SF-83 SUPPORTING STATEMENT

ENVIRONMENTAL PROTECTION AGENCY

NESHAP for Publicly Owned Treatment Works (40 CFR part 63, subpart VVV)

1.  Identification of the Information Collection

1(a)  Title of the Information Collection

	NESHAP for Publicly Owned Treatment Works (40 CFR part 63, subpart VVV)

1(b)  Short Characterization/Abstract

The National Emission Standards for Hazardous Air Pollutants (NESHAP) for the regulations published at 40 CFR part 63, subpart VVV were proposed on December 1, 1998, and promulgated on October 26, 1999.  These regulations apply to existing and new publicly owned treatment works (POTWs) located at a major source of hazardous air pollutants, or industrial POTWs that are either area, or major sources.  Affected sources must develop and implement a pretreatment program defined by 40 CFR 403.8, or meet the general criteria for development and implementation of a pretreatment program.  New facilities include those that commenced construction, or reconstruction after the date of proposal.  This information is being collected to assure compliance with 40 CFR part 63, subpart VVV

In general, all NESHAP standards require initial notifications, performance tests, and periodic reports by the owners/operators of the affected facilities.  They also are required to maintain records of the occurrence and duration of any startup, shutdown, or malfunction in the operation of an affected facility, or any period during which the monitoring system is inoperative. Semiannual reporting also is required.  These notifications, reports, and records are essential in determining compliance, and are required of all affected facilities subject to NESHAP.

Any owner/operator subject to the provisions of this part shall maintain a file of these measurements and retain the file for at least five years following the date of such measurements, maintenance reports, and records.  All reports are sent to the delegated state, or local authority.  In the event that there is no such delegated authority, the reports are sent directly to the United States Environmental Protection Agency (EPA) regional office.

Based on our consultations with industry representatives, there is an average of one affected facility at each plant site and that each plant site has only one respondent (i.e., the owner/operator of the plant site).

Approximately six respondents are currently subject to the regulation, and it is estimated that no new respondents per year will become subject to the regulation during the next three years.  OMB approved the currently active ICR without any Terms of Clearance.

2.  Need for and Use of the Collection

2(a)  Need/Authority for the Collection

The EPA is charged under Section 112 of the Clean Air Act, as amended, to establish standards of performance for each category or subcategory of major sources and area sources of hazardous air pollutants.  These standards are applicable to new, or existing sources of hazardous air pollutants and shall require the maximum degree of emission reduction.  In addition, section 114(a) states that the Administrator may require any owner/operator subject to any requirement of this Act to:

(A) Establish and maintain such records; (B) make such reports; (C) install, use, and maintain such monitoring equipment, and use such audit procedures, or methods; (D) sample such emissions (in accordance with such procedures or methods, at such locations, at such intervals, during such periods, and in such manner as the Administrator shall prescribe); (E) keep records on control equipment parameters, production variables or other indirect data when direct monitoring of emissions is impractical; (F) submit compliance certifications in accordance with Section 114(a)(3); and (G) provide such other information as the Administrator may reasonably require.

In the Administrator's judgment, hazardous air pollutant emissions from POTWs cause or contribute to air pollution that may reasonably be anticipated to endanger public health or welfare. Therefore, the NESHAP were promulgated for this source category at 40 CFR part 63, subpart VVV.

2(b)  Practical Utility/Users of the Data

The recordkeeping and reporting requirements in the standard(s) ensure compliance with the applicable regulations which where promulgated in accordance with the Clean Air Act.  The collected information is also used for targeting inspections and as evidence in legal proceedings.

Performance tests are required in order to determine an affected facility’s initial capability to comply with the emission standard(s).  Continuous emission monitors are used to ensure compliance with the standard(s) at all times.

The notifications required in the standard(s) are used to inform the Agency, or delegated authority, when a source becomes subject to the requirements of the regulations.  The reviewing authority may then inspect the source to check if the pollution control devices are properly installed and operated and/or leaks are being detected and repaired and the standard(s) are being met.  The performance test may also be observed.

The required semiannual reports are used to determine periods of excess emissions, identify problems at the facility, verify operation/maintenance procedures and for compliance determinations.

3.  Nonduplication, Consultations, and Other Collection Criteria

The requested recordkeeping and reporting are required under 40 CFR part 63, subpart VVV.

3(a)  Nonduplication

 If the subject standards have not been delegated, the information is sent directly to the appropriate EPA regional office.  Otherwise, the information is sent directly to the delegated state, or local agency.  If a state, or local agency has adopted its own similar standards to implement the Federal standards, a copy of the report submitted to the state, or local agency can be sent to the Administrator in lieu of the report required by the Federal standards.  Therefore, no duplication exists.

3(b)  Public Notice Required Prior to ICR Submission to OMB

An announcement of a public comment period for the renewal of this ICR was published in the Federal Register (70 FR 24020) on May 6, 2005.  No comments were received on the burden published in the Federal Register.

3(c)  Consultations

 	Consultations were made with the National Association of Clean Water Agencies (NACWA), which represents municipalities that own and operate large publicly owned treatment works (POTWs).  The contact at NACWA was Chris Hornback, Director of Regulatory Affairs, at<PHONE_NUMBER>.  Consultations were also made with Robert Lucas, the staff lead for developing subpart VVV in the Office of Air Quality Planning and Standards.  In addition, the EPA Online Targeting and Information System (OTIS) was used to verify the estimated number of sources.

3(d)  Effects of Less Frequent Collection

Less frequent information collection would decrease the margin of assurance that facilities are continuing to meet the standards.  Requirements for information gathering and recordkeeping are useful techniques to ensure that good operation and maintenance practices are applied and emission limitations are met.  If the information required by these standards was collected less frequently, the likelihood of detecting poor operation and maintenance of control equipment and noncompliance would decrease.

3(e)  General Guidelines

None of these reporting or recordkeeping requirements violates any of the regulations established by OMB at 5 CFR part 1320, section 1320.5.

	These standards require the respondents to maintain all records, including reports and notifications for at least five years.  This is consistent with the General Provisions as applied to the standards.  EPA believes that the five year records retention requirement is consistent the Part 70 permit program and the five year statute of limitations on which the permit program is based.  Also, the retention of records for five years would allow EPA to establish the compliance history of a source and any pattern of compliance for purposes of determining the appropriate level of enforcement action.  Historically, EPA has found that the most flagrant violators frequently have violations extending beyond the five years.  EPA would be prevented from pursuing the worst violators due to the destruction or nonexistence of records if records were retained for less than five years.

3(f)  Confidentiality

Any information submitted to the Agency for which a claim of confidentiality is made will be safeguarded according to the Agency policies set forth in Title 40, Chapter 1, part 2, subpart B - Confidentiality of Business Information (see 40 CFR 2; 41 FR 36902, September 1, 1976; amended by 43 FR 40000, September 8, 1978; 43 FR 42251, September 20, 1978; 44 FR 17674, March 23, 1979).

3(g)  Sensitive Questions

None of the reporting or recordkeeping requirements contains sensitive questions.

4.  The Respondents and the Information Requested

4(a)  Respondents/SIC Codes

The respondents to the recordkeeping and reporting requirements are sewerage systems operators.  The SIC code for the respondents affected by the standards is SIC (United States Standard Industrial Classification) 4952 which corresponds to the NAICS (The North American Industry Classification System) 221320 for sewerage treatment facilities.

4(b)  Information Requested

(i)  Data Items

All data in this ICR that are recorded and/or reported are required by the NESHAP for Publicly Owned Treatment Works (40 CFR part 63, subpart VVV).

Sources may be required to submit the following notifications and submit the following reports listed below:

Notifications

Initial Notification 	63.1591(b), 63.9(b)

Request for Extension of Compliance	63.9(c)

Notification of Special Compliance Requirements	63.9(d)

Notification of Initial Performance Tests	63.9(e), 63.7(b)

Additional Notification Requirements for Sources with CMS	63.9(g)

Notification of Compliance Status	63.9(h)

Notification of Adjustments to Time Periods for Submitting Required Communications	63.9(i)

Notification of Changes to Information Provided	63.9(j)

Reports

Initial Performance Test Report	63.1590(f), 63.10(d)

Startup, Shutdown, Malfunction Report	63.1590(f)

Inspection and Monitoring Plan	63.1588(c)

Semiannual Report	63.1590(f)

Excess Emissions Report	63.10(e)

Initial Report on Compliance Approach	63.1590(g)

Sources may be required to maintain the following records for the specified sections that apply to the source:

Recordkeeping

Records of Annual Inspections	63.1589(a)(1)

Records of Defects Detected 	63.1589(a)(2)

Records of Defect Repair Delays	63.1589(a)(3)

Records of Control Devices Covered by Other NESHAPS	63.1589(a)(4)

Records of Methods Used to Calculate Annual HAP Emissions	63.1589(b)(1)

Record of Methods and Data Used to Determine if POTW Meets Fraction Emitted Standard	63.1589(b)(2)

Records of Methods and Data the Demonstrates POTW is in Continuous Compliance 	63.1589(b)(3)

Maintain Records for Five Years	63.10(b)(1)

Records of Startups, Shutdowns, and Malfunctions	63.10(b)(2)

Electronic Reporting

	At the present, respondents are using monitoring equipment that automatically records parameter data.  Although personnel at the affected facility must evaluate the data, this internal automation has significantly reduced the burden associated with monitoring and recordkeeping at the plant site.

