                EPA ICR No. 1365.11; OMB Control No. 2070-0091

                                 Attachment C

                 Asbestos-Containing Materials in Schools Rule
                             40 CFR 763, Subpart E

                      TITLE 40--PROTECTION OF ENVIRONMENT
                  CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY
                     PART 763--ASBESTOS--Table of Contents

Subpart E--Asbestos-Containing Materials in Schools

    Source: 52 FR 41846, Oct. 30, 1987, unless otherwise noted.

Sec. 763.80  Scope and purpose.

    (a) This rule requires local education agencies to identify friable and nonfriable asbestos- containing material (ACM) in public and private elementary and secondary schools by visually inspecting school buildings for such materials, sampling such materials if they are not assumed to be ACM, and having samples analyzed by appropriate techniques referred to in this rule. The rule requires local education agencies to submit management plans to the Governor of their State by October 12, 1988, begin to implement the plans by July 9, 1989, and complete implementation of the plans in a timely fashion. In addition, local education agencies are required to use persons who have been accredited to conduct inspections, reinspections, develop management plans, or perform response actions. The rule also includes recordkeeping requirements. Local education agencies may contractually delegate their duties under this rule, but they remain responsible for the proper performance of those duties. Local education agencies are encouraged to consult with EPA Regional Asbestos Coordinators, or if applicable, a State's lead agency designated by the State Governor, for assistance in complying with this rule.
    (b) Local education agencies must provide for the transportation and disposal of asbestos in accordance with EPA's ''Asbestos Waste Management Guidance.'' For convenience, applicable sections of this guidance are reprinted as Appendix D of this subpart. There are regulations in place, however, that affect transportation and disposal of asbestos waste generated by this rule. The transportation of asbestos waste is covered by the Department of Transportation (49 CFR part 173, subpart J) and disposal is covered by the National Emissions Standards for Hazardous Air Pollutants (NESHAP) (40 CFR part 61, subpart M).

Sec. 763.83  Definitions.

    For purposes of this subpart:
    Act means the Toxic Substances Control Act (TSCA), 15 U.S.C. 2601, et seq.
    Accessible when referring to ACM means that the material is subject to disturbance by school building occupants or custodial or maintenance personnel in the course of their normal activities.
    Accredited or accreditation when referring to a person or laboratory means that such person or laboratory is accredited in accordance with section 206 of Title II of the Act.
    Air erosion means the passage of air over friable ACBM which may result in the release of asbestos fibers.
    Asbestos means the asbestiform varieties of: Chrysotile (serpentine); crocidolite (riebeckite); amosite (cum- mingtonitegrunerite); anthophyllite; tremolite; and actinolite.
    Asbestos-containing material (ACM) when referring to school buildings means any material or product which contains more than 1 percent asbestos.
    Asbestos-containing building material (ACBM) means surfacing ACM, thermal system insulation ACM, or miscellaneous ACM that is found in or on interior structural members or other parts of a school building.
    Asbestos debris means pieces of ACBM that can be identified by color, texture, or composition, or means dust, if the dust is determined by an accredited inspector to be ACM.
    Damaged friable miscellaneous ACM means friable miscellaneous ACM which has deteriorated or sustained physical injury such that the internal structure (cohesion) of the material is inadequate or, if applicable, which has delaminated such that its bond to the substrate (adhesion) is inadequate or which for any other reason lacks fiber cohesion or adhesion qualities. Such damage or deterioration may be illustrated by the separation of ACM into layers; separation of ACM from the substrate; flaking, blistering, or crumbling of the ACM surface;
water damage; significant or repeated water stains, scrapes, gouges, mars or other signs of physical injury on the ACM. Asbestos debris originating from the ACBM in question may also indicate damage.
    Damaged friable surfacing ACM means friable surfacing ACM which has deteriorated or sustained physical injury such that the internal structure (cohesion) of the material is inadequate or which has delaminated such that its bond to the substrate (adhesion) is inadequate, or which, for any other reason, lacks fiber cohesion or adhesion qualities. Such damage or deterioration may be illustrated by the separation of ACM into layers; separation of ACM from the substrate;
flaking, blistering, or crumbling of the ACM surface; water damage; significant or repeated water stains, scrapes, gouges, mars or other signs of physical injury on the ACM. Asbestos debris originating from the ACBM in question may also indicate damage.
    Damaged or significantly damaged thermal system insulation ACM means thermal system insulation ACM on pipes, boilers, tanks, ducts, and other thermal system insulation equipment where the insulation has lost its structural integrity, or its covering, in whole or in part, is crushed, water-stained, gouged, punctured, missing, or not intact such that it is not able to contain fibers. Damage may be further illustrated by occasional punctures, gouges or other signs of physical injury to ACM; occasional water damage on the protective coverings/jackets; or
exposed ACM ends or joints. Asbestos debris originating from the ACBM in question may also indicate damage.
    Encapsulation means the treatment of ACBM with a material that surrounds or embeds asbestos fibers in an adhesive matrix to prevent the release of fibers, as the encapsulant creates a membrane over the surface (bridging encapsulant) or penetrates the material and binds its components together (penetrating encapsulant).
    Enclosure means an airtight, impermeable, permanent barrier around ACBM to prevent the release of asbestos fibers into the air.
    Fiber release episode means any uncontrolled or unintentional disturbance of ACBM resulting in visible emission.
    Friable when referring to material in a school building means that the material, when dry, may be crumbled, pulverized, or reduced to powder by hand pressure, and includes previously nonfriable material after such previously nonfriable material becomes damaged to the extent
that when dry it may be crumbled, pulverized, or reduced to powder by hand pressure.
    Functional space means a room, group of rooms, or homogeneous area (including crawl spaces or the space between a dropped ceiling and the floor or roof deck above), such as classroom(s), a cafeteria, gymnasium, hallway(s), designated by a person accredited to prepare management plans, design abatement projects, or conduct response actions.
    High-efficiency particulate air (HEPA) refers to a filtering system capable of trapping and retaining at least 99.97 percent of all monodispersed particles 0.3 μm in diameter or larger.
    Homogeneous area means an area of surfacing material, thermal system insulation material, or miscellaneous material that is uniform in color and texture.
    Local education agency means:
    (1) Any local educational agency as defined in section 198 of the Elementary and Secondary Education Act of 1965 (20 U.S.C. 3381).
    (2) The owner of any nonpublic, nonprofit elementary, or secondary school building.
    (3) The governing authority of any school operated under the defense dependent's education system provided for under the Defense Dependents' Education Act of 1978 (20 U.S.C. 921, et seq.).
    Miscellaneous ACM means miscellaneous material that is ACM in a school building.
    Miscellaneous material means interior building material on structural components, structural members or fixtures, such as floor and ceiling tiles, and does not include surfacing material or thermal system insulation.
    Nonfriable means material in a school building which when dry may not be crumbled, pulverized, or reduced to powder by hand pressure.
    Operations and maintenance program means a program of work practices to maintain friable ACBM in good condition, ensure clean up of asbestos fibers previously released, and prevent further release by minimizing and controlling friable ACBM disturbance or damage.
    Potential damage means circumstances in which:
    (1) Friable ACBM is in an area regularly used by building occupants, including maintenance personnel, in the course of their normal activities.
    (2) There are indications that there is a reasonable likelihood that the material or its covering will become damaged, deteriorated, or delaminated due to factors such as changes in building use, changes in operations and maintenance practices, changes in occupancy, or recurrent
damage.
    Potential significant damage means circumstances in which:
    (1) Friable ACBM is in an area regularly used by building occupants, including maintenance personnel, in the course of their normal activities.
    (2) There are indications that there is a reasonable likelihood that the material or its covering will become significantly damaged, deteriorated, or delaminated due to factors such as changes in building use, changes in operations and maintenance practices, changes in occupancy, or recurrent damage.
    (3) The material is subject to major or continuing disturbance, due to factors including, but not limited to, accessibility or, under certain circumstances, vibration or air erosion.
    Preventive measures means actions taken to reduce disturbance of ACBM or otherwise eliminate the reasonable likelihood of the material's becoming damaged or significantly damaged.
    Removal means the taking out or the stripping of substantially all ACBM from a damaged area, a functional space, or a homogeneous area in a school building.
    Repair means returning damaged ACBM to an undamaged condition or to an intact state so as to prevent fiber release.
    Response action means a method, including removal, encapsulation, enclosure, repair, operations and maintenance that protects human health and the environment from friable ACBM.
    Routine maintenance area means an area, such as a boiler room or mechanical room, that is not normally frequented by students and in which maintenance employees or contract workers regularly conduct maintenance activities.
    School means any elementary or secondary school as defined in section 198 of the Elementary and Secondary Education Act of 1965 (20 U.S.C. 2854).
    School building means:
    (1) Any structure suitable for use as a classroom, including a school facility such as a laboratory, library, school eating facility, or facility used for the preparation of food.
    (2) Any gymnasium or other facility which is specially designed for athletic or recreational activities for an academic course in physical education.
    (3) Any other facility used for the instruction or housing of students or for the administration of educational or research programs.
    (4) Any maintenance, storage, or utility facility, including any hallway, essential to the operation of any facility described in this definition of ''school building'' under paragraphs (1), (2), or (3).
    (5) Any portico or covered exterior hallway or walkway.
    (6) Any exterior portion of a mechanical system used to condition interior space.
    Significantly damaged friable miscellaneous ACM means damaged friable miscellaneous ACM where the damage is extensive and severe.
    Significantly damaged friable surfacing ACM means damaged friable surfacing ACM in a functional space where the damage is extensive and severe.
    State means a State, the District of Columbia, the Commonwealth of Puerto Rico, Guam, American Samoa, the Northern Marianas, the Trust Territory of the Pacific Islands, and the Virgin Islands.
    Surfacing ACM means surfacing material that is ACM.
    Surfacing material means material in a school building that is sprayed-on, troweled-on, or otherwise applied to surfaces, such as acoustical plaster on ceilings and fireproofing materials on structural members, or other materials on surfaces for acoustical, fireproofing, or other purposes.
    Thermal system insulation means material in a school building applied to pipes, fittings, boilers, breeching, tanks, ducts, or other interior structural components to prevent heat loss or gain, or water condensation, or for other purposes.
    Thermal system insulation ACM means thermal system insulation that is ACM.
    Vibration means the periodic motion of friable ACBM which may result in the release of asbestos fibers.

