Federal Register / Vol. 71, No. 171 / Tuesday, September 5, 2006 / Notices 52349 

SUMMARY: In compliance with the 

requirement of Section 3506(c)(2)(A) of 

the Paperwork Reduction Act of 1995 

for opportunity for public comment on 

proposed data collection projects, the 

National Science Foundation (NSF) will 

publish periodic summaries of proposed 

projects. 

Comments are invited on (a) Whether 

the proposed collection of information 

is necessary for the proper performance 

of the functions of the agency, including 

whether the information shall have 

practical utility; (b) the accuracy of the 

agency’s estimate of the burden of the 

proposed collection of information; (c) 

ways to enhance the quality, utility, and 

clarity of the information to be 

collected; and (d) ways to minimize the 

burden of the collection of information 

on respondents, including through the 

use of automated collection techniques 

or other forms of information 

technology. 

DATES: Written comments on this notice 

must be received by November 6, 2006 

to be assured of consideration. 

Comments received after that date will 

be considered to the extent practicable. 

FOR ADDITIONAL INFORMATION OR

COMMENTS: Contact Suzanne Plimpton, 

Acting Reports Clearance Officer, 

National Science Foundation, 4201 

Wilson Boulevard, Suite 295, Arlington, 

Virginia 22230; telephone 703–292–

7556; or send e-mail to 

splimpto@nsf.gov. Individuals who use 

a telecommunications device for the 

deaf (TDD) may call the Federal 

Information Relay Service (FIRS) at 1–

800–877–8339 between 8 a.m. to 8 p.m., 

Eastern time, Monday through Friday. 

You also may obtain a copy of the date 

collection instrument and instructions 

from Ms. Hines. 

SUPPLEMENTARY INFORMATION: 

Title of Collection: Model Institutions 

for Excellence Graduates’ Survey. 

OMB Approval Number: 3145–NEW. 

Expiration Date of Approval: Not 

Applicable. 

Type of Request: Intent to seek 

approval to establish an information 

collection for three years. 

Proposed Project: The Division of 

Human Resource Development (EHR/ 

HRD) of the National Science 

Foundation (NSF) has requested impact 

information on the Model Institutions 

for Excellence (MIE) Program. Jointly 

funded by NSF and the National 

Aeronautics and Space Administration 

(NASA), the MIE Program funded eight 

minority-service undergraduate 

institutions to promote under 

represented minority participation in 

the fields of science, technology, 

engineering and mathematics (STEM). 

Now NSF seeks follow-up information 

on program graduates to determine 

whether or not they have continued 

their education in STEM graduate 

programs and/or STEM employment, 

and how the MIE program influence 

their decisions with respect to graduate 

school and employment. NSF proposed 

a one-time on-line survey of the 931 

MIE students who received bachelor’s 

degrees in a STEM field from one of the 

MIE colleges between 2002 through 

2005. 

Estimate of Burden: The Foundation 

estimates that, on average, 30 minutes 

per respondent will be required to 

complete the survey, for a total of 465.5 

hours for all respondents. Respondents 

from the eight institutions that received 

NSF MIE support will complete this 

survey once. 

Respondents: STEM graduates from 

MIE programs. 

Estimated Number of Responses: 931. 

Estimates Total Annual Burden on 

Respondents: 465.5 hours. 

Dated: August 29, 2006. 

Suzanne Plimpton, 

Reports Clearance Officer, National Science 

Foundation. 

[FR Doc. 06–7388 Filed 9–1–06; 8:45 am] 

BILLING CODE 7555–01–M 

PENSION BENEFIT GUARANTY 

CORPORATION 

Request for Extension of Approval of 

a Collection of Information Under the 

Paperwork Reduction Act; Comment 

Request; Customer Satisfaction 

Surveys and Focus Groups 

AGENCY: Pension Benefit Guaranty 

Corporation. 

ACTION: Notice of request for extension 

of OMB approval. 

SUMMARY: The Pension Benefit Guaranty 

Corporation is requesting that the Office 

of Management and Budget extend its 

approval of a collection of information 

under the Paperwork Reduction Act. 

The purpose of the information 

collection, which will be conducted 

through focus groups and surveys over 

a three-year period, is to help the PBGC 

assess the efficiency and effectiveness 

with which it serves its customers and 

to design actions to address identified 

problems. 

DATES: Comments should be submitted 

by October 5, 2006. 

