[Federal Register Volume 86, Number 83 (Monday, May 3, 2021)]
[Notices]
[Pages 23394-23395]
[FR Doc No: 2021-09142]

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DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Internal Agency Docket No. FEMA-4507-DR; Docket ID FEMA-2021-0001]

Ohio; Amendment No. 4 to Notice of a Major Disaster Declaration

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice.

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SUMMARY: This notice amends the notice of a major disaster declaration
for the State of Ohio (FEMA-4507-DR), dated March 31, 2020, and related
determinations.

DATES: This amendment was issued March 11, 2021.

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

SUPPLEMENTARY INFORMATION: The notice of a major disaster declaration
for the State of Ohio is hereby amended to include Individual
Assistance limited to COVID-19 Funeral Assistance under Other Needs
Assistance for those areas determined to have been adversely affected
by the event declared a major disaster by the President in his
declaration of March 31, 2020.

    Individual Assistance limited to COVID-19 Funeral Assistance
under Other Needs Assistance for all areas in the State of Ohio
(already designated for Individual Assistance, limited to the Crisis
Counseling Program and emergency protective measures [Category B]
not authorized under other Federal statutes, including direct
Federal assistance).
(The following Catalog of Federal Domestic Assistance Numbers (CFDA)
are to be used for reporting and drawing funds: 97.030, Community
Disaster Loans; 97.031, Cora Brown Fund; 97.032, Crisis Counseling;
97.033, Disaster Legal Services; 97.034, Disaster Unemployment
Assistance (DUA); 97.046, Fire Management Assistance Grant; 97.048,
Disaster Housing Assistance to Individuals and Households In
Presidentially Declared Disaster Areas; 97.049, Presidentially
Declared Disaster Assistance--Disaster Housing Operations for
Individuals and Households; 97.050 Presidentially Declared Disaster
Assistance to Individuals and Households--Other Needs; 97.036,
Disaster Grants--Public Assistance (Presidentially Declared
Disasters); 97.039, Hazard Mitigation Grant.)

Robert J. Fenton,
Senior Official Performing the Duties of the Administrator, Federal
Emergency Management Agency.
[FR Doc. 2021-09142 Filed 4-30-21; 8:45 am]
BILLING CODE 9111-23-P


[Federal Register Volume 82, Number 101 (Friday, May 26, 2017)]
[Notices]
[Pages 24406-24411]
[FR Doc No: 2017-10830]

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SECURITIES AND EXCHANGE COMMISSION

[Investment Company Act Release No. 32641; 812-14707]

TICC Capital Corp., et al.

May 19, 2017
AGENCY: Securities and Exchange Commission (``Commission'').

ACTION: Notice.

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    Notice of application for an order under sections 17(d) and 57(i)
of the Investment Company Act of 1940 (the ``Act'') and rule 17d-1
under the Act permitting certain joint transactions otherwise
prohibited by sections 17(d) and 57(a)(4) of the Act and under rule
17d-1 under the Act.
    Summary of Application: Applicants request an order to permit
certain closed-end management investment companies to co-invest in
portfolio companies with each other and with affiliated investment
funds.
    Applicants: TICC Capital Corp. (``TICC''), Oxford Lane Capital
Corp. (``OXLC'' and together with TICC, the ``Existing Regulated
Funds''), TICC Management, LLC (``TICC Adviser'') on behalf of itself
and its successors,\1\ Oxford Lane Management, LLC (``OXLC Adviser''),
Oxford Bridge, LLC (the ``Private Fund''), and Oxford Bridge
Management, LLC (the ``Private Fund Adviser'').
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    \1\ The term ``successor,'' as applied to each Adviser (as
defined below), means an entity that results from a reorganization
into another jurisdiction or change in the type of business
organization.
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    Filing Dates: The application was filed on October 13, 2016, and
amended on February 7, 2017 and May 12, 2017.
    Hearing or Notification of Hearing: An order granting the requested
relief will be issued unless the Commission orders a hearing.
Interested persons may request a hearing by writing to the Commission's
Secretary and serving applicants with a copy of the request, personally
or by mail. Hearing requests should be received by the Commission by
5:30 p.m. on June 13, 2017, and should be accompanied by proof of
service on applicants, in the form of an affidavit or, for lawyers, a
certificate of service. Pursuant to rule 0-5 under the Act, hearing
requests should state the nature of the writer's interest, any facts
bearing upon the desirability of a

hearing on the matter, the reason for the request, and the issues
contested. Persons who wish to be notified of a hearing may request
notification by writing to the Commission's Secretary.

ADDRESSES: Brent J. Fields, Secretary, U.S. Securities and Exchange
Commission, 100 F St. NE., Washington, DC 20549-1090. Applicants: TICC
Capital Corp. and Oxford Lane Capital Corp., 8 Sound Shore Drive, Suite
255, Greenwich, Connecticut 06830, Attention: Jonathan H. Cohen.

FOR FURTHER INFORMATION CONTACT: Laura J. Riegel, Senior Counsel, at
(202) 551-3038 or Robert H. Shapiro, Branch Chief, at<PHONE_NUMBER>
(Division of Investment Management, Chief Counsel's Office).

SUPPLEMENTARY INFORMATION: The following is a summary of the
application. The complete application may be obtained via the
Commission's Web site by searching for the file number, or for an
applicant using the Company name box, at http://www.sec.gov/search/search.htm or by calling<PHONE_NUMBER>.

Applicants' Representations

    1. TICC is a Maryland corporation organized as a closed-end
management investment company that has elected to be regulated as a
business development company (``BDC'') under section 54(a) of the
Act.\2\ The Objectives and Strategies \3\ of TICC are to maximize its
risk adjusted total return by investing primarily in corporate debt
securities. The board of directors of TICC (the ``Board'') \4\ is
comprised of five directors, three of whom are not ``interested
persons,'' within the meaning of section 2(a)(19) of the Act (``Non-
Interested Directors'').
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    \2\ Section 2(a)(48) defines a BDC to be any closed-end
investment company that operates for the purpose of making
investments in securities described in sections 55(a)(1) through
55(a)(3) of the Act and makes available significant managerial
assistance with respect to the issuers of such securities.
    \3\ ``Objectives and Strategies'' means the investment
objectives and strategies of a Regulated Fund (as defined below), as
described in the Regulated Fund's registration statement on Form N-
2, other filings the Regulated Fund has made with the Commission
under the Securities Act of 1933 (the ``Securities Act''), or under
the Securities Exchange Act of 1934, and the Regulated Fund's
reports to shareholders.
    \4\ The term ``Board'' refers to the board of directors or
trustees of any Regulated Fund.
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    2. OXLC is a Maryland corporation that is a non-diversified closed-
end management investment company registered as an investment company
under the Act. OXLC's Objectives and Strategies are to maximize its
portfolio's risk-adjusted total return by purchasing portions of equity
and junior debt tranches of collateralized loan obligation (``CLO'')
vehicles. The Board of OXLC is comprised of five directors, three of
whom are Non-Interested Directors.
    3. The Private Fund is a Delaware limited liability company with
the investment objective to maximize its portfolio's risk-adjusted
total return by investing primarily in structured finance investments,
specifically the equity and junior debt tranches of CLO vehicles and in
warehouse facilities. The Private Fund would be an investment company
but for the exclusion from the definition of investment company
provided by section 3(c)(1) or 3(c)(7) of the Act.
    4. TICC Adviser is a Delaware limited liability company and is
registered as an investment adviser under the Investment Advisers Act
of 1940 (the ``Advisers Act''). TICC Adviser serves as the investment
adviser to TICC.
    5. OXLC Adviser is a Connecticut limited liability company and is
registered as an investment adviser under the Advisers Act. OXLC
Adviser serves as the investment adviser to OXLC.
    6. The Private Fund Adviser is a Connecticut limited liability
company and is registered as an investment adviser under the Advisers
Act. The Private Fund Adviser serves as the investment adviser to the
Private Fund.
    7. Applicants seek an order (``Order'') to permit one or more
Regulated Funds \5\ and/or one or more Affiliated Funds \6\ to
participate in the same investment opportunities through a proposed co-
investment program (the ``Co-Investment Program'') where such
participation would otherwise be prohibited under section 57(a)(4) and
rule 17d-1 by (a) co-investing with each other in securities issued by
issuers in private placement transactions in which an Adviser
negotiates terms in addition to price \7\ and (b) making additional
investments in securities of such issuers, including through the
exercise of warrants, conversion privileges, and other rights to
purchase securities of the issuers (``Follow-On Investments''). ``Co-
Investment Transaction'' means any transaction in which a Regulated
Fund (or its Wholly-Owned Investment Sub, as defined below)
participated together with one or more other Regulated Funds and/or one
or more Affiliated Funds in reliance on the requested Order.
``Potential Co-Investment Transaction'' means any investment
opportunity in which a Regulated Fund (or its Wholly-Owned Investment
Sub) could not participate together with one or more Affiliated Funds
and/or one or more other Regulated Funds without obtaining and relying
on the Order.\8\
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    \5\ ``Regulated Fund'' means any of the Existing Regulated Funds
and any Future Regulated Fund. ``Future Regulated Fund'' means any
closed-end management investment company (a) that is registered
under the Act or has elected to be regulated as BDC, (b) whose
investment adviser is an Adviser, and (c) that intends to
participate in the Co-Investment Program. The term ``Adviser'' means
(a) TICC Adviser, (b) OXLC Adviser, (c) the Private Fund Adviser,
and (d) any future investment adviser that controls, is controlled
by or is under common control with TICC Adviser, OXLC Adviser and
the Private Fund Adviser and is registered as an investment adviser
under the Advisers Act.
    \6\ ``Affiliated Fund'' means the Private Fund and any Future
Affiliated Fund. ``Future Affiliated Fund'' means any entity (a)
whose investment adviser is an Adviser, (b) that would be an
investment company but for section 3(c)(1) or 3(c)(7) of the Act,
and (c) that intends to participate in the Co-Investment Program.
    \7\ The term ``private placement transactions'' means
transactions in which the offer and sale of securities by the issuer
are exempt from registration under the Securities Act.
    \8\ All existing entities that currently intend to rely upon the
requested Order have been named as applicants. Any other existing or
future entity that subsequently relies on the Order will comply with
the terms and conditions of the application.
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    8. Applicants state any of the Regulated Funds may, from time to
time, form one or more Wholly-Owned Investment Subs.\9\ A Wholly-Owned
Investment Sub would be prohibited from investing in a Co-Investment
Transaction with any Affiliated Fund or Regulated Fund because it would
be a company controlled by its parent Regulated Fund for purposes of
section 57(a)(4) and rule 17d-1. Applicants request that each Wholly-
Owned Investment Sub be permitted to participate in Co-Investment
Transactions in lieu of its parent Regulated Fund and that the Wholly-
Owned Investment Sub's participation in any such transaction be
treated, for purposes of the requested order, as though the parent
Regulated Fund were