	Also, regulatory agencies in cooperation with the respondents, continue to create reporting systems to transmit data electronically.  However, electronic reporting systems are still not widely used.  At this time, it is estimated that approximately 10 percent of the respondents who are required to submit reports would use electronic reporting.

(ii)  Respondent Activities

Respondent Activities

Read instructions.

Write the notifications and reports listed above.

Prepare required plans and perform initial performance test, if required.

Enter information required to be recorded above.

Submit the required reports developing, acquiring, installing, and utilizing technology and systems for the purpose of collecting, validating, and verifying information.

Develop, acquire, install, and utilize technology and systems for the purpose of processing and maintaining information.

Develop, acquire, install, and utilize technology and systems for the purpose of disclosing and providing information.

Train personnel to be able to respond to a collection of information.

Transmit, or otherwise disclose the information.

5.  The Information Collected: Agency Activities, Collection Methodology, and Information Management

5(a)  Agency Activities

EPA conducts the following activities in connection with the acquisition, analysis, storage, and distribution of the required information.

Agency Activities

Review notifications and reports required to be submitted by industry.

Audit facility records.

Input, analyze, and maintain data in the Air Facility System (AFS).

5(b)  Collection Methodology and Management

Following notification of startup, the reviewing authority might inspect the source to determine whether the pollution control devices are properly installed and operated.  Performance test reports are used by the Agency to discern a source’s initial capability to comply with the emission standard.  Data and records maintained by the respondents are tabulated and published for use in compliance and enforcement programs.  The semiannual reports are used for problem identification, as a check on source operation and maintenance, and for compliance determinations.

Information contained in the reports is entered into the Air Facility System (AFS), which is operated and maintained by EPA's Office of Compliance.  AFS is EPA’s database for the collection, maintenance, and retrieval of compliance data for approximately 125,000 industrial and government-owned facilities.  EPA uses the AFS for tracking air pollution compliance and enforcement by local and state regulatory agencies, EPA regional offices and EPA headquarters.  EPA and its delegated Authorities can edit, store, retrieve and analyze the data.

 The records required by this regulation must be retained by the owner/operator for five years.

5(c)  Small Entity Flexibility

	There are no small entities (i.e., small businesses) affected by this regulation

5(d)  Collection Schedule

The specific frequency for each information collection activity within this request is shown in Table 1: Annual Burden of Reporting and Recordkeeping Requirements, NESHAP for Publicly Owned Treatment Works (40 CFR part 63, subpart VVV).

6.  Estimating the Burden and Cost of the Collection

Table 1 documents the computation of individual burdens for the recordkeeping and reporting requirements applicable to the industry for the subpart included in this ICR.  The individual burdens are expressed under standardized headings believed to be consistent with the concept of burden under the Paperwork Reduction Act.  Where appropriate, specific tasks and major assumptions have been identified.  Responses to this information collection are mandatory.

6(a)  Estimating Respondent Burden

We have estimated that there are six (6) “existing” affected sources subject to subpart VVV.  We also estimated that no new sources will startup in the next three years.  Subpart VVV requires existing sources to comply with the requirements specified by other applicable NESHAPs.  Therefore, the only recordkeeping and reporting requirement for existing sources subject to Subpart VVV is a semiannual report.  The average annual burden to industry over the next three years from submitting the semiannual report is 13.8 hours.

6(b)  Estimating Respondent Costs

(i)  Estimating Labor Costs

This ICR uses the following labor rates:

Managerial	$97.46   ($46.41 + 110%)

Technical	$83.71   ($39.86 + 110%)

Clerical	$42.55   ($20.26 + 110%)

These rates are from the United States Department of Labor, Bureau of Labor Statistics, March 19, 2005, Table 2. Civilian Workers, by occupational and industry group.  The rates are from column 1, Total compensation.  The rates have been increased by 110% to account for the benefit packages available to those employed by private industry.

(ii)  Estimating Capital/Startup and Operation and Maintenance Costs

There are no capital/startup or operation and maintenance costs associated with this ICR.

(iii)  Capital/Startup vs. Operation and Maintenance (O&M) Costs

Per 40 CFR 63.1583, emissions and control requirements for existing sources are covered by other existing NESHAP standards.  Since there are no new sources subject to this subpart, we can assume that the capital/startup costs associated with the monitoring devices are already included in the ICRs for the other NESHAP standards that apply to these sources.  Therefore the costs associated with capital/startup are $0 as shown on the OMB 83-I form in block 14(a), Total annualized capital/startup costs.

Operation and maintenance costs associated with these monitoring devices would also be included in the ICRs for the other NESHAP standards that apply to these sources.  Therefore, the estimated total operation and maintenance (O&M) costs for this ICR are also $0 as shown on the OMB 83-I form in block 14(b), Total annual costs (O&M).

The total respondent costs in block 14 have been calculated as the addition of the capital/startup costs, and the annual operation and maintenance costs.  The average annual cost for capital/startup and operation and maintenance costs to industry over the next three years of the ICR is estimated to be $0 as shown on the OMB 83-I form in block 14(c), Total annualized cost requested.

6(c)  Estimating Agency Burden and Cost

The only costs to the Agency are those costs associated with analysis of the reported information.  EPA's overall compliance and enforcement program includes activities such as the examination of records maintained by the respondents, periodic inspection of sources of emissions, and the publication and distribution of collected information.  The average annual Agency cost during the three years of the ICR is estimated to be $559 (rounded).

This cost is based on the average hourly labor rate as follows:

		Managerial	$56.02  (GS-13, Step 5, $35.01 x 1.6)

		Technical	$41.57  (GS-12, Step 1, $25.98 x 1.6)

		Clerical	$22.50  (GS-6, Step 3, $14.06 x 1.6)

These rates are from the Office of Personnel Management (OPM) (2005 General Schedule( which excludes locality rates of pay.  Details upon which this estimate is based appear in Table 2: Average Annual EPA Resource Requirement, NESHAP for Publicly Owned Treatment Works (40 CFR, Part 63, Subpart VVV) below.

6(d)  Estimating the Respondent Universe and Total Burden and Costs

Based on our research for this ICR, there are six “existing” sources that are subject to Subpart VVV.  No new sources will becomes subject to this ICR over the next three years.  Therefore, the Number of Respondents over the three year period of this ICR is six.  This number appears on the OMB 83-I form in block 13(a), Number of respondents.

	Existing sources are only required to submit semiannual reports.  Thus, the number of Total Annual Responses is 12.  This number is shown on the OMB 83-I form in block 13(b), Total annual responses.

The Total Hours Requested is shown on the OMB 83-I form in block 13(c).  Since there are no requirements for “existing” sources under Subpart VVV, the total annual labor costs are $1,114 (rounded).  The annual labor costs are not shown on the OMB 83-I form.  Details regarding these estimates may be found in Table 1: Annual Burden of Reporting and Recordkeeping Requirements, NESHAP for Publicly Owned Treatment Works (40 CFR part 63, subpart VVV).

The total annual capital/startup and O&M costs to the regulated entities are $0.  This number is shown on the OMB 83-I form in block 14(c), Total annualized cost requested.  The cost calculations are detailed in Section 6(b)(iii), Capital/Startup vs. Operation and Maintenance (O&M) Costs.

	The average annual Agency burden and cost over next three years is estimated to be 13.8 hours at a cost of $559.45.  See Table 2: Average Annual EPA Resource Requirement, NESHAP for Publicly Owned Treatment Works (40 CFR, part 63, subpart VVV).

6(e)  Bottom Line Burden Hours Burden Hours and Cost Tables

The detailed bottom line burden hours and cost calculations for the respondents and the Agency are shown in Tables 1 and 2, respectively, and summarized below.

