[Federal Register: July 28, 2009 (Volume 74, Number 143)]
[Notices]
[Page 37256-37258]
[DOCID:fr28jy09-76]

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SECURITIES AND EXCHANGE COMMISSION

[Investment Company Act Release No. 28835; 812-13573]

Compagnie de Financement Foncier; Notice of Application

July 22, 2009.
AGENCY: Securities and Exchange Commission (the ``Commission'').

ACTION: Notice of application for an order under section 6(c) of the
Investment Company Act of 1940 (``Act'') for an exemption from all
provisions of the Act.

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Summary of Application: Applicant Compagnie de Financement Foncier
(``CFF''), a specialized credit institution, requests an order
exempting it from all provisions of the Act in connection with the
offer and sale of its securities in the United States.

Filing Dates: The application was filed on September 17, 2008, and
amended on June 22, 2009.

Hearing or Notification of Hearing: An order granting the application
will be issued unless the Commission orders a hearing. Interested
persons may request a hearing by writing to the Commission's Secretary
and serving applicants with a copy of the request, personally or by
mail. Hearing requests should be received by the Commission by 5:30
p.m. on August 12, 2009, and should be accompanied by proof of service
on applicants, in the form of an affidavit or, for lawyers, a
certificate of service. Hearing requests should state the nature of the
writer's interest, the reason for the request, and the issues
contested. Persons who wish to be notified of a hearing may request
notification by writing to the Commission's Secretary.

ADDRESSES: Secretary, U.S. Securities and Exchange Commission, 100 F
Street, NE., Washington, DC 20549-1090. Applicant, c/o John D. Watson,
Jr., Latham & Watkins LLP, 53, quai d'Orsay, 75007 Paris, France.

FOR FURTHER INFORMATION CONTACT: Bruce R. MacNeil, Senior Counsel, at
(202) 551-6817, or Janet M. Grossnickle, Assistant Director, at (202)
551-6821 (Division of Investment Management, Office of Investment
Company Regulation).

SUPPLEMENTARY INFORMATION: The following is a summary of the
application. The complete application may be obtained via the
Commission's Web site by searching for the file number, or an applicant
using the Company name box, at http://www.sec.gov/search/search.htm or
by calling<PHONE_NUMBER>.
    Applicant's Representations:
    1. CFF, a limited liability company organized under the laws of the
Republic of France, is a Soci[eacute]t[eacute] de Cr[eacute]dit Foncier
(``SCF''), a specialized credit institution authorized and licensed
under French law and regulated and supervised by French banking
authorities. Applicant represents that the sole permitted business of a
SCF is to provide financing to the housing and public sectors in France
and a limited number of other developed countries. Applicant further
states that, subject to a comprehensive statutory and regulatory
framework, a SCF conducts this business by (a) making or acquiring
mortgage loans (which include loans incurred to acquire real property
and secured by a mortgage or, in certain limited circumstances, other
high-quality credit support); (b) extending financing to public sector
entities by making public sector loans or acquiring public sector
obligations; and (c) acquiring debt securities backed by mortgage loans
or public sector obligations (collectively, ``Eligible Assets'').
Equity securities or other equity interests are not treated as Eligible
Assets and are not permitted to be held by a SCF.
    2. As a SCF, CFF states that it finances its business through the
issuance of covered bonds, a type of debt security governed by French
law. French covered bonds, known as obligations fonci[egrave]res, and
the SCFs that issue them are governed by the Savings and Financial
Security Act of 1999 (the ``SFSA Law'').\1\ Applicant states that under
the SFSA law, only credit institutions licensed and regulated in France
as a SCF may issue obligations fonci[egrave]res. However, CFF is not
permitted under the SFSA Law to accept demand deposits and may only
carry out the specific banking activities that are consistent with its
purpose as a SCF, which is to acquire Eligible Assets and to issue
covered bonds (or

