[Federal Register Volume 88, Number 218 (Tuesday, November 14, 2023)]
[Rules and Regulations]
[Pages 77891-77895]
[FR Doc No: 2023-25185]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2023-2150; Project Identifier MCAI-2023-00188-R;
Amendment 39-22603; AD 2023-23-01]
RIN 2120-AA64

Airworthiness Directives; Airbus Helicopters

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule; request for comments.

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SUMMARY: The FAA is superseding Airworthiness Directive (AD) 2022-01-
05, which applied to certain Airbus Helicopters Model EC130T2
helicopters. AD 2022-01-05 required repetitive visual inspections of
the rivets on the rear transmission shaft bearing support, inspections
of the local structure, and rivet heads on the left-hand and right-hand
sides of the rear transmission shaft bearing support for cracking,
missing, loose, or sheared rivets. AD 2022-01-05 also required
reporting the results of those inspections and depending on the
results, applicable corrective action. Since the FAA issued AD 2022-01-
05, Airbus Helicopters revised its service information to add
procedures to improve visual inspections of the rivets on the rear
transmission shaft bearing support. This AD was prompted by the
determination that certain modified helicopters may have finishing
paint applied to the gutter, which could prevent detection of cracks
during inspections. This AD also extends the repetitive compliance time
interval for certain inspections. This AD continues to require certain
actions in AD 2022-01-05 and requires a one-time visual inspection for
paint in the gutter area, and removal of paint if necessary, as
specified in a European Union Aviation Safety Agency (EASA) AD, which
is incorporated by reference. The FAA is issuing this AD to address the
unsafe condition on these products.

DATES: This AD is effective November 29, 2023.
    The Director of the Federal Register approved the incorporation by
reference of a certain publication listed in this AD as of November 29,
2023.
    The FAA must receive comments on this AD by December 29, 2023.

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 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.
    AD Docket: You may examine the AD docket at regulations.gov under
Docket No. FAA-2023-2150; 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 final rule, the EASA AD, any comments received,
and other information. The street address for Docket Operations is
listed above.
    Material Incorporated by Reference:
     For EASA material identified in this final rule, contact
EASA, Konrad-Adenauer-Ufer 3, 50668 Cologne, Germany; telephone +49 221
8999 000; email [email protected]; internet www.easa.europa.eu.
     You may view this material 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>. It is also available at
regulations.gov under Docket No. FAA-2023-2150.
    Other Related Service Information: For Airbus Helicopters service
information identified in this final rule, contact Airbus Helicopters,
2701 North Forum Drive, Grand Prairie, TX 75052; phone<PHONE_NUMBER>
or<PHONE_NUMBER>; fax<PHONE_NUMBER>; or at airbus.com/en/products-services/helicopters/hcare-services/airbusworld. You may also view this
service information at the FAA contact information under Material
Incorporated by Reference above.

FOR FURTHER INFORMATION CONTACT: Dan McCully, Program Manager,
International Validation Branch, FAA, 1600 Stewart Ave., Suite 410,
Westbury, NY 11590; telephone<PHONE_NUMBER>; email
[email protected].

SUPPLEMENTARY INFORMATION:

Comments Invited

    The FAA invites you to send any written data, views, or arguments
about this final rule. Send your comments to an address listed under
ADDRESSES. Include ``Docket No. FAA-2023-2150; Project Identifier MCAI-
2023-00188-R'' at the beginning of your comments. The most helpful
comments reference a specific portion of the final rule, 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 final rule because of 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
regulations.gov, including any personal information you provide. The
agency will also post a report summarizing each substantive verbal
contact received about this final rule.

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 AD 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 AD, 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 AD. Submissions containing CBI should be sent to Dan
McCully, Program Manager, International Validation Branch, FAA, 1600
Stewart Ave., Suite 410, Westbury, NY 11590; telephone<PHONE_NUMBER>;
email [email protected]. Any commentary that the FAA receives
which is not specifically designated as CBI will be placed in the
public docket for this rulemaking.

Background

    The FAA issued AD 2022-01-05, Amendment 39-21893 (86 FR 74353,
December 30, 2021) (AD 2022-01-05), for certain Airbus Helicopters
Model EC130T2 helicopters. AD 2022-01-05 was prompted by EASA Emergency
AD 2021-0283-E, dated December 17, 2021 (EASA AD 2021-0283-E)
originated by EASA, which is the Technical Agent for the Member States
of the European Union. EASA AD 2021-0283-E was issued to correct an
unsafe condition on certain Airbus Helicopters Model EC130T2
helicopters. AD 2022-01-05 required repetitive visual inspections of
the rivets on the rear transmission upper and lower bearing support,
the local structure, and the rivet heads on the left-hand and right-
hand sides of the rear transmission shaft bearing support. The FAA
issued AD 2022-01-05 to address sheared attachment rivets of the
transmission shaft bearing support and prevent failure of the tail
rotor drive shaft and subsequent loss of yaw control of the helicopter.

