UNITED STATES ENVIR ONMENTAL PROTECTION AGENCY

OFFICE OF POLLUTION PR EVENTION AND TOXICS

REGULATION OF NEW CHEMICAL SUBSTANCE

PENDING DEVELOPMENT OF INFORMATION

In the matter of: ) Premanufacture Notice Number: ) ) ) ) ) ) ) ) ) ) Southwest Nanotechnologi es, Inc. ) P-11-0339 ) ) ) ) ) ) ) ) ) ) ) ) ) )

Consent Order and Determinations Supporting Consent Order

_______________________________________________________________________ii

TABLE OF CONTENTS

Preamble

I. Introduction II. Summary of Terms of the Order

III. Contents of PMN

IV. EPA’s Assessment of Risk

V. EPA’s Conclusions of Law VI. Information Required to Ev aluate Human Health Effects

Consent Order I. Scope of Applicability and Exemptions II. Terms of Manufacture, Impor t, Processing, Distribution in Commerce, Use, and Disposal Pending Submission and Evaluation of Information III. Recordkeeping IV. Requests for Pre-Inspection Information V. Successor Liability Upon Transfer of Consent Order

VI. Modification and Revocation of Consent Order

VII. Effect of Consent Order

Attachment A - Definitions

Attachment B - Notice of Transfer of Consent Orderiii



## PREAMBLE

I. INTRODUCTION Under the authority of § 5(e) of the Toxic Substance Control Act (“TSCA”) (15 U.S.C. 2604(e)), the Environmental Protection Agency (“EP A” or “the Agency”) issues the attached Order, regarding a premanufacture notice (“ PMN”) P-11-0339 for multi-wall carbon nanotubes (MWCNT) submitted by Southwest Nanotechnologies, In c. (“the Company”), to take effect upon expiration of the PMN review period. The Company submitted the PMN to EPA pursuant to section 5(a)(1) of TSCA and 40 CFR Part 720.

Under § 15 of TSCA, it is unlawful for any person to fail or refuse to comply with any provision of § 5 or any order issu ed under § 5. Violators may be subject to various penalties and

to both criminal and civil liabil ity pursuant to § 16, and to specific enforcement and seizure pursuant to § 17. In addition, chemical substance subject to an Order i ssued under § 5 of TSCA, such as this one, are subject to th e § 12(b) export notice requirement.

II. SUMMARY OF TERMS OF THE ORDER

The Consent Order for this PMN s ubstance requires the Company to: (a) submit to EPA certain health test data within a specified time period; (b) provide workers with impervious glove s and full body clothing impervious to the PMN substance; (c) provide workers with a NIOSH–approve d full-face respirator with N -100, R-100, or P-100 cartridges when exposed by inhalation in the work area; (d) use the PMN substance only: (1) as an additive in resins, thermoplastics, and elastomers foriv

mechanical reinforcement and enhanced electrical performance, (2) as a coating on metallic foils for battery applications, or (3) in the manufacture of fabric composites; (e) distribute the PMN substance only to a person who agrees to follow the same restrictions (except the testing requirements); (f) comply with the No Release to Water provision. Only limited releases to water are allowed from the [ ] process; and (g) maintain certain records.

III. CONTENTS OF PMN By signing this Order, the Company represen ts that it has carefully reviewed this document and hereby agrees that all information herein that is claimed as confidential by the Company (per section 14 of TSCA, 40 CFR Part 720 Subpart E, and 40 CFR Part 2) is correctly identified within brackets and that any informa tion that is not bracket ed is not claimed as

confidential. To make this document availabl e for public viewing, EPA will remove only the

information contained within the brackets.

Confidential Business Information Claims (Bracketed in the Preamble and Order) : impurities, byproducts, production volume, proce ss description, environmental release and disposal, numerous attachments except MSDS, effluent data, and wate r treatability reports. Generic Chemical Identity: Multi-wall carbon nanotubes (“MWCNT”).

Use : (1) as an additive in resins, th ermoplastics, and elastomers for

mechanical reinforcement and enhanced electrical performance, (2) as a coating on metallic foils for battery applications, or (3) in the manufacture of fabric composites.v

. Maximum 12-Month Production Volume : [ ] kg/yr.

Test Data Submitted with PMN : none

IV. EPA’S ASSESSMENT OF RISK The following are EPA’s predictions regard ing the probable human toxicity, human exposure and environmental releas e of the PMN substance, based on the information currently available to the Agency. Human Health Effects Summary: Absorption of the PMN substance is expected to be poor via all routes of exposure based on test

data for chemicals with similar molecular structures and chemicals with similar physical/chemical properties. Toxicological Endpoints of Concern: there is concern for lung effects based on the EPA Respirable, Poorly Soluble Particulates chemical category. See www.epa.gov/oppt/newchems/pubs/cat02.htm#Respirable. Based on analogy to other respirable, poorly so luble particles with diameter of less than 10 microns, there is potential risk for adverse lung effects in cluding cancer, lung fibrosis, lung inflammation and systemic effects, incl uding immunotoxicity, if inhaled. The PMN substance may induce gene mutation in bacteria l cells and in mammalian cells in culture and in

vivo , chromosomal effects in mammalian cells in culture and in vivo , and DNA effects in

mammalian cells in culture and in vivo

. There is concern that the PMN substance may disperse/disaggregate in the lung fluids to nanos cale particles. Hence, th ere is a concern forvi

systemic effects of nanoparticle s beyond the lungs, including adve rse cardio-vascular effects. Based on published scientific data, some nanopart icles appear to have immunotoxicity hazard potential. Pulmonary exposure to these PMNs may lead to toxicity to alveolar macrophage, impaired clearance of inhaled bacteria and possible systemic immunosuppression. Occupational Exposure:

Scenario # of sites # of workers Releases d/y Inhalation mg/d Dermal m/d Manufacturing 1 [ ] 1 16 365 3.5 2200 Manufacturing 2 [ ] 1 16 inhalation, 16 dermal 365 0.066 350 Manufacturing 3 [ ] 1 16 365 0.06 0 Manufacturing 4 [ ] 1 18 250 0.0066 0 Process 1a [ ] 1 3 112 8 3100 Use 1a [ ] 1 3 50 0 0 Process/Use 1b [ ] 1 3 16 2.4 3100

Process/Use 1c [ ] 1 3 32 8 3100

Process/Use 2 [ ] 1 3 250 4.1 3100 Process 3 [ ] 1 - 50 5.2 3100

Estimates/Summary : The major health concerns for the PMN are for potential pulmonary toxicity, fibrosis and cancer to workers exposed vi a the inhalation route. There are also data suggesting that pulmonary deposition of some nanoparticles, including carbon nanotubes, may induce cardiovascular toxicity when inhaled. Th ere are possible concerns for immunotoxicity, oncogenicity and mutagenicity based on analogs.

