/min), model 412360, manufactured by Bios
International Corporation, Butler, New Jersey.

Table 2.  Sampling and Analytical Methods

Analyte &

Sample Type	Sampling & Analytical Method	Media	Air

Volume	Air Flow Rate	Sample Duration	Notes/Special Handling

Diacetyl/Acetoin

Short-term samples (15 to 30 minutes)

	OSHA Methods 1012 and 1013 [publication anticipated Fall 2008]	Silica
gel

200/400 mg

SKC 226-10-3

(two tubes in series)	3 L

100 ml/min

	15-30 minutes

Diacetyl/Acetoin

Partial-shift samples (30 to 180 minutes)	OSHA Methods 1012 and 1013
[publication anticipated Fall 2008]	Silica gel

200/400 mg

SKC 226-183

(two tubes in series)	9 L	50 ml/min

	3 hours

	Total and Respirable Dust

(real-time)	TSI DustTrak Aerosol Monitor

(Model 8520)	N/A	N/A	1.7 L/min	Task duration	Instrument set to record
1-second readings. SKC nylon cyclone preceded sampling port for
respirable dust samples.

Air Velocity, Temperature, Humidity

(real-time)	TSI VelociCalc Air Velocity Meter

(Model 9545-A thermal anemometer)	N/A	N/A	N/A	N/A	N/A

Notes:

L means liters.

ml/min means milliliters per minute.

SKC# indicates the brand and model number of sampling media.

N/A means “not applicable.”

ERG maintained all sampling media enclosed in appropriate size
semi-opaque plastic tube covers (SKC models 222-3-1 XD) attached to the
tube holders. Analysis was performed by the OSHA Salt Lake Technical
Center (SLTC) Laboratory, Sandy, Utah.

All instruments and calibration equipment were factory calibrated within
the previous 12 months.

Limit of Quantification

μg) per sample for diacetyl and 0.667 μg per sample for acetoin.

Results for samples in which no analyte was detected are reported as ND
(“none detected”). In calculating averages, ERG takes ND to be equal
to 0 parts per million (ppm). The laboratory did not provide a minimum
limit of detection (LOD), since the actual measured values were reported
down to the level at which no analyte was detected.

Blank Samples

ERG submitted media and field blanks for each batch of sampling media.
No measurable background levels of diacetyl and acetoin were reported
for blanks.

Air Monitoring Results

Diacetyl and Acetoin

All samples were analyzed for diacetyl and acetoin; however, OSHA has
not published an exposure limit for either diacetyl or acetoin. For this
reason, all results are presented relative to each other, rather than
relative to a fixed standard.

Table 3 provides details of all PBZ and area samples obtained at this
site. ERG collected 3 partial-shift PBZ samples for Production Workers A
and B. These samples were of 45 to 196 minutes duration and analyzed
using OSHA’s 2008 diacetyl/acetoin analytical method (publication
anticipated Fall 2008). One short-term exposure limit (STEL) sample was
also obtained for Production Worker A during the bag dumping task. To
give an indication of the airborne diacetyl in the packaging area, an
area sample was collected in that room (where Production Worker B spent
the first unsampled hours of the shift). No diacetyl or acetoin was
detected in any of these samples.

Total and Respirable Aerosols

Additional monitoring was conducted to evaluate the levels of total
aerosols and the smaller respirable aerosols (particles, droplets) in
the air near the seasoning application tumblers. Using real-time
analysis ERG collected 1- to 2-minute background measurements in the
tumbler area and laboratory, then obtained readings in the production
operator’s breathing zone during bag dumping activities.

Figure 1 suggests that the background total aerosol levels in the snack
seasoning area fluctuate even over periods as short as fractions of a
minute, but that, on average those levels are less than 1 milligram per
cubic meter (mg/m3). The associated Table 4 shows that aerosol levels in
the worker’s breathing zone during bag dumping are not appreciably
above background levels, although there may be a modest contribution
compared to times when background levels are low.

