Federal Register / Vol. 77, No. 216 / Wednesday, November 7, 2012 / Notices 66819 

1See Exemptive Order Regarding Compliance 

with Certain Swap Regulations, 77 FR 41110, July 

12, 2012. 

2See 17 CFR 145.9. 

3See CFTC and Securities and Exchange 

Commission (‘‘SEC’’), Further Definition of ‘‘Swap,’’ 

Continued 

promoters and responses from the 

invention promoters to these 

complaints. An individual may submit 

a complaint to the USPTO, which will 

then forward the complaint to the 

identified invention promoter for 

response. The complaints and responses 

are published on the USPTO Web site. 

The public uses this information 

collection to submit a complaint to the 

USPTO regarding an invention promoter 

or to respond to a complaint. The 

USPTO uses this information to comply 

with its statutory duty to publish the 

complaint along with any response from 

the invention promoter. The USPTO 

does not investigate these complaints or 

participate in any legal proceedings 

against invention promoters or 

promotion firms. 

Affected Public: Individuals or 

households; businesses or other forprofits; and not-for-profit institutions. 

Frequency: On occasion. 

Respondent’s Obligation: Voluntary. 

OMB Desk Officer: Nicholas A. Fraser, 

email: 

Nicholas_A._Fraser@omb.eop.gov. 

Once submitted, the request will be 

publicly available in electronic format 

through the Information Collection 

Review page at www.reginfo.gov. 

Paper copies can be obtained by: 

• Email: 

InformationCollection@uspto.gov. 

Include ‘‘0651–0044 copy request’’ in 

the subject line of the message. 

• Mail: Susan K. Fawcett, Records 

Officer, Office of the Chief Information 

Officer, United States Patent and 

Trademark Office, P.O. Box 1450, 

Alexandria, VA 22313–1450. 

Written comments and 

recommendations for the proposed 

information collection should be sent on 

or before December 7, 2012 to Nicholas 

A. Fraser, OMB Desk Officer, via email 

to Nicholas_A._Fraser@omb.eop.gov, or 

by fax to 202–395–5167, marked to the 

attention of Nicholas A. Fraser. 

Dated November 2, 2012. 

Susan K. Fawcett, 

Records Officer, Office of the Chief 

Information Officer, USPTO. 

[FR Doc. 2012–27224 Filed 11–6–12; 8:45 am] 

BILLING CODE 3510–16–P 

COMMODITY FUTURES TRADING 

COMMISSION 

Agency Information Collection 

Activities: Notice of Intent To Extend 

Collection 3038–0098: Exemptive 

Order Regarding Compliance With 

Certain Swap Regulations 

AGENCY: Commodity Futures Trading 

Commission. 

ACTION: Notice. 

SUMMARY: The Commodity Futures 

Trading Commission (‘‘Commission’’ or 

‘‘CFTC’’) is announcing an opportunity 

for public comment on the proposed 

extension of its current approval from 

the Office of Management and Budget 

(‘‘OMB ’’) of an information collection 

request (‘‘ICR’’) titled ‘‘Exemptive Order 

Regarding Compliance with Certain 

Swap Regulations,’’ OMB Control No. 

3038–0098. OMB approved the 

Commission’s initial ICR request on 

August 13, 2012, utilizing emergency 

review procedures in accordance with 

the Paperwork Reduction Act of 1995 

(‘‘PRA’’), 44 U.S.C. 3501 et seq., and 

Office of Management and Budget 

(‘‘OMB’’) regulation 5 CFR 1320.13. The 

Commission’s notice of its initial 

submission for OMB emergency review 

of the ICR was published in the Federal 

Register, 77 FR 43271, on July 24, 2012. 

The Commission is inviting interested 

parties to comment on the proposed 

extension of the currently approved ICR, 

relating to the proposed Exemptive 

Order Regarding Compliance with 

Certain Swap Regulations (‘‘Proposed 

Exemptive Order’’) pursuant to Section 

4(c) of the Commodity Exchange Act 

(‘‘CEA’’).1 If approved, the collection of 

information will be required to obtain or 

retain a benefit. 

DATES: Comments must be submitted on 

or before January 7, 2013. 

ADDRESSES: You may submit written 

comments on the burden estimated or 

any other aspect of the proposed 

extension of the information collection 

to the addresses below. Please refer to 

OMB Control No. 3098–0098— 

‘‘Exemptive Order Regarding 

Compliance with Certain Swap 

Regulations’’ in any correspondence. 

