[Federal Register Volume 77, Number 228 (Tuesday, November 27, 2012)]
[Notices]
[Pages 70868-70870]
[FR Doc No: 2012-28745]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-68276; File No. SR-NYSE-2012-54]

Self-Regulatory Organizations; New York Stock Exchange LLC;
Notice of Filing of Proposed Rule Change Amending the Listed Company
Manual Section 204.00 To Create a Uniform Method for a Company To
Provide Notice to the Exchange When Required Pursuant to Sections
204.06, 204.12, 204.17, 204.21, 204.22, 311.01, 401.02, and 601.00 of
the Listed Company Manual, and To Make Conforming Changes

November 20, 2012.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby
given that on November 8, 2012, New York Stock Exchange LLC (``NYSE''
or ``Exchange'') 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 prepared by the self-regulatory
organization. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to amend the Listed Company Manual to amend
Section 204.00 to create a uniform method for a company to provide
notice to the Exchange when required to do so pursuant to Sections
204.06, 204.12, 204.17, 204.21, 204.22, 311.01, 401.02, and 601.00 of
the Listed Company Manual, and to make conforming changes. In addition,
the Exchange proposes to make administrative changes to the ``Guide to
Requirements for Submitting Data to the Exchange,'' which is set forth
in the Introduction to the Listed Company Manual. The text of the
proposed rule change is available on the Exchange's Web site at
www.nyse.com, at the principal office of the Exchange, and at the
Commission's Public Reference Room.

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

    In its filing with the Commission, the self-regulatory organization
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 those statements may be examined at
the places specified in Item IV below. The Exchange has prepared
summaries, set forth in sections A, B, and C below, of the most
significant parts of such statements.

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

1. Purpose
    The Exchange proposes to amend Section 204.00 of the Listed Company
Manual to create a uniform method for a company to provide notice to
the Exchange when required to do so pursuant to Sections 204.06,
204.12, 204.17, 204.21, 204.22, 311.01, 401.02, and 601.00 of the
Listed Company Manual, and to make conforming changes. In addition, the
Exchange proposes to make administrative changes to the ``Guide to
Requirements for Submitting Data to the Exchange,'' which is set forth
in the Introduction to the Listed Company Manual.
    A company is currently permitted to provide notices of certain
events to the Exchange through specified methods--for example, by
telephone, facsimile, telegram, letter, or email--that vary from
section-to-section of the Listed Company Manual. In some cases,
multiple notices are required, for example telephone notice followed by
a facsimile confirmation. The Listed Company Manual currently provides
the following methods for providing notice to the Exchange:

------------------------------------------------------------------------
                 Section                          Current method
------------------------------------------------------------------------
204.00 Notice to and Filings with the     Notice methods include fax,
 Exchange (notice in connection with       telephone, telegram, and
 certain actions or events as specified    letter.
 in Sections 204.01 through 204.25).
204.06 Closing of Transfer Books........  No method specified.
204.12 Dividends and Stock Distributions  Notice methods include fax,
 (notice of dividend action or action      telephone, telegram, and
 relating to a stock distribution).        letter.
204.17 Meetings of Shareholders.........  No method specified.
204.21 Record Date (notice of the fixing  Notice methods include fax,
 of a date for the taking of a record of   telephone, telegram, and
 shareholders or for the closing of        letter.
 transfer books).
204.22 Redemption of Listed Securities..  No method specified.

311.01 Publicity and Notice to the        Notice methods include fax and
 Exchange of Redemption (notice of         telephone.
 corporate action which will result in,
 or which looks toward, either the
 partial or full call for redemption of
 a listed security).
401.02 Notice to the Exchange (notice of  Notice methods include
 dates set in connection with the          telephone and writing or fax.
 calling of any meeting of shareholders,
 including changes in record date).
601.00 Services to be Provided by         Notice methods include fax and
 Transfer Agents and Registrars (notice    email.
 by transfer agents of the number of
 shares outstanding at the end of each
 calendar quarter).
------------------------------------------------------------------------

    The Exchange believes that establishing uniform methods to provide
a single notice to the Exchange when required pursuant to the rules
specified in the chart above will simplify the notification process and
help to ensure that all notices will be received and managed more
efficiently. Accordingly, the Exchange proposes to replace references
in the Listed Company Manual in the Introduction and the Sections set
forth above that describe current notification methods with references
to Section 204.00. Section 204.00 will provide that if a provision of
the Listed Company Manual requires a company to give notice to the
Exchange pursuant to Section 204.00, the company shall provide such
notice through a web-based communication system (e.g., an email address
or an internet portal) specified by the Exchange on its Web site.\4\
The Exchange believes that this web-based communication system is
generally more reliable than telegram, telephone, or facsimile notice
and, as such, will no longer permit notice by those methods other than
as otherwise specified in the Listed Company Manual.\5\ When a rule
does not specify some other notification method, companies may utilize
the methods set forth in Section 204.00 or any other reasonable method,
such as telephone, fax, or mail. In addition, however, Section 204.00
would provide that, in emergency situations, notification may instead
be provided by telephone and confirmed by facsimile as specified by the
Exchange on its Web site.\6\ However, the Exchange will continue to
require under Section 202.06 that a company provide advance notice of a
material event or rumor by telephone. Section 202.06 currently provides
that such telephonic notice should be accompanied by an email
transmission of the content of the notice. Instead of Section 202.06's
current general reference to the Exchange receiving the notice via
email, the Exchange proposes to amend Section 202.06 to specify that
such notice should be given through the Web-based notification methods
specified in Section 204.00.\7\ Section 204.00 currently contains a
general directive to follow the telephone alert procedures set forth in
Section 202.06(B). The Exchange proposes to conform this statement to
the applicable provision in Section 202.06(B) by revising it to make it
clear that the telephone alert procedures set forth in Section
202.06(B) are applicable when there is a material event or a statement
dealing with a rumor which calls for immediate release which is made
shortly before the opening or during market hours (presently 9:30 a.m.
to 5:00 p.m., New York time).
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    \4\ Upon approval of this proposed rule change, the Exchange
plans to specify that notices required to be provided pursuant to
Section 204.00 should be submitted through www.egovdirect.com, a web
portal operated by the Exchange, or to one of the email addresses
designated by the Exchange. The Exchange will post information about
any web portal or email address used for this purpose in a prominent
position on its Web site. The proposed rule text provides that the
Exchange will promptly update and prominently display that posting
if the applicable web portal or email address changes at any time.
At the time the proposed rule change takes effect, the Exchange
plans to send a notice to its listed companies clearly explaining
the means by which a notification can validly be made pursuant to
Section 204.00. The Exchange will also post this notice in a
prominent position on its Web site. If the Exchange modifies the
permitted means of complying with Section 204.00 in the future, the
Exchange will send a notice to its listed companies to explain such
modification and will amend the notice posted on its Web site to
reflect that modification. The proposed rule text would also advise
issuers to consult their Exchange representative if they have any
questions about how to comply with the applicable notification
requirements.
    \5\ The Exchange also proposes to delete the word ``written''
from the heading for Section 204.00 and from the first sentence of
the section. The purpose of the change is to eliminate any potential
confusion as to whether notices provided through a web-based
communication system constitute ``written'' notices.
    \6\ Under Section 204.00, an emergency situation would include
lack of computer or internet access; a technical problem on the
systems of either the listed company or the Exchange; or an
incompatibility between the systems of the listed company and the
Exchange. As stated in Footnote 4 supra, the proposed rule text also
advises issuers to consult their Exchange representative if they
have any questions about how to comply with the applicable
notification requirements.
    \7\ In addition, the Exchange also proposes to make cross-
references in the amended sections of the Listed Company Manual more
consistent by using references to a ``Section'' rather than a
``Paragraph.''
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    The Exchange notes that there are numerous notification
requirements in Sections 204.01-204.25, but that the web-based
notification procedure required by proposed Section 204.00 would only
be applicable where the relevant subsection as listed above
specifically provided that it was. The Exchange believes that this is a
reasonable approach, as the provisions in Sections 204.01-204.25 with
respect to which the procedures of Section 204.00 would be required all
relate to matters where timely notification is essential to the ability
of investors to arrange to be holders of a security on the record date
for a distribution or shareholder meeting. The other provisions of
Section 204.01-204.25 relate to matters with respect to which the
Exchange needs to be informed promptly, such as a change in transfer
agent or trustee (Section 204.02) or change in auditors (Section
204.03), but which do not give rise to the possibility that the failure
to be informed immediately could materially disadvantage investors in
the same way that the need to take timely action to be a security
holder on a record date does. As such, the Exchange believes that it is
reasonable to afford companies more flexibility with respect to how
companies comply with these other notification requirements than would
be the case under the web-based notification provision of Section
204.00.
    The Exchange also proposes to make two clarifying changes in
connection with the proposed amendments to Section 204.00. First, the
Exchange proposes to amend the guidance on press releases in the
``Guide to Requirements for Submitting Data to the Exchange,'' which is
set forth in the Introduction to the Listed Company Manual. The purpose
of the change is to conform the guidance in the Guide with the
corresponding requirement under Section 202.06. As proposed, the
revised guidance will state that, where material corporate developments
are disclosed between 9:00 a.m. and 5:00 p.m. EST, verbal communication
should be given to the NYSE at least 10 minutes prior to public release
of the information and a copy of the text of the