The Facility C safety and health representative indicated that oil mist
aerosols are common in spaces where frying occurs and are likely present
in this space. Where mists are present, process enclosures and exhaust
ventilation help manage oil mist to levels that support sanitation
efforts and minimize fire hazards around heat sources. Frying occurs
before the seasoning step and does not involve any ingredients that
contain diacetyl.

Figure 2 and Table 5 suggest that aerosol particles greater than
respirable size account for only a modest portion of the total
concentration in the section of the production room containing the
tumbler. Furthermore, total and respirable aerosol concentrations
increased only slightly above background levels during bag dumping and
when measured near (within 1 foot of) the mouth of tumbler A. This
implies that the bag dumping and tumbling are not primary sources of the
background aerosols, although the data suggest that these could be
associated with modest increases in particulate levels in the immediate
area.

Of the plant areas evaluated, Figure 3 and Table 6 clearly show that
aerosol levels in the laboratory are half or less of the concentrations
recorded for the production space. These findings confirm that
production workers do not release substantial amounts of dust during the
frequent Q/A tests. ERG believes that aerosol from the production area
likely enters the laboratory each time the door is opened. At the time
of the aerosol monitoring, the door was used heavily and opened
approximately four or five times in 10 minutes. Aerosol levels in other
(non-frying) production and administrative areas in the plant contained
less than 0.1 mg/m3 and less than 0.01 mg/m3 aerosol, respectively.

ERG estimated the maximum (worst case) diacetyl concentration that could
have occurred in the snack production work area if these particular
seasoning powders were the only source of the measured aerosol levels
(which they are not). Under those conditions, during bag dumping, a
maximum diacetyl concentration of 0.0023 ppm could have been associated
with the measured average aerosol level of 0.800 mg/m3 (from Table 4),
assuming a maximum of 1 percent diacetyl in the seasoning (the maximum
listed on the product material safety data sheet [MSDS]). In reality,
for reasons presented earlier in this report, the actual diacetyl
concentration is likely to have been substantially lower for the
employees that ERG evaluated. However, if an employee used different
work practices and created more airborne dust during bag dumping, that
employee could potentially experience a greater diacetyl exposure level
for the duration of the bag dumping activity.

Table 3.  Individual Air Monitoring Results for Food Manufacturing
Facility C – Snack Manufacturer

Sample

No.1

Sample Type

Sample

Duration

(minutes)

Sample Volume

(liters)	Diacetyl Results	Acetoin results

Diacetyl

Conc.2

(ppm)

LOQ3

(ppm)

Result above LOQ?	Acetoin

Conc. 2

(ppm)

LOQ4

(ppm)

Result above LOQ?

Production Worker A

C-1	TWA	116	6.04	  ND*	0.029	No	ND	0.031	No

C-4	STEL – Bag dumping	15	1.40	ND	0.124	No	ND	0.132	No

Production Worker B

C-6	TWA	196	11.50	ND	0.015	No	ND	0.041	No

C-5	TWA5	45	4.50	ND	0.038	No	ND	0.016	No

Area (Packaging Room)

C-2	General Area	231	11.34	ND	0.015	No	ND	0.016	No

Notes

1          Samples are listed by worker. Some workers were sampled more
than one time; as a result some of the sample numbers 	are out of
sequence.

2	Sample concentrations are based on the period monitored (i.e., the
sample duration).  Samples were reported based on 	any amount of analyte
that was found; reporting limits were not considered.

0.609 micrograms (μg) per sample.

4	The reporting limit (limit of quantification) for acetoin is 0.667 μg
per sample.

5	Sample C-5 was obtained concurrently with sample C-6 and represents
approximately one task cycle.

*An ND result was reported by the laboratory when there was no
indication of the analyte in the sample.

Temperature and humidity during collection of samples. C-1 and C-4:
T=74˚F, RH = 42-43%; C-5 and C-6: T=74˚F, RH= 42%; C-2: T=73˚F,
RH=47%.	Abbreviations

Conc. =	Concentration.

LOQ = Limit of quantification.

ND = Not detectable.

TWA = Time-weighted average (for period sampled).

STEL = Short-term exposure limit (refers to a short-term sample obtained
over a 15- to 30-minute time frame).