• Office of Information and 

Regulatory Affairs, Office of 

Management and Budget, Attention: 

Desk Officer for CFTC, 725 17th Street, 

Washington, DC 20503, or via electronic 

mail to oira.submission@omb.eop.gov. 

Comments also may be submitted to the 

Commission by any of the following 

methods: 

• The Agency’s Web site, at http:// 

comments.cftc.gov/. Follow the 

instructions for submitting comments 

through the Web site. 

• Mail: David A. Stawick, Secretary of 

the Commission, Commodity Futures 

Trading Commission, Three Lafayette 

Centre, 1155 21st Street NW., 

Washington, DC 20581. 

• Hand Delivery/Courier: Same as 

mail above. 

• Federal eRulemaking Portal: http:// 

www.regulations.gov. 

Please submit your comments to the 

CFTC using only one method. 

All comments must be submitted in 

English, or if not, accompanied by an 

English translation. Comments will be 

posted as received to www.cftc.gov. If 

you wish the Commission to consider 

information that you believe is exempt 

from disclosure under the Freedom of 

Information Act, a petition for 

confidential treatment of the exempt 

information may be submitted according 

to the procedures established in § 145.9 

of the Commission’s regulations.2

FOR FURTHER INFORMATION CONTACT: 

Laura B. Badian, Counsel, at 202–418– 

5969, lbadian@cftc.gov, Gail Scott, 

Counsel, at 202–418–5139, 

gscott@cftc.gov, Office of General 

Counsel, Commodity Futures Trading 

Commission, Three Lafayette Centre, 

1155 21st Street NW., Washington, DC 

20581. 

SUPPLEMENTARY INFORMATION: 

I. Background on Proposed Extension of 

Information Collection Activities 

A. Overview 

Title VII of the Dodd-Frank Wall 

Street Reform and Consumer Protection 

Act (‘‘Dodd-Frank Act’’), Public Law 

111–203, 124 Stat. 1376 (2010) amended 

the CEA to establish a new statutory 

framework for swaps. To implement the 

Dodd-Frank Act, the Commission has 

promulgated, or proposed, rules and 

regulations pursuant to the various new 

provisions of the CEA, including those 

specifically applicable to swap dealers 

(‘‘SDs’’) and major swap participants 

(‘‘MSPs’’). The Dodd-Frank Act requires 

all swap dealers and major swap 

participants to be registered with the 

Commission. It contains definitions of 

‘‘swap,’’ ‘‘swap dealer’’ and ‘‘major 

swap participant’’ but directs the 

Commission to adopt regulations that 

further define those terms. On July 23, 

2012, the Commission’s final 

regulations further defining the terms 

‘‘swap dealer’’ and ‘‘major swap 

participant’’ became effective. On 

October 12, 2012, the Commission’s 

final regulations further defining the 

term ‘‘swap’’ and ‘‘security-based swap’’ 

in sections 712(d) and 721(c) of the 

Dodd-Frank Act (the ‘‘Products 

Definitions Final Rule’’) became 

effective.3 The SD and MSP registration 


pmangrum on DSK3VPTVN1PROD with NOTICES
66820 Federal Register / Vol. 77, No. 216 / Wednesday, November 7, 2012 / Notices 

‘‘Security-Based Swap,’’ and ‘‘Security-Based Swap 

Agreement’’; Mixed Swaps; Security-Based Swap 

Agreement Recordkeeping, 77 FR 48207, Aug. 13, 

2012. 

1For example, if an entity reaches either of two 

specified de minimis thresholds in swap dealing the 

day after October 12, 2012, then the entity would 

be required to register within two months after the 

end of October, or by December 31, 2012. As 

another example, if an entity does not reach the 

specified de minimis level in swap dealing until 

November 20, 2012, then the entity would be 

required to register by January 31, 2013 (i.e., two 

months after the end of the month in which the 

person first exceeded either of two specified de 

minimis thresholds). Commission rules also specify 

that swap dealing activity engaged in before the 

effective date of the ‘‘swap dealer’’ and ‘‘swap’’ 

definition rules (i.e., October 12, 2012) do not count 

toward the de minimis thresholds. 

4See Cross-Border Application of Certain Swaps 

Provisions of the Commodity Exchange Act, 77 FR 

41213, July 12, 2012. 