Sec. 763.84  General local education agency responsibilities.

    Each local education agency shall:
    (a) Ensure that the activities of any persons who perform inspections, reinspections, and periodic surveillance, develop and update management plans, and develop and implement response actions, including operations and maintenance, are carried out in accordance with
subpart E of this part.
    (b) Ensure that all custodial and maintenance employees are properly trained as required by this subpart E and other applicable Federal and/or State regulations (e.g., the Occupational Safety and Health Administration asbestos standard for construction, the EPA worker protection rule, or applicable State regulations).
    (c) Ensure that workers and building occupants, or their legal guardians, are informed at least once each school year about inspections, response actions, and post-response action activities,
including periodic reinspection and surveillance activities that are planned or in progress.
    (d) Ensure that short-term workers (e.g., telephone repair workers, utility workers, or exterminators) who may come in contact with asbestos in a school are provided information regarding the locations of ACBM and suspected ACBM assumed to be ACM.
    (e) Ensure that warning labels are posted in accordance with Sec. 763.95.
    (f) Ensure that management plans are available for inspection and notification of such availability has been provided as specified in the management plan under Sec. 763.93(g).
    (g)(1) Designate a person to ensure that requirements under this section are properly implemented.
    (2) Ensure that the designated person receives adequate training to perform duties assigned under this section. Such training shall provide, as necessary, basic knowledge of:
    (i) Health effects of asbestos.
    (ii) Detection, identification, and assessment of ACM.
    (iii) Options for controlling ACBM.
    (iv) Asbestos management programs.
    (v) Relevant Federal and State regulations concerning asbestos, including those in this subpart E and those of the Occupational Safety and Health Administration, U.S. Department of Labor, the U.S. Department of Transportation and the U.S. Environmental Protection Agency.
    (h) Consider whether any conflict of interest may arise from the interrelationship among accredited personnel and whether that should influence the selection of accredited personnel to perform activities under this subpart.

Sec. 763.85  Inspection and reinspections.

    (a) Inspection. (1) Except as provided in paragraph (a)(2) of this section, before October 12, 1988, local education agencies shall inspect each school building that they lease, own, or otherwise use as a school building to identify all locations of friable and nonfriable ACBM.
    (2) Any building leased or acquired on or after October 12, 1988, that is to be used as a school building shall be inspected as described under paragraphs (a) (3) and (4) of this section prior to use as a school building. In the event that emergency use of an uninspected building as a school building is necessitated, such buildings shall be inspected within 30 days after commencement of such use.
    (3) Each inspection shall be made by an accredited inspector.
    (4) For each area of a school building, except as excluded under Sec. 763.99, each person performing an inspection shall:
    (i) Visually inspect the area to identify the locations of all suspected ACBM.
    (ii) Touch all suspected ACBM to determine whether they are friable.
    (iii) Identify all homogeneous areas of friable suspected ACBM and all homogeneous areas of nonfriable suspected ACBM.
    (iv) Assume that some or all of the homogeneous areas are ACM, and, for each homogeneous area that is not assumed to be ACM, collect and submit for analysis bulk samples under Secs. 763.86 and 763.87.
    (v) Assess, under Sec. 763.88, friable material in areas where samples are collected, friable material in areas that are assumed to be ACBM, and friable ACBM identified during a previous inspection.
    (vi) Record the following and submit to the person designated under Sec. 763.84 a copy of such record for inclusion in the management plan within 30 days of the inspection:
    (A) An inspection report with the date of the inspection signed by each accredited person making the inspection, State of accreditation, and if applicable, his or her accreditation number.
    (B) An inventory of the locations of the homogeneous areas where samples are collected, exact location where each bulk sample is collected, dates that samples are collected, homogeneous areas where friable suspected ACBM is assumed to be ACM, and homogeneous areas where nonfriable suspected ACBM is assumed to be ACM.
    (C) A description of the manner used to determine sampling locations, the name and signature of each accredited inspector who collected the samples, State of accreditation, and, if applicable, his or her accreditation number.
    (D) A list of whether the homogeneous areas identified under paragraph (a)(4)(vi)(B) of this section, are surfacing material, thermal system insulation, or miscellaneous material.
    (E) Assessments made of friable material, the name and signature of each accredited inspector making the assessment, State of accreditation, and if applicable, his or her accreditation number.
    (b) Reinspection. (1) At least once every 3 years after a management plan is in effect, each local education agency shall conduct a reinspection of all friable and nonfriable known or assumed ACBM in each school building that they lease, own, or otherwise use as a school
building.
    (2) Each inspection shall be made by an accredited inspector.
    (3) For each area of a school building, each person performing a reinspection shall:
    (i) Visually reinspect, and reassess, under Sec. 763.88, the condition of all friable known or assumed ACBM.
    (ii) Visually inspect material that was previously considered nonfriable ACBM and touch the material to determine whether it has become friable since the last inspection or reinspection.
    (iii) Identify any homogeneous areas with material that has become friable since the last inspection or reinspection.
    (iv) For each homogeneous area of newly friable material that is already assumed to be ACBM, bulk samples may be collected and submitted for analysis in accordance with Secs. 763.86 and 763.87.
    (v) Assess, under Sec. 763.88, the condition of the newly friable material in areas where samples are collected, and newly friable materials in areas that are assumed to be ACBM.
    (vi) Reassess, under Sec. 763.88, the condition of friable known or assumed ACBM previously identified.
    (vii) Record the following and submit to the person designated under Sec. 763.84 a copy of such record for inclusion in the management plan within 30 days of the reinspection:
    (A) The date of the reinspection, the name and signature of the person making the reinspection, State of accreditation, and if applicable, his or her accreditation number, and any changes in the condition of known or assumed ACBM.
    (B) The exact locations where samples are collected during the reinspection, a description of the manner used to determine sampling locations, the name and signature of each accredited inspector who collected the samples, State of accreditation, and, if applicable, his or her accreditation number.
    (C) Any assessments or reassessments made of friable material, the name and signature of the accredited inspector making the assessments, State of accreditation, and if applicable, his or her accreditation number.
    (c) General. Thermal system insulation that has retained its structural integrity and that has an undamaged protective jacket or wrap that prevents fiber release shall be treated as nonfriable and therefore is subject only to periodic surveillance and preventive measures as necessary.

Sec. 763.86  Sampling.

    (a) Surfacing material. An accredited inspector shall collect, in a statistically random manner that is representative of the homogeneous area, bulk samples from each homogeneous area of friable surfacing material that is not assumed to be ACM, and shall collect the samples as
follows:
    (1) At least three bulk samples shall be collected from each homogeneous area that is 1,000 ft[2] or less, except as provided in Sec. 763.87(c)(2).
    (2) At least five bulk samples shall be collected from each homogeneous area that is greater than 1,000 ft[2] but less than or equal to 5,000 ft[2], except as provided in Sec. 763.87(c)(2).
    (3) At least seven bulk samples shall be collected from each homogeneous area that is greater than 5,000 ft[2], except as provided in Sec. 763.87(c)(2).
    (b) Thermal system insulation.
    (1) Except as provided in paragraphs (b) (2) through (4) of this section and Sec. 763.87(c), an accredited inspector shall collect, in a randomly distributed manner, at least three bulk samples from each homogeneous area of thermal system insulation that is not assumed to be ACM.
    (2) Collect at least one bulk sample from each homogeneous area of patched thermal system insulation that is not assumed to be ACM if the patched section is less than 6 linear or square feet.
    (3) In a manner sufficient to determine whether the material is ACM or not ACM, collect bulk samples from each insulated mechanical system that is not assumed to be ACM where cement or plaster is used on fittings such as tees, elbows, or valves, except as provided under Sec. 763.87(c)(2).
    (4) Bulk samples are not required to be collected from any homogeneous area where the accredited inspector has determined that the thermal system insulation is fiberglass, foam glass, rubber, or other non-ACBM.
    (c) Miscellaneous material. In a manner sufficient to determine whether material is ACM or not ACM, an accredited inspector shall collect bulk samples from each homogeneous area of friable miscellaneous material that is not assumed to be ACM.
    (d) Nonfriable suspected ACBM. If any homogeneous area of nonfriable suspected ACBM is not assumed to be ACM, then an accredited inspector shall collect, in a manner sufficient to determine whether the material is ACM or not ACM, bulk samples from the homogeneous area of nonfriable suspected ACBM that is not assumed to be ACM.

Sec. 763.87  Analysis.