FIGURE 1

Key to Monitoring Sessions:

Dumping two 50-pound bags of non-cheese flavor (up to 1 percent
naturally occurring diacetyl) into unventilated hopper that
automatically feeds flavor to tumbler A.

Dumping two 50-pound bags of cheese flavor (up to 1 percent naturally
occurring diacetyl) into unventilated hopper that automatically feeds
flavor to tumbler B.

Background aerosol levels in QA lab.

Background aerosol levels near tumbler A, 15 minutes after last bag
dumping activity.

Background aerosol levels near tumbler B, 15 minutes after last bag
dumping activity.

Table 4.  Summary of Total Aerosol Real-Time Sampling Results Associated
with Two Seasoning Application Tumblers*

  	Total Aerosol  Concentration

Session (1)	Total Aerosol Concentration

 Session (2) 	Total Aerosol Concentration

Session (3)	Total Aerosol Concentration

Session (4)	Total Aerosol Concentration

Session (5)

Activity	Tumbler A, bag dumping (PBZ)	Tumbler B, bag dumping (PBZ)
Background – in lab

(Area)	Background –Tumbler A

(Area)	Background –Tumbler B

(Area)

Average	0.553 mg/m3	0.800 mg/m3	0.269 mg/m3	0.490 mg/m3	0.816 mg/m3

Maximum	1.007 mg/m3	1.055 mg/m3	0.593 mg/m3	0.802 mg/m3	1.261 mg/m3

Minimum	0.478 mg/m3	0.530 mg/m3	0.253 mg/m3	0.452 mg/m3	0.458 mg/m3

Sample Duration	2:10

 (min:sec)

Duration of task	2:16

 (min:sec)

Duration of task	2:27

 (min:sec)

Representative sample	1:33

 (min:sec)

Representative sample	1:16

 (min:sec)

Representative sample

* Real-time air monitoring results obtained with a TSI DustTrak Aerosol
Monitor (Model 8520).

FIGURE 2

Key to Monitoring Sessions:

(1)  PBZ sample during dumping of two 50-pound bags of non-cheese flavor
(up to 1 percent naturally occurring diacetyl) into unventilated Tumbler
A feed hopper.

(4)  Area sample: background aerosol levels near Tumbler A, 15 minutes
after last bag dumping activity.

(6)	Area sample, collected with respirable dust cyclone: near Tumbler A.

(8)	Area sample, collected with respirable dust cyclone: near Tumbler A
- 1 foot from tumbler mouth.

(9)	PBZ sample, collected with respirable dust cyclone: during dumping
of two #50 bags of non-cheese flavor (up to 1 percent naturally
occurring diacetyl) into unventilated Tumbler A feed hopper.

Table 5.  Summary of Total and Respirable Real-Time Aerosol Results
Associated with Seasoning Application Tumbler A*

  	Total Aerosol  Concentration

Session (1)	Total Aerosol  Concentration

Session (4)	Respirable Aerosol  Concentration

Session (6)	Respirable Aerosol  Concentration

Session (8)	Respirable Aerosol  Concentration

Session (9)

Activity	Tumbler A, bag dumping (PBZ)	Background –Tumbler A (Area)
Background –Tumbler A

 (Area)	Near mouth of Tumbler A

(Area)	Tumbler A, bag dumping (PBZ)

Average	0.553 mg/m3	0.490 mg/m3	0.485 mg/m3	0.531 mg/m3	0.486 mg/m3

Maximum   	1.007 mg/m3	0.802 mg/m3	0.528 mg/m3	0.560 mg/m3	0.530 mg/m3

Minimum  	0.478 mg/m3	0.452 mg/m3	0.445 mg/m3	0.506 mg/m3	0.457 mg/m3

Sample Duration	2:10

(min:sec)

Duration of task	1:33

(min:sec)

Representative sample	1:44

(min:sec)

Representative sample	1:03

(min:sec)

Representative sample	1:26

(min:sec)

Duration of task

* Real-time air monitoring results obtained with a TSI DustTrak Aerosol
Monitor (Model 8520).

PBZ: Personal breathing zone.

FIGURE 3

Key to Monitoring Sessions:

Time represented on this chart is sample run time.