participating directly.\10\ Applicants represent that this treatment is
justified because a Wholly-Owned Investment Sub would have no purpose
other than serving as a holding vehicle for the Regulated Fund's
investments and, therefore, no conflicts of interest could arise
between the Regulated Fund and the Wholly-Owned Investment Sub. The
Regulated Fund's Board would make all relevant determinations under the
conditions with regard to a Wholly-Owned Investment Sub's participation
in a Co-Investment Transaction, and the Regulated Fund's Board would be
informed of, and take into consideration, any proposed use of a Wholly-
Owned Investment Sub in the Regulated Fund's place. If the Regulated
Fund proposes to participate in the same Co-Investment Transaction with
any of its Wholly-Owned Investment Subs, the Board will also be
informed of, and take into consideration, the relative participation of
the Regulated Fund and the Wholly-Owned Investment Sub.
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    \9\ The term ``Wholly-Owned Investment Sub'' means an entity (a)
that is wholly-owned by a Regulated Fund (with the Regulated Fund at
all times holding, beneficially and of record, 100% of the voting
and economic interests); (b) whose sole business purpose is to hold
one or more investments on behalf of the Regulated Fund (and in the
case of a SBIC Subsidiary (as defined below) maintain a license
under the SBA Act (as defined below) and issue debentures guaranteed
by the SBA (as defined below); (c) with respect to which the
Regulated Fund's Board has the sole authority to make all
determinations with respect to the Wholly-Owned Investment Sub's
participation under the conditions of the application; and (d) that
would be an investment company but for section 3(c)(1) or 3(c)(7) of
the Act. ``SBIC Subsidiary'' means a Wholly-Owned Investment Sub
that is licensed by the Small Business Administration (``SBA'') to
operate under the Small Business Investment Act of 1958 (the ``SBA
Act'') as a small business investment company.
    \10\ All subsidiaries of the Regulated Funds participating in
Co-Investment Transactions will be Wholly-Owned Investment Subs and
will have Objectives and Strategies are either the same as, or a
subset of, the Regulated Fund's Objectives and Strategies.
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    9. When considering Potential Co-Investment Transactions for any
Regulated Fund, the applicable Adviser will consider only the
Objectives and Strategies, investment policies, investment positions,
capital available for investment (``Available Capital''),\11\ and other
pertinent factors applicable to that Regulated Fund. The Board of each
Regulated Fund, including the Non-Interested Directors, has (or will
have prior to relying on the requested Order) determined that it is in
the best interests of the Regulated Fund to participate in Co-
Investment Transactions.\12\
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    \11\ The amount of each Regulated Fund's Available Capital will
be determined based on the amount of cash on hand, existing
commitments and reserves, if any, the targeted leverage level,
targeted asset mix and other investment policies and restrictions
set from time to time by the Board of the applicable Regulated Fund
or imposed by applicable laws, rules, regulations or
interpretations.
    \12\ The Regulated Funds, however, will not be obligated to
invest, or co-invest, when investment opportunities are referred to
them.
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    10. Other than pro rata dispositions and Follow-On Investments as
provided in conditions 7 and 8, and after making the determinations
required in conditions 1 and 2(a), the Adviser will present each
Potential Co-Investment Transaction and the proposed allocation to the
directors of the Board eligible to vote under section 57(o) of the Act
(``Eligible Directors''), and the ``required majority,'' as defined in
section 57(o) of the Act (``Required Majority'') \13\ will approve each
Co-Investment Transaction prior to any investment by the participating
Regulated Fund.
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    \13\ In the case of a Regulated Fund that is a registered
closed-end fund, the Board members that make up the Required
Majority will be determined as if the Regulated Fund were a BDC
subject to section 57(o).
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    11. With respect to the pro rata dispositions and Follow-On
Investments provided in conditions 7 and 8, a Regulated Fund may
participate in a pro rata disposition or Follow-On Investment without
obtaining prior approval of the Required Majority if, among other
things: (i) The proposed participation of each Regulated Fund and
Affiliated Fund in such disposition is proportionate to its outstanding
investments in the issuer immediately preceding the disposition or
Follow-On Investment, as the case may be; and (ii) the Board of the
Regulated Fund has approved that Regulated Fund's participation in pro
rata dispositions and Follow-On Investments as being in the best
interests of the Regulated Fund. If the Board does not so approve, any
such disposition or Follow-On Investment will be submitted to the
Regulated Fund's Eligible Directors. The Board of any Regulated Fund
may at any time rescind, suspend or qualify its approval of pro rata
dispositions and Follow-On Investments with the result that all
dispositions and/or Follow-On Investments must be submitted to the
Eligible Directors.
    12. No Non-Interested Director of a Regulated Fund will have a
financial interest in any Co-Investment Transaction, other than through
share ownership in one of the Regulated Funds.
    13. If the Advisers, the principal owners of any of the Advisers
(the ``Principals''), or any person controlling, controlled by, or
under common control with the Advisers or the Principals, and the
Affiliated Funds (collectively, the ``Holders'') own in the aggregate
more than 25 percent of the outstanding voting shares of a Regulated
Fund (the ``Shares''), then the Holders will vote such Shares as
required under condition 14. Applicants believe that this condition
will ensure that the Non-Interested Directors will act independently in
evaluating the Co-Investment Program, because the ability of the
Advisers or the Principals to influence the Non-Interested Directors by
a suggestion, explicit or implied, that the Non-Interested Directors
can be removed will be limited significantly. The Non-Interested
Directors will evaluate and approve any such independent party, taking
into account its qualifications, reputation for independence, cost to
the shareholders, and other factors that they deem relevant.

Applicants' Legal Analysis

    1. Section 57(a)(4) of the Act prohibits certain affiliated persons
of a BDC from participating in joint transactions with the BDC or a
company controlled by a BDC in contravention of rules as prescribed by
the Commission. Under section 57(b)(2) of the Act, any person who is
directly or indirectly controlling, controlled by, or under common
control with a BDC is subject to section 57(a)(4). Applicants submit
that each of the Regulated Funds and Affiliated Funds could be deemed
to be a person related to each Regulated Fund in a manner described by
section 57(b) by virtue of being under common control. Section 57(i) of
the Act provides that, until the Commission prescribes rules under
section 57(a)(4), the Commission's rules under section 17(d) of the Act
applicable to registered closed-end investment companies will be deemed
to apply to transactions subject to section 57(a)(4). Because the
Commission has not adopted any rules under section 57(a)(4), rule 17d-1
also applies to joint transactions with Regulated Funds that are BDCs.
Section 17(d) of the Act and rule 17d-1 under the Act are applicable to
Regulated Funds that are registered closed-end investment companies.
    2. Section 17(d) of the Act and rule 17d-1 under the Act prohibit
affiliated persons of a registered investment company from
participating in joint transactions with the company unless the
Commission has granted an order permitting such transactions. In
passing upon applications under rule 17d-1, the Commission considers
whether the company's participation in the joint transaction is
consistent with the provisions, policies, and purposes of the Act and
the extent to which such participation is on a basis different from or
less advantageous than that of other participants.
    3. Applicants state that in the absence of the requested relief,
the Regulated Funds would be, in some circumstances, limited in their
ability to participate in attractive and appropriate investment
opportunities. Applicants believe that the proposed terms and
conditions will ensure that the Co-Investment Transactions are
consistent with the protection of each Regulated Fund's shareholders
and with the purposes intended by the policies and provisions of the
Act. Applicants state that the Regulated Funds' participation in the
Co-Investment Transactions will

be consistent with the provisions, policies, and purposes of the Act
and on a basis that is not different from or less advantageous than
that of other participants.

Applicants' Conditions

    Applicants agree that the Order will be subject to the following
conditions:
    1. Each time an Adviser considers a Potential Co-Investment
Transaction for an Affiliated Fund or another Regulated Fund that falls
within a Regulated Fund's then-current Objectives and Strategies, the
Regulated Fund's Adviser will make an independent determination of the
appropriateness of the investment for such Regulated Fund in light of
the Regulated Fund's then-current circumstances.
    2. (a) If the Adviser deems a Regulated Fund's participation in any
Potential Co-Investment Transaction to be appropriate for the Regulated
Fund, it will then determine an appropriate level of investment for the
Regulated Fund.
    (b) If the aggregate amount recommended by the applicable Adviser
to be invested by the applicable Regulated Fund in the Potential Co-
Investment Transaction, together with the amount proposed to be
invested by the other participating Regulated Funds and Affiliated
Funds, collectively, in the same transaction, exceeds the amount of the
investment opportunity, the investment opportunity will be allocated
among them pro rata based on each participant's Available Capital, up
to the amount proposed to be invested by each. The applicable Adviser
will provide the Eligible Directors of each participating Regulated
Fund with information concerning each participating party's Available
Capital to assist the Eligible Directors with their review of the
Regulated Fund's investments for compliance with these allocation
procedures.
    (c) After making the determinations required in conditions 1 and
2(a), the applicable Adviser will distribute written information
concerning the Potential Co-Investment Transaction (including the
amount proposed to be invested by each participating Regulated Fund and
Affiliated Fund) to the Eligible Directors of each participating
Regulated Fund for their consideration. A Regulated Fund will co-invest
with one or more other Regulated Funds and/or one or more Affiliated
Funds only if, prior to the Regulated Fund's participation in the
Potential Co-Investment Transaction, a Required Majority concludes
that:
    (i) The terms of the Potential Co-Investment Transaction, including
the consideration to be paid, are reasonable and fair to the Regulated
Fund and its shareholders and do not involve overreaching in respect of
the Regulated Fund or its shareholders on the part of any person
concerned;
    (ii) the Potential Co-Investment Transaction is consistent with:
    (A) The interests of the shareholders of the Regulated Fund; and
    (B) the Regulated Fund's then-current Objectives and Strategies;
    (iii) the investment by any other Regulated Funds or Affiliated
Funds would not disadvantage the Regulated Fund, and participation by
the Regulated Fund would not be on a basis different from or less
advantageous than that of other Regulated Funds or Affiliated Funds;
provided that, if any other Regulated Fund or Affiliated Fund, but not
the Regulated Fund itself, gains the right to nominate a director for
election to a portfolio company's board of directors or the right to
have a board observer or any similar right to participate in the
governance or management of the portfolio company, such event shall not
be interpreted to prohibit the Required Majority from reaching the
conclusions required by this condition (2)(c)(iii), if:
    (A) The Eligible Directors will have the right to ratify the
selection of such director or board observer, if any;
    (B) the applicable Adviser agrees to, and does, provide periodic
reports to the Regulated Fund's Board with respect to the actions of
such director or the information received by such board observer or
obtained through the exercise of any similar right to participate in
the governance or management of the portfolio company; and
    (C) any fees or other compensation that any Affiliated Fund or any
Regulated Fund or any affiliated person of any Affiliated Fund or any
Regulated Fund receives in connection with the right of the Affiliated
Fund or a Regulated Fund to nominate a director or appoint a board
observer or otherwise to participate in the governance or management of
the portfolio company will be shared proportionately among the
participating Affiliated Funds (who each may, in turn, share its
portion with its affiliated persons) and the participating Regulated
Funds in accordance with the amount of each party's investment; and
    (iv) the proposed investment by the Regulated Fund will not benefit
the Advisers, the Affiliated Funds or the other Regulated Funds or any
affiliated person of any of them (other than the parties to the Co-
Investment Transaction), except (A) to the extent permitted by
condition 13, (B) to the extent permitted by section 17(e) or 57(k) of
the Act, as applicable, (C) indirectly, as a result of an interest in
the securities issued by one of the parties to the Co-Investment
Transaction, or (D) in the case of fees or other compensation described
in condition 2(c)(iii)(C).
    3. Each Regulated Fund has the right to decline to participate in
any Potential Co-Investment Transaction or to invest less than the
amount proposed.
    4. The applicable Adviser will present to the Board of each
Regulated Fund, on a quarterly basis, a record of all investments in
Potential Co-Investment Transactions made by any of the other Regulated
Funds or Affiliated Funds during the preceding quarter that fell within
the Regulated Fund's then-current Objectives and Strategies that were
not made available to the Regulated Fund, and an explanation of why the
investment opportunities were not offered to the Regulated Fund. All
information presented to the Board pursuant to this condition will be
kept for the life of the Regulated Fund and at least two years
thereafter, and will be subject to examination by the Commission and
its staff.
    5. Except for Follow-On Investments made in accordance with
condition 8,\14\ a Regulated Fund will not invest in reliance on the
Order in any issuer in which another Regulated Fund, Affiliated Fund,
or any affiliated person of another Regulated Fund or Affiliated Fund
is an existing investor.
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    \14\ This exception applies only to Follow-On Investments by a
Regulated Fund in issuers in which that Regulated Fund already holds
investments.
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    6. A Regulated Fund will not participate in any Potential Co-
Investment Transaction unless the terms, conditions, price, class of
securities to be purchased, settlement date, and registration rights
will be the same for each participating Regulated Fund and Affiliated
Fund. The grant to an Affiliated Fund or another Regulated Fund, but
not the Regulated Fund, of the right to nominate a director for
election to a portfolio company's board of directors, the right to have
an observer on the board of directors or similar rights to participate
in the governance or management of the portfolio company will not be
interpreted so as to violate this condition 6, if conditions
2(c)(iii)(A), (B) and (C) are met.
    7. (a) If any Affiliated Fund or any Regulated Fund elects to sell,
exchange or otherwise dispose of an interest in a security that was
acquired in a Co-Investment Transaction, the applicable Advisers will:

