Table C 1 Point Source Categories and Corresponding SIC Codes Point Source Category Relevant SIC codes Aluminum forming 3353, 3354, 3355, 3357, 3363, 3463 Asbestos manufacturing 3292 Battery manufacturing 3691, 3692 Builder's paper and board mills 40 CFR 431 has been deleted; therefore, this point source category no longer exists.

Canned and preserved seafood 2091, 2092 Carbon black manufacturing 2895 Cement manufacturing 3241 Centralized waste treatment SIC codes are not an appropriate means of identification for this point source category.

Coal mining 1221, 1222, 1231, 1241a Coil coating 3411 Concentrated animal feeding operationsb 0211, 0213, 0214, 0241, 0251, 0252, 0253, 0254, 0259, 0272 Copper forming 3351, 3357, 3463 Dairy products processing 2021, 2022, 2023, 2024, 2026 Electrical and electronic components 3671, 3674 Electroplating 3471 Explosives 2892 Ferroalloy manufacturing 3313 Fertilizer manufacturing 2873, 2874, 2875 Fruits and vegetable processing 2033, 2034, 2035, 2037 Glass manufacturing 3211, 3221, 3296 Grain mills manufacturing 2041, 2043, 2044, 2045, 2046, 2047 Gum and wood chemicals 2861 Hospital 8062a, 8063, 8069a Table C 1 ( Continued)

Point Source Category Relevant SIC codes C 3 RSEIreport_ 121203. wpd Ink formulating 2893 Inorganic chemicals 2812, 2813, 2816, 2819 Iron and steel manufacturing 3312, 3315, 3316, 3317 Landfills 4953 Leather tanning and finishing 3111 Meat products 2011, 2013, 2077 Metal finishing 2514, 2522, 2531, 2542, 2591, 2599, 2796, 3398, Industry Groups: 34, 35, 36, 37 and 38, 3911, 3914, 3915, 3931, 3944, 3949, 3951, 3953, 3961, 3965, 3993, 3995, 3999 Metal molding and casting ( foundries) 3321, 3322, 3324, 3325, 3364, 3365, 3366, 3369 Metal products and machinery 2514, 2522, 2531, 2542, 2591, 2599, 2796, 3398, Industry Groups: 34, 35, 36, 37 and 38, 3911, 3914, 3915, 3931, 3944, 3949, 3951, 3953, 3961, 3965, 3993, 3995, 3999, 4011a, 4013a, 4111a, 4119a, 4121a, 4131a, 4141a, 4142a, 4173a, 4212a, 4213a, 4214a, 4215a, 4231a, 4412a, 4424a, 4432a, 4449a, 4481a, 4482a, 4489a, 4491a, 4492a, 4493a, 4499a, 4581a, 5013, 5511a, 5521a, 5561a, 5571a, 5599a, 7353a, 7359a, 7378a, 7379a, 7515a, 7532a, 7533a, 7537a, 7538a, 7539a, 7549a, 7623a, 7629a, 7631a, 7692a, 7699a Mineral mining and processing 1422a, 1423a, 1429a, 1442a, 1446a, 1455a, 1459a, 1474a, 1475a, 1479a, 1499a, 3275 Nonferrous metals forming and metal powders 3356, 3357, 3363, 3399, 3463, 3482, 3483 Nonferrous metals manufacturing 2819, 3331, 3334, 3339, 3341 Oil and gas extraction 1311 Ore mining and dressing 1011a, 1021, 1031, 1041, 1044, 1061, 1094a, 1099 Organic chemicals, plastics, and synthetic fibers 2821, 2823, 2824, 2865, 2869 Paint formulating 2851 Paving and roofing materials ( tars and asphalt) 2951, 2952, 3996 Pesticide chemicals manufacturing, formulation and packaging 2879 Petroleum refining 2911 Pharmaceutical manufacturing 2833, 2834 Phosphate manufacturing 2819, 2874 Table C 1 ( Continued)

Point Source Category Relevant SIC codes C 4 RSEIreport_ 121203. wpd Photographicb 7221, 7335, 7384, 7819 Plastic molding and forming 3081, 3082, 3083, 3084, 3085, 3086, 3087, 3088, 3089 Porcelain enameling 3431, 3469, 3479, 3631, 3632, 3633, 3639 Pulp, paper and paperboard 2611, 2621, 2631 Rubber manufacturing 2822, 3011, 3021, 3052, 3053, 3061, 3069 Soaps and detergents manufacturing 2841 Steam electric power generation 4911 Sugar processing 2061, 2062, 2063 Textile mills 2211, 2221, 2231, 2241, 2251, 2252, 2253, 2254, 2257, 2258, 2259, 2261, 2262, 2269, 2273, 2281, 2282, 2284, 2295, 2296, 2297, 2298, 2299 Timber products processing 2421, 2435, 2436, 2491, 2493, 2499 Transportation equipment cleaningb 4491, 4499, 4741, 7699 Waste combustors ( commercial incinerators combusting hazardous waste) 4953 aNo facilities in this SIC code submitted reports to the 2000 TRI. bNo facilities in the SIC codes for this point source category submitted reports to the 2000 TRI. C 5 RSEIreport_ 121203. wpd Table C 2 Reported SIC Codes Not Covered by a Point Source Category SIC Code SIC Description SIC Code SIC Description 2032 Canned specialties 2831 Nonexistent SIC code 2038 Frozen specialties, n. e. c. 2835 In vitro and in vivo diagnostic substances 2048 Prepared feeds and feed ingredients for animals and fowls, except dogs and cats 2836 Biological products, except diagnostic substances 2051 Bread and other bakery products, except cookies and crackers 2840 Soap, detergents, and cleaning preparations; perfumes, cosmetics, and other toilet preparations 2052 Cookies and crackers 2842 Specialty cleaning, polishing, and sanitation preparations 2053 Frozen bakery products, except bread 2843 Surface active agents, finishing agents, sulfonated oils, and assistants 2064 Candy and other confectionary products 2844 Perfumes, cosmetics, and other toilet preparations 2066 Chocolate and cocoa products 2891 Adhesives and sealants 2074 Cottonseed oil mills 2899 Chemicals and chemical preparations, n. e. c.

2075 Soybean oil mills 2992 Lubricating oils and greases 2076 Vegetable oil mills, except corn, cottonseed, and soybean 2999 Products of petroleum and coal, n. e. c.

2079 Shortening, table oils, margarine, and other edible fats and oils, n. e. c. 3050 Gaskets, packing, and sealing devices and rubber and plastics hose and belting 2080 Beverages 3229 Pressed and blown glass and glassware, n. e. c.

2082 Malt beverages 3231 Glass products, made of purchased glass 2083 Malt 3251 Brick and structural clay tile 2085 Distilled and blended liquors 3253 Ceramic wall and floor tile 2086 Bottled and canned soft drinks and carbonated waters 3255 Clay refractories 2087 Flavoring extracts and flavoring syrups, n. e. c. 3259 Structural clay products, n. e. c.

2096 Potato chips, corn chips, and similar snacks 3261 Vitreous china plumbing fixtures and china and earthenware fittings and bathroom accessories 2097 Manufactured ice 3262 Vitreous china table and kitchen articles 2099 Food preparations, n. e. c. 3264 Porcelain electrical supplies 2111 Cigarettes 3269 Pottery products, n. e. c.

2131 Chewing and smoking tobacco and snuff 3270 Concrete gypsum and plaster products 2141 Tobacco stemming and redrying 3273 Ready mixed concrete 2322 Men's and boys' underwear and nightware 3291 Abrasive products 2396 Automotive trimmings, apparel findings, and related products 3295 Minerals and earths, ground or otherwise treated 2399 Fabricated textile products, n. e. c. 3297 Nonclay refractories Table C 2 ( Continued)

SIC Code SIC Description SIC Code SIC Description C 6 RSEIreport_ 121203. wpd 2411 Logging 3299 Nonmetallic mineral products, n. e. c.

2431 Millwork 3490 Miscellaneous fabricated metal products 2439 Structural wood members, n. e. c. 3952 Lead pencils, crayons, and artists' materials 2511 Wood household furniture, except upholstered 3991 Brooms and brushes 2512 Wood household furniture, upholstered 4925 Mixed, manufactured, or liquefied petroleum gas production and/ or distribution 2517 Wood television, radio, phonograph, and sewing machine cabinets 4931 Electric and other services combined 2521 Wood office furniture 4939 Combination utilities, n. e. c.

2541 Wood office and store fixtures, partitions, shelving, and lockers 5013 Motor vehicle supplies and new parts 2649 Nonexistent SIC code 5093 Scrap & waste materials 2653 Corrugated and solid fiber boxes 5142 Packaged frozen foods 2655 Fiber cans, tubes, drums, and similar products 5144 Poultry and poultry products 2656 Sanitary food containers, except folding 5169 Chemicals and allied products, n. e. c. ( wholesale trade)

2657 Folding paperboard boxes, including sanitary 5171 Petroleum bulk stations and terminals 2661 Building paper and building board mills ( DISC. 1987 2493 or 2621) 5191 Farm supplies 2671 Packaging paper and plastics film, coated and laminated 6799 Investors, n. e. c.

2672 Coated and laminated paper, n. e. c. 7389 Business services, n. e. c.

2674 Uncoated paper and multiwall bags 8731 Commercial physical and biological research 2676 Sanitary paper products 8733 Noncommercial research organizations 2679 Converted paper and paperboard products, n. e. c. 8734 Commercial testing laboratory 2732 Book printing 8741 Management services ( 1987)

2752 Commercial printing, lithographic 8999 Services, not elsewhere classified 2754 Commercial printing, gravure 9131 Executive and legislative offices combined 2759 Commercial printing, n. e. c. 9199 General government, n. e. c.

2771 Greeting cards 9511 Air and water resource and solid waste management 2782 Blankbooks, looseleaf binders and devices 9711 National security 2800 Chemicals and allied products INVA Invalid SIC code 2810 Industrial inorganic chemicals n. e. c.  Not elsewhere classified. aSome sites submitted invalid and nonexistent SIC codes to the 2000 TRI. The SIC codes 2649, 2831, and INVA are all listed in RSEI. D 1 RSEIreport_ 121203. wpd ATTACHMENT D POINT SOURCE CATEGORY RANKINGS BY EAD TWF HAZARD Table D 1 presents all point source categories found in RSEI, ranked by EAD TWF Hazard. The values for RSEI Risk Related Results, TRI Pounds, RSEI Hazard, and RSEI Modeled Hazard are also presented.