(3)   Background aerosol levels in QA lab.

(4)   Background aerosol levels near tumbler A, 15 minutes after last
bag dumping activity.

(5)   Background aerosol levels near tumbler B, 15 minutes after last
bag dumping activity.

(11) Other food production area where no tumbling, seasoning, or frying
occurs.

Table 6.  Summary of Background Total Real-Time Aerosol Levels at
Facility C Various Locations*

  	Total Aerosol Concentration

Session (3)	Total Aerosol Concentration

Session (4)	Total Aerosol Concentration

Session (5)	Total Aerosol  Concentration

Session (11)	Total Aerosol  Concentration

Session (12)	Total Aerosol  Concentration

 (not graphed)

Location	Laboratory	Near Tumbler A 	Near Tumbler B 	Other production
area, no frying or seasoning	Conference room	Outdoors – parking lot

(dry, occasional breeze)

Average   	0.269 mg/m3	0.490 mg/m3	0.816 mg/m3	0.031 mg/m3	0.008 mg/m3
--

Maximum   	0.593 mg/m3	0.802 mg/m3	1.261 mg/m3	0.024 mg/m3	0.007 mg/m3
0.032 mg/m3

Minimum   	0.253 mg/m3	0.452 mg/m3	0.458 mg/m3	0.053 mg/m3	0.010mg/m3
0.020 mg/m3

Sample Duration	2:27

 (min:sec)	1:33

 (min:sec)	1:16

 (min:sec)

1:01

(min:sec)

	0:19

(min:sec)	Multiple instantaneous samples

* Real-time air monitoring results obtained with a TSI DustTrak Aerosol
Monitor (Model 8520).

PBZ: Personal breathing zone.

Examples of Controls in Place

Overview

Most controls in place at Facility C are secondary benefits of workplace
conditions developed for other reasons (e.g., seasoning is applied as a
slurry to improve adhesion to the snack food, rather than for dust
control). ERG noted that the following existing controls (intentionally
or unintentionally) may help reduce the diacetyl and acetoin exposure of
production workers at the plant.

This facility relies primarily on dilution ventilation. Filtered fresh
and recirculated air are provided through a distribution system. Air is
exhausted near points where heat and oil mist (from the frying tanks)
are generated, with heat and oil mist capture the primary objectives.

The facility has an active housekeeping/sanitation program. Production
workers spend some portion of their shift cleaning – usually more than
once per day. ERG observed only minimal spillage of seasoning during the
site visit.

Controls Associated with Individual Jobs

Production Worker (Q/A–bag dumping duty)

Applying seasoning as an oil-based slurry prevents seasoning powder from
becoming airborne during the tumbling process. ERG monitored dust at the
open mouth of the tumbler and found only a minimal increase over
background aerosol levels.

The automated continuous slurry production equipment eliminates
potential employee exposure to the seasoning during mixing, although
production workers do come in contact with the powder while dumping bags
of seasoning into the hopper.

Employees use sealed canisters while grinding snacks for Q/A samples.

The oil inherent in the product may act as a natural dust suppressant
during grinding, as there was no evidence of dust release when employees
opened canisters and poured out the contents.

Employee work assignment encourages the employees with the greatest
potential direct exposure to seasoning ingredients (those dumping
seasoning bags) to spend the most time in the laboratory, where aerosol
levels are lower.

Packaging equipment is enclosed and of a design that helps limit dust
and vapor release to the atmosphere during packaging.

Discussion

Relationship between Results, Sources of Exposure, and Controls in Use

The low natural diacetyl content of the seasoning (nominally less than 1
percent and realistically probably considerably lower) minimizes the
potential for employee exposure. No diacetyl was detected in the
breathing zone of those employees who were monitored or in the packaging
area.  Additionally, by applying the seasoning as an oil-based slurry,
Facility C further reduces employee exposure to seasoning dust. The
careful work practices of the employees monitored during bag dumping
reduced the visible dust in their breathing zone compared to another
worker (observed but not monitored). Direct-reading instruments
confirmed that aerosol levels in the breathing zone were not greatly
increased above background levels during bag dumping.