    (i) Notify each Regulated Fund that participated in the Co-
Investment Transaction of the proposed disposition at the earliest
practical time; and
    (ii) formulate a recommendation as to participation by each
Regulated Fund in the disposition.
    (b) Each Regulated Fund will have the right to participate in such
disposition on a proportionate basis, at the same price and on the same
terms and conditions as those applicable to the participating
Affiliated Funds and Regulated Funds.
    (c) A Regulated Fund may participate in such disposition without
obtaining prior approval of the Required Majority if: (i) The proposed
participation of each Regulated Fund and each Affiliated Fund in such
disposition is proportionate to its outstanding investments in the
issuer immediately preceding the disposition; (ii) the Board of the
Regulated Fund has approved as being in the best interests of the
Regulated Fund the ability to participate in such dispositions on a pro
rata basis (as described in greater detail in the application); and
(iii) the Board of the Regulated Fund is provided on a quarterly basis
with a list of all dispositions made in accordance with this condition.
In all other cases, the Adviser will provide its written recommendation
as to the Regulated Fund's participation to the Eligible Directors, and
the Regulated Fund will participate in such disposition solely to the
extent that a Required Majority determines that it is in the Regulated
Fund's best interests.
    (d) Each Affiliated Fund and each Regulated Fund will bear its own
expenses in connection with any such disposition.
    8. (a) If any Affiliated Fund or any Regulated Fund desires to make
a Follow-On Investment in a portfolio company whose securities were
acquired in a Co-Investment Transaction, the applicable Advisers will:
    (i) Notify each Regulated Fund that participated in the Co-
Investment Transaction of the proposed transaction at the earliest
practical time; and
    (ii) formulate a recommendation as to the proposed participation,
including the amount of the proposed Follow-On Investment, by each
Regulated Fund.
    (b) A Regulated Fund may participate in such Follow-On Investment
without obtaining prior approval of the Required Majority if: (i) The
proposed participation of each Regulated Fund and each Affiliated Fund
in such investment is proportionate to its outstanding investments in
the issuer immediately preceding the Follow-On Investment; and (ii) the
Board of the Regulated Fund has approved as being in the best interests
of the Regulated Fund the ability to participate in Follow-On
Investments on a pro rata basis (as described in greater detail in the
application). In all other cases, the Adviser will provide its written
recommendation as to the Regulated Fund's participation to the Eligible
Directors, and the Regulated Fund will participate in such Follow-On
Investment solely to the extent that a Required Majority determines
that it is in the Regulated Fund's best interests.
    (c) If, with respect to any Follow-On Investment:
    (i) The amount of the opportunity is not based on the Regulated
Funds' and the Affiliated Funds' outstanding investments immediately
preceding the Follow-On Investment; and
    (ii) the aggregate amount recommended by the applicable Adviser to
be invested by the applicable Regulated Fund in the Follow-On
Investment, together with the amount proposed to be invested by the
other participating Regulated Funds and Affiliated Funds, collectively,
in the same transaction, exceeds the amount of the investment
opportunity; then the investment opportunity will be allocated among
them pro rata based on each participant's Available Capital, up to the
maximum amount proposed to be invested by each.
    (d) The acquisition of Follow-On Investments as permitted by this
condition will be considered a Co-Investment Transaction for all
purposes and subject to the other conditions set forth in this
application.
    9. The Non-Interested Directors of each Regulated Fund will be
provided quarterly for review all information concerning Potential Co-
Investment Transactions and Co-Investment Transactions, including
investments made by other Regulated Funds or Affiliated Funds that the
Regulated Fund considered but declined to participate in, so that the
Non-Interested Directors may determine whether all investments made
during the preceding quarter, including those investments that the
Regulated Fund considered but declined to participate in, comply with
the conditions of the Order. In addition, the Non-Interested Directors
will consider at least annually the continued appropriateness for the
Regulated Fund of participating in new and existing Co-Investment
Transactions.
    10. Each Regulated Fund will maintain the records required by
section 57(f)(3) of the Act as if each of the Regulated Funds were a
BDC and each of the investments permitted under these conditions were
approved by the Required Majority under section 57(f) of the Act.
    11. No Non-Interested Director of a Regulated Fund will also be a
director, general partner, managing member or principal, or otherwise
an ``affiliated person'' (as defined in the Act) of an Affiliated Fund.
    12. The expenses, if any, associated with acquiring, holding or
disposing of any securities acquired in a Co-Investment Transaction
(including, without limitation, the expenses of the distribution of any
such securities registered for sale under the Securities Act) will, to
the extent not payable by the Advisers under their respective
investment advisory agreements with Affiliated Funds and the Regulated
Funds, be shared by the Regulated Funds and the Affiliated Funds in
proportion to the relative amounts of the securities held or to be
acquired or disposed of, as the case may be.
    13. Any transaction fee (including break-up or commitment fees but
excluding broker's fees contemplated by section 17(e) or 57(k) of the
Act, as applicable), received in connection with a Co-Investment
Transaction will be distributed to the participating Regulated Funds
and Affiliated Funds on a pro rata basis based on the amounts they
invested or committed, as the case may be, in such Co-Investment
Transaction. If any transaction fee is to be held by an Adviser pending
consummation of the transaction, the fee will be deposited into an
account maintained by such Adviser at a bank or banks having the
qualifications prescribed in section 26(a)(1) of the Act, and the
account will earn a competitive rate of interest that will also be
divided pro rata among the participating Regulated Funds and Affiliated
Funds based on the amounts they invest in such Co-Investment
Transaction. None of the Affiliated Funds, the Advisers, the other
Regulated Funds or any affiliated person of the Regulated Funds or
Affiliated Funds will receive additional compensation or remuneration
of any kind as a result of or in connection with a Co-Investment
Transaction (other than (a) in the case of the Regulated Funds and the
Affiliated Funds, the pro rata transaction fees described above and
fees or other compensation described in condition 2(c)(iii)(C); and (b)
in the case of an Adviser, investment advisory fees paid in accordance
with the agreement between the Adviser and the Regulated Fund or
Affiliated Fund.
    14. If the Holders own in the aggregate more than 25% of the Shares
of a Regulated Fund, then the Holders will

vote such Shares as directed by an independent third party when voting
on (1) the election of directors; (2) the removal of one or more
directors; or (3) any other matter under either the Act or applicable
state law affecting the Board's composition, size or manner of
election.
    15. Each Regulated Fund's chief compliance officer, as defined in
rule 38a-1(a)(4) under the Act, will prepare an annual report for its
Board each year that evaluates (and documents the basis of that
evaluation) the Regulated Fund's compliance with the terms and
conditions of the application and the procedures established to achieve
such compliance.

    For the Commission, by the Division of Investment Management,
under delegated authority.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-10830 Filed 5-25-17; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 77, Number 233 (Tuesday, December 4, 2012)]
[Notices]
[Page 71812]
[FR Doc No: 2012-29210]

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

DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Internal Agency Docket No. FEMA-3358-EM; Docket ID FEMA-2012-0002]

West Virginia; Amendment No. 2 to Notice of an Emergency
Declaration

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice.

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

SUMMARY: This notice amends the notice of an emergency declaration for
the State of West Virginia (FEMA-3358-EM), dated October 29, 2012, and
related determinations.

DATES: Effective Date: November 8, 2012.

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

SUPPLEMENTARY INFORMATION: Notice is hereby given that the incident
period for this emergency is closed effective November 8, 2012.

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

W. Craig Fugate,
Administrator, Federal Emergency Management Agency.
[FR Doc. 2012-29210 Filed 12-3-12; 8:45 am]
BILLING CODE 9111-23-P


Comment Info: =================

General Comment: Dear Mr. Zeller:

I am writing as an individual consumer to request an extension of the comment period for the Food and Drug Administration's ("FDA") Proposed Rule Deeming Tobacco Products to be Subject to the Federal Food, Drug, and Cosmetic Act, as amended by the Family Smoking and Prevention and Tobacco Control Act (the "Proposed Rule") published at 79 Fed. Reg. 23,142 and Federal Register No. 2014-09491. On behalf of myself, I am requesting that the comment period for the Proposed Rule be extended by the FDA for an additional 105 days, from its current 75-day period, to 180 days.

