[Federal Register: April 25, 2006 (Volume 71, Number 79)]
[Notices]
[Page 23971-23974]
[DOCID:fr25ap06-128]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-53677; File No. PCAOB-2006-01]

Public Company Accounting Oversight Board; Order Approving
Proposed Ethics and Independence Rules Concerning Independence, Tax
Services, and Contingent Fees and Notice of Filing and Order Granting
Accelerated Approval of the Amendment Delaying Implementation of
Certain of These Rules

April 19, 2006.

I. Introduction

    On July 26, 2005,\1\ the Public Company Accounting Oversight Board
(the ``Board'' or the ``PCAOB'') adopted proposed Ethics and
Independence Rules Concerning Independence, Tax Services and Contingent
Fees,\2\ (herein, ``the proposed rules'') pursuant to the Sarbanes-
Oxley Act of 2002 (the ``Act'') \3\ and Section 19(b) of the Securities
Exchange Act of 1934 (the ``Exchange Act'').\4\ The proposed rules
include general rules with respect to ethics and independence, restrict
certain types of tax services a registered public accounting firm may
provide to its audit clients, and prohibit contingent fee arrangements
for any services a registered public accounting firm provides to its
audit clients, in order to maintain its independence. On November 22,
2005, the Board adopted certain technical amendments to Rule 3502,
including its title, and Rule 3522.\5\
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    \1\ On August 2, 2005, the PCAOB submitted its proposed rules to
the Commission for approval.
    \2\ PCAOB Release No. 2005-014.
    \3\ 15 U.S.C. 7202 et seq.
    \4\ 15 U.S.C. 78s(b).
    \5\ PCAOB Release No. 2005-020. On November 23, 2005, the PCAOB
submitted the technical amendments to the Commission for approval.
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    Notice of the proposed rules, including the November 22, 2005
technical amendments, was published in the Federal Register on March 7,
2006,\6\ and the Securities and Exchange Commission (``Commission'')
received eight comment letters. For the reasons discussed below, the
Commission is granting approval of the proposed rules.
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    \6\ Release No. 34-53427; File No. PCAOB-2006-01.
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    On March 28, 2006, the PCAOB adopted an additional statement,
delaying the implementation schedule for Rules 3523 and 3524 of the
proposed rules,\7\ and submitted that amendment to the filing to the
Commission. The Commission finds there is good cause to approve this
amendment prior to the thirtieth day after publication in the Federal
Register and, for the reasons discussed below, the Commission is
approving the amendment.
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    \7\ PCAOB Release No. 2006-001.
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II. Description

    The Act established the PCAOB to oversee the audits of public
companies and related matters, to protect investors, and to further the
public interest in the preparation of informative, accurate and
independent audit reports.\8\ Section 103(a) of the Act directs the
PCAOB to establish auditing and related attestation standards, quality
control standards, and ethics standards to be used by registered public
accounting firms in the preparation and issuance of audit reports as
required by the Act or the rules of the Commission.
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    \8\ Section 101(a) of the Act.
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Overall Framework (Rules 3501 and 3502)

    Proposed Rules 3501 and 3502 will create an overall framework
within the PCAOB's ethics rules. Proposed Rule 3501 sets forth the
requirement for the accounting firm to be independent of its audit
client throughout the audit and professional engagement period as a
fundamental ethical obligation of the auditor. This requirement for the
auditor to be independent encompasses the obligation to satisfy the
independence criteria set out in the rules and the standards of the
PCAOB, but also an obligation to satisfy all other independence
criteria applicable to the engagement, including the independence
criteria set out in the rules and regulations of the Commission.
    Proposed Rule 3502 establishes a standard of ethical conduct for
persons associated with registered public accounting firms, indicating
that these persons shall not take or omit to take an action knowing, or
recklessly not knowing, that the act or omission would directly and
substantially contribute to a violation by the accounting firm of the
Act, the rules of the Board, or provisions of the securities laws.
These two proposed rules would be effective 10 days after the date of
this order.

Contingent Fees (Rule 3521)

    Proposed Rule 3521 would treat registered public accounting firms
as not independent if they enter into contingent fee arrangements,
directly or indirectly, with audit clients.\9\ While the PCAOB's
definition of contingent fees was adapted from the Commission's
definition, there are two distinct differences. The principal
difference is the elimination of the exception in Rule 2-01(c)(5) of
Regulation S-X for fees ``in tax matters, if determined based on the
results of judicial proceedings or the findings of government
agencies.'' The PCAOB found this provision had been misinterpreted and
could permit fees that jeopardized the independence of auditors. In
addition, the proposed rule would expressly indicate that the
contingent fees cannot be received ``directly or indirectly'' from the
audit client. We do not object to the language that has been included
in the PCAOB's proposed rule. The proposed rule would not be applied to
contingent fee arrangements that were paid in their entirety, converted
to fixed fee arrangements, or otherwise unwound before 60 days after
the date of this order.
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    \9\ The proposed definition of ``contingent fee'' includes any
fee established for the sale of a product or the performance of any
service pursuant to an arrangement in which no fee will be charged
unless a specified finding or result is attained, or in which the
amount of the fee is otherwise dependent upon the finding or result
of such product or service. However, a fee is not a contingent fee
if the amount is fixed by courts or other public authorities and not
dependent upon a finding or result.
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Tax Transactions (Rule 3522)

    Proposed Rule 3522 would prohibit auditors from providing any non-
audit services to its audit clients related to the marketing, planning
or opining in favor of the tax treatment of transactions that are
confidential transactions under the Internal Revenue Service's
regulations or transactions that would be considered aggressive tax
position transactions.\10\ As such, this proposed rule adds to the list
of services an audit firm is prohibited from providing its audit
clients in order to maintain its independence. While the Board
considered a wide-range of tax services, they ultimately determined
that these particular types of tax services

(confidential transactions or aggressive tax transactions) represented
a class of tax-motivated transactions that presented an unacceptable
risk of impairing an auditor's independence. The proposed rule would
not be applied to tax services that were completed by the accounting
firm by 60 days after the Commission approves the rules.
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    \10\ The PCAOB has defined aggressive tax positions as those
that are initially recommended, directly or indirectly, by the
auditor and a significant purpose of which is tax avoidance, unless
the proposed tax treatment is at least more likely than not to be
allowable under applicable tax laws.
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Tax Services for Persons in a Financial Reporting Oversight Role (Rule
3523)

