[Federal Register Volume 85, Number 195 (Wednesday, October 7, 2020)]
[Proposed Rules]
[Pages 63240-63244]
[FR Doc No: 2020-22115]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2020-0905; Product Identifier 2019-SW-102-AD]
RIN 2120-AA64

Airworthiness Directives; Airbus Helicopters

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of proposed rulemaking (NPRM).

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SUMMARY: The FAA proposes to supersede Airworthiness Directive (AD)
2015-26-01, which applies to certain Airbus Helicopters Model AS332C1,
AS332L1, AS332L2, EC225LP, AS-365N2, AS 365 N3, EC 155B, and EC155B1
helicopters with an energy-absorbing seat. AD 2015-26-01 requires
inspecting for the presence of labels (placards) that prohibit stowing
anything under the seat, and if a label (placard) is missing or not
clearly visible to each occupant, installing a label (placard). Since
the FAA issued AD 2015-26-01, the FAA has determined that additional
helicopters are affected by the unsafe condition, and that new labels
(placards) are required for all affected helicopters. This proposed AD
would retain all of the requirements of AD 2015-26-01. This proposed AD
would also add helicopters to the applicability and require a
modification (installing new labels (placards)). The FAA is proposing
this AD to address the unsafe condition on these products.

DATES: The FAA must receive comments on this proposed AD by November
23, 2020.

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 https://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 NPRM, contact Airbus
Helicopters, 2701 N Forum Drive, Grand Prairie, TX 75052; phone: 972-
641-0000 or 800-

232-0323; fax:<PHONE_NUMBER>; or at https://www.airbus.com/helicopters/services/technical-support.html. You may view this service information
at the FAA, Office of the Regional Counsel, Southwest Region, 10101
Hillwood Pkwy., Room 6N-321, Fort Worth, TX 76177. 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 https://www.regulations.gov by searching for and locating Docket No. FAA-2020-
0905; or in person at Docket Operations between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal holidays. The AD docket contains
this NPRM, any comments received, and other information. The street
address for Docket Operations is listed above. Comments will be
available in the AD docket shortly after receipt.

FOR FURTHER INFORMATION CONTACT: Kathleen Arrigotti, Aviation Safety
Engineer, Large Aircraft Section, International Validation Branch, FAA,
2200 South 216th St., Des Moines, WA 98198; phone and fax: 206-231-
3218; email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Comments Invited

    The FAA invites 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-2020-0905;
Product Identifier 2019-SW-102-AD'' at the beginning of your comments.
The most helpful comments reference a specific portion of the proposal,
explain the reason for any recommended change, and include supporting
data. The FAA will consider all comments received by the closing date
and may amend this proposed AD based on those comments.
    Except for Confidential Business Information (CBI) as described in
the following paragraph, and other information as described in 14 CFR
11.35, the FAA will post all comments received, without change, to
https://www.regulations.gov, including any personal information you
provide. The FAA will also post a report summarizing each substantive
verbal contact received about this proposed AD.

Confidential Business Information

    CBI is commercial or financial information that is both customarily
and actually treated as private by its owner. Under the Freedom of
Information Act (FOIA) (5 U.S.C. 552), CBI is exempt from public
disclosure. If your comments responsive to this NPRM contain commercial
or financial information that is customarily treated as private, that
you actually treat as private, and that is relevant or responsive to
this NPRM, it is important that you clearly designate the submitted
comments as CBI. Please mark each page of your submission containing
CBI as ``PROPIN.'' The FAA will treat such marked submissions as
confidential under the FOIA, and they will not be placed in the public
docket of this NPRM. Submissions containing CBI should be sent to
Kathleen Arrigotti, Aviation Safety Engineer, Large Aircraft Section,
International Validation Branch, FAA, 2200 South 216th St., Des Moines,
WA 98198; phone and fax:<PHONE_NUMBER>; email:
<EMAIL_ADDRESS>Any commentary that the FAA receives which
is not specifically designated as CBI will be placed in the public
docket for this rulemaking.

Discussion

    The FAA issued AD 2015-26-01, Amendment 39-18349 (80 FR 79466,
December 22, 2015) (``AD 2015-26-01''), for certain Airbus Helicopters
Model AS332C1, AS332L1, AS332L2, EC225LP, AS-365N2, AS 365 N3, EC 155B,
and EC155B1 helicopters with an energy-absorbing seat. AD 2015-26-01
requires inspecting for the presence of labels (placards) that prohibit
stowing anything under the seat, and if a label (placard) is missing or
not clearly visible to each occupant, installing a label (placard). AD
2015-26-01 resulted from the discovery that required labels (placards)
had not been systematically installed. The FAA issued AD 2015-26-01 to
address any object stowed under an energy-absorbing seat, which could
reduce the efficiency of the energy-absorbing function of the seat,
resulting in injury to the seat occupants during an accident.

Actions Since AD 2015-26-01 Was Issued

    Since AD 2015-26-01 was issued, the FAA has determined that
additional helicopters are affected by the unsafe condition, and that
new labels (placards) are required for all affected helicopters.
    The European Union Aviation Safety Agency (EASA), which is the
Technical Agent for the Member States of the European Union, has issued
EASA AD 2019-0088R1, dated November 8, 2019 (referred to after this as
the Mandatory Continuing Airworthiness Information, or ``the MCAI''),
to correct an unsafe condition for certain Airbus Helicopters Model
AS332C, AS332C1, AS332L, AS332L1, AS332L2, EC225LP, AS-365N2, AS 365
N3, EC 155B and EC155B1 helicopters with an energy-absorbing seat. EASA
advised that during certification of an energy-absorbing seat with a
new part number, the labels (placards) that require keeping the space
under the seat free of any object were not systematically installed.
EASA stated that this condition, if not corrected, could prompt
occupants to stow objects under an energy-absorbing seat, which would
reduce the effectiveness of the seat and the occupants' chance of
surviving an accident. EASA consequently issued AD 2014-0204, dated
September 11, 2014; corrected September 12, 2014 (which corresponds to
FAA AD 2015-26-01) to require a one-time inspection for the presence of
labels (placards) and, if they were missing or unreadable, making and
installing labels (placards) prohibiting the placing of an object under
an energy absorbing seat. EASA later advised, in EASA AD 2017-0226,
dated November 17, 2017 (``EASA AD 2017-0226''), which superseded EASA
AD 2014-0204, that additional new labels (placards) were required and
that additional helicopters were affected by the unsafe condition. In
this MCAI, which supersedes EASA AD 2017-0226, EASA advised that
additional extended compliance times were necessary for certain
helicopters.
    You may examine the MCAI in the AD docket on the internet at
https://www.regulations.gov by searching for and locating Docket No.
FAA-2020-0905.

Related Service Information Under 1 CFR Part 51

    Airbus Helicopters has issued the following service information.
This service information describes procedures for installing new labels
(placards) prohibiting stowage of any object under an energy-absorbing
seat. These documents are distinct since they apply to different
helicopter models.
     Airbus Helicopters Alert Service Bulletin No. AS332-
25.03.16, Revision 0, dated September 7, 2017.
     Airbus Helicopters Alert Service Bulletin No. AS332-
25.03.41, Revision 0, dated September 7, 2017.
     Airbus Helicopters Alert Service Bulletin No. AS332-
25.03.42, Revision 0, dated September 7, 2017.
     Airbus Helicopters Alert Service Bulletin No. AS365-
25.01.67, Revision 0, dated February 12, 2019.
     Airbus Helicopters Alert Service Bulletin No. EC155-
25A144, Revision 0, dated February 12, 2019.