The Proposed Rule raises a number of significant issues and questions that are important and relevant to me, as a consumer of products that are proposed for regulation under the Proposed Rule. The Proposed Rule asks about a hundred different questions I might want to respond to. I want to provide my thoughts and comments on many of these issues, but my time to devote to researching and providing thoughtful comments on these important questions is limited. I have already spent many hours researching and dissecting these issues, but they take time. I know that the FDA took many years to even come up with the Proposed Rule, so I do not think it is at all unreasonable to allow the public a mere six months to comment on it. This is our only opportunity, as consumers, to provide our feedback.

I feel very strongly about e-cigarettes as an alternative to combustible cigarettes. Quite simply, I firmly believe that they saved my life. I wish to provide you with my personal story, as well as science- and evidence-based responses to your questions so that you can take my comment into account.

My story: Hello, my name is Vince Cordell. I smoked for 12 years. to put that in perspective, I'm 23. I've tried everything I could to quit smoking, including patches, gum, exercise, and even replacement actions like eating carrots. Vaping has been the only thing that has worked for me. I have been proudly cigarette free for 5 months, from the day my son was born on December 5th, 2013. In that short amount of time, I've already seen a drastic improvement in my health, both mental and emotional. I can breath better, I think clearer, I don't get sick all the time, and, as an added bonus, I have much more money to use on other things! I would never go beck to smoking cigarettes, and I have never had the urge to try one again. I even plan on weening myself off of nicotine altogether eventually, and it's much easier to do that vaping. I'm just so thankful to have this wonderful outlet that helped me kick cigarettes, and I hope to keep it for me and other vapers/ future ex-smokers.

 I realize that the FDA has the authority under 21 CFR 10.40 to extend this time frame and that the FDA has exercised this authority on numerous occasions in the past. I would therefore ask that you do so here, so that all stakeholders have the opportunity to provide their comments on this proposed regulation.

I appreciate your consideration of my request and am happy to discuss this issue with you further.


[Federal Register Volume 82, Number 223 (Tuesday, November 21, 2017)]
[Notices]
[Pages 55378-55379]
[FR Doc No: 2017-25156]

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

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket Nos. FDA-2017-P-3989, FDA-2017-P-4195, FDA-2017-P-5114, FDA-
2017-P-5909, FDA-2017-P-5910, and FDA-2017-P-5967]

Determination That TRINTELLIX (Vortioxetine Hydrobromide) Oral
Tablet, EQ 15 Milligram Base, Was Not Withdrawn From Sale for Reasons
of Safety or Effectiveness

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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

SUMMARY: The Food and Drug Administration (FDA or Agency) has
determined that TRINTELLIX (vortioxetine hydrobromide) oral tablet,
equivalent to (EQ) 15 milligram (mg) base, was not withdrawn from sale
for reasons of safety or effectiveness. This determination will allow
FDA to approve abbreviated new drug applications (ANDAs) for
vortioxetine hydrobromide oral tablet, 15 mg base, if all other legal
and regulatory requirements are met.

FOR FURTHER INFORMATION CONTACT: Meadow W. Platt, Center for Drug
Evaluation and Research, Food and Drug Administration, 10903 New
Hampshire Ave., Bldg. 51, Rm. 6228, Silver Spring, MD 20993-0002, 301-
796-1830.

SUPPLEMENTARY INFORMATION: In 1984, Congress enacted the Drug Price
Competition and Patent Term Restoration Act of 1984 (Pub. L. 98-417)
(the 1984 amendments), which authorized the approval of duplicate
versions of drug products under an ANDA procedure. ANDA applicants
must, with certain exceptions, show that the drug for which they are
seeking approval contains the same active ingredient in the same
strength and dosage form as the ``listed drug,'' which is a version of
the drug that was previously approved. ANDA applicants do not have to
repeat the extensive clinical testing otherwise necessary to gain
approval of a new drug application (NDA).
    The 1984 amendments include what is now section 505(j)(7) of the
Federal Food, Drug, and Cosmetic Act (21 U.S.C. 355(j)(7)), which
requires FDA to publish a list of all approved drugs. FDA publishes
this list as part of the ``Approved Drug Products With Therapeutic
Equivalence Evaluations,'' which is known generally as the ``Orange
Book.'' Under FDA regulations, drugs are removed from the list if the
Agency withdraws or suspends approval of the drug's NDA or ANDA for
reasons of safety or effectiveness or if FDA determines that the listed
drug was withdrawn from sale for reasons of safety or effectiveness (21
CFR 314.162).
    A person may petition the Agency to determine, or the Agency may
determine on its own initiative, whether a listed drug was withdrawn
from sale for reasons of safety or effectiveness. This determination
may be made at any time after the drug has been withdrawn from sale,
but must be made prior to approving an ANDA that refers to the listed
drug (Sec.  314.161 (21 CFR 314.161)). FDA may not approve an ANDA that
does not refer to a listed drug.
    TRINTELLIX (vortioxetine hydrobromide) oral tablets, EQ 5 mg base,
EQ 10 mg base, EQ 15 mg base, and EQ 20 mg base, are the subject of NDA
204447, held by Takeda Pharmaceuticals, USA, Inc., and initially
approved on September 30, 2013. TRINTELLIX is indicated for the
treatment of major depressive disorder.
    TRINTELLIX (vortioxetine hydrobromide) oral tablets, EQ 5 mg base,
EQ 10 mg base, and EQ 20 mg base, are listed in the ``Prescription Drug
Product List'' section of the Orange Book, and TRINTELLIX (vortioxetine
hydrobromide) oral tablet, EQ 15 mg base, is listed in the
``Discontinued Drug Product List'' section of the Orange Book. Takeda
Pharmaceuticals, USA, Inc., has never marketed TRINTELLIX (vortioxetine
hydrobromide) oral tablet, EQ 15 mg base. In previous instances (see,
e.g., 72 FR 9763 (March 5, 2007), 61 FR 25497 (May 21, 1996)), the
Agency has determined that, for purposes of Sec. Sec.  314.161 and
314.162, never marketing an approved drug product is equivalent to
withdrawing the drug from sale.
    Lachman Consultant Services, Inc.; INC Research, LLC; Locke Lord,
LLP; Goodwin Procter, LLP; Cipla USA Inc.; and Apotex, Inc., submitted
citizen petitions dated June 29, 2017; July 12, 2017; August 21, 2017;
September 25, 2017; September 25, 2017; and September 27, 2017,
respectively (Docket Nos. FDA-2017-P-3989, FDA-

2017-P-4195, FDA-2017-P-5114, FDA 2017-P-5909, FDA-2017-P-5910, and
FDA-2017-P-5967) (collectively, ``citizen petitions''). Under 21 CFR
10.30, the citizen petitions requested that the Agency determine
whether TRINTELLIX (vortioxetine hydrobromide) oral tablet, EQ 15 mg
base, was withdrawn from sale for reasons of safety or effectiveness.
Lachman Consultant Services, Inc., and INC Research also asked FDA to
accept ANDAs for all four strengths of TRINTELLIX (vortioxetine
hydrobromide) tablets: EQ 5 mg base, EQ 10 mg base, EQ 15 mg base, and
EQ 20 mg base. Because TRINTELLIX (vortioxetine hydrobromide) oral
tablets, EQ 5 mg base, EQ 10 mg base, and EQ 20 mg base, are not listed
in the ``Discontinued Drug Product List'' section of the Orange Book,
these strengths do not require a determination as to whether they were
withdrawn from sale for reasons of safety or effectiveness.
    After considering the citizen petitions and reviewing Agency
records and based on the information we have at this time, FDA has
determined under Sec.  314.161 that TRINTELLIX (vortioxetine
hydrobromide) oral tablet, EQ 15 mg base, was not withdrawn for reasons
of safety or effectiveness. The petitioners have identified no data or
other information suggesting that TRINTELLIX (vortioxetine
hydrobromide) oral tablet, EQ 15 mg base, was withdrawn for reasons of
safety or effectiveness. We have carefully reviewed our files for
records concerning the withdrawal of TRINTELLIX (vortioxetine
hydrobromide) oral tablet, EQ 15 mg base, from sale. We have also
independently evaluated relevant literature and data for possible
postmarketing adverse events. We have reviewed the available evidence
and determined that this drug product was not withdrawn from sale for
reasons of safety or effectiveness.
    Accordingly, the Agency will continue to list TRINTELLIX
(vortioxetine hydrobromide) oral tablet, EQ 15 mg base, in the
``Discontinued Drug Product List'' section of the Orange Book. The
``Discontinued Drug Product List'' delineates, among other items, drug
products that have been discontinued from marketing for reasons other
than safety or effectiveness. ANDAs that refer to TRINTELLIX
(vortioxetine hydrobromide) oral tablet, EQ 15 mg base (as well as
those that refer to TRINTELLIX (vortioxetine hydrobromide) oral
tablets, EQ 5 mg base, EQ 10 mg base, and EQ 20 mg base), may be
approved by the Agency as long as they meet all other legal and
regulatory requirements for the approval of ANDAs. If FDA determines
that labeling for this drug product should be revised to meet current
standards, the Agency will advise ANDA applicants to submit such
labeling.

    Dated: November 3, 2017.
Anna K. Abram,
Deputy Commissioner for Policy, Planning, Legislation, and Analysis.
[FR Doc. 2017-25156 Filed 11-20-17; 8:45 am]
BILLING CODE 4164-01-P


[Federal Register Volume 87, Number 71 (Wednesday, April 13, 2022)]
[Notices]
[Page 21880]
[FR Doc No: 2022-07877]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. ER22-1576-000]

WPL North Rock Solar, LLC; Supplemental Notice That Initial
Market-Based Rate Filing Includes Request for Blanket Section 204
Authorization

    This is a supplemental notice in the above-referenced proceeding of
WPL North Rock Solar, LLC's application for market-based rate
authority, with an accompanying rate tariff, noting that such
application includes a request for blanket authorization, under 18 CFR
part 34, of future issuances of securities and assumptions of
liability.
    Any person desiring to intervene or to protest should file with the
Federal Energy Regulatory Commission, 888 First Street NE, Washington,
DC 20426, in accordance with Rules 211 and 214 of the Commission's
Rules of Practice and Procedure (18 CFR 385.211 and 385.214). Anyone
filing a motion to intervene or protest must serve a copy of that
document on the Applicant.
    Notice is hereby given that the deadline for filing protests with
regard to the applicant's request for blanket authorization, under 18
CFR part 34, of future issuances of securities and assumptions of
liability, is April 27, 2022.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper, using the FERC Online links at http://www.ferc.gov. To facilitate electronic service, persons with internet
access who will eFile a document and/or be listed as a contact for an
intervenor must create and validate an eRegistration account using the
eRegistration link. Select the eFiling link to log on and submit the
intervention or protests.
    Persons unable to file electronically may mail similar pleadings to
the Federal Energy Regulatory Commission, 888 First Street NE,
Washington, DC 20426. Hand delivered submissions in docketed
proceedings should be delivered to Health and Human Services, 12225
Wilkins Avenue, Rockville, Maryland 20852.
    In addition to publishing the full text of this document in the
Federal Register, the Commission provides all interested persons an
opportunity to view and/or print the contents of this document via the
internet through the Commission's Home Page (http://www.ferc.gov) using
the ``eLibrary'' link. Enter the docket number excluding the last three
digits in the docket number field to access the document. At this time,
the Commission has suspended access to the Commission's Public
Reference Room, due to the proclamation declaring a National Emergency
concerning the Novel Coronavirus Disease (COVID-19), issued by the
President on March 13, 2020. For assistance, contact the Federal Energy
Regulatory Commission at [email protected] or call toll-free,
(886) 208-3676 or TYY,<PHONE_NUMBER>.