5See Exemptive Order Regarding Compliance 

with Certain Swap Regulations, 77 FR 41110, July 

12, 2012. 6 7 U.S.C. 12(a)(1). 

regulations also became effective on 

October 12, 2012. An entity that has 

more than the specified de minimis 

levels of dealing (swaps entered into 

after October 12) is required to register 

by no later than two months after the 

end of the month in which it surpasses 

either of the two de minimis thresholds 

in the rules defining the term ‘‘swap 

dealer.’’ 1 Similarly, effective as of 

October 12, 2012, a person that meets 

the criteria to be an MSP as a result of 

its swap activities in a fiscal quarter 

must register as an MSP by no later than 

two months after the end of that quarter. 

On July 12, 2012, the Commission 

published for public comment a 

proposed interpretive guidance and 

policy statement (‘‘Cross-Border 

Interpretive Guidance’’) on the 

application of the CEA’s swap 

provisions and the implementing 

Commission regulations to cross-border 

activities and transactions.4 On July 12, 

2012, the Commission also published 

for public comment, pursuant to section 

4(c) of the CEA, the Proposed Exemptive 

Order.5

The Proposed Exemptive Order would 

grant market participants temporary 

conditional relief from certain 

provisions of the CEA, as amended by 

Title VII of the Dodd-Frank Act. 

Specifically, the proposed relief would 

allow non-U.S. SDs and non-U.S. MSPs 

to delay compliance with certain entitylevel requirements of the CEA (and 

Commission regulations promulgated 

thereunder), subject to specified 

conditions. Additionally, with respect 

to transaction-level requirements of the 

CEA (and Commission regulations 

promulgated thereunder), the relief 

would allow non-U.S. SDs and non-U.S. 

MSPs, as well as foreign branches of 

U.S. SDs and MSPs, to comply only 

with those requirements as may be 

required in the home jurisdiction of 

such non-U.S. SDs and non-U.S. MSPs 

(or in the case of foreign branches of a 

U.S. SD or U.S. MSP, the foreign 

location of the branch) for swaps with 

non-U.S. counterparties, subject to 

specified conditions. The Proposed 

Exemptive Order states that this relief 

would become effective concurrently 

with the date upon which SDs and 

MSPs must first apply for registration 

and expire 12 months following the 

publication of the Proposed Exemptive 

Order in the Federal Register. 

The conditions for relief set forth in 

the Proposed Exemptive Order are 

discussed in the Federal Register 

release published on July 24, 2012, 77 

FR 43271. 

B. Request for Public Comments 

Under the PRA, Federal agencies must 

obtain OMB approval for each collection 

of information they conduct or sponsor. 

‘‘Collection of Information’’ is defined 

in 44 U.S.C. 3502(3) and 5 C.F.R. 1320.3 

and includes agency requests or 

requirements that members of the public 

submit reports, keep records, or provide 

information to a third party. Section 

3506(c)(2)(A) of the PRA, 44 U.S.C. 

3506(c)(2)(A), requires Federal agencies 

to provide a 60-day notice in the 

Federal Register concerning each 

proposed collection of information, 

including each proposed extension of an 

existing collection of information, 

before submitting the collection to OMB 

for approval. To comply with this 

requirement, the CFTC is publishing 

notice of the proposed collection of 

information listed below. 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 control 

number. If adopted, the collection of 

information would be required in order 

for the registrant to rely on the 

exemptive relief. The Commission 

would protect proprietary information 

in accordance with the Freedom of 

Information Act and 17 CFR part 145, 

‘‘Commission Records and 

Information.’’ In addition, § 8(a)(1) of 

the Act strictly prohibits the 

Commission, unless specifically 

authorized by the Act, from making 

public ‘‘data and information that 

would separately disclose the business 

transactions or market positions of any 

person and trade secrets or names of 

customers.’’ 6 The Commission is also 

required to protect certain information 

contained in a government system of 

records according to the Privacy Act of 

1974, 5 U.S.C. 552a. 

With respect to the proposed 

extension of the collection of 

information described herein, the CFTC 

invites comments on: 

• Whether the proposed collection of 

information is necessary for the proper 

performance of the functions of the 

Commission, including whether the 

information will have a practical use; 

• The accuracy of the Commission’s 

estimate of the burden of the proposed 

collection of information, including the 

validity of the methodology and 

assumptions used; 

• Ways to enhance the quality, 

usefulness, and clarity of the 

information to be collected; and 

• Ways to minimize the burden of 

collection of information on those who 

are to respond, including through the 

use of appropriate automated electronic, 

mechanical, or other technological 

collection techniques or other forms of 

information technology; e.g., permitting 

electronic submission of responses. 

II. Purpose and Proposed Use of 

Information Collected 

The subject information collection 

ensures that non-U.S. SDs and non-U.S. 