Table D 1 Point Source Category Rankings by EAD TWF Hazard Point Source Category/ SIC Code EAD TWF Hazard RSEI Risk Related Results TRI Pounds RSEI Hazard RSEI Modeled Hazard Steam electric power generation 1 1 13 1 2 Organic chemicals, plastics and synthetic fibers 2 6 2 2 1 Timber products processing 3 36 57 35 42 Pulp, paper and paperboard 4 12 4 8 10 SIC 5171: Petroleum bulk stations and terminals 5 19 74 28 39 Petroleum refining 6 10 6 7 4 Iron and steel manufacturing 7 3 1 4 5 Inorganic chemicals 8 14 7 9 15 Nonferrous metals manufacturing 9 9 5 6 11 Landfillsa 10 26 41 22 23 Waste combustors ( commercial incinerators combusting hazardous waste) a 10 26 41 22 23 Metal Finishing 12 2 9 3 3 Phosphate manufacturing 13 15 8 14 18 Rubber Manufacturing 14 28 24 39 20 SIC 2899: Chemicals and chemical preparations, n. e. c. 15 25 27 19 7 SIC 8733: Noncommercial research organizations 16 44 118 56 71 Nonferrous metals forming and metal powders 17 5 23 5 9 Plastic molding and forming 18 29 25 27 25 Pharmaceutical manufacturing 19 22 14 11 8 Ink formulating 20 52 48 60 69 Porcelain Enameling 21 37 28 38 21 SIC 7389: Business services, n. e. c. 22 90 47 53 63 Textile mills 23 18 31 15 13 Grain mills manufacturing 24 42 19 12 28 Table D 1 ( Continued)

Point Source Category/ SIC Code EAD TWF Hazard RSEI Risk Related Results TRI Pounds RSEI Hazard RSEI Modeled Hazard D 2 RSEIreport_ 121203. wpd Fertilizer manufacturing 25 20 11 30 31 Ore mining and dressing 26 34 34 10 26 Metal molding and casting ( foundries) 27 21 44 18 17 Electroplating 28 4 17 25 14 SIC 9131: Executive and legislative offices combined 29 95 61 67 83 Aluminum forming 30 11 26 17 22 Copper forming 31 13 49 21 29 Leather tanning and finishing 32 40 36 34 38 Coal mining 33 8 29 42 50 Ferroalloy manufacturing 34 69 32 37 43 SIC 9511: Air and water resource and solid waste management 35 70 63 33 41 Fruits and vegetable processing 36 76 10 47 58 Meat Products Processing 37 30 3 26 37 SIC 4925: Mixed, manufactured, or liquefied petroleum gas production and/ or distribution 38 71 58 50 61 SIC 2411: Logging 39 b 54 52 62 Pesticide chemicals manufacturing, formulation and 40 50 21 29 33 SIC 2075: Soybean oil mills 41 49 22 58 64 Coil coating 42 60 70 77 91 Cement manufacturing 43 77 101 79 93 Electrical and electronic components 44 16 12 16 16 Battery manufacturing 45 17 52 20 30 SIC 2082: Malt beverages 46 62 16 51 44 SIC 2844: Perfumes, cosmetics, and other toilet preparations 47 35 72 62 45 SIC 2141: Tobacco stemming and redrying 48 b 30 72 88 Dairy products processing 49 64 15 36 6 SIC 2992: Lubricating oils and greases 50 55 40 66 52 SIC 9711: National security 51 43 39 31 36 SIC 4931: Electric and other services combined 52 68 80 41 47 SIC 9199: General government, n. e. c. 53 79 88 94 112 SIC 2099: Food preparations, n. e. c. 54 63 38 75 60 SIC 2843: Surface active agents, finishing agents, sulfonated oils, and assistants 55 38 51 24 12 Glass manufacturing 56 57 56 71 82 SIC 3229: Pressed and blown glass and glassware, n. e. c. 57 32 50 32 40 SIC 2842: Specialty cleaning, polishing, and sanitation preparations 58 39 71 48 34 SIC 2810: Industrial inorganic chemicals 59 115 132 103 123 Table D 1 ( Continued)

Point Source Category/ SIC Code EAD TWF Hazard RSEI Risk Related Results TRI Pounds RSEI Hazard RSEI Modeled Hazard D 3 RSEIreport_ 121203. wpd SIC 3295: Minerals and earths, ground or otherwise treated 60 72 35 46 54 SIC 2048: Prepared feeds and feed ingredients for animals and fowls, except dogs and cats 61 24 18 57 76 SIC 2655: Fiber cans, tubes, drums, and similar products 62 48 75 91 107 Paint formulating 63 23 60 43 32 Hospital 64 106 103 105 115 SIC 3269: Pottery products, n. e. c. 65 33 107 65 72 SIC 8999: Services, not elsewhere classified 66 94 99 59 75 SIC 3291: Abrasive products 67 45 45 76 86 SIC 2676: Sanitary paper products 68 b 152 b b SIC 3297: Nonclay refractories 69 81 91 81 98 Explosives 70 56 20 49 55 Soaps and detergents manufacturing 71 41 68 55 35 SIC 3264: Porcelain electrical supplies 72 31 94 70 81 SIC 2891: Adhesives and sealants 73 67 69 61 68 Sugar processing 74 61 33 78 97 SIC 5169: Chemicals and allied products, n. e. c. ( wholesale trade) 75 75 90 82 65 SIC 2079: Shortening, table oils, margarine, and other edible fats and oils, n. e. c. 77 66 67 96 70 SIC 8731: Commercial physical and biological research 78 53 65 63 78 SIC 3299: Nonmetallic mineral products, n. e. c. 79 59 121 93 111 SIC 3231: Glass products, made of purchased glass 80 46 46 13 19 SIC 2754: Commercial printing, gravure 81 51 100 74 80 SIC 4939: Combination utilities, n. e. c. 82 100 120 125 121 SIC 2096: Potato chips, corn chips, and similar snacks 83 b 37 40 95 SIC 2672: Coated and laminated paper, n. e. c. 84 78 76 85 77 SIC 2831: Nonexistent SIC code 85 104 59 45 48 SIC 2085: Distilled and blended liquors 86 130 53 89 104 SIC 3262: Vitreous china table and kitchen articles 87 74 122 73 87 SIC 3253: Ceramic wall and floor tile 88 88 108 101 118 SIC 2396: Automotive trimmings, apparel findings, and related products 89 117 97 102 122 Gum and wood chemicals 90 83 66 54 56 SIC 2752: Commercial printing, lithographic 91 47 85 69 51 Metal Products and Machinery 92 89 78 68 85 SIC 2771: Greeting cards 93 82 96 87 94 SIC 2032: Canned specialties 94 102 77 111 49 SIC 3255: Clay refractories 95 86 114 120 134 Table D 1 ( Continued)

Point Source Category/ SIC Code EAD TWF Hazard RSEI Risk Related Results TRI Pounds RSEI Hazard RSEI Modeled Hazard D 4 RSEIreport_ 121203. wpd SIC 2671: Packaging paper and plastics film, coated and laminated 96 107 83 95 110 SIC 2086: Bottled and canned soft drinks and carbonated waters 97 54 73 44 27 Paving and roofing materials ( tars and asphalt) 98 91 95 106 103 Canned and preserved seafood 99 b 62 100 119 SIC 2076: Vegetable oil mills, except corn, cottonseed, and soybean 100 80 128 122 92 SIC 2111: Cigarettes 101 98 43 130 130 SIC 2836: Biological products, except diagnostic substances 102 7 79 84 84 SIC 2064: Candy and other confectionary products 103 b 64 99 b SIC 2053: Frozen bakery products, except bread 104 113 86 123 113 SIC 2038: Frozen specialties, n. e. c. 105 92 84 119 101 Oil and gas extraction 106 85 111 92 109 Water Supply 107 105 133 115 133 SIC 2782: Blankbooks, looseleaf binders and devices 108 101 109 98 57 SIC 2087: Flavoring extracts and flavoring syrups, n. e. c. 109 73 81 64 46 SIC 2999: Products of petroleum and coal, n. e. c. 110 108 92 104 135 Asbestos manufacturing 111 84 123 107 99 SIC 3261: Vitreous china plumbing fixtures and china and earthenware fittings and bathroom accessories 112 93 129 132 100 SIC 2083: Malt 113 b 93 b b SIC 2431: Millwork 114 118 142 118 125 SIC 2439: Structural wood members, n. e. c. 115 123 119 138 137 SIC 2322: Men's and boys' underwear and nightware 116 b 144 142 b SIC 2512: Wood household furniture, upholstered 117 96 140 135 96 SIC 2679: Converted paper and paperboard products, n. e. c. 118 132 139 136 143 SIC 2097: Manufactured ice 119 b 110 b b SIC 3251: Brick and structural clay tile 120 126 137 116 140 SIC 2835: In vitro and in vivo diagnostic substances 121 109 55 83 66 SIC 2653: Corrugated and solid fiber boxes 122 103 131 127 128 Invalid SIC code 123 58 150 128 128 SIC 8741: MANAGEMENT SERVICES ( 1987) 124 b 82 110 127 SIC 2051: Bread and other bakery products, except cookies and crackers 125 b 89 124 105 SIC 2052: Cookies and crackers 126 b 124 b b SIC 2066: Chocolate and cocoa products 127 b 87 121 53 SIC 2732: Book printing 128 65 112 86 74 SIC 3050: Gaskets, packing, and sealing devices and rubber and plastics hose and belting 129 120 144 144 142 Table D 1 ( Continued)

Point Source Category/ SIC Code EAD TWF Hazard RSEI Risk Related Results TRI Pounds RSEI Hazard RSEI Modeled Hazard D 5 RSEIreport_ 121203. wpd SIC 2800: Chemicals and allied products 130 112 117 117 116 SIC 2511: Wood household furniture, except upholstered 131 121 126 134 131 SIC 2840: Soap, detergents, and cleaning preparations; perfumes, cosmetics, and other toilet preparations 132 122 104 80 59 SIC 3273: Ready mixed concrete 133 111 102 133 139 SIC 2517: Wood television, radio, phonograph, and sewing machine cabinets 134 110 141 139 136 SIC 2074: Cottonseed oil mills 135 97 148 143 106 SIC 2657: Folding paperboard boxes, including sanitary 136 124 116 88 79 SIC 2521: Wood office furniture 137 116 106 129 120 SIC 2649: Nonexistent SIC code 138 114 105 126 117 SIC 3991: Brooms and brushes 139 129 127 97 90 SIC 2399: Fabricated textile products, n. e. c. 140 99 147 109 114 SIC 3259: Structural clay products, n. e. c. 141 b 144 141 b Mineral Mining and Processing 142 b 135 108 126 SIC 2674: Uncoated paper and multiwall bags 143 125 136 112 102 SIC 2656: Sanitary food containers, except folding 144 127 138 114 108 SIC 5142: PACKAGED FROZEN FOODS 145 b 149 b b SIC 2541: Wood office and store fixtures, partitions, shelving, and lockers 146 119 143 131 124 SIC 2080: Beverages 147 131 130 137 73 SIC 2759: Commercial printing, n. e. c. 148 128 151 140 138 SIC 3270: CONCRETE GYPSUM AND PLASTER PRODUCTS b b b b 67 SIC 5144: POULTRY AND POULTRY PRODUCTS b b b b 89 SIC 6799: INVESTORS NEC b b b b 141 Carbon black manufacturing b b 125 90 b SIC 2131: Chewing and smoking tobacco and snuff b b 98 b b SIC 2661: BUILDING PAPER AND BUILDING BOARD MILLS ( DISC. 1987 2493 OR 2621) b b 113 b b SIC 3952: Lead pencils, crayons, and artists' materials b b 134 b b aRSEI model output for these two point source categories are identical because both categories are comprised of the same SIC code, 4953 ( Refuse systems). bPoint source category/ SIC code assigned a RSEI output result of zero. Addendum 1 RSEIreport_ 121203. wpd ADDENDUM DATA CORRECTIONS AND REVISED RESULTS This addendum describes the manual data modifications that were made to the TRI and RSEI data. Several specific manual changes were made as analyses progressed. More information on specific data corrections may be found in the project file in the individual industry sections. The types of changes that were made include:

Assignment of representative toxicity weighting factor to chemical categories;

Addition of EAD POTW removal efficiencies for chemicals where RSEI model POTW removal efficiencies were not available;

Adjustment of primary SIC code. Note that this error was corrected in release of version 2.1 of the RSEI model ( July 2003);

Facility specific data modifications based on additional information obtained from a facility or from EPA's Online Tracking Information System ( OTIS); and

Point Source Category Adjustments.