    Proposed Rule 3523 adds to the list of services an audit firm is
prohibited from providing its audit clients in order to maintain its
independence by prohibiting audit firms from providing any tax service
to any person who fills a financial reporting oversight role at an
audit client,\11\ or an immediate family member of such individual,
unless such person is in that role solely because he or she is a member
of the board of directors or similar management governing body. The
proposed rule includes those individuals who are in a financial
reporting oversight role at an affiliate of the entity being audited
unless that affiliate is either not material to the consolidated entity
or the affiliate's financial statements are audited by another auditor.
Based on the March 28, 2006 amendment, this proposed rule would not be
applied to tax services being provided pursuant to an engagement in
process at the time the Commission approves the rules, provided that
such services are completed on or before October 31, 2006.\12\
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    \11\ The PCAOB's definition of a ``financial reporting oversight
role'' matches the Commission's definition of the same term.
    \12\ The proposed rule also provides a transition period for
those individuals that are hired or promoted into a financial
reporting oversight role; this transition period allows for the tax
services in process to be completed within 180 days after the hiring
or promotion.
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Auditor's Responsibility in Connection With Audit Committee Pre-
Approval of Tax Services (Rule 3524)

    Proposed Rule 3524 would require the auditor seeking pre-approval
to perform tax services to provide the audit committee written
documentation of the scope of the proposed tax service and the fee
structure for the engagement, discuss with the audit committee the
potential effects on the firm's independence of performance of the
services, and document the firm's discussion with the audit committee.
    The Board amended the proposed effective date for this rule as part
of its March 28, 2006 statement. As amended, the proposed rule would
not be applied to any tax service pre-approval occurring before 60 days
after the Commission approves the rules. Additionally, due to
considerations of potentially existing audit committee procedures and
schedules for pre-approving all audit and non-audit services, in cases
where the registrant pre-approves non-audit services via policies and
procedures, the rule will not apply to any tax service that has started
within one year after the Commission approves the rules. The Board
provided this longer transition so that most tax services considered
within an annual audit committee review process that occurred prior to
Commission approval could proceed without the need for additional pre-
approval.

III. Discussion

    The Commission's comment period on the proposed rules ended on
April 3, 2006, and the Commission received eight comment letters. The
majority of comment letters came from accounting firms,\13\ although
one professional organization,\14\ one registrant \15\ and one
individual also responded. In general, the respondents expressed
support for the proposed rules, though a number of the commenters
requested either revisions or additional clarifying guidance from
either the Commission or the PCAOB, as discussed in more detail below.
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    \13\ Deloitte & Touche LLP, Ernst & Young LLP, KPMG, McGladrey &
Pullen, and PricewaterhouseCoopers.
    \14\ American Institute of Certified Public Accountants.
    \15\ Capital Group Companies.
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Response to Specific Request for Comment on Proposed Rule 3522

    In its public release of the proposed rules for comment, the
Commission asked respondents to comment on proposed Rule 3522,
specifically as to whether it was clear from the Board's discussion
that a subsequent listing of a transaction, while not in and of itself
impairing the auditor's independence prior to the listing of the
transaction, may impact independence from the date of listing forward.
Further, the Commission questioned whether additional guidance was
necessary regarding the consideration of an auditor's independence when
a transaction planned or opined on by the auditor subsequently becomes
listed.
    The accounting firms and the AICPA responded to this question. Some
commenters \16\ indicated that if the audit committee and the firm, in
good faith, reached a conclusion that the proposed transaction was
allowable at the time the tax services were provided, the subsequent
listing of the transaction should not impair the auditor's
independence, as long as the firm is not in a position of defending its
original advice. The PCAOB received similar comments during its
exposure of the rule and responded by stating that it agreed with
commenters that a per se rule that a subsequent listing of a
transaction impaired an auditor's independence in either the period of
the transaction or subsequent to the listing was not appropriate. The
PCAOB stated that firms should be cautious in participating in
transactions that could become listed, and that subsequent to the
listing the firm and the audit committee should consider the potential
impact of defending the transaction on the auditor's independence.
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    \16\ KPMG, E&Y, AICPA, PWC.
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    Commenters \17\ on the Commission's Notice requested guidance on
the subsequent consideration of independence upon the listing of the
transaction and made a number of suggestions. Suggestions on this
included: Clarifying that a subsequent listing of a transaction has no
retroactive impact on independence and does not per se impair
independence going forward, clarifying that the subsequent
determination as to the impact on auditor independence should rest
primarily with the audit committee, and clarifying that an audit
committee's good faith determination in determining if the subsequent
listing impairs independence should be considered conclusive. We agree
that listing of a transaction does not result in a per se violation of
an auditor's independence in either the period in which the transaction
occurred or in subsequent periods. Based on the large percentage of
commenters who felt that additional guidance is necessary regarding the
subsequent determination of independence upon the listing of a
transaction, we encourage the PCAOB to provide such guidance within a
reasonable period of time after the approval of the proposed rules.
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    \17\ D&T, PWC, McGladrey.
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Rule 3523

    A number of commenters raised concerns in relation to the PCAOB's
application of the principle of ``individuals in a financial reporting
oversight role'' to its proposed Rule 3523. The PCAOB has proposed a
definition of the term ``financial reporting oversight role'' that
matches the way in which the Commission has defined the term in our
independence rules. However, while the defined term is identical to the
Commission's

definition, the proposed application of that term differs from the
Commission's application. In the Commission's independence rules
pertaining to employment relationships, there are restrictions on the
time frame in which a former professional employee of an audit firm can
fill a ``financial reporting oversight role'' at an issuer-client, or
significant subsidiary of that issuer, without negatively impacting the
independence of the audit firm. In contrast, the PCAOB's proposed rule
prohibits the audit firm from providing tax services to a person in a
financial reporting oversight role at the audit client or material
affiliate of the audit client, with some exceptions (i.e., individuals
who serve as directors are not included).
    Commenters \18\ expressed concerns that the PCAOB's proposed rule
extends the definition of ``financial reporting oversight role'' to a
broader group of individuals than the Commission's independence rule,
and that application of the rule to such a broad group will make
monitoring compliance burdensome. This issue was not raised in the
PCAOB's comment period because the reference to individuals at material
affiliates was added by the PCAOB in response to comments seeking
clarification regarding whether the rule applied to immaterial
subsidiaries. The PCAOB added language to the rule to make clear that
it did not apply to immaterial subsidiaries. However, based on
commenters' requests for further clarification, we encourage the PCAOB
to issue additional guidance.
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    \18\ AICPA, D&T, E&Y, KPMG, PWC.
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Additional Comments

    The AICPA and one accounting firm commented how the standard for
liability in the rule compares to the standard for liability under
Section 21C of the Exchange Act. The AICPA also questions whether the
PCAOB's standard setting authority encompassed the adoption of rules
related to the responsibility of associated persons not to knowingly or
recklessly contribute to an accounting firm's violation of rules or
applicable law. We believe that the rule is within the scope of the
PCAOB's authority, particularly its authority to establish ethical
standards.
    A number of commenters made requests for additional implementation
guidance from the PCAOB upon the approval of the rules. Commenters
raised questions regarding certain language in proposed Rule 3522
pertaining to the confidentiality restrictions in the rule and the use
of the term ``planning'' in the rule text. Based on these comments, we
recommend the PCAOB provide additional implementation guidance on these
topics.