MSPs claiming an exemption from 

certain entity-level and transaction-level 

requirements under the CEA (and 

Commission regulations promulgated 

thereunder) would be actively and 

demonstrably considering and planning 

for compliance with such entity-level 

and transaction-level requirements, as 

may be applicable, by requiring the 

filing of a compliance plan (and any 

amendments thereto). In addition, the 

subject information collection ensures 

that U.S. SDs and U.S. MSPs claiming 

an exemption, on behalf of their foreign 

branches, with respect to transactionlevel requirements under the CEA are 

similarly making a good-faith effort to 

comply with these requirements by 

requiring the filing of a compliance plan 

(and any amendments thereto). 

On July 24, 2012, the Commission 

invited interested parties to comment on 

any aspect of the information collection 

titled ‘‘Exemptive Order Regarding 

Compliance with Certain Swap 

Regulations,’’ OMB Control No. 3038– 

0098. See 77 FR 43271. The 

Commission did not receive any 

comments on its burden estimates or on 

any other aspect of the information 

collection requirements contained in the 

PRA Exemptive Order Comment 

Request. The Commission requested and 

obtained OMB approval under the PRA 

emergency clearance process for the 

subject information collection because 

the exemptive relief process is essential 


pmangrum on DSK3VPTVN1PROD with NOTICES
Federal Register / Vol. 77, No. 216 / Wednesday, November 7, 2012 / Notices 66821 

7The Commission currently estimates that 

approximately 125 entities will be covered by the 

definitions of the terms ‘‘swap dealer’’ and ‘‘major 

swap participant.’’ See Further Definition of ‘‘Swap 

Dealer,’’ ‘‘Security-Based Swap Dealer,’’ ‘‘Major 

Swap Participant,’’ ‘‘Major Security-Based Swap 

Participant’’ and ‘‘Eligible Contract Participant’’; 

Final Rule, 77 FR 30596, 30713 (May 23, 2012). 

However, not all of these entities are eligible for or 

will seek exemptive relief. Although there is 

significant uncertainty in the number of swap 

entities that will seek to register as SDs and MSPs, 

as well as the number of swap entities that will 

submit a compliance plan in order to obtain 

exemptive relief, the Commission believes it is 

reasonable to estimate that between 40 and 80 nonU.S. SDs and MSPs will submit compliance plans. 

8This estimate is based on the hourly cost of 

personnel that are capable of evaluating both 

Commission and home country regulations in light 

of the non-U.S. persons’ operations. Although 

different registrants may choose to staff preparation 

of the compliance plan with different personnel, 

Commission staff estimates that, on average, an 

initial compliance plan could be prepared and 

submitted with 70 hours of attorney time, as 

follows: 10 hours for a senior attorney at $830/hour, 

30 hours for a mid-level attorney at $418/hour, and 

30 hours for a junior attorney at $345/hour. The 

total cost of a submission, rounded to the nearest 

dollar, is estimated to be $31,190. To estimate the 

hourly cost of senior and junior-level attorney time, 

Commission staff consulted with a law firm that has 

substantial expertise in advising clients on similar 

regulations. For the hourly cost of the mid-level 

attorney, Commission staff reviewed data contained 

in Securities Industry and Financial Markets 

Association (‘‘SIFMA’’), Report on Management and 

Professional Earnings in the Securities Industry, 

Oct. 2011, for New York, and adjusted by a factor 

for overhead and other benefits, which the 

Commission has estimated to be 1.3. 

9The aggregate hourly burden for initial 

submissions (Column 3 x Column 4) would be 

2,800 to 5,600 hours. 

10See note 8, supra. 

11See note 8, supra. 

12The Commission anticipates that compliance 

plans would be updated on a periodic basis as new 

regulations (including in foreign jurisdictions) are 

adopted and come into effect. It is possible that one 

or more amendments will be submitted within the 

same year as the initial compliance plan, but it is 

difficult to predict when new regulations (including 

in foreign jurisdictions) will be adopted and 

become effective. The Commission is therefore 

providing estimates based on an initial submission 

and one amendment on the assumption that one 

amendment will be filed in the same year as the 

initial submission. 

13The Commission estimates that in most cases 

the cost of submitting a revised plan or plans will 

be the same as the cost of preparing and submitting 

the initial plan. See supra note 8 for additional 

information. 

14The aggregate hourly burden for amended 

submissions (Column 3 × Column 4) would be 

2,800 to 5,600 hours. 