As additional data corrections are made, they will be incorporated into future versions of TRIReleases2000, the database containing the TRI data and RSEI model output used in this report.

Assignment of EAD Toxic Weighting Factors ( TWFs)

EAD Toxic Weighting Factors ( TWFs) were used to assign toxicity values to the chemicals represented in the RSEI model output. There were many chemicals present in RSEI that did not have a TWF value listed in the EAD table. EPA identified several chemicals that lacked TWFs and were significant ( in terms of pounds reported or modeled risk score). EPA then performed a review of recent effluent limitations and guidelines to determine whether any TWFs could be Addendum 2 RSEIreport_ 121203. wpd identified for these significant chemicals. EPA also contacted Versar, a contractor that assisted in developing the EAD TWF table, for clarification regarding one chemical that appeared to have its TWF incorrectly assigned to another chemical.

Changes: a) Nitrate compounds ( CASNo N511):

  Assigned a TWF of 0.000062, and   Based on a Versar memo from Kathy Coon to Kathy Zirbser titled " Surrogate TWF for Nitrates," dated 11/ 30/ 98, which was used as the basis for a nitrate TWF in the development of the Iron & Steel ELG b) Benzo( g, h, i) perylene ( CASNo 191242):

  Assigned a TWF of 0.3, and   Based on the TWF used in the development of the Iron & Steel ELG c) Chlorine dioxide ( CASNo 10049044)

  Assigned a TWF of 0.0000069, and   Based on a Versar memo from Kathy Coon and Jim Buchert to Carey Johnston titled " TWF for Chlorine Dioxide," dated 5/ 8/ 03.

POTW Removal Efficiencies The RSEI model contains POTW removal data for each chemical in order to estimate the amount of a reported chemical that is discharged to surface water following treatment at a POTW. There were eleven chemicals for which RSEI did not have any POTW removal data. EPA performed a review of recent effluent limitations and guidelines to determine whether typical POTW removal efficiencies were identified for any of these eleven chemicals. Addendum 3 RSEIreport_ 121203. wpd Changes: a) Dioxin and dioxin like compounds ( CASNo N150)

  Assigned a removal efficiency of 83%, and   Based on the removals of 2,3,7,8 TCDF ( CASNo 51207319), 1,2,3,4,6,7,8 HPCDF ( CASNo 67562394), and 1,2,3,4,6,7,8 HPCDD ( CASNo 35822469) that were used in the development of the Transportation Equipment Cleaning and Iron & Steel ELGs.

b) Nitrate compounds ( CASNo N511):

  Assigned a removal efficiency of 90%, and   Based on the removal of nitrate/ nitrite that was used in the development of the Iron& Steel ELG.

Primary SIC Code Determination Primary SIC code designations in the RSEI model output were modified for all facilities. For a given facility, the RSEI model outputs all SIC codes that were reported to TRI by that facility ( SICCode1, SICCode2, SICCode3, etc.). All analyses up to this point were performed under the assumption that the SIC code listed under " SICCode1" was the primary SIC code for the facility,

as described in the RSEI documentation. All analyses, therefore, used the SICCode1 to identify the representative industry for a facility. During a technical review of the RSEI model output, it was discovered that the output SIC codes were sorted in ascending numeric order for each facility ( i. e., a facility reporting the three SIC codes 2621, 2622, and 2611 would have an output " SICCode1" of 2611). Therefore, the SIC code listed under " SICCode1" for a given facility was not necessarily the primary SIC code, as was the assumption in the analyses to that point.

The TRI Public Data Release ( www. epa. gov/ tri/ tridata/ tri00/ index. htm) for 2000 lists all SIC codes that were reported to TRI by a given facility and maintains the correct designation of the primary SIC code. These data were used to correct the SIC codes contained in the RSEI model output. Addendum 4 RSEIreport_ 121203. wpd Change: All facilities in the RSEI model output were assigned new primary SIC codes, based on the 2000 TRI Public Data Release. This affected approximately 700 of the 7,814 water dischargers in the RSEI model output.

In addition, several facilities reported more than one primary SIC code to TRI. For this analyses,

it was necessary to identify a single primary SIC code for each facility. The SIC codes listed in the revised RSEI model output, which represents all water dischargers that reported to TRI, were subject to the reviews and changes listed above, and were therefore believed to be the most accurate source of facility SIC codes available.

Change: EPA determined that it would be appropriate to use the revised RSEI model output to update the primary SIC codes listed for all water dischargers in the TRI Public Release. All non dischargers present in the TRI Public Release did not have their SIC codes changed, and several of these facilities still have multiple " primary" SIC codes.

Point Source Category Adjustments Nonferrous Metals Manufacturing facilities in SIC Code 2819 SIC Code 2819 ( Industrial inorganic chemicals, n. e. c.) was originally categorized under both the Inorganic Chemicals Manufacturing Point Source Category ( PSC) and the Nonferrous Metals Manufacturing Point Source Category. EPA reviewed the facilities in this SIC code to determine which facilities could clearly be assigned to the Nonferrous Metals Manufacturing PSC ( i. e., only a portion of the TRI pounds and TWPE from SIC Code 2819 would be allocated to that category). EPA identified four TRI facilities in SIC Code 2819 that most likely have operations regulated by the Nonferrous Metals Manufacturing PSC.

Changes: EPA assigned a placeholder SIC Code of 2819N to the following four TRI facilities. This SIC code was then combined into the Nonferrous Metals Manufacturing PSC, along with SIC Codes 3331, 3333, 3339, and 3341:

a) ALCOA World Alumina  Fort Meade, FL Facility ID: 33841 LMNMC HWY63 b) ALCOA World Alumina  Point Comfort, TX Facility ID: 77978 LMNMC STATE Addendum 5 RSEIreport_ 121203. wpd c) LCOA World Chemicals  Bauxite, AR Facility ID: 72011 LCRKN USHIG d) U. S. Enrichment Corp. Portsmouth Gaseous Diffusion  Piketon, OH Facility ID: 45661 NTDST 3930U Phosphate Manufacturing Facilities in SIC Code 2819 SIC Code 2819 ( Industrial inorganic chemicals, n. e. c.) was originally categorized under both the Inorganic Chemicals Manufacturing PSC and the Phosphate Manufacturing PSC. EPA reviewed facilities in this SIC code to determine which facilities could clearly be assigned to the Phosphate Manufacturing PSC ( i. e., only a portion of the PCS pounds and TWPE from SIC Code 2819 would be allocated to that category). EPA did not identify any PCS facilities in SIC Code 2819 that would have operations regulated by the Phosphate Manufacturing PSC. SIC 2819 was removed from the Phosphate Manufacturing PSC. A placeholder SIC, 2819P, was created in the Phosphate Manufacturing PSC for SIC 2819 facilities that may be identified in the future as Phosphate Manufacturing facilities.

Fertilizer Facilities in SIC Code 2874 SIC Code 2874 ( Phosphatic fertilizers) was originally categorized under both the Fertilizer Manufacturing PSC and the Phosphate Manufacturing PSC. EPA reviewed facilities in this SIC code to determine which facilities could clearly be assigned to the Fertilizer Manufacturing PSC ( i. e., only a portion of the PCS pounds and TWPE from SIC Code 2874 would be allocated to that category). EPA did not identify any PCS facilities in SIC Code 2874 that most likely have operations regulated by the Fertilizer Manufacturing PSC. SIC 2874 was removed from the Fertilizer Manufacturing PSC. A placeholder SIC, 2874F, was created in the Fertilizer Manufacturing PSC for SIC 2874 facilities that may be identified in the future as Fertilizer Manufacturing facilities. Addendum 6 RSEIreport_ 121203. wpd Facility Specific Modifications The following facility specific modifications were made to RSEI model output data based on 2000 TRI data.

Chemical Release Adjustments 1) Metallurgical Products  West Chester, PA Facility ID: 19381MTLLR810LI Background: The RSEI model showed 286 lbs of phosphorus ( yellow) being discharged, resulting in a risk score of 1,581,998. The facility was contacted to determine whether the report was erroneous. The facility indicated that they have no water discharges other than perhaps stormwater. The facility also indicated that the reported discharge was actually phosphates or phosphoric acid, not elemental phosphorus. Change: Releases of phosphorus ( yellow) were changed to zero for all fields ( lbs, hazard, risk) because of the uncertainty of this reported discharge.

2) Ulbrich Precision Flat Wire  Westminster, SC Facility ID: 29693STLHDPOBOX Background: For 2000 TRI reporting, the facility reported on Form R, Section 6.1. that 100,000 lbs of copper were transferred to a POTW. These totals for copper were actually transferred to a metals recovery facility. Change: Copper discharges were removed from the database.

3) Bridgeport Insulated Wire Co.  Stratford, CT Facility ID: 06497BRDGP514SU Background: For 2000 TRI reporting, the facility reported on Form R, Section 6.1 that 40,708 lbs of copper were transferred to a POTW. These totals for copper were actually transferred to a metals recovery facility. Change: Copper discharges were removed from the database. Addendum 7 RSEIreport_ 121203. wpd 4) Allied Foods L. L.  Atlanta, GA Facility ID: 30318LLDFD1450H Background: For 2000 TRI reporting, the facility reported on Form R, Section 6.1 that 352,261 lbs of copper were transferred to a POTW. These totals for copper were actually transferred to a metals recovery facility. Change: Copper discharges were removed from the database.