(i) Respondent Tally

The Total Hours Requested is shown on the OMB 83-I form in block 13(c).  The total annual labor costs are $1,114.  The annual labor costs are not shown on the OMB 83-I form.  Details regarding these estimates may be found in Table 1: Annual Burden of Reporting and Recordkeeping Requirements, NESHAP for Publicly Owned Treatment Works (40 CFR part 63, subpart VVV).  Furthermore, the annual public reporting and recordkeeping burden for this collection of information is estimated to average 1.15 hours per response.

The total annual capital/startup and O&M costs to the regulated entity are 0.  This number is shown on the OMB 83-I form in block 14(c), Total annualized cost requested.  The cost calculations are detailed in Section 6(b)(iii), Capital/Startup vs. Operation and Maintenance (O&M) Costs.

(ii) The Agency Tally

	The average annual Agency burden and cost over next three years is estimated to be 13.8 hours at a cost of $559.  See Table 2: Average Annual EPA Resource Requirement, NESHAP for Publicly Owned Treatment Works (40 CFR, part 63, subpart VVV).

6(f)  Reasons for Change in Burden

The decrease in burden from the most recently approved ICR is due to a correction.  It has been determined that there are six affected “existing” sources subject to Subpart VVV.  According to Subpart VVV, the only requirements for “existing” sources are those required by other NESHAPs that may apply.  For the purpose of this ICR, we assume that the burden associated with complying with the requirements of the other NESHAPs will be included in the ICR for those NESHAPs.  Therefore, the only burden associated with this ICR is semiannual reporting.

The previous ICR assumed there were additional recordkeeping costs associated with control device monitoring and inspection.  The previous ICR also assumed costs associated with a design analysis and trading.  These costs are erroneous and have been removed from this ICR.

6(g)  Burden Statement

The annual public reporting and recordkeeping burden for this collection of information is estimated to average 1.15 hours per response.  Burden means the total time, effort, or financial resources expended by persons to generate, maintain, retain, or disclose or provide information to or for a Federal agency.  This includes the time needed to review instructions; develop, acquire, install, and utilize technology and systems for the purposes of collecting, validating, and verifying information, processing and maintaining information, and disclosing and providing information; adjust the existing ways to comply with any previously applicable instructions and requirements; train personnel to be able to respond to a collection of information; search data sources; complete and review the collection of information; and transmit or otherwise disclose the information.

An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a valid OMB Control Number.  The OMB Control Numbers for EPA's regulations are listed at 40 CFR part 9 and 48 CFR chapter 15.

	To comment on the Agency's need for this information, the accuracy of the provided burden estimates, and any suggested methods for minimizing respondent burden, including the use of automated collection techniques, EPA has established a public docket for this ICR under Docket ID Number EPA-OECA-2005-0035, which is available for public viewing at the Enforcement and Compliance Docket and Information Center in the EPA Docket Center (EPA/DC), EPA West, Room B102, 1301 Constitution Ave., NW, Washington, DC.  The EPA Docket Center Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays.  The telephone number for the Reading Room is<PHONE_NUMBER>, and the telephone number for the Enforcement and Compliance Docket is (202) 566-1752.

	An electronic version of the public docket is available through the Federal Docket Management System (FDMS) at http://www.regulations.gov.  Use FDMS to submit or view public comments, access the index listing of the contents of the public docket, and to access those documents in the public docket that are available electronically.  When in the system, select “search,” then key in the Docket ID Number identified above.  Also, you can send comments to the Office of Information and Regulatory Affairs, Office of Management and Budget, 725 17th Street, N.W., Washington, D.C. 20503, Attention: Desk Officer for EPA.  Please include the EPA Docket ID Number EPA-HQ-OECA-2005-0035 and OMB Control Number 2060-0428 in any correspondence.

Part B of the Supporting Statement

This part is not applicable because no statistical methods were used in collecting this information.

TABLES

Table 1

TABLE 1

NESHAP FOR PUBLICLY OWNED TREATMENT WORKS (40 CFR PART 63, SUBPART VVV)

	REPORTING/RECORDKEEPING REQUIREMENT	Hours/Occurence     (A) Occurences/Year              (B)	Hours/Year (C=A*B)            (C) Respondents/Year                  (D)	Technical Hours/Year (E) Management Hours/Year (E*0.05)	Admin. Hours/Yr.   (E*0.1)	Hours/Year         (F)	Costs/Year                  (G)

1.	APPLICATIONS	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A

2.	SURVEY AND STUDIES	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A

3.	REPORTING REQUIREMENTS

a.	Read Instructions	4	1	4	0	0	0.0	0.0	0.0	$0.00

	b.	Required Activities

Initial Notification	2	1	2	0	0	0.0	0.0	0.0	$0.00

	Notification of Compliance Status	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A

	c.	Create Information

------------------------Included in 3b------------------------

d.	Gather Existing Information

------------------------Included in 3e------------------------

e.	Write Report

Request for Extension of Compliance	2	1	2	0	0	0.0	0.0	0.0	$0.00

	Notification of Special Compliance Requirements	2	1	2	0	0	0.0	0.0	0.0 $0.00

	Notification of Initial Performance Test	N/A	N/A	N/A	N/A	N/A	N/A	N/A N/A	N/A

	Additional Notification Requirements for Sources with CMS	2	1	2	0	0	0.0 0.0	0.0	$0.00

	Notification of Adjustments to Time Periods	2	1	2	0	0	0.0	0.0	0.0	$0.00

	Notification of Changes to Information Provided	2	1	2	0	0	0.0	0.0	0.0 $0.00

	Initial Performance Test Report	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A

	Inspection and Monitoring Plan	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A

	Startup, Shutdown, and Malfunction Plan	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A N/A

	Semiannual Report	1	2	2	6	12	0.6	1.2	13.8	$1,114.06

	Startup, Shutdown, Malfunction Report	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A N/A

	Excess Emissions Report	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A

	Initial Report on Compliance Approach	2	1	2	0	0	0.0	0.0	0.0	$0.00

4.	RECORDKEEPING REQUIREMENTS

a.	Read Instructions	 	------------------------Included in 3e------------------------

	b.	Plan Activities

------------------------Included in 3e------------------------

c.	Implement Activities

------------------------Included in 3e------------------------

d.	Develop Record System

------------------------Included in 3e------------------------

REPORTING/RECORDKEEPING REQUIREMENT	Hours/Occurence     (A) Occurences/Year              (B)	Hours/Year (C=A*B)            (C) Respondents/Year                  (D)	Technical Hours/Year (E) Management Hours/Year (E*0.05)	Admin. Hours/Yr.   (E*0.1)	Hours/Year         (F)	Costs/Year                  (G)

	e.	Time to Enter Information

Records of Annual Inspections	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A

	Records of Treatment Unit Inspections, Defects Detected, Defect Repair Delays, Control Devices	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A

	Methods and Data Used to Determine HAP Emissions, Compliance with Fraction Emitted Standard, and Continuous Compliance	N/A	N/A	N/A	N/A	N/A N/A	N/A	N/A	N/A

	f.	Time to Transmit or Disclose Information	N/A	N/A	N/A	N/A	N/A	N/A	N/A N/A	N/A

	g.	Train Personnel	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A

	h.	Audits	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A

	TOTAL ANNUAL BURDEN

	 	 	 	 	$1,114.06

	Assumptions

Number of affected facilities	6

Number of new facilities (per year)	0

Time required to read instructions, submit notifications, and reports (hours)	2

Management labor rate	$97.46

Technicial labor rate	$83.71

Adminstrative labor rate	$42.55

This ICR assumes all six affected sources are "existing" facilities.  There are no emission limits or control requirements under Subpart VVV for existing sources subject to this ICR.  Compliance with Subpart VVV is demonstrated by operating treatment and control devices which meet all requirements specified in the appropriate industrial NESHAP(s).  40 CFR Section 63.1586. The recordkeeping and reporting burden associated with the other NESHAP(s) is included in the ICRs for the other NESHAP(s).

	Performance testing, plan development, and reporting are only required for "new" sources subject to Subpart VVV.  Therefore, these requirements as shown above are "not applicable."