other debt securities) in order to finance the acquistion of Eligible
Assets.
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    \1\ Applicant represents that the French public law regime
governing obligations fonci[egrave]res, in which the issuing entity
is strictly regulated by banking authorities as a credit institution
and in which the priority of investors' claims is guaranteed as a
matter of law, differs significantly from the private contractually-
based covered bond regimes found in certain other countries (such as
the United States).
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    3. CFF is a direct, wholly-owned subsidiary of Cr[eacute]dit
Foncier de France (``Credit Foncier''), which is licensed and regulated
under French law as a commercial bank. Applicant states that Credit
Foncier was the first French issuer of covered bonds and an active
participant in the covered bond market until 1999, when in connection
with the adoption of the SFSA Law, Credit Foncier formed CFF and
transferred its covered bond business to it. CFF states that since its
formation, it has issued over $147.5 billion in covered bonds in the
international capital markets.
    4. Applicant represents that the SFSA Law gives the holders of
CFF's covered bonds the benefit of a statutory priority in right of
payment (the ``Privilege'') on all assets and cash flows of CFF.
According to CFF, the Privilege constitutes a legal safeguard for
holders of covered bonds in that no creditors of a SCF, including the
French State, can claim cash flows generated by Eligible Assets until
the SCF's obligations in respect of its covered bonds are discharged in
full. The SFSA Law establishes a principle of over-collateralization,
which provides that the total amount of the assets of a SCF must exceed
the global amount of liabilities benefiting from the Privilege at all
times, thereby limiting risk exposure. CFF states that in addition to
the Privilege, as an additional investor protection safeguard, the SFSA
Law creates important exceptions to the claw-back rules that would
otherwise apply under the French insolvency laws.
    5. CFF states that, as a licensed credit institution, it is subject
to extensive legal and regulatory obligations under French banking
regulations and is supervised by the French Banking Commission
(``Banking Commission''), a body within the Banque de France. CFF
further states that it is not only subject to the general regulatory
supervision applicable to all licensed credit institutions, including
banks, but also to additional control mechanisms that are specific to
its status as a SCF. CFF states that it is subject to continuous off-
site monitoring and routine on-site inspections by the Banking
Commission, which consists of examination of CFF's prudential and
accounting records, regular contacts with CFF's senior management and
statutory auditors, and ascertainment that the information disclosed by
CFF accurately reflects its financial condition. In addition, CFF
states that as an issuer of listed debt securities sold to the general
public in France, it is also subject to the rules and regulations of
the Financial Markets Authority (the ``AMF''), the French financial
market regulator responsible for ensuring investors' protection.
    6. Applicant represents that under French banking regulations, CFF
must appoint a specific controller (the ``Specific Controller'') as a
result of its status as a SCF. The Specific Controller is appointed by
CFF's management board with the approval of the Banking Commission. CFF
states that the Specific Controller monitors compliance with the legal
and regulatory provisions applicable to SCFs, monitors CFF's management
of its assets and liabilities and ensures that CFF only undertakes
transactions that are consistent with its specific purpose as a SCF.
The Specific Controller verifies that the assets held by CFF are
Eligible Assets and certifies compliance with collateralization
requirements.
    7. CFF states that it is also subject to special internal control
procedures. The SFSA Law requires that the asset and liabilities of a
SCF be managed by a credit institution pursuant to servicing
agreements. Because of this legal requirement, CFF relies on Credit
Foncier to operate its business. Credit Foncier, a licensed bank,
administers CFF in accordance with permanent and periodic control
procedures that are centralized at the level of Credit Foncier.
    8. CFF proposes to offer and sell in the United States its covered
bonds and other debt securities that benefit from the Privilege as
described in the application (collectively, the ``Privileged Debt
Securities''). CFF states that any such offer and sale shall occur only
in transactions exempt from registration under the Securities Act of
1933 (``1933 Act''), including transactions effected as traditional
private placements with institutional investors or in transactions in
which the securities may be resold to ``qualified institutional
buyers'' as contemplated by rule 144A under the 1933 Act. CFF believes
that investors in its Privileged Debt Securities would have the
protections provided by the Privilege, the protections provided by the
French government's regulation of CFF and its operations, and the
protections of the laws in the United States applicable to securities
offered and sold to qualified institutional buyers and other
institutional investors, as well as the antifraud provisions of the
Securities Exchange Act of 1934. CFF intends to use the proceeds from
any sale of its securities in the United States as an additional source
of financing for the housing and public sectors in France and other
developed countries, including the United States.