     Airbus Helicopters Alert Service Bulletin No. EC225-
25A179, Revision 1, dated November 6, 2019.
     Airbus Helicopters Alert Service Bulletin No. EC225-
25A203, Revision 0, dated September 7, 2017.
    Airbus Helicopters has also issued the following service
information. This service information describes procedures for
inspecting for labels, placards, or markings that prohibit stowing
anything under certain seats and installing a placard. These documents
are distinct since they apply to different helicopter models.
     Airbus Helicopters Alert Service Bulletin No. AS332-
01.00.85, Revision 1, dated September 7, 2017.
     Airbus Helicopters Alert Service Bulletin No. AS365-
01.00.66, Revision 1, dated February 12, 2019.
     Airbus Helicopters Alert Service Bulletin No. EC155-
04A013, Revision 1, dated February 12, 2019.
     Airbus Helicopters Alert Service Bulletin No. EC225-
04A012, Revision 2, dated November 6, 2019.
    This proposed AD would also require the following service
information, which the Director of the Federal Register approved for
incorporation by reference as of January 26, 2016 (80 FR 79466,
December 22, 2015).
     Airbus Helicopters Alert Service Bulletin No. AS332-
01.00.85, Revision 0, dated August 26, 2014.
     Airbus Helicopters Alert Service Bulletin No. AS365-
01.00.66, Revision 0, dated August 26, 2014.
     Airbus Helicopters Alert Service Bulletin No. EC155-
04A013, Revision 0, dated August 26, 2014.
     Airbus Helicopters Alert Service Bulletin No. EC225-
04A012, Revision 0, dated August 26, 2014.
    This service information is reasonably available because the
interested parties have access to it through their normal course of
business or by the means identified in the ADDRESSES section.

Other Related Service Information

    Airbus Helicopters issued Airbus Helicopters Alert Service Bulletin
No. EC225-04A012, Revision 1, dated September 7, 2017, which describes
procedures for inspecting for labels, placards, or markings that
prohibit stowing anything under certain seats and installing a placard.
    Airbus Helicopters has also issued Airbus Helicopters Alert Service
Bulletin No. EC225-25A179, Revision 0, dated September 7, 2017, which
describes procedures for installing new labels (placards) prohibiting
stowage of any object under an energy-absorbing seat.

FAA's Determination

    This product has been approved by the aviation authority of another
country, and is approved for operation in the United States. Pursuant
to the FAA's bilateral agreement with the State of Design Authority,
the FAA has been notified of the unsafe condition described in the MCAI
and service information referenced above. The FAA is proposing this AD
after evaluating all the relevant information and determining the
unsafe condition described previously is likely to exist or develop on
other products of the same type design.

Proposed Requirements of this NPRM

    This proposed AD would retain all of the requirements of AD 2015-
26-01. This proposed AD would require accomplishing the actions
specified in the service information described previously.

Clarification of the Retained Compliance Times

    Paragraph (g) of AD 2015-26-01 specified the compliance time as:
``Within 110 hours time in service.'' The FAA has included
clarification of the retained compliance time for paragraph (g) of this
NPRM, that specifies: ``Within 110 hours time in service after January
26, 2016 (the effective date of AD 2015-26-01) . . .''

Clarification of the Generic Part Number for Seat Type

    Figure 1 to paragraph (a) of AD 2015-26-01 specifies an incorrect
generic part number for Socea Sogerma seat type ST107. The FAA has
corrected that generic part number in figure 1 to paragraphs (c) and
(j) of this proposed AD. The incorrect generic part number was 2010107-
xx-xx; the correct generic part number is 2510107-xx-xx.

Costs of Compliance

    The FAA estimates that this proposed AD affects 90 helicopters of
U.S. registry. The FAA estimates the following costs to comply with
this proposed AD:

                                      Estimated Costs for Required Actions
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                                                                                Cost per      Cost on  U.S.
                Action                         Labor cost           Parts cost        product        operators
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Inspection (52 Helicopters) (Retained   1 work-hour x $85 per                 $0             $85          $4,420
 actions from AD 2015-26-01).            hour = $85.
Install label (placard) (52             2 work-hours x $85 per          $Minimal             170           8,840
 Helicopters) (Retained actions from     hour = $170.
 AD 2015-26-01).
Inspection (38 Helicopters) (New        1 work-hour x $85 per                 $0              85           3,230
 proposed actions).                      hour = $85.
Install label (placard) (38             2 work-hours x $85 per          $Minimal             170           6,460
 Helicopters) (New proposed actions).    hour = $170.
Install new label (placard) (New        2 work-hours x $85 per          $Minimal             170          15,300
 proposed actions).                      hour = $170.
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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.
    The FAA is 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

    The FAA 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) Will not affect intrastate aviation in Alaska, and
    (3) 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 removing Airworthiness Directive (AD)
2015-26-01, Amendment 39-18349 (80 FR 79466, December 22, 2015), and
adding the following new AD:

Airbus Helicopters: Docket No. FAA-2020-0905; Product Identifier
2019-SW-102-AD.

(a) Comments Due Date

    The FAA must receive comments by November 23, 2020.

(b) Affected ADs

    This AD replaces AD 2015-26-01, Amendment 39-18349 (80 FR 79466,
December 22, 2015) (``AD 2015-26-01'').

(c) Applicability

    This AD applies to Airbus Helicopters Model AS332C, AS332C1,
AS332L, AS332L1, AS332L2, EC225LP, AS-365N2, AS 365 N3, EC 155B and
EC155B1 helicopters, certificated in any category, equipped with at
least one energy-absorbing seat listed in figure 1 to paragraphs (c)
and (j) of this AD, except any helicopter embodying the applicable
Airbus Helicopters modifications on all applicable seat positions
listed in figure 2 to paragraph (c) of this AD.

           Figure 1 to Paragraphs (c) and (j)--Affected Seats
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        Seat manufacturer              Seat type          Generic P/N
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Fischer + Entwicklungen.........  H110..............  9606-( )-( )-( ).
                                  H140..............  0520-( )-( )-( ).
                                  H160..............  0718-( )-( )-( )-(
                                                       ).
                                  185/410...........  9507-( )-( )-( ).
                                  236/406...........  9608-( )-( )-( ).
SICMA Aero Seat or Zodiac Seats   Sicma 192.........  192xx-xx-xx.
 France.
                                  Sicma<PHONE_NUMBER>-xx.
                                                      159110.
Socea Sogerma...................  ST102.............  2510102-xx-xx.
                                  ST107.............  2510107-xx-xx.
                                  ST120.............  2520120-xx.
------------------------------------------------------------------------

    Note 1 to Figure 1 to paragraphs (c) and (j): ``xx'' can be any
two alphanumeric characters and ``()'' can be any number of
alphanumeric characters.

  Figure 2 to Paragraph (c)--Modifications (Installation of Label (Placard) Prohibiting Storage Under the Seat)
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             Helicopter type                      Modification                      Seat (position)
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AS332C, AS332C1, AS332L, AS332L1,         0728251 or 332P084159......  Cabin.
 AS332L2.
                                          0728352 or 332P084160......  Cockpit.
                                          0728403 or 332P084161......  3rd Crew Member.
EC225LP.................................  0728251, or 332P084159, or   Cabin.
                                           332P085421.00, or
                                           332P085421.01, or
                                           332P085421.02 or
                                           332P085421.03.
                                          0728352 or 332P084160......  Cockpit.
AS[dash]365N2, AS 365 N3, EC 155B,        365V874113.00..............  All seat configurations.
 EC155B1.
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(d) Subject

    Air Transport Association (ATA) of America Code 11, Placards and
markings.

(e) Reason

    This AD was prompted by the discovery that required labels
(placards) prohibiting stowage of any object under an energy-
absorbing seat had not been systematically installed. The FAA is
issuing this AD to address any object stowed under an energy-
absorbing seat which could reduce the efficiency of the energy-
absorbing function of the seat, resulting in injury to the seat
occupants during an accident.

(f) Compliance

    Comply with this AD within the compliance times specified,
unless already done.