15See note 8, supra. 

16See note 8, supra. 

17Although there is significant uncertainty in the 

number of swap entities that will seek to register 

as SDs and MSPs, as well as the number of swap 

entities that will submit a compliance plan in order 

to obtain exemptive relief, the Commission 

estimates that 20 to 45 U.S. SDs or U.S. MSPs 

whose foreign branch seeks to rely on the 

exemptive relief with respect to swaps with nonU.S. counterparties will submit a compliance plan. 

18This estimate is based on the hourly cost of 

personnel that are capable of evaluating both 

Commission and home country regulations in light 

of the U.S. persons’ foreign branch operations. 

Although different registrants may choose to staff 

preparation of the compliance plan with different 

personnel, Commission staff estimates that, on 

average, an initial compliance plan could be 

prepared and submitted by U.S. SDs and MSPs with 

42 hours of attorney time, as follows: 6 hours for 

a senior attorney at $830/hour, 18 hours for a midlevel attorney at $418/hour, and 18 hours for a 

junior attorney at $345/hour. The total dollar cost 

of a submission is estimated to be $18,714, at a 

blended hourly rate of $445.57 per hour. To 

estimate the hourly cost of senior and junior-level 

attorney time, Commission staff consulted with a 

law firm that has substantial expertise in advising 

clients on similar regulations. For the hourly cost 

of the mid-level attorney, Commission staff 

reviewed data contained in Securities Industry and 

Financial Markets Association (‘‘SIFMA’’), Report 

on Management and Professional Earnings in the 

Securities Industry, Oct. 2011, for New York, and 

adjusted by a factor for overhead and other benefits, 

which the Commission has estimated to be 1.3. 

19The aggregate hourly burden for initial 

submissions (Column 3 x Column 4) would be 840 

to 1,890 hours. 

20See note 18, supra. 

21See note 18, supra. 

22The Commission anticipates that compliance 

plans would be updated on a periodic basis as new 

regulations (including in foreign jurisdictions) are 

adopted and come into effect. It is possible that one 

or more amendments will be submitted within the 

same year as the initial compliance plan, but it is 

difficult to predict when new regulations (including 

in foreign jurisdictions) will be adopted and 

become effective. The Commission is therefore 

providing estimates based on an initial submission 

and one amendment on the assumption that one 

amendment will be filed in the same year as the 

initial submission. 

23The Commission estimates that in most cases 

the cost of submitting a revised plan or plans will 

be the same as the cost of preparing and submitting 

the initial plan. See supra note 18 for additional 

information. 

24The aggregate hourly burden for amended 

submissions (Column 3 × Column 4) would be 840 

to 1,890 hours. 

25The Commission estimates that in most cases 

the cost of submitting a revised plan or plans will 

be the same as the cost of preparing and submitting 

the initial plan. See note 18, supra. 

26The Commission estimates that in most cases 

the cost of submitting a revised plan or plans will 

be the same as the cost of preparing and submitting 

the initial plan. See note 18, supra. 

to the mission of the agency and must 

be in place before the date the 

registration requirements for SDs and 

MSPs under other Dodd-Frank Act 

implementing regulations become 

mandatory. This notice requests 

extension of OMB’s original approval 

for a period of three (3) years utilizing 

OMB’s standard clearance procedures in 

accordance with the Paperwork 

Reduction Act of 1995. 

III. Burden Statement 

The Commission estimates that 60 to 

125 SDs and MSPs (including 40 to 80 

non-U.S. SDs and MSPs and 20 to 45 

U.S. SDs and MSPs) will submit initial 

compliance plans. The Commission 

further estimates that, on average, 

between 60 and 125 SDs and MSPs 

(including 40 to 80 non-U.S. SDs and 

MSPs and 20 to 45 U.S. SDs and MSPs) 

will prepare and submit one 

amendment annually. 

The Commission anticipates that 

compliance plans would be updated on 

a periodic basis as new regulations 

(including in foreign jurisdictions) are 

adopted and/or come into effect. It is 

possible that one or more amendments 

will be submitted within the same year 

as the initial compliance plan, but it is 

difficult to predict when new 

regulations (including in foreign 

jurisdictions) will be adopted and/or 

become effective. The Commission is 

therefore providing estimates based on 

an initial submission and one 

amendment on the assumption that one 

amendment will be filed in the same 

year as the initial submission. 