Applicant's Legal Analysis

    1. Section 3(a)(1)(C) of the Act defines an investment company to
include any issuer engaged in the business of investing, reinvesting,
owning, holding or trading in securities, and that owns or proposes to
acquire investment securities having a value exceeding 40% of the
issuer's total assets. Section 3(a)(2) of the Act defines ``investment
securities'' to include all securities except Government securities,
securities issued by employees' securities companies, and securities
issued by majority-owned subsidiaries of the owner which (a) are not
investment companies, and (b) are not relying on the exclusions from
the definition of investment company in section 3(c)(1) or 3(c)(7) of
the Act.
    2. CFF states that a majority of its assets consist of loans, debt
securities and cash equivalents, and that these assets could be
considered ``investment securities'' within the meaning of section
3(a)(2) of the Act. As a result, CFF states that it could be deemed to
be an ``investment company'' under section 3(a)(1)(C) of the Act.
    3. Section 6(c) of the Act provides, in relevant part, that the
Commission, by order upon application, may conditionally or
unconditionally exempt any person, security, or transaction from any
provision of the Act, if and to the extent necessary or appropriate in
the public interest and consistent with the protection of investors and
the purposes fairly intended by the policy and provisions of the Act.
    4. Rule 3a-6 under the Act excludes foreign banks from the
definition of an investment company under the Act. A ``foreign bank''
is defined in the rule to include a banking institution ``engaged
substantially in commercial banking activity'' which in turn is defined
to include ``extending commercial and other types of credit, and
accepting demand and other types of deposits.'' CFF states that while a
large part of its business activity is to extend commercial credit such
as mortgage loans and loans to public sector entities and it is subject
to extensive supervision and regulation by French banking authorities,
it is not considered a comercial bank under French law. Further,
Applicant states that as a credit institution licensed as a SCF, it
cannot accept ``demand and other types of deposits.'' Therefore, CFF
states that it is not eligible for the exclusion provided by rule 3a-6
under the Act.

    5. CFF states that it engages in several banking activities, that
it is controlled as to financing it can undertake and loans it can
extend through French banking laws and through oversight and regulation
implemented by the Banking Commission. CFF asserts that as a SCF, it is
governed by a legal regime in many respects stricter than the regime
applicable to commercial banks in France. CFF further states that it
fulfills a public interest objective of providing financial resources
for the favored sectors in France and the United States and other
developed nations, and that its activities do not lend themselves to
the abuses against which the Act was directed. Therefore, CFF states
that it satisfies the standards for relief under section 6(c) of the
Act.