Table 2

TABLE 2	AVERAGE ANNUAL EPA RESOURCE REQUIREMENT

	NESHAP FOR PUBLICLY OWNED TREATMENT WORKS (40 CFR, PART 63, SUBPART VVV)

REPORTING/RECORDKEEPING REQUIREMENT	EPA Hours/Occurence      (A) Occurences/Plant/Year       (B)	EPA Hours/   Year (C=A*B)  (C) Plants/Year       (D)	Technical Hours/Year (E)	Management Hours/Year (E*0.05)	Admin. Hours/Year (E*0.1)	EPA     Hours/ Year (E=C*D)        (F)	Cost/ Year

INITIAL PERFORMANCE TESTS	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A

REPEAT PERFORMANCE TEST	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A

REPORT REVIEW

Initial Notification	2	1	2	0	0	0	0	0	0

	Notification of Compliance Status      	2	1	2	0	0	0	0	0	0

	Request for Extension of Compliance	2	1	2	0	0	0	0	0	0

	Notification of Special Compliance Requirements	2	1	2	0	0	0	0	0	0

	Notification of Initial Performance Test	2	1	2	0	0	0	0	0	0

	Additional Notification Requirements for Sources with CMS	2	1	2	0	0	0	0 0	0

	Notification of Adjustments to Time Periods for Submitting Required Communications	2	1	2	0	0	0	0	0	0

	Notification of Changes to Information Provided	2	1	2	0	0	0	0	0	0

	Initial Performance Test Report	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A

	Inspection and Monitoring Plan 	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A

	Semi Annual Report	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A

	Startup, Shutdown, Malfunction Report	1	2	2	6	12	0.6	1.2	13.8	$559.46

	Excess Emissions Report	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A	N/A

	Initial Report on Compliance Approach	2	1	2	0	0	0	0	0	0

TOTAL ANNUAL HOURS

       13.8	$559.46

	Assumptions

Number of new facilities	0

	Time require to review notifications and initial compliance approach (hours)	2

	EPA Management labor rate	$56.02

	EPA Technical labor rate	$41.57

	EPA Clerical labor rate	$22.50

	This ICR assumes all six affected sources are "existing" facilities.  There are no emission limits or control requirements under Subpart VVV for existing sources subject to this ICR.  Compliance with Subpart VVV is demonstrated by operating treatment and control devices which meet all requirements specified in the appropriate industrial NESHAP(s).  40 CFR Section 63.1586. The recordkeeping and reporting burden associated with the other NESHAP(s) is included in the ICRs for the other NESHAP(s).

	Performance testing, plan development, and reporting are only required for "new" sources subject to Subpart VVV.  Therefore, these requirements shown in the table above are "not applicable."

 PAGE

 PAGE  11


[Federal Register Volume 82, Number 71 (Friday, April 14, 2017)]
[Notices]
[Pages 18023-18028]
[FR Doc No: 2017-07539]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. IC-32597; File No. 812-14548-05]

Excelsior Private Markets Fund II (Master), LLC, et al.

April 10, 2017.
AGENCY:  Securities and Exchange Commission (``Commission'').

ACTION:  Notice.

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    Notice of application for an order under section 17(d) of the
Investment Company Act of 1940 (the ``Act'') and rule 17d-1 under the
Act to permit certain joint transactions otherwise prohibited by
section 17(d) of the Act and 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: Excelsior Private Markets Fund II (Master), LLC
(``Excelsior Private Markets II''); Excelsior Private Markets Fund III
(Master), LLC (``Excelsior Private Markets III''); NB Crossroads
Private Markets Fund IV Holdings LLC (``NB Crossroads''); UST Global
Private Markets Fund, LLC (``UST Global''); Excelsior Venture

Partners III, LLC (``Excelsior Venture III'' and, collectively with
Excelsior Private Markets II, Excelsior Private Markets III, NB
Crossroads and UST Global, the ``Existing Regulated Entities'');
Neuberger Berman Investment Advisers LLC (``NBIA''); NB Alternatives
Advisers LLC (``NBAA''); NB ASGA Fund Holdings LP, NB Canafund Private
Debt LP, NB Caspian Holdings LP, NB CPEG Fund Holdings LP, NB
Crossroads XXI--LC Holdings LP, NB Crossroads XXI--MC Holdings LP, NB
Crossroads XXI--SS Holdings LP, NB Crossroads XXI--VC Holdings LP, NB
Crystal PE Holdings LP, NB Flamingo Private Debt LP, NB Granite Private
Debt LP, NB--Iowa's Private Universities LP, NB LAOF--Holdings LP, NB
PEP Holdings Limited, NB Pine Private Debt LP, NB Private Debt Fund LP,
NB Private Debt II Holdings LP, NB Private Equity Credit Opportunities
Holdings LP, NB Renaissance Partners Holdings S.a.r.l., NB RP Co-
Investment & Secondary Fund LLC, NB RPPE Partners LP, NB SBS US 1 Fund
LP, NB SOF 2016-A Master LP, NB SOF III Holdings LP, NB SOF IV Holdings
LP, NB SOF IV Cayman Holdings LP, NB-Sompo RA Holdings LP, NB Sonoran
Fund Limited Partnership, NB Strategic Co-Investment Partners III
Holdings LP, NB Wildcats Fund LP, Columbia NB Crossroads Fund II LP,
NorthBound Emerging Manager Fund II--A LP, NorthBound NCRS Fund LP, and
NYSCRF NB Co-Investment Fund LLC (collectively, the ``Existing
Affiliated Funds'').

Filing Dates: The application was filed on September 17, 2015, and
amended on February 4, 2016; September 20, 2016; February 27, 2017; and
March 28, 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 May 5, 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, 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
St. NE., Washington, DC 20549-1090. Applicants: 1290 Avenue of the
Americas, New York, NY 10104.

FOR FURTHER INFORMATION CONTACT:  James D. McGinnis, Senior Counsel, at
(202) 551-3025 or Holly Hunter-Ceci, Acting Assistant Chief Counsel, at
(202) 551-6825 (Chief Counsel's Office, Division of Investment
Management).

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. NB Crossroads is a Delaware limited liability corporation
organized as a closed-end management investment company. NB
Crossroads's investment objective is to provide attractive risk-
adjusted returns through diversified portfolio of professionally
managed private equity funds and select direct investments in portfolio
companies. The board of managers (``Board'') of NB Crossroads has six
members, each of whom is not an ``interested person'' of NB Crossroads
within the meaning of Section 2(a)(19) of the Act (each is an
``Independent Manager'').\1\
---------------------------------------------------------------------------

    \1\ The term ``Independent Manager'' refers to the independent
managers, directors or trustees of any Regulated Entity (defined
below).
---------------------------------------------------------------------------

    2. Excelsior Private Markets II is a Delaware limited liability
company organized as a closed-end management investment company.
Excelsior Private Markets II seeks to provide attractive long-term
returns to investors through investments in a diversified portfolio of
professionally managed private equity funds and select direct
investments in portfolio companies. The Board of Excelsior Private
Markets II has six members, each of whom is an Independent Manager.
    3. Excelsior Private Markets III is a Delaware limited liability
company organized as a closed-end management investment company.
Excelsior Private Markets III seeks to provide attractive long-term
returns to investors through investments in a diversified portfolio of
professionally managed private equity funds and select direct
investments in portfolio companies. The Board of Excelsior Private
Markets III has six members, each of whom is an Independent Manager.
    4. UST Global is a Delaware limited liability company organized as
a closed-end management v company. UST Global seeks long-term capital
appreciation by investing in a diversified group of private equity
funds formed by a fund sponsor or sponsors experienced in making
private equity investments. The Board of UST Global has six members,
each of whom is an Independent Manager.
    5. Excelsior Venture III is a Delaware limited liability company
organized as a closed-end management v company. Excelsior Venture III
seeks long-term capital appreciation primarily by investing in private
domestic venture capital companies and other private companies, and, to
a lesser extent, domestic and international private funds, negotiated
private investments in public companies and international direct
investments. The Board of Excelsior Venture III has three members, each
of whom is an Independent Manager.
    6. NBIA is a Delaware limited liability company that is registered
as an investment adviser with the Commission under the Investment
Advisers Act of 1940 (the ``Advisers Act''). NBIA serves as the
investment adviser to each Existing Regulated Entity. NBIA is an
indirect, wholly-owned subsidiary of Neuberger Berman Group LLC
(``Neuberger Berman'').
    7. NBAA is a Delaware limited liability company that is registered
as an investment adviser with the Commission under the Advisers Act.
NBAA serves as the investment adviser to certain Existing Affiliated
Funds and as the sub-adviser to each Existing Regulated Entity. NBAA is
an indirect, wholly-owned subsidiary of Neuberger Berman.
    8. The Existing Affiliated Funds pursue strategies focused on
investing in a portfolio of professionally managed private equity funds
and select direct investments in portfolio companies. Each Existing
Affiliated Fund is advised by an Existing NB Adviser \2\ and would be
an investment company but for section 3(c)(1) or 3(c)(7) of the Act.
---------------------------------------------------------------------------

