  HYPERLINK "http://www.atsdr.cdc.gov/csem/arsenic/"
http://www.atsdr.cdc.gov/csem/arsenic/

Case Studies in Environmental Medicine (CSEM)

Arsenic Toxicity

Physiologic Effects

Introduction

Because it targets ubiquitous enzyme reactions, arsenic affects nearly
all organ systems.

Arsenic is strongly associated with lung and skin cancers and may cause
other cancers.

Two mechanisms of arsenic toxicity that impair tissue respiration have
been described. Arsenic binds with sulfhydryl groups and disrupts
sulfhydryl-containing enzymes; As(III) is particularly potent in this
regard. As a result of critical enzyme effects, there is inhibition of
the pyruvate and succinate oxidation pathways and the tricarboxylic acid
cycle, impaired gluconeogenesis, and reduced oxidative phosphorylation.
Another mechanism involves substitution of As(V) for phosphorus in many
biochemical reactions. Replacing the stable phosphorus anion in
phosphate with the less stable As(V) anion leads to rapid hydrolysis of
high-energy bonds in compounds such as ATP. That leads to loss of
high-energy phosphate bonds and effectively "uncouples" oxydative
phosphorylation.

Unlike other arsenicals, arsine gas causes a hemolytic syndrome.

Arsine gas poisoning results in a considerably different syndrome from
that caused by other forms of arsenic. After inhalation, arsine rapidly
fixes to red cells, producing irreversible cell-membrane damage. At low
levels, arsine is a potent hemolysin, causing dose-dependent
intravascular hemolysis. At high levels, arsine produces direct
multisystem cytotoxicity.

Gastrointestinal, Hepatic, and Renal Effects

Gastrointestinal effects are seen primarily after arsenic ingestion, and
less often after inhalation or dermal absorption.

The gastrointestinal (GI) effects of arsenic generally result from
exposure via ingestion; however, GI effects may also occur after heavy
exposure by other routes. The fundamental GI lesion appears to be
increased permeability of the small blood vessels, leading to fluid loss
and hypotension. Extensive inflammation and necrosis of the mucosa and
submucosa of the stomach and intestine may occur and progress to
perforation of the gut wall. A hemorrhagic gastroenteritis may develop,
with bloody diarrhea as a presenting symptom.

Acute arsenic toxicity may be associated with hepatic necrosis and
elevated levels of liver enzymes.

Arsenic intoxication may also result in hepatic toxicity, including
toxic hepatitis and elevated liver enzyme levels. Autopsies of Japanese
children poisoned with arsenic-contaminated milk revealed hepatic
hemorrhagic necrosis and fatty degeneration of the liver. Chronic
arsenic ingestion may lead to cirrhotic portal hypertension. Case
reports have also linked chronic high-level arsenic exposure with
hepatic angiosarcoma, a rare form of cancer.

Arsenic is capable of causing acute renal failure, as well as chronic
renal insufficiency.

The systemic toxicity occurring in severe acute arsenic poisoning may be
accompanied by acute tubular necrosis, and acute renal failure; chronic
renal insufficiency from cortical necrosis has also been reported. The
actual cause of injury may be hypotensive shock, hemoglobinuric or
myoglobinuric tubular injury, or direct effects of arsenic on tubule
cells. Glomerular damage can result in proteinuria. The kidney is not a
major target organ for chronic toxicity.

Cardiovascular Effects

Acute arsenic poisoning may cause both diffuse capillary leak and
cardiomyopathy, resulting in shock.

The extent of cardiovascular injury may vary with age, arsenic dose, and
individual susceptibility. In acute arsenic poisoning-usually suicide
attempts-the fundamental lesion, diffuse capillary leak, leads to
generalized vasodilation, transudation of plasma, hypotension, and
shock. Delayed cardiomyopathy may also develop. Myocardial damage can
result in a variety of electrocardiographic findings, including
broadening of the QRS complex, prolongation of the QT interval, ST
depression, flattening of T waves, and atypical, multifocal ventricular
tachycardia.

Long-term ingestion of arsenic in drinking water has resulted in
pronounced peripheral vascular changes.

Epidemiological evidence indicates that chronic arsenic exposure is
associated with vasospasm and peripheral vascular insufficiency.
Gangrene of the extremities, known as Blackfoot disease, has been
associated with drinking arsenic-contaminated well water in Taiwan,
where the prevalence of the disease increased with increasing age and
well-water arsenic concentration (10 to 1,820 ppb). Persons with
Blackfoot disease also had a higher incidence of arsenic-induced skin
cancers. However, investigators believe other vasoactive substances
found in the water may have been contributory.

Raynaud's phenomenon and acrocyanosis resulted from contamination of the
city's drinking water supply in Antofagasta, Chile, at arsenic
concentrations ranging from 20 to 400 ppb. Autopsies of Antofagasta
children who died of arsenic toxicity revealed fibrous thickening of
small and medium arteries and myocardial hypertrophy. Similar vascular
disorders, as well as abnormal electrocardiographs (ECGs), have been
noted in vineyard workers exposed to arsenical pesticides.

Neurologic Effects

Arsenic-exposed patients develop destruction of axonal cylinders,
leading to peripheral neuropathy.

Peripheral neuropathy is a common complication of arsenic poisoning. The
classic finding is a peripheral neuropathy involving sensory and motor
nerves in a symmetrical, stocking-glove distribution. Sensory effects,
particularly painful dysesthesia, occur earlier and may predominate in
moderate poisoning, whereas ascending weakness and paralysis may
predominate in more severe poisoning. Those cases may at first seem
indistinguishable from Guillain-Barré syndrome (i.e., acute
inflammatory demyelinating polyneuropathy). Cranial nerves are rarely
affected, even in severe poisoning. Encephalopathy has been reported
after both acute and chronic exposures.

Onset may begin within 24 to 72 hours following acute poisoning, but it
more often develops slowly as a result of chronic exposure. The
neuropathy is primarily due to destruction of axonal cylinders
(axonopathy). Nerve conduction and electromyography studies can document
severity and progression. Subclinical neuropathy, defined by the
presence of abnormal nerve conduction with no clinical complaints or
symptoms, has been described in chronically exposed individuals.

Recovery from neuropathy induced by chronic exposure to arsenic
compounds is generally slow, sometimes taking years, and complete
recovery may not occur. Follow-up studies of Japanese children who
chronically consumed arsenic-contaminated milk revealed an increased
incidence of severe hearing loss, mental retardation, epilepsy, and
other brain damage. Hearing loss as a sequela of acute or chronic
arsenic intoxication has not been confirmed by other case reports or
epidemiologic studies.

Dermal Effects

Pigment changes and palmoplantar hyperkeratosis are characteristic of
chronic arsenic exposure.

Benign arsenical keratoses may progress to malignancy.

The types of skin lesions occurring most frequently in arsenic-exposed
humans are hyperpigmentation, hyperkeratosis, and skin cancer. Patchy
hyperpigmentation, a pathologic hallmark of chronic exposure, may be
found anywhere on the body, but occurs particularly on the eyelids,
temples, axillae, neck, nipples, and groin. The classic appearance of
the dark brown patches with scattered pale spots is sometimes described
as "raindrops on a dusty road." In severe cases, the pigmentation
extends broadly over the chest, back, and abdomen. Pigment changes have
been observed in populations chronically consuming drinking water
containing 400 ppb or more arsenic.

Arsenical hyperkeratosis occurs most frequently on the palms and soles.
Keratoses usually appear as small corn-like elevations, 0.4 to 1 cm in
diameter. In most cases, arsenical keratoses show little cellular atypia
and may remain morphologically benign for decades. In other cases, cells
develop marked atypia (precancerous) and appear indistinguishable from
Bowen disease, which is an in situ squamous cell carcinoma discussed in
Carcinogenic Effects.

Respiratory Effects

Inhalation of high concentrations of arsenic compounds produces
irritation of the respiratory mucosa.

Smelter workers experiencing prolonged exposures to high concentrations
of airborne arsenic at levels rarely found today had inflammatory and
erosive lesions of the respiratory mucosa, including nasal septum
perforation. Lung cancer has been associated with chronic arsenic
exposure in smelter workers and pesticide workers.

Hematopoietic Effects

Bone marrow depression may result from acute or chronic arsenic
intoxication and may initially manifest as pancytopenia.

Both acute and chronic arsenic poisoning may affect the hematopoietic
system. A reversible bone marrow depression with pancytopenia may occur.
Anemia and leukopenia are common in chronic arsenic toxicity, and are
often accompanied by thrombocytopenia and mild eosinophilia. The anemia
may be normocytic or macrocytic, and basophilic stippling may be noted
on peripheral blood smears.

Reproductive Effects

Increased frequency of spontaneous abortions and congenital
malformations has been linked to arsenic exposure.

Arsenic is a reproductive toxicant and a teratogen. It is readily
transferred across the placenta, and concentrations in human cord blood
are similar to those in maternal blood. A published case report
described acute arsenic ingestion during the third trimester of
pregnancy leading to delivery of a live infant that died within 12
hours. Autopsy revealed intra-alveolar hemorrhage and high levels of
arsenic in the brain, liver, and kidneys.

A study of women working at or living near a copper smelter where
ambient arsenic levels were elevated reported increased frequencies of
spontaneous abortions and congenital malformations. The frequency of all
malformations was twice the expected rate and the frequency of multiple
malformations was increased fivefold. However, a number of other
chemicals, including   HYPERLINK
"http://www.atsdr.cdc.gov/csem/lead/index.html"  lead , cadmium, and
sulfur dioxide were also present, and thus it is difficult to assess the
role of arsenic in the etiology of these effects.

Carcinogenic Effects

The carcinogenicity of arsenic in humans has been established, but no
animal model has been developed.