(g) Retained Inspection and Corrective Actions With Revised Service
Information

    This paragraph restates the requirements of paragraph (e) of AD
2015-26-01, with revised service information. Within 110 hours time
in service after January 26, 2016 (the effective date of AD 2015-26-
01), do the actions specified in paragraphs (g)(1) or (2) of this
AD, as applicable for your model helicopter.
    (1) For Model AS332C1, AS332L1, AS332L2, and EC225LP
helicopters:
    (i) Inspect the cabin and cockpit for labels, placards, or
markings that prohibit stowing anything under the seats in the
locations shown in the figure in the Appendix of Airbus Helicopters
Alert Service Bulletin No. AS332-01.00.85 or No. EC225-04A012, both

Revision 0 and dated August 26, 2014; or Airbus Helicopters Alert
Service Bulletin No. AS332-01.00.85, Revision 1, dated September 7,
2017, or Airbus Helicopters Alert Service Bulletin No. EC225-04A012,
Revision 2, dated November 6, 2019; as applicable for your model
helicopter.
    (ii) If a label, placard, or marking is not located in every
location depicted in the figure in the Appendix or is not visible
and legible to every occupant, before further flight, install a
placard in accordance with the Accomplishment Instructions,
paragraph 3.B., of Airbus Helicopters Alert Service Bulletin No.
AS332 01.00.85 or No. EC225 04A012, both Revision 0 and dated August
26, 2014; or Airbus Helicopters Alert Service Bulletin No. AS332
01.00.85, Revision 1, dated September 7, 2017, or Airbus Helicopters
Alert Service Bulletin No. EC225-04A012, Revision 2, dated November
6, 2019; as applicable for your model helicopter.
    (2) For Model AS-365N2, AS 365 N3, EC 155B, and EC155B1
helicopters:
    (i) Inspect each seat leg in the cabin and cockpit for labels,
placards, or markings that prohibit stowing anything under the
seats.
    (ii) If a label, placard, or marking does not exist on one leg
of each seat or is not visible and legible, before further flight,
install a placard in accordance with the Accomplishment
Instructions, paragraph 3.B., and the Appendix of Airbus Helicopters
Alert Service Bulletin No. AS365-01.00.66 or No. EC155-04A013, both
Revision 0 and dated August 26, 2014; or Airbus Helicopters Alert
Service Bulletin No. AS365-01.00.66 or No. EC155-04A013, both
Revision 1 and dated February 12, 2019; as applicable for your model
helicopter.

(h) New Inspection and Corrective Actions for Certain Helicopters

    (1) For Model AS332C and AS332L helicopters: Within 110 hours
time in service or 30 days, whichever occurs first, after the
effective date of this AD, inspect the cabin and cockpit for labels,
placards, or markings that prohibit stowing anything under the seats
in the locations shown in the figure in the Appendix of Airbus
Helicopters Alert Service Bulletin No. AS332-01.00.85, Revision 1,
dated September 7, 2017.
    (2) If a label, placard, or marking is not located in every
location depicted in the figure in the Appendix or is not visible
and legible to every occupant, before further flight, install a
placard in accordance with the Accomplishment Instructions,
paragraph 3.B., of Airbus Helicopters Alert Service Bulletin No.
AS332-01.00.85, Revision 1, dated September 7, 2017.

(i) New Requirements of This AD: Modification (Install New Placards)

    (1) At the applicable times specified in paragraph (i)(2) of
this AD, install new placards prohibiting stowage of any object
under an energy-absorbing seat in accordance with the Accomplishment
Instructions, paragraph 3.B., of the applicable service information
specified in paragraphs (i)(1)(i) through (vii) of this AD, except
you are not required to discard the old labels (placards). Doing the
installation required by this paragraph terminates the requirements
of paragraphs (g) and (h) of this AD.
    (i) Airbus Helicopters Alert Service Bulletin No. AS332-
25.03.16, Revision 0, dated September 7, 2017.
    (ii) Airbus Helicopters Alert Service Bulletin No. AS332-
25.03.41, Revision 0, dated September 7, 2017.
    (iii) Airbus Helicopters Alert Service Bulletin No. AS332-
25.03.42, Revision 0, dated September 7, 2017.
    (iv) Airbus Helicopters Alert Service Bulletin No. AS365-
25.01.67, Revision 0, dated February 12, 2019.
    (v) Airbus Helicopters Alert Service Bulletin No. EC155-25A144,
Revision 0, dated February 12, 2019.
    (vi) Airbus Helicopters Alert Service Bulletin No. EC225-25A179,
Revision 1, dated November 6, 2019.
    (vii) Airbus Helicopters Alert Service Bulletin No. EC225-
25A203, Revision 0, dated September 7, 2017; as applicable for your
model helicopter.
    (2) At this applicable times specified in paragraph (i)(2)(i) or
(ii) of this AD, do the installation required by paragraph (i)(1) of
this AD.
    (i) For Model AS332C, AS332C1, AS332L, AS332L1, AS332L2, AS-
365N2, AS 365 N3, EC 155B, EC155B1, and EC225LP helicopters, all
manufacturer serial numbers, except Model EC225LP helicopters,
manufacturer serial numbers 2663, 2670, 2854, 2883, 2885, 2901 and
2921: Within 110 hours time in service or 6 months, whichever occurs
first after the effective date of this AD.
    (ii) For Model EC225LP helicopters, manufacturer serial numbers
2663, 2670, 2854, 2883, 2885, 2901 and 2921: Within 50 hours time in
service or 2 months, whichever occurs first after the effective date
of this AD.

(j) No Actions Required for Certain Helicopters

    For Model AS332C, AS332C1, AS332L, AS332L1, AS332L2, and EC225LP
helicopters delivered after September 7, 2017: No actions are
required, provided that no energy-absorbing seat, as identified in
figure 1 to paragraphs (c) and (j) of this AD, has been installed on
that helicopter since delivery.

(k) Credit for Previous Actions

    (1) This paragraph provides credit for the actions specified in
paragraph (g) of this AD, if those actions were performed before the
effective date of this AD using Airbus Helicopters Alert Service
Bulletin No. EC225-04A012, Revision 1, dated September 7, 2017.
    (2) This paragraph provides credit for the actions specified in
paragraph (i)(1) and (2) of this AD, if those actions were performed
before the effective date of this AD using Airbus Helicopters Alert
Service Bulletin No. EC225-25A179, Revision 0, dated September 7,
2017.

(l) Alternative Methods of Compliance (AMOCs)

    (1) The Manager, International Validation Branch, 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 International Validation Branch, send it to the
attention of the person identified in paragraph (m)(1) of this AD.
Information may be emailed to<EMAIL_ADDRESS>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.
    (2) For operations conducted under a 14 CFR part 119 operating
certificate or under 14 CFR part 91, subpart K, 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.

(m) Related Information

    (1) For more information about this AD, contact Kathleen
Arrigotti, Aviation Safety Engineer, Large Aircraft Section,
International Validation Branch, FAA, 2200 South 216th St., Des
Moines, WA 98198; phone and fax:<PHONE_NUMBER>; email:
<EMAIL_ADDRESS>    (2) For service information identified in this AD, contact
Airbus Helicopters, 2701 N Forum Drive, Grand Prairie, TX 75052;
phone:<PHONE_NUMBER> or<PHONE_NUMBER>; fax:<PHONE_NUMBER>; or at
https://www.airbus.com/helicopters/services/technical-support.html.
You may view this service information at the FAA, Office of the
Regional Counsel, Southwest Region, 10101 Hillwood Pkwy., Room 6N-
321, Fort Worth, TX 76177. For information on the availability of
this material at the FAA, call<PHONE_NUMBER>.

    Issued on October 1, 2020.
Lance T. Gant,
Director, Compliance & Airworthiness Division, Aircraft Certification
Service.
[FR Doc. 2020-22115 Filed 10-6-20; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 83, Number 209 (Monday, October 29, 2018)]
[Notices]
[Pages 54366-54367]
[FR Doc No: 2018-23502]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

[Docket No. USCG-2018-0136]

Collection of Information Under Review by Office of Management
and Budget; OMB Control Number: 1625-NEW

AGENCY: Coast Guard, DHS.

ACTION: Thirty-day notice requesting comments.

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SUMMARY: In compliance with the Paperwork Reduction Act of 1995 the
U.S. Coast Guard is forwarding an Information Collection Request (ICR),
abstracted below, to the Office of Management and Budget (OMB), Office
of Information and Regulatory Affairs (OIRA), requesting approval for
the following collection of information: 1625-NEW, Coast Guard Art
Program Membership Application Form. Our ICR describes the information
we seek to collect from the public. Review and comments by OIRA ensure
we only impose paperwork burdens commensurate with our performance of
duties.