    Dated: April 7, 2022.
Debbie-Anne A. Reese,
Deputy Secretary.
[FR Doc. 2022-07877 Filed 4-12-22; 8:45 am]
BILLING CODE 6717-01-P


28.0
128,000
10.9
94,000
19.0
87,000
26.6
468
,000
18.3
1994
169,000
29.5
125,000
10.6
80,000
15.7
76,000
22.9
451
,000
17.4
1995
212,000
36.7
135,000
11.4
87,000
16.7
77000
23.0
511
,000
19.5
1996
195,000
33.8
132,000
11.1
88,000
16.4
59,000
17.4
474
,000
17.9
1997
214,000
35.8
117,000
9.6
88,000
15.9
65,000
19.2
484
,000
17.9
1998
166,000
27.7
104,000
8.6
92,000
16.2
60,000
17.7
423
,000
15.5
1999
190,000
31.5
122,000
10.0
94,000
15.9
73,000
21.3
478
,000
17.4
2000
203,000
33.6
111,000
9.1
84,000
13.7
68,000
19.6
465
,000
16.7
2001
182,000
30.1
104,000
8.4
92,000
14.3
76,000
21.4
454
,000
16.0
2002
187,000
30.8
109,000
8.8
109,000
16.4
80,000
22.5
484
,000
16.9
2003
213,000
35.0
127,000
10.2
125,000
18.3
109,000
30.5
574
,000
19.8
2004
190,000
31.0
91,000
7.3
112,000
15.9
104,000
28.7
497
,000
17.0
SOURCE: NATIONAL CENTER FOR HEALTH STATISTICS, NATIONAL HOSPITAL DISCHARGE SURVEY, 1979-2004
NOTES:
(1)  DUE TO ROUNDING NUMBERS ACROSS MAY NOT ADD TO THE TOTAL NUMBER OF HOSPITAL DISCHARGES.
(2)  DATA FROM 1988-2004 MAY NOT BE COMPARABLE TO EARLIER YEARS DUE TO THE REDESIGN OF THE SURVEY.
TABLE 17: ASTHMA - NUMBER OF FIRST-LISTED HOSPITAL DISCHARGES AND

RATE
1
YEAR
TOTAL
2
WHITE
BLACK
ALL
OTHER
NOT
REPORTED
3
TOTAL
WHITE
BLACK
ALL
OTHER
1988 479,000
295
,000
116,000
31,000
37,000
19.6
14.4
39.4
36.1
1989
475,000
286
,000
117,000
22,000
50,000
19.3
13.9
39.2
24.2
1990
476,000
263
,000
116,000
19,000
78,000
19.1
12.7
38.3
19.8
1991
490,000
269
,000
120,000
23,000
78,000
19.6
12.8
38.9
22.9
1992
463,000
215
,000
134,000
25,000
89,000
18.3
10.2
42.8
23.8
1993
468,000
246
,000
103,000
22,000
97,000
18.3
11.5
32.3
20.1
1994
451,000
227
,000
125,000
29,000
70,000
17.4
10.5
38.6
26.0
1995
511,000
256
,000
140,000
25,000
90,000
19.5
11.6
42.7
21.4
1996
474,000
237
,000
133,000
33,000
70,000
17.9
10.8
40.1
27.6
1997
484,000
262
,000
125,000
39,000
58,000
17.9
11.8
35.5
30.7
1998
423,000
222
,000
115,000
28,000
58,000
15.5
10.0
32.2
21.0
1999
478,000
236
,000
128,000
42,000
72,000
17.4
10.4
35.5
31.2
2000
465,000
234
,000
117,000
18,000
79,000
16.7
10.3
32.9
10.3
2001
454,000
231
,000
114,000
22,000
86,000
16.0
10.1
31.7
12.2
2002
484,000
244
,000
131,000
19,000
90,000
16.9
10.5
36.0
9
.9
2003
574,000
284
,000
145,000
32,000
113,000
19.8
12.2
39.3
16.7
2004
497,000
236
,000
126,000
35,000
100,000
17.0
10.0
33.9
17.3
NOTES:
(1) RATES MAY DIFFER FROM PREVIOUSLY PUBLISHED RATES DUE TO ADJUSTMENTS MADE TO POPULATION USED.
(2) INCLUDES WHITE, BLACK AND OTHER RACE DISCHARGES AS WELL AS THOSE OF AN UNSPECIFIED RACE.
(3) BETWEEN 1988 AND 2004, THE NUMBER OF DISCHARGES NOT REPORTING RACE INCREASED DRAMATICALLY. IT APPEARS
THAT HOSPITAL DISCHARGES IN WHITES MIGHT BE DISPROPORTIONATELY UNDERESTIMATED, PARTICULARLY IN LATER
YEARS.  FOR THIS REASON, COMPARISONS BETWEEN RACES SHOULD BE MADE WITH CAUTION.
TABLE 18: ASTHMA - NUMBER OF FIRST-LISTED HOSPITAL DISCHARGES AND
RATE PER 10,000 POPULATION BY RACE, 1988-2004
SOURCE: NATIONAL CENTER FOR HEALTH STATISTICS: NATIONAL HOSPITAL DISCHARGE SURVEY, 1988-2004
NUMBER

TABLE 19: ASTHMA-NUMBER OF VISITS TO PHYSICIAN OFFICES, OUTPATIENT DEPARTMENTS
AND EMERGENCY DEPARTMENTS, 1989-2004
YEAR
COMBINED
SETTINGS
PHYSICIAN OFFICES
OUTPATIENT
DEPARTMENTS
EMERGENCY
DEPARTMENTS
1989
6,822
6,822
NA
NA
1990
7,137
7,137
NA
NA
1991
NA
NA
NA
NA
1992
11,851
9,740
644
1,467
1993
14,048
11,340
1,022
1,686
1994
13,373
10,757
1,009
1,607
1995
12,192
9,026
1,301
1,865
1996
11,889
9,051
903
1,935
1997
12,848
9,834
1,097
1,917
1998
15,886
12,868
984
2,034
1999
12,805
9,498
1,310
1,997
2000
12,203
9,332
1,036
1,835
2001
14,231
11,280
1,286
1,665
2002
15,815
12,692
1,225
1,898
2003
16,120
12,855
1,512
1,753
2004
16,500
13,607
1,054
1,838
SOURCE:  NATIONAL AMBULATORY MEDICAL CARE SURVEY, 1989-2004
AND NATIONAL HOSPITAL AMBULATORY MEDICAL CARE SURVEY, 1992-2004
NUMBER OF VISITS IN THOUSANDS

TABLE 20:  ECONOMIC COST OF ASTHMA, UNITED STATES, 2004
1
CATEGORY
COST
( in millions)
Direct Medical Expenditures:
Hospital Care
3,600.00
Inpatient
2
,746.80
Emergency Room
518
.40
Outpatient
334
.80
Physicians' Services
2
2
,900.00
Inpatient
858
.40
Outpatient
2
,041.60
Prescription Drugs
5,000.00
All Direct Expenditures
1
1,500.00
Indirect Costs:
Morbidity
2
,900.00
School days lost
1,490.60
Loss of Work
1
,409.40
Outside Employment
5
7
4
.
2
0
Men
223
.30
Women
350
.90
Housekeeping
835
.20
Mortality
1
,700.00
Men
809
.20
Women
890
.80
All Indirect Costs
4
,600.00
All Costs:
1
6
,100.00
SOURCE: NEW ENGLAND JOURNAL OF MEDICINE, VOL. 326, NO. 13, MARCH 26, 1992
NHLBI - CHARTBOOK ON CARDIOVASCULAR, LUNG AND BLOOD DISEASES, 2004
Notes:
(2) Physician services includes physicians, clinics and other professional services.
(1) Estimates of overall direct and indirect costs were obtained from the NHLBI Chartbook 2004. More specific cost estimates were
calculated from applying proportions found in the sourced article with the projected NHLBI 2004 costs. Cost estimates were derived


[Federal Register Volume 85, Number 234 (Friday, December 4, 2020)]
[Rules and Regulations]
[Pages 78221-78222]
[FR Doc No: 2020-26690]

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

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 97

[Docket No. 31344; Amdt. No. 3934]

Standard Instrument Approach Procedures, and Takeoff Minimums and
Obstacle Departure Procedures; Miscellaneous Amendments

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule.

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

SUMMARY: This rule amends, suspends, or removes Standard Instrument
Approach Procedures (SIAPs) and associated Takeoff Minimums and
Obstacle Departure Procedures for operations at certain airports. These
regulatory actions are needed because of the adoption of new or revised
criteria, or because of changes occurring in the National Airspace
System, such as the commissioning of new navigational facilities,
adding new obstacles, or changing air traffic requirements. These
changes are designed to provide for the safe and efficient use of the
navigable airspace and to promote safe flight operations under
instrument flight rules at the affected airports.

DATES: This rule is effective December 4, 2020. The compliance date for
each SIAP, associated Takeoff Minimums, and ODP is specified in the
amendatory provisions.
    The incorporation by reference of certain publications listed in
the regulations is approved by the Director of the Federal Register as
of December 4, 2020.

ADDRESSES: Availability of matter incorporated by reference in the
amendment is as follows:

For Examination

    1. U.S. Department of Transportation, Docket Ops-M30, 1200 New
Jersey Avenue SE, West Bldg., Ground Floor, Washington, DC, 20590-0001;
    2. The FAA Air Traffic Organization Service Area in which the
affected airport is located;
    3. The office of Aeronautical Navigation Products, 6500 South
MacArthur Blvd., Oklahoma City, OK 73169 or,
    4. The National Archives and Records Administration (NARA).
    For information on the availability of this material at NARA, email
<EMAIL_ADDRESS>or go to: https://www.archives.gov/federal-register/cfr/ibr-locations.html.

