24746 Federal Register / Vol. 77, No. 80 / Wednesday, April 25, 2012 / Notices 

NUCLEAR REGULATORY 

COMMISSION 

[NRC–2010–0158] 

Constraint on Releases of Airborne 

Radioactive Materials to the 

Environment for Licensees Other Than 

Power Reactors 

AGENCY: Nuclear Regulatory 

Commission. 

ACTION: Regulatory guide; issuance. 

SUMMARY: The U.S. Nuclear Regulatory 

Commission (NRC) is issuing a revision 

to Regulatory Guide (RG) 4.20, 

‘‘Constraint on Releases of Airborne 

Radioactive Materials to the 

Environment for Licensees other than 

Power Reactors.’’ This RG provides 

guidance on methods acceptable to the 

NRC’s staff for meeting the constraint on 

airborne emissions of radioactive 

material to the environment. 

ADDRESSES: Please refer to Docket ID 

NRC–2010–0158 when contacting the 

NRC about the availability of 

information regarding this document. 

You may access information related to 

this document, which the NRC 

possesses and is publicly available, 

using the following methods: 

• Federal Rulemaking Web site: Go to 

http://www.regulations.gov and search 

for Docket ID NRC–2010–0158. Address 

questions about NRC dockets to Carol 

Gallagher; telephone: 301–492–3668; 

email: Carol.Gallagher@nrc.gov. 

• NRC’s Agencywide Documents 

Access and Management System 

(ADAMS): You may access publicly 

available documents online in the NRC 

Library at http://www.nrc.gov/readingrm/adams.html. To begin the search, 

select ‘‘ADAMS Public Documents’’ and 

then select ‘‘Begin Web-based ADAMS 

Search.’’ For problems with ADAMS, 

please contact the NRC’s Public 

Document Room (PDR) reference staff at 

1–800–397–4209, 301–415–4737, or by 

email to pdr.resource@nrc.gov. The 

ADAMS accession number for each 

document referenced in this notice (if 

that document is available in ADAMS) 

is provided the first time that a 

document is referenced. Revision 1 of 

RG 4.20 is available in ADAMS under 

Accession No. ML110120299. The 

regulatory analysis may be found in 

ADAMS under Accession No. 

ML110120351. 

• NRC’s PDR: You may examine and 

purchase copies of public documents at 

the NRC’s PDR, Room O1–F21, One 

White Flint North, 11555 Rockville 

Pike, Rockville, Maryland 20852. 

Regulatory guides are not 

copyrighted, and NRC approval is not 

required to reproduce them. 

FOR FURTHER INFORMATION CONTACT: 

Mekonen Bayssie, Regulatory Guide 

Development Branch, Division of 

Engineering, Office of Nuclear 

Regulatory Research, U.S. Nuclear 

Regulatory Commission, Washington, 

DC 20555–0001, telephone: 301–251– 

7489; email: Mekonen.Bayssie@nrc.gov. 

SUPPLEMENTARY INFORMATION: 

I. Introduction 

The NRC is issuing a revision to an 

existing guide in the NRC’s ‘‘Regulatory 

Guide’’ series. This series was 

developed to describe and make 

available to the public information such 

as methods that are acceptable to the 

NRC staff for implementing specific 

parts of the agency’s regulations, 

techniques that the staff uses in 

evaluating specific problems or 

postulated accidents, and data that the 

staff needs in its review of applications 

for permits and licenses. 

Revision 1 of RG 4.20 was issued with 

a temporary identification as Draft 

Regulatory Guide (DG)–4018. This RG 

provides guidance on methods 

acceptable to the NRC staff for meeting 

the constraint on airborne emissions of 

radioactive material to the environment 

as described in Title 10 of the Code of 

Federal Regulations (10 CFR) 

20.1101(d). In 1996, the NRC added a 

constraint to 10 CFR part 20, ‘‘Standards 

for Protection Against Radiation,’’ to 

remove dual regulation by the NRC and 

the U.S. Environmental Protection 

Agency and to provide an ‘‘ample 

margin of safety’’ to members of the 

public from airborne emissions of 

radioactive material to the environment. 