announcement should be promptly conveyed to the NYSE at least 10
minutes prior to release. Second, the Exchange proposes to delete a
paragraph of Section 311.01, which sets forth requirements for
notifying the Exchange of redemptions, providing that, where possible,
a redemption notice should be delivered by hand and, where hand
delivery is not possible, the notification should be made
telephonically and followed by a confirmatory fax. This provision
conflicts with a provision earlier in Section 311.11 which provides
that companies should provide notice of redemptions to the Exchange by
the means provided in Section 202.06(B), i.e., by telephone and
transmission of the text of the notice in accordance with proposed
Section 204.00. The purpose of the change is to eliminate any potential
confusion as to the actual notice requirements because Section 311.01
also directs listed companies to comply with the Exchange's timely
alert procedures.
    Finally, the Exchange proposes to make three administrative changes
to the ``Guide to Requirements for Submitting Data to the Exchange.''
First, the Exchange proposes to amend from six (6) to three (3) the
number of copies of a proxy statement that a listed company must submit
to the Exchange. The Exchange has determined that three copies of the
proxy statement is sufficient for the Exchange's review purposes and
that the proposed amendment would reduce an administrative burden on
listed companies. Second, the Exchange proposes to change the name of
the item ``Shareholders' Meeting Notice'' to ``Shareholders' Meeting/
Notice of Record Date or Change of Record Date.'' The Exchange believes
this amendment would assist listed companies in their compliance with
the corresponding obligation by clarifying the meaning of the item.
Third, the Exchange proposes to amend the description of the due date
for the item ``Shareholders' Meeting/Notice of Record Date'' so that it
conforms with the due date for the item ``Dividend Notification.'' The
Exchange believes this amendment also would assist listed companies in
their compliance with the corresponding obligation by clarifying the
terms of the due date.
2. Statutory Basis
    The Exchange believes that its proposal is consistent with Section
6(b) of the Act,\8\ in general, and furthers the objectives of Section
6(b)(5) of the Act,\9\ in particular, in that it is designed to prevent
fraudulent and manipulative acts and practices, to promote just and
equitable principles of trade, to remove impediments to and perfect the
mechanism of a free and open market and a national market system, and,
in general, to protect investors and the public interest. The Exchange
believes the proposed rule change will increase the clarity of listed
companies' obligations under the Listed Company Manual, and that the
proposed rule change will make it easier for listed companies to submit
notices to the Exchange. In addition, the Listed Company Manual
currently provides various methods for submitting notices to the
Exchange, and the Exchange believes that making the methods uniform
will reduce confusion for listed companies. The Exchange believes that
creating a more efficient and effective method for submitting notices
to the Exchange will further its objective of removing impediments to
maintaining accurate and timely information about its listed companies,
which will in turn benefit investors and the public.
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    \8\ 15 U.S.C. 78f(b).
    \9\ 15 U.S.C. 78f(b)(5).
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B. Self-Regulatory Organization's Statement on Burden on Competition

    The Exchange does not believe that the proposed rule change will
impose any burden on competition that is 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

    No written comments were solicited or received with respect to the
proposed rule change.

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

    Within 45 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 or disapprove the 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 email to<EMAIL_ADDRESS>Please include
File Number SR-NYSE-2012-54 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSE-2012-54. This file
number should be included on the subject line if email 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 Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street NE.,
Washington, DC 20549, on official business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of the filing will also be available
for inspection and copying at the principal office of the Exchange. 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 publicly available. All
submissions should refer to File Number SR-NYSE-2012-54 and should be
submitted on or before December 18, 2012.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\10\
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    \10\ 17 CFR 200.30-3(a)(12).
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Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2012-28745 Filed 11-26-12; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 76, Number 108 (Monday, June 6, 2011)]
[Notices]
[Page 32369]
[FR Doc No: 2011-13913]

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DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Internal Agency Docket No. FEMA-3321-EM; Docket ID FEMA-2011-0001]

Tennessee; Emergency and Related Determinations

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice.

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SUMMARY: This is a notice of the Presidential declaration of an
emergency for the State of Tennessee (FEMA-3321-EM), dated May 4, 2011,
and related determinations.

DATES: Effective Date: May 4, 2011.

FOR FURTHER INFORMATION CONTACT: Peggy Miller, Office of Response and
Recovery, Federal Emergency Management Agency, 500 C Street, SW.,
Washington, DC 20472,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: Notice is hereby given that, in a letter
dated May 4, 2011, the President issued an emergency declaration under
the authority of the Robert T. Stafford Disaster Relief and Emergency
Assistance Act, 42 U.S.C. 5121-5207 (the Stafford Act), as follows:

    I have determined that the emergency conditions in certain areas
of the State of Tennessee resulting from flooding beginning on April
26, 2011, and continuing, are of sufficient severity and magnitude
to warrant an emergency declaration under the Robert T. Stafford
Disaster Relief and Emergency Assistance Act, 42 U.S.C. 5121 et seq.
(``the Stafford Act''). Therefore, I declare that such an emergency
exists in the State of Tennessee.
    You are authorized to provide appropriate assistance for
required emergency measures, authorized under Title V of the
Stafford Act, to save lives and to protect property and public
health and safety, and to lessen or avert the threat of a
catastrophe in the designated areas. Specifically, you are
authorized to provide assistance for emergency protective measures
(Category B), limited to direct Federal assistance, under the Public
Assistance program. This assistance excludes regular time costs for
subgrantees' regular employees.
    Consistent with the requirement that Federal assistance is
supplemental, any Federal funds provided under the Stafford Act for
Public Assistance will be limited to 75 percent of the total
eligible costs. In order to provide Federal assistance, you are
hereby authorized to allocate from funds available for these
purposes such amounts as you find necessary for Federal emergency
assistance and administrative expenses.
    Further, you are authorized to make changes to this declaration
for the approved assistance to the extent allowable under the
Stafford Act.

    The Federal Emergency Management Agency (FEMA) hereby gives notice
that pursuant to the authority vested in the Administrator, Department
of Homeland Security, under Executive Order 12148, as amended, W.
Montague Winfield, of FEMA is appointed to act as the Federal
Coordinating Officer for this declared emergency.
    The following areas of the State of Tennessee have been designated
as adversely affected by this declared emergency:

    Dyer, Lake, Shelby, and Stewart Counties for emergency
protective measures (Category B), limited to direct Federal
assistance, under the Public Assistance program.

The following Catalog of Federal Domestic Assistance Numbers (CFDA)
are to be used for reporting and drawing funds: 97.030, Community
Disaster Loans; 97.031, Cora Brown Fund; 97.032, Crisis Counseling;
97.033, Disaster Legal Services; 97.034, Disaster Unemployment
Assistance (DUA); 97.046, Fire Management Assistance Grant; 97.048,
Disaster Housing Assistance to Individuals and Households In
Presidentially Declared Disaster Areas; 97.049, Presidentially
Declared Disaster Assistance--Disaster Housing Operations for
Individuals and Households; 97.050, Presidentially Declared Disaster
Assistance to Individuals and Households--Other Needs; 97.036,
Disaster Grants--Public Assistance (Presidentially Declared
Disasters); 97.039, Hazard Mitigation Grant.

W. Craig Fugate,
Administrator, Federal Emergency Management Agency.
[FR Doc. 2011-13913 Filed 6-3-11; 8:45 am]
BILLING CODE 9111-23-P


U. S. Environmental Protection Agency July 8, 2003 Draft Agenda Telomers ECA Technical Workgroup Meeting Thursday, July 10, 2003 9: 00 12: 00 PM Mission Statement: The Telomer Workgroup will develop ECA proposal( s) for telomers and telomer treated products as identified by the Plenary Group. The initial focus will be for the data needs identified in items 2, 3, 4, 5, 6, 7, 8, 9, and 12 of Table I of the Preliminary Framework document prepared by EPA, specifically addressing: ( a) P chem properties to inform fate testing for telomer chemicals not included in the industry sponsored LOI; ( b) elucidation of degradation pathways and identification of degradation products; ( c) determination of pchem fate and transport properties of major degradation products; ( d) determination of incineration byproducts of telomers and telomer treated products and articles; ( e) determination of p chem, fate and transport properties of major incineration byproducts; ( f) presence/ quantification of PFOA precursors in telomer chemical products and in telomertreated or telomer containing products and articles; ( g) presence of PFOA precursors emitted from telomer treated products and articles as they age during use; and ( h) product stewardship information.