Availability

    All SIAPs and Takeoff Minimums and ODPs are available online free
of charge. Visit the National Flight Data Center online at nfdc.faa.gov
to register. Additionally, individual SIAP and Takeoff Minimums and ODP
copies may be obtained from the FAA Air Traffic Organization Service
Area in which the affected airport is located.

FOR FURTHER INFORMATION CONTACT: Thomas J. Nichols, Flight Procedures
and Airspace Group, Flight Technologies and Procedures Division, Flight
Standards Service, Federal Aviation Administration. Mailing Address:
FAA Mike Monroney Aeronautical Center, Flight Procedures and Airspace
Group, 6500 South MacArthur Blvd., Registry Bldg 29 Room 104, Oklahoma
City, OK 73169. Telephone:<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: This rule amends 14 CFR part 97 by amending
the referenced SIAPs. The complete regulatory description of each SIAP
is listed on the appropriate FAA Form 8260, as modified by the National
Flight Data Center (NFDC)/Permanent Notice to Airmen (P-NOTAM), and is
incorporated by reference under 5 U.S.C. 552(a), 1 CFR part 51, and 14
CFR 97.20. The large number of SIAPs, their complex nature, and the
need for a special format make their verbatim publication in the
Federal Register expensive and impractical. Further, airmen do not use
the regulatory text of the SIAPs, but refer to their graphic depiction
on charts printed by publishers of aeronautical materials. Thus, the
advantages of incorporation by reference are realized and publication
of the complete description of each SIAP contained on FAA form
documents is unnecessary. This amendment provides the affected CFR
sections, and specifies the SIAPs and Takeoff Minimums and ODPs with
their applicable effective dates. This amendment also identifies the
airport and its location, the procedure and the amendment number.

Availability and Summary of Material Incorporated by Reference

    The material incorporated by reference is publicly available as
listed in the ADDRESSES section. The material incorporated by reference
describes SIAPs, Takeoff Minimums and ODPs as identified in the
amendatory language for part 97 of this final rule.

The Rule

    This amendment to 14 CFR part 97 is effective upon publication of
each separate SIAP and Takeoff Minimums and ODP as amended in the
transmittal. For safety and timeliness of change considerations, this
amendment incorporates only specific changes contained for each SIAP
and Takeoff Minimums and ODP as modified by FDC permanent NOTAMs.
    The SIAPs and Takeoff Minimums and ODPs, as modified by FDC
permanent NOTAM, and contained in this amendment are based on criteria
contained in the U.S. Standard for Terminal Instrument Procedures
(TERPS). In developing these changes to SIAPs and Takeoff Minimums and
ODPs, the TERPS criteria were applied only to specific conditions
existing at the affected airports. All SIAP amendments in this rule
have been previously issued by the FAA in a FDC NOTAM as an emergency
action of immediate flight safety relating directly to published
aeronautical charts.
    The circumstances that created the need for these SIAP and Takeoff
Minimums and ODP amendments require making them effective in less than
30 days.
    Because of the close and immediate relationship between these
SIAPs, Takeoff Minimums and ODPs, and safety in air commerce, I find
that notice and public procedure under 5 U.S.C. 553(b) are
impracticable and contrary to the public interest and, where
applicable, under 5 U.S.C. 553(d), good cause exists for making these
SIAPs effective in less than 30 days.
    The FAA has determined that this regulation only involves an
established body of technical regulations for which frequent and
routine amendments are necessary to keep them operationally

current. It, therefore--(1) is not a ``significant regulatory action''
under Executive Order 12866; (2) is not a ``significant rule'' under
DOT regulatory Policies and Procedures (44 FR 11034; February 26,
1979); and (3) does not warrant preparation of a regulatory evaluation
as the anticipated impact is so minimal. For the same reason, the FAA
certifies that this amendment will not have a significant economic
impact on a substantial number of small entities under the criteria of
the Regulatory Flexibility Act.

List of Subjects in 14 CFR Part 97

    Air Traffic Control, Airports, Incorporation by reference,
Navigation (Air).

    Issued in Washington, DC on November 27, 2020.
Wade Terrell,
Aviation Safety, Manager, Flight Procedures & Airspace Group, Flight
Technologies and Procedures Division.

Adoption of the Amendment

    Accordingly, pursuant to the authority delegated to me, Title 14,
CFR part 97, (is amended by amending Standard Instrument Approach
Procedures and Takeoff Minimums and ODPs, effective at 0901 UTC on the
dates specified, as follows:

PART 97--STANDARD INSTRUMENT APPROACH PROCEDURES

0
1. The authority citation for part 97 continues to read as follows:

    Authority:  49 U.S.C. 106(f), 106(g), 40103, 40106, 40113,
40114, 40120, 44502, 44514, 44701, 44719, 44721-44722.

0
2. Part 97 is amended to read as follows:
    By amending: Sec.  97.23 VOR, VOR/DME, VOR or TACAN, and VOR/DME or
TACAN; Sec.  97.25 LOC, LOC/DME, LDA, LDA/DME, SDF, SDF/DME; Sec.
97.27 NDB, NDB/DME; Sec.  97.29 ILS, ILS/DME, MLS, MLS/DME, MLS/RNAV;
Sec.  97.31 RADAR SIAPs; Sec.  97.33 RNAV SIAPs; and Sec.  97.35 COPTER
SIAPs, Identified as follows:

Effective Upon Publication

----------------------------------------------------------------------------------------------------------------
     AIRAC Date         State            City              Airport        FDC No.    FDC Date       Subject
----------------------------------------------------------------------------------------------------------------
31-Dec-20..........  VA           Norfolk...........  Hampton Roads         0/0181   11/16/20  ILS OR LOC RWY
                                                       Executive.                               10, Orig-A.
31-Dec-20..........  NJ           Newark............  Newark Liberty        0/2524   11/18/20  RNAV (RNP) Z RWY
                                                       Intl.                                    29, Orig-F.
31-Dec-20..........  NJ           Newark............  Newark Liberty        0/2525   11/18/20  RNAV (RNP) Y RWY
                                                       Intl.                                    29, Amdt 1D.
31-Dec-20..........  NJ           Newark............  Newark Liberty        0/2576   11/18/20  RNAV (GPS) Z RWY
                                                       Intl.                                    22L, Amdt 2C.
31-Dec-20..........  NJ           Newark............  Newark Liberty        0/2581   11/18/20  RNAV (GPS) Y RWY
                                                       Intl.                                    4R, Amdt 1F.
31-Dec-20..........  NJ           Newark............  Newark Liberty        0/2582   11/18/20  RNAV (GPS) RWY
                                                       Intl.                                    22R, Amdt 1E.
31-Dec-20..........  NJ           Newark............  Newark Liberty        0/2583   11/18/20  RNAV (GPS) RWY
                                                       Intl.                                    11, Orig-F.
31-Dec-20..........  NJ           Newark............  Newark Liberty        0/2584   11/18/20  RNAV (GPS) RWY
                                                       Intl.                                    4L, Amdt 2E.
31-Dec-20..........  NJ           Newark............  Newark Liberty        0/2585   11/18/20  ILS OR LOC RWY
                                                       Intl.                                    22R, Amdt 6B.
31-Dec-20..........  NJ           Newark............  Newark Liberty        0/2587   11/18/20  ILS OR LOC RWY
                                                       Intl.                                    22L, Amdt 13C.
31-Dec-20..........  NJ           Newark............  Newark Liberty        0/2601   11/18/20  ILS OR LOC RWY
                                                       Intl.                                    11, Amdt 2E.
31-Dec-20..........  NJ           Newark............  Newark Liberty        0/2602   11/18/20  ILS OR LOC RWY
                                                       Intl.                                    4R, Amdt 13A.
31-Dec-20..........  NJ           Newark............  Newark Liberty        0/2604   11/18/20  ILS OR LOC RWY
                                                       Intl.                                    4L, Amdt 15A.
31-Dec-20..........  NJ           Newark............  Newark Liberty        0/2605   11/18/20  RNAV (GPS) X RWY
                                                       Intl.                                    29, Orig-A.
31-Dec-20..........  MN           Tracy.............  Tracy Muni.......     0/3203   11/19/20  Takeoff Minimums
                                                                                and Obstacle DP,
                                                                                Orig.
31-Dec-20..........  MI           Grand Rapids......  Gerald R Ford         0/5806   11/19/20  RNAV (GPS) RWY
                                                       Intl.                                    17, Amdt 1B.
31-Dec-20..........  OK           Ardmore...........  Ardmore Muni.....     0/6707   11/10/20  RNAV (GPS) RWY
                                                                                31, Amdt 1C.
31-Dec-20..........  CA           Madera............  Madera Muni......     0/8852   11/19/20  Takeoff Minimums
                                                                                and Obstacle DP,
                                                                                Amdt 5.
----------------------------------------------------------------------------------------------------------------

[FR Doc. 2020-26690 Filed 12-3-20; 8:45 am]
BILLING CODE 4910-13-P


Materials Characterization Paper

In Support of the

Advanced Notice of Proposed Rulemaking –

Identification of Nonhazardous Materials That Are Solid Waste

Used Oil

December 16, 2008

========================================================

1.	Definition of Used Oil

EPA defines used oil as any oil that has been refined from crude oil, or
any synthetic oil, that has been used and as a result of such use is
contaminated by physical or chemical impurities.

EPA’s criteria for used oil:

Origin: Used oil must have been refined from crude oil or made from
synthetic materials (i.e., derived from coal, shale, or polymers).
Examples of crude-oil derived oils and synthetic oils are motor oil,
mineral oil, laminating surface agents, and metal working oils.  Thus,
animal and vegetable oils are not included.  Bottom clean-out from
virgin fuel oil storage tanks or virgin oil recovered from a spill, as
well as products solely used as cleaning agents or for their solvent
properties, and certain petroleum-derived products such as antifreeze
and kerosene are also not included.

Use:  The oil must have been used as a lubricant, coolant, heat
(non-contact) transfer fluid, hydraulic fluid, heat transfer fluid or
for a similar use.  Lubricants include, but are not limited to, used
motor oil, metal working lubricants, and emulsions.  An example of a
hydraulic fluid is transmission fluid.  Heat transfer fluids can be
materials such as coolants, heating media, refrigeration oils, and
electrical insulation oils.  Authorized states or regions determine what
is considered a “similar use” on a site-specific basis according to
whether the material is used and managed in a manner consistent with
Part 279 (e.g., used as a buoyant).

Contaminants:  The used oil must be contaminated by physical (e.g., high
water content, metal shavings, or dirt) or chemical (e.g., lead,
halogens, solvents or other hazardous constituents) impurities as a
result of use.