In humans, chronic arsenic ingestion is strongly associated with an
increased risk of skin cancer, and may cause cancers of the lung, liver,
bladder, kidney, and colon; chronic inhalation of arsenicals has been
closely linked with lung cancer. The precise mechanism of
arsenic-related carcinogenicity is unknown. Arsenic does not induce
genetic mutations in most test systems, but chromosomal damage has been
reported in cultured mammalian cells, possibly as a result of arsenic's
effects on the enzymes involved in DNA replication and repair.
Paradoxically, cancer associated with arsenic exposure has not been
produced in experimental animals.

Skin Cancer

Latency for skin cancer associated with ingestion of arsenic may be 3 to
4 decades, whereas the noncarcinogenic skin effects typically develop
several years after exposure.

An increased risk of skin cancer in humans is associated with chronic
exposure to inorganic arsenic in medication, contaminated water, and the
workplace. Arsenic-induced skin cancer is frequently characterized by
lesions over the entire body, mostly in unexposed areas such as the
trunk, palms, and soles. More than one type of skin cancer may occur in
a patient. Most of the Taiwanese who developed skin cancer in
association with ingestion of arsenic-contaminated drinking water had
multiple cancer types. The most commonly reported types, in order of
decreasing frequency, were intraepidermal carcinomas (Bowen disease),
squamous cell carcinomas, basal cell carcinomas, and "combined forms."
Seventy-two percent of the Taiwanese with skin cancer also had
hyperkeratosis, and 90% had hyperpigmentation.

Some hyperkeratinized lesions can develop into intraepidermal carcinoma,
which may ultimately become invasive. The lesions are sharply demarcated
round or irregular plaques that tend to enlarge; they may vary in size
from 1 millimeter to >10 centimeters. Arsenical basal cell carcinomas
most often arise from normal tissue, are almost always multiple, and
frequently occur on the trunk. The superficial spreading lesions are
red, scaly, atrophic, and are often indistinguishable from Bowen disease
by clinical examination. Arsenic-associated squamous cell carcinomas are
distinguished from UV-induced squamous cell carcinomas by their tendency
to occur on the extremities (especially palms and soles) and trunk
rather than on sun-exposed areas such as the head and neck. However, it
may be difficult to distinguish other arsenic-induced skin lesions from
those induced by other causes.

Epidemiological studies indicate that a dose-response relationship
exists between the level of arsenic in drinking water and the prevalence
of skin cancers in the exposed population. Excessive mortality rates due
to arsenic-induced skin cancer have also been observed in vineyard
workers with dermal and inhalation exposure.

Lung Cancer

In arsenic-exposed workers, there is a systematic gradient in lung
cancer mortality rates, depending on duration and intensity of exposure.

An association between lung cancer and occupational exposure to
inorganic arsenic has been confirmed in several epidemiologic studies. A
higher risk of lung cancer was found among workers exposed predominantly
to arsenic trioxide in smelters and to pentavalent arsenical pesticides
in other settings. Neither concomitant exposure to sulfur dioxide nor
cigarette smoke were determined to be essential co-factors in these
studies.


[Federal Register Volume 80, Number 168 (Monday, August 31, 2015)]
[Rules and Regulations]
[Pages 52401-52403]
[FR Doc No: 2015-21015]

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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Part 52

[EPA-R06-OAR-2013-0616; FRL-9931-35-Region-6]

Approval and Promulgation of Implementation Plans; New Mexico;
Revisions to the New Source Review (NSR) State Implementation Plan
(SIP) for Albuquerque-Bernalillo County; Prevention of Significant
Deterioration (PSD) Permitting

AGENCY: Environmental Protection Agency (EPA).

ACTION: Final rule.

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

SUMMARY: The Environmental Protection Agency (EPA) is approving two
revisions to the New Mexico State Implementation Plan (SIP) to update
the Albuquerque-Bernalillo County Prevention of Significant
Deterioration (PSD) SIP permitting program consistent with federal
requirements. New Mexico submitted the Albuquerque-Bernalillo County
PSD SIP permitting revisions on July 26, 2013, and June 11, 2015, which
includes a request for parallel processing of the submitted 2015
revisions. These submittals contain revisions to address the
requirements of the EPA's May 2008, July 2010, and October 2012
PM2.5 PSD Implementation Rules and to incorporate revisions
consistent with the EPA's March 2011 Fugitives Interim Rule, July 2011
Greenhouse Gas (GHG) Biomass Deferral Rule, and July 2012 GHG Tailoring
Rule Step 3 and GHG PALs Rule. The EPA finds that these revisions to
the New Mexico SIP meet the Federal Clean Air Act (the Act or CAA) and
EPA regulations, and are consistent with EPA policies. We are taking
this action under section 110 and part C of title I of the Act. The EPA
is not approving these rules within the exterior boundaries of a
reservation or other areas within any Tribal Nation's jurisdiction.

DATES: This final rule is effective on September 30, 2015.

ADDRESSES: The EPA has established a docket for this action under
Docket ID No. EPA-R06-OAR-2013-0616. All documents in the docket are
listed on the http://www.regulations.gov Web site. Although listed in
the index, some information is not publicly available, e.g.,
Confidential Business Information or other information whose disclosure
is restricted by statute. Certain other material, such as copyrighted
material, is not placed on the Internet and will be publicly available
only in hard copy form. Publicly available docket materials are
available either electronically through http://www.regulations.gov or
in hard copy at the EPA Region 6, 1445 Ross Avenue, Suite 700, Dallas,
Texas 75202-2733.

FOR FURTHER INFORMATION CONTACT: Ashley Mohr,<PHONE_NUMBER>,
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: Throughout this document wherever ``we,''
``us,'' or ``our'' is used, we mean the EPA.

I. Background

    The background for today's action is discussed in detail in our May
20, 2015 proposal (80 FR 28901). In that notice, we proposed to approve
portions of SIP submittals for the State of New Mexico submitted on
July 26, 2013, and March 4, 2015, that contained revisions to the
Albuquerque-Bernalillo County PSD program. The March 4, 2015 submittal
included a request for parallel processing of the submitted 2015
revisions, meaning that the EPA proposed approval of a rule that was
not yet finalized at the local level. Our May 20, 2015 proposed
approval and accompanying Technical Support Document (TSD) provided the
EPA's evaluation of the March 4, 2015 revisions to the New Mexico SIP.
We preliminarily determined that the revisions were consistent with the
CAA and the EPA's regulations and guidance. As such, we proposed
approval of the SIP revisions contained in the March 4, 2015 submittal.
    Under the EPA's ``parallel processing'' procedure, the EPA proposes
a rulemaking action on proposed SIP revisions concurrently with the
State or Local Agency's public review process. If the proposed SIP
revision is not significantly or substantively changed, the EPA will
finalize the rulemaking on the SIP revision as proposed after
responding to any submitted comments. Final rulemaking action by the
EPA will occur only after the final SIP revision has been fully adopted
by the State or Local Agency and submitted formally to the EPA for
approval as a SIP revision. See 40 CFR part 51, Appendix V.
    The City of Albuquerque-Bernalillo County completed their
rulemaking process, and the Albuquerque-Bernalillo County Air Quality
Control Board adopted revisions to the PSD program on April 30, 2015.
These adopted changes were submitted as a revision to the New Mexico
SIP on June 11, 2015. The EPA has evaluated the final SIP revision
submittal for any changes made from the time of proposal. See
``Addendum to the TSD'' for EPA-R06-OAR-2013-0616, available in the
rulemaking docket. Our evaluation indicates that adopted changes to the
Albuquerque-Bernalillo County PSD program are the same as the revisions
that we proposed to approve; and therefore, do not alter our rationale
presented in the May 20, 2015 proposed approval. As such, the EPA is
proceeding with our final approval of the revisions to the New Mexico
SIP, consistent with the parallel processing provisions in 40 CFR part
51, Appendix V.
    This action to approve the aforementioned revisions to the New
Mexico SIP is being taken under section 110 of the Act. We did not
receive any comments regarding our proposal.

II. Final Action

    The EPA is approving revisions to the Albuquerque-Bernalillo County
PSD program that were submitted by New Mexico as a SIP revision on July
26, 2013, and June 11, 2015. We are approving the portions of the July
26, 2013, and June 11, 2015 submittals that revised the following
sections under 20.11.61:
     <IP_ADDRESS> NMAC--Scope,
     <IP_ADDRESS> NMAC--Effective Date,
     <IP_ADDRESS> NMAC--Objective,
     <IP_ADDRESS> NMAC--Definitions,
     <IP_ADDRESS> NMAC--Documents,
     <IP_ADDRESS> NMAC--Applicability,
     <IP_ADDRESS> NMAC--Obligations of Owners or Operators of
Sources,
     <IP_ADDRESS> NMAC--Control Technology Review and Innovative
Control Technology,
     <IP_ADDRESS> NMAC--Ambient Impact Requirements,
     <IP_ADDRESS> NMAC--Air Quality Analysis and Monitoring
Requirements,
     <IP_ADDRESS> NMAC--Actuals Plantwide Applicability Limits
(PALs),
     <IP_ADDRESS> NMAC--Exclusions from Increment Consumption,
     <IP_ADDRESS> NMAC--Sources Impacting Federal Class I
Areas--Additional Requirements,
     <IP_ADDRESS> NMAC--Table 2--Significant Emission Rates,
     <IP_ADDRESS> NMAC--Table 4--Allowable PSD Increments, and
     <IP_ADDRESS> NMAC--Table 5--Maximum Allowable Increases for
Class I Variances.
    The EPA has determined that these revisions to the New Mexico SIP's
Albuquerque-Bernalillo County PSD program are approvable because the
submitted rules are adopted and submitted in accordance with the CAA

and are consistent with the EPA regulations regarding PSD permitting.
The EPA is taking this action under section 110 and part C of the Act.
    The EPA is severing from our final approval action the revisions to
20.11.60 NMAC submitted on July 26, 2013, which are revisions to the
Albuquerque-Bernalillo County NNSR Program and will be addressed in a
separate action.

