ISO 9004 AND RISK MANAGEMENT IN PRACTICE.pdf
Delilah Fadden
Karst aquifers are highly vulnerable to hazardous contaminants and pollution that can rapidly harm drinking water supplies. This paper presents tools and best management practices designed to enable first responders to protect karst watersheds and important aquifer drinking water supplies from potentially catastrophic hazardous and polluting materials that can enter the aquifer in water or other liquids runoff from firefighting and other response to emergencies, including ordinary accidental fire and fire caused by arson, terrorist attack, flood, high wind, lightening, and explosion in structures and along transportation corridors.
Quinlan JF, Schindel GM, Lyons JK. 1991. It ruins my day when a cave explodes: risks associated with investigating hazardous environments in karst terranes, and protocol for safely doing so. In: Abstracts with Programs of the Geological Society of America. 1991 annual meeting of the Geological Society of America; 1991 Oct 22; San Diego (California). Boulder (Colorado): Geological Society of America.
Schindel GM, Quinlan JF, Davies GJ, Ray JA. 1996. Guidelines for wellhead and springhead protection area delineation in carbonate rocks. Atlanta (Georgia): U.S. Environmental Protection Agency, Region IV Groundwater Protection Branch. 195 p. Available from: ZyPDF.cgi/9101WWCC.PDF?Dockey=9101WWCC. PDF.
Schindel GM. 2018. Recommended strategies for the response to hazardous materials releases in karst. In: White WB et al. Karst groundwater contamination and public health: Beyond case studies. Cham (Switzerland): Springer Nature. p. 255-260.
Schindel GM. 2019b. Recommended best-management practices for response to spills in the Edwards Aquifer of South-Central Texas. Report of work under the project: Edwards Aquifer water quality protection from catastrophic and low to mid-level effects of discharge of hazardous and polluting materials from contaminated water runoff during emergency response. Texas A&M University San Antonio, Institute for Water Resources Science and Technology, San Antonio, TX. 9 p. Available from: _id=57497570.
[USEPA] U.S. Environmental Protection Agency. 2002. Delineation of source-water protection areas in karst aquifers of the ridge and valley and Appalachian plateaus physiographic provinces: rules of thumb for estimating the capture zones of springs and wells. Washington (District of Columbia): U.S. Environmental Protection Agency. 41 p. EPA 816-R-02-015.
The Texas Water Journal is an online peer-reviewed journal devoted to the timely consideration of Texas water resources management, research, and policy issues from a multidisciplinary perspective that integrates science, engineering, law, planning, and other disciplines. It also provides updates on key state legislation and policy changes by Texas administrative agencies. The Texas Water Journal is published in cooperation with the Texas Water Resources Institute, part of Texas A&M AgriLife Research, Texas A&M AgriLife Extension Service, and the College of Agriculture and Life Sciences at Texas A&M University and the Bureau of Economic Geology in the Jackson School of Geosciences at The University of Texas at Austin.
Any location, other than the main business address at which an FCM, RFED, IB, CPO or CTA employs one or more persons engaged in activities requiring registration as an AP, excluding any location where one or more APs from the same household live or rent/lease provided the location is not held out to the public as an office of the Member; the AP(s) does not meet in-person with customers or physically handle customer funds at the location; and any CFTC or NFA required records created at the non-branch office location are accessible for inspection at the Member firm's main or applicable listed branch office as required under CFTC Regulation 1.31 and NFA Compliance Rule 2-10.
If the firm has one or more branch offices, NFA's registration records on the firm must include the names of all persons who are branch office managers. Each location must have a branch office manager, and that person's status as a branch office manager should be listed in the Registration Categories section of the person's Form 8-R even if previously listed as a principal in the Registration Categories section of the person's Form 8-R. Each branch office must have a different manager.
The address must also be given for each branch office. A P.O. Box is not sufficient. Anyone with a status as branch office manager must also be currently registered as an AP or have applied for such registration. Whenever a new branch office is established it must be reported, with all the required information, to NFA by filing an update electronically to the firm's Form 7-R. The closing of an existing branch office should also be reported by filing an update electronically to the firm's Form 7-R.