5) Oxy Vinyl L. P  Deer Park, TX Facility ID: 77536CCDNT1000T Background: Chris Burrel of Oxy Vinyl indicated during a telephone conversation on September 17, 2003 that the Deer Park facility has closed. Neither of the two other Oxy Vinyl plants in Texas release dioxins to surface waters. Change: Releases of dioxins for the Deer Park facility were removed from the database.

6) Norit America  Marshall, TX Facility ID: 75670MRCNNWESTE Background: Pollutant loads for this facility are reported in both the Inorganic Chemicals Manufacturing industry category and the Phosphate Manufacturing industry category. The facility was contacted and Curtis Miles of Norit America confirmed that the pollutant loads should only be included in the Inorganic Chemicals Manufacturing category. Change: Pollutant loads were reviewed to ensure that loads were only associated with the Inorganic Chemicals Manufacturing category.

SIC Code Adjustments 1) Conoco Phillips Refinery  Lake Charles, LA Facility ID: 70669CNCLKOLDSP Background: This facility's primary SIC was incorrect in the RSEI model output. All other environmental databases ( as presented in OTIS) listed the primary SIC code as 2911. Change: The SIC code for this facility was changed from 2893 to 2911.

2) Dow Chemical Co.  Freeport, TX Facility ID: 77541THDWCBUILD Background: The primary SIC code reported to TRI was 2812 ( Alkalies and Chlorine); however, a search of the EPA web tool OTIS ( http:// www. epa. gov/ idea/ otis/ mm_ idea_ query. html) identified SIC code 2869 ( Industrial organic chemicals, n. e. c.) as the primary SIC code for the facility's NPDES permits. Change: The SIC code for this facility was changed from 2812 to 2869. Addendum 8 RSEIreport_ 121203. wpd 3) Dow Chemical Co.  Plaquemine, LA Facility ID: 70765THDWCHIGHW Background: This facility has multiple SIC codes listed as being the primary SIC code in the TRI data. A search of the EPA web tool OTIS identified SIC code 2869 ( Industrial organic chemicals, n. e. c.) as the primary SIC code for the facility's NPDES permits. Change: The SIC code for this facility was changed from 2791/ 2796/ 2812 to 2869.

4) Exxon Chemical Baton Rouge Chemical Plant  Baton Rouge, LA Facility ID: 70805XXNCH4999S Background: The primary SIC code reported to TRI was 2869; however, a search of OTIS identified SIC code 2821 ( Plastics materials, synthetic resins, and non vulcanizable elastomers) as the primary SIC code for the facility's NPDES permit. Change: The SIC code for this facility was changed from 2869 to 2821.

5) Exxon Mobil Chemical Co. Baytown Olefins Plant  Baytown, TX Facility ID: 77522XXNCH3525D Background: The primary SIC code reported to TRI was 2822 ( Synthetic rubber ( vulcanizable elastomers)); however, a search of OTIS identified SIC code 2869 as the primary SIC code for the facility's NPDES permit. Change: The SIC code for this facility was changed from 2822 to 2869.

6) PPG Industries, Inc.  Lake Charles, LA Facility ID: 70669PPGNDCOLUM Background: The primary SIC code reported to TRI was 2812 ( Alkalies and Chlorine); however, a search of the EPA web tool OTIS identified SIC code 2869 ( Industrial organic chemicals, n. e. c.) as the primary SIC code for the facility's NPDES permits. Change: The SIC code for this facility was changed from 2812 to 2869.

Note: There are two other facilities that were reviewed and that received manual SIC code changes. This was performed prior to the SIC code update using the TRI Public Release. The SIC codes assigned to these facilities by the TRI data were the same as the SIC codes that had been selected during the facility review. Therefore, there was no need to perform a manual change for these facilities.

7) Noveon, Inc.  Lawrence, MA Facility ID: 01843BFGDRONEJA Background: This Facility ID was associated with an incorrect name and SIC code in the RSEI model output. Change: The facility name was changed from Global Revco Terminal L. L. C. to Noveon, Inc. and the SIC code was changed from 5171 to 2891. Addendum 9 RSEIreport_ 121203. wpd 8) Kimberly Clark Tissue Co, Everett, WA Facility ID: 98201SCTTP2600F Background: The primary SIC code reported to TRI was 2611 ( Pulp mills); however, based on EPA's recent investigation of the pulp and paper industry, the primary SIC code for the facility's NPDES permit was identified as 2621. Change: The SIC code for this facility was changed from 2611 to 2621.

9) All SIC codes for facilities in SIC codes 2611, 2621, and 2631 were modified to represent three phases of regulation of the pulp, paper, and paperboard industry: Background: Three SIC codes are used to classify the pulp and paper industry, according to the primary product shipped: 2611 Pulp Mills, 2621 Paper Mills, and 2631 Paperboard Mills. Change: The list of facilities within these SIC codes was reviewed to properly classify the facilities into the appropriate Pulp and Paper Category Phase. The facilities listed were compared to a list of facilities that are covered by the Phase I regulations, and to a list of facilities covered by the Phase III regulations. Facilities not identified as Phase I or Phase III were classified as Phase II.

SIC placeholder codes were created to represent the three pulp phases at each of the three SIC codes: 2611 1 2611 2 2611 3 2621 1 2621 2 2621 3 2631 1 2631 2 2631 3 Toxic Weighted Pound Equivalent ( TWPE) Adjustments 1) Pepco Chalk Point Generating Station  Aquasco, MD Facility ID: 20608CHLKP25100 Background: The reported PACs category discharge was an isolated event ( i. e., a spill) and not representative of typical discharges at this plant or of this industry ( SIC code 4911). Change: The pounds of PACs were deleted.

2) For facilities in SIC code 2812 or 2816 that reported dioxin congener distributions, TWPE adjustments were made to reflect the distribution of congeners and associated TWFs. The percentage distribution of dioxins and the TWFs of specific dioxin congeners were used to calculate a facility specific weighted average dioxin TWF. For those facilities that did not report a distribution, the median TWF value was used to estimate the TWPE.

3) An analysis was performed to determine a representative TWPE for polycyclic aromatic compounds ( PACs) in the PBST industry category. No TWF is available for the TRI chemical group PACs. However, TWFs are available for 8 of the 21 individual compounds included in this chemical group. In addition, discharge loads Addendum 10 RSEIreport_ 121203. wpd for individual PACs were reported in PCS 2000. EPA calculated a weighted TWF from available discharge data for PACs from PCS. This value, 219.3411, was applied to the pounds of PACs releases reported in TRI, to calculate TWPE for facilities within the PBST industry category.

Revised Results After the data corrections in this addendum were incorporated into TRIReleases2000, the TWPE values were regenerated for each point source category. The updated rankings are presented in Tables A 1 and A 2.

Table A 1 presents the 2000 TRI TWPEs and rankings for point source categories regulated by existing effluent guidelines; and

Table A 2 presents the 2000 TRI TWPEs and rankings for industry groupings not regulated by existing effluent guidelines. Addendum 11 RSEIreport_ 121203. wpd Table A 1 Toxic Weighted Pound Equivalents Discharges by Industries Regulated by Existing Effluent Guidelines 40 CFR Part Point Source Category TRI Reported Toxic Weighted Pound Equivalents TRI Reported Step 1 Rankings Step 6B Rankings 405 Dairy products processing 5,829 37 27 406 Grain mills manufacturing 8,610 35 25 407 Canned and preserved fruits and vegetable processing 17,649 29 20 408 Canned and preserved seafood 20 49 37 409 Sugar processing 284 43 32 410 Textile mills 84,754 19 12 411 Cement manufacturing 10,827 33 23 412 Concentrated animal feeding operations ( CAFO) N/ A N/ C N/ C 413 Electroplating 41,380 23 N/ C 414 Organic chemicals, plastics and synthetic fibers 31,598,863 1 1 415 Inorganic chemicals manufacturing 630,218 12 7 417 Soaps and detergents manufacturing 362 42 31 418 Fertilizer manufacturing 61,273 20 13 419 Petroleum refining 2,394,632 4 3 420 Iron and steel manufacturing 1,685,493 6 N/ C 421 Nonferrous metals manufacturing 978,450 8 6 422 Phosphate manufacturing 255 44 33 423 Steam electric power generation 1,854,204 5 4 424 Ferroalloy manufacturing 22,131 27 18 425 Leather tanning and finishing 28,670 24 16 426 Glass manufacturing 1,875 38 28 427 Asbestos manufacturing 6 51 38 428 Rubber manufacturing 166,343 14 8 429 Timber products processing 5,546,567 2 2 430 Pulp, paper and paperboard ( Phase III) 319,244 13 N/ C 430 Pulp, paper and paperboard ( Phase I) 3,575,766 3 N/ C 430 Pulp, paper and paperboard ( Phase II) 1,336,418 7 5 432 Meat products processing 16,783 30 N/ C 433 Metal finishing 842,890 11 N/ C 434 Coal mining 22,472 26 N/ C 435 Oil and gas extraction 8 50 N/ C 436 Mineral mining and processing 0 52 39 Table A 1 ( Continued)

40 CFR Part Point Source Category TRI Reported Toxic Weighted Pound Equivalents TRI Reported Step 1 Rankings Step 6B Rankings Addendum 12 RSEIreport_ 121203. wpd 437 Centralized waste treatment N/ A N/ C N/ C 438 Metal products and machinery 45 47 N/ C 439 Pharmaceutical manufacturing 105,119 17 N/ C 440 Ore mining and dressing 52,627 21 14 442 Transportation equipment cleaning N/ A N/ C N/ C 443 Paving and roofing materials ( tars and asphalt) 27 48 36 444 Waste combustors 874,852 9 N/ C 445 Landfills 874,852 9 N/ C 446 Paint formulating 916 39 29 447 Ink formulating 51 45 34 450 Construction and development N/ A N/ C N/ C 451 Aquatic animal production industry N/ A N/ C N/ C 454 Gum and wood chemicals 50 46 35 455 Pesticide chemicals 13,281 31 21 457 Explosives 381 41 30 458 Carbon black manufacturing N/ A N/ C N/ C 459 Photographic N/ A N/ C N/ C 460 Hospital 724 40 N/ C 461 Battery manufacturing 8,047 36 26 463 Plastic molding and forming 106,189 15 9 464 Metal molding and casting 45,182 22 15 465 Coil coating 11,764 32 22 466 Porcelain enameling 92,174 18 11 467 Aluminum forming 25,035 25 17 468 Copper forming 22,071 28 19 469 Electrical and electronic components 9,800 34 24 471 Nonferrous metals forming and metal powders 105,540 16 10 Note: " N/ A" means not available and " N/ C" means not calculated. EPA may not have calculated a rank due to lack of TRI data ( e. g., coil coating). EPA may also have been unable to identify the pollutant loadings for the various subcategories within a point source category. This is important when trying to identify subcategories or wastewater discharges from industrial operations not subject to any exclusions identified in Step 2.