Applicant's Conditions

    Applicant agrees that the order granting the requested relief will
be subject to the following conditions:
    1. In connection with any offering by Applicant of its Privileged
Debt Securities in the United States, Applicant will appoint an agent
to accept service of process in any suit, action or proceeding brought
on such Privileged Debt Securities and instituted in any State or
Federal court presiding in the City and County of New York by any such
holder of any such Privileged Debt Securities. Applicant will expressly
submit to the jurisdiction of the New York State and United States
Federal courts presiding in the City and County of New York with
respect to any such suit, action or proceeding. Applicant will also
waive the defense of forum non conveniens to the maintenance of any
such action or proceeding in the New York State or United States
Federal courts presiding in the City and County of New York. Such
appointment of an agent to accept service of process and such
submission to jurisdiction shall be irrevocable until all amounts due
and to become due in respect of such Privileged Debt Securities have
been paid. No such submission to jurisdiction or appointment of agent
for service of process will affect the right, if any, of a holder of
any such security to bring suit in any court that will have
jurisdiction over Applicant by virtue of the offer and sale of such
Privileged Debt Securities or otherwise.
    2. Applicant's activities will conform in all material respects to
the activities described in the application.
    3. Applicant is regulated as a SCF by the French banking
authorities, as described in the application.
    4. Applicant will only offer and sell Privileged Debt Securities on
a private basis in the United States to persons reasonably believed by
Applicant to be (i) institutional accredited investors as defined in
paragraphs (1), (2), (3) and (7) of Rule 501(a) under the 1933 Act,
(ii) any entity in which all of the equity owners come within such
paragraphs, or (iii) qualified institutional buyers, as defined in Rule
144A under the 1933 Act.
    5. Applicant will not make public offers or sales of equity or debt
securities in the United States and will not make offers or sales of
equity securities on either a public or private basis in the United
States.

    For the Commission, by the Division of Investment Management,
pursuant to delegated authority.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-17892 Filed 7-27-09; 8:45 am]

BILLING CODE 8010-01-P


From: Daisy Cantu/FTEHSF<EMAIL_ADDRESS>
Sent: Friday, August 15, 2014 6:03 PM
To: Howard, Jodi
Cc: Mary Bachynsky/FPC Environmental Dept.; Stephanie Schmidt/FTEHSF; Eddie Houseton/FTSPSF;
Daisy Cantu/FTEHSF; Mario Troncoso/FTEHSF
Subject: Formosa Plastics Corporation, Texas - PVC MACT S114 Form H

Ms. Howard,

Attached is the updated PVC MACT S114 Form H for Formosa Plastics Corporation, Texas. Let
us know if you need anything else to get this information officially recognized. Also, please
confirm that you received this email.

Regards,

Daisy N. Cantu
Environmental, Health & Safety
Formosa Plastics Corporation, Texas
Point Comfort, Texas
Office: (361) 987 - 8752
E-mail<EMAIL_ADDRESS>

____________________________________________________________
This communication is solely for use by the intended recipient and may contain information that is privileged,
confidential or copyrighted under applicable law. If you are not the intended recipient, you are hereby formally
notified that any use, copying or distribution of this communication, in whole or in part, is strictly prohibited.
Unless explicitly stated, this communication does not constitute a contract offer, a contract amendment, or an
acceptance of a contract offer. This communication also does not constitute consent to the use of sender's contact
information for direct marketing purposes or for transfers of data to third parties.


[Federal Register Volume 80, Number 57 (Wednesday, March 25, 2015)]
[Notices]
[Pages 15845-15846]
[FR Doc No: 2015-06715]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-74537; File No. SR-OCC-2015-04]

Self-Regulatory Organizations; The Options Clearing Corporation;
Order Approving Proposed Rule Change, as Modified by Amendment 1
Thereto, To Expand the Officers Who May Declare That a Clearing Member
Is Summarily Suspended

March 19, 2015.
    On January 23, 2015, The Options Clearing Corporation (``OCC'')
filed with the Securities and Exchange Commission (``Commission'') the
proposed rule change SR-OCC-2015-04 pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b-4
thereunder.\2\ The proposed rule change was published for comment in
the Federal Register on February 11, 2015.\3\ The Commission did not
receive any comments on the proposed rule change. This order approves
the proposed rule change, as modified by Amendment 1.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ Securities Exchange Act Release No. 74212 (February 5,
2015), 80 FR 7668 (February 11, 2015) (SR-OCC-2015-04).
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I. Description