Meeting Objective: Development meeting to: 1. Clarify the industry LOI and specifically identify further topics for ECA development. 2. Discuss and develop an ECA proposal for incineration testing. 3. Discuss additional ECA candidate topics and develop initial proposals. 4. Prepare workgroup presentation to plenary session and select spokesperson. 5. Identify workgroup next steps and assignments.

Workgroup Participants: 3M; CPSC; EPA; EWG; Rich Purdy; TRP Order of Meeting: ° Introductions: Chair, Phil Oshida, Director, Chemical Control Division EPA Technical Lead: David Lynch, Economics, Exposure, and Technology Division ° EPA presentation comparing LOI activities with EPA data needs and identifying potential topics for ECA development; discussion.

° Discussion of proposed ECA for incineration testing; identification and discussion of additional topics for ECA development.

° Preparation of workgroup report to plenary session and identification of spokesperson.

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Near completion All telomers and polymers made from telomers.

* Comprehensive telomer market information:

CAS numbers Chemical names Synthetic sequences Production/ import volumes Uses/ applications 1 Suggested Test Methods to Address EPA Data Needs LOI Commitment Chemical/ Data Test Substances EPA Data Need: Telomers Item Table I. EPA Data Needs: Telomers * Water solubility OECD 105 * Vapor pressure OECD 104 * UV/ visible absorption OPPTS 830.7050 * Hydrolysis as a function of pH OPPTS 835.2130 * Soil and sludge adsorption/ desorption isotherm OPPTS 835.1220 Telomer 8 2 alcohol Water solubility Vapor Pressure UV/ visible absorption Hydrolysis as a function of pH Adsorption

Desorption ( soil,

sediment, sludge nonlabelled and 14C)

Specific gravity Representative test substances to be determined and may include telomer iodides telomer alcohols telomer esters of ( meth) acrylates telomer sulfonates telomer phosphates P chem properties to inform fate testing.

This information needed prior to fate testing of representative test substances.

Unnecessary for certain polymeric materials 2 Suggested Test Methods to Address EPA Data Needs LOI Commitment Chemical/ Data Test Substances EPA Data Need:

Telomers Item * Inherent Biodegradability Zahn

Wellens/ EMPA Test 835.3200 * Activated sludge sorption isotherm OPPTS 835.1110 Aerobic and Anaerobic Transformations in Soil OECD 307 Aerobic and Anaerobic Transformations in Aquatic Sediment systems OECD 308 Direct Photolysis in Water OPPTS 835.2210 Indirect Photolysis Screening Test OPPTS 835.5270 * Determination of air/ water partition coefficient/ Henry's Law Constant ( method to be determined)

Simulation test Aerobic Sewage Treatment ( Activated Sludge Units)

OECD 303A Anaerobic biodegradability of organic compounds in digested sludge: measurement of gas production, OECD 311 Telomer 8 2 alcohol Only PFOA degradation product will be identified OECD 301D Closed Bottle Test ( Ready Biodegradability)

nonlabelled and 14C Atmospheric Degradation Long Range Transport Properties ( Air/ Water)

Telomer 8 2 alcohol and 12 representative polymer products * Inherent Biodegradability Zahn

Wellens/ EMPA OECD 302B Representative test substances to be determined and may include telomer iodides telomer alcohols telomer esters of ( meth) acrylates telomer sulfonates telomer phosphates Elucidation of degradation pathways and identification of degradation products 3 LOI Commitment Chemical/ Data Suggested Test Methods to Address EPA Data Needs Test Substances EPA Data Needs: Telomers Item Table I. EPA Data Needs Telomers, continued Table I. EPA Data Needs Telomers, continued Suggested Test Methods to Address EPA Data Needs LOI Commitment Chemical/ Data Test Substances EPA Data Needs Item P Chem properties in 2 above and Determination of air/ water partition coefficient/ Henry's Law Constant ( method to be determined).

Direct Photolysis in Water OPPTS 835.2210.

Indirect Photolysis Screening Test OPPTS 835.5270.

Not Included Known degradants as determined in item 3 Determination of p chem, fate and transport properties of degradation products 4 Table I. EPA Data Needs Telomers, continued " Laboratory" Burn Test Protocol:

1. ASTM E1641:

Decomposition Kinetics by Thermogravimetry.

2. Laboratory Scale Thermal Degradation via GC/ MS yielding the temperature for 99% destruction efficiency @ 2.0 second residence time & excess oxygen.

EPA is making an ECA proposal for incineration testing Not Included Representative telomers and telomer treated products and articles ( e. g., paper,

textile and carpet products) from manufacturers and importers Determination of incineration byproducts of telomers and telomer treated products and articles 5 Suggested Test Methods to Address EPA Data Needs LOI Commitment Chemical/ Data Test Substances EPA Data Needs Item Table I. EPA Data Needs Telomers, continued Suggested Test Methods to Address EPA Data Needs LOI Commitment Chemical/ Data Test Substances EPA Data Need Item To be determined based on incineration test results.

Not Included Representative telomer incineration byproducts Determination of p chem, fate and transport properties of incineration byproducts 6 Table I. EPA Data Needs Telomers, continued Methods under review TRP plan will test for PFOA and telomer 8 2 alcohol in 12 polymers representing three major end use categories: carpet,

textiles, and paper.

Representative telomers from manufacturers and importers * Presence/ quantifi cation of PFOA,

telomer alcohol or other PFOA precursors in telomer chemical products 7 Suggested Test Methods to Address EPA Data Needs LOI Commitment Chemical/ Data Test Substances EPA Data Need Item Table I. EPA Data Needs Telomers, continued Suggested Test Methods to Address EPA Data Needs LOI Commitment Chemical/ Data Test Substances EPA Data Need Item Methods under review The 12 telomer polymers from item 7 will be applied to carpet ( 4), textiles ( 6)

and paper ( 2); samples from these articles will be tested for PFOA.

Representative telomer treated or telomer containing products and articles ( paper, textile and carpet products,

firefighting foams),

from manufacturers and importers * Presence/ quantifica tion of PFOA,

telomer alcohol or other PFOA precursors in telomer treated or telomer containing products and articles 8 Table I. EPA Data Needs Telomers, continued Methods under review PFOA and telomer 8 2 alcohol analyses of 12 temperature aged telomer polymers; PFOA analysis before and after:

temperature and photolytic aging of treated carpet,

textile and paper; abrasion of treated carpet and textiles; washing and dry cleaning of treated textiles;

and hot water extraction of treated carpet Representative telomers and telomer treated products and articles from manufacturers and importers in indoor air adjacent to   and dust from or adjacent to   carpet, textile, and paper products.

* Presence of PFOA,

telomer alcohol or other PFOA precursors emitted from telomer treated products and articles as they age during use 9 Suggested Test Methods to Address EPA Data Needs LOI Commitment Chemical/ Data Test Substances EPA Data Need Item * Denotes that the TRP has committed to provide some, but not necessarily all, information concerning this particular data need or endpoint for one or more chemicals. Analytical methods are to be determined, and data quality requirements need to be reviewed to determine appropriateness and acceptability in the context of this ECA. To the extent that chemicals beyond those being covered under the LOI are identified as possible test candidates, the need for such testing will be considered in the context of the ECA process.

Test methods may be amended and adapted through the ECA process, and where test methods have not been identified, they may be developed during the ECA process.

Table I. EPA Data Needs Telomers, continued Suggested Test Methods to Address EPA Data Needs LOI Commitment Chemical/ Data Test Substances EPA Data Need: Telomers Item None required.

Documentation of Product Stewardship Programs Telomer products and articles Product stewardship information concerning telomer products and articles 12 EPA Data Needs Beyond the LOI Commitments * Water solubility OECD 105 * Vapor pressure OECD 104 * UV/ visible absorption OPPTS 830.7050 * Hydrolysis as a function of pH OPPTS 835.2130 * Soil and sludge adsorption/ desorption isotherm OPPTS 835.1220 Representative test substances to be determined P chem properties 2 Suggested Test Methods to Address EPA Data Needs Test Substances EPA Data Needs Beyond LOI Commitments Item * Inherent Biodegradability Zahn Wellens/ EMPA Test 835.3200 * Activated sludge sorption isotherm OPPTS 835.1110 Aerobic and Anaerobic Transformations in Soil OECD 307 Aerobic and Anaerobic Transformations in Aquatic Sediment systems OECD 308 Direct Photolysis in Water OPPTS 835.2210 Indirect Photolysis Screening Test OPPTS 835.5270 * Determination of air/ water partition coefficient/ Henry's Law Constant ( method to be determined)

Simulation test Aerobic Sewage Treatment ( Activated Sludge Units) OECD 303A Anaerobic biodegradability of organic compounds in digested sludge: measurement of gas production, OECD 311 Representative test substances to be determined Elucidation of degradation pathways and identification of degradation products 3 Suggested Test Methods to Address EPA Data Needs Test Substances EPA Data Needs Beyond LOI Commitments Item EPA Data Needs Beyond the LOI Commitments " Laboratory" Burn Test Protocol:

1. ASTM E1641: Decomposition Kinetics by Thermogravimetry.

2. Laboratory Scale Thermal Degradation via GC/ MS yielding the temperature for 99% destruction efficiency @ 2.0 second residence time & excess oxygen.