    (a) Local education agencies shall have bulk samples, collected under Sec. 763.86 and submitted for analysis, analyzed for asbestos using laboratories accredited by the National Bureau of Standards (NBS). Local education agencies shall use laboratories which have received
interim accreditation for polarized light microscopy (PLM) analysis under the EPA Interim Asbestos Bulk Sample Analysis Quality Assurance Program until the NBS PLM laboratory accreditation program for PLM is operational.
    (b) Bulk samples shall not be composited for analysis and shall be analyzed for asbestos content by PLM, using the ''Interim Method for the Determination of Asbestos in Bulk Insulation Samples'' found at appendix E to subpart E of this part.
    (c)(1) A homogeneous area is considered not to contain ACM only if the results of all samples required to be collected from the area show asbestos in amounts of 1 percent or less.
    (2) A homogeneous area shall be determined to contain ACM based on a finding that the results of at least one sample collected from that area shows that asbestos is present in an amount greater than 1 percent.
    (d) The name and address of each laboratory performing an analysis, the date of analysis, and the name and signature of the person performing the analysis shall be submitted to the person designated under Sec. 763.84 for inclusion into the management plan within 30 days of the analysis.

[52 FR 41846, Oct. 30, 1987, as amended at 60 FR 31922, June 19, 1995]

Sec. 763.88  Assessment.

    (a)(1) For each inspection and reinspection conducted under Sec. 763.85 (a) and (c) and previous inspections specified under Sec. 763.99, the local education agency shall have an accredited inspector provide a written assessment of all friable known or assumed ACBM in the school building.
    (2) Each accredited inspector providing a written assessment shall sign and date the assessment, provide his or her State of accreditation, and if applicable, accreditation number, and submit a copy of the assessment to the person designated under Sec. 763.84 for inclusion in the management plan within 30 days of the assessment.
    (b) The inspector shall classify and give reasons in the written assessment for classifying the ACBM and suspected ACBM assumed to be ACM in the school building into one of the following categories:
    (1) Damaged or significantly damaged thermal system insulation ACM.
    (2) Damaged friable surfacing ACM.
    (3) Significantly damaged friable surfacing ACM.
    (4) Damaged or significantly damaged friable miscellaneous ACM.
    (5) ACBM with potential for damage.
    (6) ACBM with potential for significant damage.
    (7) Any remaining friable ACBM or friable suspected ACBM.
    (c) Assessment may include the following considerations:
    (1) Location and the amount of the material, both in total quantity and as a percentage of the functional space.
    (2) Condition of the material, specifying:
    (i) Type of damage or significant damage (e.g., flaking, blistering, water damage, or other signs of physical damage).
    (ii) Severity of damage (e.g., major flaking, severely torn jackets, as opposed to occasional flaking, minor tears to jackets).
    (iii) Extent or spread of damage over large areas or large percentages of the homogeneous area.
    (3) Whether the material is accessible.
    (4) The material's potential for disturbance.
    (5) Known or suspected causes of damage or significant damage (e.g., air erosion, vandalism, vibration, water).
    (6) Preventive measures which might eliminate the reasonable likelihood of undamaged ACM from becoming significantly damaged.
    (d) The local education agency shall select a person accredited to develop management plans to review the results of each inspection, reinspection, and assessment for the school building and to conduct any other necessary activities in order to recommend in writing to the local education agency appropriate response actions. The accredited person shall sign and date the recommendation, provide his or her State of accreditation, and, if applicable, provide his or her accreditation number, and submit a copy of the recommendation to the person designated under Sec. 763.84 for inclusion in the management plan.

Sec. 763.90  Response actions.

    (a) The local education agency shall select and implement in a timely manner the appropriate response actions in this section consistent with the assessment conducted in Sec. 763.88. The response actions selected shall be sufficient to protect human health and the environment. The local education agency may then select, from the response actions which protect human health and the environment, that action which is the least burdensome method. Nothing in this section
shall be construed to prohibit removal of ACBM from a school building at any time, should removal be the preferred response action of the local education agency.
    (b) If damaged or significantly damaged thermal system insulation ACM is present in a building, the local education agency shall:
    (1) At least repair the damaged area.
    (2) Remove the damaged material if it is not feasible, due to technological factors, to repair the damage.
    (3) Maintain all thermal system insulation ACM and its covering in an intact state and undamaged condition.
    (c)(1) If damaged friable surfacing ACM or damaged friable miscellaneous ACM is present in a building, the local education agency shall select from among the following response actions: encapsulation, enclosure, removal, or repair of the damaged material.
    (2) In selecting the response action from among those which meet the definitional standards in Sec. 763.83, the local education agency shall determine which of these response actions protects human health and the environment. For purposes of determining which of these response actions
are the least burdensome, the local education agency may then consider local circumstances, including occupancy and use patterns within the school building, and its economic concerns, including short- and long-term costs.
    (d) If significantly damaged friable surfacing ACM or significantly damaged friable miscellaneous ACM is present in a building the local education agency shall:
    (1) Immediately isolate the functional space and restrict access, unless isolation is not necessary to protect human health and the environment.
    (2) Remove the material in the functional space or, depending upon whether enclosure or encapsulation would be sufficient to protect human health and the environment, enclose or encapsulate.
    (e) If any friable surfacing ACM, thermal system insulation ACM, or friable miscellaneous ACM that has potential for damage is present in a building, the local education agency shall at least implement an operations and maintenance (O&M) program, as described under Sec. 763.91.
    (f) If any friable surfacing ACM, thermal system insulation ACM, or friable miscellaneous ACM that has potential for significant damage is present in a building, the local education agency shall:
    (1) Implement an O&M program, as described under Sec. 763.91.
    (2) Institute preventive measures appropriate to eliminate the reasonable likelihood that the ACM or its covering will become significantly damaged, deteriorated, or delaminated.
    (3) Remove the material as soon as possible if appropriate preventive measures cannot be effectively implemented, or unless other response actions are determined to protect human health and the environment. Immediately isolate the area and restrict access if necessary to avoid an imminent and substantial endangerment to human health or the environment.
    (g) Response actions including removal, encapsulation, enclosure, or repair, other than small-scale, short-duration repairs, shall be designed and conducted by persons accredited to design and conduct response actions.
    (h) The requirements of this subpart E in no way supersede the worker protection and work practice requirements under 29 CFR 1926.58 (Occupational Safety and Health Administration (OSHA) asbestos worker protection standards for construction), 40 CFR part 763, subpart G (EPA asbestos worker protection standards for public employees), and 40 CFR part 61, subpart M (National Emission Standards for Hazardous Air Pollutants--Asbestos).
    (i) Completion of response actions. (1) At the conclusion of any action to remove, encapsulate, or enclose ACBM or material assumed to be ACBM, a person designated by the local education agency shall visually inspect each functional space where such action was conducted to determine whether the action has been properly completed.
    (2)(i) A person designated by the local education agency shall collect air samples using aggressive sampling as described in appendix A to this subpart E to monitor air for clearance after each removal, encapsulation, and enclosure project involving ACBM, except for projects
that are of small-scale, short-duration.
    (ii) Local education agencies shall have air samples collected under this section analyzed for asbestos using laboratories accredited by the National Bureau of Standards to conduct such analysis using transmission electron microscopy (TEM) or, under circumstances permitted in this
section, laboratories enrolled in the American Industrial Hygiene Association Proficiency Analytical Testing Program for phase contrast microscopy (PCM).
    (iii) Until the National Bureau of Standards TEM laboratory accreditation program is operational, local educational agencies shall use laboratories that use the protocol described in appendix A to subpart E of this part.
    (3) Except as provided in paragraphs (i)(4), and (i)(5), of this section, an action to remove, encapsulate, or enclose ACBM shall be considered complete when the average concentration of asbestos of five air samples collected within the affected functional space and analyzed by the TEM method in appendix A of this subpart E, is not statistically significantly different, as determined by the Z-test calculation found in appendix A of this subpart E, from the average asbestos concentration of five air samples collected at the same time outside the affected
functional space and analyzed in the same manner, and the average asbestos concentration of the three field blanks described in appendix A of this subpart E is below the filter background level, as defined in appendix A of this subpart E, of 70 structures per square millimeter (70 s/mm[2]).
    (4) An action may also be considered complete if the volume of air drawn for each of the five samples collected within the affected functional space is equal to or greater than 1,199 L of air for a 25 mm filter or equal to or greater than 2,799 L of air for a 37 mm filter, and the average concentration of asbestos as analyzed by the TEM method in appendix A of this subpart E, for the five air samples does not exceed the filter background level, as defined in appendix A, of 70
structures per square millimeter (70 s/mm[2]). If the average concentration of asbestos of the five air samples within the affected functional space exceeds 70 s/mm[2], or if the volume of air in each of the samples is less than 1,199 L of air for a 25 mm filter or less than 2,799 L of air for a 37 mm filter, the action shall be considered complete only when the requirements of paragraph (i)(3) or (i)(5), of this section are met.
    (5) At any time, a local education agency may analyze air monitoring samples collected for clearance purposes by phase contrast microscopy (PCM) to confirm completion of removal, encapsulation, or enclosure of ACBM that is greater than small-scale, short-duration and less than or equal to 160 square feet or 260 linear feet. The action shall be considered complete when the results of samples collected in the affected functional space and analyzed by phase contrast microscopy using the National Institute for Occupational Safety and Health (NIOSH) Method 7400 entitled ''Fibers'' published in the NIOSH Manual of Analytical Methods, 3rd Edition, Second Supplement, August 1987, show that the concentration of fibers for each of the five samples is less than or equal to a limit of quantitation for PCM (0.01 fibers per cubic centimeter (0.01 f/cm[3]) of air). The method is available for public inspection at the Office of the Federal Register, 800 North Capitol Street, NW, Suite 700, Washington, DC, 20408, and the Non-Confidential Information Center (NCIC) (7407), Office of Pollution Prevention and Toxics, U.S. Environmental Protection Agency, Room B-607 NEM, 401 M Street, SW., Washington, DC, 20460, between the hours of 12 p.m. and 4 p.m. weekdays excluding legal holidays. This incorporation by reference was approved by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. The method is incorporated as it exists on the effective date of this rule, and a notice of any change to the method will be published in the Federal Register.
    (6) To determine the amount of ACBM affected under paragraph (i)(5) of this section, the local education agency shall add the total square or linear footage of ACBM within the containment barriers used to isolate the functional space for the action to remove, encapsulate, or
enclose the ACBM. Contiguous portions of material subject to such action conducted concurrently or at approximately the same time within the same school building shall not be separated to qualify under paragraph (i)(5), of this section.