Actions Since AD 2022-01-05 Was Issued

    Since the FAA issued AD 2022-01-05, EASA superseded EASA AD 2021-
0283-E by issuing EASA AD 2021-0283R1, dated February 11, 2022;
corrected February 25, 2022 (EASA AD 2021-0283R1), to extend both the
repetitive compliance time to accomplish the inspections of the rivets
on the rear transmission shaft bearing support and of the local
structure, and the repetitive compliance time to accomplish the
inspections of the rivet heads of the rear bearing support. Thereafter,
EASA superseded EASA AD 2021-0283R1 by issuing EASA AD 2023-0028, dated
February 1, 2023 (EASA AD 2023-0028), to correct an unsafe condition on
Airbus Helicopters Model EC 130 T2 helicopters with AH modification
074581 incorporated in production. EASA AD 2023-0028 states some
helicopters were identified to have finishing paint applied on the
gutter, which could prevent the detection of cracks during required
visual inspections. In light of this, Airbus Helicopters revised its
service information to provide instruction to inspect for paint, and if
necessary, removing paint from the gutter. Accordingly, EASA AD 2023-
0028 retains the requirements of EASA AD 2021-0283R1 and also requires
a one-time visual inspection of the gutter and if necessary, removal of
paint in this area. EASA considers its AD an interim action and states
that further AD action may follow. See EASA AD 2023-0028 for additional
background information.
    You may examine EASA AD 2023-0028 in the AD docket at
regulations.gov under Docket No. FAA-2023-2150.

Related Service Information Under 1 CFR Part 51

    EASA AD 2023-0028 requires repetitive visual inspections of the
rivets on the rear transmission upper and lower bearing support, the
local structure, and the rivet heads on the left-hand and right-hand
sides of the rear transmission shaft bearing support. EASA AD 2023-0028
also requires a one-time visual inspection of the gutter for finishing
paint. Depending on the results, EASA AD 2023-0028 requires contacting
Airbus Helicopters to obtain approved repair instructions and
accomplishing those instructions, or replacing each affected rivet.
EASA AD 2023-0028 also requires removing any paint in the specified
gutter area of the helicopter. Lastly, EASA AD 2023-0028 requires
reporting inspection findings to Airbus Helicopters.
    This material is reasonably available because the interested
parties have access to it through their normal course of business or by
the means identified in ADDRESSES.

Other Related Service Information

    The FAA also reviewed Airbus Helicopters Emergency Alert Service
Bulletin (EASB) No. EC130-05A039, Revision 4, dated March 15, 2023
(EC130-05A039 Rev 4). This service information specifies procedures for
repetitive visual inspections of the rear transmission bearing support
areas, including the frame and skin in the area of the bearing
supports, as well as repetitive visual inspections of the rivets on the
left-hand and right-hand sides of the rear transmission shaft bearing
support located under the Teflon tape on the tail boom. Additionally,
this service information specifies procedures for a one-time visual
inspection of the gutter area for paint and if necessary, removal of
paint.
    EASB EC130-05A039 Rev 4 also distinguishes between procedures for
helicopters that do and do not have the tail drive shaft bearing
support reinforcement (MOD 0720245) installed.

FAA's Determination

    These helicopters have been approved by EASA and are approved for
operation in the United States. Pursuant to the FAA's bilateral
agreement with the European Union, EASA has notified the FAA of the
unsafe condition described in its AD. The FAA is issuing this AD after
evaluating all pertinent information and determining that the unsafe
condition exists and is likely to exist or develop on other helicopters
of the same type design.

AD Requirements

    This AD retains certain requirements of AD 2022-01-05. This AD also
requires accomplishing the actions specified in EASA AD 2023-0028,
described previously, as incorporated by reference, except for any
differences identified as exceptions in the regulatory text of this AD
and except as discussed under ``Differences Between this AD and EASA AD
2023-0028.''

Explanation of Required Compliance Information

    In the FAA's ongoing efforts to improve the efficiency of the AD
process, the FAA developed a process to use some civil aviation
authority (CAA) ADs as the primary source of information for compliance
with requirements for corresponding FAA ADs. The FAA has been
coordinating this process with manufacturers and CAAs. As a result,
EASA AD 2023-0028 will be incorporated by reference in this FAA final
rule. This AD would, therefore, require compliance with EASA AD 2023-
0028 in its entirety through that incorporation, except for any
differences identified as exceptions in the regulatory text of this AD.
Using common terms that are the same as the heading of a particular
section in EASA AD 2023-0028 does not mean that operators need comply
only with that section. For example, where the AD requirement refers to
``all required actions and compliance times,'' compliance with this AD
requirement is not limited to the section titled ``Required Action(s)
and Compliance Time(s)'' in EASA AD 2023-0028. Service information
referenced in EASA AD 2023-0028 for compliance will be available at
https://www.regulations.gov

by searching for and locating Docket No. FAA-2023-2150.