EPA is making an ECA proposal for incineration testing Representative telomers and telomer treated products and articles ( e. g., paper,

textile and carpet products) from manufacturers and importers Determination of incineration byproducts of telomers and telomer treated products and articles 5 P Chem properties in 2 above and Determination of air/ water partition coefficient/ Henry's Law Constant ( method to be determined).

Direct Photolysis in Water OPPTS 835.2210.

Indirect Photolysis Screening Test OPPTS 835.5270.

Known degradants as determined in item 3 Determination of p chem, fate and transport properties of degradation products 4 Suggested Test Methods to Address EPA Data Needs Test Substances EPA Data Needs Beyond LOI Commitments Item EPA Data Needs Beyond the LOI Commitments To be determined based on incineration test results.

[ half life gas phase HO. Reactivity]

Representative telomer incineration byproducts Determination of p chem, fate and transport properties of incineration byproducts 6 Methods under review Representative telomers from manufacturers and importers * Presence/ quantifi cation of PFOA,

telomer alcohol or other PFOA precursors in telomer chemical products 7 Suggested Test Methods to Address EPA Data Needs Test Substances EPA Data Needs Beyond LOI Commitments Item EPA Data Needs Beyond the LOI Commitments Methods under review Representative telomers and telomer treated products and articles from manufacturers and importers in indoor air adjacent to   and dust from or adjacent to   carpet, textile, and paper products.

* Presence of PFOA, telomer alcohol or other PFOA precursors emitted from telomer treated products and articles as they age during use 9 Methods under review Representative telomer treated or telomer containing products and articles ( paper, textile and carpet products,

firefighting foams), from manufacturers and importers * Presence/ quantifi cation of PFOA,

telomer alcohol or other PFOA precursors in telomer treated or telomer containing products and articles 8 Suggested Test Methods to Address EPA Data Needs Test Substances EPA Data Needs Beyond LOI Commitments Item * Denotes that the TRP has committed to provide some, but not necessarily all, information concerning this particular data need or endpoint for one or more chemicals. Analytical methods are to be determined, and data quality requirements need to be reviewed to determine appropriateness and acceptability in the context of this ECA. To the extent that chemicals beyond those being covered under the LOI are identified as possible test candidates, the need for such testing will be considered in the context of the ECA process.

Test methods may be amended and adapted through the ECA process, and where test methods have not been identified, they may be developed during the ECA process. July 10, 2003 EPA ECA Proposal for Telomer Incineration Testing Rationale Incineration testing of telomers, telomer products, and articles treated with telomers containing perfluoroalkyl groups was not included in the TRP LOI commitments. The degradants of perfluorinated materials vary greatly as a function of incineration temperature and residence time. Thermodynamically, at a temperature of about 1200 ° C, a destruction efficiency of 99.99% for a C F chemical bond can be obtained. Information on the extent of destruction and full characterization of the types of degradants formed at lower incineration temperatures is unknown. This is further confounded because, based on US information, there are three types of incinerators in operation across the US: 1) medical waste incinerators operating around 650 ° C; 2) municipal waste incinerators ( static grate) operating between 400 600 ° C; and 3) chemical ( hazardous waste) incinerators operating up to 1300 ° C; and it is expected that the extent of destruction and types of degradants will vary across each incinerator type.

ECA Proposal It is proposed that incineration testing be conducted to meet the following data needs: < Define by test, the temperature needed to provide 99.99% destruction of each perfluorinated test substance/ material, both as the manufactured perfluoro compound and the article employing the perfluoro compound. < Create an incineration temperature profile versus characterized degradants Test substances:

Tier 1: EPA recommends, as a starting point, that testing be conducted for each of the products TRP committed to PFOA testing for the LOI. Tier 2: Depending on test results, specifically whether higher C chain length ( C8 typically) acids form, an additional representative number of product formulations and articles in commerce may need to be tested. EPA recommends that the formulations and articles be determined by members of a technical subgroup on Incineration Testing.

Test Method: Testing is to be conducted using methods equivalent to those described or reviewed in " Guidelines for Determination of Polyhalogenated Dibenzo p dioxins and Dibenzofurans in Commercial Products" ( see 40CFR, section 766.1 through 766.18) and/ or the 3M protocol.

Although the average residence time may vary across incinerators, testing under this ECA proposal should satisfy a 2 second residence time. Incineration testing within these three ( 3) temperature ranges, as specified under Rationale section above, will provide data that is crucial in determining potential pathways into the environment of perfluoro compounds and their degradants which may be precursors to PFOA. July 10, 2003 2 The laboratory equipment needed to define temperatures, residence times and byproducts produced includes a high temperature tubular furnace with carrier gas connected to a gas chromatograph followed by a mass spectrometer. Note: a GC GC MS arrangement will likely be necessary for sub ppm data generation. Thermogravimetric analysis will be used before initiating the laboratory incineration testing to document the low temperature (< 500 ° C) behavior of the test compounds ( or articles) and to verify gasification of material following ASTM E1641, Decomposition Kinetics by Thermogravimetric Analysis.

EPA GLP Data Quality and Quality Assurance Requirements: All testing must conform with EPA GLP Data Quality and Quality Assurance requirements.

Data Reporting: The final report on each test substance tested must include a detailed description of the specific test conditions used, the test data including any associated calculations, spectra and curves. Details of data to be reported shall, at a minimum, include information similar to those outlined under 40 CFR, section 761.70 for Incineration. TRP Telomer Research Program ECA Process Telomer Technical Work Group 10 July 2003 10 July 2003, page 2 Telomer Research Program TRP Meeting Objectives for 9 10 July ` 03

Provide specific feedback on 23 24 June meeting action items

Monitoring LOI Commitment Details and Clarification

Present " Public Face" on Products and Articles included in LOI

Product and Article Decision Tree

Biodegradation Strawman: Environmental Fate

Incineration: Obtain and Gather Information

TRP LOI and Docket Submissions Compilation

Seeking interested party input on the TRP LOI and potential scope for ECA candidates

Focus on items we can identify to define as part of the ECA and not compromise our LOI efforts 10 July 2003, page 3 Telomer Research Program Presentation Outline: 10 July ` 03

LOI Background

Product & Article Information and Workflow

" Public Face" on Products and Articles

Biodegradation Strawman

Incineration

Documentation

Next Steps 10 July 2003, page 4 Telomer Research Program TRP LOI Overall Program Objectives

Investigate the potential formation and/ or release of perfluorooctanoic acid ( PFOA) from

Fluorotelomer based polymeric products and consumer articles treated with such products

Manufacturing operations making or using these products 10 July 2003, page 5 Telomer Research Program TRP Approach to the LOI and ECA Processes

Focuses on relevant releases and exposures during the life cyle of telomer based products and articles

Focuses on fate and monitoring studies based on release and exposure analyses and considerations

Considers testing and measurements in an iterative step wise approach triggered by improved knowledge gained 10 July 2003, page 6 Telomer Research Program Product and Article Analysis Analysis of " Aged" Products and " In Use" Articles TRP LOI Commitments Outline:

Potential Future Sources of PFOA*

* Analyses on Polymeric Products for Carpet, Textile, and Paper Segments Most of these analyses will be done in parallel, not sequential Commercial Items Potential PFOA Release from Article Manufacture Potential PFOA Release from Product Manufacture + Commercial Manufacture Incineration Analysis Biodegradation Analysis of Polymeric Products +

and Fate 10 July 2003, page 7 Telomer Research Program TRP LOI vs. ECA Framework Table 1 Review Telomer ECA Item Number Description  Brief Captured in LOI; Location 1 Market Information Yes; Item # 1 2 P chem Properties Yes; In Related Activities 3 Degradation Pathways and Products Yes; Items # 5 & In Related Activities 4 P chem of Degradation Products TBD 5 Incineration Byproducts Yes; Item # 6 6 P chem of Incineration Byproducts TBD 7 Presence of PFOA and precursors in Telomer Products Yes; Item # 1 8 Presence of PFOA and precursors in Telomer Articles Yes; Item # 1 9 Product " Aging" and " In use" Articles Yes; Item # 2 10 Release and Exposure in Telomer Products Yes; Items # 3& 4 11 Release and Exposure in Fire Fighting Foams No; FFFC 12 Product Stewardship Yes; In Related Activities 10 July 2003, page 8 Telomer Research Program CF2= CF2 Tetrafluoroethylene F( CF2CF2) nI Telomer A Iodide F( CF2CF2) nCH2CH2I Telomer B Iodide F( CF2CF2) nCH2CH2OH Telomer B Alcohol F( CF2CF2) nCH2CH2OC( O) CH= CH2 Telomer Acrylate Monomer n = 2  8 Finished Products F( CF2CF2) nCH= CH2 Telomer B Olefin Acrylate Monomer is the most common raw material used to create Finished Products Telomer Intermediate " Building Blocks"