IV. Accelerated Approval of Amendment No. 1; Solicitation of Comments

    The Board's March 28, 2006 amendment to the implementation schedule
for certain of the proposed rules (the ``March 28, 2006 amendment'')
would delay the effective date for Rules 3523 and 3524.
    Rule 3523 originally had an effective date of the later of June 30,
2006 or 10 days after the date that the Commission approved the rules.
The PCAOB acknowledged in its adoption of the rule that the proposed
rule would lead to some registered firms terminating recurring
engagements to provide tax services and may require certain members of
public companies' senior management to find other tax preparers. In
order to allow for as smooth a transition as possible, the PCAOB
decided to amend the effective date such that Rule 3523 would not apply
to tax services that are being provided pursuant to an engagement in
process at the time the Commission approves the rules, provided that
such services are completed on or before the later of October 31, 2006
or 10 days after the date of this order.
    Rule 3524 requires certain disclosure, discussion, and
documentation when a registered firm seeks audit committee pre-approval
to provide a public company audit client tax services that are not
otherwise prohibited by Commission or PCAOB rules. Acknowledging that
some companies choose to use pre-approval policies and procedures to
approve certain tax services, the original proposed rules provided two
different effective dates: 60 days after the date that the Commission
approves the rules or, in the case of an issuer that pre-approves non-
audit services by policies and procedures, the rule would not apply to
any tax service provided by March 31, 2006. Considering the time period
since the rules' adoption, the PCAOB decided to amend the effective
date with respect to tax services provided to audit clients whose audit
committees pre-approve tax services pursuant to policies and
procedures. As a result, under the proposed amendment, Rule 3524 would
not apply to any such tax service that is begun within one year after
the date of this order. This transition period should allow most tax
services considered in an annual audit committee review process that
occurred prior to Commission approval to proceed without the need for a
firm to seek new pre-approval.
    We find good cause to approve the March 28, 2006 amendment prior to
the thirtieth day after the date of publication of notice of filing the
March 28, 2006 amendment in the Federal Register. The original proposed
rules, as noted above, were published in the Federal Register. We
believe that the March 28, 2006 amendment, by delaying the effective
date for certain of the proposed rules, addresses some of the concerns
raised by commenters regarding the time period in which auditors would
have to comply with the new rules. The March 28, 2006 amendment does
not modify the scope and purpose of the rules as originally proposed
but simply extends compliance dates commensurate with the original
filing date. Finally, we also find that it is in the public interest to
approve the rules as soon as possible to assist accounting firms in
making arrangements to efficiently implement the proposed rules.
    Accordingly, we believe good cause exists, consistent with Sections
107 and 109 of the Act, and Section 19(b) of the Exchange Act, to
approve the March 28, 2006 amendment to the proposed rules on an
accelerated basis.
    Interested persons are invited to submit written data, views, and
arguments concerning the March 28, 2006 amendment, including whether
the amendment is consistent with the Act and the securities laws or is
necessary or appropriate in the public interest or for the protection
of investors. Comments may be submitted by any of the following
methods:

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/pcaob.shtml.
); or     Send an e-mail to<EMAIL_ADDRESS>Please include

File Number PCAOB-2006-01 on the subject line.

Paper Comments

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

All submissions should refer to File No. PCAOB-2006-01. This file
number should be included on the subject line if e-mail is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov).

Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule that are filed with the
Commission, and all written communications relating to the proposed
rule between the Commission and any person, other than those that may
be withheld from the public in accordance with the provisions of 5
U.S.C. 552, will be available for inspection and copying in the
Commission's Public Reference Section, 100 F Street, NE., Washington,
DC 20549. Copies of such filing also will be available for inspection
and copying at the principal office of PCAOB. All comments received
will be posted without change; we do not edit personal identifying
information from submissions. You should submit only information that
you wish to make available publicly. All submissions should be
submitted on or before May 25, 2006.

V. Conclusion

    On the basis of the foregoing, the Commission finds that proposed
rules, including the March 28, 2006 amendment, are consistent with the
requirements of the Act and the securities laws and are necessary and
appropriate in the public interest and for the protection of investors.
However, to facilitate implementation of the proposed rules, the
Commission expects the PCAOB will issue additional implementation
guidance as requested by a number of the commenters.
    It is therefore ordered, pursuant to Section 107 of the Act and
Section 19(b)(2) of the Exchange Act, that the Proposed Ethics and
Independence Rules Concerning Independence, Tax Services, and
Contingent Fees (File No. PCAOB-2006-01), as amended, be and hereby are
approved.

    By the Commission.
Nancy M. Morris,
Secretary.
 [FR Doc. E6-6125 Filed 4-24-06; 8:45 am]

BILLING CODE 8010-01-P


[Federal Register Volume 76, Number 106 (Thursday, June 2, 2011)]
[Rules and Regulations]
[Page 31853]
[FR Doc No: 2011-13649]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 165

[USCG-2011-0401]
RIN 1625-AA00

Safety Zone; Annual Events requiring safety zones in Milwaukee
Harbor, Milwaukee, WI

AGENCY: Coast Guard, DHS.

ACTION: Notice of enforcement of regulation.

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SUMMARY: The Coast Guard will enforce this safety zone for annual
fireworks events in the Captain of the Port, Sector Lake Michigan zone
at various times from 9:15 p.m. on June 11, 2011 through 11 p.m. on
June 29, 2011. This action is necessary and intended to ensure safety
of life on the navigable waters immediately prior to, during, and
immediately after fireworks events. This rule will establish
restrictions upon, and control movement of, vessels in a specified area
immediately prior to, during, and immediately after fireworks events.
During the enforcement period, no person or vessel may enter the safety
zone without permission of the Captain of the Port, Sector Lake
Michigan.

DATES: The regulations in 33 CFR 165.935 will be enforceable at various
times from 9:15 p.m. on June 11, 2011 through 11 p.m. on June 29, 2011.