Differences Between This AD and EASA AD 2023-0028

    EASA AD 2023-0028 requires using Airbus Helicopters EASB No. EC130-
05A039, Revision 3, dated January 30, 2023, for compliance, whereas
this AD does not and instead requires using Revision 4, dated March 15,
2023. The service information referenced in EASA AD 2023-0028 specifies
that certain procedures may be done by a pilot with correct training
and accreditation, or a pilot-owner, whereas this AD requires those
actions be accomplished by persons authorized under 14 CFR 43.3.
Depending on certain inspection results, EASA AD 2023-0028 specifies
contacting Airbus Helicopters to obtain approved repair instructions
and accomplishing those instructions, whereas this AD requires that
repairs be done in accordance with a method approved by the FAA, EASA,
or Airbus Helicopters' EASA Design Organization Approval. EASA AD 2023-
0028 requires reporting certain information to Airbus Helicopters
within 30 days after each rivet replacement, whereas this AD requires
reporting that information within 10 days after each rivet replacement
or within 10 days after the effective date of this AD.
    EASA AD 2023-0028 allows credit for the initial instance of certain
actions accomplished before its effective date, whereas this AD allows
credit for any instance of certain actions accomplished before the
effective date of this AD.

Interim Action

    The FAA considers that this AD is an interim action. If final
action is later identified, the FAA might consider further rulemaking
then.

Justification for Immediate Adoption and Determination of the Effective
Date

    Section 553(b)(3)(B) of the Administrative Procedure Act (APA) (5
U.S.C. 551 et seq.) authorizes agencies to dispense with notice and
comment procedures for rules when the agency, for ``good cause,'' finds
that those procedures are ``impracticable, unnecessary, or contrary to
the public interest.'' Under this section, an agency, upon finding good
cause, may issue a final rule without providing notice and seeking
comment prior to issuance. Further, section 553(d) of the APA
authorizes agencies to make rules effective in less than thirty days,
upon a finding of good cause.
    An unsafe condition exists that requires the immediate adoption of
this AD without providing an opportunity for public comments prior to
adoption. The FAA has found that the risk to the flying public
justifies forgoing notice and comment prior to adoption of this rule
because sheared attachment rivets of the transmission shaft bearing
support could lead to failure of the tail rotor drive shaft, which is
an assembly that is critical to the control of a helicopter. The FAA
has no information pertaining to how quickly the condition may
propagate to failure. In addition, it has been identified that
helicopters with finishing paint applied to the gutter could prevent
detection of the unsafe condition. In light of this, the compliance
times for the required actions are shorter than the time necessary for
the public to comment and for publication of the final rule.
Inspections of the rivets on the rear transmission shaft bearing
support and of the local structure, and inspections of the rivet heads
of the rear bearing support must be continued from AD 2022-01-05 within
intervals not to exceed 10 hours time-in-service. Depending on the
inspection status of a helicopter, inspecting for the presence of paint
applied on the gutter must be accomplished within 10 hours time-in-
service or 7 days, whichever occurs first, or before exceeding 10 hours
time-in-service since the latest inspection. Accordingly, notice and
opportunity for prior public comment are impracticable and contrary to
the public interest pursuant to 5 U.S.C. 553(b)(3)(B).
    In addition, the FAA finds that good cause exists pursuant to 5
U.S.C. 553(d) for making this amendment effective in less than 30 days,
for the same reasons the FAA found good cause to forgo notice and
comment.

Regulatory Flexibility Act

    The requirements of the Regulatory Flexibility Act (RFA) do not
apply when an agency finds good cause pursuant to 5 U.S.C. 553 to adopt
a rule without prior notice and comment. Because the FAA has determined
that it has good cause to adopt this rule without prior notice and
comment, RFA analysis is not required.

Costs of Compliance

    The FAA estimates that this AD affects 119 helicopters of U.S.
registry. Labor rates are estimated at $85 per work-hour. Based on
these numbers, the FAA estimates the following costs to comply with
this AD.
    Inspecting the rivets and local structure takes about 0.5 work-hour
for an estimated cost of about $43 per helicopter and up to $5,117 for
the U.S. fleet, per inspection cycle. Removing the Teflon tape and
inspecting the rivet heads takes about 0.5 work-hour for an estimated
cost of about $43 per helicopter and up to $5,117 for the U.S. fleet,
per inspection cycle. The corrective action that may be needed as a
result of the inspection could vary significantly from helicopter to
helicopter. The FAA has no data to determine the costs to accomplish
the corrective action or the number of helicopters that may require
corrective action.
    Replacing a rivet takes about 0.5 work-hour and parts cost up to
$20 for an estimated cost of up to $63 per rivet.
    Inspecting and if necessary, removing paint from the gutter area
takes about 0.5 work-hour for an estimated cost of up to $43 per
helicopter.
    Reporting information takes about 1 work-hour for an estimated cost
of $85 per helicopter, per instance.

Paperwork Reduction Act

    A federal agency may not conduct or sponsor, and a person is not
required to respond to, nor shall a person be subject to a penalty for
failure to comply with a collection of information subject to the
requirements of the Paperwork Reduction Act unless that collection of
information displays a currently valid OMB Control Number. The OMB
Control Number for this information collection is 2120-0056. Public
reporting for this collection of information is estimated to take
approximately 1 hour per response, including the time for reviewing
instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the
collection of information. All responses to this collection of
information are mandatory. Send comments regarding this burden estimate
or any other aspect of this collection of information, including
suggestions for reducing this burden, to: Information Collection
Clearance Officer, Federal Aviation Administration, 10101 Hillwood
Parkway, Fort Worth, TX 76177-1524.