Telomer Manufacturing Process :

A Generic View ° Actual processes,

manufacturing practices, and products vary by company ° PFOA is not used or added in these processes ° Generally, these processes are closed and PFOA creation and/ or emissions are expected to be at very low levels 10 July 2003, page 9 Telomer Research Program Product and Article Analysis 10 July 2003, page 10 Telomer Research Program Product and Article Analyses:

Work Flow Diagram Screening Study Testing Plan for the 12 Commercial Polymeric Products As Made  Commercial Elevated Temperature 45 C for 12 weeks plus controls 1 year ambient exposure Photolysis Xenon Lamp NA Products C = Carpet ( 4)

T = Textile ( 6)

P = Paper ( 2)

PFOA Screening Study C8F17CH2CH2OH Analysis PFOA Screening Study C8F17CH2CH2OH Analysis Status: method development underway at contract labs; method validation to follow Actual product testing follows validation 10 July 2003, page 11 Telomer Research Program Screening Study: Articles Treated with 12 Commercial Polymeric Products In Use Analysis and Conditions As Made Elevated Temperature 45 C for 12 weeks simulates 1 year ambient exposure plus controls Photolysis Xenon Lamp 24 hours simulates 1 year ambient exposure plus controls Abrasion Carpet  Vetterman Drum Textile  AATCC 119 1994 Paper  NA Laundering Textiles  Washing AATCC 135 1995 Carpet and Paper  NA Dry Cleaning Textiles AATCC 132 1998 Carpet and Paper  NA Hot Water Extraction or Steam Cleaning Carpet  AATCC 171 1995 Textile and Paper  NA Articles C = Carpet ( 4)

T = Textile ( 6)

P = Paper ( 2)

PFOA Screening Study via extraction methods;

PFOA Screening Study via extraction methods;

PFOA Screening Study via extraction methods; C, T, P Phase 1 C, T, P Phase 1 C, T, P Phase 1 If PFOA level increases by ? X versus as made, then proceed to Phase 2 tests If PFOA level increases by ? X versus as made, then proceed to Phase 2 tests C, T Phase 2 T Phase 2 T Phase 2 C Phase 2 PFOA Screening Study via extraction methods;

As applicable on 10 treated articles PFOA Screening Study via extraction methods;

As applicable on 6 treated articles PFOA Screening Study via extraction methods;

As applicable on 6 treated articles PFOA Screening Study via extraction methods;

As applicable on 4 treated articles TRP Plan is to conduct work in Phase 2 unless PFOA levels are < LOQ Status: method development underway at contract labs; method validation to follow Actual article testing follows validation 10 July 2003, page 12 Telomer Research Program " Public Face" Discussion 10 July 2003, page 13 Telomer Research Program

TRP member companies selected " representative" products and consumer articles treated with such products.

Selection criteria: market end use; chemistry type/ class; chemical volume; article type; and potential for human exposure

Each company selected products representative of its product line. Therefore the selected treated articles are representative of the product classes produced in the US market

Major end use sectors: carpet, textile, and paper

TRP member companies each have unique products. Products are sold for what they do, not what they are.

General description of products, articles, uses/ applications incorporated in a " public face" document table to follow.

This is TRP member company level of information; data not shared!

EPA is only entity who knows complete identity and rationale Analysis of Products and Articles for PFOA:

" Public Face" Document 10 July 2003, page 14 Telomer Research Program Analysis of Products and Articles for PFOA Carpet Nylon Residential use ( cut pile) Stain resistance and newness retention Urethane Foam or spray applied Carpet Nylon Residential use ( cut pile) Stain resistance and newness retention Acrylate Foam or spray applied Carpet Nylon Residential use ( cut pile) Stain resistance and newness retention Acrylate Foam or spray applied Carpet Nylon Residential use ( cut pile) Stain resistance and newness retention Acrylate Foam or spray applied Textile Polyester Apparel Water and stain repellency Acrylate Pad application Textile Polyester Apparel Water and stain repellency Acrylate Pad application Textile Polyester Apparel Water and stain repellency Acrylate Pad application Textile Polyester Apparel Water and stain repellency Acrylate Pad application Textile Nylon Outerwear Water and stain repellency Acrylate Pad application Textile Cotton Apparel and upholstery Water and stain repellency Acrylate Pad application Paper Cellulose Treatment of pet food bags and for direct and indirect food contact items Oil and Grease Repellency;

Barrier Coating Acrylate Mill applied by size press method Paper Cellulose Treatment of pet food bags and for direct and indirect food contact items Oil and Grease Repellency;

Barrier Coating Acrylate Mill applied by size press method Typical Function Typical Application Methods Telomer Based Polymeric Product Substrate Typical Uses Treated Article 10 July 2003, page 15 Telomer Research Program Discussion and Next Steps 10 July 2003, page 16 Telomer Research Program TRP Environmental Fate :

Biodegradation Strawman 10 July 2003, page 17 Telomer Research Program TRP LOI Degradation Studies

8 2 Telomer B Alcohol C8F17CH2CH2OH

Preliminary Biodegradation Screening ( Cold) Studies ( DuPont, AR226 1262,1263,1264)

Modified OECD 301D 28 Day Ready Biodegradation Study with 14C ( Underway)

OECD 106 Adsorption

Desorption, Soils, Sediments,

Sludge with 14C ( Underway)

Higher tier studies to be considered based upon results of these studies

Telomer Polymeric Products ( 12)

Modified OECD 302 28 Day Inherent Biodegradation ( Zahn

Wellens)

protocol development underway

PFOA and Fluoride endpoints

Abiotic

Article Aging Study

photolysis

thermal degradation

Incineration 10 July 2003, page 18 Telomer Research Program Polymeric Product Higher Tier Biodegradation Studies Strawman

Modified OECD 303A Simulation Test  Aerobic Sewage Treatment Addresses

" down the drain" waste water compartment relevance

where and whether PFOA through Simulation Test  Aerobic Sewage Treatment

Modified OECD 307 Aerobic / Anaerobic Biodegradation in Soil Addresses

landfill & sludge compartment relevance

will determine whether polymer alone biodegrades

The Telomer Polymeric Products will be representative test substances

TRP needs to discuss this and will be prepared to propose the test substances for these studies 10 July 2003, page 19 Telomer Research Program Next Steps

Technical Team meet as described in 24 June ` 03 TWG session to

Have technical discussion on tests to run and applicability

Understand test limits for this class of materials

Decide on what products to run in these proposed tests 10 July 2003, page 20 Telomer Research Program Incineration 10 July 2003, page 21 Telomer Research Program Incineration : Study Approach

TRP has agreed to study the applicability of incineration to its Telomer treated products and related articles in the US in a " desk study"

Initial steps will be to first understand the US disposal methods and in what markets incineration is applicable

Second review the US incinerator conditions to understand permitted temperatures and compare with known Telomer degradation temperatures

The " desk study" will define the scope. The design of the study and nature of the methodology needs to be discussed to measure PFOA emissions from incineration of telomertreated articles 10 July 2003, page 22 Telomer Research Program Incineration Desk Study Information

Franklin Associates, Ltd.

1999 MSW in the U. S. was 57% to landfill, 28% recovered, and 15% to combustion.

" Municipal Solid Waste in The United States : 2000 Facts &

Figures" U. S. EPA

land disposal 55%, recovery 30%, combustion 15%

TRP are reviewing these and other references for data relevant to telomer treated articles 10 July 2003, page 23 Telomer Research Program Medical Incinerators

In Air Pollution Control and Waste Incineration for Hospitals and Other Medical Facilities, Louis Theodore* states that three types of incinerators are primarily used for medical waste.

Controlled Air Incinerators, Multiple Chamber Incinerators, and Rotary Kiln Incinerators.

All three types use two chambers.