DATES: Comments must reach the Coast Guard and OIRA on or before
November 28, 2018.

ADDRESSES: You may submit comments identified by Coast Guard docket
number [USCG-2018-0136] to the Coast Guard using the Federal
eRulemaking Portal at https://www.regulations.gov. Alternatively, you
may submit comments to OIRA using one of the following means:
    (1) Email: [email protected].
    (2) Mail: OIRA, 725 17th Street NW, Washington, DC 20503, attention
Desk Officer for the Coast Guard.
    A copy of the ICR is available through the docket on the internet
at https://

www.regulations.gov. Additionally, copies are available from:
Commandant (CG-612), Attn: Paperwork Reduction Act Manager, U.S. Coast
Guard, 2703 Martin Luther King Jr. Ave. SE, Stop 7710, Washington, DC
20593-7710.

FOR FURTHER INFORMATION CONTACT: Mr. Anthony Smith, Office of
Information Management, telephone<PHONE_NUMBER>, or fax<PHONE_NUMBER>,
for questions on these documents.

SUPPLEMENTARY INFORMATION:

Public Participation and Request for Comments

    This Notice relies on the authority of the Paperwork Reduction Act
of 1995; 44 U.S.C. Chapter 35, as amended. An ICR is an application to
OIRA seeking the approval, extension, or renewal of a Coast Guard
collection of information (Collection). The ICR contains information
describing the Collection's purpose, the Collection's likely burden on
the affected public, an explanation of the necessity of the Collection,
and other important information describing the Collection. There is one
ICR for each Collection.
    The Coast Guard invites comments on whether this ICR should be
granted based on the Collection being necessary for the proper
performance of Departmental functions. In particular, the Coast Guard
would appreciate comments addressing: (1) The practical utility of the
Collection; (2) the accuracy of the estimated burden of the Collection;
(3) ways to enhance the quality, utility, and clarity of information
subject to the Collection; and (4) ways to minimize the burden of the
Collection on respondents, including the use of automated collection
techniques or other forms of information technology. These comments
will help OIRA determine whether to approve the ICR referred to in this
Notice.
    We encourage you to respond to this request by submitting comments
and related materials. Comments to Coast Guard or OIRA must contain the
OMB Control Number of the ICR. They must also contain the docket number
of this request [USCG-2018-0136], and must be received by November 28,
2018.

Submitting Comments

    We encourage you to submit comments through the Federal eRulemaking
Portal at https://www.regulations.gov. If your material cannot be
submitted using https://www.regulations.gov, contact the person in the
FOR FURTHER INFORMATION CONTACT section of this document for alternate
instructions. Documents mentioned in this notice, and all public
comments, are in our online docket at https://www.regulations.gov and
can be viewed by following that website's instructions. Additionally,
if you go to the online docket and sign up for email alerts, you will
be notified when comments are posted.
    We accept anonymous comments. All comments received will be posted
without change to https://www.regulations.gov and will include any
personal information you have provided. For more about privacy and the
docket, you may review a Privacy Act notice regarding the Federal
Docket Management System in the March 24, 2005, issue of the Federal
Register (70 FR 15086).
    OIRA posts its decisions on ICRs online at https://www.reginfo.gov/public/do/PRAMain after the comment period for each ICR. An OMB Notice
of Action on each ICR will become available via a hyperlink in the OMB
Control Number: 1625-NEW.

Previous Request for Comments

    This request provides a 30-day comment period required by OIRA. The
Coast Guard published the 60-day notice (83 FR 29564, June 25, 2018)
required by 44 U.S.C. 3506(c)(2). That Notice elicited no comments.
Accordingly, no changes have been made to the Collections.

Information Collection Request

    Title: Coast Guard Art Program Membership Application Form.
    OMB Control Number: 1625-NEW.
    Summary: The collection contains the application form for
membership and samples of work for those wishing to become Coast Guard
Art Program (COGAP) member artists.
    Need: The application and samples of work are needed to determine
if the applicant has the necessary artistic skills and ability to
become a contributing member of the Coast Guard Art Program.
    Forms: CG-5700, Coast Guard Art Program (COGAP) Membership
Application Form. Online application format the art program website
(https://www.uscg.mil/community/ArtProgram.asp) which can be downloaded
and samples of work in low resolution jpeg format which can be
electronically submitted to [email protected] or sent by regular
mail to Mary Ann Bader, Coast Guard Headquarters, CG-09232, 2703 Martin
Luther King Jr. Ave. SE, Stop, Washington, DC 20593-7103.
    Respondents: Approximately ten applicants apply annually to become
COGAP artists.
    Frequency: Applicants apply only once per year.
    Hour Burden Estimate: The estimated annual burden is 10 hours a
year.

    Authority:  The Paperwork Reduction Act of 1995; 44 U.S.C.
Chapter 35, as amended.

    Dated: October 23, 2018.
James D. Roppel,
U.S. Coast Guard, Acting Chief, Office of Information Management.
[FR Doc. 2018-23502 Filed 10-26-18; 8:45 am]
 BILLING CODE 9110-04-P


[Federal Register Volume 85, Number 237 (Wednesday, December 9, 2020)]
[Notices]
[Pages 79231-79235]
[FR Doc No: 2020-26991]

=======================================================================
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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-90558; File No. SR-Phlx-2020-51]

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing
and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq PSX
Rules 3213, 3301A, and 3301B

December 3, 2020.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on November 20, 2020, Nasdaq PHLX LLC (``Phlx'' or ``Exchange'') filed
with the Securities and Exchange Commission (``Commission'') the
proposed rule change as described in Items I and II below, which Items
have been prepared by the Exchange. The Commission is publishing this
notice to solicit comments on the proposed rule change from interested
persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
---------------------------------------------------------------------------

I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to amend Nasdaq PSX Rules 3213, 3301A, and
3301B, as described further below.
    The text of the proposed rule change is available on the Exchange's
website at https://listingcenter.nasdaq.com/rulebook/phlx/rules, at the
principal office of the Exchange, and at the Commission's Public
Reference Room.

II. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change

    In its filing with the Commission, the Exchange included statements
concerning the purpose of and basis for the proposed rule change and
discussed any comments it received on the proposed rule change. The
text of these statements may be examined at the places specified in
Item IV below. The Exchange has prepared summaries, set forth in
sections A, B, and C below, of the most significant aspects of such
statements.

A. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change

1. Purpose
    Presently, the Exchange is making functional enhancements and
improvements to specific Order Types \3\ and Order Attributes \4\ that
are currently only available via the RASH Order entry protocol.\5\
Specifically, the Exchange will be upgrading the logic and
implementation of these Order Types and Order Attributes so that the
features are more streamlined across the Exchange's Systems and order
entry protocols, and will enable the Exchange to process these Orders
more quickly and efficiently. Additionally, this System upgrade will
pave the way for the Exchange to enhance the OUCH Order entry protocol
\6\ so that Participants may enter such Order Types and Order
Attributes via OUCH, in addition to the RASH Order entry protocols.\7\
The Exchange plans to implement its enhancement of the OUCH protocol
sequentially, by Order Type and Order Attribute.
---------------------------------------------------------------------------

    \3\ An ``Order Type'' is a standardized set of instructions
associated with an Order that define how it will behave with respect
to pricing, execution, and/or posting to the Exchange Book when
submitted to the Exchange. See Rule 3301(e).
    \4\ An ``Order Attribute'' is a further set of variable
instructions that may be associated with an Order to further define
how it will behave with respect to pricing, execution, and/or
posting to the Exchange Book when submitted to the Exchange. See id.
    \5\ The RASH (Routing and Special Handling) Order entry protocol
is a proprietary protocol that allows members to enter Orders,
cancel existing Orders and receive executions. RASH allows
participants to use advanced functionality, including discretion,
random reserve, pegging and routing. See http://nasdaqtrader.com/content/technicalsupport/specifications/TradingProducts/rash_sb.pdf.
    \6\ The OUCH Order entry protocol is a proprietary protocol that
allows subscribers to quickly enter orders into the System and
receive executions. OUCH accepts limit Orders from members, and if
there are matching Orders, they will execute. Non-matching Orders
are added to the Limit Order Book, a database of available limit
Orders, where they are matched in price-time priority. OUCH only
provides a method for members to send Orders and receive status
updates on those Orders. See https://www.nasdaqtrader.com/Trader.aspx?id=OUCH.
    \7\ The Exchange designed the OUCH protocol to enable members to
enter Orders quickly into the System. As such, the Exchange
developed OUCH with simplicity in mind, and it therefore lacks more
complex order handling capabilities. By contrast, the Exchange
specifically designed RASH to support advanced functionality,
including discretion, random reserve, pegging and routing. Once the
System upgrades occur, then the Exchange intends to propose further
changes to its Rules to permit participants to utilize OUCH, in
addition to RASH, to enter order types that require advanced
functionality.
---------------------------------------------------------------------------