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

    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 above, I certify that this AD:
    (1) Is not a ``significant regulatory action'' under Executive
Order 12866, and
    (2) Will not affect intrastate aviation in Alaska.

List of Subjects in 14 CFR Part 39

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

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:
0
a. Removing Airworthiness Directive 2022-01-05, Amendment 39-21893 (86
FR 74353, December 30, 2021); and
0
b. Adding the following new airworthiness directive:

2023-23-01 Airbus Helicopters: Amendment 39-22603; Docket No. FAA-
2023-2150; Project Identifier MCAI-2023-00188-R.

(a) Effective Date

    This airworthiness directive (AD) is effective November 29,
2023.

(b) Affected ADs

    This AD replaces AD 2022-01-05, Amendment 39-21893 (86 FR 74353,
December 30, 2021) (AD 2022-01-05).

(c) Applicability

    This AD applies to Airbus Helicopters Model EC130T2 helicopters,
certificated in any category, as identified in European Union
Aviation Safety Agency (EASA) AD 2023-0028, dated February 1, 2023
(EASA AD 2023-0028).

(d) Subject

    Joint Aircraft System Component (JASC) Code: 5300, Fuselage
Structure.

(e) Unsafe Condition

    This AD was prompted by a report of degradation of the rear
transmission shaft bearing support and the determination that all
the attachment rivets of the transmission shaft bearing support were
sheared. Also, it has been reported that some attachment rivets of
the transmission shaft bearing may have been painted over,
preventing detection of this unsafe condition. The FAA is issuing
this AD to address sheared attachment rivets of the transmission
shaft bearing support. This condition, if not addressed, could lead
to failure of the tail rotor drive shaft and subsequent loss of yaw
control of the helicopter.

(f) Compliance

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

(g) Requirements

    Except as specified in paragraph (h) of this AD: Comply with all
required actions and compliance times specified in, and in
accordance with, EASA AD 2023-0028.

(h) Exceptions to EASA AD 2023-0028

    (1) Where EASA AD 2023-0028 defines ``the ASB'' as ``AH
Emergency Alert Service Bulletin (ASB) EC130-05A039 Revision 3;''
for this AD, replace that definition with ``Airbus Helicopters
Emergency Alert Service Bulletin No. EC130-05A039, Revision 4, dated
March 15, 2023.''
    (2) Where EASA AD 2023-0028 refers to November 1, 2021 (the
effective date of EASA Emergency AD 2021-0235-E, dated October 28,
2021), this AD requires using December 9, 2021 (the effective date
of AD 2021-24-06, Amendment 39-21827 (86 FR 66934, November 24,
2021).
    (3) Where EASA AD 2023-0028 refers to December 21, 2021 (the
effective date of EASA AD 2021-0283-E, dated December 17, 2021),
this AD requires using January 14, 2022 (the effective date of AD
2022-01-05).
    (4) Where EASA AD 2023-0028 refers to its effective date, this
AD requires using the effective date of this AD.
    (5) Where EASA AD 2023-0028 requires compliance in terms of
flight hours, this AD requires using hours time-in-service.
    (6) Where the service information referenced in EASA AD 2023-
0028 specifies that certain inspections can be done by a mechanical
technician, a pilot with correct training and accreditation, or a
pilot-owner, this AD requires that those inspections be accomplished
by persons authorized under 14 CFR 43.3.
    (7) Where paragraphs (4) and (5) of EASA AD 2023-0028 specify
contacting Airbus Helicopters to obtain approved repair instructions
and accomplishing those instructions within the compliance time(s)
specified therein, this AD requires, before further flight, repair
done in accordance with a method approved by the Manager,
International Validation Branch, FAA; or EASA; or Airbus
Helicopters' EASA Design Organization Approval (DOA). If approved by
the DOA, the approval must include the DOA-authorized signature.
    (8) Where paragraph (8) of EASA AD 2023-0028 requires reporting
inspection results to Airbus Helicopters within 30 days after each
rivet replacement, this AD requires reporting inspection results at
the applicable time in paragraph (h)(8)(i) or (ii) of this AD.
    (i) If the inspection was done on or after the effective date of
this AD: Submit the report within 10 days after each rivet
replacement.
    (ii) If the inspection was done before the effective date of
this AD: Submit the report within 10 days after the effective date
of this AD.
    (9) Instead of the credit allowed in paragraph (9) of EASA AD
2023-0028, you may take credit for the following; ``Inspection(s)
and corrective action(s) required by paragraphs (1), (2), and (6) of
EASA AD 2023-0028 that have been accomplished before the effective
date of this AD using Airbus Helicopters Emergency Alert Service
Bulletin No. EC130-05A039 original issue, dated October 27, 2021;
Revision 1, dated December 16, 2021; Revision 2, dated February 9,
2022; or Revision 3, dated January 30, 2023.''
    (10) This AD does not adopt the ``Remarks'' section of EASA AD
2023-0028.