Risk to Workers: EPA finds potential risk to workers from inhalation and dermal exposures.vii

Consumer Exposure : Consumer exposure is not expected because PMN is incorporated into

articles.

V. EPA’S CONCLUSIONS OF LAW The following findings constitute th e basis of the Consent Order: (a) EPA is unable to determine th e potential for human health e ffects from exposure to the PMN substance. EPA therefore concludes, pursu ant to § 5(e)(1)(A)(i) of TSCA, that the information available to the Agency is insuffici ent to permit a reasoned evaluation of the human

health effects of the PMN substance. (b) In light of the potential risk to human h ealth posed by the uncont rolled manufacture, import, processing, distribution in commerce, us e, and disposal of the PMN substance, EPA has concluded, pursuant to § 5(e)(1)(A)(ii )(I) of TSCA, that unc ontrolled manufacture, import, processing, distribution in commerce, us e, and disposal of the PMN substance may present an unreasonable risk of injury to human health.

VI

. INFORMATION REQUIRED TO EVALUATE HEALTH EFFECTS Triggered Testing. The Order prohibits the Company from exceeding a specified production time period unless the Company submits the information described in the Testing

section of this Order in accord ance with the conditions specifie d in the Testing section.

## CONSENT ORDER

I. SCOPE OF APPLICABILITY AND EXEMPTIONS (a) Scope . The requirements of this Order apply to all commercial manufacturing, processing, distribution in commerce, use and disposal of the chemical substance described as multi-wall carbon nanotubes (“MWCNT”), (P-11- 0339) (“the PMN substance”) in the United States by Southwest Nanotechnologies, Inc. (“the Company”), except to the extent that those activities are exempted by paragraph (b).

(b) Exemptions . Manufacturing, processing, distribution in commerce, use and disposal of the PMN substance are exempt from the requirements of this Order (except the requirements in the Recordkeeping and Successor Liability Upon Transf er Of Consent Order sections) only to the extent that (1) these activities are conducted in full compliance w ith all applicable requirements of the following exemptions, and (2) such compliance is documented by appropriate recordkeeping as required in the Reco rdkeeping section of this Order. (1) Completely Reacted (Cured) . The requirements of this Order do not apply to quantities of the PMN substance that have been (i ) completely reacted (cured); (ii) incorporated or embedded into a polymer matrix that itself has been reacte d (cured); (iii) embedded in a permanent solid polymer form that is not in tended to undergo further processing except for mechanical processing; or (iv) incorporated into an article as defined at 40 CFR 720.3(c). (2) Export . Until the Company begins commerci al manufacture of the PMN substance2 for use in the United States, the requirements of this Order do not apply to manufacture, processing or distribution in commerce of the PM N substance solely for export in accordance with TSCA §12(a) and (b), 40 CFR 720.3(s) and 40 CFR Part 707. However, once the Company begins to manufacture the PMN substance for use in the United States, no further activities by the Company involving the PMN substance are exem pt as “solely for export” even if some

amounts of the PMN substance are la ter exported. At that point, the requirements of this Order apply to all activities associated with the PMN substance while in the territory of the United States. Prior to leaving U.S. te rritory, even those quant ities or batches of the PMN substance that are destined for export are subj ect to terms of the Order, and count towards any production volume test triggers in the Tes ting section of this Order. (3) Research & Development (“R&D”) . The requirements of this Order do not apply to manufacturing, processing, distribu tion in commerce, use and disposal of the PMN substance in small quantities solely for rese arch and development in accord ance with TSCA §5(h)(3), 40 CFR 720.3(cc), and 40 CFR 720.36. (4) Byproducts . The requirements of this Order do not apply to the PMN substance when they are produced, without separate commerc ial intent, only as “byp roducts” as defined at 40 CFR 720.3(d) and in compliance with 40 CFR 720.30(g). (5) No Separate Commercial Purpose . The requirements of this Order do not apply to the PMN substance when they are manufactured, pursuant to any of the exemptions in 40 CFR 720.30(h), with no commercial purpose separate from the substance, mixture, or article of which they are a part.

(c) Automatic Sunset . If the Company has obtained for the PMN substance a Test Market3 Exemption (“TME”) under TSCA §5(h)(1) and 40 CFR 720.38 or a Low Volume Exemption (“LVE”) or Low Release and Exposure Exem ption (“LoREx”) under TSCA §5(h)(4) and 40 CFR 723.50(c)(1) and (2) respectively, any such exemption is automatically rendered null and

void as of the effective date of this Consent Order.

II. TERMS OF MANUFACTURE, IMPORT, PROCESSING,

DISTRIBUTION IN COMMERCE, USE, AND DISPOSAL PENDING SUBMISSION AND EVALUATION OF INFORMATION

PROHIBITION The Company is prohibited from manufactur ing, importing, processing, distributing in commerce, using, or disposing of the PMN subs tance in the United States, for any nonexempt commercial purpose, pending the development of information necessary for a reasoned

evaluation of the human health e ffects of the substance, and the completion of EPA’s review of, and regulatory action based on, that informati on, except in accordance with the conditions

described in this Order.

TESTING (a) Section 8(e) Reporting. Reports of information on th e PMN substance which reasonably supports the conclusion that the PMN substance presen ts a substantial risk of injury to health or the environment and which is required to be re ported under TSCA section 8(e) shall reference the appropriate PMN identification number for th is substance and contain a statement that the substance is subject to this Consent Order. Additional info rmation regarding section 8(e) reporting requirements can be found at www.epa.gov/oppt/tsca8e

.4

(b) Notice of Study Scheduling. The Company shall notify, in writing, the EPA Laboratory Data Integrity Branch (2225A), Office of En forcement and Compliance Assurance, U.S. Environmental Protection Agency, 1200 Pennsyl vania Avenue, N.W., Washington, D.C. 20460, of the following information within 10 days of scheduling any study required to be performed pursuant to this Order, or within 15 days after the effective date of this Order, whichever is later: (1) The date when the study is scheduled to commence; (2) The name and address of the labor atory which will conduct the study; (3) The name and telephone number of a pers on at the Company or the laboratory whom EPA may contact regarding the study; and (4) The appropriate PMN identification numbe rs for the substance and a statement that the substance is subject to this Consent Order.