    To support and prepare for these upgrades and enhancements, the
Exchange now proposes to amend its Rules governing Order Types and
Order Attributes, at Rules 3301A and 3301B, respectively. In
particular, the Exchange proposes to adjust the current functionality
of the Market Maker Peg Order \8\ and Reserve Size Order Attribute,\9\
as described below, so that they align with how the System, once
upgraded, will handle these Orders going forward. The Exchange also
proposes to make several associated clarifications and corrections to
these Rules, and to Rule 3213, as it prepares to enhance its order
handling processes.
---------------------------------------------------------------------------

    \8\ See Rule 3301A(b)(5).
    \9\ See Rule 3301B(h).
---------------------------------------------------------------------------

    The Exchange notes that the Exchange's affiliate, the Nasdaq Stock
Market, LLC, recently filed a proposal for immediate effectiveness to
make changes that are similar to those proposed herein.\10\
---------------------------------------------------------------------------

    \10\ See Securities Exchange Act Release No. 34-90389 (November
10, 2020), 85 FR 73304 (November 17, 2020) (SR-NASDAQ-2020-71).
---------------------------------------------------------------------------

Changes to Market Maker Peg Order
    A Market Maker Peg Order is an Order Type that exists to help a
Market Maker to meet its obligation to maintain continuous two-sided
quotations (the ``Two-Sided Obligation''), as set forth in Rule
3213(a)(2).\11\ The Exchange proposes to make three changes related to
the Market Maker Peg Order.
---------------------------------------------------------------------------

    \11\ See Rule 3213(a)(2).
---------------------------------------------------------------------------

    First, the Exchange proposes to amend Rule 3301A(b)(5) to correct
the conditions under which a Market Maker Peg Order will be sent back
to a Participant. Rule 3301A(b)(5) currently states that a Market Maker
Peg Order will be sent back to the Participant if: (1) Upon entry of
the Order, the limit price of the Order is not within the Designated
Percentage; \12\ or (2) after the Order has been posted to the Exchange
Book, the Reference Price \13\ shifts to reach the Defined Limit,\14\
such that the

Order is subject to re-pricing at the Designated Percentage away from
the shifted Reference Price, but the limit price of the Order would
then fall outside of the Defined Limit (which would now be measured by
the difference between the re-priced Order and the shifted Reference
Price).\15\
---------------------------------------------------------------------------

    \12\ See Rule 3301A(b)(5). The ``Designated Percentage'' is (i)
8% for securities included in the S&P 500[supreg] Index, Russell
1000[supreg] Index, and a pilot list of Exchange Traded Products
(``Tier 1 Securities''); (ii) 28% for all NMS stocks that are not
Tier 1 Securities with a price equal to or greater than $1 (``Tier 2
Securities''); (iii) 30% for all NMS stocks that are not Tier 1
Securities with a price less than $1 (``Tier 3 Securities''), except
that between 9:30 a.m. and 9:45 a.m. and between 3:35 p.m. and the
close of trading, the Designated Percentage shall be 20% for Tier 1
Securities, 28% for Tier 2 Securities, and 30% for Tier 3
Securities. The Designated Percentage for rights and warrants shall
be 30%. See Rule 3213(a)(2)(D). As discussed below, the Exchange
proposes to amend this definition.
    \13\ The ``Reference Price'' for a Market Maker Peg Order to buy
(sell) is the then-current National Best Bid (National Best Offer)
(including the Exchange), or if no such National Best Bid or
National Best Offer, the most recent reported last-sale eligible
trade from the responsible single plan processor for that day, or if
none, the previous closing price of the security as adjusted to
reflect any corporate actions (e.g., dividends or stock splits) in
the security. See Rule 3301A(b)(5).
    \14\ The term ``Defined Limit'' means 9.5% for Tier 1
Securities, 29.5% for Tier 2 Securities, and 31.5% for Tier 3
Securities, except that between 9:30 a.m. and 9:45 a.m. and between
3:35 p.m. and the close of trading, the Defined Limit shall be 21.5%
for Tier 1 Securities, 29.5% for Tier 2 Securities, and 31.5% for
Tier 3 Securities. See Rule 3213(a)(2)(E).
    \15\ See Rule 3301A(b)(5).
---------------------------------------------------------------------------

    The Exchange proposes to correct the second of these two conditions
because it inadvertently allows for a circumstance in which a Market
Maker Peg Order will be automatically re-priced by the System to a
limit price that is outside of the Designated Percentage but inside of
the Defined Limit. Such an outcome is inconsistent with a Market
Maker's obligations to price or reprice its bid (offer) quotations not
more than the Designated Percentage away from the then National Best
Bid (Offer), as set forth in Rule 3213(a)(2).\16\ In order for Rule
3301A(b)(5) to be consistent with Rule 3213(a)(2), Rule 3301A(b)(5)
cannot permit the System to re-price a Market Maker Peg Order to a
limit price that is outside of the Designated Percentage. In any
circumstance in which the Order would be re-priced to a limit that is
outside of the Designated Percentage, the Rule must require the System
to return the Order to the Participant. The Exchange proposes to amend
Rule 3301A(b)(5) accordingly.\17\
---------------------------------------------------------------------------

    \16\ Rule 3213(a)(2) states that for a Market Maker to satisfy
its Two-Sided Obligation, the Market Maker must price bid (offer)
interest not more than the Designated Percentage away from the then
current National Best Bid (Offer) (or if there is no National Best
Bid (Offer), not more than the Designated Percentage away from the
last reported sale from the responsible single plan processor).
Moreover, Rule 3213(a)(2) states that if the National Best Bid
(Offer) or reported sale increases (decreases) to a level that would
cause the bid (offer) interest of the Two-Sided Obligation to be
more than the Defined Limit away from the National Best Bid (offer)
or last reported sale, or if the bid (offer) is executed or
cancelled, then the Market Maker must enter new bid (offer) interest
at a price not more than the Designated Percentage away from the
then current National Best Bid (Offer) or last reported sale.
    \17\ The Exchange also proposes to amend this condition to state
that repricing will occur when the difference between the displayed
price of a Market Maker Peg Order and the Reference Price exceeds,
rather than merely reaches, the Defined Limit. Currently, the Rule
uses the term ``reaches,'' but this is inconsistent with the example
that follows it (``In the foregoing example, if the Defined Limit is
9.5% and the National Best Bid increases to $10.17, such that the
displayed price of the Market Maker Peg Order would be more than
9.5% away, the Order will be repriced to $9.36, or 8% away from the
National Best Bid.'') (emphasis added). The Exchange proposes to
reconcile this inconsistency in a manner that reflects the stated
example as well as the manner in which the Exchange's System
presently applies the Rule. It would also render the Rule consistent
with Market Maker obligations under Rule 3213.
---------------------------------------------------------------------------