(i) Special Flight Permits

    Special flight permits may be permitted to accomplish the
actions required by paragraphs (1) and (2) of EASA AD 2023-0028
provided that there are no passengers on board. Special flight
permits are prohibited for any other actions required by this AD.

(j) 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 manager of the International Validation Branch, send
it to the attention of the person identified in paragraph (k) of
this AD. Information may be emailed to: [email protected].
    (2) Before using any approved AMOC, notify your appropriate
principal inspector, or lacking a principal inspector, the manager
of the local flight standards district office/certificate holding
district office.

(k) Related Information

    For more information about this AD, contact Dan McCully, Program
Manager, International Validation Branch, FAA, 1600 Stewart Ave.,
Suite 410, Westbury, NY 11590; telephone<PHONE_NUMBER>; email
[email protected].

(l) Material Incorporated by Reference

    (1) The Director of the Federal Register approved the
incorporation by reference of

the service information listed in this paragraph under 5 U.S.C.
552(a) and 1 CFR part 51.
    (2) You must use this service information as applicable to do
the actions required by this AD, unless this AD specifies otherwise.
    (i) European Union Aviation Safety Agency (EASA) AD 2023-0028,
dated February 1, 2023.
    (ii) [Reserved]
    (3) For EASA material, contact EASA, Konrad-Adenauer-Ufer 3,
50668 Cologne, Germany; telephone +49 221 8999 000; email
[email protected]; internet easa.europa.eu. You may find the EASA
material on the EASA website at ad.easa.europa.eu.
    (4) 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>.
    (5) You may view this material at the National Archives and
Records Administration (NARA). For information on the availability
of this material at NARA, visit www.archives.gov/federal-register/cfr/[email protected]">www.archives.gov/federal-register/cfr/[email protected].

    Issued on November 6, 2023.
Victor Wicklund,
Deputy Director, Compliance & Airworthiness Division, Aircraft
Certification Service.
[FR Doc. 2023-25185 Filed 11-9-23; 4:15 pm]
BILLING CODE 4910-13-P


MEMORANDUM

DATE:		8/26/14

TO:		Clean Power Plan for Existing Power Plants; Docket Id: OAR - 2013-0602

FROM:	Howard J. Hoffman, EPA - OGC

SUBJECT:	8/26/14 Meeting Regarding Proposed Clean Power Plan for Existing Power Plants with EDF --------------------------------------------------------------------------------

SUMMARY

      On August 26, 2014 I met with Megan Ceronsky of the Environmental Defense Fund to discuss legal issues concerning the Clean Power Plan proposal for Existing Power Plants.


[Federal Register Volume 76, Number 43 (Friday, March 4, 2011)]
[Notices]
[Pages 12161-12163]
[FR Doc No: 2011-4891]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-63973; File No. SR-NYSE-2011-07]

Self-Regulatory Organizations; New York Stock Exchange LLC;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change
Amending Exchange Rule 1600 (New York Block Exchange \SM\) To Add
Provisions on Short Sales in Order To Implement the Provisions of Rule
201 of Regulation SHO Under the Securities Exchange Act of 1934

February 25, 2011.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby
given that on February 24, 2011, New York Stock Exchange LLC (``NYSE''
or the ``Exchange'') filed with the Securities and Exchange Commission
(the ``Commission'') the proposed rule change as described in Items I
and II below, which Items have been substantially prepared by the self-
regulatory organization. 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\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to amend Exchange Rule 1600 (New York Block
Exchange \SM\) (``NYBX'' or the ``Facility'') to add provisions on
short sales in order to implement the provisions of Rule 201 of
Regulation SHO (``Rule 201'') \4\ under the Act which, if triggered,
imposes a restriction on the prices at which securities may be sold
short (``Short Sale Price Test''). Among other things, Rule 201
requires trading centers to establish, maintain and enforce written
policies and procedures reasonably designed to prevent the execution or
display of a short sale order of a covered security at a price that is
less than or equal to the current national best bid if the price of a
covered security decreases by 10% or more from the covered security's
closing price as determined by the listing market for the covered
security as of the end of regular trading hours on the prior day.\5\
The proposed rule amendment would establish the protocols for the
handling of short sale orders by the Exchange, as a trading center, in
the event the Short Sale Price Test is triggered by a listing market
(including the NYSE), including establishing what types of short sale
orders will be re-priced to achieve a permitted price, in accordance
with Rule 201, during the period in which a Short Sale Price Test is in
effect (``Short Sale Period''). Amended Rule 1600 would also establish
the Facility's procedures regarding the execution and display of
permissible orders during the Short Sale Period, and the execution of
orders marked ``short exempt.'' Finally, the proposed rule amendment
would also establish NYBX procedures for the execution, routing to the
NYSE Display Book (``DBK'') or routing to other automated trading
centers of orders, if the listing market has lifted the Short Sale
Price Test before the Short Sale Period has ended.\6\ The text of the
proposed rule change is available at the Exchange, the Commission's
Public Reference Room, and http://www.nyse.com.
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    \4\ 17 CFR 242.201.
    \5\ 17 CFR 242.201(b)(1)(i).
    \6\ The proposed rule amendment would establish the duration of
the Short Sale Price Test. See infra note 21 and accompanying text.
In addition, the proposed rule amendment would provide for an
Exchange determination that a Short Sale Price Test has been
triggered for covered securities for which the Exchange is the
listing market.
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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 self-regulatory organization
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 those 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 parts of such statements.