    OCC is amending its Rules to permit OCC to expand the officers who
may declare that a clearing member is summarily suspended from OCC.
Currently, OCC Rule 1102 provides that only OCC's Board of Directors
(``Board'') and its Executive Chairman may summarily suspend a clearing
member. OCC believes that, given the time sensitive nature of managing
a clearing member default, it is prudent risk management to expand the
number of officers with the authority to summarily suspend a clearing
member so that OCC may begin its default management process and, in
turn, take protective action as soon as possible.
    Pursuant to OCC Rule 1102, OCC's Board and Executive Chairman have
the authority to summarily suspend a clearing member. As set forth in
Interpretation and Policy .01 of Rule 1102, such action constitutes a
``default'' with respect to the clearing member. OCC's ability to
timely and effectively begin its clearing member default management
process serves a key role in protecting OCC, non-defaulting clearing
members and the public from potential consequential damage(s) that may
be caused by the default of a clearing member. In order to provide OCC
with the necessary tools to manage a clearing member default, Chapter
XI of OCC's Rules provides OCC with the authority to take certain
protective action(s) once a clearing member has been summarily
suspended (and declared to be in default).\4\ While OCC believes that
the authority provided to it in Chapter XI of its Rules is sufficiently
robust to manage a clearing member default, OCC may not exercise such
authority unless and until a clearing member has been summarily
suspended by either the Board or the Executive Chairman.
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    \4\ For example, OCC Rule 1106(a) provides OCC with significant
flexibility with respect actions it may take in order to close out a
defaulting clearing member's open long positions.
---------------------------------------------------------------------------

    In order to provide greater assurance that OCC will be able to
timely and effectively manage a clearing member default, pursuant to
its proposal as approved, OCC is amending Rule 1102 to expand the list
of officers who may summarily suspend a clearing member to include
OCC's President or a designee of the Executive Chairman \5\ or
President of the rank of Senior Vice President or higher (each a
``Designed Officer'').\6\ OCC believes that the change will provide it
with additional operational flexibility because more individuals will
be able to timely summarily suspend a clearing member and thereby allow
OCC to exercise its authority to manage a clearing member default.
OCC's clearing member default management process is designed to protect
OCC, non-defaulting clearing members and the public from the defaulting
clearing member without materially impacting financial markets.\7\ By
providing additional officers with the authority to summarily suspend a
clearing member, and thereby allow OCC to begin its default management
processes, there will be greater assurance that OCC will timely take
action(s) necessary to protect itself, non-defaulting clearing members,
and the public from a defaulting clearing member. OCC also is amending
Rule 1102 to require notification to the Board as soon as practicable
should a Designated Officer summarily suspend a clearing member.\8\ The
addition of such a requirement will ensure that the Board is timely
informed of such suspensions.
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    \5\ OCC filed Amendment No. 1 in order to correct an inadvertent
grammatical error. Specifically, a comma after the word ``Executive
Chairman'' was removed because it caused the description of the
proposed rule change to not be consistent with the text of the
proposed rule change.
    \6\ OCC's proposal is similar to the summary suspension process
employed by the National Securities Clearing Corporation (``NSCC'').
See NSCC Rule 46, Section 3.
    \7\ A description of OCC's default management process is located
at: http://www.theocc.com/risk-management/default-rules/>
    \8\ OCC staff will notify the Board within two hours of the
summary suspension.
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    Furthermore, pursuant to this rule change as approved, OCC is
making conforming amendments consistent with the above to Article VI,
Section 25 of its By-Laws and OCC Rule 707, which concern the summary
suspension of clearing members that participate in OCC's cross-
margining programs. Specifically, Article VI, Section of OCC's By-Laws
and OCC Rule 707 will explicitly state that the Board of Directors or a
Designated Officer may summarily suspend a clearing member based on a
cross-margining related default.
    Except for the changes described above, no other changes are
proposed to OCC's suspension or default management processes as set
forth in the Rules, including a clearing member's right to appeal a
summary suspension in accordance with OCC Rule 1110.