FOR FURTHER INFORMATION CONTACT: If you have questions on this notice,
call or e-mail BM1 Adam Kraft, Prevention Department, Coast Guard
Sector Lake Michigan, Milwaukee, WI at<PHONE_NUMBER>, e-mail
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: The Coast Guard will enforce the safety zone
listed in 33 CFR 165.935, Safety Zones, Milwaukee Harbor, Milwaukee,
WI, at the following time for the following events:
    (1) Pridefest fireworks display on June 11, 2011 from 9:15 p.m.
through 10 p.m.
    (2) Polish Festival fireworks display on June 18,2011 from 10:15
p.m. through 11 p.m.;
    (3) Summerfest fireworks display on June 29, 2011 from 9:15 p.m.
through 10:30 p.m.
    All vessels must obtain permission from the Captain of the Port,
Sector Lake Michigan, or his or her on-scene representative to enter,
move within or exit the safety zone. Vessels and persons granted
permission to enter the safety zone shall obey all lawful orders or
directions of the Captain of the Port or his or her on-scene
representative. While within a safety zone, all vessels shall operate
at the minimum speed necessary to maintain a safe course.
    This notice is issued under authority of 33 CFR 165.935 Safety
Zone, Milwaukee Harbor, Milwaukee, WI and 5 U.S.C. 552(a). In addition
to this notice in the Federal Register, the Coast Guard will provide
the maritime community with advance notification of these enforcement
periods via broadcast Notice to Mariners or Local Notice to Mariners.
The Captain of the Port, Sector Lake Michigan, will issue a Broadcast
Notice to Mariners notifying the public when enforcement of the safety
zone established by this section is suspended. If the Captain of the
Port, Sector Lake Michigan, determines that the safety zone need not be
enforced for the full duration stated in this notice, he or she may use
a Broadcast Notice to Mariners to grant general permission to enter the
safety zone. The Captain of the Port or his or her on-scene
representative may be contacted via VHF Channel 16.

    Dated: May 23, 2011.
L. Barndt,
Captain, U.S. Coast Guard, Captain of the Port Lake Michigan.
[FR Doc. 2011-13649 Filed 6-1-11; 8:45 am]
BILLING CODE 9110-04-P


[Federal Register Volume 76, Number 119 (Tuesday, June 21, 2011)]
[Notices]
[Page 36138]
[FR Doc No: 2011-15353]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

[Docket No. USCG-2011-0508]

Certificate of Alternative Compliance for the Passenger Vessel
CHICAGO'S LEADING LADY

AGENCY: Coast Guard, DHS.

ACTION: Notice.

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SUMMARY: The Coast Guard announces that a Certificate of Alternative
Compliance was issued for the passenger vessel CHICAGO'S LEADING LADY.

DATES: The Certificate of Alternative Compliance was issued on June 02,
2011.

ADDRESSES: The docket for this notice is available for inspection or
copying at the Docket Management Facility (M-30), U.S. Department of
Transportation, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue, SE., Washington, DC 20590, between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal holidays. You may also find this
docket on the Internet by going to http://www.regulations.gov,
inserting USCG-2011-0508 in the ``Keyword'' box, and then clicking
``Search.''

FOR FURTHER INFORMATION CONTACT: If you have questions on this notice,
call LCDR Wm. Erik Pickering, District Nine, Prevention Branch, U.S.
Coast Guard, telephone<PHONE_NUMBER>. If you have questions on viewing
or submitting material to the docket, call Renee V. Wright, Program
Manager, Docket Operations, telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Background and Purpose

    A Certificate of Alternative Compliance, as allowed for under 33
U.S.C. 1605(c) and 33 CFR 81.18, has been issued for the passenger
vessel CHICAGO'S LEADING LADY. The vessel's primary purpose is to give
architectural tours on the Chicago River. This route requires passing
beneath a number of low bridges, and the clearance does not allow the
masthead light to be mounted as high as required for full compliance
with Annex I of the Inland Rules Act.
    The Commandant, U.S. Coast Guard, certifies that full compliance
with the Inland Rules Act would interfere with the special functions/
intent of the vessel and would not significantly enhance the safety of
the vessel's operation. Placing the masthead light in the required
position would interfere with the vessel's ability to navigate the
Chicago River, which has several low bridges.
    The Certificate of Alternative Compliance authorizes the CHICAGO'S
LEADING LADY to deviate from the requirements set forth in Annex I of
the Inland Rules Act, and place its masthead light on the pilothouse
visor, at a height of 13'-7' above the main deck.
    This notice is issued under authority of 33 U.S.C. 1605(c), and 33
CFR 81.18.

    Dated: June 2, 2011.
R.C. Helland,
Captain, U.S. Coast Guard, Chief, Prevention Division, By Direction of
the Commander, Ninth Coast Guard District.
[FR Doc. 2011-15353 Filed 6-20-11; 8:45 am]
BILLING CODE 9110-04-P


ATTACHMENT E PRELIMINARY ESTIMATE OF STATE AREA ALLOCATIONS The following table is a preliminary estimate of how the allocations for existing sources may be distributed among the state areas, including sources located within Indian Nations ( e. g., Navajo Generating Station is within the Navajo Nation and the geographic boundaries of Arizona) for the purposes of providing an indication of the impact of jurisdictions opting in or out of the backstop cap and trade program. This is not intended to presume or prescribe assignment of allocations to states. The actual distribution will be based upon the location of sources according to1 the state or tribe havingjurisdiction over those sources. Final distribution of allocations by state and tribal jurisdiction will be determined based on the final allocations to existing sources, as submitted in the section 309 SIP revisions. Note that this includes the smelter set aside. How those emissions will be distributed if one or both of the two suspended smelters close will be dependent on if or how the other smelters absorb the production from the closed ones, as described in the body of the Annex. In addition, with the exception of the emissions reductions at the Mohave Generating Station in Laughlin, Nevada, known reductions expected to occur beyond 2003, such as the 20,000 ton reduction from the Colorado front range power plants, are not included.


[Federal Register Volume 82, Number 244 (Thursday, December 21, 2017)]
[Notices]
[Pages 60649-60651]
[FR Doc No: 2017-27466]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-82337; File No. SR-CboeBYX-2017-001; SR-CboeBZX-2017-
001; SR-CboeEDGA-2017-001; SR-CboeEDGX-2017-001]

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Cboe BZX
Exchange, Inc.; Cboe EDGA Exchange, Inc.; Cboe EDGX Exchange, Inc.;
Order Granting Accelerated Approval of a Proposed Rule Change Relating
to Its Director Nomination and Committee Appointment Process and Its
Nominating and Governance Committee

December 15, 2017.