The ignition or primary chamber

The second chamber is designed to complete the combustion process Controlled Air Multiple Chamber Rotary Kiln Primary Chamber 400 to 980* C 540 to 980* C 760* C Second Chamber 980 to 1200* C 980 to 1200* C 980* C * Theodore, L.: Air Pollution Control and Waste Incineration for Hospitals and Other Medical Facilities, Van Nostrand Reinhold, New York, 1990, pp 313 320. Note that Rotary Kilns for other wastes may be operated in the range of 760* C to 1,670* C 10 July 2003, page 24 Telomer Research Program Incineration : Next Steps

TRP will continue its " desk study" efforts to better understand the landscape to make informed choices and

TRP member companies are willing to discuss, in a technical work group, how best to conduct incineration studies

Incineration is a likely ECA candidate 10 July 2003, page 25 Telomer Research Program Information and Document Submissions and Cross References TRP Submissions to EPA ( Study Reports) 30 June 2003 Date Title / Description Contractor EPA Reference #

15 Jan 03 Acute Oral Toxicity Study   Fixed Dose Method ( final report) Haskell Lab AR226 1196 15 Jan 03 In vivo Rat Micronucleus Assay ( final report) Covance Lab AR226 1198 15 Jan 03 Salmonella E. coli / Mammalian Microsome Reverse Mutation Assay ( final report) Covance Lab AR226 1197 10 Mar 03 Acute Aquatic Toxicity Tests: Fish, Daphnia, Algae ( final reports, 6 total) Noack Lab AR226 1218, 1219, 1222, 1223,

1225, 1226 10 Mar 03 Microbial Respiration Inhibition Test with Activated Sludge ( final report) Noack Lab AR226 1220 21 Mar 03 Bioconcentration in Carp [ Note: This study was conducted for Japan METI] CERI AR226 1276 21 Mar 03 The First Environmental Survey of PFOS and Related Compounds in Japan ( journal article) Japan AIST AR226 1278 21 Mar 03 Levels of PFOA and Other Related Compounds in the Blood of Japanese People ( journal article) Yokohama Univ. AR226 1279 21 Mar 03 University of Toronto Year 1 Progress Report on Fluorotelomer Alcohols Univ. of Toronto Docket # OPPT 2003 0012 0010;

AR226 1281 21 Mar 03 Preliminary Biodegradation Screening ( cold) Study  DuPont study ( final report) DuPont AR226 1262, 1263, 1264 31 Mar 03 Aqueous Stability of 8 2 Telomer B Alcohol as a Function of pH ( final report + study summary) DuPont AR226 1290 31 Mar 03 Physical Chemical Properties of 8 2 Telomer B Alcohol  Water Solubility, Vapor Pressure, Ultraviolet Spectrum ( 3 final reports + study summaries) DuPont AR226 1287, 1288, 1289 5 May 03 Subchronic Toxicity 90 day Oral Gavage Study in Rats with 90 day Recovery ( final report  3 volumes +

study summary) Haskell Lab 5 May 03 Repeated Dose Oral Toxicity Gavage Range Finding Study in Rats   Data Summary ( report + study summary) Haskell Lab 30 June 03 Acute Aquatic Studies: Fish, Daphnia, Algae, Microbial Inhibition ( study summaries, 7 total); related final reports were submitted on 10 March 03 ( AR226 1218, 1219, 1220, 1222, 1223, 1225, 1226) Noack Lab 30 June 03 Terrestrial Toxicity Studies: Earthworm, Nematode, Plants ( 3 final reports + study summaries) Noack Lab EPA Docket: www. epa. gov/ edocket ( Docket ID# OPPT 2003 0012)

AR 226: request copy of AR 226 Index from < oppt. ncic@ epa. gov> ( Tel: 202 566 0280) TRP Letter of Intent ( LOI) Submissions to EPA 30 June 2003 Date Title / Description Submitted by EPA Reference #

14 Mar 03 TRP Letter of Intent ( LOI) TRP Docket # OPPT 2003 0012 0013;

AR226 1305 24 Mar 03 TRP Database List ( LOI Commitment Item) TRP AR226 1292, 1293, 1294 28 Mar 03 General Description of Telomer Process ( LOI Commitment Item 3) TRP AR226 1266 31 Mar 03 Umbrella Letter of Intent ( APFO Users, Telomer Companies, 3M) FMG/ SPI, TRP, 3M Docket # OPPT 2003 0012 0016;

AR226 1306 31 Mar 03 Biodegradation Research ( 8 2 Telomer B Alcohol)  Scope & Rationale ( LOI Commitment Item) TRP AR226 1283 31 Mar 03 Product & Article Analysis  Scope & Rationale ( LOI Commitment Item 1) TRP Docket # OPPT 2003 0012 0053 31 Mar 03 LC/ MS/ MS Analysis of Articles and Products: Samples and Suggested Sampling Procedures ( LOI 1) TRP Docket # OPPT 2003 0012 0054;

AR226 1274 9 May 03 " Aging" & " In Use" Analysis  Draft Study Plan & Rationale ( LOI Commitment Item 2) TRP Docket # OPPT 2003 0012 0050 9 May 03 Biodegradation Analysis ( Polymeric Products)  Study Plan & Rationale ( LOI Commitment Item 5) TRP Docket # OPPT 2003 0012 0051 9 May 03 Study Protocol: Inherent Biodegradation Test ( Polymeric Products) ( LOI Commitment Item 5) TRP Docket # OPPT 2003 0012 0052 9 May 03 TRP's Response to EPA's Follow up Questions regarding TRP LOI Commitments TRP Docket # OPPT 2003 0012 0049 6 June 03 TRP Opening Statement  June 6 Public Meeting TRP Docket # OPPT 2003 0012 0117 26 June 03 TRP Presentation to ECA Monitoring Work Group ( 23 June 03) TRP Docket # OPPT 2003 0012 0126 26 June 03 TRP Presentation to ECA Telomers Work Group ( 24 June 03) TRP Docket # OPPT 2003 0012 0128 March 03 Company specific information on LOI test products ( LOI Commitment Item 1)  CBI Submissions;

includes chemical identity, 2002 use and volume data, market coverage, etc. TRP companies ( Asahi, Clariant,

Daikin, DuPont) numerous listings in AR226 ( see Index)

March 03 Air monitoring data for PFOA from DuPont operations at Chambers Works ( LOI Appendix 1) DuPont AR 226 (?)

March 03 Employee blood monitoring data from telomer manufacturing + PFOA recycle operations ( LOI App. 1) DuPont AR 226 (?)

May 03 Company information on all fluorinated products ( LOI Commitment Item 1)  CBI Submissions;

includes chemical identity, 2002 use and volume data, market coverage, etc. TRP companies ( Asahi, Clariant,

Daikin, DuPont) numerous listings in AR226 ( see Index)

EPA Docket: www. epa. gov/ edocket ( Docket ID# OPPT 2003 0012)

AR 226: request copy of AR 226 Index from < oppt. ncic@ epa. gov> ( Tel: 202 566 0280)

Information provided by TRP Member Companies directly to EPA


[Federal Register: April 3, 2008 (Volume 73, Number 65)]
[Notices]
[Page 18308-18310]
[DOCID:fr03ap08-92]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-57572; File No. SR-FINRA-2008-010]

Self-Regulatory Organizations: Financial Industry Regulatory
Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to
Amendments to the Codes of Arbitration Procedure To Establish New
Procedures for Arbitrators To Follow When Considering Requests for
Expungement Relief

March 27, 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 March 13, 2008, Financial Industry Regulatory Authority, Inc.
(``FINRA'') (f/k/a National Association of Securities Dealers, Inc.
(``NASD'')) filed with the Securities and Exchange Commission (``SEC''
or ``Commission'') the proposed rule change as described in Items I,
II, and III below, which Items have been 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 Rule 12805 of the Code of Arbitration Procedure
for Customer Disputes (``Customer Code'') and Rule 13805 of the Code of
Arbitration Procedure for Industry Disputes (``Industry Code'') to
establish new procedures that arbitrators must follow when considering
requests for expungement relief under Rule 2130.
    Below is the text of the proposed rule change. All the text is new.
* * * * *
12805. Expungement of Customer Dispute Information Under Rule 2130
    In order to grant expungement of customer dispute information under
Rule 2130, the panel must:
    (a) Hold a recorded hearing session (by telephone or in person)
regarding the appropriateness of expungement. This paragraph will apply
to cases administered under Rule 12800 even if a customer did not
request a hearing on the merits.
    (b) In cases involving settlements, review settlement documents and
consider the amount of payments made to any party and any other terms
and conditions of a settlement.
    (c) Indicate in the arbitration award which of the Rule 2130
grounds for expungement serve(s) as the basis for its expungement order
and provide a brief written explanation of the reason(s) for its
finding that one or more Rule 2130 grounds for expungement applies to
the facts of the case.
    (d) Assess all forum fees for hearing sessions in which the sole
topic is the determination of the appropriateness of expungement
against the parties requesting expungement relief. 13805. Expungement
of Customer Dispute Information under Rule 2130
    In order to grant expungement of customer dispute information under
Rule 2130, the panel must:
    (a) Hold a recorded hearing session (by telephone or in person)
regarding the appropriateness of expungement. This paragraph will apply
to cases administered under Rule 13800 even if a claimant did not
request a hearing on the merits.
    (b) In cases involving settlements, review settlement documents and
consider the amount of payments made to any party and any other terms
and conditions of a settlement.
    (c) Indicate in the arbitration award which of the Rule 2130
grounds for expungement serve(s) as the basis for its expungement order
and provide a brief written explanation of the reason(s) for its
finding that one or more Rule 2130 grounds for expungement applies to
the facts of the case.
    (d) Assess all forum fees for hearing sessions in which the sole
topic is the determination of the appropriateness of expungement
against the parties requesting expungement relief.
* * * * *