II. Discussion and Commission Findings

    Section 19(b)(2)(C) of the Act \9\ directs the Commission to
approve a proposed rule change of a self-regulatory organization if it
finds that the proposed rule change is consistent with the requirements
of the Act and the rules and regulations thereunder applicable to such
organization.
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    \9\ 15 U.S.C. 78s(b)(2)(C).
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    The Commission finds that the proposed rule change is consistent
with Section 17A(b)(3)(F) of the Act, which requires, among other
things, that the rules of a clearing agency are designed to assure the
safeguarding of securities and funds which are in the custody or
control of the clearing agency or for which it is responsible.\10\ By
expanding the list of officers with the authority to summarily suspend
a clearing member, OCC will be better able to ensure that has the
ability to timely begin the clearing member default management
processes. In turn, timely beginning the

default management process will further the safeguarding of securities
and funds which are in the custody or control of OCC, or for which it
is responsible.
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    \10\ 15 U.S.C. 78q-1(b)(3)(F).
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III. Conclusion

    On the basis of the foregoing, the Commission finds that the
proposal is consistent with the requirements of the Act and in
particular with the requirements of Section 17A of the Act \11\ and the
rules and regulations thereunder.
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    \11\ In approving this proposed rule change, the Commission has
considered the proposed rule's impact on efficiency, competition,
and capital formation. See 15 U.S.C. 78c(f).
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    It is therefore ordered, pursuant to Section 19(b)(2) of the
Act,\12\ that the proposed rule change (SR-OCC-2015-04), as modified by
Amendment 1, be, and it hereby is, approved.
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    \12\ 15 U.S.C. 78s(b)(2).
    \13\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\13\
Brent J. Fields,
Secretary.
[FR Doc. 2015-06715 Filed 3-24-15; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 83, Number 133 (Wednesday, July 11, 2018)]
[Notices]
[Pages 32161-32162]
[FR Doc No: 2018-14960]

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SECURITIES AND EXCHANGE COMMISSION

Sunshine Act Meetings

TIME AND DATE: Notice is hereby given, pursuant to the provisions of
the Government in the Sunshine Act, Public Law 94-409, that the
Securities and Exchange Commission Fixed Income Market Structure
Advisory Committee (``FIMSAC'') will hold a public meeting on Monday,
July 16, 2018 at 9:30 a.m.

PLACE: The meeting will be held in Multi-Purpose Room LL-006 at the
Commission's headquarters, 100 F Street NE, Washington, DC.

STATUS: The meeting will begin at 9:30 a.m. and will be open to the
public. Seating will be on a first-come, first-served basis. Doors will
open at 9:00 a.m. Visitors will be subject to security checks. The
meeting will be webcast on the Commission's website at www.sec.gov.

MATTERS TO BE CONSIDERED: On June 20, 2018, the Commission published
notice of the Committee meeting (Release No. 34-83475), indicating that
the meeting is open to the public and inviting the public to submit
written comments to the Committee. This Sunshine Act notice is being
issued because a majority of the Commission may attend the meeting.

    The agenda for the meeting will include updates and presentations
from the FIMSAC subcommittees.

CONTACT PERSON FOR MORE INFORMATION: For further information, please
contact Brent J. Fields from the Office of the Secretary at (202) 551-
5400.

    Dated: July 9, 2018.
Brent J. Fields,
Secretary.
[FR Doc. 2018-14960 Filed 7-9-18; 4:15 pm]
 BILLING CODE 8011-01-P


[Federal Register Volume 76, Number 91 (Wednesday, May 11, 2011)]
[Notices]
[Pages 27309-27310]
[FR Doc No: 2011-11537]

=======================================================================
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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 459-303]

Union Electric Company, dba AmerenUE; Notice of Application for
Amendment of License and Soliciting Comments, Motions To Intervene, and
Protests