III. Incorporation by Reference

    In this rule, we are finalizing regulatory text that includes
incorporation by reference. In accordance with the requirements of 1
CFR 51.5, we are finalizing the incorporation by reference of the
revisions to the New Mexico regulations as described in the Final
Action section above. We have made, and will continue to make, these
documents generally available electronically through
www.regulations.gov and/or in hard copy at the EPA Region 6 office.

IV. Statutory and Executive Order Reviews

    Under the Clean Air Act, the Administrator is required to approve a
SIP submission that complies with the provisions of the Act and
applicable Federal regulations. 42 U.S.C. 7410(k); 40 CFR 52.02(a).
Thus, in reviewing SIP submissions, the EPA's role is to approve state
choices, provided that they meet the criteria of the Clean Air Act.
Accordingly, this action merely approves state law as meeting Federal
requirements and does not impose additional requirements beyond those
imposed by state law. For that reason, this action:
     Is not a ``significant regulatory action'' subject to
review by the Office of Management and Budget under Executive Orders
12866 (58 FR 51735, October 4, 1993) and 13563 (76 FR 3821, January 21,
2011);
     Does not impose an information collection burden under the
provisions of the Paperwork Reduction Act (44 U.S.C. 3501 et seq.);
     Is certified as not having a significant economic impact
on a substantial number of small entities under the Regulatory
Flexibility Act (5 U.S.C. 601 et seq.);
     Does not contain any unfunded mandate or significantly or
uniquely affect small governments, as described in the Unfunded
Mandates Reform Act of 1995 (Pub. L. 104-4);
     Does not have Federalism implications as specified in
Executive Order 13132 (64 FR 43255, August 10, 1999);
     Is not an economically significant regulatory action based
on health or safety risks subject to Executive Order 13045 (62 FR
19885, April 23, 1997);
     Is not a significant regulatory action subject to
Executive Order 13211 (66 FR 28355, May 22, 2001);
     Is not subject to requirements of section 12(d) of the
National Technology Transfer and Advancement Act of 1995 (15 U.S.C. 272
note) because application of those requirements would be inconsistent
with the Clean Air Act; and
     Does not provide EPA with the discretionary authority to
address, as appropriate, disproportionate human health or environmental
effects, using practicable and legally permissible methods, under
Executive Order 12898 (59 FR 7629, February 16, 1994).
    In addition, the SIP is not approved to apply on any Indian
reservation land or in any other area where EPA or an Indian tribe has
demonstrated that a tribe has jurisdiction. In those areas of Indian
country, the rule does not have tribal implications and will not impose
substantial direct costs on tribal governments or preempt tribal law as
specified by Executive Order 13175 (65 FR 67249, November 9, 2000).
    The Congressional Review Act, 5 U.S.C. 801 et seq., as added by the
Small Business Regulatory Enforcement Fairness Act of 1996, generally
provides that before a rule may take effect, the agency promulgating
the rule must submit a rule report, which includes a copy of the rule,
to each House of the Congress and to the Comptroller General of the
United States. EPA will submit a report containing this action and
other required information to the U.S. Senate, the U.S. House of
Representatives, and the Comptroller General of the United States prior
to publication of the rule in the Federal Register. A major rule cannot
take effect until 60 days after it is published in the Federal
Register. This action is not a ``major rule'' as defined by 5 U.S.C.
804(2).
    Under section 307(b)(1) of the Clean Air Act, petitions for
judicial review of this action must be filed in the United States Court
of Appeals for the appropriate circuit by October 30, 2015. Filing a
petition for reconsideration by the Administrator of this final rule
does not affect the finality of this action for the purposed of
judicial review nor does it extend the time within which a petition for
judicial review may be filed, and shall not postpone the effectiveness
of such rule or action. This action may not be challenged later in
proceedings to enforce its requirements. (See section 307(b)(2).)

List of Subjects in 40 CFR Part 52

    Environmental protection, Air pollution control, Carbon monoxide,
Incorporation by reference, Intergovernmental relations, Lead, Nitrogen
dioxide, Ozone, Particulate matter, Reporting and recordkeeping
requirements, Sulfur oxides, Volatile organic compounds.

    Dated: August 17, 2015.
Ron Curry,
Regional Administrator, Region 6.

    40 CFR part 52 is amended as follows:

PART 52--APPROVAL AND PROMULGATION OF IMPLEMENTATION PLANS

0
1. The authority citation for part 52 continues to read as follows:

    Authority:  42 U.S.C. 7401 et seq.

Subpart GG--New Mexico

0
2. In Sec.  52.1620(c) the second table titled ``EPA Approved
Albuquerque/Bernalillo County, NM Regulations'' is amended by revising
the entry for ``Part 61 (20.11.61)'' to read as follows:

Sec.  52.1620  Identification of plan.

* * * * *
    (e) * * *

                           EPA Approved Albuquerque/Bernalillo County, NM Regulations
----------------------------------------------------------------------------------------------------------------
                                                       State
                                                     approval/
         State citation            Title/subject     effective   EPA approval date           Explanation
                                                        date
----------------------------------------------------------------------------------------------------------------
   New Mexico Administrative Code (NMAC) Title 20--Environment Protection, Chapter 11--Albuquerque/Bernalillo
                                        County Air Quality Control Board
----------------------------------------------------------------------------------------------------------------

                                                  * * * * * * *
Part 61 (20.11.61 NMAC)........  Prevention of        5/29/2015  8/31/2015 [Insert  ............................
                                  Significant                     Federal Register
                                  Deterioration.                  citation].

                                                  * * * * * * *
----------------------------------------------------------------------------------------------------------------

* * * * *
[FR Doc. 2015-21015 Filed 8-28-15; 8:45 am]
 BILLING CODE 6560-50-P


[Federal Register Volume 79, Number 93 (Wednesday, May 14, 2014)]
[Proposed Rules]
[Pages 27505-27508]
[FR Doc No: 2014-11072]

========================================================================
Proposed Rules
                                                Federal Register
________________________________________________________________________

This section of the FEDERAL REGISTER contains notices to the public of
the proposed issuance of rules and regulations. The purpose of these
notices is to give interested persons an opportunity to participate in
the rule making prior to the adoption of the final rules.

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

Federal Register / Vol. 79, No. 93 / Wednesday, May 14, 2014 /
Proposed Rules

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2014-0308; Directorate Identifier 2014-CE-012-AD]
RIN 2120-AA64

Airworthiness Directives; M7 Aerospace LLC Airplanes

AGENCY: Federal Aviation Administration (FAA), Department of
Transportation (DOT).

ACTION: Notice of proposed rulemaking (NPRM).

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

SUMMARY: We propose to adopt a new airworthiness directive (AD) for M7
Aerospace LLC Models SA227-AT, SA227-AC, SA227-BC, SA227-CC, and SA227-
DC airplanes equipped with a bayonet shear pin main cabin door latching
mechanism. This proposed AD was prompted by fatigue cracks found in the
internal door surround doubler, the external skin fuselage skin, and
the door corner fittings at the fuselage upper forward corner of the
main cabin door cutout. This proposed AD would require repetitively
inspecting the four corners of the main cabin door cutout for cracks,
making necessary repairs, and reporting inspection results to M7
Aerospace LLC. We are proposing this AD to correct the unsafe condition
on these products.

DATES: We must receive comments on this proposed AD by June 30, 2014.

ADDRESSES: You may send comments, using the procedures found in 14 CFR
11.43 and 11.45, by any of the following methods:
     Federal eRulemaking Portal: Go to http://www.regulations.gov. Follow the instructions for submitting comments.
     Fax:<PHONE_NUMBER>.
     Mail: U.S. Department of Transportation, Docket
Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue SE., Washington, DC 20590.
     Hand Delivery: Deliver to Mail address above between 9
a.m. and 5 p.m., Monday through Friday, except Federal holidays.
    For service information identified in this proposed AD, contact M7
Aerospace LLC, 10823 NE Entrance Road, San Antonio, Texas 78216; phone:
(210) 824-9421; fax:<PHONE_NUMBER>; Internet: http://www.elbitsystems-us.com; email<EMAIL_ADDRESS>You may review this
referenced service information at the FAA, Small Airplane Directorate,
901 Locust, Kansas City, Missouri 64106. For information on the
availability of this material at the FAA, call<PHONE_NUMBER>.

Examining the AD Docket

    You may examine the AD docket on the Internet at http://www.regulations.gov by searching for and locating Docket No. FAA-2014-
0308; or in person at the Docket Management Facility between 9 a.m. and
5 p.m., Monday through Friday, except Federal holidays. The AD docket
contains this proposed AD, the regulatory evaluation, any comments
received, and other information. The street address for the Docket
Office (phone:<PHONE_NUMBER>) is in the ADDRESSES section. Comments will
be available in the AD docket shortly after receipt.

FOR FURTHER INFORMATION CONTACT: Andrew McAnaul, Aerospace Engineer,
FAA, ASW-150 (c/o San Antonio MIDO), 10100 Reunion Place, Suite 650,
San Antonio, Texas 78216; phone:<PHONE_NUMBER>; fax:<PHONE_NUMBER>;
email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Comments Invited

    We invite you to send any written relevant data, views, or
arguments about this proposal. Send your comments to an address listed
under the ADDRESSES section. Include ``Docket No. FAA-2014-0308;
Directorate Identifier 2014-CE-012-AD'' at the beginning of your
comments. We specifically invite comments on the overall regulatory,
economic, environmental, and energy aspects of this proposed AD. We
will consider all comments received by the closing date and may amend
this proposed AD because of those comments.
    We will post all comments we receive, without change, to http://www.regulations.gov, including any personal information you provide. We
will also post a report summarizing each substantive verbal contact we
receive about this proposed AD.

Discussion

    We received reports of fatigue cracking of the main cabin door
surround structure on several M7 Aerospace LLC Models SA227-AT, SA227-
AC, SA227-BC, SA227-CC, and SA227-DC airplanes that have a bayonet
shear pin type of latching mechanism for the main cabin door.
    Investigation revealed that the fatigue cracks are related to a
change in loading due to design changes in the door surround structure
and the door latching system.
    This condition, if not corrected, could result in probable
decompression failure with possible loss of structural integrity of the
cabin structure.