I. Introduction

    On November 14, 2017, each of Cboe BYX Exchange, Inc. (``Cboe
BYX''), Cboe BZX Exchange, Inc. (``Cboe BZX''), Cboe EDGA Exchange,
Inc. (``Cboe EDGA''), Cboe EDGX Exchange, Inc. (``Cboe EDGX'') (each an
``Exchange'' and collectively, ``Exchanges'') filed with the Securities
and Exchange Commission (``Commission''), pursuant to Section 19(b)(1)
of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b-4
thereunder,\2\ a proposed rule change to eliminate its Nominating and
Governance Committee (``N&G Committee'') and amend the process by which
(i) directors are elected, (ii) committee appointments are made, and
(iii) vacancies are filled.\3\ The proposed rule changes were published
for comment in the Federal Register on November 27, 2017.\4\ The
Commission received no comments on the proposals. This order approves
the proposed rule changes on an accelerated basis.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ In addition, the Exchanges propose to make several
formatting changes throughout the Bylaws as well as to change their
names in the title and signature lines in their Certificates of
Incorporation (``Certificates'') to reflect recent changes to their
legal names.
    \4\ See Securities Exchange Act Release Nos. 82122 (November 20,
2017), 82 FR 53076 (November 27, 2017) (SR-CboeBYX-2017-001)
(``CboeBYX Notice''); 82123 (November 20, 2017), 82 FR 56065
(November 27, 2017) (SR-CboeBZX-2017-001) (``CboeBZX Notice'');
82125 (November 20, 2017), 82 FR 56079 (November 27, 2017) (SR-
CboeEDGA-2017-001) (``CboeEDGA Notice''); 82126 (November 20, 2017),
82 FR 56072 (SR-CboeEDGX-2017-001) (``CboeEDGX Notice'')
(collectively, the ``Notices'').
---------------------------------------------------------------------------

II. Description of the Proposal

    First, the Exchanges propose to eliminate their N&G Committees and
provide that the sole stockholder of the Exchanges (Cboe Global
Markets, Inc.) shall nominate and elect directors at the annual
meetings of the sole stockholder,

except with respect to fair-representation directors (``Representative
Directors'').\5\ As a consequence of the elimination of the N&G
Committee, the Exchanges propose conforming changes to reallocate its
responsibility. Specifically, the Exchanges propose to amend the
definition of ``Representative Director Nominating Body'' to provide
that if an Exchange's Board of Directors (``Board'') has two or more
Industry Directors, excluding directors that are Exchange employees,
those Industry Directors shall act as the Representative Director
Nominating Body. If there are fewer than two Industry Directors on the
Board (excluding directors that are employees of the Exchange), then
the Exchange Member Subcommittee of the Advisory Board shall act as the
Representative Director Nominating Body. The Exchanges further propose
to amend their Bylaws and Certificates to provide that the sole
stockholder is bound to nominate and elect the Representative Directors
nominees recommended by the Representative Director Nominating Body or,
in the event of a petition candidate, the Representative Director
nominees who receive the most votes pursuant to a Run-off Election.
Lastly, the Exchanges each propose to amend Section 3.1 of their Bylaws
to provide that the Board is responsible for determining whether a
director candidate satisfies the applicable qualifications for election
as a director.
---------------------------------------------------------------------------

    \5\ See id. at 56077; 56065; 56080; and 56072, respectively.
---------------------------------------------------------------------------

    Second, the Exchanges propose to transfer the N&G Committee's
current authority with respect to committee appointments to their
Boards (or appropriate subcommittee of the Board).\6\ Specifically, the
Exchanges propose to amend Section 4.2 and 6.1 of their Bylaws to state
that members of the Executive Committee and Advisory Board will now be
appointed by the Board. The Exchanges also propose to amend Section 4.4
of their Bylaws to state that members of the Regulatory Oversight
Committee (``ROC'') will be appointed by the Board on the
recommendation of the Non-Industry Directors of the Board.
---------------------------------------------------------------------------

    \6\ See id. at 56077; 56066; 56080; and 56073, respectively.
---------------------------------------------------------------------------

    Third, the Exchanges propose to amend their Bylaws to alter the
process for filling director vacancies.\7\ Specifically, the Exchanges
propose to amend Section 3.4 of their Bylaws to provide that in the
event any Industry or Non-Industry Director fails to maintain the
required qualifications and the director's term is accordingly
terminated, the sole stockholder, instead of the Board, shall be able
to fill the vacancy.\8\ The Exchanges also propose to amend Section 3.5
of their Bylaws to provide the sole stockholder with authority to fill
vacancies so long as the elected Director qualifies for the position.
Additionally, with respect to vacancies among the Representative
Directors, the Representative Director Nominating Body will recommend
an individual, or provide a list of recommended individuals, to the
sole stockholder who shall select and fill the position.
---------------------------------------------------------------------------

    \7\ See id. at 56077; 56066; 56080-81 and 56073, respectively.
    \8\ Amended Section 3.4 would also provide that if such
terminated director requalified, the sole stockholder would have
discretion to reappoint such director, including by increasing the
size of the Board, should that be necessary.
---------------------------------------------------------------------------

    Finally, the Exchanges propose to change their names in the title
and signature lines in their Certificates to reflect recent changes to
their legal names.\9\
---------------------------------------------------------------------------

    \9\ Other technical formatting changes occur throughout the
Bylaws as a result of the Exchanges proposed changes. See Notices,
supra note 4 at 56077; 56066; 56081 and 56073, respectively.
---------------------------------------------------------------------------

III. Discussion and Commission Findings

    After careful review, the Commission finds that the proposed rule
changes are consistent with the requirements of Section 6 of the Act
\10\ and the rules and regulations thereunder applicable to a national
securities exchange.\11\ In particular, the Commission finds that the
proposed rule changes are consistent with Sections 6(b)(1) the Act,\12\
which require a national securities exchange to be so organized and
have the capacity to be able to carry out the purposes of the Act, and
to comply and to enforce compliance by its members and persons
associated with its members with the provisions of the Act, the rules
and regulations thereunder, and the rules of the Exchange. The
Commission also finds that the proposed rule changes are consistent
with Section 6(b)(3) of the Act,\13\ which requires that the rules of a
national securities exchange assure the fair representation of its
members in the selection of its directors and administration of its
affairs, and provide that one or more directors shall be representative
of issuers and investors and not be associated with a member of the
exchange, broker, or dealer.
---------------------------------------------------------------------------

    \10\ 15 U.S.C. 78f(b).
    \11\ In approving these proposed rule changes, the Commission
has considered the proposed rules' impact on efficiency,
competition, and capital formation. See 15 U.S.C. 78c(f).
    \12\ 15 U.S.C. 78f(b)(1).
    \13\ 15 U.S.C. 78f(b)(3).
---------------------------------------------------------------------------