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
    FINRA is proposing to amend its Customer Code and Industry Code to
establish new procedures that arbitrators must follow when considering
requests for expungement relief under Rule 2130. The procedures are
designed to: (1) Make sure that arbitrators have the opportunity to
consider the facts that support or weigh against a decision to grant
expungement; and (2) ensure that expungement occurs only when the
arbitrators find and document one of the narrow grounds specified in
Rule 2130.
    Proposed Rules 12805 and 13805 would require arbitrators
considering an expungement request to hold a recorded hearing session
by telephone or in person, provide a brief written explanation of the
reasons for ordering expungement, and, in cases involving a settlement,
review the settlement documents to examine the amount paid to any party
and any other terms and conditions of the settlement that might raise
concerns about the associated person's involvement in the alleged
misconduct before awarding expungement. The proposed rule change would
provide that the panel must assess forum fees for hearing sessions held
solely for the purpose of considering expungement against the parties
requesting the relief.
    The proposed rule change would not affect FINRA's current practice
of permitting expungement, without judicial intervention, of
information from the Central Registration Depository (``CRD'') system
as directed by arbitrators in intra-industry arbitration awards that
involve associated persons and firms based on the defamatory nature of
the information ordered expunged.\3\
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    \3\ In its original filing with the Commission proposing Rule
2130 (see SR-NASD-2002-168), FINRA (then known as NASD) explained in
Footnote 2 that ``NASD may execute, without a court order,
arbitration awards rendered in disputes between registered
representatives and firms that contain expungement directives in
which the arbitration panel states that expungement relief is being
granted because of the defamatory nature of the information. These
expungements are not covered by the moratorium and will not be
covered by the proposed rules and policies.'' In Amendment No. 1 to
that filing (at page five), FINRA reiterated this point by stating
``NASD may execute, without a court order, an arbitration award
rendered in a dispute between a member and a current or former
associated person that contains an expungement directive in which
the arbitration panel states that expungement relief is being
granted based on the defamatory nature of the information.'' See
also NASD Notice to Members 04-16 (March 2004) n. 4.
---------------------------------------------------------------------------

Background
    The CRD system, an online registration and licensing system,
contains information regarding broker-dealers and their associated
persons. It contains administrative information (e.g., personal,
educational, and

employment history) and disclosure information (e.g., criminal matters,
regulatory and disciplinary actions, civil judicial actions, and
information relating to customer disputes). Members of the securities
industry, state and federal regulators, and self-regulatory
organizations use the CRD system. Although public investors do not have
access to the CRD system, much of the information in that system is
available to investors through FINRA BrokerCheck and individual state
disclosure programs.\4\ FINRA recognizes that accurate and complete
reporting in the CRD system is an important aspect of investor
protection.
---------------------------------------------------------------------------

    \4\ FINRA BrokerCheck is a free online tool to help investors
check the background of current and former FINRA-registered
securities firms and brokers.
---------------------------------------------------------------------------

    FINRA operates the CRD system pursuant to policies developed
jointly with the North American Securities Administrators Association
(NASAA). FINRA works with the SEC, NASAA, other members of the
regulatory community, and broker-dealer firms to establish policies and
procedures reasonably designed to ensure that information submitted to
and maintained in the CRD system is accurate and complete. These
procedures, among other things, cover expungement of information from
the CRD system.
    In December 2003, the SEC approved NASD Rule 2130, which contains
procedures for expungement of customer dispute information from the CRD
System.\5\ It requires that FINRA members or associated persons name
FINRA as an additional party in any court proceeding in which they seek
an order to expunge customer dispute information or request
confirmation of an award containing an order of expungement.
---------------------------------------------------------------------------

    \5\ Securities Exchange Act Release No. 48933 (December 16,
2003), 68 FR 74667 (December 24, 2003). Rules 2130 applies to all
cases filed on or after April 12, 2004; see NASD Notice to Members
04-16 (March 2004).
---------------------------------------------------------------------------

    Under Rule 2130, FINRA may waive the requirement to be named as a
party if it determines that the expungement relief is based on an
affirmative judicial or arbitral finding that: (i) The claim,
allegation, or information is factually impossible or clearly
erroneous; (ii) the registered person was not involved in the alleged
investment-related sales practice violation, forgery, theft,
misappropriation, or conversion of funds; or (iii) the claim,
allegation, or information is false. If expungement relief is based on
a judicial or arbitral finding other than as enumerated immediately
above, FINRA may also waive the requirement to be named as a party if
it determines that the expungement relief and accompanying findings on
which it is based are meritorious and that expungement would not have a
material adverse effect on investor protection, the integrity of the
CRD system, or regulatory requirements.
    Proposed new Rules 12805 and 13805 would set forth procedures that
arbitrators must follow before recommending expungement of information
related to arbitration cases from an associated person's CRD record. If
the arbitrators do not fully adhere to these procedures, FINRA may
determine not to waive the obligation under Rule 2130 to be named as a
party to an expungement proceeding.
    Sometimes, arbitrators will order expungement at the conclusion of
an evidentiary hearing on the merits of the case. More often, however,
arbitrators will order expungement at the request of a party to
facilitate settlement of the dispute. For example, customers may
receive monetary compensation as part of a settlement, the terms of
which require the customer to consent to (or not oppose) the entry of a
stipulated award containing an order of expungement. In such cases,
FINRA expected that arbitrators would examine the amount paid to any
party and any other terms and conditions of the settlement that might
raise concerns about the associated person's behavior before awarding
expungement.\6\ Contrary to this expectation, however, arbitrators
often did not inquire into the terms of settlement agreements.
---------------------------------------------------------------------------

    \6\ See NASD Notice to Members 04-43 (June 2004).
---------------------------------------------------------------------------

    In order for arbitrators to perform the critical fact finding
necessary before granting expungement, the proposed rule change would
require arbitrators to hold a recorded hearing session by telephone or
in person. The requirement of a hearing session would ensure that
arbitrators consider the facts that support or weigh against a decision
to grant expungement. In cases involving settlements, the proposal
would require arbitrators to review the settlement documents, consider
the amount paid to any party, and consider any other terms and
conditions of the settlement that might raise concerns about the
associated person's involvement in the alleged misconduct before
awarding expungement.
    The proposed rule change would require arbitrators to indicate
which of the Rule 2130 grounds for expungement serve as the basis for
their expungement order, and provide a brief written explanation of the
reasons for ordering expungement under Rule 2130. This new requirement
would address issues concerning judicial confirmation of awards
containing orders of expungement, as demonstrated in a recent state
court case \7\ in which the court expressed concern that the
arbitrators did not describe ``a single fact or circumstance'' \8\ for
their conclusion that the claims were factually impossible or clearly
erroneous (one of the grounds for expungement enumerated in Rule 2130).
As a result, the court ordered the arbitrators to conduct a hearing to
clarify the facts and circumstances that led them to order expungement.
The proposed requirement of a written explanation would provide
regulators with additional insight into why arbitrators awarded
expungement based on what might appear to be questionable facts and
circumstances (e.g., cases involving payment of significant monetary
compensation to the customer).\9\
---------------------------------------------------------------------------

    \7\ Matter of Sage, Rutty & Co., Inc. v. Salzberg, Index No.
2007-01942 (N.Y. Sup. Ct. May 30, 2007).
    \8\ Id. at 4.
    \9\ In such cases, the payment may be based on the behavior of
someone other than the associated person who is seeking expungement.
---------------------------------------------------------------------------

    The proposed rule change also would require the arbitrators to
assess all forum fees for hearing sessions in which the sole topic is
the determination of the appropriateness of expungement against the
parties requesting expungement relief. In cases that settle, industry
parties often seek expungement. In such cases, parties generally
present arguments solely on the issue of expungement. In these
circumstances, FINRA believes the fee for that hearing session should
not be assessed against a customer.\10\
---------------------------------------------------------------------------

    \10\ In those situations where the issue of expungement does not
constitute the sole topic considered by the arbitrators during a
hearing session, the panel will determine the hearing session fee
that each party must pay. See Rules 12902(a) and 13902(a).
---------------------------------------------------------------------------