[52 FR 41846, Oct. 30, 1987, as amended at 53 FR 12525, Apr. 15, 1988; 60 FR 31922, June 19, 1995; 60 FR 34465, July 3, 1995]

Sec. 763.91  Operations and maintenance.

    (a) Applicability. The local education agency shall implement an operations, maintenance, and repair (O&M) program under this section whenever any friable ACBM is present or assumed to be present in a building that it leases, owns, or otherwise uses as a school building. Any material identified as nonfriable ACBM or nonfriable assumed ACBM must be treated as friable ACBM for purposes of this section when the material is about to become friable as a result of activities performed in the school building.
    (b) Worker protection. The protection provided by EPA at 40 CFR 763.121 for worker protection during asbestos abatement projects is extended to employees of local education agencies who perform operations, maintenance, and repair (O&M) activities involving ACM and
who are not covered by the OSHA asbestos construction standard at 29 CFR 1926.58 or an asbestos worker approved by OSHA under section 19 of the Occupational Safety and Health Act. Local education agencies may consult appendix B of this subpart if their employees are performing operations, maintenance, and repair activities that are of small-scale, short-duration.
    (c) Cleaning--(1) Initial cleaning. Unless the building has been cleaned using equivalent methods within the previous 6 months, all areas of a school building where friable ACBM, damaged or significantly damaged thermal system insulation ACM, or friable suspected ACBM assumed to be ACM are present shall be cleaned at least once after the completion of the inspection required by Sec. 763.85(a) and before the initiation of any response action, other than O&M activities or repair, according to the following procedures:
    (i) HEPA-vacuum or steam-clean all carpets.
    (ii) HEPA-vacuum or wet-clean all other floors and all other horizontal surfaces.
    (iii) Dispose of all debris, filters, mopheads, and cloths in sealed, leak-tight containers.
    (2) Additional cleaning. The accredited management planner shall make a written recommendation to the local education agency whether additional cleaning is needed, and if so, the methods and frequency of such cleaning.
    (d) Operations and maintenance activities. The local education agency shall ensure that the procedures described below to protect building occupants shall be followed for any operations and maintenance activities disturbing friable ACBM:
    (1) Restrict entry into the area by persons other than those necessary to perform the maintenance project, either by physically isolating the area or by scheduling.
    (2) Post signs to prevent entry by unauthorized persons.
    (3) Shut off or temporarily modify the air-handling system and restrict other sources of air movement.
    (4) Use work practices or other controls, such as, wet methods, protective clothing, HEPA-vacuums, mini-enclosures, glove bags, as necessary to inhibit the spread of any released fibers.
    (5) Clean all fixtures or other components in the immediate work area.
    (6) Place the asbestos debris and other cleaning materials in a sealed, leak-tight container.
    (e) Maintenance activities other than small-scale, short-duration. The response action for any maintenance activities disturbing friable ACBM, other than small-scale, short-duration maintenance activities, shall be designed by persons accredited to design response actions and
conducted by persons accredited to conduct response actions.
    (f) Fiber release episodes--(1) Minor fiber release episode. The local education agency shall ensure that the procedures described below are followed in the event of a minor fiber release episode (i.e., the falling or dislodging of 3 square or linear feet or less of friable ACBM): 5
    (i) Thoroughly saturate the debris using wet methods.
    (ii) Clean the area, as described in paragraph (e) of this section.
    (iii) Place the asbestos debris in a sealed, leak-tight container.
    (iv) Repair the area of damaged ACM with materials such as asbestos-free spackling, plaster, cement, or insulation, or seal with latex paint or an encapsulant, or immediately have the appropriate response action implemented as required by Sec. 763.90.
    (2) Major fiber release episode. The local education agency shall ensure that the procedures described below are followed in the event of a major fiber release episode (i.e., the falling or dislodging of more than 3 square or linear feet of friable ACBM):
    (i) Restrict entry into the area and post signs to prevent entry into the area by persons other than those necessary to perform the response action.
    (ii) Shut off or temporarily modify the air-handling system to prevent the distribution of fibers to other areas in the building.
    (iii) The response action for any major fiber release episode must be designed by persons accredited to design response actions and conducted by persons accredited to conduct response actions.

Sec. 763.92  Training and periodic surveillance.

    (a) Training. (1) The local education agency shall ensure, prior to the implementation of the O&M provisions of the management plan, that all members of its maintenance and custodial staff (custodians, electricians, heating/air conditioning engineers, plumbers, etc.) who may work in a building that contains ACBM receive awareness training of at least 2 hours, whether or not they are required to work with ACBM. New custodial and maintenance employees shall be trained
within 60 days after commencement of employment. Training shall include, but not be limited to:
    (i) Information regarding asbestos and its various uses and forms.
    (ii) Information on the health effects associated with asbestos exposure.
    (iii) Locations of ACBM identified throughout each school building in which they work.
    (iv) Recognition of damage, deterioration, and delamination of ACBM.
    (v) Name and telephone number of the person designated to carry out general local education agency responsibilities under Sec. 763.84 and the availability and location of the management plan.
    (2) The local education agency shall ensure that all members of its maintenance and custodial staff who conduct any activities that will result in the disturbance of ACBM shall receive training described in paragraph (a)(1) of this section and 14 hours of additional training. Additional training shall include, but not be limited to:
    (i) Descriptions of the proper methods of handling ACBM.
    (ii) Information on the use of respiratory protection as contained in the EPA/NIOSH Guide to Respiratory Protection for the Asbestos Abatement Industry, September 1986 (EPA 560/OPPTS-86-001), available from the Director, Environmental Assistance Division (7408), Office of Pollution Prevention and Toxics, U.S. Environmental Protection Agency, Room E-543B, 401 M St., SW., Washington, DC, 20460, Telephone:<PHONE_NUMBER>, TDD:<PHONE_NUMBER> and other personal protection measures.
    (iii) The provisions of this section and Sec. 763.91, Appendices A, B, C, D of this subpart E of this part, EPA regulations contained in 40
CFR part 763, subpart G, and in 40 CFR part 61, subpart M, and OSHA regulations contained in 29 CFR 1926.58.
    (iv) Hands-on training in the use of respiratory protection, other personal protection measures, and good work practices.
    (3) Local education agency maintenance and custodial staff who have attended EPA-approved asbestos training or received equivalent training for O&M and periodic surveillance activities involving asbestos shall be considered trained for the purposes of this section.
    (b) Periodic surveillance. (1) At least once every 6 months after a management plan is in effect, each local education agency shall conduct periodic surveillance in each building that it leases, owns, or otherwise uses as a school building that contains ACBM or is assumed to
contain ACBM.
    (2) Each person performing periodic surveillance shall:
    (i) Visually inspect all areas that are identified in the management plan as ACBM or assumed ACBM.
    (ii) Record the date of the surveillance, his or her name, and any changes in the condition of the materials.
    (iii) Submit to the person designated to carry out general local education agency responsibilities under Sec. 763.84 a copy of such record for inclusion in the management plan.

[52 FR 41846, Oct. 30, 1987, as amended at 60 FR 34465, July 3, 1995]

Sec. 763.93  Management plans.