ADDRESSES: Comments may be mailed to 

the Office of Information and Regulatory 

Affairs of the Office of Management and 

Budget, Attn: Desk Officer for Pension 

Benefit Guaranty Corporation, 

Washinton, DC 20503. Copies of the 

request for extension (including the 

collection of information) may be 

obtained without charge by writing to 

the Disclosure Division of the Office of 

the General Counsel of PBGC at 1200 K 

Street, NW., 11th Floor, Washington, DC 

20005–4026, or by visiting or calling 

(202–326–4040) the Disclosure Division 

during normal business hours. (TTY and 

TDD users may call the Federal relay 

service toll-free at 1–800–877–8339 and 

ask to be connected to 202–326–4040.) 

FOR FURTHER INFORMATION CONTACT: 

Thomas H. Gabriel, Attorney, 

Legislative and Regulatory Department, 

Pension Benefit Guaranty Corporation, 

1200 K Street, NW., Washington, DC 

20005–4026, 202–326–4024. (TTY and 

TDD users may call the Federal relay 

service toll-free at 1–800–877–8339 and 

ask to be connected to 202–326–4024.) 

SUPPLEMENTARY INFORMATION: An agency 

may not conduct or sponsor, and a 

person is not required to respond to, a 

collection of information unless it 

displays a currently valid OMB contorl 

number. 

The PBGC is requesting that OMB 

extend its approval, for a three-year 

period, of a generic collection of 

information consisting of customer 

satisfaction focus groups and surveys 

(OMB No. 1212–0053; expires October 

31, 2006). The information collection 

will further the goals of Executive Order 

12862, Setting Customer Service 

Standards, which states the Federal 

Government must seek to provide ‘‘the 

highest quality of service delivered to 

customers by private organizations 

providing a comparable or analogous 

service.’’

The PBGC uses customer satisfaction 

focus groups and surveys to find out 

about the needs and expectations of its 

customers and assess how well it is 

meeting those needs and expectations. 

By keeping these avenues of 

communication open, the PBGC can 

continually improve service to its 

customers, including plan participants 

and beneficiaries, plan sponsors and 

their affiliates, plan administrators, 

pension practitioners, and others 

involved in the establishment, operation 

and termination of plans covered by the 

PBGC’s insurance program. Because the 

areas of concern to the PBGC and its 

customers vary and may quickly change, 

it is important that the PBGC have the 

ability to evaluate customer concerns 

quickly by developing new vehicles for 

gathering information under this generic 

approval. The focus groups and surveys 

will provide important information on 

customer attitudes about the delivery 

and quality of agency services and will 


sroberts on PROD1PC70 with NOTICES
52350 Federal Register / Vol. 71, No. 171 / Tuesday, September 5, 2006 / Notices 

1Rule 17a–5(c) requires a broker or dealer to 

furnish certain of its financial information to 

customers and is subject to a separate PRA filing 

(OMB Control Number 3235–0199). 

2Part IIB of Form X–17A–5 must be filed by OTC 

derivatives dealers under Exchange Act Rule 17a–

12 and is subject to a separate PRA filing (OMB 

Control Number 3235–0498). 

be used as part of an ongoing process to 

improve PBGC programs. 

Participation in the focus groups and 

surveys will be voluntary. The PBGC 

estimates that the annual burden for this 

collection of information will total 1,400 

hours for 4,200 respondents. The PBGC 

further estimates that the cost to 

respondents per burden hour will 

average $65, resulting in a total cost of 

$91,000 ($65 × 1,400). The PBGC will 

consult with OMB regarding each 

specific information collection during 

the approval period. 

On May 8, 2006, the PBGC published 

in the Federal Register a notice of 

intention to request extension of OMB 

approval of this collection. No 

comments were received in response to 

the notice. 

Issued at Washington, DC, this 30th day of 

August 2006. 

Cris Birch, 

Acting Chief Information Officer, Pension 

Benefit Guaranty Corporation. 

[FR Doc. 06–7424 Filed 9–1–06; 8:45 am] 

BILLING CODE 7709–01–M 

SECURITIES AND EXCHANGE 

COMMISSION 

Proposed Collection; Comment 

Request 

Upon Written Request, Copies Available 

From: Securities and Exchange 

Commission, Office of Filings and 

Information Services, Washington, DC 

20549. 

Extension: 

Rule 17a–5; SEC File No. 270–155; OMB 

Control No. 3235–0123. 

Notice is hereby given that pursuant 

to the Paperwork Reduction Act of 1995 

(44 U.S.C. 3501 et seq.), the Securities 

and Exchange Commission 

(‘‘Commission’’) plans to submit this 

existing collection of information to the 

Office of Management and Budget for 

extension and approval. 