Annual Quantities of Used Oil Generated and Used

Sectors that Generate Used Oil:

According to EPA, generators of used oil include “businesses that
handle used oil through commercial or industrial operations or from the
maintenance of vehicles and equipment.” Examples include:

Automotive repair shops

Vehicle service stations

Fleets

Grocery stores

Metal working industries

Energy industry

Boat marinas (EPA 2008b)

Exhibit 1 lists the NAICS codes of the major sectors that generate used
oil.

Exhibit 1:  NAICS Codes for Used Oil Generators

NAICS	NAICS Title

1111	Crop production

2212	Electric services

2212	Electric and other services combined

3242	Petroleum and coal products

332, 3332	Special industry machinery

3331	Metal working industries

333, 3362	Construction machinery and equipment

4212	Scrap and waste materials

4451	Grocery stores

484, 488, 492, 493, 5622	Motor freight transportation and warehousing

7131	Boat marinas

8111	Automotive repair shops

8111	Fleets

8111	Vehicle service stations

8141	Private households

5621	Waste Management and Remediation Services

Sources:

Description of sectors from EPA 2008b; NAICS identified from U.S. Census
Bureau 2007.

EPA 2005b.

Quantities of Used Oil Generated:

Exhibit 2 summarizes the annual generation and management of used oil.
As indicated in the exhibit, an estimated 70 percent of used oil is
either used as a fuel (i.e., burned for energy recovery) or re-refined
into lubricating oil. However, depending upon the year, estimates
indicate that as much as 90 percent of all collected used oil is burned
for energy recovery, leaving 10 percent or less to be re-refined into
lubricating oil (Svizzero 2008).

Trends in Generation:

The data sources consulted for this document do not include information
on the trend in the generation of used oil.  A 2006 report from the
Department of Energy indicates, however, that the volume of oil changed
by consumers themselves (e.g., households and owners/operators of
commercial vehicles) declined from 60 percent of total oil changes in
1997 to 45 percent in 2005 (DOE 2006, p. 5-2).   This shift in practice
may have helped increase the recycling rate for used oil.  During the
1997-2005 period, the recycling rate for used oil generated by service
stations increased from 66 percent in 1997 to almost 100 percent (DOE
2006, p. 5-2).

Exhibit 2:  Overview of Annual Generation and Use

Commodity	Annual Quantity Generated	Annual Quantity

Used as Fuel	Annual Quantity Disposed of in Landfills or Improper
Locations	Annual Quantity Re-refined	Total Quantity Stockpiled

Used Oil	1.35 billion gallons	784.4 million gallons	200 million gallons
160.7 million gallons	unknown

Sources:

Unless otherwise noted, data are from the Utah Department of
Environmental Quality 2008a and 2008b and United States Department of
Energy 2006, p.1-4.  These sources include annual generation and
management estimates, but do not specify the year.

Uses of Used Oil

Combustion Uses:

Use as feedstock at petroleum refinery

Use as an alternative fuel (EPA 2008b)

For the purposes of regulating used oil burned for energy recovery, EPA
makes a distinction between on-spec used oil and off-spec used oil based
upon a finding that only certain contaminants in used oil pose a
significant threat to human health or the environment.  As a result, EPA
has established maximum concentration limits for these constituents of
concern, as summarized in Exhibit 3.  If the used oil is shown not to
exceed any allowable level, it is on-spec and can be burned in any
combustion device.  Otherwise, it is considered off-specification.

National information on the distribution between on-spec and off-spec
used oil was not readily available, but we were able to identify this
information for used oil generated in Florida.  In 2005, an estimated
110,308,107 gallons of used oil and oily waste were managed in Florida.
Of this, 56,569,512 gallons (51.3 percent) were recycled as follows:

41,386,124 gallons (73.2 percent) were marketed as an on-spec used oil
fuel

1,775,815 gallons (3.1 percent) were burned as an off-spec used oil fuel

13,407,573 gallons (23.7 percent) were marketed for other industrial
uses (e.g. phosphate beneficiation) (FL DEP 2006)

Based on the above, we would assume that approximately 73 percent of the
used oil generated and used each year is on-spec.

Exhibit 3:  Criteria for On-Specification Used Oil

Property	Allowable Level

Arsenic	5 ppm maximum

Cadmium	2 ppm maximum

Chromium	10 ppm maximum

Lead	100 ppm maximum

Total Halogens	4,000 ppm maximum1

Flashpoint 	100° F minimum

Source:

EPA 2001

Notes:

1. Used oil containing more than 1,000 ppm total halogens is presumed to
be a hazardous waste under the rebuttable presumption provided under
§279.10(b)(1).  Such used oil is subject to subpart H of part 266
rather than part 279 when burned for energy recovery unless the
presumption of mixing can be successfully rebutted.

As shown in Exhibit 4, asphalt plants are the largest users of used oil
as fuel, followed by space heaters and industrial boilers. It is likely
that asphalt plants use on-spec used oil adhering to the criteria noted
in Exhibit 3 above.

Exhibit 4:  Users of Used Oil

(DOE 2006, p. 5-2)

Non-Combustion Used Oil Uses:  Used oil may be re-used if it is
processed or regenerated (EPA 2008b).

Quantities of Used Oil Landfilled:  Approximately 200 millions gallons
of used oil are landfilled or improperly disposed annually (Utah
Department of Environmental Quality 2008a).

Quantities of Used Oil Stockpiled/stored: Readily available data sources
on used oil do not suggest that this material is stockpiled or stored
(for long periods of time) in large quantities. This is because its
value as a fuel or product leads to its prompt use.

Management and Combustion Processes for Used Oil

Types of Units Combusting Used Oil:

Facilities burn both on-specification and off-specification used oil.
However, off-spec used oil may only be burned in specified combustion
devices (EPA 2008):

Industrial furnaces as defined in 40 Code of Federal Regulation (CFR)
§260.10 and §279.61(a).  Industrial boilers as defined in 40 CFR
§260.20 that are located at facilities that are engaged in a
manufacturing process where substances are transformed into new
products.

Utility boilers as defined in 40 CFR §260.20 that are used to produce
electric power, steam, heated or cooled air, or other gases or fluids
for sale.

Used oil-fired space heaters provided that the burner meets the
provisions of 40 CFR §279.23.

Hazardous waste incinerators subject to regulation under 40 CFR parts
264 and 265, subpart O.

Supply/Processing Chain for Used Oil:

The Standards for the Management of Used Oil in the Code of Federal
Regulations define processing as “chemical or physical operations
designed to produce from used oil, or to make used oil more amenable for
production of, fuel oils, lubricants, or other used oil-derived product.
Processing includes, but is not limited to: blending used oil with
virgin petroleum products, blending used oils to meet the fuel
specification, filtration, simple distillation, chemical or physical
separation and re-refining” (40 CFR 279.50(a)).

Processing Used Oil for Fuel Applications:

Used oil is generated from many different sources and then consolidated
at key collection points (e.g., commercial and industrial operations,
automotive repair shops, branch collection networks, and fleets) through
well-established channels before being shipped to processing facilities
and end users.  Based on communications with used oil recyclers and
marketers, the steps to process used oil for use as a fuel are as
follows:

Test the oil to determine whether it’s on-spec or off-spec.  The
recyclers and marketers who we contacted indicated that nearly all used
oil is on-spec;

Using solvents, remove as much water (and sometimes antifreeze) from the
oil as possible;

Filter out metal scraps and other larger particles using screens. The
filtering can be done when the oil is collected, or in the burner when
the oil is added (Saunders 2008 and Blackburn 2008).

The filtering and water extraction processes described above are
standard practice in the industry.  That is, most used oil goes through
these processing steps prior to being used as a fuel (Saunders 2008 and
Blackburn 2008).

In addition to the processing steps outlined above, processors often
store used oil in tanks, allowing oil to separate from other liquids and
settle to the bottom of the tank.  This allows processors to provide
their customers with relatively high-quality used oils (Saunders 2008
and Blackburn 2008).

Estimated counts of the entities involved in the various stages of used
oil processing and use include the following:

379 used oil transporters and transfer facilities

150 used oil processors and re-refiners

750 burners of off-specification used oil

340 used oil fuel marketers (Office of Management and Budget 2005, p.
52)

State Status of Used Oil use as Fuel:

Based on a review of information from the 2006 Beneficial Use Survey
conducted by the Association of State and Territorial Solid Waste
Management Officials (ASTSWMO), none of the 34 states responding to the
survey reported that they had given used oil a beneficial use
designation as a fuel (ASTSWMO 2007, p.B-38-39).     States typically
regulate used oil practices under federal used oil management standards
(EPA 2008c). This may include establishing programs to encourage
appropriate use of used oil.  For example, DOE indicates that 24 states
have enacted purchasing program preferences to stimulate the demand for
used oil (DOE 6-3 to 6-4).

Used Oil Composition and Impacts

Composition of Used Oil

140,000 Btu per gallon (EPA 2008b)

A 2003 study by Dominguez-Rosado and Pichtel indicates that used motor
oil has the following metals concentrations:

Zinc: 838 mg/kg

Lead: 110 mg/kg

Cadmium: 9.4 mg/kg

Barium: 4,100 mg/kg

Chromium: Not detected (Dominguez-Rosada and Pichtel 2003)

Used oil often contains approximately 2 to 5 percent additives (DOE
2006, p. 9-14).  Exhibit 5 summarizes the most common of these
additives.  In addition to these additives, used oil may include a
number of physical and chemical contaminants, including metals, dirt,
and solvents (EPA, 2008a).

Exhibit 5:  Common Additives Found in Used Oil

Purpose of Additive	Additives

Anticorrosion 	Zinc dithiophosphates, metal phenolates, fatty acids and
amines

Antifoamant 	Silicone polymers, organic copolymers

Antiodorant	Perfumes, essential oils

Antioxidant 	Zinc dithiophosphates, hindered phenols. Aromatic amines,
sulphurized phenols

Antiwear Additive	Chlorinated waxes, alkyl phosphites and phosphates,
lead napthenate, metal triborates, metal and ashless dithiophosphates

Color Stabilizer	Aromatic amine compounds

Corrosion Inhibitor	Metal dithiophosphates, metal dithicarbamates, metal
sulfonates, thiadiazoles, and sulfurized terpenes

Detergent	Alkyl sulfonates, phosphonates, alkyl phenates, alkyl
phenolates, alkyl carboxylates, and alkyl substituted salicylates

Dispersant 	Alkylsuccinimides, alkylsuccinic esters

Emulsifier	Fatty acids, fatty amides, and fatty alcohols

Extreme Pressure Additives	Alkyl sulfides, polysulfides, sulfurized
fatty oils, alkyl phosphites and phosphates, metal and ashless
dithiophosphates and carboxylates, metal dithiocarbamates, and metal
triborates

Friction Modifier 	Organic fatty acids. Lard oil. Phosphorous based
compounds

Metal Deactivator	Metal Deactivator Organic complexes containing
nitrogen and sulfur amines, sulphides and phosphates

Pour point depressant 	Alkylated naphthalene and phenolic polymers,
polymethacrylates

Rust Inhibitor	Metal alkylsulfonates, alkylamines, alkyl amine
phosphates, alkenylsuccinic acids, fatty acids, alkylphenol ethoxylates,
and acid phosphate esters

Seal Swell Agent Organic 	Organic phosphates aromatic hydrocarbons

Tackiness Agent	Polyacrylates and polybutenes

Viscosity 	Polymers of olefins, methacrylates, di-enes or alkylated
styrenes

Sources:

DOE 2006, Table 9 and EPA 2005a, Appendix C-2.