    Second, the Exchange proposes to amend Rule 3301A(b)(5) to no
longer allow entry of a Market Maker Peg Order entered with an offset.
The Rule presently permits a Market Maker to enter a Market Maker Peg
Order with a more aggressive offset than the Designated Percentage, but
not a less aggressive offset. The Exchange has reviewed usage of
offsets with Market Maker Peg Orders and found that no Market Maker
assigned an offset to their Market Maker Peg Orders since January 2019.
The Exchange does not believe that there is value in keeping offsets as
an option for Market Maker Peg Orders. Eliminating this option will
also facilitate the System upgrades and ease the import of RASH
functionality to OUCH. Accordingly, the Exchange proposes to delete
text from Rule 3301A(b)(5)(A) that discusses offsets and replace it
with text stating that Market Maker Peg Orders entered with pegging
offsets will not be accepted. The Exchange also makes conforming
changes to Rule 3301A(b)(5)(B) where the text refers to offsets.
    Third, the Exchange proposes to amend Rule 3301A(b)(5) to account
for a scenario where, after entry of a Market Maker Peg Order whose
initial displayed price was set with reference to the National Best Bid
or Offer, the National Best Bid or Offer shifts such that the displayed
price of the Order to buy (sell) is equal to or greater (less than) the
National Best Bid (Offer). The Exchange proposes to state that the
Exchange will not reprice the Market Maker Peg Order in this scenario
until a new Reference Price is established that is more aggressive than
the displayed price of the Order. By specifying that the Exchange will
not reprice Market Maker Peg Orders in this scenario until a new, more
aggressive Reference Price is established, the Exchange will ensure
that it does not engage in a potential cycle of pegging against a
Reference Price established by the Order itself.
Change to Rule 3213
    Next, the Exchange proposes to clarify the definitions of
``Designated Percentage'' in Rule 3213(a)(2)(D) and ``Defined Limit''
in Rule 3213(a)(2)(E), which presently are as follows:
    (D) For purposes of this Rule, the ``Designated Percentage'' shall
be: (i) 8% for securities included in the S&P 500[supreg] Index,
Russell 1000[supreg] Index, and a pilot list of Exchange Traded
Products (``Tier 1 Securities''); (ii) 28% for all NMS stocks that are
not Tier 1 Securities with a price equal to or greater than $1 (``Tier
2 Securities''); (iii) 30% for all NMS stocks that are not Tier 1
Securities with a price less than $1 (``Tier 3 Securities''), except
that between 9:30 a.m. and 9:45 a.m. and between 3:35 p.m. and the
close of trading, the Designated Percentage shall be 20% for Tier 1
Securities, 28% for Tier 2 Securities, and 30% for Tier 3 Securities.
The Designated Percentage for rights and warrants shall be 30%.
    (E) For purposes of this Rule, the ``Defined Limit'' shall be 9.5%
for Tier 1 Securities, 29.5% for Tier 2 Securities, and 31.5% for Tier
3 Securities, except that between 9:30 a.m. and 9:45 a.m. and between
3:35 p.m. and the close of trading, the Defined Limit shall be 21.5%
for Tier 1 Securities, 29.5% for Tier 2 Securities, and 31.5% for Tier
3 Securities.
    The Exchange is concerned that these two provisions could be
misinterpreted to suggest that prior to 9:30 a.m., the Exchange applies
a narrower Designated Percentage and Defined Limit than it does between
9:30 and 9:45 a.m., under the same conditions. In fact, the Exchange
applies the same wider Designated Percentage and Defined Limit prior to
9:30 a.m. as it does between 9:30 and 9:45 a.m. To avoid confusion (and
without changing existing market maker obligations), the Exchange
therefore proposes to clarify both of these provisions of Rule
3213(a)(2) to state that ``prior to 9:45 a.m.'' and between 3:35 p.m.
and the close of trading, the Designated Percentage and Defined Limit
(including for Market Maker Peg Orders) shall be as stated.
Furthermore, throughout Rule 3213(a)(2)(D), in defining the term
``Designated Percentage,'' the Exchange proposes to replace references
to Tier 1, 2, and 3 NMS Securities with the following: (i) The
Designated Percentage shall be 8% for all Tier 1 NMS Stocks under the
LULD Plan,\18\ 28% for all Tier 2 NMS Stocks under the LULD Plan with a
price equal to or greater than $1), and 30% for all Tier 2 NMS Stocks
under the LULD Plan with a price less than $1, except that prior to
9:45 a.m. and between 3:35 p.m. and the close of trading, the
Designated Percentage shall be: (i) 20% for Tier 1 NMS Stocks under the
LULD Plan; (ii) 28% for all Tier 2 NMS Stocks under the LULD Plan with
a price equal to or greater than $1; and (iii) 30% for all Tier 2 NMS
Stocks under the LULD Plan with a price less than $1. Similarly, in
Rule 3213(a)(2)(E),

in defining the term ``Defined Limit,'' the Exchange proposes to
replace references to securities subject to Rule 4120(a)(11)(A), (B),
and (C) [sic] with the following: (i) 9.5% for all Tier 1 NMS Stocks
under the LULD Plan; (ii) 29.5% for all Tier 2 NMS Stocks under the
LULD Plan with a price equal to or greater than $1; and (iii) 31.5% for
all Tier 2 NMS Stocks under the LULD Plan with a price less than $1,
except that prior to 9:45 a.m. and between 3:35 p.m. and the close of
trading, the Defined Limit shall be: (i) 21.5% all Tier 1 NMS Stocks
under the LULD Plan; (ii) 29.5% for all Tier 2 NMS Stocks under the
LULD Plan with a price equal to or greater than $1; and (iii) 31.5% for
all Tier 2 NMS Stocks under the LULD Plan with a price less than $1.
The Exchange proposes this change because the existing references are
obsolete.
---------------------------------------------------------------------------

    \18\ Tier 1 NMS Stocks under the LULD Plan comprise all NMS
Stocks included in the S&P 500[supreg] Index, Russell 1000[supreg]
Index, and a list of Exchange Traded Products identified as Schedule
1 to the Plan to Address Extraordinary Market Volatility Submitted
to the Securities and Exchange Commission Pursuant to Rule 608 of
Regulation NMS Under the Securities Exchange Act of 1934 (the ``LULD
Plan'').
---------------------------------------------------------------------------

    The Exchange also proposes to add to Rule 3213(a)(2)(E) the fact
that the Defined Limit for rights and warrants shall be 31.5%. The
Exchange mistakenly omitted the Defined Limit for such securities from
prior filings.\19\
---------------------------------------------------------------------------

    \19\ See Securities Exchange Act Release No. 34-69194 (March 20,
2013), 78 FR 18386 (March 26, 2013) (SR-Phlx-2013-24).
---------------------------------------------------------------------------

Changes to Reserve Size
    As set forth in Rule 3301B(h), ``Reserve Size'' is an Order
Attribute that permits a Participant to stipulate that an Order Type
that is Displayed may have its displayed size replenished from
additional non-displayed size.\20\ The Exchange proposes three changes
to the rule text describing the Reserve Size Order Attribute.
---------------------------------------------------------------------------

    \20\ An Order with Reserve Size may be referred to as a
``Reserve Order.''
---------------------------------------------------------------------------

    First, the Exchange proposes to amend a paragraph of Rule 3301B(h)
which begins as follows: ``Whenever a Participant enters an Order with
Reserve Size, PSX will process the Order as two Orders: A Displayed
Order (with the characteristics of its selected Order Type) and a Non-
Displayed Order. Upon entry, the full size of each such Order will be
processed for potential execution in accordance with the parameters
applicable to the Order Type.'' The Exchange proposes to amend this
language because it does not describe precisely how the Exchange
processes Orders with Reserve Size. The Exchange proposes to state
instead that whenever a Participant enters an Order with Reserve Size,
the full size of the Order will be presented for potential execution in
compliance with Regulation NMS and that thereafter, unexecuted portions
of the Order will be processed as two Orders: A Displayed Order (with
the characteristics of its selected Order Type) and a Non-Displayed
Order. The Exchange also proposes to delete the following sentence:
``Upon entry, the full size of each such Order will be processed for
potential execution in accordance with the parameters applicable to the
Order Type.'' The proposed re-formulation reflects that it is possible
that the Order with Reserve Size will be executed immediately in full
and without needing to place unexecuted portions of the Order in
reserve. Furthermore, it clarifies that the System will present the
Order for immediate execution (provided that it does not trade through
a protected quotation, in accordance with Regulation NMS) without
complying with underlying characteristics of the Order Type that might
otherwise require an adjustment to the price of the Order before the
System attempts to execute it.\21\ The proposed language is consistent
with the following example set forth in the existing rule text:
---------------------------------------------------------------------------

    \21\ This clarification is needed due to the fact that pursuant
to Rule 3301A(b)(2)(A), a Price to Display Order would automatically
reprice upon entry if its entered limit price would lock or cross a
protected quotation, = .