In 10 CFR 20.1101(d), the NRC states 

the following: 

To implement the ALARA (as low as is 

reasonably achievable) requirements of 

§ 20.1101(b), and notwithstanding the 

requirements in § 20.1301 of this part, a 

constraint on air emissions of radioactive 

material to the environment, excluding 

radon-222 and its daughters, shall be 

established by licensees other than those 

subject to § 50.34a, such that the individual 

member of the public likely to receive the 

highest dose will not be expected to receive 

a total effective dose equivalent in excess of 

10 mrem [millirem] (0.1 mSv [millisievert]) 

per year from these emissions. If a licensee 

subject to this requirement exceeds this dose 

constraint, the licensee shall report the 

exceedance as provided in § 20.2203 and 

promptly take appropriate corrective action 

to ensure against recurrence. 

The NRC staff examines licensee 

programs to determine whether they 

comply with the requirements in 10 

CFR part 20. This guide addresses only 

a part of a licensee’s overall radiation 

protection program. Specifically, it 

addresses methods that licensees can 

use to demonstrate that they meet the 

constraint on airborne emissions of 

radioactive material to the environment. 

In addition to controlling doses from 

airborne emissions of radioactive 

material to the environment, licensees 

must implement a radiation protection 

program that controls liquid effluents 

and dose rates in unrestricted areas. 

II. Further Information 

On April 20, 2010 (75 FR 20645), DG– 

4018 was published in the Federal 

Register and it was reopened for a 60- 

day public comment period on June 25, 

2010 (75 FR 36445). The public 

comment period closed on August 23, 

2010. The Federal Register notice (FRN) 

dated June 25, 2010 (75 FR 36445), 

inadvertently cited the ADAMS 

accession number for the original FRN 

noticing the issuance of DG–4018 (75 FR 

20645; ADAMS Accession No. 

ML092600090) in place of the ADAMS 

accession number for DG–4018 

(ADAMS Accession No. ML092590180). 

However, the original FRN noticing the 

issuance of DG–4018 (75 FR 20645; 

ADAMS Accession No. ML092600090) 

cited the correct ADAMS accession 

number for DG–4018. 

Dated at Rockville, Maryland, this 17th day 

of April, 2012. 

For the Nuclear Regulatory Commission. 

Mark Orr, 

Acting Chief, Regulatory Guide Development 

Branch, Division of Engineering, Office of 

Nuclear Regulatory Research. 

[FR Doc. 2012–9998 Filed 4–24–12; 8:45 am] 

BILLING CODE 7590–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

Proposed Collection; Comment 

Request 

Upon Written Request, Copies Available 

From: U.S. Securities and Exchange 

Commission, Office of Investor 

Education and Advocacy, 

Washington, DC 20549–0213. 

Extension: 

Rule 17a–11; SEC File. No. 270–94; OMB 

Control No. 3235–0085. 

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’’) is soliciting comments 

on the existing collection of information 

provided for in Rule 17a–11 (17 CFR 

240.17a–11) under the Securities 

Exchange Act of 1934 (15 U.S.C. 78a et 

seq.) (‘‘Exchange Act’’). The 

Commission plans to submit this 

existing collection of information to the 


pmangrum on DSK3VPTVN1PROD with NOTICES
Federal Register / Vol. 77, No. 80 / Wednesday, April 25, 2012 / Notices 24747 

Office of Management and Budget for 

extension and approval. 

In response to an operational crisis in 

the securities industry between 1967 

and 1970, the Commission adopted Rule 

17a–11 (17 CFR 240.17a–11) under the 

Exchange Act on July 11, 1971. The 

Rule requires broker-dealers that are 

experiencing financial or operational 

difficulties to provide notice to the 

Commission, the broker-dealer’s 

designated examining authority 

(‘‘DEA’’), and the Commodity Futures 

Trading Commission (‘‘CFTC’’) if the 

broker-dealer is registered with the 

CFTC as a futures commission 

merchant. Rule 17a–11 is an integral 

part of the Commission’s financial 

responsibility program which enables 

the Commission, a broker-dealer’s DEA, 

and the CFTC to increase surveillance of 

a broker-dealer experiencing difficulties 

and to obtain any additional 

information necessary to gauge the 

broker-dealer’s financial or operational 

condition. 

Rule 17a–11 also requires over-thecounter (‘‘OTC’’) derivatives dealers and 

broker-dealers that are permitted to 

compute net capital pursuant to 

Appendix E to Exchange Act Rule 15c3– 

1 to notify the Commission when their 

tentative net capital drops below certain 

levels. OTC derivatives dealers must 

also provide notice to the Commission 

of backtesting exceptions identified 

pursuant to Appendix F of Rule 15c3– 

1 (17 CFR 15c3–1f). 