Note: The TWPE estimates for both Waste Combustors ( Part 444) and Landfills ( Part 445) are the same as EPA used the same SIC code ( Refuse Systems ( 4953)) to estimate loadings for both categories. EPA will refine these TWPE estimates for the final record by using the facilities identified in these rulemaking records. Addendum 13 RSEIreport_ 121203. wpd Table A 2 Toxic Weighted Pound Equivalents Discharges by Industries Not Regulated by Existing Effluent Guidelines SIC Code Industrial Sector TRI Reported Toxic Weighted Pound Equivalents TRI Reported Step 1 Rankings Step 6B Rankings Two Digit SIC Code Data 9 Fishing, Hunting, & Trapping N/ A N/ C N/ C 16 Heavy Construction, Except Building N/ A N/ C N/ C 20 Food & Kindred Products 24,500 N/ C N/ C 21 Tobacco Products 6,131 N/ C N/ C 23 Apparel & Other Textile Products 53 N/ C N/ C 24 Lumber & Wood Products 14,656 N/ C N/ C 25 Furniture & Fixtures 2 N/ C N/ C 26 Paper & Allied Products 1,622 N/ C N/ C 27 Printing & Publishing 280 N/ C N/ C 28 Chemical & Allied Products 164,662 N/ C N/ C 29 Petroleum & Coal Products 5,698 N/ C N/ C 30 Rubber and miscellaneous plastics products 0 N/ C N/ C 32 Stone, Clay, & Glass Products 5,561 N/ C N/ C 34 Fabricated metal products 0 N/ C N/ C 39 Misc. Manuf. Industries 0 N/ C N/ C 40 Railroad Transportation N/ A N/ C N/ C 42 Trucking & Warehousing N/ A N/ C N/ C 44 Water Transportation N/ A N/ C N/ C 46 Pipelines, Except Natural Gas N/ A N/ C N/ C 47 Transportation Services N/ A N/ C N/ C 49 Electric, Gas, & Sanitary Services 17,957 N/ C N/ C 50 Wholesale Trade Durable Goods 287 N/ C N/ C 51 Wholesale Trade Nondurable Goods 275 N/ C N/ C 65 Real Estate N/ A N/ C N/ C 67 Holding & Other Investment Offices 0 N/ C N/ C 73 Business Services 88,810 N/ C N/ C 82 Educational Services N/ A N/ C N/ C 87 Engineering & Management Services 124,717 N/ C N/ C 89 Services, Not Elsewhere Classified 566 N/ C N/ C 91 Executive, Legislative, & General 36,734 N/ C N/ C 92 Justice, Public Order, & Safety N/ A N/ C N/ C Table A 2 ( Continued)

SIC Code Industrial Sector TRI Reported Toxic Weighted Pound Equivalents TRI Reported Step 1 Rankings Step 6B Rankings Addendum 14 RSEIreport_ 121203. wpd 95 Environmental Quality & Housing 18,458 N/ C N/ C 96 Administration of Economic Programs N/ A N/ C N/ C 97 National Security & International Affairs 3,647 N/ C N/ C 99 Non classifiable Establishments 1 N/ C N/ C Industry Sectors Identified by Stakeholders 45 Airport Industrial Discharges N/ A N/ C N/ C 273 Aquatic Animal Production N/ A N/ C N/ C 15 Storm Water Discharges from Construction and Development N/ A N/ C N/ C 8021 Dental Facilities N/ A N/ C N/ C 4941 Drinking Water Supply and Treatment 7 2 1 581 Food Service Establishments N/ A N/ C N/ C 4959 Groundwater Remediation N/ A N/ C N/ C 8071 Independent & Stand Alone Laboratories N/ A N/ C N/ C 7218 Industrial Laundries N/ A N/ C N/ C 4481 Ocean Going Vessels N/ A N/ C N/ C 27 Printing & Publishing 280 1 N/ C 9223 Prisons N/ A N/ C N/ C N/ A Municipal Storm Water Runoff N/ A N/ C N/ C 4952 Wastewater Treatment and Sewerage Systems N/ A N/ C N/ C Note: " N/ A" means not available and " N/ C" means not calculated. EPA may not have calculated a rank due to lack of TRI data ( e. g., tobacco products).


[Federal Register Volume 77, Number 227 (Monday, November 26, 2012)]
[Notices]
[Pages 70496-70500]
[FR Doc No: 2012-28592]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-68260; File No. SR-C2-2012-038]

Self-Regulatory Organizations; C2 Options Exchange, Incorporated;
Notice of Proposed Rule Change To Address Authority To Cancel Orders
When a Technical or Systems Issue Occurs and To Describe the Operation
of Routing Service Error Accounts

November 19, 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, the C2 Options Exchange, Incorporated
(the ``Exchange'' or ``C2'') filed with the Securities and Exchange
Commission (the ``Commission'') the proposed rule change as described
in Items I and II 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 is proposing to amend its rules to (i) address the
authority of the Exchange to cancel orders (or release routing-related
orders) when a technical or systems issue occurs; and (ii) describe the
operation of an Exchange error account(s) and routing broker error
account(s), which may be used to liquidate unmatched executions that
may occur in the provision of the Exchange's routing service. The text
of the rule proposal is available on the Exchange's Web site (http://www.c2exchange.com/Legal/RuleFilings.aspx), at the Exchange's Office of
the Secretary and at the Commission.

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 the
Statutory Basis for, the Proposed Rule Change

1. Purpose
    The purpose of the proposed rule change is to adopt new Rule 6.47
to address the authority of the Exchange to cancel orders (or release
routing-related orders) when a technical or systems issue occurs and to
adopt new Rule 6.37 \4\ to describe the operation of an Exchange error
account(s) (``Exchange Error Account(s)'') and routing broker error
account(s), which may be used to liquidate unmatched executions that
may occur in the provision of the Exchange's routing service.
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    \4\ In conjunction with adopting new Rule 6.37, the Exchange is
proposing to renumber existing Rule 6.37, Reporting of Trade
Information, to Rule 6.38.
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    By way of background, C2 operates a system of trading that allows
automatic executions to occur electronically. As part of this
infrastructure, C2 also automatically routes orders to other exchanges
under certain circumstances. These routing services are provided in
conjunction with one or more routing brokers that are not affiliated
with the Exchange.\5\ Mechanically, when the Exchange receives an order
from a Trading Permit Holder (``TPH'') that is held in the Exchange
system and determines to route an order to another exchange, the
Exchange provides the routing broker with a corresponding order and
instructions to route the order to another exchange(s). The routing
broker then sends the corresponding order to the other exchange.\6\
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    \5\ See, e.g., Rule 6.36, Order Routing to Other Exchanges.
    \6\ Generally, the routing brokers route the orders directly to
other exchanges. However, it is possible that a routing broker may
route orders to another exchange through a third-party broker-
dealer. In those cases, the third-party broker-dealer would route
the orders to the other exchange in its name, and any executions
would be submitted for clearance and settlement in the name of the
routing broker so that any resulting positions are delivered to the
routing broker upon settlement. As described above, normally the
routing broker would then coordinate with the Exchange to arrange
for any resulting securities positions to be delivered to the TPH
that submitted the corresponding order to the Exchange. If error
positions (as defined in proposed Rule 6.37) result in connection
with the routing broker's use of a third-party broker-dealer for
outbound routing, and those positions are delivered to the routing
broker through the clearance and settlement process, those positions
would be permitted to be resolved in accordance with proposed Rule
6.37. If the third-party broker-dealer received error positions and
the positions were not delivered to the routing broker through the
clearance and settlement process, then the third-party broker-dealer
would resolve the position itself, and those positions would not be
permitted to be resolved as set forth in proposed Rule 6.37.

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    In the normal course, the routing broker reports an execution or
cancellation of the routed order back to the Exchange. Routed orders
that are executed at another exchange are submitted for clearance and
settlement in the name of the routing broker. The routing broker then
coordinates with the Exchange to arrange for any resulting securities
positions to be delivered to the TPH that submitted the original order
to the Exchange (i.e., upon receipt of a filled execution report for
the routed order, the Exchange system pairs the execution against the
TPH's original order being held in the Exchange system and reports the
pairing for clearance and settlement purposes by submitting a non-tape,
clearing only transaction).
    From time to time, the Exchange encounters situations in which it
becomes necessary to cancel orders (or release routing-related orders)
and resolve error positions that result from errors of the Exchange,
routing brokers, or another exchange.\7\
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    \7\ The examples described in this filing are not intended to be
exclusive. Proposed Rule 6.47 would provide general authority for
the Exchange to cancel orders (or release routing-related orders) in
order to maintain fair and orderly markets when technical or systems
issues are occurring, and proposed Rule 6.37 also would set forth
the manner in which error positions (which may occur in the
provision of the Exchange's routing service) may be handled by the
Exchange. The proposed rule change is not limited to addressing
order cancellation (release) or error positions resulting only from
the specific examples described in this filing.
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Proposed Rule 6.47 (Order Cancellation/Release)
    The Exchange proposes to adopt new C2 Rule 6.47 to address the
authority of the Exchange to cancel orders when a technical or systems
issue occurs. Specifically, paragraph (a) of the proposed rule would
expressly authorize the Exchange to cancel orders as it deems to be
necessary to maintain fair and orderly markets if a technical or
systems issue occurs at the Exchange,\8\ the routing broker, or another
exchange to which an Exchange order has been routed. Paragraph (a)
would also provide that a routing broker may only cancel orders being
routed to another exchange based on the Exchange's standing or specific
instructions or as otherwise provided in the Exchange Rules.\9\
Paragraph (a) would also provide that the Exchange shall provide notice
of the cancellation to affected Trading Permit Holders as soon as
practicable.
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    \8\ To confirm, the authority to cancel orders to maintain fair
and orderly markets under proposed Rule 6.47 would apply to any
technical or systems issue at the Exchange and would include any
orders at the Exchange (i.e., the authority to cancel orders would
apply to any orders that are subject to the Exchange's routing
service and any orders that are not subject to the Exchange's
routing service). By comparison, the routing service error account
provisions under proposed Rule 6.37 (discussed below) would apply
only to original and corresponding orders that are subject to the
Exchange routing service.
    \9\ As discussed above, the Exchange uses non-affiliated routing
brokers to provide the routing services. These routing brokers are
also not facilities of the Exchange. For all routing services, the
Exchange determines the logic that provides when, how and where
orders are routed away to other exchanges. The routing broker
receives the routing instructions from the Exchange to route orders
to other exchanges and to report executions back to the Exchange.
The routing broker cannot change the terms of an order or the
routing instructions, nor does the routing broker have any
discretion about where to route an order. See Rule 6.36(c), (e) and
(f). Under paragraph (a) to proposed Rule 6.47, the decision to take
action with respect to orders affected by a technical or systems
issue shall be made by the Exchange. Depending on where those orders
are located, a routing broker would be permitted to initiate a
cancellation of an order(s) pursuant to the Exchange's standing or
specific instructions or as otherwise provided in the Exchange Rules
(e.g., the Exchange's standing instructions might provide, among
other things, that the routing broker could initiate the
cancellation of orders if the routing broker is experiencing
technical or systems issues routing orders to an away exchange).
---------------------------------------------------------------------------