    For example, a Participant might enter a Price to Display Order
with 200 shares displayed and an additional 3,000 shares non-
displayed. Upon entry, the Order would attempt to execute against
available liquidity on the PSX Book, up to 3,200 shares. Thereafter,
unexecuted portions of the Order would post to the PSX Book as a
Displayed Price to Display Order and a Non-Displayed Order;
provided, however, that if the remaining total size is less than the
display size stipulated by the Participant, the Displayed Order will
post without Reserve Size. Thus, if 3,050 shares executed upon
entry, the Price to Display Order would post with a size of 150
---------------------------------------------------------------------------
shares and no Reserve Size.

The proposed language eliminates confusion that might otherwise arise
from perceived inconsistencies between the above example and existing
rule text. Again, the existing rule text states that whenever a
participant enters an Order with Reserve Size, the System will process
the Reserve Order as two orders upon entry and also, upon entry, the
full size of an Order with Reserve will be presented for potential
execution in accordance with the parameters applicable to the Order
Type.
    When there is, in fact, an unexecuted portion of the Order, then
the Exchange will continue to process the unexecuted portion as two
Orders: A Displayed Order and a Non-Displayed Order.
    Second, the Exchange proposes to delete text from Rule 3301B(h)
which states that ``[a] Participant may stipulate that the Displayed
Order should be replenished to its original size.'' The Exchange
proposes to delete this text because it is redundant of text elsewhere
in the Rule that describes how a Displayed Order with Reserve Size
replenishes.\22\
---------------------------------------------------------------------------

    \22\ The Exchange proposes to clarify a portion of Rule 3301B(h)
which states that if an execution against a Displayed Order causes
its size to decrease below a normal unit of trading, another
Displayed Order will be entered at the ``level'' stipulated by the
Participant while the size of the Non-Displayed Order will be
reduced by the same amount. In describing the entry of the new
Displayed Order in this instance, the Exchange proposes to replace
the word ``level'' with ``limit price and size,'' which is a more
precise phrase.
---------------------------------------------------------------------------

    Third, the Exchange proposes to amend text from Rule 3301B(h) that
allows the original and subsequent displayed sizes of the Displayed
Order to be amounts randomly determined based upon factors they select
(``Random Reserve''). The amendments also state that when Participants
stipulate use of a Random Reserve, they would select a nominal (rather
than a ``theoretical'') displayed size, which is a more precise term.
Furthermore, the amendment adds a reminder that the actual displayed
size will be randomly determined by the System from a range of ``normal
trading units.'' Lastly, the amendments include other changes that do
not change the substantive meaning of the text, but simply improve its
readability.
    The Exchange intends to implement the foregoing changes during the
First Quarter of 2021. The Exchange will issue an Equity Trader Alert
at least 30 days in advance of implementing the changes.
2. Statutory Basis
    The Exchange believes that its proposal is consistent with Section
6(b) of the Act,\23\ in general, and furthers the objectives of Section
6(b)(5) of the Act,\24\ in particular, in that it is designed to
promote just and equitable principles of trade, to remove impediments
to and perfect the mechanism of a free and open market and a national
market system, and, in general to protect investors and the public
interest.
---------------------------------------------------------------------------

    \23\ 15 U.S.C. 78f(b).
    \24\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    The Exchange believes that it is consistent with the Act to amend
Rule 3301A(b)(5), which describes the Market Maker Peg Order Type, to
correct one of the stated conditions under which a Market Maker Peg
Order will be sent back to a Participant. As presently stated, this
condition provides for Market Maker Peg Orders to be repriced
automatically at limit prices that are within the Defined Limit, but
outside of the Designated Percentage, which places

them in conflict with Rule 3213(a)(2), which requires Market Makers to
price and re-price bid and offer interest at the Designated Percentage.
It is just and in the interests of the investors and the public for the
Exchange to correct Rule 3301A(b)(5) to ensure that Market Maker Peg
Orders operate in a manner that helps rather than hinders Market Makers
from complying with Rule 3213.
    It is also consistent with the Act for the Exchange to amend Rule
3301A(b)(5) to clarify that repricing will occur when the difference
between the displayed price of a Market Maker Peg Order and the
Reference Price ``exceeds,'' rather than merely ``reaches,'' the
Defined Limit, as the Rule states presently. The proposed change would
ensure that the Rule text is internally consistent, as the example set
forth in the text suggests that the Rule should be read to mean
exceeds. It would also render the Rule consistent with Market Maker
obligations under Rule 3213. The Exchange believes that it is in the
interest of investors and the public to eliminate such inconsistencies.
    Meanwhile, the Exchange believes that it is consistent with the Act
to eliminate the option for Participants to enter offsets from the
Market Maker Peg Orders. The proposal is consistent with the Act
because Market Makers do not actively employ such offsets. As noted
above, the Exchange has reviewed usage of offsets with Market Maker Peg
Orders and found that no Market Maker has assigned an offset with their
Market Maker Peg Orders since January 2019. Moreover, elimination of
the option to enter offsets would simplify the Exchange's efforts to
improve processing.
    The Exchange believes that it is consistent with the Act to clarify
Rule 3301A(b)(5) so that it specifies how the System will react when,
after entry of a Market Maker Peg Order whose initial displayed price
was set with reference to the National Best Bid or Offer, the National
Best Bid or Offer shifts such that the displayed price of the Order to
buy (sell) is equal to or greater (less) than the National Best Bid
(National Best Offer). Specifically, the Exchange believes that it is
just and in the interests of investors to specify that the Exchange
will not reprice Market Maker Peg Orders in this scenario until a new,
more aggressive Reference Price is established, because doing so
ensures that the Exchange will not engage in a potential cycle of
pegging against a Reference Price established by the Order itself.
    The Exchange's proposal to amend the definitions of ``Designated
Percentage'' and ``Defined Limit,'' as set forth in Rule 3213(a)(2)(D)
and (E), is consistent with the Act because the amendment is necessary
to correct obsolete references and to avoid confusion about which
particular percentage or limit will apply to orders prior to 9:30 a.m.
The proposal clarifies the Rule by stating expressly that the same sets
of bands that apply between 9:30-9:45 a.m. and between 3:35 p.m. and
the close of trading also apply prior to 9:30 a.m. The proposal also
specifies a Defined Limit for rights and warrants, which was mistakenly
omitted from prior filings and which relates to the Designated
Percentage for rights and warrants, which is set forth already at Rule
3213(a)(2)(D).
    It is also consistent with the Act to amend Rule 3301B(h) to
clarify that when a Participant enters an Order with Reserve Size, the
full size of the Order will first be presented for potential execution
in compliance with Regulation NMS, and only if there is an unexecuted
portion of the Order will it be processed as a Displayed Order and a
Non-Displayed Order. This clarification describes the behavior of the
System more precisely than the existing Rule language. It also reflects
the possibility that the Order with Reserve Size will be executed
immediately in full and without needing to place unexecuted portions of
the Order in reserve. Furthermore, it eliminates inconsistency between
rule text which presently suggests that the System will process the
Order with Reserve Size for potential immediate execution consistent
with the characteristics of its underlying Order Type, and an example
in the rule text in which the Exchange provides that the System will
process the Order for potential immediate execution regardless of the
parameters applicable to the Order Type. The proposed amendment will
resolve this inconsistency by making clear that the System will present
an order for potential immediate execution regardless of the
characteristics of the underlying Order Type, with the caveat that the
Order will not trade-through a protected quotation as required by
Regulation NMS.
    It is consistent with the Act to amend Rule 3301B(h) to state that
when participants stipulate use of a Random Reserve, they would select
a ``nominal''--rather than a ``theoretical'' displayed size. The
proposed term ``nominal'' is more precise than the existing Rule text.
Improving the precision of the Exchange's Rules improves the ability of
the public and investors to comprehend them and account for and comply
with them. For similar reasons, proposed non-substantive amendments to
other text in Rule 3301B(h) are consistent with the Act because they
would improve the readability of the Rule.
    Finally, the Exchange believes that various proposed non-
substantive clarifications and corrections to the text of the Rule will
improve its readability, which is in the interests of market
participants and investors, and would promote a more orderly market.