    (a)(1) On or before October 12, 1988, each local education agency shall develop an asbestos management plan for each school, including all buildings that they lease, own, or otherwise use as school buildings, and submit the plan to an Agency designated by the Governor of the State in which the local education agency is located. The plan may be submitted in stages that cover a portion of the school buildings under the authority of the local education agency.
    (2) If a building to be used as part of a school is leased or otherwise acquired after October 12, 1988, the local education agency shall include the new building in the management plan for the school prior to its use as a school building. The revised portions of the management plan shall be submitted to the Agency designated by the Governor.
    (3) If a local education agency begins to use a building as a school after October 12, 1988, the local education agency shall submit a management plan for the school to the Agency designated by the Governor prior to its use as a school.
    (b) On or before October 17, 1987, the Governor of each State shall notify local education agencies in the State regarding where to submit their management plans. States may establish administrative procedures for reviewing management plans. If the Governor does not disapprove a management plan within 90 days after receipt of the plan, the local education agency shall implement the plan.
    (c) Each local education agency must begin implementation of its management plan on or before July 9, 1989, and complete implementation in a timely fashion.
    (d) Each local education agency shall maintain and update its management plan to keep it current with ongoing operations and maintenance, periodic surveillance, inspection, reinspection, and response action activities. All provisions required to be included in the management plan under this section shall be retained as part of the management plan, as well as any information that has been revised to bring the plan up-to-date.
    (e) The management plan shall be developed by an accredited management planner and shall include:
    (1) A list of the name and address of each school building and whether the school building contains friable ACBM, nonfriable ACBM, and friable and nonfriable suspected ACBM assumed to be ACM.
    (2) For each inspection conducted before the December 14, 1987:
    (i) The date of the inspection.
    (ii) A blueprint, diagram, or written description of each school building that identifies clearly each location and approximate square or linear footage of any homogeneous or sampling area where material was sampled for ACM, and, if possible, the exact locations where bulk samples were collected, and the dates of collection.
    (iii) A copy of the analyses of any bulk samples, dates of analyses, and a copy of any other laboratory reports pertaining to the analyses.
    (iv) A description of any response actions or preventive measures taken to reduce asbestos exposure, including if possible, the names and addresses of all contractors involved, start and completion dates of the work, and results of any air samples analyzed during and upon completion of the work.
    (v) A description of assessments, required to be made under Sec. 763.88, of material that was identified before December 14, 1987, as friable ACBM or friable suspected ACBM assumed to be ACM, and the name and signature, State of accreditation, and if applicable, accreditation number of each accredited person making the assessments.
    (3) For each inspection and reinspection conducted under Sec. 763.85:
    (i) The date of the inspection or reinspection and the name and signature, State of accreditation and, if applicable, the accreditation number of each accredited inspector performing the inspection or reinspection.
    (ii) A blueprint, diagram, or written description of each school building that identifies clearly each location and approximate square or linear footage of homogeneous areas where material was sampled for ACM, the exact location where each bulk sample was collected, date of collection, homogeneous areas where friable suspected ACBM is assumed to be ACM, and where nonfriable suspected ACBM is assumed to be ACM.
    (iii) A description of the manner used to determine sampling locations, and the name and signature of each accredited inspector collecting samples, the State of accreditation, and if applicable, his or her accreditation number.
    (iv) A copy of the analyses of any bulk samples collected and analyzed, the name and address of any laboratory that analyzed bulk samples, a statement that the laboratory meets the applicable
requirements of Sec. 763.87(a) the date of analysis, and the name and signature of the person performing the analysis.
    (v) A description of assessments, required to be made under Sec. 763.88, of all ACBM and suspected ACBM assumed to be ACM, and the name, signature, State of accreditation, and if applicable, accreditation number of each accredited person making the assessments.
    (4) The name, address, and telephone number of the person designated under Sec. 763.84 to ensure that the duties of the local education agency are carried out, and the course name, and dates and hours of training taken by that person to carry out the duties.
    (5) The recommendations made to the local education agency regarding response actions, under Sec. 763.88(d), the name, signature, State of accreditation of each person making the recommendations, and if applicable, his or her accreditation number.
    (6) A detailed description of preventive measures and response actions to be taken, including methods to be used, for any friable ACBM, the locations where such measures and action will be taken, reasons for selecting the response action or preventive measure, and a schedule for beginning and completing each preventive measure and response action.
    (7) With respect to the person or persons who inspected for ACBM and who will design or carry out response actions, except for operations and maintenance, with respect to the ACBM, one of the following statements:
    (i) If the State has adopted a contractor accreditation program under section 206(b) of Title II of the Act, a statement that the person(s) is accredited under such plan.
    (ii) A statement that the local education agency used (or will use) persons who have been accredited by another State which has adopted a contractor accreditation plan under section 206(b) of Title II of the Act or is accredited by an EPA-approved course under section 206(c) of
Title II of the Act.
    (8) A detailed description in the form of a blueprint, diagram, or in writing of any ACBM or suspected ACBM assumed to be ACM which remains in the school once response actions are undertaken pursuant to Sec. 763.90. This description shall be updated as response actions are
completed.
    (9) A plan for reinspection under Sec. 763.85, a plan for operations and maintenance activities under Sec. 763.91, and a plan for periodic surveillance under Sec. 763.92, a description of the recommendation made by the management planner regarding additional cleaning under
Sec. 763.91(c)(2) as part of an operations and maintenance program, and the response of the local education agency to that recommendation.
    (10) A description of steps taken to inform workers and building occupants, or their legal guardians, about inspections, reinspections, response actions, and post-response action activities, including periodic reinspection and surveillance activities that are planned or in progress.
    (11) An evaluation of the resources needed to complete response actions successfully and carry out reinspection, operations and maintenance activities, periodic surveillance and training.
    (12) With respect to each consultant who contributed to the management plan, the name of the consultant and one of the following statements:
    (i) If the State has adopted a contractor accreditation plan under section 206(b) of Title II of the Act, a statement that the consultant is accredited under such plan.
    (ii) A statement that the contractor is accredited by another State which has adopted a contractor accreditation plan under section 206(b) of Title II of the Act, or is accredited by an EPA-approved course developed under section 206(c) of Title II of the Act.
    (f) A local education agency may require each management plan to contain a statement signed by an accredited management plan developer that such person has prepared or assisted in the preparation of such plan or has reviewed such plan, and that such plan is in compliance with
this subpart E. Such statement may not be signed by a person who, in addition to preparing or assisting in preparing the management plan, also implements (or will implement) the management plan.
    (g)(1) Upon submission of a management plan to the Governor for review, a local education agency shall keep a copy of the plan in its administrative office. The management plans shall be available, without cost or restriction, for inspection by representatives of EPA and the State, the public, including teachers, other school personnel and their representatives, and parents. The local education agency may charge a reasonable cost to make copies of management plans.
    (2) Each local education agency shall maintain in its administrative office a complete, updated copy of a management plan for each school under its administrative control or direction. The management plans shall be available, during normal business hours, without cost or restriction, for inspection by representatives of EPA and the State, the public, including teachers, other school personnel and their representatives, and parents. The local education agency may charge a
reasonable cost to make copies of management plans.
    (3) Each school shall maintain in its administrative office a complete, updated copy of the management plan for that school. Management plans shall be available for inspection, without cost or restriction, to workers before work begins in any area of a school building. The school shall make management plans available for inspection to representatives of EPA and the State, the public, including parents, teachers, and other school personnel and their representatives within 5 working days after receiving a request for inspection. The school may charge a reasonable cost to make copies of the management plan.
    (4) Upon submission of its management plan to the Governor and at least once each school year, the local education agency shall notify in writing parent, teacher, and employee organizations of the availability of management plans and shall include in the management plan a
description of the steps taken to notify such organizations, and a dated copy of the notification. In the absence of any such organizations for parents, teachers, or employees, the local education agency shall provide written notice to that relevant group of the availability of management plans and shall include in the management plan a description of the steps taken to notify such groups, and a dated copy of the notification.
    (h) Records required under Sec. 763.94 shall be made by local education agencies and maintained as part of the management plan.
    (i) Each management plan must contain a true and correct statement, signed by the individual designated by the local education agency under Sec. 763.84, which certifies that the general, local education agency responsibilities, as stipulated by Sec. 763.84, have been met or will be met.

Sec. 763.94  Recordkeeping.

    (a) Records required under this section shall be maintained in a centralized location in the administrative office of both the school and the local education agency as part of the management plan. For each homogeneous area where all ACBM has been removed, the local education agency shall ensure that such records are retained for 3 years after the next reinspection required under Sec. 763.85(b)(1), or for an equivalent period.
    (b) For each preventive measure and response action taken for friable and nonfriable ACBM and friable and nonfriable suspected ACBM assumed to be ACM, the local education agency shall provide:
    (1) A detailed written description of the measure or action, including methods used, the location where the measure or action was taken, reasons for selecting the measure or action, start and completion dates of the work, names and addresses of all contractors involved, and if applicable, their State of accreditation, and accreditation numbers, and if ACBM is removed, the name and location of storage or disposal site of the ACM.
    (2) The name and signature of any person collecting any air sample required to be collected at the completion of certain response actions specified by Sec. 763.90(i), the locations where samples were collected, date of collection, the name and address of the laboratory analyzing the
samples, the date of analysis, the results of the analysis, the method of analysis, the name and signature of the person performing the analysis, and a statement that the laboratory meets the applicable requirements of Sec. 763.90(i)(2)(ii).
    (c) For each person required to be trained under Sec. 763.92(a) (1) and (2), the local education agency shall provide the person's name and job title, the date that training was completed by that person, the location of the training, and the number of hours completed in such training.
    (d) For each time that periodic surveillance under Sec. 763.92(b) is performed, the local education agency shall record the name of each person performing the surveillance, the date of the surveillance, and any changes in the conditions of the materials.
    (e) For each time that cleaning under Sec. 763.91(c) is performed, the local education agency shall record the name of each person performing the cleaning, the date of such cleaning, the locations cleaned, and the methods used to perform such cleaning.
    (f) For each time that operations and maintenance activities under Sec. 763.91(d) are performed, the local education agency shall record the name of each person performing the activity, the start and completion dates of the activity, the locations where such activity
occurred, a description of the activity including preventive measures used, and if ACBM is removed, the name and location of storage or disposal site of the ACM.
    (g) For each time that major asbestos activity under Sec. 763.91(e)
is performed, the local education agency shall provide the name and signature, State of accreditation, and if applicable, the accreditation number of each person performing the activity, the start and completion dates of the activity, the locations where such activity occurred, a
description of the activity including preventive measures used, and if ACBM is removed, the name and location of storage or disposal site of the ACM.
    (h) For each fiber release episode under Sec. 763.91(f), the local education agency shall provide the date and location of the episode, the method of repair, preventive measures or response action taken, the name of each person performing the work, and if ACBM is removed, the name and location of storage or disposal site of the ACM.