(c) Good Laboratory Practice St andards and Test Protocols. Each study required to be performed pursuant to this Order must be conducted according to TSCA Good Laboratory

Practice Standards at 40 CFR Part 792 and using methodologies generally accepted in the relevant scientific community at the time the study is initiated. Before starting to conduct any such study, the Company must obtain approval of test protocols, in cluding selecti on of the test substance, from EPA by submitting written protocol s. EPA will respond to the Company within 4 weeks of receiving the written protocols. Pub lished test guidelines specified in paragraph (d) provide general guidance for development of test protocols, but are not themselves acceptable protocols. Approval of the test protocol doe s not mean pre-acceptance of test results.5 (d) Triggered Testing Requirements. (1) 90-day inhalation toxicity test. The Company is prohibi ted from manufacturing or importing the PMN substance beyond the sp ecified time period, unless the Company conducts the following test on the PMN subs tance and submits all final reports and underlying data in accordance with the conditions sp ecified in this Testi ng section. The time

limit shall be calculated starti ng two years from the expiratio n of the PMN review period.

Production Limit Test Guideline [ ] year(s) and [ ] 90-day inhalation toxicity OPPTS 870.3465 month(s) study on rats with a post-exposur e or OECD 413 observation period of up to 3 months, incl uding bronchoalveol ar lavage fluid (“BALF”) analysis, a determination of cardiovascul ar toxicity (clinically-based blood/plasma protein analyses), and histopathology of the heart along with data on pulmonary deposition, clearance half-life (biopersistence) and translocation of the test material and particle size distributions prior to, and during, the inhalation tests

.

If an appropriate adaptation of the 90-day inhalation study for the evaluation of the PMN substance is not developed within two years afte r the Company signs this Consent Order, or if the Company commits to an appropriate alternativ e program to test the substance, the Company may petition EPA, pursuant to Section VI of this Consent Order, to modify the above testing requirement. If a consortium of companies co mmits to test represen tative substances for subchronic mammalian toxicity, EPA will consid er waiving the above testing requirement. (2) Physical/chemical properties. If the Company owns or controls any site in the

United States where the PMN substance is manufact ured, processed or used, the Company must6 submit the following material characterization data within 9 months after the expiration of the PMN review period: a) Tube length, tube diameter, and number of walls of th e commercially manufactured PMN substance b) Ring size/connectivity – (are 5,6, &/or 7 member rings presen t or any larger system) c) Alignment of long axis – any bran ching, buckling, or bending on any of the tubes (even if only a small amount) d) Deformities – any deformities observed (e.g., bumps, gaps , etc. in the tubes) e) Particle size dist ribution that include s both individual PMN substance and its agglomerates as used in the workpl ace at sites controlled by the Company where the PMN substance is processed or used : TEM (transmission electron microscope), SEM (scanning electron microscope) using a dry particle counting method, and no counting after dispersion in a solu tion and evaporating solvent). Description of the physical-chemical properties of the material tested should take into

consideration the characterizations identified in the “Guidance Manua l for the Testing of

Manufactured Nanomaterials: OE CD’s Sponsorship Programme.”

(e) Test Reports. The Company shall: (1) conduct each study in good faith, with due care, and in a scientifically valid manner; (2) promptly fu rnish to EPA the results of any interim phase of each study; and (3) submit, in triplicate (with an additional sanitized copy, if confidential business information is involved), the final report of each stu dy and all underlying data (“the report and data”) to EPA no later than 14 weeks pr ior to exceeding the applicable time limit. The final report shall contain th e contents specified in 40 CFR 792.185. Underlying data shall be submitted to EPA in accordance with the applic able “Reporting”, “Data and Reporting”, and “Test Report” subparagraphs in th e applicable test guidelines. However, for purposes of this Consent Order, the word “should” in those subparagr aphs shall be interpreted to mean “shall” to

make clear that the submission of such inform ation is mandatory. EPA will not require the

submission of raw data such as slides and labor atory notebooks unless if EPA finds, on the basis7 of professional judgment, that an adequate ev aluation of the study cannot take place in the

absence of these items.

(f) Testing Waivers. The Company is not required to c onduct a study specified in paragraph (d) of this Testing section if notif ied in writing by EPA that it is unnecessary to conduct that study.

(g) Equivocal Data. If EPA finds that the data generate d by a study are scientifically equivocal, the Company may continue to manufacture and import the PMN substance beyond the applicable production limit. To seek relief from any othe r restrictions of this Order, the Company may make a second attempt to obtain unequivocal da ta by reconducting the study under the conditions specified in paragraphs (b), (c), and (e)(1) and (2). The testing requirements may be modified, as necessary to permit a reasoned evaluation of th e risks presented by the PMN substance, only by mutual consent of EPA and the Company.

(h) EPA Determination of Invalid Data. (1) Except as described in subparagraph (h)(2) , if, within 6 weeks of EPA’s receipt of a test report and data, the Company receives written notice that EPA fi nds that the data generated by a study are scientifically invali d, the Company is prohibited from further manufacture and import of the PMN substance beyond the applicable production limit. (2) The Company may continue to manufact ure and import the PMN substance beyond the applicable production limit only if so notified, in writing, by EPA in response to the Company’s compliance with either of the following subparagraphs (h)(2)(i ) or (h)(2)(ii). (i) The Company may reconduc t the study in compliance with paragraphs (b), (c),8 and (e)(1) and (2). If there is sufficient time to reconduct the study and submit the report and data to EPA at least 14 weeks before exceeding the production limit as required by subparagraph (e)(3), the Company shall comply with subparagraph (e)(3) . If there is insufficient time for the Company to comply with subparagraph (f)(3), the Co mpany may exceed the production limit and shall submit the report and data in triplicate to EPA with in a reasonable period of time, all as specified by EPA in the notice described in subparagraph (h)(1). EPA will respond to the Company, in writing, within 6 weeks of receiving th e Company’s report and data. (ii) The Company may, within 4 weeks of receiving from EPA the notice described in subparagraph (h)(1), submit to EPA a written report refuting EPA’s finding. EPA will respond to the Company, in writing, within 4 w eeks of receiving the Company’s report.