The respondent burden hour costs for 

this collection for non-U.S. SDs and 

MSPs is estimated on average to be 

$31,190 per submission of an initial 

compliance plan (rounded to the nearest 

dollar), and an additional $31,190 per 

amendment. The aggregate cost burden 

for non-U.S. SDs and MSPs (which the 

Commission estimates to be 40 to 80 

non-U.S. SDs/MSPs) is estimated to be 

approximately $1,247,600 to $2,495,200 

for initial plans and $1,247,600 to 

$2,495,200 for amendments. 

The respondent burden hour costs for 

this collection for U.S. SDs and MSPs is 

estimated on average to be $18,714 per 

submission of an initial compliance 

plan and an additional $18,714 per 

amendment. The aggregate cost burden 

for U.S. SDs and MSPs (which the 

Commission estimates to be 20 to 45 

U.S. SDs/MSPs) is estimated to be 

approximately $374,280 to $842,130 for 

initial plans and $374,280 to $842,130 

for amendments. 

The aggregate cost burden for all SDs 

and MSPs (both U.S. and non-U.S., 

which the Commission estimates to be 

60 to 125 SDs/MSPs) is estimated to be 

approximately $1,621,880 to $3,337,330 

for initial compliance plans and 

$1,621,880 to $3,337,330 for 

amendments. The aggregate cost burden 

for all SDs and MSPs (both U.S. and 

non-U.S.) for both initial compliance 

plans and one amendment is estimated 

to be approximately $3,243,760 to 

$6,674,660. 

The Commission estimates the 

average burden of this collection of 

information as follows: 


pmangrum on DSK3VPTVN1PROD with NOTICES
66822 Federal Register / Vol. 77, No. 216 / Wednesday, November 7, 2012 / Notices 

ITEMIZED BURDEN HOURS AND COST TABLE

1 2 3 4 5 6 7 

Number of registrants estimated 

to submit plans 

Number of plans 

per registrant 

Aggregate 

number of 

responses 

(Column 1 × 

Column 2) 

Average number of hours 

per response 

Cost burden 

per hour 

Cost burden 

per plan 

Aggregate cost 

burden 

(Based on minmax range in 

column 3 × column 6) 

1. Initial Submission by a nonU.S. SD or 

MSP.

40 to 80 non-U.S. 

SDs and 

MSPs 7.

1 .......................... 40 to 80 8 9 70 10 $445.57 11 $31,190 $1,247,600 to 

$2,495,200. 

2. Amended Submission by a 

non-U.S. SD or 

MSP.

40 to 80 non-U.S. 

SDs and MSPs.

1 (assumes that 

on average, 

each non-U.S. 

applicant will 

prepare and 

submit one 

amendment annually) 12.

40 to 80 13 14 70 15 445.57 16 31,190 $1,247,600 to 

$2,495,200. 

3. Initial Submission by a U.S. 

SD or MSP.

20 to 45 U.S. SDs 

and MSPs 17.

1 .......................... 20 to 45 18 19 42 20 445.57 21 18,714 $374,280 to 

$842,130. 

4. Amended Submission by a 

U.S. SD or 

MSP.

20 to 45 U.S. SDs 

and MSPs.

1 (assumes that 

on average, 

each U.S. applicant will prepare and submit one amendment annually) 22.

20 to 45 23 24 42 25 445.57 26 18,714 $374,280 to 

$842,130. 

TOTAL AGGREGATE BURDEN HOURS AND COSTS TABLE

1 2 3 4 5 6 

Aggregate 

hours, initial plan 

Aggregate 

hours, 

amended 

plan 

Total hours, 

initial and 

amended 

plans 

(Columns 1 + 

2) 

Aggregate costs, initial 

plan 

Aggregate costs, 

amended plan 

Total costs, initial and 

amended plans 

(Columns 4 + 5) 

1. Non-U.S. SDs and 

MSPs.

2,800 to 

5,600.

2,800 to 

5,600.

5,600 to 

11,200.

$1,247,600 to 

$2,495,200.

$1,247,600 to 

$2,495,200.

$2,495,200 to 

$4,990,400. 

2. U.S. SD or MSP .... 840 to 

1,890.

840 to 

1,890.

1,680 to 3,780. $374,280 to $842,130 $374,280 to $842,130 $748,560 to 

$1,684,260. 

3. All SDs and MSPs 

(Rows 1 + 2).

3,640 to 

7,490.

3,640 to 

7,490.

7,280 to 

14,980.

$1,621,880 to 

$3,337,330.

$1,621,880 to 

$3,337,330.

$3,243,760 to 

$6,674,660. 