    \2\ ``Existing NB Adviser'' means NBIA or NBAA.
---------------------------------------------------------------------------

    9. Applicants seek an order (``Order'') to permit a Regulated
Entity \3\ and one or more other Regulated Entities and one or more
Affiliated Funds \4\ to (a)

participate in the same investment opportunities through a proposed co-
investment program where such participation would otherwise be
prohibited under section 17 of the Act; and (b) make additional
investments in securities of such issuers (``Follow-On Investments''),
including through the exercise of warrants, conversion privileges, and
other rights to purchase securities of the issuers. ``Co-Investment
Transaction'' means any transaction in which a Regulated Entity (or its
Wholly-Owned Investment Subsidiary, as defined below) participated
together with one or more other Regulated Entities and/or Affiliated
Funds in reliance on the requested Order. ``Potential Co-Investment
Transaction'' means any investment opportunity in which a Regulated
Entity (or its Wholly-Owned Investment Subsidiaries) could not
participate together with one or more other Regulated Entities and/or
one or more Affiliated Funds without obtaining and relying on the
Order.\5\
---------------------------------------------------------------------------

    \3\ ``Regulated Entity'' refers to any Existing Regulated Entity
and any Future Regulated Entity. ``Future Regulated Entity'' means
any closed-end management investment company formed in the future
that is registered under the Act and is advised by a Regulated
Entity Adviser and sub-advised by NBAA. ``Regulated Entity Adviser''
means (a) NBIA and (b) any future investment adviser that controls,
is controlled by, or is under common control with NBIA and is
registered as an investment adviser under the Advisers Act.
    \4\ ``Affiliated Fund'' means any Existing Affiliated Fund or
any Future Affiliated Fund. ``Future Affiliated Fund'' means any
investment fund that would be an ``investment company'' but for
section 3(c)(1) or 3(c)(7) of the Act, is formed in the future, and
is advised by an Adviser. The term ``Adviser'' means any Existing NB
Adviser or any Regulated Entity Adviser. No Affiliated Fund is or
will be a subsidiary of a Regulated Entity.
    \5\ 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.
---------------------------------------------------------------------------

    10. Applicants state that a Regulated Entity may, from time to
time, form one or more Wholly-Owned Investment Subsidiaries.\6\ Such a
subsidiary would be prohibited from investing in a Co-Investment
Transaction with any other Regulated Entity or Affiliated Fund because
it would be a company controlled by its parent Regulated Entity for
purposes of rule 17d-1. Applicants request that each Wholly-Owned
Investment Subsidiary be permitted to participate in Co-Investment
Transactions in lieu of its parent Regulated Entity and that the
Wholly-Owned Investment Subsidiary's participation in any such
transaction be treated, for purposes of the Order, as though the parent
Regulated Entity were participating directly. Applicants represent that
this treatment is justified because a Wholly-Owned Investment
Subsidiary would have no purpose other than serving as a holding
vehicle for the Regulated Entity's investments and, therefore, no
conflicts of interest could arise between the Regulated Entity and the
Wholly-Owned Investment Subsidiary. The Regulated Entity's Board would
make all relevant determinations under the conditions with regard to a
Wholly-Owned Investment Subsidiary's participation in a Co-Investment
Transaction, and the Regulated Entity's Board would be informed of, and
take into consideration, any proposed use of a Wholly-Owned Investment
Subsidiary in the Regulated Entity's place. If the Regulated Entity
proposes to participate in the same Co-Investment Transaction with any
of its Wholly-Owned Investment Subsidiaries, the Board will also be
informed of, and take into consideration, the relative participation of
the Regulated Entity and the Wholly-Owned Investment Subsidiary.
---------------------------------------------------------------------------

    \6\ The term ``Wholly-Owned Investment Subsidiary'' means an
entity: (a) That is wholly-owned by a Regulated Entity (with such
Regulated Entity 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 such
Regulated Entity; (c) with respect to which the board of directors
of such Regulated Entity has the sole authority to make all
determinations with respect to the entity'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. All
subsidiaries participating in Co-Investment Transactions will be
Wholly-Owned Investment Subsidiaries and will have Objectives and
Strategies (as defined below) that are either the same as, or a
subset of, their parent Regulated Entity's Objectives and
Strategies.
---------------------------------------------------------------------------

    11. When considering Potential Co-Investment Transactions for any
Regulated Entity, the relevant Adviser will consider only the
Objectives and Strategies,\7\ investment policies, investment
positions, capital available for investment, and other pertinent
factors applicable to that Regulated Entity. The Advisers expect that
any portfolio company that is an appropriate investment for a Regulated
Entity should also be an appropriate investment for one or more other
Regulated Entities and/or one or more Affiliated Funds, with certain
exceptions based on available capital or diversification.\8\
---------------------------------------------------------------------------

    \7\ The term ``Objectives and Strategies'' means a Regulated
Entity's investment objectives and strategies as described in the
Regulated Entity's registration statement on Form N-2, other filings
the Regulated Entity has made with the Commission under the
Securities Act of 1933 (the ``Securities Act'') or the Securities
Exchange Act of 1934, and the Regulated Entity's reports to
shareholders.
    \8\ The Regulated Entities, however, will not be obligated to
invest, or co-invest, when investment opportunities are referred to
them.
---------------------------------------------------------------------------

    12. 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 applicable Adviser will present
each Potential Co-Investment Transaction and the proposed allocation to
the directors of the Board eligible to vote on that Co-Investment
Transaction (the ``Eligible Directors'') \9\ and the majority of such
managers of the Board who are Independent Managers (a ``Required
Majority'') will approve each Co-Investment Transaction prior to any
investment by the participating Regulated Entity.
---------------------------------------------------------------------------

    \9\ Eligible Directors may not have a financial interest in such
transaction, plan, or arrangement.
---------------------------------------------------------------------------

    13. With respect to the pro rata dispositions and Follow-On
Investments provided in conditions 7 and 8, a Regulated Entity 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 Entity and
each 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 Entity has approved that Regulated Entity's
participation in pro rata dispositions and Follow-On Investments as
being in the best interests of the Regulated Entity. If the Board does
not so approve, any such disposition or Follow-On Investment will be
submitted to the Regulated Entity's Eligible Directors. The Board of
any Regulated Entity 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.
    14. No Independent Manager of a Regulated Entity will have a direct
or indirect financial interest in any Co-Investment Transaction (other
than indirectly through share ownership in one of the Regulated
Entities), including any interest in any company whose securities would
be acquired in a Co-Investment Transaction.
    15. Under condition 15, if an Adviser, its principals, or any
person controlling, controlled by, or under common control with the
Adviser or its principals, and the Affiliated Funds (collectively, the
``Holders'') own in the aggregate more than 25 percent of the
outstanding voting shares of a Regulated Entity (the ``Shares''), then
the Holders will vote such Shares as directed by an independent third
party when voting on matters specified in the condition. Applicants
believe that this condition will ensure that the Independent Managers
will act independently in evaluating the co-investment program, because
the ability of an Adviser or its principals to influence the
Independent Managers by a suggestion, explicit or implied, that the
Independent Managers can be removed will be limited significantly.
Applicants represent that the Independent Managers will evaluate

and approve any such independent third party, taking into account its
qualifications, reputation for independence, cost to the Regulated
Entity's shareholders, and other factors that they deem relevant.