(i) Company Determination of Invalid Data. (1)Except as described in subparagraph (i)(2), if the Company becomes aware that circumstances clearly beyond the control of the Company or laboratory will prevent, or have prevented, development of scientif ically valid data under the conditi ons specified in paragraphs (c) and (e), the Company remains prohibited from further manufacture and import of the PMN substance beyond the appli cable production limit. (2) The Company may submit to EPA, within 2 weeks of first becoming aware of such circumstances, a written statement explaining w hy circumstances clearly beyond the control of the Company or laboratory will cause or have caused de velopment of scientifically invalid data. EPA will notify the Company of its response, in writ ing, within 4 weeks of receiving the Company’s report. EPA’s written response may either: (i) allow the Company to continue to manufacture and import the PMN substance9 beyond the applicable production limit, or (ii) require the Company to continue to conduct, or to reconduct, the study in compliance with paragraphs (b), (c), and (e)(1) a nd (2). If there is sufficient time to conduct or reconduct the study and submit the report and data to EPA at least 14 weeks before exceeding the production limit as required by subparagraph (e)(3), the Company shall comply with subparagraph (e)(3). If there is insufficien t time for the Company to comply with subparagraph (e)(3), the Company may exceed the production limit and shall s ubmit the report and data in triplicate to EPA within a reasonable period of time, all as specifi ed by EPA in the notice de scribed in subparagraph (i)(2). EPA will respond to the Company, in wr iting, within 6 weeks of receiving the Company’s report and data, as to whether the Company may continue to manufacture and import beyond the applicable production limit.

(j) Unreasonable Risk. (1) EPA may notify the Company in writing that EPA finds that the data generated by a study are scientifically valid and un equivocal and indicate that, despite the terms of this Order, the PMN substance will or may present an unreasonable risk of injury to human health or the environment. EPA’s notice may specify that th e Company undertake certain actions concerning further testing, manufacture, import, processing, distribution, use and/or disposal of the PMN substance to mitigate exposures to or to be tter characterize the risks presented by the PMN substance. Within 2 weeks from receipt of such a notice, the Company must cease all manufacture, import, processing, distribution, us e and disposal of the PMN substance, unless

either: (2) within 2 weeks from receipt of the notice described in su bparagraph (j)(1), the10 Company complies with such requireme nts as EPA’s notice specifies; or (3) within 4 weeks from receipt of the notice described in su bparagraph (j)(1), the Company submits to EPA a written report refuting EPA’s finding and/or the appropriateness of any additional requirements imposed by EPA. The Company may continue to manufacture, import, process, distribute, use and dispose of th e PMN substance in accord ance with the terms of this Order pending EPA’s response to the Compa ny’s written report. EPA will respond to the Company, in writing, within 4 weeks of receiving the Company’s report. Within 2 weeks of receipt of EPA’s written response, the Company sh all comply with any requirements imposed by EPA’s response or cease all manufacture, import, processing, distribution, us e and disposal of the

PMN substance.

(k) Other Requirements. Regardless of the satisfaction of any other conditions in this Testing section, the Company must continue to obey all the terms of this Consent Order until otherwise notified in writing by EPA. The Company may, based upon submitted test data or other relevant information, petition EPA to modify or revoke provi sions of this Consent Order pursuant to Part

VI of this Consent Order.

PROTECTION IN THE WORKPLACE (a) Establishment of Program. During manufacturing, processing, and use of the PMN substance at any site controlled by the Co mpany (including any associated packaging and storage and during any cleaning or maintenance of equipment asso ciated with the PMN substance), the Company must establish a program whereby: (1) General Dermal Protection. Each person who is reasonably likely to be dermally11 exposed in the work area to the PMN substan ce through direct handling of the substance or through contact with equipment on which the subs tance may exist, or because the substance

becomes airborne in a form liste d in subparagraph (a)(5) of this section, is provided with, and is required to wear, personal protect ive equipment that provides a ba rrier to prevent dermal exposure to the substance in these specific work areas. Each such item of pers onal protective equipment must be selected and used in accordance with the Occupational Safety and Health Administration (OSHA) dermal protection requi rements at 29 CFR 1910.132, 1910.133, and 1910.138. (2) Specific Dermal Protective Equipment . The dermal personal protective equipment required by subparagraph (a)(1) of th is section must include, but is not limited to, the following

items: (i) Gloves impervious to the PMN substance (ii) Full body clothing imper vious to the PMN substance (3) Demonstration of Imperviousness. The Company is able to demonstrate that each item of chemical protective clothing selected, in cluding gloves, provides an impervious barrier to prevent dermal exposure during normal and expected duration and conditions of exposure within the work area by any one or a combination of the following: (i) Permeation Testing . Testing the material used to make the chemical protective clothing and the construction of the clothing to establish that the protective clothing will be impervious for the expected dura tion and conditions of exposure. The testing must subject the chemical protective clothing to the expected conditions of exposur e, including the likely

combinations of chemical substance to which th e clothing may be exposed in the work area. Permeation testing shall be conducted according to the American Society fo r Testing and Materials (“ASTM”) F739 “Standard Test Method for Resi stance of Protective Clothing materials to12 Permeation by Liquids or Gases.” Results shall be recorded as a cumulative permeation rate as a function of time, and shall be documented in accordance with ASTM F739 using the format specified in ASTM F1194-89 “G uide for Documenting the Results of Chemical Permeation Testing on Protective Clothing Mate rials.” Gloves may not be used for a time period longer than they are actually tested and must be replaced at the end of each work shift during which they are exposed to the PMN substance. (ii) Manufacturer’s Specifications . Evaluating the specifications from the manufacturer or supplier of the chemical prot ective clothing, or of the material used in construction of the clothing, to establish that the chemical protective clothing will be impervious to the PMN substance alone and in likely combinati on with other chemical substance in the work

area. (4) Respiratory Protection. Each person who is reasonabl y likely to be exposed by

inhalation in the work area to the PMN substance in the form listed in subparagraph (a)(5) of this section, is provided with, and is required to wear, at a minimum, a NIOSH-certified respirator from the respirators listed in subparagraph (a)(6) of this section, and the respirator is used in accordance with the Occupational Safety and Health Ad ministration (“OSHA”) and NIOSH respiratory protection requirements at 29 CFR 1910.134 and 42 CFR Pa rt 84. All respirators must be issued, used, and maintained according to an appropria te respiratory protecti on program under the OSHA requirements in 29 CFR 1910.134. (5) Physical States. The following physical states of air borne chemical substance are listed for subparagraphs (a)(1) a nd (4) of this section: (i) Particulate (including solid s or liquid droplets).13 (6) Authorized Respirators. The following NIOSH-certified respirator meets the minimum requirements for subparagraph (a)(4) of this sect ion: NIOSH-certified ai r-purifying, tight-fitting full-face respirator equipped with N-100, R-100, or P-100 cartridges.

MANUFACTURING (a)(1) Prohibition. The Company shall not cause, encourage, or suggest the ma nufacture or import of the PMN substance by any other person. (2) Sunset Following SNUR. Subparagraph (a)(1) shall expire 75 days after promulgation of a final significant new use rule (“SNUR”) governi ng the PMN substance unde r section 5(a)(2) of TSCA unless the Company is notified on or before th at day of an action in a Federal Court seeking judicial review of the SNUR. If the Company is so notified, subparagraph (a)(1) shall not expire until EPA notifies the Company in writing that all Federal Court actions involving the SNUR have

been resolved and the valid ity of the SNUR affirmed. (3) Notice of SNUR. When EPA promulgates a final SNUR for the PMN substance and subparagraph (a)(1) expires in accordance with su bparagraph (a)(2), the Company shall notify each person whom it causes, encourages or suggests to manufacture or import the PMN substance of the

existence of the SNUR.