(Approved by the Office of Management and Budget under control number 2070-0091)

Sec. 763.95  Warning labels.

    (a) The local education agency shall attach a warning label immediately adjacent to any friable and nonfriable ACBM and suspected ACBM assumed to be ACM located in routine maintenance areas (such as boiler rooms) at each school building. This shall include:
    (1) Friable ACBM that was responded to by a means other than removal.
    (2) ACBM for which no response action was carried out.
    (b) All labels shall be prominently displayed in readily visible locations and shall remain posted until the ACBM that is labeled is removed.
    (c) The warning label shall read, in print which is readily visible because of large size or bright color, as follows:

CAUTION: ASBESTOS. HAZARDOUS. DO NOT DISTURB WITHOUT PROPER TRAINING AND EQUIPMENT.

Sec. 763.97  Compliance and enforcement.

    (a) Compliance with Title II of the Act. (1) Section 207(a) of Title II of the Act (15 U.S.C. 2647) makes it unlawful for any local education agency to:
    (i) Fail to conduct inspections pursuant to section 203(b) of Title II of the Act, including failure to follow procedures and failure to use accredited personnel and laboratories.
    (ii) Knowingly submit false information to the Governor regarding any inspection pursuant to regulations under section 203(i) of Title II of the Act.
    (iii) Fail to develop a management plan pursuant to regulations under section 203(i) of Title II of the Act.
    (2) Section 207(a) of Title II of the Act (15 U.S.C. 2647) also provides that any local education agency which violates any provision of section 207 shall be liable for a civil penalty of not more than $5,000 for each day during which the violation continues. For the purposes of this subpart, a ``violation'' means a failure to comply with respect to a single school building.
    (b) Compliance with Title I of the Act. (1) Section 15(1)(D) of Title I of the Act (15 U.S.C. 2614) makes it unlawful for any person to fail or refuse to comply with any requirement of Title II or any rule promulgated or order issued under Title II. Therefore, any person who violates any requirement of this subpart is in violation of section 15 of Title I of the Act.
    (2) Section 15(3) of Title I of the Act (15 U.S.C. 2614) makes it unlawful for any person to fail or refuse to establish or maintain records, submit reports, notices or other information, or permit
access to or copying of records, as required by this Act or a rule thereunder.
    (3) Section 15(4) (15 U.S.C. 2614) of Title I of the Act makes it unlawful for any person to fail or refuse to permit entry or inspection as required by section 11 of Title I of the Act.
    (4) Section 16(a) of Title I of the Act (15 U.S.C. 2615) provides that any person who violates any provision of section 15 of Title I of the Act shall be liable to the United States for a civil penalty in an amount not to exceed $25,000 for each such violation. Each day such a violation continues shall, for purposes of this paragraph, constitute a separate violation of section 15. A local education agency is not liable for any civil penalty under Title I of the Act for failing or refusing to comply with any rule promulgated or order issued under Title II of the Act.
    (c) Criminal penalties. If any violation committed by any person (including a local education agency) is knowing or willful, criminal penalties may be assessed under section 16(b) of Title I of the Act.
    (d) Injunctive relief. The Agency may obtain injunctive relief under section 208(b) of Title II of the Act to respond to a hazard which poses an imminent and substantial endangerment to human health or the environment or section 17 (15 U.S.C. 2616) of Title I of the Act to
restrain any violation of section 15 of Title I of the Act or to compel the taking of any action required by or under Title I of the Act.
    (e) Citizen complaints. Any citizen who wishes to file a complaint pursuant to section 207(d) of Title II of the Act should direct the complaint to the Governor of the State or the EPA Asbestos Ombudsman, 401 M Street, SW., Washington, DC 20460. The citizen complaint should be in writing and identified as a citizen complaint pursuant to section 207(d) of Title II of TSCA. The EPA Asbestos Ombudsman or the Governor shall investigate and respond to the complaint within a reasonable period of time if the allegations provide a reasonable basis to believe that a violation of the Act has occurred.
    (f) Inspections. EPA may conduct inspections and review management plans under section 11 of Title I of the Act (15 U.S.C. 2610) to ensure compliance.

Sec. 763.98  Waiver; delegation to State.

    (a) General. (1) Upon request from a State Governor and after notice and comment and an opportunity for a public hearing in accordance with paragraphs (b) and (c) of this section, EPA may waive some or all of the requirements of this subpart E if the State has established and is
implementing or intends to implement a program of asbestos inspection and management that contains requirements that are at least as stringent as the requirements of this subpart E.
    (2) A waiver from any requirement of this subpart E shall apply only to the specific provision for which a waiver has been granted under this section. All requirements of this subpart E shall apply until a waiver is granted under this section.
    (b) Request. Each request by a Governor to waive any requirement of this subpart E shall be sent with three complete copies of the request to the Regional Administrator for the EPA Region in which the State is located and shall include:
    (1) A copy of the State provisions or proposed provisions relating to its program of asbestos inspection and management in schools for which the request is made.
    (2)(i) The name of the State agency that is or will be responsible for administering and enforcing the requirements for which a waiver is requested, the names and job titles of responsible officials in that agency, and phone numbers where the officials can be contacted.
    (ii) In the event that more than one agency is or will be responsible for administering and enforcing the requirements for which a waiver is requested, a description of the functions to be performed by each agency, how the program will be coordinated by the lead agency to ensure consistency and effective administration in the asbestos inspection and management program within the State, the names and job titles of responsible officials in the agencies, and phone numbers where the officials can be contacted. The lead agency will serve as the central contact point for the EPA.
    (3) Detailed reasons, supporting papers, and the rationale for concluding that the State's asbestos inspection and management program provisions for which the request is made are at least as stringent as the requirements of this subpart E.
    (4) A discussion of any special situations, problems, and needs pertaining to the waiver request accompanied by an explanation of how the State intends to handle them.
    (5) A statement of the resources that the State intends to devote to the administration and enforcement of the provisions relating to the waiver request.
    (6) Copies of any specific or enabling State laws (enacted and pending enactment) and regulations (promulgated and pending promulgation) relating to the request, including provisions for assessing criminal and/or civil penalties.
    (7) Assurance from the Governor, the Attorney General, or the legal counsel of the lead agency that the lead agency or other cooperating agencies have the legal authority necessary to carry out the requirements relating to the request.
    (c) General notice--hearing. (1) Within 30 days after receipt of a request for a waiver, EPA will determine the completeness of the request. If EPA does not request further information within the 30-day period, the request will be deemed complete.
    (2) Within 30 days after EPA determines that a request is complete, EPA will issue for publication in the Federal Register a notice that announces receipt of the request, describes the information submitted under paragraph (b) of this section, and solicits written comment from
interested members of the public. Comments must be submitted within 60 days.
    (3) If, during the comment period, EPA receives a written objection to a Governor's request and a request for a public hearing detailing specific objections to the granting of a waiver, EPA will schedule a public hearing to be held in the affected State after the close of the comment period and will announce the public hearing date in the Federal Register before the date of the hearing. Each comment shall include the name and address of the person submitting the comment.
    (d) Criteria. EPA may waive some or all of the requirements of subpart E of this part if:
    (1) The State's lead agency and other cooperating agencies have the legal authority necessary to carry out the provisions of asbestos inspection and management in schools relating to the waiver request.
    (2) The State's program of asbestos inspection and management in schools relating to the waiver request and implementation of the program are or will be at least as stringent as the requirements of this subpart E.
    (3) The State has an enforcement mechanism to allow it to implement the program described in the waiver request
.   (4) The lead agency and any cooperating agencies have or will have qualified personnel to carry out the provisions relating to the waiver request.
    (5) The State will devote adequate resources to the administration and enforcement of the asbestos inspection and management provisions relating to the waiver request.
    (6) When specified by EPA, the State gives satisfactory assurances that necessary steps, including specific actions it proposes to take and a time schedule for their accomplishment, will be taken within a reasonable time to conform with applicable criteria under paragraphs (d) (2) through (4) of this section.
    (e) Decision. EPA will issue for publication in the Federal Register a notice announcing its decision to grant or deny, in whole or in part, a Governor's request for a waiver from some or all of the requirements of this subpart E within 30 days after the close of the comment period or within 30 days following a public hearing, whichever is applicable. The notice will include the Agency's reasons and rationale for granting or denying the Governor's request. The 30-day period may be extended if mutually agreed upon by EPA and the State.
    (f) Modifications. When any substantial change is made in the administration or enforcement of a State program for which a waiver was granted under this section, a responsible official in the lead agency shall submit such changes to EPA.
    (g) Reports. The lead agency in each State that has been granted a waiver by EPA from any requirement of subpart E of this part shall submit a report to the Regional Administrator for the Region in which the State is located at least once every 12 months to include the following information:
    (1) A summary of the State's implementation and enforcement activities during the last reporting period relating to provisions waived under this section, including enforcement actions taken.
    (2) Any changes in the administration or enforcement of the State program implemented during the last reporting period.
    (3) Other reports as may be required by EPA to carry out effective oversight of any requirement of this subpart E that was waived under this section.
    (h) Oversight. EPA may periodically evaluate the adequacy of a State's implementation and enforcement of and resources devoted to carrying out requirements relating to the waiver. This evaluation may include, but is not limited to, site visits to local education agencies without prior notice to the State.
    (i) Informal conference. (1) EPA may request that an informal conference be held between appropriate State and EPA officials when EPA has reason to believe that a State has failed to:
    (i) Substantially comply with the terms of any provision that was waived under this section.
    (ii) Meet the criteria under paragraph (d) of this section, including the failure to carry out enforcement activities or act on violations of the State program.
    (2) EPA will:
    (i) Specify to the State those aspects of the State's program believed to be inadequate.
    (ii) Specify to the State the facts that underlie the belief of inadequacy.
    (3) If EPA finds, on the basis of information submitted by the State at the conference, that deficiencies did not exist or were corrected by the State, no further action is required.
    (4) Where EPA finds that deficiencies in the State program exist, a plan to correct the deficiencies shall be negotiated between the State and EPA. The plan shall detail the deficiencies found in the State program, specify the steps the State has taken or will take to remedy the deficiencies, and establish a schedule for each remedial action to be initiated.
    (j) Rescission. (1) If the State fails to meet with EPA or fails to correct deficiencies raised at the informal conference, EPA will deliver to the Governor of the State and a responsible official in the lead agency a written notice of its intent to rescind, in whole or part, the waiver.
    (2) EPA will issue for publication in the Federal Register a notice that announces the rescission of the waiver, describes those aspects of the State's program determined to be inadequate, and specifies the facts that underlie the findings of inadequacy.