    The Commission believes that the Exchanges' proposals to eliminate
their N&G Committees and reassign the N&G Committees' responsibilities
are consistent with the Act. In particular, with respect to vesting the
authority to nominate and elect directors in the sole stockholder, the
Exchanges cite to the rules of another Exchange that similarly does not
maintain an exchange-level nominating committee and instead provides
that the sole stockholder of the Exchange nominates and elects their
non-fair representation directors.\14\ Importantly, the Commission
notes that the proposed rule changes do not substantively impact the
provisions concerning the nomination and selection of fair
representation directors that currently apply to the Exchanges. The
sole stockholder will continue to be bound to nominate and elect the
Representative Director nominees recommended by the Representative
Director Nominating Body and there are no other changes to the process
for the nomination and selection of Representative Directors.
Accordingly, the Commission believes that members of the Exchanges
should continue to have a voice in the governance of the Exchanges
through Board representation and thus will have a voice in the
Exchanges' exercise of their self-regulatory authority. The Exchanges
represent that they are not proposing to amend any of the compositional
requirements currently set forth in the Bylaws and that such existing
compositional requirements must continue to be satisfied, including the
provision relating to the fair representation of members.\15\
---------------------------------------------------------------------------

    \14\ See Section 3.02(f) of the Amended and Restated NYSE Arca,
Inc. Bylaws. See also Notices, supra note 4 at 56078; 56066-67;
56081; and 56074, respectively.
    \15\ See Notices, supra note 4 at 56078; 56067; 56081 and 56074,
respectively.
---------------------------------------------------------------------------

    In addition, with respect to providing the Board, as opposed to the
N&G Committee, with the authority to recommend and approve members of
the Executive Committee, Advisory Board, and ROC, the Commission notes
that other exchanges provide that their Boards, without input from a
nominating committee, may appoint members to committees.\16\ While the
internal Exchange delegations of the authority relating to the (i)
nomination and election of directors, (ii) nominating body for
Representative Directors, (iii)

filling of director vacancies and (iv) appointment of committees are
being amended, the Exchanges represent that the substantive
requirements of the Exchanges applicable to those items will remain the
same.\17\
---------------------------------------------------------------------------

    \16\ See e.g., Eleventh Amended and Restated Operating Agreement
of New York Stock Exchange, LLC, Section 2.03(h) and By-Laws of
Nasdaq Phlx LLC, Section 5-3.
    \17\ See Notices, supra note 4 at 56078; 56067; 56081 and 56074,
respectively.
---------------------------------------------------------------------------

    Finally, the Commission believes that the proposals to update the
exchanges' names in their Certificates are consistent with the Act as
they may also serve to reduce potential confusion by ensuring the
Exchanges' corporate documents reflect their recent name changes.

IV. Accelerated Approval of the Proposal

    The Commission finds good cause, pursuant to Section 19(b)(2) of
the Act,\18\ for approving the proposed rule changes, prior to the 30th
day after publication of the Notices in the Federal Register.\19\ The
Commission believes that the proposed rule changes do not raise novel
regulatory issues and are substantively similar to the existing rules
of other national securities exchanges.\20\ In particular, the
Commission notes that the proposed rule changes do not substantively
impact the provisions concerning the nomination and selection of fair
representation directors that currently apply to the Exchanges. Members
of the Exchanges should continue to have an opportunity to participate
in the selection of Board representation and have input into the
Exchanges' exercise of self-regulatory authority. In addition, the
Commission did not receive any comment on the proposed changes.
Accordingly, the Commission finds that good cause exists to approve the
proposed rule changes on an accelerated basis.
---------------------------------------------------------------------------

    \18\ 15 U.S.C. 78s(b)(2).
    \19\ As noted above, the Notices were published for comment in
the Federal Register on November 27, 2017 and the comment period
closed on December 12, 2017. Accordingly, the 30th day after
publication of the Notices is December 27, 2017.
    \20\ See notes 15 and 17, supra.
---------------------------------------------------------------------------

V. Conclusion

    It is therefore ordered, pursuant to Section 19(b)(2) of the Act
\21\ that the proposed rule changes (SR-CboeBYX-2017-001; SR-CboeBZX-
2017-001; SR-CboeEDGA-2017-001; SR-CboeEDGX-2017-001), be, and hereby
are, approved on an accelerated basis.
---------------------------------------------------------------------------

    \21\ 15 U.S.C. 78s(b)(2).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\22\
Robert W. Errett,
Deputy Secretary.
---------------------------------------------------------------------------

    \22\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

[FR Doc. 2017-27466 Filed 12-20-17; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register: May 16, 2008 (Volume 73, Number 96)]
[Notices]
[Page 28447]
[DOCID:fr16my08-49]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[ Project No. 906-006 (VA)]

Virginia Electric & Power Company; Notice of Availability of
Final Environmental Assessment

May 8, 2008.
    In accordance with the National Environmental Policy Act of 1969
and the Federal Energy Regulatory Commission's regulations, 18 CFR Part
380 (Order No. 486, 52 FR 47879), the Office of Energy Projects has
reviewed the application for a new license for the Cushaw Hydroelectric
Project, located on the James River, near the Town of Glasgow,
Virginia, and has prepared a Final Environmental Assessment (FEA). In
the FEA, Commission staff analyze potential environmental effects of
relicensing the project and conclude that issuing a new license for the
project, with appropriate environmental measures, would not constitute
a major federal action significantly affecting the quality of the human
environment.
    A copy of the FEA is on file with the Commission and is available
for public inspection. The FEA 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. For assistance, contact FERC Online
Support at<EMAIL_ADDRESS>or toll-free at 1-866-208-3676,
or for TTY,<PHONE_NUMBER>. For further information, contact Kristen
Murphy at<PHONE_NUMBER>.

Kimberly D. Bose,
Secretary.
[FR Doc. E8-10959 Filed 5-15-08; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 80, Number 104 (Monday, June 1, 2015)]
[Rules and Regulations]
[Pages 30935-30936]
[FR Doc No: 2015-13137]

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

DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 165

[Docket No. USCG-2015-0209]

Safety Zone; Fourth of July Fireworks, Crescent City, Crescent
City Harbor, Crescent City, CA

AGENCY: Coast Guard, DHS.

ACTION: Notice of enforcement of regulation.

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

SUMMARY: The Coast Guard will enforce the safety zone for the Crescent
City Fourth of July Fireworks display in the Captain of the Port, San
Francisco area of responsibility during the dates and times noted
below. This action is necessary to protect life and property of the
maritime public from the hazards associated with the fireworks display.
During the enforcement period, unauthorized persons or vessels are
prohibited from entering into, transiting through, or anchoring in the
safety zone, unless authorized by the Patrol Commander (PATCOM).

DATES: The regulations in 33 CFR 165.1191, Table 1, Item number 4 will
be enforced from 9:30 p.m. to 10 p.m. on July 4, 2015.