Initial Compliance Plan—Cost Burden 

Estimates for non-U.S. SDs and MSPs: 

Estimated number of respondents/ 

affected entities: 40 to 80. 

Estimated number of responses per 

entity: 1. 

Estimated aggregate number of 

responses: 40 to 80. 

Estimated total average burden hour 

per respondent: 70 hours. 

Estimated total average burden hour 

cost burden for all respondents: 

$1,247,600 to $2,495,200 (average of 

$1,871,400). 

Amended Compliance Plan—Cost 

Burden Estimates for non-U.S. SDs and 

MSPs: 

Estimated number of respondents/ 

affected entities: 40 to 80. 

Estimated number of amended plans 

per registrant: 1 annually. 

Estimated aggregate number of 

responses: 40 to 80. 

Estimated total average burden hour 

per respondent: 70 hours. 

Estimated total average burden hour 

cost burden for all respondents: 

$1,247,600 to $2,495,200 (average of 

$1,871,400). 

Initial Compliance Plan—Cost Burden 

Estimates for U.S. SDs and MSPs: 

Estimated Number of respondents/ 

affected entities: 20 to 45. 

Estimated number of responses per 

entity: 1. 

Estimated aggregate number of 

responses: 20 to 45. 

Estimated total average burden hour 

per respondent: 42 hours. 

Estimated total average burden hour 

cost for all respondents: $374,280 to 

$842,130 (average of $608,205). 

Amended Compliance Plan—Cost 

Burden Estimates for non-U.S. SDs and 

MSPs: 

Estimated Number of respondents/ 

affected entities: 20 to 45. 

Estimated number of amended plans 

per registrant: 1 annually. 

Estimated aggregate number of 

responses: 20 to 45. 

Estimated total average burden hour 

per respondent: 42 hours. 

Estimated total average burden hour 

cost burden for all respondents: 

$374,280 to $842,130 (average of 

$608,205). 

Aggregate Burden Hours and Costs for 

all SDs and MSPs (U.S. and non-U.S.): 


pmangrum on DSK3VPTVN1PROD with NOTICES
Federal Register / Vol. 77, No. 216 / Wednesday, November 7, 2012 / Notices 66823 

Estimated number of respondents/ 

affected entities: 60 to 125. 

Estimated number of plans per 

registrant: initial and one amended 

(estimates are provided based on the 

assumption that one amendment will be 

filed in the same year as the initial 

submission). 

Estimated aggregate hourly burden 

(initial plans): 3,640 to 7,490 hrs. 

Estimated aggregate hourly burden 

(amendments): 3,640 to 7,490 hrs. 

Estimated aggregate hourly burden 

(initial plans and one amendment): 

7,280 to 14,980 hours. 

Estimated aggregate costs (initial 

plan): $1,621,880 to $3,337,330. 

Estimated aggregate costs 

(amendments): $1,621,880 to 

$3,337,330. 

Estimated aggregate costs (initial 

plans and one amendment): $3,243,760 

to $6,674,660 (average of $4,959,210). 

Frequency of collection (for all of the 

above categories): Occasional. 

There are no capital costs or operating 

and maintenance costs associated with 

this collection. 

Dated: November 2, 2012. 

Sauntia S. Warfield, 

Assistant Secretary of the Commission. 

[FR Doc. 2012–27166 Filed 11–6–12; 8:45 am] 

BILLING CODE P 

DEPARTMENT OF DEFENSE 

Office of the Secretary 

Freedom of Information Act Request 

for Papers Submitted to DARPA for the 

2011 100 Year Starship Symposium 

AGENCY: Defense Advanced Research 

Projects Agency (DARPA), DoD. 

ACTION: Notice. 

SUMMARY: Authors who submitted full 

papers based on selected abstracts 

submitted as proposed talks for panels 

at the 2011 100 Year Starship 

Symposium must provide DARPA a 

written response explaining how 

disclosure of his or her paper, either in 

its entirety or portions thereof, would 

likely cause substantial competitive 

harm to their competitive position and/ 

or impair the Government’s ability to 

obtain similar information in the future 

if the submitter of the information 

believes that some or all of the paper 

submitted to DARPA should be 

withheld in response to a request 

received by DARPA under the Freedom 

of Information Act. 

DATES: All written correspondence must 

be received by DARPA by close of 

business December 7, 2012. 

ADDRESSES: Send written comments 

concerning this Freedom of Information 

Act request by email to 

foiamail@darpa.mil or by mail at the 

DARPA FOIA Office, 675 North 

Randolph Street, Arlington VA 22203. 