Sec. 763.99  Exclusions.

    (a) A local education agency shall not be required to perform an inspection under Sec. 763.85(a) in any sampling area as defined in 40 CFR 763.103 or homogeneous area of a school building where:
    (1) An accredited inspector has determined that, based on sampling records, friable ACBM was identified in that homogeneous or sampling area during an inspection conducted before December 14, 1987. The inspector shall sign and date a statement to that effect with his or her
State of accreditation and if applicable, accreditation number and, within 30 days after such determination, submit a copy of the statement to the person designated under Sec. 763.84 for inclusion in the management plan. However, an accredited inspector shall assess the friable ACBM under Sec. 763.88.
    (2) An accredited inspector has determined that, based on sampling records, nonfriable ACBM was identified in that homogeneous or sampling area during an inspection conducted before December 14, 1987. The inspector shall sign and date a statement to that effect with his or her
State of accreditation and if applicable, accreditation number and, within 30 days after such determination, submit a copy of the statement to the person designated under Sec. 763.84 for inclusion in the management plan. However, an accredited inspector shall identify whether material that was nonfriable has become friable since that previous inspection and shall assess the newly-friable ACBM under Sec. 763.88.
    (3) Based on sampling records and inspection records, an accredited inspector has determined that no ACBM is present in the homogeneous or sampling area and the records show that the area was sampled, before December 14, 1987 in substantial compliance with Sec. 763.85(a), which
for purposes of this section means in a random manner and with a sufficient number of samples to reasonably ensure that the area is not ACBM.
    (i) The accredited inspector shall sign and date a statement, with his or her State of accreditation and if applicable, accreditation number that the homogeneous or sampling area determined not to be ACBM was sampled in substantial compliance with Sec. 763.85(a).
    (ii) Within 30 days after the inspector's determination, the local education agency shall submit a copy of the inspector's statement to the EPA Regional Office and shall include the statement in the management plan for that school.
    (4) The lead agency responsible for asbestos inspection in a State that has been granted a waiver from Sec. 763.85(a) has determined that, based on sampling records and inspection records, no ACBM is present in the homogeneous or sampling area and the records show that the area was sampled before December 14, 1987, in substantial compliance with Sec. 763.85(a). Such determination shall be included in the management plan for that school.
    (5) An accredited inspector has determined that, based on records of an inspection conducted before December 14, 1987, suspected ACBM identified in that homogeneous or sampling area is assumed to be ACM. The inspector shall sign and date a statement to that effect, with his or her State of accreditation and if applicable, accreditation number and, within 30 days of such determination, submit a copy of the statement to the person designated under Sec. 763.84 for inclusion in the management plan. However, an accredited inspector shall identify whether material that was nonfriable suspected ACBM assumed to be ACM has become friable since the previous inspection and shall assess the newly friable material and previously identified friable suspected ACBM assumed to be ACM under Sec. 763.88.
    (6) Based on inspection records and contractor and clearance records, an accredited inspector has determined that no ACBM is present in the homogeneous or sampling area where asbestos removal operations have been conducted before December 14, 1987, and shall sign and date a
statement to that effect and include his or her State of accreditation and, if applicable, accreditation number. The local education agency shall submit a copy of the statement to the EPA Regional Office and shall include the statement in the management plan for that school.
    (7) An architect or project engineer responsible for the construction of a new school building built after October 12, 1988, or an accredited inspector signs a statement that no ACBM was specified as a building material in any construction document for the building, or, to the best of his or her knowledge, no ACBM was used as a building material in the building. The local education agency shall submit a copy of the signed statement of the architect, project engineer, or
accredited inspector to the EPA Regional Office and shall include the statement in the management plan for that school.
    (b) The exclusion, under paragraphs (a) (1) through (4) of this section, from conducting the inspection under Sec. 763.85(a) shall apply only to homogeneous or sampling areas of a school building that were inspected and sampled before October 17, 1987. The local education
agency shall conduct an inspection under Sec. 763.85(a) of all areas inspected before October 17, 1987 that were not sampled or were not assumed to be ACM.
    (c) If ACBM is subsequently found in a homogeneous or sampling area of a local education agency that had been identified as receiving an exclusion by an accredited inspector under paragraphs (a) (3), (4), (5) of this section, or an architect, project engineer or accredited inspector under paragraph (a)(7) of this section, the local education agency shall have 180 days following the date of identification of ACBM to comply with this subpart E.


[Federal Register: July 28, 2008 (Volume 73, Number 145)]
[Notices]
[Page 43808-43810]
[DOCID:fr28jy08-120]

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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-58206; File No. SR-FINRA-2008-022]

Self-Regulatory Organizations; Financial Industry Regulatory
Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to
the Membership Waive-In Process for Certain New York Stock Exchange
Members

July 22, 2008.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on May 23, 2008, Financial Industry Regulatory Authority, Inc.
(``FINRA'') (f/k/a National Association of Securities Dealers, Inc.
(``NASD'')) filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I, II,
and III below, which Items have been substantially prepared by FINRA.
The Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
---------------------------------------------------------------------------

I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    FINRA is proposing to amend NASD IM-1013-1, to address the
applicability of the consolidated FINRA rules to member firms of the
New York Stock Exchange LLC (``NYSE'') that became members of FINRA
pursuant to the membership waive-in process set forth in IM-1013-1. The
text of the proposed rule change is available at FINRA, the
Commission's Public Reference Room, and http://www.finra.org.

II. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change

    In its filing with the Commission, FINRA included statements
concerning the purpose of, and basis for, the proposed rule change and
discussed any comments it received on the proposed rule change. The
text of these statements may be examined at the places specified in
Item IV below. FINRA has prepared summaries, set forth in Sections A,
B, and C below, of the most significant aspects of such statements.

A. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change

1. Purpose
    On July 30, 2007, NASD and NYSE consolidated their member firm
regulation operations into a combined organization, FINRA. To achieve
the transaction's goal to eliminate duplicative member firm regulation
and enable FINRA to meet its new regulatory responsibilities, the NYSE
amended NYSE Rule 2(b) to require FINRA membership as a condition of
being an NYSE member organization (``Mandatory FINRA Membership
filing'').\3\
---------------------------------------------------------------------------

    \3\ See Securities Exchange Act Release No. 56654 (October 12,
2007), 72 FR 59129 (October 18, 2007) (SR-NYSE-2007-67) (amending
the definition of ``member organization'' in NYSE Rule 2(b) to make
FINRA membership a condition of being an NYSE member organization
with a 60-day grace period for compliance); Securities Exchange Act
Release No. 56953 (December 12, 2007), 72 FR 71990 (December 19,
2007) (SR-NYSE-2007-115) (extending the grace period for NYSE-only
member organizations to apply for and be approved as FINRA members
to June 30, 2008); Securities Exchange Act Release No. 58096 (July
3, 2008), 73 FR 39764 (July 10, 2008) (SR-NYSE-2008-54) (extending
the grace period for NYSE-only member organizations to apply for and
be approved as FINRA members to December 31, 2008). See also
Securities Exchange Act Release No. 56751 (November 6, 2007), 72 FR
64098 (November 14, 2007) (SR-FINRA-2007-19) (amending the
definition of ``member organization'' in FINRA's NYSE Rule 2(b) to
make FINRA membership a condition of being an NYSE member
organization).
---------------------------------------------------------------------------

    As part of the transaction, FINRA incorporated into its existing
rulebook NYSE rules related to member firm conduct (``Incorporated NYSE
Rules''). Thus, the current FINRA rulebook consists of two sets of
rules: (1) NASD rules and (2) the Incorporated NYSE Rules (together
referred to herein as the ``Transitional Rulebook'').\4\ The
Incorporated NYSE Rules apply only to Dual Members.\5\
---------------------------------------------------------------------------