FOR FURTHER INFORMATION CONTACT: If you have questions on this notice,
call or email Lieutenant Junior Grade Joshua Dykman, U.S. Coast Guard
Sector San Francisco; telephone<PHONE_NUMBER> or email at<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: The Coast Guard will enforce the safety zone
established in 33 CFR 165.1191, Table 1, Item number 4 on July 4, 2015.
Upon commencement of the 30 minute fireworks display, scheduled to
begin at 9:30 p.m. on July 4, 2015, the safety zone will encompass the
navigable waters surrounding the land based launch site on the West
Jetty of Crescent City Harbor within a radius of 700 feet in
approximate position 41[deg]44'41'' N., 124[deg]11'59'' W. (NAD 83) for
the Fourth of July Fireworks, Crescent City in 33 CFR 165.1191, Table
1, Item number 4. Upon the conclusion of the fireworks display the
safety zone shall terminate. This safety zone will be in effect from
9:30 p.m. to 10 p.m. on July 4, 2015.
    Under the provisions of 33 CFR 165.1191, unauthorized persons or
vessels are prohibited from entering into, transiting through, or
anchoring in the safety zone during all applicable effective dates and
times, unless authorized to do so by the PATCOM.

Additionally, each person who receives notice of a lawful order or
direction issued by an official patrol vessel shall obey the order or
direction. The PATCOM is empowered to forbid entry into and control the
regulated area. The PATCOM shall be designated by the Commander, Coast
Guard Sector San Francisco. The PATCOM may, upon request, allow the
transit of commercial vessels through regulated areas when it is safe
to do so.
    This notice is issued under authority of 33 CFR 165.1191 and 5
U.S.C. 552(a). In addition to this notice in the Federal Register, the
Coast Guard will provide the maritime community with extensive advance
notification of the safety zone and its enforcement period via the
Local Notice to Mariners.
    If the Captain of the Port determines that the regulated area need
not be enforced for the full duration stated in this notice, a
Broadcast Notice to Mariners may be used to grant general permission to
enter the regulated area.

    Dated: April 23, 2015.
Gregory G. Stump,
Captain, U.S. Coast Guard, Captain of the Port San Francisco.
[FR Doc. 2015-13137 Filed 5-29-15; 8:45 am]
 BILLING CODE 9110-04-P


UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

NATIONAL VEHICLE AND FUEL EMISSIONS LABORATORY

2565 PLYMOUTH ROAD

ANN ARBOR, MICHIGAN 48105-2498

OFFICE OF

AIR AND RADIATION

MEMORANDUM

SUBJECT:	Heavy-Duty Hybrid Onboard Diagnostics

FROM:		Amy Kopin

TO:		The Docket

DATE:		July 21, 2011

	On June 9th, 2011 we held a conference call with Cummins to discuss
concerns raised by Cummins regarding heavy-duty onboard diagnostic (OBD)
requirements and timing. Cummins raised concerns during the comment
period for the heavy-duty greenhouse gas notice of proposed rulemaking
that heavy-duty hybrid applications may not be able to meet the 2013
heavy-duty OBD regulations that were published in the 2009 OBD Final
Rulemaking.,  Specifically, their comments include a request for a delay
of the application of HD OBD requirements for hybrid applications until
2020.   Attendees from this meeting are shown in the table below.

 Attendee 	Affiliation

Cleophas Jackson 	EPA – Compliance and Innovative Strategies Division

Anthony Neam 	EPA – Assessment and Standards Division

Amy Kopin 	EPA – Assessment and Standards Division

Mark Stepper	Cummins

 U.S. EPA, NHTSA, and DOT, “Greenhouse Gas Emission Standards and Fuel
Efficiency Standards for Medium- and Heavy-Duty Engines and Vehicles,”
republished December 29, 2010.  Available here:
http://origin.www.gpo.gov/fdsys/pkg/FR-2010-12-29/html/2010-32726.htm

 U.S. EPA, “Control of Air Pollution from New Motor Vehicles and New
Motor Vehicles Engines; Final Rule Regulations Requiring Onboard
Diagnostic Systems on 2010 and Later Heavy-Duty Engines Used in Highway
Applications Over 14,000 Pounds; Revisions to Onboard Diagnostic
Requirements for Diesel Highway Heavy-Duty Vehicles Under 14,000
Pounds,” published February 24, 2009.  Available here:
http://www.epa.gov/otaq/regs/im/obd/regtech/hd-obd-frm-02-24-09-notice-7
4-fr-8310.pdf


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<p class=MsoNormal style='margin-left:120.0pt;text-indent:-120.0pt;tab-stops:
120.0pt;mso-layout-grid-align:none;text-autospace:none'><b><span
style='mso-bidi-font-family:Calibri;color:black'>From:<span style='mso-tab-count:
1'>                                         </span></span></b><span
style='mso-bidi-font-family:Calibri;color:black'>Waters, Jason
[watersj@epchc.org]<o:p></o:p></span></p>

<p class=MsoNormal style='margin-left:120.0pt;text-indent:-120.0pt;tab-stops:
120.0pt;mso-layout-grid-align:none;text-autospace:none'><b><span
style='mso-bidi-font-family:Calibri;color:black'>Sent:<span style='mso-tab-count:
1'>                                           </span></span></b><span
style='mso-bidi-font-family:Calibri;color:black'>Friday, April 26, 2013 1:22 PM<o:p></o:p></span></p>

<p class=MsoNormal style='margin-left:120.0pt;text-indent:-120.0pt;tab-stops:
120.0pt;mso-layout-grid-align:none;text-autospace:none'><b><span
style='mso-bidi-font-family:Calibri;color:black'>To:<span style='mso-tab-count:
1'>                                               </span></span></b><span
style='mso-bidi-font-family:Calibri;color:black'>Topham, Nathan; 'Pell, Leigh'<o:p></o:p></span></p>

<p class=MsoNormal style='margin-left:120.0pt;text-indent:-120.0pt;tab-stops:
120.0pt;mso-layout-grid-align:none;text-autospace:none'><b><span
style='mso-bidi-font-family:Calibri;color:black'>Cc:<span style='mso-tab-count:
1'>                                               </span></span></b><span
style='mso-bidi-font-family:Calibri;color:black'>Lee, Diana; Hathaway, Stephen;
Woodard, Sterlin<o:p></o:p></span></p>

<p class=MsoNormal style='margin-left:120.0pt;text-indent:-120.0pt;tab-stops:
120.0pt;mso-layout-grid-align:none;text-autospace:none'><b><span
style='mso-bidi-font-family:Calibri;color:black'>Subject:<span
style='mso-tab-count:1'>                                     </span></span></b><span
style='mso-bidi-font-family:Calibri;color:black'>Lead NESHAP and CO2 correction<o:p></o:p></span></p>