PROCESSING AND USE The Company shall not process or use the PMN substa nce other than: (1) as an additive in resins, thermoplastics, and elastomers for mechanical rein forcement and enhanced electrical performance, (2) as a coating on metallic foils for battery appli cations, or (3) in the manufacture of fabric composites.14 DISTRIBUTION (a) Export Notice Requirement. No later than the date of dist ribution, the Company shall notify in writing any person to whom it dist ributes the PMN substance that, due to the issuance of this Consent Order under section 5(e) of TSCA, the PMN substance is subject to the export notification requirements of TSCA section 12(b) and 40 CFR Part 707 Subpart D. Such notice shall contain, in the form in which they appear in the Consent Order, the following information: (1) the PMN number and (2) either (A) the specific chemical id entity of the chemical s ubstance, or (B) if the specific chemical identity is confiden tial, the generic chemical identity.

(b)(i) Distribution Requirements. Except after the PMN substance has been (i) completely reacted (cured); (i i) embedded or incorporated into a polymer matrix that itself has been reacted (cured); (iii) or embedded in a perm anent solid polymer form that is not intended to undergo further processing, except mechanical pro cessing, the Company shall distribute the PMN substance outside the Company, other than for dispos al, only to a person who has agreed in writing prior to the date of distribution, to: (1) Notify in writing any person to whom it di stributes the PMN substance that, due to the issuance of this Consent Order under section 5(e) of TSCA, the PMN substance is subject to the export notification requirements of TSCA section 12(b) and 40 CF R Part 707 Subpart D. Such notice shall contain, in the form in which it ap pears in this Consent Order, the following information: (1) the PMN number, and (2) either (A) the specific chemical identity of the PMN substance, or (B) if the specific chemical identity is confidential, the generic chemical identity. (2) Not further distribute the PMN substance to any other person, other than for disposal, until after the PMN substance has been (i) comp letely reacted (cured); (ii) embedded or15 incorporated into a polymer matrix that itself has been reacted (cured); (iii) or embedded in a permanent solid polymer form that is not intended to undergo further processing, except mechanical processing. (3) Comply with the same requirements and re strictions required of the Company in the Protection in the Workplace section. (4) Not process or use the PMN s ubstance other than: (1) as an additive in resins, thermoplastics, and elastomers for mechanical rein forcement and enhanced electrical performance, (2) as a coating on metallic foils for battery appli cations, or (3) in the manufacture of fabric composites. (5) Comply with the same environmental rele ase restrictions require d of the Company in

the Release to Water Section of the Order. (ii) Disposal Exemption . Except for the §12(b) export notice requirement in paragraph (b)(i)(1) above, the distribution requirements in (b)(i) do not apply when the Company distributes the PMN substance for disposal only.

(c) Temporary Transport and Storage. Notwithstanding paragra ph (b), the Company may distribute the PMN substance outside the Company for temporary transport and storage in sealed containers provided the follo wing two conditions are met: (1) Subsequent to any such exempt temporary transport or storage of sealed containers, the PMN substance may be distributed only to the Company or a person who has given the Company the written agreement re quired by paragraph (b). (2) Any human exposure or environmental release resulting from opening the sealed containers and removing or washing out the PMN substance may occur only while the PMN16 substance is in the possession and control of th e Company or a person who has given the Company the written agreement re quired by paragraph (b).

(d) Recipient Non-Compliance. If, at any time after commenci ng distribution in commerce of the PMN substance, the Company obtains knowledge that a recipient of the substance has failed to comply with any of the conditions specified in pa ragraph (b) of this Dist ribution section or, after paragraph (a)(1) expires in accordan ce with subparagraph (e)(1), has engaged in a significant new use of the PMN substance (as defined in 40 CFR Part 721, Subpart E) without submitting a significant new use notice to EPA, the Compa ny shall cease supplying the substance to that recipient, unless the Company is able to document each of the following: (1) That the Company has, within 5 working days, notified the recipient in writing that the recipient has failed to comply with any of the conditions specified in paragraph (b) of this Distribution section, or has e ngaged in a significant new use of the PMN substance without submitting a significant new use notice to EPA. (2) That, within 15 working days of notif ying the recipient of the noncompliance, the Company received from the recipient, in writing, a statement of assurance that the recipient is aware of the terms of paragraph (b) of this Distribution section and will comply with those terms,

or is aware of the terms of th e significant new use rule for the PMN substance and will not engage in a significant new use without submitti ng a significant new use notice to EPA. (3) If, after receiving a stat ement of assurance from a r ecipient under subparagraph (d)(2) of this Distribution section, the Company obtains know ledge that the recipient has failed to comply with any of the conditions specified in paragraph (a) of this Distri bution section, or has engaged in a significant new use of the PMN substance without submitting a significant new use notice to17 EPA, the Company shall cease supplying the PMN subs tance to that recipien t, shall notify EPA of the failure to comply, and sha ll resume supplying the PMN substa nce to that recipient only upon written notification from the Agency.

(e) Sunset Following SNUR . (1) Subparagraph (b)(i)(2) of this Distribution section shall expire 75 days after promulgation of a final SNUR for the PMN subs tance under section 5(a)(2) of TSCA, unless the Company is notified on or before that day of an action in a Federal Court seeking judicial review of the SN UR. If the Company is so notif ied, subparagraph (b)(i)(2) of this Distribution section shall not expire until EPA not ifies the Company in writing that all Federal Court actions involving the SNUR have been reso lved and the validity of the SNUR affirmed. (2) When EPA promulgates a final SNUR fo r the PMN substance and paragraph (b)(i)(2) of this Distribution section expires in accordan ce with subparagraph (e)(1), the Company shall notify each person to whom it distributes the PMN s ubstance of the existence of the SNUR. Such notification must be in writing a nd must specifically include all lim itations contained in the SNUR which are defined as significant new uses , and which would invoke significant new use

notification to EPA for the PMN substance. Such notice must also reference the publication of the