    Paragraph (b) of the proposed rule provides that the Exchange may
also determine to release orders being held on the Exchange awaiting an
away exchange execution as it deems to be necessary to maintain fair
and orderly markets if a technical or systems issues occurs at the
Exchange, a routing broker, or another exchange to which an order has
been routed (the process for ``releasing'' orders is illustrated in
more detail below). Paragraph (c) of the proposed rule would provide
that, for purposes of Rule 6.47, technical or system issues would
include, without limitation, instances where the Exchange has not
received confirmation of an execution (or cancellation) on another
exchange from a routing broker within a response time interval
designated by the Exchange, which interval may not be less than three
(3) seconds.\10\
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    \10\ A determination by the Exchange to cancel or release orders
may not cause the Exchange to declare self-help against the other
exchange pursuant Section E of the C2 Rules (which cross-reference
paragraph (b)(1) of Chicago Board Options Exchange, Incorporated
(``CBOE'') Rule 6.81, Order Protection). If the Exchange determines
to cancel or release orders, as applicable, under proposed Rule 6.47
but does not declare self-help against that other exchange, the
Exchange would continue to be subject to the trade-through
requirements in Rule 6.81 with respect to that exchange.
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    The examples set forth below describe some of the circumstances in
which the Exchange may decide to cancel (or release) orders.

    Example 1:  If a routing broker or another exchange experiences
a technical or systems issue that results in the Exchange or routing
broker not receiving responses to immediate-or-cancel (``IOC'')
orders sent to the other exchange, and that issue is not resolved in
a timely manner, then the Exchange may seek to cancel the routed
orders affected by the issue.\11\ For instance, if a routing broker
experiences a connectivity issue affecting the manner in which it
sends and receives order messages to or from another exchange, it
may be unable to receive timely execution or cancellation reports
from the other exchange, and Exchange may consequently seek to
cancel the affected routed orders (e.g., by calling the routing
broker and instructing the routing broker to attempt to cancel the
orders) or perhaps the routing broker may initiate the cancellation
of the affected routed orders pursuant to a standing or specific
instruction from the Exchange. In these circumstances, the Exchange
would also attempt to release the initial orders submitted by
TPHs.\12\
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    \11\ In a normal situation (i.e., one in which a technical or
systems issue does not exist), the Exchange should receive an
immediate response back from the routing broker reporting any
executions or cancellations from the other exchange, and would then
pass the resulting fill or cancellation onto the TPH. If, after
submitting an order for which a corresponding order has been routed
to another exchange, a TPH sends an instruction to cancel the
original order, the cancellation is held by the Exchange until a
response is received from the routing broker on the corresponding
order. For instance, if the other exchange executes the
corresponding order, the execution would be passed onto the TPH and
the cancellation instruction on the TPH's original order would be
disregarded.
    \12\ Once an initial order is released, any cancellation that a
TPH submitted to the Exchange on the initial order during such a
situation would be honored. If a TPH did not submit a cancellation
to the Exchange, however, that initial order would remain ``live''
and thus be eligible for execution or posting on the Exchange, and
the Exchange would not treat any execution of the initial order or
any subsequent routed order related to that initial order as an
error (unless, of course, the order was itself subject to another
technical or systems issue or any away exchange processing exceeded
the applicable response time interval).
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    Example 2:  If the Exchange does not receive confirmation of an
execution (or cancellation) of an IOC order sent to another exchange
from a routing broker within a designated response time interval of
three (3) seconds, then an automated system feature will release the
initial order being held by the Exchange.\13\ The Exchange would
also

attempt to cancel the routed order in these circumstances.\14\
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    \13\ This routing risk management feature would serve as one
means for the Exchange to efficiently determine if there is a
technical or system issue occurring. The feature, and the system
functionality used to operate the feature, is generally modeled
after a process that was utilized under the former Options
Intermarket Linkage Plan (the ``Old Linkage Plan''). Under the Old
Linkage Plan, an eligible market maker that sent a ``principal
acting as agent order'' (referred to as a ``P/A Order'') through the
linkage and who did not receive a reply from the away exchange
within 30 seconds was able to reject any response received
thereafter purporting to report a total or partial execution of that
order. Over time, the time frame in which an away exchange was
required to respond was ultimately reduced to 3 seconds. See, e.g.,
Securities Exchange Act Release Nos. 43086 (July 28, 2000), 65 FR
48023 (August 4, 2000)(order approving Options Intermarket Linkage
Plan submitted by the American Stock Exchange LLC, Chicago Board
Options Exchange, Inc., and International Securities Exchange LLC)
and 57238 (January 30, 2008), 73 FR 6748 (February 5, 2008)(order
approving joint amendment no. 25 to the Plan for the Purpose of
Creating and Operating an Intermarket Option Linkage Relating to
Response Time for Certain Orders Sent Through the Linkage). The Old
Linkage Plan was replaced by the Options Order Protection and
Locked/Crossed Markets Plan (the ``Distributive Options Linkage
Plan'') in 2009. See Securities Exchange Act Release No. 60405 (July
30, 2009), 74 FR 39362 (August 6, 2009)(order approving the National
Market System Plan relating to Options Order Protection and Locked/
Crossed Markets submitted by the Chicago Board Options Exchange,
Incorporated, International Securities Exchange, LLC, The NASDAQ
Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., NYSE
Amex LLC, and NYSE Arca, Inc.). Although there is no longer a
similar provision for P/A Orders and away exchange response times
under the Distributive Options Linkage Plan, the Exchange has system
functionality that tracks response times for orders routed to away
exchanges. The primary distinction between the process under the Old
Linkage Plan and the process described in the current proposed rule
change is that, instead of rejecting an execution report back to the
away exchange, an execution report received after the TPH's order is
released would be considered an error and subject to the Exchange
Error Account procedures discussed below. The Exchange views having
this ability to release orders that are queued waiting for a
responsive execution/cancel report for a corresponding order from an
away exchange as an important risk management feature. Because the
markets are highly automated, the Exchange would normally expect to
receive a response to an order routed through the routing service
within milliseconds after it is sent. If a response is not received
in a timely manner, it generally is an indication of a system
problem with the other exchange, the routing broker(s) or the
Exchange. In addition, especially in fast-moving markets like the
options market, the Exchange believes allowing for the release of a
TPH's related original order due to an untimely response will
provide an opportunity for the transmittal of responses while also
allowing the Exchange's TPHs to address and execute orders pending
on the Exchange in a timely manner. The Exchange believes this
contributes to the Exchange's ability to maintain fair and orderly
markets.
    \14\ It is possible that attempts to cancel the routed orders
may not succeed. If the Exchange receives an execution report on the
order that had been routed to an away exchange, then the unmatched
execution would be considered an ``error position'' under proposed
Rule 6.47.
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    Example 3: If the Exchange experiences a systems issue, the
Exchange may take steps to cancel and/or release all outstanding
orders affected by the issue (which orders may include orders that
may or may not be subject to routing services). The Exchange would
also attempt to cancel any routed orders related to the TPHs'
initial orders, if applicable, in these circumstances.\15\
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    \15\ It is possible that attempts to cancel the routed orders
may not succeed. If the Exchange receives an execution report on the
order that had been routed to an away exchange, then the unmatched
execution would be considered an ``error position'' under proposed
Rule 6.47.
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Proposed Rule 6.37 (Routing Service Error Accounts)
    Proposed Rule 6.37 would provide that each routing broker shall
maintain, in the name of the routing broker, one or more accounts for
the purpose of liquidating unmatched trade positions that may occur in
connection with the away exchange routing service provided under Rule
6.36 (``error positions'').\16\ In addition, the Exchange may also
maintain, in the name of the Exchange, one or more Exchange Error
Accounts for the purpose of liquidating error positions in the
circumstances described below.
---------------------------------------------------------------------------

    \16\ The Exchange notes that, in connection with providing
routing services, routing brokers currently may utilize their own
error accounts to liquidate error positions. The Exchange believes
it is reasonable and not inappropriate to address routing errors
through the error account of a routing broker because, among other
reasons, it is the executing broker associated with these
transactions.
---------------------------------------------------------------------------

    Paragraph (a) of the proposed rule would provide that errors to
which the rule would apply include any action or omission by the
Exchange, a routing broker, or another exchange to which an Exchange
order has been routed, either of which result in an unmatched trade
position due to the execution of an original or corresponding order
that is subject to the away market routing service and for which there
is no corresponding order to pair with the execution (each a ``routing
error''). Such routing errors would include, without limitation,
positions resulting from determinations by the Exchange to cancel or
release an order pursuant to proposed Rule 6.47 (as described above).
    Paragraph (b) of the proposed rule would provide that, generally,
each routing broker will utilize its own error account to liquidate
error positions. However, in certain circumstances, the Exchange may
utilize an Exchange Error Account. In particular, in instances where
the routing broker is unable to utilize its own error account (e.g.,
due to a technical, systems or other issue that prevents the routing
broker from doing so) or where the an error is due to a technical or
systems issue at the Exchange, the Exchange may (but would not be
required to) determine it is appropriate to utilize an Exchange Error
Account. In making such a determination to utilize an Exchange Error
Account, the Exchange would consider whether is has sufficient time,
information and capabilities considering the market circumstances to
determine that an error is due to such circumstances and whether the
Exchange can address the error.
    The Exchange believes it is reasonable and appropriate to address
routing errors through the error account of a routing broker in the
manner proposed because, among other reasons, it is the executing
broker associated with these transactions. The Exchange also believes
that having the flexibility to determine to utilize an Exchange Error
Account in the limited circumstances described above allows for
administrative convenience and contributes to the Exchange's ability to
maintain a fair and orderly market.\17\ From a TPH perspective, there
would be no impact resulting from the decision to use an Exchange Error
Account or the routing broker's error account to liquidate the error
position in these circumstances.
---------------------------------------------------------------------------

    \17\ The Exchange notes that any profit/loss from liquidating
the error positions would belong to the Exchange (when an Exchange
Error Account is utilized) or the routing broker (when the routing
broker's error account is utilized). However, all or any portion of
such profits/losses may be subject to certain contractual
obligations pursuant to the routing service agreement between the
Exchange and the routing broker (e.g., used to offset certain
contractual obligations).
---------------------------------------------------------------------------

    By definition, an error position in an Exchange Error Account would
only include unmatched trades due to a routing error. In that regard,
paragraph (c) of the proposed rule would provide that the Exchange
shall not accept any positions in an Exchange Error Account from an
account of a Trading Permit Holder or permit any Trading Permit Holder
to transfer any positions from the Trading Permit Holder's account to
an Exchange Error Account.\18\
---------------------------------------------------------------------------