Relevant Service Information

    We reviewed M7 Aerospace LLC SA227 Series Commuter Category Service
Bulletin CC7-53-005 and SA227 Series Service Bulletin 227-53-009, both
dated November 15, 2013. The service information describes procedures
for repetitively inspecting the internal and external skin doublers,
fuselage skin, and the fuselage door frame corner member for cracks.
The service information also describes procedures for repairing the
cracks. In addition, if no cracks are found, the service information
also includes procedures for installing a repair kit as preventative
measure to extend the inspection intervals.

FAA's Determination

    We are proposing this AD because we evaluated all the relevant
information and determined the unsafe condition described previously is
likely to exist or develop in other products of the same type design.

Proposed AD Requirements

    This proposed AD would require accomplishing the actions specified
in the service information described previously. This proposed AD also
requires sending inspection results to M7 Aerospace LLC.

Costs of Compliance

    We estimate that this proposed AD affects 250 airplanes of U.S.
registry.

    We estimate the following costs to comply with this proposed AD:

                                                 Estimated Costs
----------------------------------------------------------------------------------------------------------------
                                                                                Cost per       Cost on U.S.
              Action                     Labor  cost           Parts  cost          product         operators
----------------------------------------------------------------------------------------------------------------
Threshold high frequency eddy       2.5 work-hours x $85  Not Applicable......         $212.50          $53,125
 current (HFEC)/low frequency eddy   per hour = $212.50.
 current (LFEC)/detailed visual
 inspection.
----------------------------------------------------------------------------------------------------------------

    We estimate the following costs to do any necessary repairs that
would be required based on the results of the proposed inspection. We
have no way of determining the number of aircraft that might need these
repairs:

                                               On-Condition Costs
----------------------------------------------------------------------------------------------------------------
                                                                                Cost per
                    Action                                Labor cost               Parts cost        product
----------------------------------------------------------------------------------------------------------------
Repair Installation..........................  48 work-hours x $85 per hour =           $6,670          $10,750
                                                $4,080.
----------------------------------------------------------------------------------------------------------------

Paperwork Reduction Act

    A federal agency may not conduct or sponsor, and a person is not
required to respond to, nor shall a person be subject to penalty for
failure to comply with a collection of information subject to the
requirements of the Paperwork Reduction Act unless that collection of
information displays a current valid OMB control number. The control
number for the collection of information required by this AD is 2120-
0056. The paperwork cost associated with this AD has been detailed in
the Costs of Compliance section of this document and includes time for
reviewing instructions, as well as completing and reviewing the
collection of information. Therefore, all reporting associated with
this AD is mandatory. Comments concerning the accuracy of this burden
and suggestions for reducing the burden should be directed to the FAA
at 800 Independence Ave. SW., Washington, DC 20591. ATTN: Information
Collection Clearance Officer, AES-200.

Authority for This Rulemaking

    Title 49 of the United States Code specifies the FAA's authority to
issue rules on aviation safety. Subtitle I, section 106, describes the
authority of the FAA Administrator. Subtitle VII: Aviation Programs,
describes in more detail the scope of the Agency's authority.
    We are issuing this rulemaking under the authority described in
Subtitle VII, Part A, Subpart III, section 44701: ``General
requirements.'' Under that section, Congress charges the FAA with
promoting safe flight of civil aircraft in air commerce by prescribing
regulations for practices, methods, and procedures the Administrator
finds necessary for safety in air commerce. This proposed regulation is
within the scope of that authority because it addresses an unsafe
condition that is likely to exist or develop on products identified in
this rulemaking action.

Regulatory Findings

    We determined that this proposed AD would not have federalism
implications under Executive Order 13132. This proposed AD would not
have a substantial direct effect on the States, on the relationship
between the national Government and the States, or on the distribution
of power and responsibilities among the various levels of government.
    For the reasons discussed above, I certify this proposed
regulation:
    (1) Is not a ``significant regulatory action'' under Executive
Order 12866,
    (2) Is not a ``significant rule'' under the DOT Regulatory Policies
and Procedures (44 FR 11034, February 26, 1979),
    (3) Will not affect intrastate aviation in Alaska, and
    (4) Will not have a significant economic impact, positive or
negative, on a substantial number of small entities under the criteria
of the Regulatory Flexibility Act.

List of Subjects in 14 CFR Part 39

    Air transportation, Aircraft, Aviation safety, Incorporation by
reference, Safety.

The Proposed Amendment

    Accordingly, under the authority delegated to me by the
Administrator, the FAA proposes to amend 14 CFR part 39 as follows:

PART 39--AIRWORTHINESS DIRECTIVES

0
1. The authority citation for part 39 continues to read as follows:

    Authority:  49 U.S.C. 106(g), 40113, 44701.

Sec.  39.13  [Amended].

0
2. The FAA amends Sec.  39.13 by adding the following new airworthiness
directive (AD):

M7 Aerospace LLC: Docket No. FAA-2014-0308; Directorate Identifier
2014-CE-012-AD.

(a) Comments Due Date

    We must receive comments by June 30, 2014.

(b) Affected ADs

    None.

(c) Applicability

    This AD applies to the M7 Aerospace LLC airplanes listed in
paragraphs (c)(1) through (c)(5) of this AD that are equipped with a
bayonet shear pin main cabin door latching mechanism and are
certificated in any category. Airplanes equipped with a ``click-
clack'' main cabin door latching mechanism are not affected by this
AD. Figure 3 of M7 Aerospace LLC SA227 Series Commuter Category
Service Bulletin CC7-53-005, and M7 Aerospace LLC SA227 Series
Service Bulletin 227-53-009, both dated November 15, 2013, is a
picture showing both styles of latching mechanisms.
    (1) Model SA227-AT airplanes, serial numbers (S/Ns) AT570
through AT631, and AT695.
    (2) Model SA227-AC airplanes, S/Ns AC570 through AC788.
    (3) Model SA227-BC airplanes, S/Ns BC762, BC764, BC766, and
BC770 through BC789.
    (4) Model SA227-CC airplanes, S/N CC827, CC829, and CC840
through CC844.
    (5) Model SA227-DC airplanes, S/Ns DC784, DC790 through DC826,
DC828,

DC830 through DC839, and DC845 through DC904.

(d) Subject

    Joint Aircraft System Component (JASC)/Air Transport Association
(ATA) of America--Code 5310, Fuselage Main, Structure.

(e) Unsafe Condition

    This AD was prompted by fatigue cracks found in the internal
door surround doubler, the external skin fuselage skin, and the door
corner fittings at the fuselage upper forward corner of the main
cabin door cutout. We are issuing the AD to prevent decompression
failure with possible loss of structural integrity of the cabin
structure.

(f) Compliance

    Comply with this AD within the compliance times specified in
paragraph (g) through paragraph (k) of this AD, including all
subparagraphs, unless already done.

(g) Inspections

    (1) Do an initial detailed visual inspection of the fuselage
upper forward corner and other 3 corners of the main cabin door
cutout for cracks following Table 1 in Step 2. ACCOMPLISHMENT
INSTRUCTIONS of M7 Aerospace LLC SA227 Series Commuter Category
Service Bulletin CC7-53-005 or M7 Aerospace LLC SA227 Series Service
Bulletin 227-53-009, both dated November 15, 2013, as applicable. Do
the inspection at the compliance times specified in paragraphs
(g)(1)(i) through (g)(1)(iv) of this AD. For the purposes of this
AD, owner/operators who do not track total aircraft flight cycles
(TAC), use a .5 to 1 conversion, e.g., 35,000 TAC is equivalent to
17,500 hours time-in-service (TIS). For owner/operators who do not
track flight cycles, use a 1 to 1 conversion, e.g., 300 flight
cycles are equivalent to 300 hours TIS.
    (i) For aircraft with more than 35,000 TAC, inspect within the
next 300 flight cycles after the effective date of this AD.
    (ii) For aircraft with 20,001-35,000 TAC, inspect within the
next 600 flight cycles after the effective date of this AD.
    (iii) For aircraft with 12,000-20,000 TAC, inspect within the
next 1,000 flight cycles after the effective date of this AD.
    (iv) For aircraft with less than 12,000 TAC, inspect at 12,000
flight cycles or within the next 1,000 flight cycles after the
effective date of this AD, whichever occurs later.
    (2) If no cracks are found during the inspection required by
paragraph (g)(1) of this AD, repetitively thereafter at intervals
not to exceed 2,000 flight cycles do a detailed visual inspection of
the fuselage upper forward corner and other 3 corners of the main
cabin door cutout for cracks following Table 1 in Step 2.
ACCOMPLISHMENT INSTRUCTIONS of M7 Aerospace LLC SA227 Series
Commuter Category Service Bulletin CC7-53-005 or M7 Aerospace LLC
SA227 Series Service Bulletin 227-53-009, both dated November 15,
2013, as applicable.

(h) Repair Cracks and Repetitively Inspect

    (1) If any cracks are found during any inspection required in
paragraph (g) through paragraph (i) of this AD, before further
flight after the inspection in which a crack is found, repair or
replace the cracked structure following Step 3. REPAIR OF CRACKED
INNER DOUBLE, Step 4. REPAIR OF CRACKED FUSELAGE SKIN, and/or Step
5. REPAIR OF CRACKED CORNER FITTING of M7 Aerospace LLC SA227 Series
Commuter Category Service Bulletin CC7-53-005, or M7 Aerospace LLC
SA227 Series Service Bulletin 227-53-009, both dated November 15,
2013, as applicable.
    (2) If you made the repairs required in paragraph (h)(1) of this
AD by installing repair kit part number (P/N) 27K24191-001, do the
threshold and repeat inspections following Table 2 in Step 2.
ACCOMPLISHMENT INSTRUCTIONS of M7 Aerospace LLC SA227 Series
Commuter Category Service Bulletin CC7-53-005, dated November 15,
2013; or M7 Aerospace LLC SA227 Series Service Bulletin 227-53-009,
dated November 15, 2013, as applicable.
    (3) If you made the repairs required in paragraph (h)(1) of this
AD by replacing the fuselage skin by installing kit 27K24191-003, or
if the corner fitting was replaced and no other cracks are present,
repetitively thereafter inspect following Table 1 in Step 2.
ACCOMPLISHMENT INSTRUCTIONS of M7 Aerospace LLC SA227 Series
Commuter Category Service Bulletin CC7-53-005, or M7 Aerospace LLC
SA227 Series Service Bulletin 227-53-009, both dated November 15,
2013, as applicable.