Other Opportunities for Exposure Control

Diacetyl was not detected in any air samples during the site visit to
Facility C. If additional exposure control is ever desired for the jobs
and situations observed at Facility C, the following options could offer
another level of exposure management:

An employee (not monitored) was observed during the initial walkthrough
using different bag dumping work practices than those of the employees
who were monitored the next day. The unmonitored employee was more
energetic in shaking the last of the seasoning powder from the bag,
lifted the bag higher, and was observed creating a larger cloud of dust
near the breathing zone. Some facilities find that employee feedback
techniques, such as video taping an individual’s work practices (then
showing the employee the video) and/or real-time aerosol monitoring can
help employees identify the behaviors that increase exposure. Workers
can learn to modify their work practices to generate less dust while
maintaining productivity.

The hopper into which bags were dumped at this facility included a flat
grate over the top of the hopper and a small flat flange around the
hopper mouth to limit spillage. Other designs of commercially available
bag hoppers include exhaust ventilation and an enclosure (booth) above
the grate to improve capture and reduce the spread of airborne dust.

ERG observed a trend for one of the two seasoning flavors (the cheese
flavor) to have a slightly greater natural potential to become airborne
than the other. While neither seasoning produced much flying dust during
careful handling, if it ever became necessary the seasoning manufacturer
might be able to modify the formulation to increase dust suppression
properties.

For flavors used in bulk quantities, bulk sacks and automatic discharge
systems eliminate both the need for employees to dump bags and the
repetitive manual handling of individual bags.

If flavoring component release ever needs to be controlled during
tumbling (e.g., vapors, dusty seasoning or product), it is possible to
enclose tumblers and add exhaust ventilation.

Employees stacked empty seasoning bags on a pallet for disposal.
Presumably those bags will need to be manually transferred to a
compactor, dumpster, or bin. A company representative indicated that
another method often used by this company is to place a collection bin
(rather than a pallet) in the bag dumping area. Employees transport the
bin to a bag compactor, which automatically lifts and empties the bin
without additional handling. In other industries, handling empty bags
has been show to be a source of employee exposure to powdered bag
contents.

If it is ever determined that greater dust control would be beneficial
during laboratory activities, most open-container processes might be
moved under the laboratory hood.

Routine maintenance can help keep laboratory hoods and other ventilation
equipment used for exposure control in good working order. A sash stop
on the laboratory hood at Facility C was not functioning. Employees in
the packaging room indicated that the ventilation system (fresh air
supply) was not functioning on the day of the site visit (instead,
pedestal fans circulated air within the packaging area).

References

Dairy Management. 2005. Buttermilk Powder Ingredients (fact sheet).
Dairy Management, Inc.

Vasavada, P.C. and C.H. White. 1979. Quality of Commercial Buttermilk.
Dairy Sci  62(5):802-806.

Wikipedia. 2008. Entry for Buttermilk. Accessed August 11 at   HYPERLINK
"http://en.wikipedia.org/wiki/Buttermilk"
http://en.wikipedia.org/wiki/Buttermilk .

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iacetyl in the range of 0.5 to 4.5 ug/ml (or ppm), with an average
diacetyl content of 2 ppm (or 0.0002%). Desiccation to powder
concentrates the average component of buttermilk by greater than 10
fold. (Sources: Dairy Management, 2005; Vasavada & White, 1979;
HYPERLINK "http://en.wikipedia.org/wiki/Buttermilk"
http://en.wikipedia.org/wiki/Buttermilk .)

 One percent of 0.800 mg/m3 is 0.008 mg/m3.  The molecular weight (mw)
for diacetyl is 86.09.

ERG used the standard equation:  ppm = [mg/m3 x 24.45]/mw.

 PAGE   2

Site Visits Related to Diacetyl –Food Production Facility C


[Federal Register: May 24, 2006 (Volume 71, Number 100)]
[Notices]
[Page 29987-29989]
[DOCID:fr24my06-130]

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

DEPARTMENT OF LABOR

Occupational Safety and Health Administration

[Docket No. ICR-1218-0215(2006)]

Personal Protective Equipment (PPE) Standards for Shipyard
Employment; Extension of the Office of Management and Budget's (OMB)
Approval of Information Collection (Paperwork) Requirements

AGENCY: Occupational Safety and Health Administration (OSHA), Labor.