    Take notice that the following hydroelectric application has been
filed with the Commission and is available for public inspection:
    a. Application Type: Non-project use of project lands and waters.
    b. Project No: 459-303.
    c. Date Filed: April 19, 2011.
    d. Applicant: Union Electric Company, dba AmerenUE.
    e. Name of Project: Osage Hydroelectric Project.
    f. Location: The proposed non-project use would be located near
mile marker 18.8 + 0.5 of the Grand Glaize Arm of the Lake of the
Ozarks, in Camden County, Missouri.
    g. Filed Pursuant to: Federal Power Act, 16 U.S.C. 791a-825r.
    h. Applicant Contact: Mr. Jeff Green, Shoreline Supervisor,
AmerenUE, P.O. Box 993, Lake Ozark, MO 65049,<PHONE_NUMBER>.
    i. FERC Contact: Shana High at<PHONE_NUMBER>, or e-mail:
<EMAIL_ADDRESS>    j. Deadline for filing comments, motions to intervene, and protest:
June 6, 2011.
    All documents may be filed electronically via the Internet. See, 18
CFR 385.2001(a)(1)(iii) and the instructions on the Commission's Web
site at http://www.ferc.gov/docs-filing/efiling.asp. If unable to be
filed electronically, documents may be paper-filed. To paper-file, an
original and seven copies should be mailed to: Secretary, Federal
Energy Regulatory Commission, 888 First Street, NE., Washington, DC
20426. Commenters can submit brief comments up to 6,000 characters,
without prior registration, using the eComment system at http://www.ferc.gov/docs-filing/ecomment.asp. You must include your name and
contact information at the end of your comments. Please include the

project number (P-459-303) on any comments, motions, or recommendations
filed.
    k. Description of Request: The licensee requests Commission
authorization to permit Lakeport Marina and Condominiums to add eight
commercial docks, modify eight existing docks, and add 1,330 feet of
breakwater. The completed development would have 18 docks (16 boat
docks, 1 swim dock, and 1 fishing dock) with 240 boat slips and 156
personal watercraft lifts; boat fueling facilities are located on an
existing dock.
    l. Locations of the Application: A copy of the application is
available for inspection and reproduction at the Commission's Public
Reference Room, located at 888 First Street, NE., Room 2A, Washington,
DC 20426, or by calling<PHONE_NUMBER>. This filing may also be viewed
on the Commission's Web site at http://www.ferc.gov using the
``eLibrary'' link. Enter the docket number excluding the last three
digits in the docket number field to access the document. You may also
register online at http://www.ferc.gov/docs-filing/esubscription.asp to
be notified via e-mail of new filings and issuances related to this or
other pending projects. For assistance, call 1-866-208-3676 or e-mail
<EMAIL_ADDRESS>for TTY, call<PHONE_NUMBER>. A copy is
also available for inspection and reproduction at the address in item
(h) above.
    m. Individuals desiring to be included on the Commission's mailing
list should so indicate by writing to the Secretary of the Commission.
    n. Comments, Protests, or Motions to Intervene: Anyone may submit
comments, a protest, or a motion to intervene in accordance with the
requirements of Rules of Practice and Procedure, 18 CFR 385.210, .211,
.214. In determining the appropriate action to take, the Commission
will consider all protests or other comments filed, but only those who
file a motion to intervene in accordance with the Commission's Rules
may become a party to the proceeding. Any comments, protests, or
motions to intervene must be received on or before the specified
comment date for the particular application.
    o. Filing and Service of Responsive Documents: Any filing must (1)
bear in all capital letters the title ``COMMENTS'', ``PROTEST'', or
``MOTION TO INTERVENE'' as applicable; (2) set forth in the heading the
name of the applicant and the project number of the application to
which the filing responds; (3) furnish the name, address, and telephone
number of the person protesting or intervening; and (4) otherwise
comply with the requirements of 18 CFR 385.2001 through 385.2005. All
comments, motions to intervene, or protests must set forth their
evidentiary basis and otherwise comply with the requirements of 18 CFR
4.34(b). Agencies may obtain copies of the application directly from
the applicant. A copy of any protest or motion to intervene must be
served upon each representative of the applicant specified in the
particular application. If an intervener files comments or documents
with the Commission relating to the merits of an issue that may affect
the responsibilities of a particular resource agency, they must also
serve a copy of the document on that resource agency. A copy of all
other filings in reference to this application must be accompanied by
proof of service on all persons listed in the service list prepared by
the Commission in this proceeding, in accordance with 18 CFR 4.34(b)
and 385.2010.