Applicants' Legal Analysis

    1. 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 Entities may 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 Entity's shareholders
and with the purposes intended by the policies and provisions of the
Act. Applicants state that the Regulated Entities' 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 another Regulated Entity or an Affiliated Fund that
falls within a Regulated Entity's then-current Objectives and
Strategies, the Regulated Entity's Adviser will make an independent
determination of the appropriateness of the investment for the
Regulated Entity in light of the Regulated Entity's then-current
circumstances.
    2. (a) If the Adviser deems a Regulated Entity's participation in
any Potential Co-Investment Transaction to be appropriate for the
Regulated Entity, the Adviser will then determine an appropriate level
of investment for the Regulated Entity.
    (b) If the aggregate amount recommended by the applicable Adviser
to be invested by the applicable Regulated Entity in the Potential Co-
Investment Transaction together with the amount proposed to be invested
by the other participating Regulated Entities 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 capital available for
investment in the asset class being allocated, up to the amount
proposed to be invested by each. The applicable Adviser will provide
the Eligible Directors of each participating Regulated Entity with
information concerning each participating party's available capital to
assist the Eligible Directors with their review of the Regulated
Entity'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 Regulated Entity and each
Affiliated Fund) to the Eligible Directors of each participating
Regulated Entity for their consideration. A Regulated Entity will co-
invest with another Regulated Entity or an Affiliated Fund only if,
prior to the Regulated Entity'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
Entity and its investors and do not involve overreaching in respect of
the Regulated Entity or its investors on the part of any person
concerned;
    (ii) the Potential Co-Investment Transaction is consistent with:
    (A) The interests of the Regulated Entity's investors; and
    (B) the Regulated Entity's then-current Objectives and Strategies;
    (iii) the investment by any other Regulated Entities or any
Affiliated Funds would not disadvantage the Regulated Entity, and
participation by the Regulated Entity would not be on a basis different
from or less advantageous than that of any other Regulated Entities or
any Affiliated Funds; provided that, if any other Regulated Entity or
any Affiliated Fund, but not the Regulated Entity 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; and
    (B) the applicable Adviser agrees to, and does, provide periodic
reports to the Board of the Regulated Entity 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 Regulated Entity or any
Affiliated Fund or any affiliated person of any Regulated Entity or any
Affiliated Fund receives in connection with the right of a Regulated
Entity or an Affiliated 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 may each, in turn, share its
portion with its affiliated persons) and the participating Regulated
Entities in accordance with the amount of each party's investment; and
    (iv) the proposed investment by the Regulated Entity will not
benefit any Adviser, the other Regulated Entities, the Affiliated 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) 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 Entity 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 Entity, on a quarterly basis, a record of all investments in
Potential Co-Investment Transactions made by any of the other Regulated
Entities or Affiliated Funds during the preceding quarter that fell
within the Regulated Entity's then-current Objectives and Strategies
that were not made available to the Regulated Entity, and an
explanation of why the investment opportunities were not offered to the
Regulated Entity. All information presented to the Board pursuant to
this condition will be kept for the life of the Regulated Entity 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,\10\ a Regulated Entity will not invest in reliance on the
Order in any issuer in which another Regulated Entity, Affiliated Fund,
or any affiliated person of another Regulated Entity or Affiliated Fund
is an existing investor.
---------------------------------------------------------------------------

    \10\ This exception applies only to Follow-On Investments by a
Regulated Entity in issuers in which that Regulated Entity already
holds investments.
---------------------------------------------------------------------------

    6. A Regulated Entity 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 Entity and Affiliated
Fund. The grant to another Regulated Entity or an Affiliated Fund, but
not the Regulated Entity, 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 Regulated Entity or an Affiliated Fund elects to
sell, exchange or otherwise dispose of an interest in a security that
was acquired in a Co-Investment Transaction, the applicable Adviser
will:
    (i) Notify each Regulated Entity 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 Entity in the disposition.
    (b) Each Regulated Entity 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
Regulated Entities and Affiliated Funds.
    (c) A Regulated Entity may participate in such disposition without
obtaining prior approval of the Required Majority if: (i) The proposed
participation of each Regulated Entity 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 Entity has approved as being in the best interests of the
Regulated Entity 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 Entity 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 Entity's participation to the
Regulated Entity's Eligible Directors, and the Regulated Entity will
participate in such disposition solely to the extent that a Required
Majority determines that it is in the Regulated Entity's best
interests.
    (d) Each Regulated Entity and each Affiliated Fund will bear its
own expenses in connection with any such disposition.
    8. (a) If a Regulated Entity or an Affiliated Fund desires to make
a Follow-On Investment in a portfolio company whose securities were
acquired in a Co-Investment Transaction, the applicable Adviser will:
    (i) Notify each Regulated Entity 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 Entity.
    (b) A Regulated Entity may participate in such Follow-On Investment
without obtaining prior approval of the Required Majority if: (i) The
proposed participation of each Regulated Entity 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 Entity has approved as being in the best
interests of the Regulated Entity 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 Entity's participation to
the Eligible Directors, and the Regulated Entity will participate in
such Follow-On Investment solely to the extent that a Required Majority
determines that it is in the Regulated Entity's best interests.
    (c) If, with respect to any Follow-On Investment:
    (i) The amount of a Follow-On Investment is not based on the
Regulated Entities' and the Affiliated Funds' outstanding investments
immediately preceding the Follow-On Investment; and
    (ii) the aggregate amount recommended by the Adviser to be invested
by each Regulated Entity in the Follow-On Investment, together with the
amount proposed to be invested by the participating Affiliated Funds in
the same transaction, exceeds the amount of the opportunity; then the
amount invested by each such party will be allocated among them pro
rata based on each party's capital available for investment in the
asset class being allocated, up to the 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 the
application.
    9. The Independent Managers of each Regulated Entity will be
provided quarterly for review all information concerning Potential Co-
Investment Transactions and Co-Investment Transactions, including
investments made by other Regulated Entities and the Affiliated Funds
that the Regulated Entity considered but declined to participate in, so
that the Independent Managers may determine whether all investments
made during the preceding quarter, including those investments which
the Regulated Entity considered but declined to participate in, comply
with the conditions of the Order. In addition, the Independent Managers
will consider at least annually the continued appropriateness for the
Regulated Entity of participating in new and existing Co-Investment
Transactions.
    10. Each Regulated Entity will maintain the records required by
section 57(f)(3) of the Act as if each of the Regulated Entities were a
business development company (as defined in section 2(a)(48) of the
Act) and each of the investments permitted under these conditions were
approved by the Required Majority under section 57(f) of the Act.
    11. No Independent Manager of a Regulated Entity 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 an Adviser under the investment advisory
agreements with the Regulated Entities and the Affiliated Funds, be
shared by the Affiliated Funds and the Regulated Entities 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 \11\ (including break-up or commitment fees
but excluding broker's fees contemplated by section 17(e) of the Act,
as applicable), received in connection with a Co-Investment Transaction
will be distributed to the participating Regulated Entities 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 the Adviser pending consummation
of the transaction, the fee will be deposited into an account
maintained by the 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 Entities and Affiliated Funds based on the
amounts they invest in such Co-Investment Transaction. None of the
Affiliated Funds, the Advisers, the other Regulated Entities or any
affiliated person of the Regulated Entities 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 Entities 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 the
Advisers, investment advisory fees paid in accordance with the
agreements between the Advisers and the Regulated Entities or the
Affiliated Funds).
---------------------------------------------------------------------------

    \11\ Applicants are not requesting and the staff is not
providing any relief for transaction fees received in connection
with any Co-Investment Transaction.
---------------------------------------------------------------------------

    14. The Advisers will each maintain policies and procedures
reasonably designed to ensure compliance with the foregoing conditions.
These policies and procedures will require, among other things, that
the applicable Regulated Entity Adviser will be notified of all
Potential Co-Investment Transactions that fall within a Regulated
Entity's then-current Objectives and Strategies and will be given
sufficient information to make its independent determination and
recommendations under conditions 1, 2(a), 7 and 8.
    15. If the Holders own in the aggregate more than 25 percent of the
Shares of a Regulated Entity, 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) all
other matters under either the Act or applicable State law affecting
the Board's composition, size or manner of election.
    16. Each Regulated Entity's chief compliance officer, as defined in
Rule 38a-1(a)(4) under the 1940 Act, will prepare an annual report for
its Board each year that evaluates (and documents the basis of that
evaluation) the Regulated Entity'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. 2017-07539 Filed 4-13-17; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 77, Number 237 (Monday, December 10, 2012)]
[Rules and Regulations]
[Pages 73273-73279]
[FR Doc No: 2012-29716]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2012-1135; Directorate Identifier 2012-SW-097-AD;
Amendment 39-17281; AD 2012-21-52]
RIN 2120-AA64

Airworthiness Directives; Agusta S.p.A. (Type Certificate
Currently Held by AgustaWestland S.p.A.) (Agusta) Helicopters

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

ACTION: Final rule; request for comments.

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

SUMMARY: We are publishing a new airworthiness directive (AD) for
Agusta Model AW139 helicopters, which was sent previously to all known
U.S. owners and operators of these helicopters. This AD requires
inspecting the pilot's and co-pilot's collective and cyclic control
sticks for correctly installed attaching hardware. This AD is prompted
by a report of an incorrectly installed pilot's collective stick,
pilot's cyclic stick, and co-pilot's cyclic stick. These actions are
intended to prevent detachment of the cyclic or collective control
stick, and subsequent loss of control of the helicopter.

DATES: This AD becomes effective December 26, 2012 to all persons
except those persons to whom it was made immediately effective by
Emergency AD 2012-21-52, issued on October 23, 2012, which contained
the requirements of this AD.
    We must receive comments on this AD by February 8, 2013.