SNUR for the PMN substance in either the Federal Register or the Code of Federal Regulations. After promulgation of a SNUR and expiration of subparagraph (b)(i )(2), such notice may substitute for the written agreement required in the introductory clause of para graph (b); so that, if the Company provides such notice to the persons to whom it distributes the PMN substance, then the Company is not required to obtain from su ch persons the written agreement specified in paragraph (b).18 RELEASE TO WATER This provision does not supercede or preempt any applicable federal, state, or local laws and regulations. Those may be more stringent th an the requirements below. The Company is prohibited from any predictable or purposeful rele ase of the PMN substance, or any waste stream from manufacturing, processing a nd use containing the PMN substance, into the waters of the United States except for the following: Limited water releases from the final [ ] step of [ ]

of the MWCNT are allo wed provided that: a) the Company’s plant operates under the same wa stewater pre-treatment conditions as described by the Company in the July 12, 2011 letter to EPA, specifically; [ ]; b) the analyses of SWCNT, schedule, and reporting required under the Consent Order for P10-0005 (signed by the Company on November 29, 2010) will be used to assure compliance with limited water releases of the MWCNT under P11-0339; c) the same analytical method (Near Infr a-Red Fluorescence, NIRF) and the sample preparation/sampling protocol as in the original test for the SWCNT under the Consent Order for P10-0005 must be used; d) the concentration of the SWCNT in the waste water will not exceed 5 ppb; e) if the Company plans to stop manufacturing the SWCNT while continui ng the manufacture of the MWCNT, the Company must contact EPA at least 30-days prior to stopping manufacturing

SWCNT for a re-evaluation of the monitoring approach; and g) if EPA changes the monitoring and reporting sc hedule for the P10-0005 Consent Order, the new schedule, will apply to P11-0339.19

III. RECORDKEEPING (a) Records. The Company shall maintain the followi ng records until 5 years after the date they

are created and shall make them available for inspection and copying by EPA in accordance with

section 11 of TSCA: (1) Exemptions . Records documenting that the PMN s ubstance did in fact qualify for any one or more of the exemptions described in Secti on I, Paragraph (b) of this Order. Such records must satisfy all the statutory and regulatory recordkeeping re quirements applicable to the exemption being claimed by the Company. Any amounts or batches of the PMN substance eligible for the Export exemption in Section I, Paragraph (b)(2) of th is Order, are exempt from all the requirements in this Recor dkeeping section, if the Company ma intains, for 5 years from the date of their creation, copies of the export label and expor t notice to EPA, required by TSCA sections 12(a)(1)(B) and 12(b), respectively. Any amounts or batches of the PMN substance eligible for the Research and Development exempti on in Section I, Paragra ph (b)(3) of this Order, are exempt from all the requirements in this Reco rdkeeping section, if the Company maintains, for 5 years from the date of their creation, th e records required by 40 CFR 720.78(b). For any

amounts or batches of the PMN substance claimed to be eligible for any other exemption described in Section I, Paragraph (b) of this Order, the Company shall keep records demonstrating qualification for that exemption as well as the reco rds specified in paragra phs (2) and (3) below, but is exempt from the other recordkeeping re quirements in this Recordkeeping section; (2) Records documenting the manufacture a nd importation volume of the PMN substance and the corresponding dates of manufacture and import; (3) Records documenting the names and addresses (including shipment destination20 address, if different) of all pers ons outside the site of manufacture or import to whom the Company directly sells or transfers the PM N substance, the date of each sale or transfer, and the quantity of the substance sold or transferred on such date; (4) Records documenting the addr esses of all sites of manufact ure, import, processing, and

use; (5) Records documenting establishment and im plementation of a program for the use of any applicable personal protectiv e equipment required pursuant to the Protection in the Workplace

section of this Order ; (6) Records documenting the determinations required by the Protection in the Workplace

section of this Order that chem ical protective clothing is impe rvious to the PMN substance; (7) Records documenting compliance with a ny applicable manufacturing, processing, use,

and distribution restrictions in the Manufacturing, Processing and Use, and Distribution sections of this Order, including distributees’ written agreement to comply with the Distribution section of this Order; (8) Records documenting compliance with the Release to Water provisions; (9) Copies of any Transfer Documents a nd notices required by th e Successor Liability section of this Order, if applicable; and (10) The Company shall keep a copy of this Order at each of its sites where the PMN substance is manufactured of imported.

(b) Applicability. The provisions of this Recordkeeping Se ction are applicable only to activities of the Company and its Contract Manufacturer, if applicable, and not to activities of the Company’s customers.21

(c) OMB Control Number. Under the Paperwork Reduction Act and its regulations at 5 CFR Part 1320, particularly 5 CFR 1320.5(b), the Company is not required to respond to this “collection of information” unless this Order displays a cu rrently valid control number from the Office of Management and Budget (“OMB”), and EPA so informs the Company. The “collection of information” required in this TSCA §5(e) Consen t Orders has been approved under currently valid

OMB Control Number 2070-0012.

IV. REQUESTS FOR PRE-IN SPECTION INFORMATION (a) EPA’s Request for Information . Pursuant to section 11 of TSCA and 40 CFR 720.122, EPA may occasionally conduct on-site compliance inspec tions of Company facilities and conveyances

associated with the PMN substance. To facilit ate such inspections, EPA personnel may contact the Company in advance to request information pertinent to the scheduling and conduct of such inspections. Such requests may be written or oral . The types of information that EPA may request may include, but are not limited to, the following: (i) Expected dates and times when the PMN substance will be in production within the subsequent 12 months; (ii) Current workshift schedules for workers w ho are involved in activities associated with the PMN substance and may reasonably be exposed to the PMN substance; (iii) Current job titles or categories for worker s who are involved in activities associated with the PMN substance and may reasonabl y be exposed to the PMN substance; (iv) Existing exposure monitoring data fo r workers who are involved in activities associated with the PMN substance and may r easonably be exposed to the PMN substance;22 (v) Records required by the Recordkeepi ng section of this Order; and/or (vi) Any other information reasonably related to determining compliance with this Order or conducting an inspection for that purpose.

(b) Company’s Response . The Company shall respond to such requests within a reasonable period of time, but in no event later than 30 days after receiving EPA’ s request. When requested in writing by EPA, the Company’s response shall be in writing. To the extent the information is known to or reasonably ascertainable to the Comp any at the time of the request, the Company’s response shall demonstrate a good faith effort to provide reasonably accurate and detailed answers to all of EPA’s requests.

(c) Confidential Business Information . Any Confidential Business In formation (“CBI”) that the Company submits to EPA pursuant to paragraph (b ) shall be protected in accordance with §14 of

TSCA and 40 CFR Part 2.

V. SUCCESSOR LIABILITY UPON TRANSFER OF CONSENT ORDER (a) Scope. This section sets forth the procedures by which the Co mpany’s rights and obligations under this Order may be transferred when the Company transfers its interests in the PMN substance, including the right to manufacture the PMN substance, to another person outside the Company (the “Successor in Interest”).