    \18\ The Exchange may address error positions under the proposed
rule that are caused by the errors noted above, but the Exchange may
not accept from a TPH positions that are delivered to the TPH
through the clearance and settlement process, even if those
positions may have been the result of an error. This would not
apply, however, to situations like the one described below in which
the Exchange incurred a position to settle a TPH purchase, as the
TPH did not yet have a position in its account as a result of the
purchase at the time of the Exchange's action, i.e., the Exchange's
action was necessary for the purchase to settle into the TPH's
account. Moreover, to the extent a TPH receives positions in
connection with an error or other technical or systems issue, the
TPH may seek to rely on other Exchange Rules such as Rule 6.42,
Exchange Liability, if it experiences a loss. For example, Rule 6.42
provides TPHs with the ability to file claims for negligent acts or
omissions of Exchange employees or for the failure of its systems or
facilities.
---------------------------------------------------------------------------

    To the extent a routing broker utilizes its own account to
liquidate error positions, paragraph (d) of the proposed rule provides
that the routing broker shall liquidate the error positions as soon as
practicable. The routing broker could determine to liquidate the
position itself or have a third party broker-dealer liquidate the
position on the routing broker's behalf. Paragraph (d) also provides
that the routing broker establish and enforce policies and procedures
reasonably designed to (i) adequately restrict the flow confidential
and proprietary information associated with the liquidation of the
error position

in accordance with Rule 6.36,\19\ and (ii) prevent the use of
information associated with other orders subject to the routing
services when making determinations regarding the liquidation of error
positions. In addition, paragraph (d) provides that the routing broker
shall make and keep records associated with the liquidation of such
routing broker error positions and shall maintain such records in
accordance with Rule 17a-4 under the Act.\20\
---------------------------------------------------------------------------

    \19\ Rule 6.36(b) provides that the Exchange shall establish and
maintain procedures and internal controls reasonably designed to
adequately restrict the flow of confidential and proprietary
information between the Exchange and the routing broker, and any
other entity, including any affiliate of the routing broker, and, if
the routing broker or any of its affiliates engages in any other
business activities other than providing routing services to the
Exchange, between the segment of the routing broker or affiliate
that provides the other business activities and the segment of the
routing broker that provides the routing services.
    \20\ 17 CFR 240.17a-4.
---------------------------------------------------------------------------

    Paragraph (e) of the proposed rule would provide that, to the
extent an Exchange Error Account is utilized to liquidate error
positions, the Exchange shall liquidate the error positions as soon as
practicable. In liquidating error positions in an Exchange Error
Account, the Exchange shall provide complete time and price discretion
for the trading to liquidate error positions in an Exchange Error
Account to a third-party broker-dealer and shall not attempt to
exercise any influence or control over the timing or methods of such
trading.\21\ Such a third-party broker-dealer may include a routing
broker not affiliated with the Exchange. Paragraph (e) would also
provide that the Exchange shall establish and enforce policies and
procedures reasonably designed to adequately restrict the flow of
confidential and proprietary information between the Exchange and the
third-party broker-dealer associated with the liquidation of the error
positions. Finally, paragraph (e) would provide that the Exchange shall
make and keep records to document all determinations to treat positions
as error positions under the rule (whether or not an Exchange Error
Account is utilized to liquidate such error positions), as well as
records associated with the liquidation of Exchange Error Account error
positions through a third-party broker-dealer, and shall maintain such
records in accordance with Rule 17a-1 under the Act.\22\
---------------------------------------------------------------------------

    \21\ This provision is not intended to preclude the Exchange
from providing the third-party broker with standing instructions
with respect to the manner in which it should handle all error
account transactions. For example, the Exchange might instruct the
broker to treat all orders as ``not held'' and to attempt to
minimize any market impact on the price of the option being traded.
    \22\ 17 CFR 240.17a-1.
---------------------------------------------------------------------------

    Examples of such error positions due to a routing error may
include, without limitation, the following:

    Example 4: Error positions may result from routed orders that
the Exchange or a routing broker attempts to cancel but that are
executed before the other exchange receives the cancellation message
or that are executed because the other exchange is unable to process
the cancellation message. Using the situation described in Example 1
above, assume the Exchange seeks to release the initial orders being
held by the Exchange because it is not receiving timely execution or
cancellation reports from another exchange. In such a situation,
although the Exchange would attempt to direct the routing broker to
cancel the routed corresponding orders, the routing broker may still
receive executions from the other exchange after connectivity is
restored, which would not then be allocated to TPHs because of the
earlier decision to release the affected initial orders. Instead,
the routing broker would post the positions into its account and
resolve the positions in the manner described above. Alternatively,
if the routing broker is unable to resolve the positions (or if the
error position is due to a system or technical issue on the
Exchange), the Exchange may determine to post the positions into an
Exchange Error Account and resolve the positions in the manner
described above.
    Example 5: Error positions may result from an order processing
issue at another exchange. For instance, if another exchange
experienced a systems problem that affects its order processing, it
may transmit back a message purporting to cancel a routed order, but
then subsequently submit an execution of that same order for
clearance and settlement. In such a situation, the Exchange would
not then allocate the execution to the TPH because of the earlier
cancellation message from the other exchange. Instead, the routing
broker would post the positions into its account and resolve the
positions in the manner described above. Alternatively, if the
routing broker is unable to resolve the positions, the Exchange may
determine to post the positions into an Exchange Error Account and
resolve the positions in the manner described above.
    Example 6: Error positions may result if a routing broker
receives an execution report from another exchange but does not
receive clearing instructions for the execution from the other
exchange. For instance, assume that a TPH sends the Exchange an
order to buy 10 ABC option contracts, which causes the routing
broker to send an order to another exchange that is subsequently
executed, cleared and closed out by that other exchange, and the
execution is ultimately communicated back to the TPH. On the next
trading day (T+1), if the other exchange does not providing clearing
instructions for that execution, the Exchange/routing broker would
still be responsible for settling that TPH's purchase and therefore
would be left with open positions.\23\ Instead, the routing broker
would post the positions into its account and resolve the positions
in the manner described above. Alternatively, if the routing broker
is unable to resolve the positions, the Exchange may determine to
post the positions into an Exchange Error Account and resolve the
positions in the manner described above.
---------------------------------------------------------------------------

    \23\ To the extent that a loss is incurred in covering the
position, the routing broker (on behalf of the Exchange or itself)
may submit a reimbursement claim to that other exchange.
---------------------------------------------------------------------------

    Example 7: Error positions may result from a technical or
systems issue that causes orders to be executed in the name of a
routing broker in connection with its routing services function that
are not related to any corresponding initial orders of TPHs. As a
result, the Exchange would not be able to assign any positions
resulting from such an issue to TPHs. Instead, the routing broker
would post the positions into its account and resolve the positions
in the manner described above. Alternatively, if the routing broker
is unable to resolve the positions, the Exchange may determine to
post the positions into an Exchange Error Account and resolve the
positions in the manner described above.\24\
---------------------------------------------------------------------------

    \24\ To the extent such positions are not related to the routing
broker's function as an Exchange routing broker (i.e., originating
with the Exchange), the Exchange would not post such positions to an
Exchange Error Account. The routing broker would resolve the error
positions itself.
---------------------------------------------------------------------------

    In each of the circumstances described above, the Exchange and its
routing broker may not learn about an error position until T+1. For
instance, the Exchange and its routing broker may not learn about an
error position until either (i) during the clearing process when a
routing destination has submitted to The Options Clearing Corporation
(``OCC'') a transaction for clearance and settlement for which the
Exchange/routing broker never received an execution confirmation, or
(ii) when another exchange does not recognize a transaction submitted
by a routing broker to OCC for clearance and settlement. Moreover, the
affected TPHs' trade may not be nullified absent express authority
under Exchange Rules.\25\ As such, the Exchange believes that use of a
routing broker error account (or an Exchange Error Account, as
applicable) to liquidate the error positions that may occur in these
circumstances is reasonable and appropriate in these circumstances.
---------------------------------------------------------------------------

    \25\ See, e.g., Rule 6.15, Obvious Error and Catastrophic
Errors.
---------------------------------------------------------------------------

2. Statutory Basis
    The proposed rule change is consistent with Section 6(b) of the Act
\26\ in general and furthers the objectives of Section 6(b)(5) of the
Act \27\ in particular, which requires that the rules of an exchange be
designed to promote

just and equitable principles of trade, to prevent fraudulent and
manipulative acts, to remove impediments to and to 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 that this proposed rule change is in keeping with those
principles since the Exchange's ability to cancel and release orders
during a technical or systems issue and to maintain an Exchange Error
Account facilitates the smooth and efficient operation of the market.
Specifically, the Exchange believes that allowing the Exchange to
cancel and release orders during a technical or systems issue (and
permitting its routing brokers to cancel orders pursuant to standing or
specific instructions or as otherwise permitted under Exchange Rules)
would allow the Exchange to maintain fair and orderly markets.
Moreover, the Exchange believes that allowing a routing broker to
assume error positions in its own account(s) to liquidate those
positions (or allowing the Exchange to assume error positions in an
Exchange Error Account to liquidate those positions in instances where
a routing broker is unable to do so or where the routing error is due
to a technical or systems issue at the Exchange) subject to the
conditions set forth in proposed Rule 6.37 would be the least
disruptive means to address these errors. Overall, the proposed new
rule is designed to ensure full trade certainty to market participants
and to avoid disrupting the clearance and settlement process. The
proposed new rule is also designed to provide a consistent methodology
for handling error positions in a manner that does not discriminate
among TPHs. The proposed new rule is also consistent with Section 6 of
the Act insofar as it would require the Exchange (and its routing
brokers, as applicable) to establish controls to restrict the flow of
any confidential information associated with the liquidation of error
positions.
---------------------------------------------------------------------------

    \26\ 15 U.S.C. 78f(b).
    \27\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

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 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

    The Exchange neither solicited nor received comments on the
proposal.

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-C2-2012-038 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-C2-2012-038. 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, on business days
between the hours of 10 a.m. and 3 p.m., located at 100 F Street NE.,
Washington, DC 20549-1090. 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 available publicly. All
submissions should refer to File Number SR-C2-2012-038 and should be
submitted on or before December 17, 2012.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\28\
---------------------------------------------------------------------------

    \28\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2012-28592 Filed 11-23-12; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 78, Number 233 (Wednesday, December 4, 2013)]
[Notices]
[Pages 72893-72894]
[FR Doc No: 2013-28990]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2013-N-0579]

Agency Information Collection Activities; Submission for Office
of Management and Budget Review; Comment Request; Biological Products:
Reporting of Biological Product Deviations and Human Cells, Tissues,
and Cellular and Tissue-Based Product Deviations in Manufacturing;
Forms FDA 3486 and 3486A

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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

SUMMARY: The Food and Drug Administration (FDA) is announcing that a
proposed collection of information has been submitted to the Office of
Management and Budget (OMB) for review and clearance under the
Paperwork Reduction Act of 1995.