Rule 17a–5 (17 CFR 240.17a–5) is the 

basic financial reporting rule for brokers 

and dealers.1 The Rule requires the 

filing of the Financial and Operational 

Combined Uniform Single Report 

(‘‘FOCUS Report’’) on Form X–17A–5 

(17 CFR 240.15c3–1e), which was the 

result of years of study and comments 

by representatives of the securities 

industry through advisory committees 

and through the normal rule proposal 

methods. The FOCUS Report was 

designed to eliminate the overlapping 

regulatory reports required by various 

self-regulatory organizations and the 

Commission and to reduce reporting 

burdens as much as possible. The Rule 

also requires the filing of an annual 

audited report of financial statements. 

The FOCUS Report consists of: (1) 

Part I, which is a monthly report that 

must be filed by brokers or dealers that 

clear transactions or carry customer 

securities; (2) one of three alternative 

quarterly reports: Part II, which must be 

filed by brokers or dealers that clear 

transactions or carry customer 

securities; Part IIA, which must be filed 

by brokers or dealers that do not clear 

transactions or carry customer 

securities; and Part IIB, which must be 

filed by specialized broker-dealers 

registered with the Commission as OTC 

derivatives dealers; 2 (3) supplemental 

schedules, which must be filed 

annually; and (4) a facing page, which 

must be filed with the annual audited 

report of financial statements. Under the 

Rule, a broker or dealer that computes 

certain of its capital charges in 

accordance with Appendix E to 

Exchange Act Rule 15c3–1 (17 CFR 

240.15c3–1e) must file additional 

monthly, quarterly, and annual reports 

with the Commission. 

The variation in the size and 

complexity of brokers and dealers 

subject to Rule 17a–5 and the 

differences in the FOCUS Report forms 

that must be filed under the Rule make 

it difficult to calculate the cost of 

compliance. However, we estimate that, 

on average, each report will require 

approximately 12 hours. At year-end 

2005, the Commission estimates that 

there were approximately 6,200 brokers 

or dealers, and that of those firms, there 

were approximately 600 brokers or 

dealers that clear transactions or carry 

customer securities. In addition, 

approximately 400 firms filed annual 

reports. The Commission therefore 

estimates that approximately 600 firms 

filed monthly reports, approximately 

5,600 firms filed quarterly reports, and 

approximately 400 firms filed annual 

reports. In addition, approximately 

6,200 firms filed annual audited reports. 

As a result, there were approximately 

36,200 total annual responses ((600 × 

12) + (5,600 × 4) + 400 + 6,200 = 36,200. 

This results in an estimated annual 

burden of 434,400 hours (36,200 annual 

responses × 12 hours = 434,400). 

In addition, we estimate that 

approximately 11 brokers or dealers will 

elect to use Appendix E to Rule 15c3–

1 to compute certain of their capital 

charges (as of June 2006, five brokers or 

dealers have elected to use Appendix E). 

We estimate that the average amount of 

time necessary to prepare and file the 

additional monthly reports that must be 

filed by these firms is about 4 hours per 

month, or approximately 48 hours per 

year; the average amount of time 

necessary to prepare and file the 

additional quarterly reports is about 8 

hours per quarter, or approximately 32 

hours per year; and the average amount 

of time necessary to prepare and file the 

additional supplemental reports with 

the annual audit required is 

approximately 40 hours per year. 

Consequently, we estimate that the total 

additional annual burden for these 11 

brokers or dealers is approximately 

1,320 hours ((48 + 32 + 40) × 11 = 

1,320). 

The Commission therefore estimates 

that the total annual burden under Rule 

17a–5 is approximately 435,700 hours 

(434,400 + 1,320 = 435,720, rounded to 

435,700). 

Written comments are invited on: (a) 

Whether the proposed collection of 

information is necessary for the proper 

performance of the functions of the 

agency, including whether the 

information shall have practical utility; 

(b) the accuracy of the agency’s estimate 

of the burden of the proposed collection 

of information; (c) ways to enhance the 

quality, utility, and clarity of the 

information to be collected; and (d) 

ways to minimize the burden of the 

collection of information on 

respondents, including through the use 

of automated collection techniques or 

other forms of information technology. 

Consideration will be given to 

comments and suggestions submitted in 

writing within 60 days of this 

publication. 

Comments should be directed to: R. 

Corey Booth, Director/Chief Information 

Officer, Securities and Exchange 

Commission, c/o Shirley Martinson, 

6432 General Green Way, Alexandria, 

VA 22312, or by e-mail to 

PRA_Mailbox@sec.gov. Comments must 

be submitted to the Office of 

Management and Budget within 60 days 

of this notice. 

Dated: August 28, 2006. 

Nancy M. Morris, 

Secretary. 

[FR Doc. E6–14596 Filed 9–1–06; 8:45 am] 

BILLING CODE 8010–01–P 


sroberts on PROD1PC70 with NOTICES