Impact Information

Cost Impacts: The cost impact associated with consuming used oil as a
fuel depends on both the value of the fuel that it displaces and the
cost of processing used oil.  The Department of Energy reports that the
market value of used oil is approximately 65 to 75 percent of the price
of No. 6 fuel oil (DOE 2006, p. 4-4), but it is unclear whether this
estimate applies to processed or unprocessed used oil.  At October 2008
fuel prices, the 65 to 75 percent estimate suggests that the value of
used oil is approximately $1.14 to $1.31 per gallon.  In addition, in
terms of the economic benefit realized by facilities that sell their
used oil, a used oil recycler in Idaho indicates that the price paid by
oil recyclers for unprocessed used oil varies depending on the quantity
and frequency of sale (Blackburn 2008).  At current oil prices, used oil
recyclers pay between $0.60 and $1.07 per gallon for used oil (Blackburn
2008).

Emissions Impacts of Used Oil as a Fuel: To characterize the potential
environmental impacts and benefits associated with the use of used oil
as an alternative fuel, we identified comparative emissions information
for used oil and for the fuels it typically replaces:  distillate fuel
oil and residual fuel oil.  More specifically, we obtained information
on the emissions associated with the combustion of each of these fuels
and the emissions associated with cradle-to-gate processing of the
virgin fuel oil, impacts that would be avoided by burning used oil as an
alternative.  Exhibit 6 below summarizes this information.  Note that
this analysis does not include the emissions associated with the
preparation of used oil for combustion, and may therefore overstate the
relative air emissions reductions associated with using this alternative
fuel.  However, the majority of the upstream impacts of used oil are the
result of the generation of the primary product associated with the oil;
the processing required to prepare used oil for combustion is limited.
Additionally, since not all contaminants in used oil cause health or
environmental risk, maximum concentration limits can be set such that
used oil burned with concentrations at or below the limits will not
create risk. These concentration limits define the difference between
on-spec and off-spec used oil.

Exhibit 6 shows that the principal benefits of combustion of used oil
are associated with upstream production offsets and include substantial
reductions of NOx, and CO emissions.  In terms of combustion-specific
emissions, use of used oil results in notably lower NOx emissions, in
particular when compared to residual fuel oil. On the other hand,
particulate matter and lead emissions may be substantially higher than
virgin fuel oil, depending on the concentrations of those compounds in
the used oil.

Note that other uses for used oil may be environmentally preferable to
combustion (e.g., recovery and reuse as a lubricant) but this analysis
examines only combustion uses.

Exhibit 6:  Emission Factors for Used Oil and Alternatives

Pollutant	Used Oil	Distillate Fuel Oil	Residual Fuel Oil

	Combustion	Combustion	Combustion plus Upstream	Combustion	Combustion
plus Upstream

	-------------------------------- Lb./MMBtu ---------------------------

Criteria Pollutants

PM2.5	-	-	-	-	-

PM10	0.162 – 0.190	0.011	0.011	0.093	0.093

PM, unspecified	0.203 – 0.238	-	0.012	-	0.012

NOx	0.131	0.173	0.234	0.367	0.428

VOCs	-	0.001	0.363	0.002	0.367

SOx	0.051 – 1.014	0.209	0.394	1.593	1.781

CO	0.034	0.036	0.082	0.033	0.079

Pb	1.79x10-3 – 2.16x10-3	4.60x10-6	5.61x10-6	5.80x10-5	5.90x10-5

Hg	-	1.58x10-6	1.77x10-6	8.67x10-6	8.85x10-6

Sources:

Distillate fuel oil and residual fuel oil emissions from Franklin
Associates 1998.

Used oil emissions from EPA 1995, Vermont Agency of Natural Resources
1996,

and Colorado Department of Public Health and Environment.

Notes:

“-” signifies data not available; may equal zero. Heating value of
used oil assumed to be 145 MMBtu/1000 gal.

The emission information presented in this table is derived from Life
Cycle Inventory (LCI) data, as compiled by Franklin Associates.   LCI
data identifies and quantifies resource inputs, energy requirements, and
releases to the air, water, and land for each step in the manufacture of
a product or process, from the extraction of the raw materials to
ultimate disposal. The LCI can be used to identify those system
components or life cycle steps that are the main contributors to
environmental burdens such as energy use, solid waste, and atmospheric
and waterborne emissions.  Uncertainty in an LCI is due to the
cumulative effects of input uncertainties and data variability.

There are several life cycle inventory databases available in the U.S.
and Europe.  For this paper, we applied the most readily available LCI
database that was most consistent with the materials and uses examined.
These LCI data rely on system boundaries as defined by Franklin
Associates, as described in the documentation for this database,
available at:   HYPERLINK
"http://www.pre.nl/download/manuals/DatabaseManualFranklinUS98.pdf"
http://www.pre.nl/download/manuals/DatabaseManualFranklinUS98.pdf .

References

40 CFR 279.50(a)

Association of State and Territorial Solid Waste Management Officials
(ASTSWMO). 2007, 2006 Beneficial Use Study Report, November 2007.

Blackburn, Randy.  2008.  Commercial Fuel Recycling, LLC, Idaho,
personal communication, September 25, 2008 and November 20, 2008.

Colorado Department of Public Health and Environment.  2008, “A Guide
to Hazardous Waste and Air Requirements for Used Oil Space Heaters”,
accessed on August 29, 2008 at http://  HYPERLINK
"http://www.cdphe.state.co.us/ap/sbap/sbap_useoilheaters.pdf"
www.cdphe.state.co.us/ap/sbap/sbap_useoilheaters.pdf .

Dominguez-Rosado, Elena and John Pichtel.  2003, “Chemical
Characterization of Fresh, Used, and Weathered

Motor Oil Via GC/MS, NMR, and FTIR Techniques,” Proceedings of the
Indiana Academy of Sciences, Vol. 12, No. 2, 2003, pages 109-116.

Florida Department of Environmental Protection.  2006,  “Florida’s
Used Oil Recycling Program: 21st Annual

Report,” March 2006.

Franklin Associates.  1998, “Franklin US LCI 98 Library”.

Saunders, Brandon.  2008.  Polar Refrigerant Technologies, New
Hampshire, personal communication, September 25, 2008.

Svizzero, Michael. 2008. U.S. Environmental Protection Agency, personal
communication, citing American Petroleum Institute data, October 22,
2008.

United States Census Bureau.  2007.  “2007 NAICS Definitions”.

United States Department of Energy (DOE).  2006, “Used Oil Re-refining
Study to Address Energy Policy Act of 2005 Section 1838”.

United Stated Department of Energy (DOE).  2008, “Short-Term Energy
Outlook,” November 12, 2008.

United States Environmental Protection Agency (EPA). 1995, “AP-42,
Fifth Edition, Compilation of Air Pollutant

Emission Factors, Volume 1: Stationary Point and Area Sources”.

United States Environmental Protection Agency (EPA). 2001, “RCRA,
Superfund & EPCRA Call Center Training

Module Introduction to Used Oil,” October 2001.

United States Environmental Protection Agency (EPA). 2005a, “Guidance
and Summary of Information Regarding

the RCRA Used Oil Rebuttal Assumption,” March 2005.

United States Environmental Protection Agency (EPA). 2005b,
“Supporting Statement for Information Collection

Request Number 1286.07 Used Oil Management Standards Recordkeeping and
Reporting Requirements,” November 10, 2005.

United States Environmental Protection Agency (EPA).  2008a, “Code of
Federal Regulations: Standards for the Management of Used Oil”,
accessed August 28, 2008 at   HYPERLINK
"http://www.gpoaccess.gov/index.html"
http://www.gpoaccess.gov/index.html .

United States Environmental Protection Agency (EPA).  2008b, “Managing
Used Oil: Advice for Small Businesses”, accessed August 19, 2008 at
HYPERLINK "http://www.epa.gov/epaoswer/hazwaste/usedoil/usedoil.htm"
http://www.epa.gov/epaoswer/hazwaste/usedoil/usedoil.htm .

United States Environmental Protection Agency (EPA).  2008c,
“Authorization Status by Rule”, accessed December 2, 2008 at
http://www.epa.gov/epawaste/laws-regs/state/stats/authall.pdf.

United States Office of Management and Budget (OMB).  2005,
“Supporting Statement for Information Collection Request Number
1286.07 Used Oil Management Standards Recordkeeping and Reporting
Requirements”.

Utah Department of Environmental Quality.  2008a, “Used Oil
Section”, accessed on August 28, 2008 at   HYPERLINK
"http://www.usedoil.utah.gov/"  http://www.usedoil.utah.gov/ .

Utah Department of Environmental Quality.  2008b, “Used Oil
Statistics”, accessed on August 28, 2008 at   HYPERLINK
"http://www.usedoil.utah.gov/UsedOilStatistics.htm"
http://www.usedoil.utah.gov/UsedOilStatistics.htm .

Vermont Agency of Natural Resources.  1996, “Vermont Used Oil Analysis
and Waste Oil Furnace Emissions Study”, accessed on August 29, 2008 at
http://www.epa.gov/ttn/catc/dir1/w_oilacr.pdf.

 See 40 CRF 279.1 for the specific definition.

 EPA’s regulatory definition of used oil generators does not include
1) farmers who produce less than an average of 25 gallons of used oil
per month and 2) individuals who generate used oil through the
maintenance of their personal vehicles and equipment.  Although EPA’s
regulatory definition does not include these groups, the data included
in this document reflect used oil generated by all entities that
generate this material.

 The limits are set such that the emissions resulting from the burning
of used oil containing these contaminants, at or below established
“on-spec” limits, will pose no more threat to human health or the
environment than the emissions resulting from the burning of virgin oil
or diesel (68 FR 44662, July 30, 2003).

 The data source for this estimate does not specify the year represented
by this estimate.

 As of September 30 2008, 31 states have received federal authorization
for the Recycled Used Oil Management Standards and an additional 10
states have adopted the Standards.

 The heat input of used oil on a Btu per pound basis depends on the
density of the used oil.  Assuming a density of 7.88 pounds per gallon
(consistent with the density of No. 6 fuel oil), the 140,000 Btu per
gallon estimates translates to 17,766 Btu per pound.

 This is based on a price of $1.75 per gallon for No. 6 fuel oil (DOE
2008).

Used Oil

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