    \4\ Pursuant to Rule 17d-2 under the Act, NASD, NYSE and NYSE
Regulation Inc. entered into an agreement to reduce regulatory
duplication for firms that are members of both FINRA and the NYSE
(``Dual Members'') by allocating regulatory responsibilities for the
Incorporated NYSE Rules to FINRA. FINRA has assumed examination,
enforcement and surveillance responsibilities under the agreement
relating to compliance by Dual Members to the extent such
responsibilities involve member firm regulation. See Securities
Exchange Act Release No. 56148 (July 26, 2007), 72 FR 42146 (August
1, 2007) (File No. 4-544).
    \5\ The Incorporated NYSE Rules continue to apply to persons
affiliated with Dual Members to the same extent and in the same
manner as they did before the consolidation. In applying the
Incorporated NYSE Rules to Dual Members and such affiliated persons,
FINRA has incorporated the related interpretative positions set
forth in the NYSE Rule Interpretations Handbook and NYSE Information
Memos.
---------------------------------------------------------------------------

    In furtherance of the consolidation, FINRA adopted NASD IM-1013-1
to

enable eligible NYSE member organizations to become FINRA members
through an expedited process.\6\ Under the process outlined in IM-1013-
1, certain NYSE firms were eligible to automatically become FINRA
members and to register all associated persons whose registrations were
approved with NYSE in registration categories recognized by FINRA upon
submission to FINRA's Member Regulation Department of a signed waive-in
membership application. As provided in IM-1013-1, the NYSE firms
admitted pursuant to IM-1013-1 (the ``Waive-in Firms'') currently are
subject to the Incorporated NYSE Rules, FINRA's By-Laws and Schedules
to By-Laws, including Schedule A (Assessments and Fees), and the NASD
Rule 8000 (Investigations and Sanctions) and Rule 9000 (Code of
Procedure) Series, provided that their securities business is limited
to floor brokerage on the NYSE, or routing away to other markets orders
that are ancillary to their core floor business under NYSE Rule 70.40
(``permitted floor activities'').\7\ If a Waive-In Firm seeks to expand
its business operations beyond the permitted floor activities, the firm
must apply for and receive approval to engage in such business activity
pursuant to NASD Rule 1017 (Application for Approval of Change in
Ownership, Control, or Business Operations). Upon approval of such
business expansion, the firm would become subject to all NASD rules, in
addition to the Incorporated NYSE Rules.
---------------------------------------------------------------------------

    \6\ See Securities Exchange Act Release No. 56653 (October 12,
2007); 72 FR 59127 (October 18, 2007) (SR-NASD-2007-056).
    \7\ For purposes of IM-1013-1, activities that are ancillary to
a Floor broker's core business include (i) routing orders in NYSE-
traded securities to an away market for any reason relating to their
ongoing Floor activity, including regulatory compliance or meeting
best-execution obligations, or (ii) provided that the majority of
transactions effected by the firm are effected on the NYSE, sending
to other markets orders in NYSE-traded or non-NYSE-traded securities
and/or futures if such orders relate to hedging positions in NYSE-
traded securities, or are part of arbitrage or program trade
strategies that include NYSE-traded securities.
---------------------------------------------------------------------------

    FINRA has established a process to develop a new consolidated
rulebook (``Consolidated FINRA Rulebook''), which will consist only of
FINRA Rules and will apply to all FINRA members, unless such rules have
a more limited application by their terms.\8\ With limited exceptions
specified in the Act, the Commission must approve the FINRA Rules prior
to their becoming effective in the new Consolidated FINRA Rulebook.
FINRA intends to obtain those approvals through a series of rule
filings with the Commission. As the Commission approves new rules for
inclusion in the Consolidated FINRA Rulebook and they become effective,
FINRA members will become subject to those rules. Members also will
remain subject to the rules remaining in the Transitional Rulebook.
(The Incorporated NYSE Rules in the Transitional Rulebook will continue
to apply only to Dual Members.) As the Consolidated FINRA Rulebook
expands with Commission-approved final FINRA Rules, the Transitional
Rulebook will be reduced by the elimination of those rules, or sections
thereof, that address the same subject matter of regulation. When the
Consolidated FINRA Rulebook is completed, the Transitional Rulebook
will have been eliminated in its entirety.
---------------------------------------------------------------------------

    \8\ FINRA issued an Information Notice on March 12, 2008 that
describes the rulebook consolidation process in greater detail.
---------------------------------------------------------------------------

    The proposed rule change would amend NASD IM-1013-1 to address the
applicability of consolidated FINRA rules to the Waive-In Firms. FINRA
believes that the Waive-In Firms should be subject to all consolidated
FINRA Rules, unless the rules have a more limited application by their
terms. In addition, this amendment is essential because all of the
existing Incorporated NYSE Rules currently applicable to the Waive-In
Firms are scheduled to be eliminated from the Transitional Rulebook as
the consolidated FINRA Rules are adopted and implemented (although it
may be the case concepts or parts of Incorporated NYSE Rules will
become adopted as part of the consolidated FINRA rules). Absent the
proposed rule change, the elimination of the those legacy rules in the
Transitional Rulebook applicable to the Waive-In Firms would result in
a gap in regulation for such firms.
    Accordingly, the proposed rule change would amend IM-1013-1 to
specify that the Waive-In Firms will be subject to FINRA's By-Laws and
Schedules to By-Laws, including Schedule A, the consolidated FINRA
rules and the Incorporated NYSE Rules, provided that their securities
business is limited to the permitted floor activities. If a Waive-In
Firm seeks to expand its business operations to include any activities
other than the permitted floor activities, the firm must continue to
apply for and receive approval pursuant to NASD Rule 1017. Upon
approval of such expansion, the firm would be subject to all NASD
rules, in addition to the consolidated FINRA rules and the Incorporated
NYSE Rules (as is the case with the Incorporated NYSE Rules, when the
Consolidated FINRA Rulebook is completed, all NASD rules would be
eliminated; although it may be the case that concepts or parts of NASD
rules will become adopted as part of the consolidated FINRA rules).
FINRA is proposing to continue to require the Waive-In Firms to comply
with the Incorporated NYSE Rules and, as applicable, NASD Rule 1017
until such time as these rules are eliminated as part of the adoption
of the Consolidated FINRA Rulebook.\8\
---------------------------------------------------------------------------

    \8\ FINRA notes that the Waive-In Firms will continue to be
subject to the content of the NASD Rule 8000 and 9000 Series,
insofar as FINRA has filed a rule change to transfer these two rule
series, without substantive change, to the Consolidated FINRA
Rulebook. See Securities Exchange Release No. 58176 (July 16, 2008)
(SR-FINRA-2008-021).
---------------------------------------------------------------------------

    FINRA will announce the implementation date of the proposed rule
change in a Regulatory Notice to be published no later than 60 days
following Commission approval.
2. Statutory Basis
    FINRA believes that the proposed rule change is consistent with the
provisions of Section 15A of the Act, including Section 15A(b)(6) of
the Act,\9\ in that it is designed to prevent fraudulent and
manipulative acts and practices, promote just and equitable principles
of trade and, in general, to protect investors and the public interest.
FINRA believes that the proposed rule change will ensure that members
eligible for the waive-in process continue to meet appropriate
regulatory standards, resulting in effective and efficient regulation
of brokers and dealers, thereby enhancing investor protection.
---------------------------------------------------------------------------

    \9\ 15 U.S.C. 78o-3(b)(6).
---------------------------------------------------------------------------

B. Self-Regulatory Organization's Statement on Burden on Competition

    FINRA does not believe that the proposed rule change will impose
any burden on competition not necessary or appropriate in furtherance
of the purposes of the Act.

C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants or Others

    Written comments were neither solicited nor received.

III. Date of Effectiveness of the Proposed Rule Change and Timing for
Commission Action

    Within 35 days of the date of publication of this notice in the
Federal Register or within such longer period (i) as the Commission may
designate up to 90 days of such date if it finds such longer period to
be appropriate and publishes its reasons for so finding or (ii) as to
which the self-regulatory

organization consents, the Commission will:
    (A) By order approve such proposed rule change, or
    (B) Institute proceedings to determine whether the proposed rule
change should be disapproved.

IV. Solicitation of Comments

    Interested persons are invited to submit written data, views, and
arguments concerning the foregoing, including whether the proposed rule
change is consistent with the Act. Comments may be submitted by any of
the following methods:

Electronic Comments

     Use the Commission's Internet comment form (http://
www.sec.gov/rules/sro.shtml); or
     Send an e-mail to<EMAIL_ADDRESS>Please include
File Number SR-FINRA-2008-022 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-FINRA-2008-022. 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/
rules/sro.shtml). Copies of the submission, all subsequent amendments,
all written statements with respect to the proposed rule change that
are filed with the Commission, and all written communications relating
to the proposed rule change 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 Room, 100 F Street,
NE., Washington, DC 20549, on official business days between the hours
of 10 a.m. and 3 p.m. Copies of such filing also will be available for
inspection and copying at the principal office of FINRA. All comments
received will be posted without change; the Commission does not edit
personal identifying information from submissions. You should submit
only information that you wish to make available publicly. All
submissions should refer to File Number SR-FINRA-2008-022 and should be
submitted on or before August 18, 2008.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\10\
---------------------------------------------------------------------------

    \10\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Florence E. Harmon,
Acting Secretary.
[FR Doc. E8-17209 Filed 7-25-08; 8:45 am]

BILLING CODE 8010-01-P