(b) Relation of Transfer Date to Notice of Commencement (“NOC”). (1) Before NOC. If the transfer from the Company to the Successor in Interest is effective23 before EPA receives a notice of commencement of manufacture or import (“NOC”) for the PMN substance from the Company pursuant to 40 CFR 720.102, the Successor in Interest must submit new PMNs to EPA and comply fully with Sectio n 5(a)(1) of TSCA and 40 CFR part 720 before commencing manufacture or import of the PMN substance. (2) After NOC. If the transfer from the Company to the Successor in Interest is effective after EPA receives a NOC, the Successo r in Interest shall comply with the terms of this Order and shall not be required to submit new PMNs to EPA.

(c) Definitions. The following definitions apply to this Successor Liability sect ion of the Order: (1) “Successor in Interest” means a pers on outside the Company who has acquired the Company’s full interest in the rights to manufact ure the PMN substance, including all ownership rights and legal liabilities, thr ough a transfer document signed by the Company, as transferor, and the Successor in Interest, as transferee. The te rm excludes persons who acquire less than the full interest of the Company in the PMN substance, such as a licensee who has acquired a limited license to the patent or manuf acturing rights associated with th e PMN substance. A Successor in Interest must be incorporated, licensed, or doing business in the United States in accordance with 40 CFR 720.22(a)(3). (2) “Transfer Document” means the legal instru ment(s) used to convey the interests in the PMN substance, including the right to manufacture the PMN substance, from the Company to the

Successor in Interest.

(d) Notices. (1) Notice to Successor in Interest. On or before the effectiv e date of the transfer, the24 Company shall provide to the Successor in Intere st, by registered mail, a copy of the Consent

Order and the “Notice of Transfer” document whic h is incorporated by reference as Attachment C

to this Order. (2) Notice to EPA. Within 10 business days of the e ffective date of the transfer, the Company shall, by registered mail, submit the fu lly executed Notice of Transfer document to: U.S. Environmental Protection Agency, Ne w Chemicals Branch (7405), 1200 Pennsylvania Avenue, N.W., Washington, D.C. 20460. (3) Transfer Document. Copies of the Transfer Docu ment must be maintained by the Successor in Interest at its principal place of busin ess, and at all sites where the PMN substance are manufactured or imported. Copies of the Transf er Document must also be made available for inspection pursuant to Section 11 of TSCA, must state the effectiv e date of transfer, and must contain provisions which expressly transfer liabi lity for the PMN substance under the terms of this Order from the Company to the Successor in Interest.

(e) Liability. (1) The Company shall be liable for complian ce with the requirements of this Order until

the effective date of the transfer described above. (2) The Successor in Interest shall be liable for compliance with the requirements of this

Order effective as of the date of transfer. (3) Nothing in this section shall be c onstrued to prohibit the Agency from taking enforcement action against the Company after the eff ective date of the transf er for actions taken, or omissions made, during the time in which the Comp any manufactured, processed, used, distributed in commerce, or disposed of the PMN substance pursuant to the terms of this Consent Order.25

(f) Obligations to Submit Test Data under Consent Order. If paragraph (d) of the Testing section of this Consent Order requires th e Company to submit test data to EPA at a specified production volume (“test trigger”), the a ggregate volume of the PMN subs tance manufactured and imported by the Company up to the date of transfer shall c ount towards the test tri gger applicable to the

Successor in Interest.26 VI. MODIFICATION AND REVO CATION OF CONSENT ORDER The Company may petition EPA at any time, based upon new information on the health effects of, or human exposure to, the PMN substance, to modify or revoke substantive provisions of this Order. The exposures and risks identifi ed by EPA during its review of the PMN substance

and the information EPA determined to be necess ary to evaluate those exposures and risks are described in the preamble to this Order. Howeve r, in determining whether to amend or revoke this Order, EPA will consider all relevant informati on available at the time the Agency makes that determination, including, where a ppropriate, any reassessment of the test data or other information that supports the findings in this Order, an examin ation of new test data or other information or analysis, and any other relevant information.

EPA will issue a modification or revocation if EPA determines that the activities proposed therein will not present an unreasonable risk of injury to health or the environment and will not result in significant or substantial human expos ure or substantial enviro nmental release in the absence of data sufficient to permit a reasoned eval uation of the health or environmental effects of

the PMN substance. In addition, the Company may petition EPA at a ny time to make other modifications to the language of this Order. EPA will issue such a modification if EPA determines that the modification is useful, appropriate, and consistent with the structur e and intent of this Order as

issued.VII. EFFECT OF CONSENT ORDER (a) Waiver . By consenting to the entry of this Orde r, the Company waives its rights to file objections to this Order pursuant to section 5(e)(1)(C) of TSCA, to receive service of this Order no later than 45 days before the e nd of the review period pursuant to section 5(e)(1)(B ) of TSCA, and to challenge the validity of this Order in any s ubsequent action. Consenti ng to the entry of this Order, and agreeing to be bound by its terms, do not constitute an admission by the Company as to, the facts or conclusions underlying the Agency’s de terminations in this proceeding. This waiver does not affect any other rights th at the Company may have under TSCA. (b) CBI Brackets . By signing this Order, the Company re presents that it has carefully reviewed this document and hereby agrees that all informati on herein that is claime d as confidential by the Company (per section 14 of TSCA, 40 CFR Part 720 Subpart E, and 40 CFR Part 2) is correctly identified within brackets and that any informa tion that is not bracket ed is not claimed as

confidential. To make this document availabl e for public viewing, EPA will remove only the

information contained within the brackets.

_________________ ________________________________ Date Maria J. Doa, PhD, Director Chemical Control Division Office of Pollution Prevention and Toxics

___________________ ________________________________ Date Name: Eusebio Roman Title: Plant Manager Company: Southwest Nanotechnologies, Inc.ATTACHMENT A

DEFINITIONS [Note: The attached Order may not cont ain some of the terms defined below.]

“Chemical name” means the sc ientific designation of a chem ical substance in accordance with the nomenclature system developed by th e International Union of Pure and Applied Chemistry or the Chemical Abstracts Service’s rules of nomenclature, or a name which will clearly identify a chemical substance for the purpose of conducting a hazard evaluation. “Chemical protective clothing” means items of clothing that provide a protective barrier to prevent dermal contact with chemical substance of concern. Examples can include, but are not limited to: full body protective clothing, boots, coveralls, gloves, j ackets, and pants. “Company” means the person or persons subject to this Order.