ACTION: Request for public comment.

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

SUMMARY: OSHA solicits public comment concerning its request for an
extension of the information collection requirements specified by its
standards on Personal Protective Equipment (PPE) for Shipyard
Employment (29 CFR part 1915, subpart I).

DATES: Comments must be submitted by the following dates:
    Hard copy: Your comments must be submitted (postmarked or received)
by July 24, 2006.
    Facsimile and electronic transmission: Your comments must be
received by July 24, 2006.

ADDRESSES: You may submit comments, identified by OSHA Docket No. ICR-
1218-0215(2006), by any of the following methods:
    Regular mail, express delivery, hand delivery, and messenger
service: Submit your comments and attachments to the OSHA Docket
Office, Room N-2625, U.S. Department of Labor, 200 Constitution Avenue,
NW., Washington, DC 20210; telephone<PHONE_NUMBER> (OSHA's TTY number
is<PHONE_NUMBER>). OSHA Docket Office and Department of Labor hours
are 8:15 a.m. to 4:45 p.m., e.t.
    Facsimile: If your comments are 10 pages or fewer, including
attachments, you may fax them to the OSHA Docket Office at (202) 693-
1648.
    Electronic: You may submit comments through the Internet at http://ecomments.osha.gov.
 Follow instructions on the OSHA Web page for

submitting comments.
    Docket: For access to the docket to read or download comments or
background materials, such as the complete Information Collection
Request (ICR) (containing the

Supporting Statement, OMB-83-I Form, and attachments), go to OSHA's Web
page at http://www.OSHA.gov. In addition, the ICR, comments and

submissions are available for inspection and copying at the OSHA Docket
Office at the address above. You may also contact Theda Kenney at the
address below to obtain a copy of the ICR. For additional information
on submitting comments, please see the ``Public Participation'' section
in SUPPLEMENTARY INFORMATION.

FOR FURTHER INFORMATION CONTACT: Theda Kenney or Todd Owen, Directorate
of Standards and Guidance, OSHA, Room N-3609, 200 Constitution Avenue,
NW., Washington, DC 20210; telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

I. Background

    The Department of Labor, as part of its continuing effort to reduce
paperwork and respondent (i.e., employer) burden, conducts a
preclearance consultation program to provide the public with an
opportunity to comment on proposed and continuing information
collection requirements in accordance with the Paperwork Reduction Act
of 1995 (44 U.S.C. 3506(c)(2)(A)). This program ensures that
information is in the desired format, reporting burden (time and costs)
is minimal, collection instruments are clearly understood, and OSHA's
estimate of the information collection burden is accurate. The
Occupational Safety and Health Act of 1970 (the Act) (29 U.S.C. 615 et
seq.) authorizes information collection by employers as necessary or
appropriate for enforcement of the Act or for developing information
regarding the causes and prevention of occupational injuries,
illnesses, and accidents (29 U.S.C. 657). The Act also requires that
OSHA obtain such information with minimum burden upon employers,
especially those operating small business, and to reduce to the maximum
extent feasible unnecessary duplication of efforts in obtaining
information (29 U.S.C. 657).
    Part 1915 subpart I specifies several paperwork requirements.\1\
The following describe the information collection requirements:
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    \1\ This Information Collection Request (ICR) does not include
burden hours and costs associated with the information collection
requirements in the standard on Respiratory Protection (29 CFR
1915.154), which has been addressed in a separate ICR. See OMB
Control NO. 1218-0099.
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    Hazard Assessment and Verification (29 CFR 1915.152(b)). Paragraph
(b) requires that the employer assess work activities to determine
whether there are hazards present, or likely to be present, which
necessitate the employee's use of PPE. If such hazards are present, or
likely to be present, the employer must: (1) Select the type of PPE
that will protect the affected employee from the hazards identified in
the occupational hazard assessment; (2) communicate selection decisions
to affected employees; (3) select PPE that properly fits each affected
employee; and (4) verify that the required occupational hazard
assessment has been performed. The verification document must contain
the following information: Occupation, the date(s) of the hazard
assessment, and the name of the person performing the hazard
assessment.
    Training and Verification (29 CFR 1915.152(e)). Paragraph (e)(1)
requires that the employer provide training to each employee who is
required to use PPE and paragraph (e)(3) requires retraining under
certain circumstances. Paragraph (e)(4) requires that the employer
verify that each affected employee has received the PPE training. The
verification must contain the following information: Name of each
employee trained, the date(s) of training, and the type of training the
employee received.
    The part 1915 standards on PPE protection for the eyes and face
(Sec.  1915.153), head (Sec.  1915.155), feet (Sec.  1915.156), hands
and body (Sec.  1915.157), lifesaving equipment (Sec.  1915.158),
personal fall arrest systems (Sec.  1915.159), and positioning device
systems (Sec.  1915.160) do not contain any separate information
collections requirements.