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

1. Purpose
    On February 26, 2010, the Commission adopted amendments to Rule 201
of Regulation SHO.\7\ Among other things, the amendments establish a
short sale-related circuit breaker that, if triggered with respect to a
covered security,\8\ imposes a short sale price test.\9\ Amended Rule
201 became effective on May 10, 2010 and the compliance date for the
Rule is February 28, 2011.\10\
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    \7\ Amendments to Regulation SHO, Securities Exchange Act
Release No. 61595 (Feb. 26, 2010), 75 FR 11232 (Mar. 10, 2010)
(``Rule 201 Adopting Release''). In the Rule 201 Adopting Release,
the Commission also adopted amendments to Rule 200(g) of Regulation
SHO to include a ``short exempt'' marking requirement. 17 CFR
242.200(g).
    \8\ The term ``covered security'' shall have the same meaning as
in Rule 201 of Regulation SHO. Rule 201(a)(1) defines the term
``covered security'' to mean any ``NMS stock'' as defined under Rule
600(b)(47) of Regulation NMS. Rule 600(b)(47) of Regulation NMS
defines an ``NMS stock'' as ``any NMS security other than an
option.'' Rule 600(b)(46) of Regulation NMS defines an ``NMS
security'' as ``any security or class of securities for which
transaction reports are collected, processed, and made available
pursuant to an effective transaction reporting plan, or an effective
national market system plan for reporting transactions in listed
options.'' 17 CFR 242.201(a)(1); 17 CFR 242.600(b)(47); and 17 CFR
242.600(b)(46).
    \9\ 17 CFR 242.201(b).
    \10\ Rule 201 Adopting Release, 75 FR 11232. The Rule 201
compliance date, originally set for November 10, 2010, was extended
to February 28, 2011 in Securities Exchange Act Release No. 63247
(Nov. 4, 2010), 75 FR 68702 (Nov. 9, 2010). The May 10th effective
date and February 28th compliance date also apply to amended Rule
200(g).
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    Rule 201(b) requires that trading centers,\11\ including the NYSE,
establish, maintain, and enforce written policies and procedures
reasonably designed to prevent the execution or display of a short sale
order of a covered security at a price that is less than or equal to
the current national best bid \12\ if the price of that covered
security decreases by 10% or more from the covered security's closing
price as determined by the listing market \13\ for the covered security
as of the end of regular trading hours on the prior day (``Trigger
Price'').\14\ In addition, Rule 201(b) requires that trading centers
establish, maintain, and enforce written policies and procedures
reasonably designed to impose the Short Sale Price Test for the
remainder of the day and the following day when a national best bid for
the covered security is calculated and disseminated on a current and
continuing basis by a plan processor