“Commercial use” means the use of a chemi cal substance or any mixture containing the chemical substance in a commercial enterprise pr oviding saleable goods or a service to consumers (e.g., a commercial dry cleaning estab lishment or painting contractor). “Common name” means any designation or identi fication such as code name, code number, trade name, brand name, or generic chemical name used to identify a chemical substance other than by its chemical name. “Consumer” means a private individual who uses a chemical substance or any product containing the chemical substance in or around a permanent or temporary household or residence, during recreation, or for any personal use or enjoyment. “Consumer product” means a chemical substance th at is directly, or as part of a mixture, sold or made available to consumers for thei r use in or around a permanent or temporary household or residence, in or around a school, or in recreation. “Container” means any bag, barrel, bottle, box, can, cylinder, drum, reaction vessel, storage tank, or the like that contains a hazardous chemical . For purposes of this section, pipes or piping systems, and engines, fuel tanks, or other operating systems in a vehicle, are not considered to be containers. “Contract Manufacturer” means a person, out side the Company, who is authorized to manufacture and import the PMN substance under th e conditions specified in Part II. of this Consent Order and in the Consent Order for Contract Manufacturer. “Identity” means any chemical or common name used to identify a chemical substance or a mixture containing that substance.

“Immediate use.” A chemical substance is for the “immediate use” of a person if it is under3

the control of, and used only by, the person who tr ansferred it from a labeled container and will only be used by that person within the work shift in which it is transferred from the labelled container. “Impervious.” Chemical protective clothing is “impervious” to a chemical substance if the substance causes no chemical or mechanical degradation, permeation, or penetration of the chemical protective clothing under the conditi ons of, and the duration of, exposure. “Manufacturing stream” means all reasonably an ticipated transfer, flow, or disposal of a chemical substance, regardless of physical stat e or concentration, throug h all intended operations of manufacture, including the cleaning of equipment. “MSDS” means material safety data sheet, the written listing of data for the chemical substance.

“NIOSH” means the National In stitute for Occupational Safety and Health of the U.S. Department of Health and Human Services. “Non-enclosed process” means any equipment sy stem (such as an open-top reactor, storage tank, or mixing vessel) in which a chemical subs tance is manufactured, processed, or otherwise used where significant direct contact of the bul k chemical substance and the workplace air may occur. “Non-industrial use” means use other than at a facility where chemical substance or mixtures are manufacture d, imported, or processed.

“PMN substance” means the chemical substa nce described in the Premanufacture notice submitted by the Company relevant to this Order. “Personal protective equipment” means any ch emical protective clothi ng or device placed on the body to prevent contact with, and exposure to, an identified ch emical substance or substance in the work area. Examples include, but are not limited to, chemical prot ective clothing, aprons, hoods, chemical goggles, face splash shields, or e quivalent eye protection, and various types of respirators. Barrier creams ar e not included in this definition. “Process stream” means all reasonably anticipate d transfer, flow, or disposal of a chemical substance, regardless of physical state or con centration, through all in tended operations of processing, including the cleaning of equipment. “Scientifically invalid” means any significan t departure from the EPA-approved protocol or the Good Laboratory Practice Sta ndards at 40 CFR Part 792 without prior or subsequent Agency approval that prevents a reasoned evaluation of the health or e nvironmental effects of the PMN substance. “Scientifically equivocal data” means da ta which, although deve loped in apparent4

conformity with the Good Laboratory Practice Standards and EPA-approved protocols, are inconclusive, internally inconsis tent, or otherwise insufficient to permit a reasoned evaluation of the potential risk of injury to human health or the environment of the PMN substance.

“Sealed container” means a closed container th at is physically and chemically suitable for long-term containment of the PMN substance, and from which there will be no human exposure to, nor environmental release of, the PMN s ubstance during transport and storage.

“Use stream” means all reasonabl y anticipated transfer, flow, or disposal of a chemical substance, regardless of physical state or con centration, through all in tended operations of industrial, commercial , or consumer use. “Waters of the United States” has the meaning set forth in 40 CFR 122.2. “Work area” means a room or defined space in a workplace where the PMN substance is manufactured, processed, or used and where employees are present. “Workplace” means an establishment at one geographic location cont aining one or more work areas.ATTACHMENT B

NOTICE OF TRANSFER OF TOXIC SUBSTANC E CONTROL ACT SECTION 5(e) CONSENT ORDER

___________________________ _________________ Company (Transferor) PMN Number 1. Transfer of Manufacture Rights. Effective on _______________, the Company did sell or otherwise transfer to ________________________________, (“Successor in Interest”) the rights and liabilities associated with manufacture of th e above-referenced chemical substance, which was the subject of a premanufacture notice (“PMN”) a nd is governed by a Consent Order issued by the U.S. Environmental Protection Agency (“EPA” ) under the authority of §5(e) of the Toxic Substance Control Act (TSCA, 15 U.S.C. §2604(e)). 2. Assumption of Liability. The Successor in Interest hereby certi fies that, as of the effective date of transfer, all actions or omissions governed by the applicable Consent Order limiting manufacture, processing, use, di stribution in commerce and disposal of the PMN substance, shall be the responsibility of the Successo r in Interest. Successor in Intere st also certifies that it is incorporated, licensed, or doing business in th e United States in accordance with 40 CFR 720.22(a)(3).

3. Confidential Business Information. The Successor in Interest hereby: ___ reasserts, ___ relinquishes, or ___ modifies all Confidential Business Information (“CBI”) cl aims made by the Company, pursuant to Section 14 of TSCA and 40 CFR part 2, for the PMN substanc e(s). Where “reasserts” or “relinquishes” is indicated, that designation shall be deemed to apply to all such claims. Where “modifies” is indicated, such modification shall be explained in detail in an attachment to this Notice of Transfer. Information which has been previously disclosed to the public (e.g., a chemical identity that was not claimed as CBI by the original su bmitter) would not subsequently be eligible for confidential treatment under this Notice of Transfer.TOXIC SUBSTANC E CONTROL ACT SECTION 5(e) CONSENT ORDER

NOTICE OF TRANSFER (continued)

__________________________________ _____________________ Company (Transferor) PMN Number

___________________________________ _____________________ Signature of Authorized Official Date

____________________________________ Printed Name of Aut horized Official

___________________________________ Title of Authorized Official

___________________________________ Successor in Interest

___________________________________ _____________________ Signature of Authorized Official Date

___________________________________ Printed Name of Aut horized Official

___________________________________ Title of Authorized Official

___________________________________ Address___________________________________ City, State, Zip Code

TOXIC SUBSTANC E CONTROL ACT SECTION 5(e) CONSENT ORDER

NOTICE OF TRANSFER (continued)

__________________________________ Successor’s Technical Contact

___________________________________ Address

___________________________________ City, State, Zip Code

___________________________________ Phone