ADDRESSES: You may send comments by any of the following methods:
     Federal eRulemaking Docket: Go to http://www.regulations.gov. Follow the online instructions for sending your
comments electronically.
     Fax:<PHONE_NUMBER>.
     Mail: Send comments to the U.S. Department of
Transportation, Docket Operations, M-30, West Building Ground Floor,
Room W12-140, 1200 New Jersey Avenue SE., Washington, DC 20590-0001.
     Hand Delivery: Deliver to the ``Mail'' address between 9
a.m. and 5 p.m., Monday through Friday, except Federal holidays.

Examining the AD Docket

    You may examine the AD docket on the Internet at http://www.regulations.gov or in person at the Docket Operations Office
between 9 a.m. and 5 p.m., Monday through Friday, except Federal
holidays. The AD docket contains this AD, the economic evaluation, any
comments received, and other information. The street address for the
Docket Operations Office (telephone<PHONE_NUMBER>) is in the ADDRESSES
section. Comments will be available in the AD docket shortly after
receipt.
    For service information identified in this AD, contact
AgustaWestland, Customer Support & Services, Via Per Tornavento 15,
21019 Somma Lombardo (VA) Italy, ATTN: Giovanni Cecchelli; telephone
39-0331-711133; fax 39 0331 711180; or at http://www.agustawestland.com/technical-bullettins. You may review the
referenced service information at the FAA, Office of the Regional
Counsel, Southwest Region, 2601 Meacham Blvd., Room 663, Fort Worth,
Texas 76137.

FOR FURTHER INFORMATION CONTACT: Robert Grant, Aviation Safety
Engineer,

Safety Management Group, FAA, 2601 Meacham Blvd., Fort Worth, Texas
76137; telephone<PHONE_NUMBER>; email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Comments Invited

    This AD is a final rule that involves requirements affecting flight
safety, and we did not provide you with notice and an opportunity to
provide your comments prior to it becoming effective. However, we
invite you to participate in this rulemaking by submitting written
comments, data, or views. We also invite comments relating to the
economic, environmental, energy, or federalism impacts that resulted
from adopting this AD. The most helpful comments reference a specific
portion of the AD, explain the reason for any recommended change, and
include supporting data. To ensure the docket does not contain
duplicate comments, commenters should send only one copy of written
comments, or if comments are filed electronically, commenters should
submit them only one time. We will file in the docket all comments that
we receive, as well as a report summarizing each substantive public
contact with FAA personnel concerning this rulemaking during the
comment period. We will consider all the comments we receive and may
conduct additional rulemaking based on those comments.

Discussion

    On October 23, 2012, we issued Emergency AD 2012-21-52, which
requires inspecting the pilot's and co-pilot's collective and cyclic
control sticks for correctly installed attaching hardware, and
reinstalling the affected stick before further flight if the hardware
is not correct. The European Aviation Safety Agency (EASA), which is
the Technical Agent for the Member States of the European Union, issued
EASA AD No. 2012-0213-E, dated October 16, 2012, to correct an unsafe
condition for certain Agusta Model AW139 helicopters. EASA advises that
an incident of an incorrectly installed pilot's collective stick,
pilot's cyclic stick, and co-pilot's cyclic stick was reported. This
condition, if not detected and corrected, could lead to in-flight
detachment of the cyclic or collective sticks and subsequent loss of
control of the helicopter.

FAA's Determination

    These helicopters have been approved by the aviation authority of
Italy and are approved for operation in the United States. Pursuant to
our bilateral agreement with Italy, EASA, its technical representative,
has notified us of the unsafe condition described in the EASA AD. We
are issuing this AD because we evaluated all information provided by
EASA and determined the unsafe condition exists and is likely to exist
or develop on other helicopters of the same type design.

Related Service Information

    Agusta has issued Bollettino Tecnico (BT) No. 139-308, dated
October 16, 2012. The BT describes procedures to inspect the pilot's
and co-pilot's collective and cyclic sticks for the correct
installation of bolts, washers, self-locking nuts, cotter pins, ring
nuts, and quick-release pins. If any collective or cyclic stick is
incorrectly installed, the BT requires reinstalling the affected
control stick.

AD Requirements

    This AD requires, within 5 hours time-in-service (TIS):
     Inspecting the pilot collective and cyclic control sticks
for the correct installation of the attachment bolts, washers, self-
locking nuts, and cotter pins. If the installed hardware is not as
prescribed in this AD, before further flight, reinstalling the pilot
collective or cyclic control stick.
     Inspecting the co-pilot collective and cyclic control
sticks for the correct installation of the ring nuts and quick-release
pins. If the installed hardware is not as prescribed in this AD, before
further flight, reinstalling the co-pilot collective or cyclic control
stick.

Differences Between This AD and the EASA AD

    The EASA AD allows compliance within 1 week or 5 flight-hours; this
AD requires compliance within 5 hours TIS.

Costs of Compliance

    We estimate that this AD will affect 45 helicopters of U.S.
Registry. We estimate that operators may incur the following costs in
order to comply with this AD. Inspecting the pilot's and co-pilot's
collective and cyclic stick installation will require about 1 work-hour
at an average labor rate of $85 per hour, for a cost per helicopter of
$85 and a cost to U.S. operators of $3,825.
    Reinstalling a cyclic or collective stick will require about 1
work-hour, at an average labor rate of $85 per hour, for a cost per
helicopter of $85.

FAA's Justification and Determination of the Effective Date

    Providing an opportunity for public comments prior to adopting
these AD requirements would delay implementing the safety actions
needed to correct this known unsafe condition. Therefore, we found and
continue to find that the risk to the flying public justifies waiving
notice and comment prior to the adoption of this rule because the
previously described unsafe condition can adversely affect the
controllability of the helicopter and the required corrective actions
must be accomplished within 5 hours TIS.
    Since it was found that immediate corrective action was required,
notice and opportunity for prior public comment before issuing this AD
were impracticable and contrary to the public interest and good cause
existed to make the AD effective immediately by Emergency AD 2012-21-
52, issued on October 23, 2012 to all known U.S. owners and operators
of these helicopters. These conditions still exist and the AD is hereby
published in the Federal Register as an amendment to section 39.13 of
the Federal Aviation Regulations (14 CFR 39.13) to make it effective to
all persons.

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 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 AD will not have federalism implications
under Executive Order 13132. This AD will 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, I certify that this AD:
    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);

    3. Will not affect intrastate aviation in Alaska to the extent that
it justifies making a regulatory distinction; 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.
    We prepared an economic evaluation of the estimated costs to comply
with this AD and placed it in the AD docket.

List of Subjects in 14 CFR Part 39

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

Adoption of the Amendment

    Accordingly, under the authority delegated to me by the
Administrator, the FAA amends 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):

2012-21-52 Agusta S.P.A. Helicopters (Type Certificate Currently
Held By AgustaWestland S.P.A.) (Agusta): Amendment 39-17281; Docket
No. FAA-2012-1135; Directorate Identifier 2012-SW-097-AD.

(a) Applicability

    This AD applies to Agusta Model AW139 helicopters, serial
numbers (S/N) 41201 through 41310, except S/N 41290, 41291, 41292,
41302, 41304, 41305, 41306, and 41309, certificated in any category.

(b) Unsafe Condition

    This AD defines the unsafe condition as an incorrectly installed
cyclic and collective control stick, detachment of the cyclic or
collective control stick, and subsequent loss of control of the
helicopter.

(c) Effective Date

    This AD becomes effective December 26, 2012 to all persons
except those persons to whom it was made immediately effective by
Emergency AD 2012-21-52, issued on October 23, 2012, which contained
the requirements of this AD.

(d) Compliance

    You are responsible for performing each action required by this
AD within the specified compliance time unless it has already been
accomplished prior to that time.

(e) Required Actions

    Within 5 hours time-in-service (TIS):
    (1) Inspect the pilot collective stick installation to determine
whether the self-locking nuts, part-number (P/N) MS17825-4, are
secured with cotter pins, P/N MS24665-136, as depicted in Figure 1
to paragraph (e) of this AD. If the self-locking nuts are not
secured with cotter pins, before further flight, reinstall the pilot
collective stick.
BILLING CODE 4910-13-P

[GRAPHIC] [TIFF OMITTED] TR10DE12.000

    (2) Inspect the co-pilot collective stick installation to
determine whether the ring nut (item 2) is loose and the quick-
release pin (item 3) is installed as depicted in Figure 2 to
paragraph (e) of this AD. If the ring nut is loose or the quick-
release pin is not installed, before further flight, reinstall the
co-pilot collective stick.