    Dated: May 5, 2011.
Kimberly D. Bose,
Secretary.
[FR Doc. 2011-11537 Filed 5-10-11; 8:45 am]
BILLING CODE 6717-01-P


MEMORANDUM

Tetra Tech, Inc.

10306 Eaton Place, Suite 340

Fairfax, VA 22030

phone<PHONE_NUMBER>

fax<PHONE_NUMBER>

DATE: 		March 5, 2010

TO:			316(b) Record

FROM:		Kelly Meadows, Tetra Tech

SUBJECT:	Winnetka Power Plant teleconference notes

The Environmental Protection Agency (EPA) is in the process of
developing 316(b) cooling water intake structure requirements that
reflect the best technology available (BTA) for minimizing adverse
environmental impact for all existing power plants and manufacturing
facilities.  As part of this process, EPA staff is visiting electric
generators and manufacturers to better understand the cooling water
intake structure (CWIS) technologies in use at facilities, including the
site-specific characteristics of each facility and how these affect the
selection and performance of CWIS technologies.  EPA is also visiting
facilities to better understand cooling water use and specific issues or
technologies that can affect 316(b) compliance.

The Winnetka Power Plant (Winnetka) was identified as a site of interest
due to its low design intake flow (DIF) without using closed-cycle
cooling.  Unfortunately, due to scheduling conflicts, EPA is unable to
visit the facility.  However, Tetra Tech staff was able to speak to
facility superintendant Jeffrey Pietka on July 29, 2009 and March 5,
2010 to gather more information about the facility.  A summary of the
discussion is presented below.

Facility Information

Winnetka Power Plant is located in the Village of Winnetka, a northern
suburb of Chicago with a population of about 15,000.  It withdraws
once-through cooling water from Lake Michigan and began operations in
1900.  The facility is owned and operated by the municipality and has
three natural gas-fired steam electric generating units and two diesel
combustion units with a total capacity of 32 MW.  The capacity
utilization rate for the facility is approximately 5%.  The facility
currently has no plans for repowering or adding new generating units.

The facility is located on a small site on the waterfront and sits
between public and private beaches, parks, and a boat ramp, and is in
close proximity to hundreds of high-value homes.

The facility uses a shoreline intake structure with an intake canal and
coarse-mesh vertical traveling screens.  The DIF for the facility is
15.7 million gallons per day and when operating, the actual intake flow
is 5.2 mgd.

The facility has not conducted any impingement or entrainment studies.

Despite the low intake flows (and subsequently smaller cooling tower
footprint), installing a close-cycle cooling system would likely be
difficult at Winnetka due to space constraints; the small site does not
offer significant space and the close proximity of residences would make
siting and permitting a closed-cycle system very difficult.

 Winnetka is one of only 25 Phase III power plants with a DIF below 50
million gallons per day (mgd) that does not employ closed-cycle cooling.
 In this case, the low flow is simply due to the small size of the
generating unit.

 All five units utilize lake water for cooling.  The combustion units
were installed in 1979 and no major renovations (e.g., boiler
replacement, etc.) have been completed since that time.

 Using aerial photos, it is estimated that the site is no more than 5
acres, with existing structures, forest, and beach occupying most of the
area.  There are also a half dozen homes within 200 feet of the
facility.

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