(i) Extend Repetitive Inspection Intervals

    After any inspection required in paragraph (g)(1) and (g)(2) of
this AD and no damage, defects, or cracks are found, you may install
repair kit P/N 27K24191-001 following Step 6. ADDITION OF KIT
DRAWING REPAIR MEMBERS AS PREVENTATIVE ACTION of M7 Aerospace LLC
SA227 Series Commuter Category Service Bulletin CC7-53-005, or M7
Aerospace LLC SA227 Series Service Bulletin 227-53-009, both dated
November 15, 2013, as applicable, to extend the inspection
intervals. After installing repair kit P/N 27K24191-001 do the
threshold and repeat inspections following Table 3 of Step 2.
ACCOMPLISHMENT INSTRUCTIONS of M7 Aerospace LLC SA227 Series
Commuter Category Service Bulletin CC7-53-005, or M7 Aerospace LLC
SA227 Series Service Bulletin 227-53-009, both dated November 15,
2013, as applicable.

(j) Reporting Requirement

    Within 30 days after any inspection required by paragraph (g)
through paragraph (i) of this AD where a crack or any other damage
is found, report the results of that inspection to M7 Aerospace LLC
following the instructions specified in Step 2.I. of the
ACCOMPLISHMENT INSTRUCTIONS of M7 Aerospace LLC SA227 Series
Commuter Category Service Bulletin CC7-53-005, dated November 15,
2013; or Step 2.J. of the ACCOMPLISHMENT INSTRUCTIONS of M7
Aerospace LLC SA227 Series Service Bulletin 227-53-009, dated
November 15, 2013, as applicable.

(k) Credit for Previous Repairs

    As of the effective date of this AD, owner/operators who had the
initial inspection and any resulting repairs done before the
effective date of this AD using procedures different from those
specified in M7 Aerospace LLC SA227 Series Commuter Category Service
Bulletin CC7-53-005, dated November 15, 2013; and M7 Aerospace LLC
SA227 Series Service Bulletin 227-53-009, dated November 15, 2013,
may apply for an alternative method of compliance (AMOC) following
the instructions in paragraph (m) of this AD.

(l) Paperwork Reduction Act Burden Statement

    A federal agency may not conduct or sponsor, and a person is not
required to respond to, nor shall a person be subject to a penalty
for failure to comply with a collection of information subject to
the requirements of the Paperwork Reduction Act unless that
collection of information displays a current valid OMB Control
Number. The OMB Control Number for this information collection is
2120-0056. Public reporting for this collection of information is
estimated to be approximately 5 minutes per response, including the
time for reviewing instructions, completing and reviewing the
collection of information. All responses to this collection of
information are mandatory. Comments concerning the accuracy of this
burden and suggestions for reducing the burden should be directed to
the FAA at: 800 Independence Ave. SW., Washington, DC 20591, Attn:
Information Collection Clearance Officer, AES-200.

(m) Alternative Methods of Compliance (AMOCs)

    (1) The Manager, Fort Worth Airplane Certification Office, FAA,
has the authority to approve AMOCs for this AD, if requested using
the procedures found in 14 CFR 39.19. In accordance with 14 CFR
39.19, send your request to your principal inspector or local Flight
Standards District Office, as appropriate. If sending information
directly to the manager of the ACO, send it to the attention of the
person identified in the Related Information section of this AD.
    (2) Before using any approved AMOC, notify your appropriate
principal inspector, or lacking a principal inspector, the manager
of the local flight standards district office/certificate holding
district office.

(n) Related Information

    (1) For more information about this AD, contact Andrew McAnaul,
Aerospace Engineer, FAA, ASW-150 (c/o San Antonio MIDO), 10100
Reunion Place, Suite 650, San Antonio, Texas 78216; phone: (210)
308-3365; fax:<PHONE_NUMBER>; email<EMAIL_ADDRESS>    (2) For service information identified in this AD, contact M7
Aerospace LLC, 10823 NE Entrance Road, San Antonio, Texas 78216;
phone:<PHONE_NUMBER>; fax:<PHONE_NUMBER>; Internet: http://www.m7aerospace.com; email<EMAIL_ADDRESS>You may view
this referenced service information at the FAA, Small Airplane
Directorate, 901 Locust, Kansas City, Missouri 64106. For
information on the availability of this material at the FAA, call
816-329-4148.

    Issued in Kansas City, Missouri on May 7, 2014.
Timothy Smyth,
Acting Manager, Small Airplane Directorate, Aircraft Certification
Service.
[FR Doc. 2014-11072 Filed 5-13-14; 8:45 am]
BILLING CODE 4910-13-P


From:
"Jones, DonnaLee"<EMAIL_ADDRESS>Sent:
Tue, 27 Sep 2022 11:18:14
To:
"Ford; Luke"<EMAIL_ADDRESS>Cc:
Mcginn, Kevin<EMAIL_ADDRESS>Shappley, Ned<EMAIL_ADDRESS>Raymond, Gabrielle<EMAIL_ADDRESS>Orlin, David<EMAIL_ADDRESS>French, Chuck<EMAIL_ADDRESS>Coke ICR2<EMAIL_ADDRESS>Subject:
RE: CAA section 114 request for Coke Ovens RTR - email for Cokenergy
Dear Mr. Ford  -  Attached are the EPA comments on your letter of 09-23-2022. I believe the EPA responses are self-explanatory. So unless you have any further questions, we do not need to discuss the testing further and you can proceed with scheduling your testing. We will look forward to receiving your test schedule once it is firmed up.

Thank you for your efforts with the Coke 2022 114.

Regards,
Donna Lee Jones, Ph.D.
Senior Technical Advisor, Metals Sector
U. S. Environmental Protection Agency
Office of Air Quality Planning and Standards
Sector Policies and Programs Division / Metals & Inorganic Chemicals Group (D243-02)
Research Triangle Park, NC  27711
Tele:<PHONE_NUMBER>
--------------------------------------------------------------------------------
Fax<PHONE_NUMBER>
"Reasonableness never fails to be appreciated."  - anon.

Pronouns - She/Her/Hers
Salutation - Dr./Ms.

<<Coke-energy-114-0923022-Final-EPA-Comments-09-27-22.pdf>>

From: Ford, Luke<EMAIL_ADDRESS>Sent: Monday, September 26, 2022 7:57 AM
To: Jones, DonnaLee<EMAIL_ADDRESS><EMAIL_ADDRESS>Cc: Acheson, Seth<EMAIL_ADDRESS>Mcginn, Kevin<EMAIL_ADDRESS>Shappley, Ned<EMAIL_ADDRESS>GABRIELLE RAYMOND<EMAIL_ADDRESS>Orlin, David<EMAIL_ADDRESS>French, Chuck<EMAIL_ADDRESS>Subject: RE: CAA section 114 request for Coke Ovens RTR - email for Cokenergy

Dear Dr. Jones:

Thank you for the additional information provided in your email.  It important to emphasize that there is nothing in the Cokenergy process that generates HAP.  We are in agreement that there may be measurable HAPS from the main stack at Cokenergy, however the source generating the HAP is the coke oven which is outside of our operation.  There is no combustion that takes place in our process, we are simply recovering the waste heat from Suncoke's coke ovens.

Once you have completed your review of our letter we would be happy to setup another call or meeting to discuss further.

Regards,

Luke E. Ford
Director EH&S
Primary Energy
3210 Watling St.
MC 2-991
East Chicago, IN 46312

Email<EMAIL_ADDRESS>Office<PHONE_NUMBER>
Mobile<PHONE_NUMBER>

From: Jones, DonnaLee<EMAIL_ADDRESS><EMAIL_ADDRESS>>
Sent: Friday, September 23, 2022 5:14 PM
To: Ford, Luke<EMAIL_ADDRESS><EMAIL_ADDRESS>><EMAIL_ADDRESS><EMAIL_ADDRESS>Cc: Acheson, Seth<EMAIL_ADDRESS><EMAIL_ADDRESS>>; Mcginn, Kevin<EMAIL_ADDRESS><EMAIL_ADDRESS>>; Shappley, Ned<EMAIL_ADDRESS><EMAIL_ADDRESS>>; GABRIELLE RAYMOND<EMAIL_ADDRESS><EMAIL_ADDRESS>>; Orlin, David<EMAIL_ADDRESS><EMAIL_ADDRESS>>; French, Chuck<EMAIL_ADDRESS><EMAIL_ADDRESS>>
Subject: RE: CAA section 114 request for Coke Ovens RTR - email for Cokenergy

Dear Mr. Ford  -  Thank you for your detailed letter discussing the issues with the Coke 2022 114 information request (Enclosure 1) and test request (Enclosure 2) for your main stack. I will need to discuss the details raised in your letter with my colleagues next week before responding to the specific testing problems. However, in the future, we will send letters directly to Cokenergy and not Prime Energy. Thank you for pointing out this error. My apologies to Prime Energy.

However, in regard to the specific point made in the letter that "Cokenergy does not generate hazardous air pollutants ("HAP") as part of its operations at its facility in East Chicago, Indiana" please refer to the test results attached from the main stack at SunCoke's Middleton facility, specifically, Tables 4-7, 4-8, and 4-9.  These tables show that there are HAP emitted from the main stack. Since SunCoke operates the coke ovens at both Middleton and East Chicago, as pointed out in your letter, we don't expect there to be zero HAP emitted from the main stack at East Chicago while measurable HAP is emitted from the main stack at Middleton. Therefore, we fully expect the testing at Cokenergy to be performed, as requested by the EPA in the Clean Air Act section 114 request.