[GRAPHIC] [TIFF OMITTED] TR10DE12.001

    (3) Inspect the pilot cyclic stick installation for proper
installation of the bolt (item 3), washer (item 4), self-locking nut
(item 7), washer (item 6), and the cotter pin (item 8), as depicted
in Figure 3 to paragraph (e) of this AD. If the pilot cyclic stick
is not installed as depicted, before further flight, reinstall the
pilot cyclic stick.

[GRAPHIC] [TIFF OMITTED] TR10DE12.002

    (4) Inspect the co-pilot cyclic stick installation to determine
whether the ring nut (item 1) is loose and the quick-release pin
(item 5) is installed as depicted in Figure 4 to paragraph (e) of
this AD. If the ring nut is loose or the quick-release pin is not
installed as depicted, before further flight, reinstall the co-pilot
cyclic stick.

[GRAPHIC] [TIFF OMITTED] TR10DE12.003

(f) Special Flight Permits

    Special flight permits will not be issued.

(g) Alternative Methods of Compliance (AMOCs)

    (1) The Manager, Safety Management Group, FAA, may approve AMOCs
for this AD. Send your proposal to: Robert Grant, Aviation Safety
Engineer, Safety Management Group, FAA, 2601 Meacham Blvd., Fort
Worth, Texas 76137; telephone<PHONE_NUMBER>; email
<EMAIL_ADDRESS>    (2) For operations conducted under a 14 CFR part 119 operating
certificate or under 14 CFR part 91, subpart K, we suggest that you
notify your principal inspector, or lacking a principal inspector,
the manager of the local flight standards district office or
certificate holding district office, before operating any aircraft
complying with this AD through an AMOC.

(h) Additional Information

    (1) Agusta Bollettino Tecnico No. 139-308, dated October 16,
2012, which is not incorporated by reference, contains additional
information about the subject of this AD. For a copy of the service
information referenced in this AD, contact: AgustaWestland, Customer
Support & Services, Via Per Tornavento 15, 21019 Somma Lombardo (VA)
Italy, ATTN: Giovanni Cecchelli; telephone 39-0331-711133; fax 39
0331 711180; or at http://www.agustawestland.com/technical-bulletins. You may review a copy of the service information at the
FAA, Office of the Regional Counsel, Southwest Region, 2601 Meacham
Blvd., Room 663, Fort Worth, Texas 76137.
    (2) The subject of this AD is discussed in European Aviation
Safety Agency AD No. 2012-0213-E, dated October 16, 2012.

(i) Subject

    Joint Aircraft Service Component (JASC) Code: 2700: Flight
Controls.

    Issued in Fort Worth, Texas, on December 3, 2012.
Kim Smith,
Directorate Manager, Rotorcraft Directorate, Aircraft Certification
Service.
[FR Doc. 2012-29716 Filed 12-7-12; 8:45 am]
BILLING CODE 4910-13-C


[Federal Register: October 10, 2007 (Volume 72, Number 195)]
[Rules and Regulations]
[Page 57485-57486]
[DOCID:fr10oc07-1]

========================================================================
Rules and Regulations
                                                Federal Register
________________________________________________________________________

This section of the FEDERAL REGISTER contains regulatory documents
having general applicability and legal effect, most of which are keyed
to and codified in the Code of Federal Regulations, which is published
under 50 titles pursuant to 44 U.S.C. 1510.

The Code of Federal Regulations is sold by the Superintendent of Documents.
Prices of new books are listed in the first FEDERAL REGISTER issue of each
week.

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

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 71

[Docket No. FAA-2007-28134; Airspace Docket No. 07-ASW-1]
RIN 2120-AA66

Revision of Jet Routes J-29 and J-101; South Central United
States

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule.

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SUMMARY: This action revises Jet Routes J-29 and J-101 over the South
Central United States in support of the Houston Area Air Traffic System
Project. This allows for more effective utilization of airspace and
enhances the management of aircraft operations over the Houston
terminal area.

DATES: Effective Date: 0901 UTC, April 10, 2008. The Director of the
Federal Register approves this incorporation by reference action under
1 CFR part 51, subject to the annual revision of FAA Order 7400.9 and
publication of conforming amendments.

FOR FURTHER INFORMATION CONTACT: Steve Rohring, Airspace and Rules
Group, Office of System Operations Airspace and AIM, Federal Aviation
Administration, 800 Independence Avenue, SW., Washington, DC 20591;
telephone:<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

History

    On June 7, 2007, the FAA published in the Federal Register a notice
of proposed rulemaking (NPRM) to revise J-29 between the Humble, TX,
VORTAC and the El Dorado, AR, VORTAC, and revise J-101 between the
Lufkin, TX, VORTAC and Little Rock, AR, VORTAC (72 FR 31477).
Interested parties were invited to participate in this rulemaking
effort by submitting written comments on the proposal. No comments were
received in response to the proposal. With the exception of editorial
changes, this amendment is the same as that proposed in the NPRM.

The Rule

    This action amends Title 14 Code of Federal Regulations (14 CFR)
part 71 by revising J-29 and J-101 over the South Central United
States. Specifically, this action revises J-29 between the Humble, TX,
VORTAC and the El Dorado, AR, VORTAC, and revises J-101 between the
Lufkin, TX, VORTAC and Little Rock, AR, VORTAC. This action allows for
more effective utilization of airspace and enhances the management of
aircraft operations over the Houston terminal area.
    Jet routes are published in paragraph 2004 of FAA Order 7400.9R,
signed August 15, 2007 and effective September 15, 2007, which is
incorporated by reference in 14 CFR 71.1. The Jet routes listed in this
document would be published subsequently in the Order.
    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.
Therefore, this regulation: (1) Is not a ``significant regulatory
action'' under Executive Order 12866; (2) is not a ``significant rule''
under Department of Transportation (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. Since this is a routine matter that will only affect air
traffic procedures and air navigation, it is certified that this rule,
when promulgated, will not have a significant economic impact on a
substantial number of small entities under the criteria of the
Regulatory Flexibility Act.
    This rulemaking is promulgated under the authority described in
Subtitle VII, Part A, Subpart I, Section 40103. Under that section, the
FAA is charged with prescribing regulations to assign the use of the
airspace necessary to ensure the safety of aircraft and the efficient
use of airspace. This regulation is within the scope of that authority
as it revises Jet Routes J-29 and J-101 in the South Central United
States.

Environmental Review

    The FAA has reviewed the above referenced action and determined
that it is categorically excluded from further environmental
documentation according to FAA Order 1050.1E, Environmental Impacts:
Policies and Procedures, in accordance with paragraphs 311a.
Additionally, the implementation of this action will not result in any
extraordinary circumstances in accordance with FAA Order 1050.1E
paragraph 304.

List of Subjects in 14 CFR Part 71

    Airspace, Incorporation by reference, Navigation (air).

The Amendment

0
In consideration of the foregoing, the Federal Aviation Administration
amends 14 CFR part 71 as follows:

PART 71--DESIGNATION OF CLASS A, B, C, D, AND E AIRSPACE AREAS; AIR
TRAFFIC SERVICE ROUTES; AND REPORTING POINTS

0
1. The authority citation for part 71 continues to read as follows:

    Authority: 49 U.S.C. 106(g), 40103, 40113, 40120; E.O. 10854, 24
FR 9565, 3 CFR, 1959-1963 Comp., p. 389.

Sec.  71.1  [Amended]

0
2. The incorporation by reference in 14 CFR 71.1 of FAA Order 7400.9R,
Airspace Designations and Reporting Points, signed August 15, 2007, and
effective September 15, 2007, is amended as follows:

Paragraph 2004--Jet Routes.

* * * * *

J-29 [Revised]

    From the INT of the United States/Mexican Border and the Corpus
Christi, TX, 229[deg] radial via Corpus Christi; Palacios, TX;
Humble, TX; El Dorado, AR; Memphis, TN; Pocket City, IN; INT Pocket
City 051[deg] and Rosewood, OH, 230[deg] radials; Rosewood; DRYER,
OH; Jamestown, NY; Syracuse, NY; Plattsburgh, NY; Bangor, ME; to
Halifax, Canada; excluding the portions within Mexico and Canada.
* * * * *

J-101 [Revised]

    From Humble, TX, Lufkin, TX; Little Rock, AR; St. Louis, MO;
Spinner, IL; Pontiac, IL; Joliet, IL; Northbrook, IL; Badger, WI;
Green Bay, WI; to Sault Ste Marie, MI.
* * * * *

    Issued in Washington, DC, on September 27, 2007.
Edith V. Parish,
Manager, Airspace and Rules Group.
[FR Doc. E7-19742 Filed 10-9-07; 8:45 am]

BILLING CODE 4910-13-P