FOR FURTHER INFORMATION CONTACT: 

DARPA FOIA Office at 571–218–4297 or 

foiamail@darpa.mil. 

SUPPLEMENTARY INFORMATION: The 

Defense Advanced Research Projects 

Agency (DARPA) has received a request 

under the Federal Freedom of 

Information Act (5 U.S.C. 552) (FOIA) 

for copies of final paper submissions 

that were based on selected abstracts 

submitted as proposed talks for 

discussion panels at the 2011 100 Year 

Starship Symposium. DARPA requested 

sample abstracts from the public for 

topics of discussion for the 2011 100 

Year Starship Symposium and, from 

those submissions, certain abstracts 

were selected, and the symposium 

organizers requested the authors submit 

final papers on their topic(s). 

Under the FOIA, the Government is 

required to release to a requester copies 

of documents it maintains that are not 

otherwise protected by an exemption to 

the FOIA. One particular exemption, 

exemption (b)(4), protects from 

disclosure any records, or portions 

thereof, that contain ‘‘trade secrets and 

commercial or financial information 

obtained from a person that is privileged 

or confidential.’’ 5 U.S.C. 552(b)(4). 

If you submitted a final paper in 

response to a selected abstract for the 

2011 100 Year Starship Symposium, 

and if you believe some or all of the 

final paper should be withheld, you 

must notify DARPA in writing within 

thirty (30) days from the date of 

publication of this Federal Register 

notice. Your written response must 

specifically identify which paper you 

submitted to DARPA for which you are 

asserting privilege under exemption 

(b)(4). You should include a copy of 

your paper with your written response. 

Your written response must indicate the 

following: (1) That you are responding 

to this notice in the Federal Register, 

and (2) why the information contained 

in the paper is commercial or financial 

information that is privileged or 

confidential. Indicate with brackets (‘‘[ 

]’’) information that should be withheld. 

In order to protect information under 

exemption (b)(4) of the FOIA, your 

written response must explain, in detail, 

how disclosure of your paper would 

likely cause substantial harm to your 

competitive position and/or how 

disclosure of your paper will impair the 

Government’s ability to obtain similar 

information in the future. A concluding 

statement, to the effect of ‘‘the 

information is confidential because 

releasing it could cause substantial 

competitive harm,’’ will not suffice. 

Your written response must include 

your full name and complete address. 

Also include your direct telephone 

number and/or email address if 

available. 

You may notify the DARPA FOIA 

Office of your position by sending your 

written response by email to the DARPA 

FOIA at foiamail@darpa.mil or by 

mailing the DARPA FOIA Office at 675 

North Randolph Street, Arlington, VA 

22203. If the DARPA FOIA Office does 

not receive a response from you within 

thirty (30) days from the date of 

publication of this Federal Register 

notice, your paper will be publically 

released. 

Dated: November 2, 2012. 

Aaron Siegel, 

Alternate OSD Federal Register Liaison 

Officer, Department of Defense. 

[FR Doc. 2012–27186 Filed 11–6–12; 8:45 am] 

BILLING CODE 5001–06–P 

DEPARTMENT OF DEFENSE 

Department of the Army 

Army Education Advisory Committee 

Study Meeting 

AGENCY: Department of the Army, DoD. 

ACTION: Notice of open meeting. 

SUMMARY: Pursuant to the Federal 

Advisory Committee Act of 1972 (5 

U.S.C., Appendix, as amended), the 

Sunshine in the Government Act of 

1976 (U.S.C. 552b, as amended) and 41 

Code of the Federal Regulations (41 CFR 

102–3. 140 through 160, the Department 

of the Army announces the following 

committee meeting: 

Name of Committee: Army Education 

Advisory Committee (AEAC). 

Date(s) of Meeting: November 15, 

2012. 

Time(s) of Meeting: 1530–1630. 

Location: TRADOC HQ, 950 Jefferson 

Ave, Building 950, Conference Room 

2047, 2rd Floor, Ft Eustis, VA. 

Purpose: Adopt the findings and 

recommendations for the following 

study: 

Essential Proficiencies and 

Professional Development Plan for 

Facilitators. 

Proposed Agenda: Thursday 15 

November 2012: 1530–1630—the study 

results for Essential Proficiencies and 

Professional Development Plan for 

Facilitators study are presented to the 

AEAC. The AEAC will deliberate and 

vote upon adoption of the findings and 

recommendations. 


pmangrum on DSK3VPTVN1PROD with NOTICES