DATES: Fax written comments on the collection of information by January
3, 2014.

ADDRESSES: To ensure that comments on the information collection are
received, OMB recommends that written comments be faxed to the Office
of Information and Regulatory Affairs, OMB, Attn: FDA Desk Officer,
FAX:<PHONE_NUMBER>, or emailed to<EMAIL_ADDRESS>All
comments should be identified with the OMB control number 0910-0458.
Also include the FDA docket number found in brackets in the heading of
this document.

FOR FURTHER INFORMATION CONTACT: FDA PRA Staff, Office of Operations,
Food and Drug Administration, 1350 Piccard Dr., PI50-400B, Rockville,
MD 20850<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: In compliance with 44 U.S.C. 3507, FDA has
submitted the following proposed collection of information to OMB for
review and clearance.

Biological Products: Reporting of Biological Product Deviations and
Human Cells, Tissues, and Cellular and Tissue-Based Product Deviations
in Manufacturing; Forms FDA 3486 and 3486A--(OMB Control Number 0910-
0458)--Extension

    Under section 351 of the Public Health Service Act (PHS Act) (42
U.S.C. 262), all biological products, including human blood and blood
components, offered for sale in interstate commerce must be licensed
and meet standards, including those prescribed in the FDA regulations
designed to ensure the continued safety, purity, and potency of such
products. In addition, under section 361 of the PHS Act (42 U.S.C.
264), FDA may issue and enforce regulations necessary to prevent the
introduction, transmission, or spread of communicable diseases between
the States or possessions or from foreign countries into the States or
possessions. Further, the Federal Food, Drug, and Cosmetic Act (the
FD&C Act) (21 U.S.C. 351) provides that drugs and devices (including
human blood and blood components) are adulterated if they do not
conform with current good manufacturing practice (CGMP) assuring that
they meet the requirements of the FD&C Act. Establishments
manufacturing biological products, including human blood and blood
components, must comply with the applicable CGMP regulations (parts
211, 606, and 820 (21 CFR parts 211, 606, and 820)) and current good
tissue practice (CGTP) regulations (part 1271 (21 CFR part 1271)) as
appropriate. FDA regards biological product deviation (BPD) reporting
and human cells, tissues and cellular and tissue-based products (HCT/P)
deviation reporting to be an essential tool in its directive to protect
public health by establishing and maintaining surveillance programs
that provide timely and useful information.
    Section 600.14 (21 CFR 600.14), in brief, requires the manufacturer
who holds the biological product license for other than human blood and
blood components, and who had control over a distributed product when
the deviation occurred, to report to the Center for Biologics
Evaluation and Research (CBER) or to the Center for Drugs Evaluation
and Research (CDER) as soon as possible, but at a date not to exceed 45
calendar days after acquiring information reasonably suggesting that a
reportable event has occurred. Section 606.171, in brief, requires
licensed manufacturers of human blood and blood components, including
Source Plasma, unlicensed registered blood establishments, and
transfusion services, who had control over a distributed product when
the deviation occurred, to report to CBER as soon as possible but at a
date not to exceed 45 calendar days after acquiring information
reasonably suggesting that a reportable event has occurred. Similarly,
Sec.  1271.350(b), in brief, requires HCT/P establishments that
manufacture non-reproductive HCT/Ps described in Sec.  1271.10 to
investigate and report to CBER all HCT/P deviations

relating to a distributed HCT/P that relates to the core CGTP
requirements, if the deviation occurred in the establishment's facility
or in a facility that performed a manufacturing step for the
establishment under contract, agreement or other arrangement, and to
report such HCT/P deviations within 45 days of the discovery of the
event. Form FDA 3486 is used to submit BPD reports and HCT/P deviation
reports.
    Respondents to this collection of information are (1) Licensed
manufacturers of biological products other than human blood and blood
components; (2) licensed manufacturers of blood and blood components
including Source Plasma; (3) unlicensed registered blood
establishments; (4) transfusion services; and (5) establishments that
manufacture non-reproductive HCT/Ps regulated solely under section 361
of the PHS Act as described in Sec.  1271.10. The number of respondents
and total annual responses are based on the BPD reports and HCT/P
deviation reports FDA received in fiscal year 2012. The number of
licensed manufacturers and total annual responses under Sec.  600.14
include the estimates for BPD reports submitted to both CBER and CDER.
Based on the information from industry, the estimated average time to
complete a deviation report is 2 hours, which includes a minimal one-
time burden to create a user account for those reports submitted
electronically. The availability of the standardized report form, Form
FDA 3486, and the ability to submit this report electronically to CBER
(CDER does not currently accept electronic filings) further streamlines
the report submission process.
    CBER developed a Web-based addendum to Form FDA 3486 (Form FDA
3486A) to provide additional information when a BPD report has been
reviewed by FDA and evaluated as a possible recall. The additional
information requested includes information not contained in the Form
FDA 3486 such as: (1) Distribution pattern; (2) method of consignee
notification; (3) consignee(s) of products for further manufacture; (4)
additional product information; (5) updated product disposition; and
(6) industry recall contacts. This information is requested by CBER
through email notification to the submitter of the BPD report. This
information is used by CBER for recall classification purposes. At this
time, Addendum 3486A is being used only for those BPD reports submitted
under Sec.  606.171. CBER estimates that 5 percent of the total BPD
reports submitted to CBER under Sec.  606.171 would need additional
information submitted in the addendum. CBER further estimates that it
would take between 10 to 20 minutes to complete the addendum. For
calculation purposes, CBER is using 15 minutes.
    Activities such as investigating, changing standard operating
procedures or processes, and followup are currently required under 21
CFR part 211 (approved under OMB control number 0910-0139), part 606
(approved under OMB control number 0910-0116), part 820 (approved under
OMB control number 0910-0073), and part 1271 (approved under OMB
control number 0910-0543) and, therefore, are not included in the
burden calculation for the separate requirement of submitting a
deviation report to FDA.
    In the Federal Register of June 5, 2013 (78 FR 33846), FDA
published a 60-day notice requesting public comment on the proposed
collection of information. No comments were received.
    FDA estimates the burden of this collection of information as
follows:

                                                     Table 1--Estimated Annual Reporting Burden \1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                Number of                       Average
                      21 CFR Section                        Form FDA No.      Number of     responses per   Total annual     burden per     Total hours
                                                                             respondents     respondent       responses       response
--------------------------------------------------------------------------------------------------------------------------------------------------------
600.14...................................................            3486              91            7.71             702           2.0            1,404
606.171..................................................            3486           1,679           32.73          54,947           2.0          109,894
1271.350(b)..............................................            3486              94            2.66             250           2.0              500
1271.350(b)..............................................       \2\ 3486A              84           32.70           2,747           0.25             687
                                                          ----------------------------------------------------------------------------------------------
    Total................................................                                                                                112,485
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ There are no capital costs or operating and maintenance costs associated with this collection of information.
\2\ Five percent of the number of respondents (1,679 x 0.05 = 84) and total annual responses to CBER (54,947 x 0.05 = 2,747).

    Dated: November 27, 2013.
Leslie Kux,
Assistant Commissioner for Policy.
[FR Doc. 2013-28990 Filed 12-3-13; 8:45 am]
BILLING CODE 4160-01-P


[Federal Register Volume 85, Number 128 (Thursday, July 2, 2020)]
[Notices]
[Pages 39959-39960]
[FR Doc No: 2020-14232]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-89165; File No. SR-IEX-2019-15]

Self-Regulatory Organizations; Investors Exchange LLC; Notice of
Designation of Longer Period for Commission Action on Proceedings To
Determine Whether To Approve or Disapprove a Proposed Rule Change To
Add a New Discretionary Limit Order Type Called D-Limit

June 26, 2020.
    On December 16, 2019, the Investors Exchange LLC (``IEX'' or the
``Exchange'') filed with the Securities and Exchange Commission
(``Commission''), pursuant to Section 19(b)(1) of the Securities
Exchange Act of 1934 (``Exchange Act'') \1\ and Rule 19b-44
thereunder,\2\ a proposed rule change to adopt a new order type, the
Discretionary Limit order (``D-Limit''). The proposed rule change was
published for comment in the Federal Register on December 30, 2019.\3\
On February 12, 2020, the Commission designated a longer period within
which to approve the proposed rule change, disapprove the proposed rule
change, or institute proceedings to determine whether to disapprove the
proposed

rule change.\4\ On March 27, 2020, the Commission instituted
proceedings to determine whether to approve or disapprove the proposed
rule change.\5\
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-44.
    \3\ See Securities Exchange Act Release No. 87814 (December 20,
2019), 84 FR 71997 (December 30, 2019) (``Notice''). Comments on the
proposed rule change can be found at https://www.sec.gov/comments/sr-iex-2019-15/sriex201915.htm.
    \4\ See Securities Exchange Act Release No. 88186 (February 12,
2020), 85 FR 9513 (February 19, 2020).
    \5\ See Securities Exchange Act Release No. 88501 (March 27,
2020), 85 FR 18612 (April 2, 2020). Comments in response to the
proceedings can be found at https://www.sec.gov/comments/sr-iex-2019-15/sriex201915.htm.
---------------------------------------------------------------------------

    Section 19(b)(2) of the Act \6\ provides that, after initiating
proceedings, the Commission shall issue an order approving or
disapproving the proposed rule change not later than 180 days after the
date of publication of notice of filing of the proposed rule change.
The Commission may extend the period for issuing an order approving or
disapproving the proposed rule change, however, by not more than 60
days if the Commission determines that a longer period is appropriate
and publishes the reasons for such determination. The proposed rule
change was published for notice and comment in the Federal Register on
December 30, 2019.\7\ June 27, 2020 is 180 days from that date, and
August 26, 2020 is 240 days from that date.
---------------------------------------------------------------------------

    \6\ 15 U.S.C. 78s(b)(2).
    \7\ See Notice, supra note 3.
---------------------------------------------------------------------------

    The Commission finds it appropriate to designate a longer period
within which to issue an order approving or disapproving the proposed
rule change so that it has sufficient time to consider the proposed
rule change, the issues raised in the comment letters that have been
submitted in connection therewith, and the Exchange's response to
comments. Accordingly, the Commission, pursuant to Section 19(b)(2) of
the Act,\8\ designates August 26, 2020 as the date by which the
Commission should either approve or disapprove the proposed rule change
(File No. SR-IEX-2019-15).
---------------------------------------------------------------------------

    \8\ 15 U.S.C. 78s(b)(2).
    \9\ 17 CFR 200.30-3(a)(57).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\9\
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-14232 Filed 7-1-20; 8:45 am]
BILLING CODE 8011-01-P