I will get back to you next week with responses to the other points raised in your letter.

Regards,
Donna Lee Jones, Ph.D.
Senior Technical Advisor, Metals Sector
U. S. Environmental Protection Agency
Office of Air Quality Planning and Standards
Sector Policies and Programs Division / Metals & Inorganic Chemicals Group (D243-02)
Research Triangle Park, NC  27711
Tele:<PHONE_NUMBER>
--------------------------------------------------------------------------------
Fax<PHONE_NUMBER>
"Reasonableness never fails to be appreciated."  - anon.

Pronouns - She/Her/Hers
Salutation - Dr./Ms.

From: Ford, Luke<EMAIL_ADDRESS><EMAIL_ADDRESS>>
Sent: Friday, September 23, 2022 4:57 PM
To: Jones, DonnaLee<EMAIL_ADDRESS><EMAIL_ADDRESS>><EMAIL_ADDRESS><EMAIL_ADDRESS>Cc: Acheson, Seth<EMAIL_ADDRESS><EMAIL_ADDRESS>>
Subject: RE: CAA section 114 request for Coke Ovens RTR - email for Cokenergy

Dear Dr. Jones:

Per the Schedule for Submissions, see the attached letter detailing our stack testing problems identified in Enclosure 2.

Please let me know if there are questions or if you would like to schedule a meeting to talk through the issues identified.

Thanks very much.

Regards,

Luke E. Ford
Director EH&S
Primary Energy
3210 Watling St.
MC 2-991
East Chicago, IN 46312

Email<EMAIL_ADDRESS>Office<PHONE_NUMBER>
Mobile<PHONE_NUMBER>

From: Jones, DonnaLee<EMAIL_ADDRESS><EMAIL_ADDRESS>>
Sent: Tuesday, July 26, 2022 3:24 PM
To: Klefeker, Mo<EMAIL_ADDRESS><EMAIL_ADDRESS>>
Cc: Ford, Luke<EMAIL_ADDRESS><EMAIL_ADDRESS>>; Acheson, Seth<EMAIL_ADDRESS><EMAIL_ADDRESS>>; STUCKEY, MATT<EMAIL_ADDRESS><EMAIL_ADDRESS>>; Mooney, John<EMAIL_ADDRESS><EMAIL_ADDRESS>>; French, Chuck<EMAIL_ADDRESS><EMAIL_ADDRESS>>; Jones, DonnaLee<EMAIL_ADDRESS><EMAIL_ADDRESS>><EMAIL_ADDRESS><EMAIL_ADDRESS>Subject: CAA section 114 request for Coke Ovens RTR - email for Cokenergy

Hello Mr. Klefeker:

I hope this email finds you well. Attached you'll find a Clean Air Act (CAA) Section 114 information request letter signed on July 26, 2022, that requests information from Cokenergy heat recovery facility in East Chicago, IN. Please read the letter carefully and respond to this email acknowledging your receipt of the letter. Along with the letter I have attached the following files:

-- Enclosures 1&2 as PDF files
-- Enclosures #3 through #9 as a combined PDF file (these are standard enclosures we include with all section 114 information requests)
-- 1 Excel file to use to submit data to Enclosure 1
--1 Excel file to use to submit data to Enclosure 2

Please let me know if you have any questions about this request.

Thank you in advance for your efforts on this CAA section 114 request.

Regards,
Donna Lee Jones, Ph.D.
Senior Technical Advisor, Metals Sector
U. S. Environmental Protection Agency
Office of Air Quality Planning and Standards
Sector Policies and Programs Division / Metals & Inorganic Chemicals Group (D243-02)
Research Triangle Park, NC  27711
Tele:<PHONE_NUMBER>
--------------------------------------------------------------------------------
Fax<PHONE_NUMBER>
"Reasonableness never fails to be appreciated."  - anon.

Pronouns - She/Her/Hers
Salutation - Dr./Ms.


[Federal Register Volume 80, Number 174 (Wednesday, September 9, 2015)]
[Notices]
[Pages 54353-54357]
[FR Doc No: 2015-22602]

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

SECURITIES AND EXCHANGE COMMISSION

[Investment Company Act Release No. 31802; File No. 812-14456]

Brookfield Global Listed Infrastructure Income Fund Inc., et al.;
Notice of Application

September 1, 2015.
AGENCY: Securities and Exchange Commission (``Commission'').

ACTION: Notice of an application under section 6(c) of the Investment
Company Act of 1940 (``Act'') for an exemption from section 19(b) of
the Act and rule 19b-1 under the Act.

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

    Applicants: Brookfield Global Listed Infrastructure Income Fund
Inc. (``INF''), Brookfield High Income Fund Inc. (``HHY''), Brookfield
Mortgage Opportunity Income Fund Inc. (``BOI''), Brookfield Total
Return Fund Inc. (``HTR,'' together with INF, HHY, and BOI, the
``Funds''), and Brookfield Investment Management Inc. (``BIM'').

SUMMARY: Applicants request an order to permit certain registered
closed-end investment companies to make periodic distributions of long-
term capital gains with respect to their outstanding common shares as
frequently as monthly in any one taxable year, and as frequently as
distributions are specified by or in accordance with the terms of any
outstanding preferred shares that such investment companies may issue.

DATES: Filing Dates: The application was filed on June 6, 2015 and
amended on August 13, 2015.
    Hearing or Notification of Hearing: An order granting the
application 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 September 28, 2015 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: Secretary, U.S. Securities and Exchange Commission, 100 F
Street NE., Washington, DC 20549-1090; Applicants, Brookfield Place,
250 Vesey Street, New York, NY 10281-1023.

FOR FURTHER INFORMATION CONTACT: Jaea F. Hahn, Senior Counsel, at (202)
551-6870, or Mary Kay Frech, 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. INF, HHY, BOI and HRT are Maryland corporations registered as
closed-end management investment companies.\1\ INF's investment
objective is to provide a high total return, with an emphasis on
income, which it seeks to achieve by investing in publicly traded
equity securities of infrastructure companies listed on a domestic or
foreign exchange. HHY's primary investment objective is to seek high
current income by investing in high yield bonds, debentures, notes,
corporate loans, convertible debentures and other debt instruments.
BOI's primary investment objective is to seek high total investment
return by investing primarily in mortgage-related debt securities and
other mortgage-related instruments. HTR's primary investment objective
is to provide a high total return, including short and long-term
capital gains and a high level of current income by investing primarily
in U.S. Treasury, mortgage-backed, asset-backed and high-yield
corporate securities. The common shares of each of the Funds are listed
and traded on the New York Stock Exchange. Although none of the Funds
currently intend to issue preferred shares, the board of directors
(``Board'') of each Fund may authorize the issuance of preferred shares
in the future.
---------------------------------------------------------------------------

    \1\ All existing registered closed-end investment companies that
currently intend to rely on the order have been named as applicants.
Applicants request that the order also apply to each other
registered closed-end investment company advised or to be advised in
the future by BIM or by an entity controlling, controlled by, or
under common control (within the meaning of section 2(a)(9) of the
Act) with BIM (including any successor in interest) (each such
entity, including BIM, the ``Adviser'') that in the future seeks to
rely on the order (such investment companies, together with INF,
HHY, BOI and HTR, are collectively, the ``Funds'' and individually,
a ``Fund''). Any Fund that may rely on the order in the future will
comply with the terms and conditions of the application. A successor
in interest is limited to entities that result from a reorganization
into another jurisdiction or a change in the type of business
organization.
---------------------------------------------------------------------------

    2. BIM, a Delaware corporation, is registered under the Investment
Advisers Act of 1940 (the ``Advisers Act'') as an investment adviser.
BIM serves as investment adviser to INF, HHY, BOI and HTR. Each Adviser
to a Fund will be registered under the Advisers Act.
    3. Applicants believe that investors in closed-end funds may prefer
an investment vehicle that provides regular current income through
fixed distribution policies that would be available through a
distribution policy (``Distribution Policy''). Applicants state that
prior to a Fund's implementing a Distribution Policy in reliance on the
order, the Board of each Fund, including a majority of the directors
who are not ``interested persons'' of the Fund, as defined in section
2(a)(19) of