    In cases administered under Rule 12800 or Rule 13800 (Simplified
Arbitration), a hearing on the merits normally is held only at the
request of a customer or claimant, respectively. The proposed rule
change would clarify that if parties request expungement relief in such
cases, a hearing session would be held to determine the appropriateness
of the request even if a hearing on the merits was not requested. Any
forum fees for hearing sessions associated with a request for
expungement would be assessed against the parties making the request.
    As noted above, the proposed rule change would not affect FINRA's
current practice of permitting

expungement, without judicial intervention, of information from the CRD
system as directed by arbitrators in intra-industry arbitration awards
that involve associated persons and firms based on the defamatory
nature of the information ordered expunged. In allowing expungement
relief without judicial intervention under such circumstances, FINRA
believes that it is fairly balancing the interests of the brokerage
community and others in expunging defamatory statements with FINRA's
interests in investor protection and the integrity of the CRD system.
2. Statutory Basis
    FINRA believes that the proposed rule change is consistent with the
provisions of Section 15A(b)(6) of the Act, \11\ which requires, among
other things, that FINRA rules must be designed to prevent fraudulent
and manipulative acts and practices, to promote just and equitable
principles of trade, and, in general, to protect investors and the
public interest. The new procedures would enhance the integrity of the
information in the CRD system and would ensure that investor protection
is not compromised when arbitrators order expungement of information
related to arbitration cases from an associated person's CRD record.
---------------------------------------------------------------------------

    \11\ 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 result in
any burden on competition that is 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-2008-010 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-FINRA-2008-010. 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 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-2008-010
and should be submitted on or before April 24, 2008.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\12\
---------------------------------------------------------------------------

    \12\ 17 CFR 200.30-3(a)(12).
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Florence E. Harmon,
Deputy Secretary.
 [FR Doc. E8-6870 Filed 4-2-08; 8:45 am]

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[Federal Register Volume 76, Number 166 (Friday, August 26, 2011)]
[Proposed Rules]
[Pages 53353-53354]
[FR Doc No: 2011-21915]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 71

[Docket No. FAA-2011-0845; Airspace Docket No. 11-ACE-19]

Proposed Amendment of Class E Airspace; Carroll, IA

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of proposed rulemaking (NPRM).

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SUMMARY: This action proposes to amend Class E airspace at Carroll, IA.
Decommissioning of the Carroll non-directional beacon (NDB) at Arthur
N. Neu Airport, Carroll, IA, has made this action necessary for the
safety and management of Instrument Flight Rules (IFR) operations at
the airport.

DATES: 0901 UTC. Comments must be received on or before October 11,
2011.

ADDRESSES: Send comments on this proposal to the U.S. Department of
Transportation, Docket Operations, 1200 New Jersey Avenue, SE., West
Building Ground Floor, Room W12-140, Washington, DC 20590-0001. You
must identify the docket number FAA-2011-0845/Airspace Docket No. 11-
ACE-19, at the beginning of your comments. You may also submit comments
through the Internet at http://www.regulations.gov. You may review the
public docket containing the proposal, any comments received, and any
final disposition in person in the Dockets Office between 9 a.m. and 5
p.m., Monday through Friday, except Federal holidays. The Docket Office
(telephone 1-800-647-5527), is on the ground floor of the building at
the above address.

FOR FURTHER INFORMATION CONTACT: Scott Enander, Central Service Center,
Operations Support Group, Federal Aviation Administration, Southwest
Region, 2601 Meacham Blvd., Fort Worth, TX 76137; telephone: (817) 321-
7716.

SUPPLEMENTARY INFORMATION:

Comments Invited

    Interested parties are invited to participate in this proposed
rulemaking by submitting such written data, views, or arguments, as
they may desire. Comments that provide the factual basis supporting the
views and suggestions presented are particularly helpful in developing
reasoned regulatory decisions on the proposal. Comments are
specifically invited on the overall regulatory, aeronautical, economic,
environmental, and energy-related aspects of the proposal.
Communications should identify both docket numbers and be submitted in
triplicate to the address listed above. Commenters wishing the FAA to
acknowledge receipt of their comments on this notice must submit with
those comments a self-addressed, stamped postcard on which the
following statement is made: ``Comments to Docket No. FAA-2011-0845/
Airspace Docket No. 11-ACE-19.'' The postcard will be date/time stamped
and returned to the commenter.

Availability of NPRMs

    An electronic copy of this document may be downloaded through the
Internet at http://www.regulations.gov. Recently published rulemaking
documents can also be accessed through the FAA's Web page at http://www.faa.gov/airports_airtraffic/air_traffic/publications/airspace_amendments/.
    You may review the public docket containing the proposal, any
comments received, and any final disposition in person in the Dockets
Office (see ADDRESSES section for address and phone number) between 9
a.m and 5 p.m., Monday through Friday, except Federal holidays. An
informal docket may also be examined during normal business hours at
the office of the Central Service Center, 2601 Meacham Blvd., Fort
Worth, TX 76137.
    Persons interested in being placed on a mailing list for future
NPRMs should contact the FAA's Office of Rulemaking<PHONE_NUMBER>, to
request a copy of Advisory Circular No. 11-2A, Notice of Proposed
Rulemaking Distribution System, which describes the application
procedure.

The Proposal

    This action proposes to amend Title 14, Code of Federal Regulations
(14 CFR), part 71 by modifying Class E airspace extending upward from
700 feet above the surface for standard instrument approach procedures
at Arthur N. Neu Airport, Carroll, IA. Airspace reconfiguration is
necessary due to the decommissioning of the Carroll NDB and
cancellation of the NDB approach. Controlled airspace is necessary for
the safety and management of IFR operations at the airport.
    Class E airspace areas are published in Paragraph 6005 of FAA Order
7400.9U, dated August 18, 2010, and effective September 15, 2010, which
is incorporated by reference in 14 CFR 71.1. The Class E airspace
designation listed in this document would be published subsequently in
the Order.
    The FAA has determined that this proposed regulation only involves
an established body of technical regulations for which frequent and
routine amendments are necessary to keep them operationally current.
It, therefore, (1) is not a ``significant regulatory action'' under
Executive Order 12866; (2) is not a ``significant rule'' under DOT
Regulatory Policies and Procedures (44 FR 11034; February 26, 1979);
and (3) does not warrant preparation of a Regulatory Evaluation as the
anticipated impact is so minimal.

Since this is a routine matter that will only affect air traffic
procedures and air navigation, it is certified that this rule, when
promulgated, will not have a significant economic impact on a
substantial number of small entities under the criteria of the
Regulatory Flexibility Act.
    The FAA's authority to issue rules regarding aviation safety is
found in Title 49 of the U.S. Code. Subtitle 1, Section 106 describes
the authority of the FAA Administrator. Subtitle VII, Aviation
Programs, describes in more detail the scope of the agency's authority.
This rulemaking is promulgated under the authority described in
subtitle VII, part A, subpart I, Section 40103. Under that section, the
FAA is charged with prescribing regulations to assign the use of
airspace necessary to ensure the safety of aircraft and the efficient
use of airspace. This regulation is within the scope of that authority
as it would modify controlled airspace at Arthur N. Neu Airport,
Carroll, IA.

List of Subjects in 14 CFR Part 71

    Airspace, Incorporation by reference, Navigation (air).

The Proposed Amendment

    In consideration of the foregoing, the Federal Aviation
Administration proposes to amend 14 CFR part 71 as follows:

PART 71--DESIGNATION OF CLASS A, B, C, D, AND E AIRSPACE AREAS; AIR
TRAFFIC SERVICE ROUTES; AND REPORTING POINTS

    1. The authority citation for part 71 continues to read as follows:

    Authority: 49 U.S.C. 106(g); 40103, 40113, 40120; E.O. 10854, 24
FR 9565, 3 CFR, 1959-1963 Comp., p. 389.

Sec.  71.1  [Amended]

    2. The incorporation by reference in 14 CFR 71.1 of FAA Order
7400.9U, Airspace Designations and Reporting Points, dated August 18,
2010, and effective September 15, 2010, is amended as follows:

Paragraph 6005 Class E airspace areas extending upward from 700
feet or more above the surface of the earth.

* * * * *

ACE IA E5 Carroll, IA [Amended]

Arthur N. Neu Airport, IA
    (Lat. 42[deg]02'46'' N., long. 94[deg]47'20'' W.)

    That airspace extending upward from 700 feet above the surface
within a 6.5-mile radius of Arthur N. Neu Airport.

    Issued in Fort Worth, TX, on August 17, 2011.
Walter L. Tweedy,
Acting Manager, Operations Support Group, ATO Central Service Center.
[FR Doc. 2011-21915 Filed 8-25-11; 8:45 am]
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