pursuant to an effective national market system plan.\15\
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    \11\ Rule 201(a)(9) states that the term ``trading center''
shall have the same meaning as in Rule 600(b)(78) of Regulation NMS.
Rule 600(b)(78) defines a ``trading center'' as ``a national
securities exchange or national securities association that operates
an SRO trading facility, an alternative trading system, an exchange
market maker, an OTC market maker, or any other broker or dealer
that executes orders internally by trading as principal or crossing
orders as agent.'' 17 CFR 242.600(b)(78).
    \12\ The term ``national best bid'' shall have the same meaning
as in Rule 201 of Regulation SHO. Rule 201(a)(4) states that such
term shall have the same meaning as in Rule 600(b)(42) of Regulation
NMS. 17 CFR 242.201(a)(4); 17 CFR 242.600(b)(42).
    \13\ The term ``listing market'' shall have the same meaning as
in Rule 201 of Regulation SHO. Rule 201(a)(3) defines the term
``listing market'' to have the same meaning as the term ``listing
market'' as defined in the effective transaction reporting plan for
the covered security. 17 CFR 242.201(a)(3). See also 17 CFR
242.201(a)(2).
    \14\ 17 CFR 242.201(b)(1)(i).
    \15\ 17 CFR 242.201(b)(1)(ii). In addition, if the price of a
covered security declines intra-day by at least 10% on a day on
which the security is already subject to the short sale price test
restriction of Rule 201, the restriction will be re-triggered and,
therefore, will continue in effect for the remainder of that day and
the following day. See Rule 201 Adopting Release, 75 FR 11232,
11253, n. 290. Rule 201 does not place any limit on the frequency or
number of times the circuit breaker can be re-triggered with respect
to a particular stock. Division of Trading and Markets, Responses to
Frequently Asked Questions Concerning Rule 201 of Regulation SHO, at
Q&A 2.2 (``T&M FAQs'').
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    In the Rule 201 Adopting Release, the Commission stated that it was
appropriate to adopt a short sale-related circuit breaker because, when
triggered, it will prevent short selling, including potentially
manipulative or abusive short selling, from driving down further the
price of a security that has already experienced a significant intra-
day price decline, and will facilitate the ability of long sellers to
sell first upon such a decline.\16\ The Commission further stated that
this approach establishes a narrowly-tailored Rule that strikes an
appropriate balance between its goal of preventing potential short sale
abuses and the need to limit impediments to the normal operations of
the market,\17\ and as such, the Rule will help address the erosion of
investor confidence in markets generally.\18\ For these reasons, the
Exchange seeks to amend its short sale rule to comply with the
Commission's amendment of Rule 201.
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    \16\ Rule 201 Adopting Release, 75 FR 11232.
    \17\ Rule 201 Adopting Release, 75 FR 11232, 11252.
    \18\ Id.
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    Paragraph (d)(5)(B) of the proposed rule makes clear that, in
compliance with Rule 201, in the event a covered security experiences a
decrease in price of 10% or more, as determined by the listing market
for the security, from the security's closing price on the listing
market as of the end of regular trading hours on the prior day, the
Facility will not execute or display a short sale order with respect to
that security at a price that is less than or equal to the current
national best bid.
    Where the Exchange is the listing market for a covered security,
Exchange systems will determine, in accordance with NYSE Rule
440B(c),\19\ whether the short sale price test restrictions of Rule 201
have been triggered (i.e., whether a transaction in a covered security
has occurred at a Trigger Price) and will notify the single plan
processor responsible for consolidation of information for the covered
security pursuant to Rule 603(b) of Regulation NMS.\20\
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    \19\ References are to revised Exchange Rule 440B, as proposed
to be amended in a separate rule filing to, among other things,
establish procedures for determining when the Short Sale Price Test
is triggered for covered securities for which the Exchange is the
listing market. See SR-NYSE-2011-05.
    \20\ 17 CFR 242.201(b)(3). See also Rule 201(a)(6) of Regulation
SHO, which defines the term ``plan processor'' to have the same
meaning as in Rule 600(b)(55) of Regulation NMS. 17 CFR
242.201(a)(6); 17 CFR 242.600(b)(55). The single plan processors are
``exclusive processors'' as defined under Section 3(a)(22) of the
Act. 15 U.S.C. 78c(a)(22).
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    Once a Short Sale Price Test is triggered by the listing market,
the Short Sale Price Test will remain in effect until the close of
trading on the next trading day.\21\ If the listing market lifts the
Short Sale Price Test before the Short Sale Period ends pursuant to the
listing market's rules,\22\ the Facility will execute, route to the DBK
or route to other automated trading centers \23\ in accordance with
Rule 1600(d)(1), without regard to the Short Sale Price Test.
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    \21\ Proposed Rule 1600(d)(5)(D). The Short Sale Price Test will
remain in effect at all times when quotation information and the
national best bid is collected, processed and disseminated. This may
extend beyond regular trading hours. T&M FAQs, supra note 15, at Q&A
2.1.
    \22\ For example, Exchange Rule 440B, as proposed to be amended
in SR-NYSE-2011-05, provides that the Exchange may lift the Short
Sale Price Test if it determines that the Test was triggered by a
``clearly erroneous'' transaction. See proposed NYSE Rule
440B(d)(1).
    \23\ Exchange Rule 1600(b)(2)(A) provides that the term
``automated trading center'' shall have the meaning set forth in
Rule 600(b)(4) of Regulation NMS. 17 CFR 242.600(b)(4).
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    During the Short Sale Period, short sale orders that are limited to
the national best bid or lower and short sale market orders will be re-
priced by the Facility one minimum price increment above the current
national best bid (``Permitted Price'') to permit their execution at a
price that is compliant with the Short Sale Price Test before being
executed, routed to the DBK or rerouted to other automated trading
centers,\24\ unless, on an order-by-order basis, the NYBX User \25\ has
requested that an order be cancelled back to the User.\26\ Consistent
with Rule 201,\27\ the Permitted Price for securities for which the
national best bid is $1 or more is $.01 above the national best bid;
the Permitted Price for securities for which the national best bid is
below $1 is $.0001 above the national best bid.\28\ To reflect declines
in the national best bid, the Facility will continue to re-price a
short sale order at the lowest Permitted Price down to the order's
original limit price.
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    \24\ The price of such orders, as re-priced, will be used as the
limit order price for purposes of calculating any Minimum Triggering
Volume Quantity (``MTV'') applicable to such orders. See Exchange
Rule 1600(b)(2)(E) and (c)(3)(B)(ii)(I). See proposed Rule
1600(d)(5)(H).
    \25\ Exchange Rule 1600(b)(2)(J) (defining the term ``User'').
    \26\ Id.
    \27\ Rule 201 Adopting Release, 75 FR 11232, 11247.
    \28\ See 17 CFR 242.612.
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    With respect to NYBX pegging orders during the Short Sale Period,
New York Block Exchange Market Pegging Orders, as defined in Rule
1600(c)(2)(A)(iii), to sell short at the national best bid will be re-
priced, as described above, one minimum price increment above the
current national best bid. In addition, during the Short Sale Period,
any type of NYBX pegging order, as defined in Rule 1600(c)(2)(A) or
Rules 1600(c)(2)(A)(i)-(iii), to sell short that contains an
instruction to peg plus or minus the Exchange's minimum price variation
will be rejected by Exchange systems.
    As permitted by Rule 201, during the Short Sale Period, the
Facility will execute, route to the DBK or route to other automated
trading centers, in accordance with Rule 1600(d)(1), orders marked
``short exempt'' without regard to whether the order is at a Permitted
Price.\29\ The Facility will also accept orders marked ``short exempt''
at any time when such systems are open for order entry, regardless of
whether the Short Sale Price Test has been triggered.\30\
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    \29\ 17 CFR 242.201(b)(1)(iii)(B).
    \30\ 17 CFR 242.200(g)(2). Under Rule 200(g)(2), an order may be
marked ``short exempt'' if the broker-dealer had a reasonable basis
for believing that the order meets one of the exceptions specified
in Rule 201(d) of Regulation SHO or if it is entered during a Short
Sale Period and meets the conditions specified in Rule 201(c) of
Regulation SHO. See 17 CFR 242.201(d); 17 CFR 242.201(c); T&M FAQs,
supra note 15, at Q&As 4.2, 5.4 and 5.5.
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2. Statutory Basis
    The Exchange believes that its proposal is consistent with Section
6(b) of the Act,\31\ in general, and furthers the objectives of Section
6(b)(5) of the Act,\32\ in particular, in that it is designed to, among
other things, prevent fraudulent and manipulative acts and practices,
to promote just and equitable principles of trade, and, in general, to
protect investors and the public interest. The proposal is designed to
implement the provisions of Rule 201 of Regulation SHO with respect to
the operation of the Facility by establishing, maintaining and
enforcing written policies and procedures reasonably designed to
prevent the execution or display of a short sale order of a covered
security in violation of the short sale price test restrictions
established in that rule. To