the Act (the ``Independent Directors''), will request, and the Adviser
will provide, such information as is reasonably necessary to make an
informed determination of whether the Board should adopt a proposed
Distribution Policy. In particular, the Board and the Independent
Directors will review information regarding the purpose and terms of
the Distribution Policy; the likely effects of the policy on the Fund's
long-term total return (in relation to market price and its net asset
value per common share (``NAV'')); the expected relationship between
the Fund's distribution rate on its common shares under the policy and
the Fund's total return (in relation to NAV); whether the rate of
distribution is anticipated to exceed such Fund's expected total return
in relation to its NAV; and any foreseeable material effects of the
policy on the Fund's long-term total return (in relation to market
price and NAV). The Independent Directors will also consider what
conflicts of interest the Adviser and the affiliated persons of the
Adviser and the Fund might have with respect to the adoption or
implementation of the Distribution Policy. Applicants state that, only
after considering such information will the Board, including the
Independent Directors, of each Fund approve a Distribution Policy and
in connection with such approval will determine that the Distribution
Policy is consistent with a Fund's investment objective(s) and in the
best interests of the Fund's common shareholders.
    4. Applicants state that the purpose of a Distribution Policy,
generally, would be to permit a Fund to distribute over the course of
each year, through periodic distributions in relatively equal amounts
(plus any required special distributions) that are comprised of
payments received from portfolio holdings, supplemental amounts
generally representing capital gains or, possibly, returns of capital
that may represent unrealized capital gains. The Fund seeks to
establish a distribution rate that approximates that Fund's projected
total return that can reasonably be expected to be generated by the
Fund over an extended period of time, although the distribution rate
will not be solely dependent on the amount of income earned or capital
gains realized by the Fund. Under the Distribution Policy of a Fund,
such Fund would distribute to its respective common shareholders a
fixed percentage of the market price of such Fund's common shares at a
particular point in time or a fixed percentage of NAV at a particular
time or a fixed amount per common share, any of which may be adjusted
from time to time. It is anticipated that under a Distribution Policy,
the minimum annual distribution rate with respect to a Fund's common
shares would be independent of the Fund's performance during any
particular period but would be expected to correlate with the Fund's
performance over time. Except for extraordinary distributions and
potential increases or decreases in the amount of the distributions in
the final dividend period in light of a Fund's projected performance
for the entire calendar year and to enable the Fund to comply with the
distribution requirements of Subchapter M of the Internal Revenue Code
(``Code'') for the calendar year, each distribution on the Fund's
common shares would be at the stated rate then in effect.
    5. Applicants state that prior to the implementation of a
Distribution Policy for any Fund in reliance on the order, the Board of
such Fund will have adopted policies and procedures under rule 38a-1
under the Act that: (i) Are reasonably designed to ensure that all
notices required to be sent to the Fund's shareholders pursuant to
section 19(a) of the Act, rule 19a-1 thereunder and condition 4 below
(each a ``19(a) Notice'') include the disclosure required by rule 19a-1
under the Act and by condition 2(a) below, and that all other written
communications by the Fund or its agents regarding distributions under
the Distribution Policy include the disclosure required by condition
3(a) below; and (ii) require the Fund to keep records that demonstrate
its compliance with all of the conditions of the order and that are
necessary for such Fund to form the basis for, or demonstrate the
calculation of, the amounts disclosed in its 19(a) Notices.

Applicants' Legal Analysis

    1. Section 19(b) of the Act generally makes it unlawful for any
registered investment company to make long-term capital gains
distributions more than once every twelve months. Rule 19b-1 limits the
number of capital gains dividends, as defined in section 852(b)(3)(C)
of the Code (``distributions''), that a fund may make with respect to
any one taxable year to one, plus a supplemental distribution made
pursuant to section 855 of the Code not exceeding 10% of the total
amount distributed for the year, plus one additional capital gain
dividend made in whole or in part to avoid the excise tax under section
4982 of the Code.
    2. Section 6(c) of the Act provides, in relevant part, that the
Commission may exempt any person or transaction from any provision of
the Act to the extent that such exemption is necessary or appropriate
in the public interest and consistent with the protection of investors
and the purposes fairly intended by the policy and provisions of the
Act.
    3. Applicants state that one of the concerns leading to the
enactment of section 19(b) and adoption of rule 19b-1 was that
shareholders might be unable to distinguish between frequent
distributions of capital gains and dividends from investment income.
Applicants state, however, that rule 19a-1 effectively addresses this
concern by requiring that distributions (or the confirmation of the
reinvestment thereof) estimated to be sourced in part from capital
gains or capital be accompanied by a separate statement showing the
sources of the distribution (e.g., estimated net income, net short-term
capital gains, net long-term capital gains and/or return of capital).
Applicants state that similar information is included in the Funds'
annual reports to shareholders and on the Internal Revenue Service Form
1099 DIV, which is sent to each common and preferred shareholder who
received distributions during a particular year.
    4. Applicants further state that each Fund will make the additional
disclosures required by the conditions set forth below, and each Fund
will adopt compliance policies and procedures in accordance with rule
38a-1 under the Act to ensure that all required 19(a) Notices and
disclosures are sent to shareholders. Applicants state that the
information required by section 19(a), rule 19a-1, the Distribution
Policy, the policies and procedures under rule 38a-1 noted above, and
the conditions listed below will help ensure that each Fund's
shareholders are provided sufficient information to understand that
their periodic distributions are not tied to a Fund's net investment
income (which for this purpose is the Fund's taxable income other than
from capital gains) and realized capital gains to date, and may not
represent yield or investment return. Accordingly, applicants assert
that continuing to subject the Funds to section 19(b) and rule 19b-1
would afford shareholders no extra protection.
    5. Applicants note that section 19(b) and rule 19b-1 also were
intended to prevent certain improper sales practices, including, in
particular, the practice of urging an investor to purchase shares of a
fund on the basis of an upcoming capital gains dividend (``selling the
dividend''), where the dividend would result in an immediate
corresponding

reduction in NAV and would be in effect a taxable return of the
investor's capital. Applicants submit that the ``selling the dividend''
concern should not apply to closed-end investment companies, such as
the Funds.\2\ According to applicants, if the underlying concern
extends to secondary market purchases of shares of closed-end funds
that are subject to a large upcoming capital gains dividend, adoption
of a periodic distribution plan actually helps minimize the concern by
avoiding, through periodic distributions, any buildup of large end-of-
the-year distributions.
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    \2\ Applicants note that none Funds currently advised by BIM,
including INF, HHY, BOI, or HTR, offer or intend to offer their
shares by means of a shelf registration statement. However, to the
extent that any Fund may do so in the future, shares will be offered
in this manner only when they are trading at a premium to NAV, and
not on the basis of an upcoming capital gains dividend, thus
minimizing the likelihood of improper fund share sales practices.
Any such offering of shares of a Fund will be made in compliance
with condition 6 below.
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    6. Applicants also note that the common stock of closed-end funds
often trades in the marketplace at a discount to its NAV. Applicants
believe that this discount may be reduced if the Funds are permitted to
pay relatively frequent dividends on their common shares at a
consistent rate, whether or not those dividends contain an element of
long-term capital gains.
    7. Applicants assert that the application of rule 19b-1 to a
Distribution Policy actually could have an inappropriate influence on
portfolio management decisions. Applicants state that, in the absence
of an exemption from rule 19b-1, the adoption of a periodic
distribution plan imposes pressure on management (i) not to realize any
net long-term capital gains until the point in the year that the fund
can pay all of its remaining distributions in accordance with rule 19b-
1, and (ii) not to realize any long-term capital gains during any
particular year in excess of the amount of the aggregate pay-out for
the year (since as a practical matter excess gains must be distributed
and accordingly would not be available to satisfy pay-out requirements
in following years), notwithstanding that purely investment
considerations might favor realization of long-term gains at different
times or in different amounts. Applicants assert that by limiting the
number of long-term capital gain dividends that a Fund may make with
respect to any one year, rule 19b-1 may prevent the normal and
efficient operation of a periodic distribution plan whenever that
Fund's realized net long-term capital gains in any year exceed the
total of the periodic distributions that may include such capital gains
under the rule.
    8. Applicants also assert that rule 19b-1 may force fixed regular
periodic distributions under a periodic distribution plan to be funded
with returns of capital \3\ (to the extent net investment income and
realized short-term capital gains are insufficient to fund the
distribution), even though realized net long-term capital gains
otherwise would be available. To distribute all of a Fund's long-term
capital gains within the limits in rule 19b-1, a Fund may be required
to make total distributions in excess of the annual amount called for
by its periodic distribution plan, or to retain and pay taxes on the
excess amount. Applicants assert that the requested order would
minimize these anomalous effects of rule 19b-1 by enabling the Funds to
realize long-term capital gains as often as investment considerations
dictate without fear of violating rule 19b-1.
---------------------------------------------------------------------------

    \3\ Returns of capital as used in the application means return
of capital for financial accounting purposes and not for tax
accounting purposes.
---------------------------------------------------------------------------

    9. Applicants state that Revenue Ruling 89-81 under the Code
requires that a fund that seeks to qualify as a regulated investment
company under the Code and that has both common stock and preferred
shares outstanding designate the types of income, e.g., investment
income and capital gains, in the same proportion as the total
distributions distributed to each class for the tax year. To satisfy
the proportionate designation requirements of Revenue Ruling 89-81,
whenever a fund has realized a long-term capital gain with respect to a
given tax year, the fund must designate the required proportionate
share of such capital gain to be included in common and preferred share
dividends. Applicants state that although rule 19b-1 allows a fund some
flexibility with respect to the frequency of capital gains
distributions, a fund might use all of the exceptions available under
the rule for a tax year and still need to distribute additional capital
gains allocated to the preferred shares to comply with Revenue Ruling
89-81.
    10. Applicants assert that the potential abuses addressed by
section 19(b) and rule 19b-1 do not arise with respect to preferred
shares issued by a closed-end fund. Applicants assert that such
distributions generally are either fixed or determined in periodic
auctions by reference to short-term interest rates rather than by
reference to performance of the issuer, and Revenue Ruling 89-81
determines the proportion of such distributions that are comprised of
long-term capital gains.
    11. Applicants also submit that the ``selling the dividend''
concern is not applicable to preferred shares, which entitles a holder
to no more than a specified periodic dividend at a fixed rate or the
rate determined by the market, and, like a debt security, is priced
based upon its liquidation preference, dividend rate, credit quality,
and frequency of payment. Applicants state that investors buy preferred
shares for the purpose of receiving payments at the frequency bargained
for, and any application of rule 19b-1 to preferred shares would be
contrary to the expectation of investors.
    12. Applicants request an order under section 6(c) of the Act
granting an exemption from the provisions of section 19(b) of the Act
and rule 19b-1 thereunder to permit each Fund to distribute periodic
capital gain dividends (as defined in section 852(b)(3)(C) of the Code)
as frequently as monthly in any one taxable year in respect of its
common shares and as often as specified by, or determined in accordance
with the terms of, any preferred shares issued by the Fund.