An important point to recognize is that a branch office may not itself be a separate corporation or partnership. CFTC Regulation 166.4 requires each branch office to use the name of the firm of which it is a branch for all purposes and to hold itself out to the public under such name. Also, in CFTC Interpretive Letter No. 84-10 (May 29, 1984) it was concluded that a branch office could not maintain a separate identity from the Member. One obvious conclusion to be drawn from this information is that each AP in a branch office must be paid directly by the Member. Payment through any intermediary would lead to the assumption that the intermediary would be required to register as an IB.
The requirement that a branch office hold itself out to the public under the name of the Member is intended to ensure that customers are always aware of the Member with which they are doing business. It is necessary that any branch office AP, even one operating out of a residence or an unrelated place of business, make sure that customers understand who they are doing business with.
Section 17(p)(3) of the Commodity Exchange Act (7 U.S.C. 21(p)(3)) requires that the rules of a registered futures association such as NFA "establish minimum standards governing the sales practices of its members and persons associated therewith. . . ." NFA has established such minimum standards in the form of its Compliance Rules which, among other things, generally prohibit fraud and deceit and require Members and Associates to observe high standards of commercial honor and just and equitable principles of trade in the conduct of their commodity interest business. Although these rules supply the required minimum standards, they are general in nature and may not always provide specific guidance as to what particular conduct may be prohibited. Additional information related to how NFA rules apply to specific conduct may be found by reviewing disciplinary decisions issued by NFA's Business Conduct Committee and Interpretive Notices issued by NFA.
NFA Compliance Rule 2-29 implements specific requirements for communication with the public and promotional material related to the commodity interest business of an FCM, IB, CPO or CTA Member. However, all Members and Associates are subject to all other applicable NFA requirements, including NFA's rules related to fraudulent and deceptive practices (Compliance Rule 2-2) and just and equitable principles of trade (Compliance Rule 2-4) with respect to their communications with the public and promotional materials.
Compliance Rule 2-29 is not intended to supplant those or any other NFA Requirements but rather to augment them. Hence, literal compliance with Rule 2-29 will not preclude NFA from raising compliance issues with the content of promotional material or taking a disciplinary action if the Member or Associate violates any other NFA Requirement.
The definition of "promotional material" set forth in Compliance Rule 2-29 is broad and is intended to apply to all forms of communication with the public by an FCM, IB, CPO or CTA Member or Associate without exception if the communication relates in any way to solicitation of an account, agreement or transaction in the conduct of the Member's or Associate's commodity interest business.
NFA recognizes certain specific standards that would be appropriate for communications prepared in advance of delivery to the public might be unenforceable and even inappropriate in the context of routine day-to-day contact with customers. Compliance Rule 2-29 is not intended to impede the free flow of information and advice to customers by subjecting spontaneous communication to rigorous and detailed content standards.
To address this problem, Compliance Rule 2-29 distinguishes routine day-to-day communications with customers and applies a different regulatory standard to such communications. This is accomplished by providing a definition of "promotional material" to identify the kinds of communications with the public that will be subject to specific content standards and other requirements beyond those provided in Section (a) General Prohibition. Therefore, the definition of promotional material is intended to include all kinds of promotional communications with the public, other than routine day-to-day contact with customers. It includes, for example, any kind of written, electronic or mechanically reproduced message or presentation that is directed to any member of the public. It also includes any oral presentations or statements to customers or prospective customers the substance of which is standardized, outlined or scripted in advance for delivery to such persons.
This Section provides the general rule governing all communications with the public and applies to routine communication with customers. That means that routine customer contact will not violate Compliance Rule 2-29 as long as it is not fraudulent or deceptive, does not involve a high-pressure approach and does not contain any statement indicating that commodity interest trading is appropriate for all persons. NFA believes that the general prohibition should not hamper free and open communication with individual customers on a day-to-day basis. In general, a communication will not be considered fraudulent or deceptive in the absence of evidence of intentional or reckless conduct on the part of the FCM, IB, CPO or CTA Member or Associate. In certain circumstances intentional or reckless conduct may be presumed (e.g., if a Member or Associate specifically contradicts or downplays any disclosure statement required to be made by CFTC regulations or NFA rules).
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