II. Special Issues for Comment

    OSHA has a particular interest in comments on the following issues:
     Whether the proposed information collection requirements
are necessary for the proper performance of the Agency's functions,
including whether the information is useful;
     The accuracy of OSHA's estimate of the burden (time and
costs) of the information collection requirements, including the
validity of the methodology and assumptions used;
     The quality, utility, and clarity of the information
collected; and
     Ways to minimize the burden on employers who must comply;
for example, by using automated or other technological information
collection and transmission techniques.

III. Proposed Actions

    OSHA is requesting OMB to extend their approval of the collection
of information requirements contained in the standards on Personal
Protective Equipment for Shipyard Employment (29 CFR part 1915, subpart
I). The Agency is requesting an increase in burden hours for the
existing collection of information requirements from 1,761 to 2,041 (a
total increase of 280 hours). The Agency will summarize the comments
submitted in response to this notice, and will include this summary in
its request to OMB.
    Type of Review: Extension of currently approved information
collection requirements.
    Title: Personal Protective Equipment Standards for Shipyard
Employment (29 CFR part 1915, subpart I).
    OMB Number: 1218-0215.
    Affected Public: Business or other-for-profits; Federal Government;
State, local, or tribal government.
    Number of Respondents: 639.
    Frequency: On occasion.
    Average Time per Response: Varies from one minute (.02 hour) to
maintain training documentation to 5 minutes (.08 hour) to document a
hazard reassement.
    Estimated Total Burden Hours: 2,041.
    Estimated Cost (Operation and Maintenance): $0.

IV. Public Participation--Submission of Coments on This Notice and
Internet Access to Comments and Submissions

    You may submit comments and supporting materials in response to
this notice by (1) Hard copy, (2) FAX transmission (facsimile), or (3)
electronically through the OSHA Web page. Because of security-related
problems, there may be a significant delay in the receipt of comments
by regular mail. Please contact the OSHA Docket Office at (202) 693-
2350 (TTY<PHONE_NUMBER>) for information about security procedures
concerning the delivery of submissions by express delivery, hand
delivery, and courier service.
    All comments, submissions, and background documents are available
for inspection and copying at the OSHA Docket Office at the above
address. Comments and submissions posted on OSHA's Web page are
available at http://www.OSHA.gov. Contact the OSHA Docket Office for

information about materials not available through the OSHA Web page and
for assistance using the Web page to locate docket submissions.
    Electronic copies of this Federal Register notice as well as other
relevant documents are available on OSHA's Web page. Since all
submissions become public, private information such as social security
numbers should not be submitted.

V. Authority and Signature

    Edwin G. Foulke, Jr., Assistant Sececretary of Labor for
Occupational Safety and Health, directed the preparation of this
notice. The authority for this notice is the Paperwork Reduction Act of
1995 (44 U.S.C. 3506 et seq.) and Secretary of Labor's Order No. 5-2002
(67 FR 65008).

    Signed at Washington, DC, on May 18, 2006.
Edwin G. Foulke, Jr.,
Assistant Secretary of Labor.
[FR Doc. 06-4824 Filed 5-23-06; 8:45 am]

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