Applicants' Conditions

    Applicants agree that, with respect to each Fund seeking to rely on
the order, the order will be subject to the following conditions:
    1. Compliance Review and Reporting. The Fund's chief compliance
officer will: (a) Report to the Fund's Board, no less frequently than
once every three months or at the next regularly scheduled quarterly
Board meeting, whether (i) the Fund and its Adviser have complied with
the conditions of the order, and (ii) a material compliance matter (as
defined in rule 38a-1(e)(2) under the Act) has occurred with respect to
such conditions; and (b) review the adequacy of the policies and
procedures adopted by the Board no less frequently than annually.
    2. Disclosures to Fund Shareholders.
    (a) Each 19(a) Notice disseminated to the holders of the Fund's
common shares, in addition to the information required by section19(a)
and rule 19a-1:
    (i) Will provide, in a tabular or graphical format:
    (1) The amount of the distribution, on a per common share basis,
together with the amounts of such distribution amount, on a per common
share basis and as a percentage of such distribution amount, from
estimated: (A) Net investment income; (B) net realized short-term
capital gains; (C) net realized

long-term capital gains; and (D) return of capital or other capital
source;
    (2) the fiscal year-to-date cumulative amount of distributions, on
a per common share basis, together with the amounts of such cumulative
amount, on a per common share basis and as a percentage of such
cumulative amount of distributions, from estimated: (A) Net investment
income; (B) net realized short-term capital gains; (C) net realized
long-term capital gains; and (D) return of capital or other capital
source;
    (3) the average annual total return in relation to the change in
NAV for the 5-year period (or, if the Fund's history of operations is
less than five years, the time period commencing immediately following
the Fund's first public offering) ending on the last day of the month
ended immediately prior to the most recent distribution record date
compared to the current fiscal period's annualized distribution rate
expressed as a percentage of NAV as of the last day of the month prior
to the most recent distribution record date; and (4) the cumulative
total return in relation to the change in NAV from the last completed
fiscal year to the last day of the month prior to the most recent
distribution record date compared to the fiscal year-to-date cumulative
distribution rate expressed as a percentage of NAV as of the last day
of the month prior to the most recent distribution record date.
    Such disclosure shall be made in a type size at least as large and
as prominent as the estimate of the sources of the current
distribution; and
    (ii) Will include the following disclosure:
    (1) ``You should not draw any conclusions about the Fund's
investment performance from the amount of this distribution or from the
terms of the Fund's Distribution Policy'';
    (2) ``The Fund estimates that it has distributed more than its
income and net realized capital gains; therefore, a portion of your
distribution may be a return of capital. A return of capital may occur,
for example, when some or all of the money that you invested in the
Fund is paid back to you. A return of capital distribution does not
necessarily reflect the Fund's investment performance and should not be
confused with `yield' or `income' ''; \4\ and
---------------------------------------------------------------------------

    \4\ The disclosure in condition 2(a)(ii)(2) will be included
only if the current distribution or the fiscal year-to-date
cumulative distributions are estimated to include a return of
capital.
---------------------------------------------------------------------------

    (3) ``The amounts and sources of distributions reported in this
19(a) Notice are only estimates and are not being provided for tax
reporting purposes. The actual amounts and sources of the amounts for
tax reporting purposes will depend upon the Fund's investment
experience during the remainder of its fiscal year and may be subject
to changes based on tax regulations. The Fund will send you a Form
1099-DIV for the calendar year that will tell you how to report these
distributions for federal income tax purposes.''
    Such disclosure shall be made in a type size at least as large as
and as prominent as any other information in the 19(a) Notice and
placed on the same page in close proximity to the amount and the
sources of the distribution.
    (b) On the inside front cover of each report to shareholders under
rule 30e-1 under the Act, the Fund will:
    (i) Describe the terms of the Distribution Policy (including the
fixed amount or fixed percentage of the distributions and the frequency
of the distributions);
    (ii) include the disclosure required by condition 2(a)(ii)(1)
above;
    (iii) state, if applicable, that the Distribution Policy provides
that the Board of the Fund may amend or terminate the Distribution
Policy at any time without prior notice to Fund shareholders; and
    (iv) describe any reasonably foreseeable circumstances that might
cause the Fund to terminate the Distribution Policy and any reasonably
foreseeable consequences of such termination.
    (c) Each report provided to shareholders of a Fund under rule 30e-1
under the Act and each prospectus filed with the Commission on Form N-2
under the Act, will provide the Fund's total return in relation to
changes in NAV in the financial highlights table and in any discussion
about the Fund's total return.
    3. Disclosure to Shareholders, Prospective Shareholders and Third
Parties.
    (a) The Fund will include the information contained in the relevant
19(a) Notice, including the disclosure required by condition 2(a)(ii)
above, in any written communication (other than a communication on Form
1099) about the Distribution Policy or distributions under the
Distribution Policy by the Fund, or agents that the Fund has authorized
to make such communication on the Fund's behalf, to any Fund common
shareholder, prospective common shareholder or third-party information
provider;
    (b) The Fund will issue, contemporaneously with the issuance of any
19(a) Notice, a press release containing the information in the 19(a)
Notice and will file with the Commission the information contained in
such 19(a) Notice, including the disclosure required by condition
2(a)(ii) above, as an exhibit to its next filed Form N-CSR; and
    (c) The Fund will post prominently a statement on its (or the
Adviser's) Web site containing the information in each 19(a) Notice,
including the disclosure required by condition 2(a)(ii) above, and will
maintain such information on such Web site for at least 24 months.
    4. Delivery of 19(a) Notices to Beneficial Owners. If a broker,
dealer, bank or other person (``financial intermediary'') holds common
shares issued by the Fund in nominee name, or otherwise, on behalf of a
beneficial owner, the Fund: (a) Will request that the financial
intermediary, or its agent, forward the 19(a) Notice to all beneficial
owners of the Fund's shares held through such financial intermediary;
(b) will provide, in a timely manner, to the financial intermediary, or
its agent, enough copies of the 19(a) Notice assembled in the form and
at the place that the financial intermediary, or its agent, reasonably
requests to facilitate the financial intermediary's sending of the
19(a) Notice to each beneficial owner of the Fund's shares; and (c)
upon the request of any financial intermediary, or its agent, that
receives copies of the 19(a) Notice, will pay the financial
intermediary, or its agent, the reasonable expenses of sending the
19(a) Notice to such beneficial owners.
    5. Additional Board Determinations for Funds Whose Common Shares
Trades at a Premium.
    If:
    (a) The Fund's common shares have traded on the stock exchange that
they primarily trade on at the time in question at an average premium
to NAV equal to or greater than 10%, as determined on the basis of the
average of the discount or premium to NAV of the Fund's common shares
as of the close of each trading day over a 12-week rolling period (each
such 12-week rolling period ending on the last trading day of each
week); and
    (b) The Fund's annualized distribution rate for such 12-week
rolling period, expressed as a percentage of NAV as of the ending date
of such 12-week rolling period, is greater than the Fund's average
annual total return in relation to the change in NAV over the 2-year
period ending on the last day of such 12-week rolling period; then:
    (i) At the earlier of the next regularly scheduled meeting or
within four months of the last day of such 12-week

rolling period, the Board, including a majority of the Independent
Directors:
    (1) Will request and evaluate, and the Adviser will furnish, such
information as may be reasonably necessary to make an informed
determination of whether the Distribution Policy should be continued or
continued after amendment;
    (2) will determine whether continuation, or continuation after
amendment, of the Distribution Policy is consistent with the Fund's
investment objective(s) and policies and is in the best interests of
the Fund and its shareholders, after considering the information in
condition 5(b)(i)(1) above; including, without limitation:
    (A) Whether the Distribution Policy is accomplishing its
purpose(s);
    (B) the reasonably foreseeable material effects of the Distribution
Policy on the Fund's long-term total return in relation to the market
price and NAV of the Fund's common shares; and
    (C) the Fund's current distribution rate, as described in condition
5(b) above, compared with the Fund's average annual taxable income or
total return over the two-year period, as described in condition 5(b),
or such longer period as the Board deems appropriate; and
    (3) based upon that determination, will approve or disapprove the
continuation, or continuation after amendment, of the Distribution
Policy; and
    (ii) The Board will record the information considered by it,
including its consideration of the factors listed in condition
5(b)(i)(2) above, and the basis for its approval or disapproval of the
continuation, or continuation after amendment, of the Distribution
Policy in its meeting minutes, which must be made and preserved for a
period of not less than six years from the date of such meeting, the
first two years in an easily accessible place.
    6. Public Offerings. The Fund will not make a public offering of
its common shares other than:
    (a) A rights offering below NAV to holders of the Fund's common
shares;
    (b) an offering in connection with a dividend reinvestment plan,
merger, consolidation, acquisition, spin-off or reorganization of the
Fund; or
    (c) an offering other than an offering described in conditions 6(a)
and 6(b) above, provided that, with respect to such other offering:
    (i) The Fund's annualized distribution rate for the six months
ending on the last day of the month ended immediately prior to the most
recent distribution record date,\5\ expressed as a percentage of NAV as
of such date, is no more than 1 percentage point greater than the
Fund's average annual total return for the 5-year period ending on such
date; \6\ and
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    \5\ If the Fund has been in operation fewer than six months, the
measured period will begin immediately following the Fund's first
public offering.
    \6\ If the Fund has been in operation fewer than five years, the
measured period will begin immediately following the Fund's first
public offering.
---------------------------------------------------------------------------

    (ii) the transmittal letter accompanying any registration statement
filed with the Commission in connection with such offering discloses
that the Fund has received an order under section 19(b) to permit it to
make periodic distributions of long-term capital gains with respect to
its common shares as frequently as twelve times each year, and as
frequently as distributions are specified by or determined in
accordance with the terms of any outstanding preferred shares as such
Fund may issue.
    7. Amendments to Rule 19b-1.
    The requested order will expire on the effective date of any
amendment to rule 19b-1 that provides relief permitting certain closed-
end investment companies to make periodic distributions of long-term
capital gains with respect to their outstanding common shares as
frequently as twelve times each year.

    For the Commission, by the Division of Investment Management,
under delegated authority.
Robert W. Errett,
Deputy Secretary.
[FR Doc. 2015-22602 Filed 9-8-15; 8:45 am]
 BILLING CODE 8011-01-P