B. Self-Regulatory Organization's Statement on Burden on Competition

    The Exchange does not believe that its proposed rule changes will
impose any burden on competition not necessary or appropriate in
furtherance of the purposes of the Act. As a general principle, the
proposed changes are reflective of the significant competition among
exchanges and non-exchange venues for order flow. In this regard,
proposed changes that facilitate enhancements to the Exchange's System
and order entry protocols as well as those that clarify and correct the
Exchange's Rules regarding its Order Types and Attributes, are pro-
competitive because they bolster the efficiency, integrity, and overall
attractiveness of the Exchange in an absolute sense and relative to its
peers.
    Moreover, none of the proposed changes will burden intra-market
competition among various Exchange Participants. Proposed changes to
the Market Maker Peg Order Type, at Rule 3301A(b)(5), and to Rule 3213,
will apply equally to all Market Makers. Market Makers will experience
no competitive impact from proposals to eliminate their ability to use
offsets with Market Maker Peg Orders because Market Makers do not
actually utilize offsets. Likewise, Market Makers will feel no
competitive effects from proposed corrections and clarifications to the
manner in which the Exchange prices and re-prices their Market Maker
Peg Orders, except that the changes will benefit Market Makers by
ensuring that the Exchange always processes those Orders in a manner
that complies with their Market Maker pricing obligations under Rule
3213. Proposed clarifications to the Reserve Order Attribute Rule, at
Rule 3301B(h), will have no substantive impact on participants.
    Proposed changes to Rule 3213 are intended to correct inadvertent
errors and should have no competitive impact on Market Makers. Proposed
clarifications and amendments to the Reserve Order Attribute Rule, at
Rule 3301B(h), are intended to improve the

precision and readability of the Rule text and will not have any
competitive impact on participants.

C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants, or Others

    No written comments were either solicited or received.

III. Date of Effectiveness of the Proposed Rule Change and Timing for
Commission Action

    Because the foregoing proposed rule change does not: (i)
Significantly affect the protection of investors or the public
interest; (ii) impose any significant burden on competition; and (iii)
become operative for 30 days from the date on which it was filed, or
such shorter time as the Commission may designate, it has become
effective pursuant to Section 19(b)(3)(A) of the Act \25\ and Rule 19b-
4(f)(6) thereunder.\26\
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    \25\ 15 U.S.C. 78s(b)(3)(A).
    \26\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires a self-regulatory organization to give the Commission
written notice of its intent to file the proposed rule change, along
with a brief description and text of the proposed rule change, at
least five business days prior to the date of filing of the proposed
rule change, or such shorter time as designated by the Commission.
The Exchange has satisfied this requirement.
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    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission shall institute proceedings to
determine whether the proposed rule change should be approved or
disapproved.

IV. Solicitation of Comments

    Interested persons are invited to submit written data, views, and
arguments concerning the foregoing, including whether the proposed rule
change is consistent with the Act. Comments may be submitted by any of
the following methods:

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-Phlx-2020-51 on the subject line.

Paper Comments

     Send paper comments in triplicate to Secretary, Securities
and Exchange Commission, 100 F Street NE, Washington, DC 20549-1090.

All submissions should refer to File Number SR-Phlx-2020-51. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the proposed
rule change between the Commission and any person, other than those
that may be withheld from the public in accordance with the provisions
of 5 U.S.C. 552, will be available for website viewing and printing in
the Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549 on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of the filing also will be available for inspection
and copying at the principal office of the Exchange. All comments
received will be posted without change. Persons submitting comments are
cautioned that we do not redact or edit personal identifying
information from comment submissions. You should submit only
information that you wish to make available publicly. All submissions
should refer to File Number SR-Phlx-2020-51 and should be submitted on
or before December 30, 2020.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\27\
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    \27\ 17 CFR 200.30-3(a)(12).
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J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-26991 Filed 12-8-20; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 87, Number 234 (Wednesday, December 7, 2022)]
[Notices]
[Page 75059]
[FR Doc No: 2022-26528]

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DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Internal Agency Docket No. FEMA-4671-DR; Docket ID FEMA-2022-0001]

Puerto Rico; Amendment No. 14 to Notice of a Major Disaster
Declaration

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice.

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SUMMARY: This notice amends the notice of a major disaster declaration
for the Commonwealth of Puerto Rico (FEMA-4671-DR), dated September 21,
2022, and related determinations.

DATES: This amendment was issued November 21, 2022.

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

SUPPLEMENTARY INFORMATION: The notice of a major disaster declaration
for the Commonwealth of Puerto Rico is hereby amended to include the
following areas among those areas determined to have been adversely
affected by the event declared a major disaster by the President in his
declaration of September 21, 2022.

    The municipalities of Barceloneta, Cata[ntilde]o, Dorado,
Florida, Hatillo, Isabela, Luquillo, Quebradillas, R[iacute]o
Grande, San Juan, San Sebasti[aacute]n, Toa Baja, Trujillo Alto, and
Vega Baja for permanent work [Categories C-G] (already designated
for Individual Assistance and assistance for debris removal and
emergency protective measures [Categories A and B], including direct
federal assistance, under the Public Assistance program).

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

Deanne Criswell,
Administrator, Federal Emergency Management Agency.
[FR Doc. 2022-26528 Filed 12-6-22; 8:45 am]
BILLING CODE 9111-23-P


 [Federal Register Volume 84, Number 42 (Monday, March 4, 2019)] [Notices] [Page 7366] [FR Doc No: C1-2019-01921]

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ENVIRONMENTAL PROTECTION AGENCY

[FRL-9989-26-Region 9]

Clean Air Act Prevention of Significant Deterioration Permit  Issued to Tucson Electric Power for the Irvington Generating Station  Project

Correction

    In notice document 2019-01921, appearing on pages 3159 through  3160, in the issue of Monday, February 11, 2019, make the following  correction:     On page 3159, in the third column, in the ``DATES:'' section, the  text entry that reads ``April 12, 2019'' should read ``February 11,  2019''.

[FR Doc. C1-2019-01921 Filed 3-1-19; 8:45 am]  BILLING CODE 1301-00-D


[Federal Register: February 4, 2008 (Volume 73, Number 23)]
[Notices]
[Page 6549]
[DOCID:fr04fe08-84]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

Research, Engineering and Development Advisory Committee

    Pursuant to section 10(A)(2) of the Federal Advisory Committee Act
(Pub. L. 92-463; 5 U.S.C. App. 2), notice is hereby given of a meeting
of the FAA Research, Engineering and Development (R, E & D) Advisory
Committee.
AGENCY: Federal Aviation Administration.

ACTION: Notice of meeting.

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    Name: Research, Engineering & Development Advisory Committee.
    Time and Date: March 5, 2008--9 a.m. to 4 p.m.
    Place: Federal Aviation Administration, 800 Independence Avenue,
SW., Round Room (10th Floor), Washington, DC 20591.
    Purpose: The meeting agenda will include receiving from the
Committee guidance for FAA's research and development investments in
the areas of air traffic services, airports, aircraft safety, human
factors and environment and energy. Attendance is open to the
interested public but seating is limited. Persons wishing to attend the
meeting or obtain information should contact Gloria Dunderman at (202)
267-8937 or<EMAIL_ADDRESS>Attendees will have to present
picture ID at the security desk and be escorted to the Round Room.
    Members of the public may present a written statement to the
Committee at any time.

    Issued in Washington, DC, on January 28, 2008.
Barry Scott,
Acting Director, Research & Technology Development.
[FR Doc. 08-463 Filed 2-1-08; 8:45 am]

BILLING CODE 4910-13-M