Compliance with the Rule is 

mandatory. The Commission will 

generally not publish or make available 

to any person notices or reports received 

pursuant to Rule 17a–11. The 

Commission believes that information 

obtained under Rule 17a–11 relates to a 

condition report prepared for the use of 

the Commission, other federal 

governmental authorities, and securities 

industry self-regulatory organizations 

responsible for the regulation or 

supervision of financial institutions. 

Only broker-dealers whose capital 

declines below certain specified levels 

or who are otherwise experiencing 

financial or operational problems have a 

reporting burden under Rule 17a–11. In 

2011, the Commission received 

approximately 465 notices under this 

Rule, including one notice from an OTC 

derivatives dealer permitted to compute 

net capital pursuant to Appendix E to 

Exchange Act Rule 15c3–1. 

Each broker-dealer reporting pursuant 

to Rule 17a–11 will spend 

approximately one hour preparing and 

transmitting the notice required by the 

rule. Accordingly, the total estimated 

annualized burden under Rule 17a–11 is 

465 hours. 

Written comments are invited on: (a) 

Whether the proposed collection of 

information is necessary for the proper 

performance of the functions of the 

Commission, including whether the 

information shall have practical utility; 

(b) the accuracy of the Commission’s 

estimate of the burden of the proposed 

collection of information; (c) ways to 

enhance the quality, utility, and clarity 

of the information on respondents; 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. 

The Commission may not conduct or 

sponsor a collection of information 

unless it displays a current valid control 

number. No person shall be subject to 

any penalty for failing to comply with 

a collection of information subject to the 

PRA that does not display a valid Office 

of Management and Budget (OMB) 

control number. 

Please direct your written comments 

to: Thomas Bayer, Director/Chief 

Information Officer, Securities and 

Exchange Commission, c/o Remi PavlikSimon, 6432 General Green Way, 

Alexandria, VA 22312 or send an email 

to: PRA_Mailbox@sec.gov. 

Dated: April 19, 2012. 

Elizabeth M. Murphy, 

Secretary. 

[FR Doc. 2012–9938 Filed 4–24–12; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

Proposed Extension of Existing 

Collection; Comment Request 

Upon Written Request, Copies Available 

From: Securities and Exchange 

Commission, Office of Investor 

Education and Advocacy, 

Washington, DC 20549–0213. 

Extension: 

Rule 17a–6; OMB Control No. 3235–0489; 

SEC File No. 270–433. 

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’’) is soliciting comments 

on the collection of information 

summarized below. The Commission 

plans to submit this existing collection 

of information to the Office of 

Management and Budget for extension 

and approval. 

Rule 17a–6 (17 CFR 240.17a–6) under 

the Securities Exchange Act of 1934 (15 

U.S.C. 78a et seq.) permits national 

securities exchanges, national securities 

associations, registered clearing 

agencies, and the Municipal Securities 

Rulemaking Board (‘‘MSRB’’) 

(collectively, ‘‘SROs’’) to destroy or 

convert to microfilm or other recording 

media records maintained under Rule 

17a–1, if they have filed a record 

destruction plan with the Commission 

and the Commission has declared such 

plan effective. 

There are currently 26 SROs: 15 

national securities exchanges, 1 national 

securities association, the MSRB, and 9 

registered clearing agencies. Of the 26 

SROs, 2 SRO respondents have filed a 

record destruction plan with the 

Commission. The staff calculates that 

the preparation and filing of a new 

record destruction plan should take 160 

hours. Further, any existing SRO record 

destruction plans may require revision, 

over time, in response to, for example, 

changes in document retention 

technology, which the Commission 

estimates will take much less than the 

160 hours estimated for a new plan. 

Thus, the total annual compliance 

burden is estimated to be 60 hours per 

year. The approximate cost per hour is 

$305, resulting in a total cost of 

compliance for these respondents of 

$18,300 per year (30 hours @ $305 per 

hour). 

Written comments are invited on: (a) 

Whether the proposed collection of 

information is necessary for the proper 

performance of the functions of the 

Commission, including whether the 

information shall have practical utility; 

(b) the accuracy of the Commission ’s 

estimate of the burden of the 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. 

The Commission may not conduct or 

sponsor a collection of information 

unless it displays a currently valid 

control number. No person shall be 

subject to any penalty for failing to 

comply with a collection of information 

subject to the PRA that does not display 

a valid Office of Management and 

Budget (OMB) control number. 

Comments should be directed to 

Thomas Bayer, Director/Chief 

Information Officer, Securities and 


pmangrum on DSK3VPTVN1PROD with NOTICES