that end, the proposed rule change will, among other things, establish
the Facility's procedures regarding the execution, routing to the DBK
and routing to other automated trading centers of permissible orders
during the Short Sale Period, and the execution of orders marked
``short exempt.''
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    \31\ 15 U.S.C. 78f(b).
    \32\ 15 U.S.C. 78f(b)(5).
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B. Self-Regulatory Organization's Statement on Burden on Competition

    The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Act.

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

    No written comments were solicited or received with respect to the
proposed rule change.

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

    The Exchange has filed the proposed rule change pursuant to Section
19(b)(3)(A)(iii) of the Act \33\ and Rule 19b-4(f)(6) thereunder.\34\
Because the 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 prior to
30 days from the date on which it was filed, or such shorter time as
the Commission may designate, if consistent with the protection of
investors and the public interest, the proposed rule change has become
effective pursuant to Section 19(b)(3)(A) of the Act \35\ and Rule 19b-
4(f)(6)(iii) thereunder.\36\
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    \33\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \34\ 17 CFR 240.19b-4(f)(6).
    \35\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \36\ 17 CFR 240.19b-4(f)(6)(iii). In addition, Rule 19b-4(f)(6)
requires a self-regulatory organization to give the Commission
written notice of its intent to file 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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    A proposed rule change filed under Rule 19b-4(f)(6) \37\ normally
does not become operative prior to 30 days after the date of the
filing. However, pursuant to Rule 19b-4(f)(6)(iii),\38\ the Commission
may designate a shorter time if such action is consistent with the
protection of investors and the public interest. The Exchange has asked
the Commission to waive the 30-day operative delay so that the proposal
may become operative immediately upon filing. The Commission hereby
grants the request.\39\ Waiving the 30-day operative delay will allow
the Exchange to implement the proposed amendments by February 28, 2011,
which, as noted by the Exchange, is the compliance date for amendments
to Regulation SHO under the Act. By waiving the operative delay, the
Exchange will be able to comply with the amendments to Regulation SHO
by February 28, 2011. Therefore, the Commission believes it is
consistent with the protection of investors and the public interest to
waive the 30-day operative delay and designates the proposal as
operative upon filing.
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    \37\ 17 CFR 240.19b-4(f)(6).
    \38\ 17 CFR 240.19b-4(f)(6)(iii).
    \39\ For purposes only of waiving the 30-day operative delay,
the Commission has considered the proposed rule change's impact on
efficiency, competition, and capital formation. 15 U.S.C. 78c(f).
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    At any time within 60 days of the filing of such 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.

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 e-mail to<EMAIL_ADDRESS>Please include
File Number SR-NYSE-2011-07 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSE-2011-07. This file
number should be included on the subject line if e-mail 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 Web site (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 Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street, NE.,
Washington, DC 20549-1090. Copies of the filing will also be available
for inspection and copying at the NYSE's principal office and on its
Internet Web site at http://www.nyse.com. All comments received will be
posted without change; the Commission does not edit personal
identifying information from submissions. You should submit only
information that you wish to make available publicly. All submissions
should refer to File Number SR-NYSE-2011-07 and should be submitted on
or before March 25, 2011.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\40\
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    \40\ 17 CFR 200.30-3(a)(12).
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Cathy H. Ahn,
Deputy Secretary.
[FR Doc. 2011-4891 Filed 3-3-11; 8:45 am]
BILLING CODE 8011-01-P