<p class=MsoNormal style='margin-left:120.0pt;text-indent:-120.0pt;tab-stops:
120.0pt;mso-layout-grid-align:none;text-autospace:none'><b><span
style='mso-bidi-font-family:Calibri;color:black'>Attachments:<span
style='mso-tab-count:1'>                          </span></span></b><span
style='mso-bidi-font-family:Calibri;color:black'>201304261236.pdf<o:p></o:p></span></p>

<p class=MsoNormal><o:p> </o:p></p>

<p class=MsoNormal><span style='color:#1F497D'>Leigh Ann & Nathan,<o:p></o:p></span></p>

<p class=MsoNormal><span style='color:#1F497D'><o:p> </o:p></span></p>

<p class=MsoNormal><span style='color:#1F497D'>EnviroFocus has responded (see
attached) and stated they do not believe that the THC emissions should be
corrected to % CO2 because the new NESHAP does not go into effect until Jan
2014.  The old NESHAP did not specify a % CO2 correction, but we always
felt it was implied.   <o:p></o:p></span></p>

<p class=MsoNormal><span style='color:#1F497D'><o:p> </o:p></span></p>

<p class=MsoNormal><span style='color:#1F497D'>Based on our previous
discussion, we all believed it had to be corrected to %CO2 , otherwise a ppm
limit can be met by introducing excess clean air.  We will be discussing
in-house here, and most likely proceeding with re-iterating our requirement to
perform another THC test.  Please let me know your thoughts.<o:p></o:p></span></p>

<p class=MsoNormal><span style='color:#1F497D'><o:p> </o:p></span></p>

<p class=MsoNormal><span style='color:#1F497D'>Sincerely,<o:p></o:p></span></p>

<p class=MsoNormal><span style='color:#1F497D'><o:p> </o:p></span></p>

<div>

<p class=MsoNormal><span style='font-size:10.0pt;font-family:"Arial","sans-serif";
color:#1F497D'>Jason Waters, P.E.</span><span style='color:#1F497D'><o:p></o:p></span></p>

<p class=MsoNormal><span style='font-size:10.0pt;font-family:"Arial","sans-serif";
color:#1F497D'>Chief, Industrial Air Compliance</span><span style='color:#1F497D'><o:p></o:p></span></p>

<p class=MsoNormal><span style='font-size:10.0pt;font-family:"Arial","sans-serif";
color:#1F497D'>Air Management Division</span><span style='color:#1F497D'><o:p></o:p></span></p>

<p class=MsoNormal><span style='font-size:10.0pt;font-family:"Arial","sans-serif";
color:#1F497D'>Environmental Protection Commission of Hillsborough County</span><span
style='color:#1F497D'><o:p></o:p></span></p>

<p class=MsoNormal><span style='font-size:10.0pt;font-family:"Arial","sans-serif";
color:#1F497D'>3629 Queen Palm Drive</span><span style='color:#1F497D'><o:p></o:p></span></p>

<p class=MsoNormal><span style='font-size:10.0pt;font-family:"Arial","sans-serif";
color:#1F497D'>Tampa, FL  33619</span><span style='color:#1F497D'><o:p></o:p></span></p>

<p class=MsoNormal><span style='font-size:10.0pt;font-family:"Arial","sans-serif";
color:#1F497D'>813-627-2600 x1269</span><span style='color:#1F497D'><o:p></o:p></span></p>

<p class=MsoNormal><span style='font-size:10.0pt;font-family:"Arial","sans-serif";
color:#1F497D'>813-627-2660 FAX<o:p></o:p></span></p>

<p class=MsoNormal><span style='color:#1F497D'><o:p> </o:p></span></p>

<p class=MsoNormal><i><span style='font-size:9.0pt;font-family:"Verdana","sans-serif";
color:#003300'>An Agency with values of e</span></i><i><span style='font-size:
9.0pt;font-family:"Verdana","sans-serif";color:#1F497D'>nvironmental
stewardship, integrity, honesty, and a culture of fairness and cooperation</span></i><i><span
style='font-size:9.0pt;color:#1F497D'><o:p></o:p></span></i></p>

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<p class=MsoNormal><span style='color:#1F497D'><o:p> </o:p></span></p>

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<p class=MsoNormal style='mso-outline-level:1'><b><span style='font-size:10.0pt;
font-family:"Tahoma","sans-serif"'>From:</span></b><span style='font-size:10.0pt;
font-family:"Tahoma","sans-serif"'> Angela Fogarty [<a
href="mailto:Angela.Fogarty<EMAIL_ADDRESS><br>
<b>Sent:</b> Friday, April 26, 2013 12:43 PM<br>
<b>To:</b> Waters, Jason<br>
<b>Subject:</b> Petition<o:p></o:p></span></p>

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<p class=MsoNormal><o:p> </o:p></p>

<p class=MsoNormal><span style='color:black'>Jason,<o:p></o:p></span></p>

<p class=MsoNormal><span style='color:black'>ABR has not yet submitted the
petition.  The last Russell saw it had been circulated in draft to the ABR
members on Tuesday with comments due back to ABR counsel today Friday the 26<sup>th</sup>.
<o:p></o:p></span></p>

<p class=MsoNormal><span style='color:black'>Attached is the letter that was
fedexed to you on April 5, 2013. Also, see below for highlighted section
relating to the petition.<o:p></o:p></span></p>

<p class=MsoNormal><o:p> </o:p></p>

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<EMAIL_ADDRESS></v:shape><![endif]--><![if !vml]><img border=0 width=936 height=213
src="Lead%20NESHAP%20and%20CO2%20correction_files/image002.jpg" v:shapes="_x0000_i1025"><![endif]></p>

<p class=MsoNormal><o:p> </o:p></p>

<p class=MsoNormal><o:p> </o:p></p>

<p class=MsoNormal><span style='font-size:9.0pt;font-family:"Arial Bold";
color:#404040'>ANGELA M FOGARTY<br>
ENVIRONMENTAL HEALTH & SAFETY MANAGER<br>
</span><span style='font-size:9.0pt;font-family:"Arial Bold";color:#262626'><br>
</span><span style='font-size:9.0pt;font-family:"Arial","sans-serif";
color:#7F7F7F'>6505 Jewel Avenue • Tampa, Florida 33619<br>
813-744-5006 • Fax<PHONE_NUMBER></span><a name="_GoBack"></a><span
style='font-size:9.0pt;font-family:"Arial","sans-serif";color:#7E7E7E'> •
813-620-3260<br>
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color:gray'><br>
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