[Federal Register Volume 86, Number 213 (Monday, November 8, 2021)]
[Notices]
[Pages 61801-61804]
[FR Doc No: 2021-24327]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-93511]

Self-Regulatory Organizations; Financial Industry Regulatory
Authority, Inc.; Declaration of Effectiveness of the Fingerprint Plan
of the Financial Industry Regulatory Authority, Inc.

November 2, 2021.
    On October 28, 2021, the Financial Industry Regulatory Authority,
Inc. (``FINRA'') filed with the Securities and Exchange Commission
(``Commission'' or ``SEC'') a new fingerprint plan (``Plan'') \1\
pursuant to Rule 17f-2(c) \2\ under the Securities Exchange Act of 1934
(``Exchange Act'' or ``Act'').\3\ The Plan supersedes and replaces
FINRA's current fingerprint plan, which was declared effective for the
Commission by the Division of Trading and Markets, pursuant to
delegated authority, on May 2, 2006 (``FINRA's 2006 Plan'').\4\
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    \1\ Attached hereto as Exhibit A. See also Letter from Richard
Pullano, Vice President and Associate General Counsel, FINRA, to
Devin Ryan, Assistant Director, Office of Chief Counsel, Division of
Trading and Markets, dated October 28, 2021 (``FINRA Letter''),
available at https://www.finra.org/sites/default/files/2021-11/fingerprint-plan.pdf.
    \2\ 17 CFR 240.17f-2(c).
    \3\ 15 U.S.C. 78a et seq.
    \4\ See Exchange Act Release No. 53751 (May 2, 2006), 71 FR
27299 (May 10, 2006) (Declaration of Effectiveness of the
Fingerprint Plan of the National Association of Securities Dealers,
Inc.). FINRA will continue to channel fingerprints for these
personnel consistent with the 2006 Fingerprint Plan until the new
fingerprinting process set forth in the Plan is fully implemented.
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    FINRA states that it is adopting the Plan due to the age of FINRA's
current fingerprint processing platform, and the availability of more
modern alternatives offered by private vendors approved by the Federal
Bureau of Investigation (``FBI'') to channel fingerprints.\5\
Therefore, as discussed in more detail below, FINRA states that in
order to continue to facilitate compliance with the fingerprinting
requirement in Section 17(f)(2) of the Exchange Act, it is
transitioning to a new fingerprinting process for broker-dealer
personnel (of both FINRA members and other broker-dealers) and for
FINRA personnel using the services of an FBI-approved channeler (``FBI-
Approved Channel Partner'').\6\ FINRA will continue at this time its
current role as the channeler for processing fingerprints of transfer
agent and clearing agency personnel that are submitted to FINRA.\7\
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    \5\ See FINRA Letter at 1.
    \6\ See also infra Section 2. The FBI-Approved Channel Partner
is one of a limited number of entities approved by the FBI to submit
fingerprints to the FBI and receive the results on behalf of an
organization using that information for authorized non-criminal
justice purposes (e.g., employment suitability, licensing
determinations, etc.). The FBI reviews and approves all outsourced
channeling relationships consistent with its outsourcing standards
and protocols. As outlined in the September 28, 2021 letter from the
FBI's National Crime Prevention and Privacy Compact Council Office
(``CCO Letter''), the FBI has reviewed and conditionally granted
permission to FINRA to use a specified FBI-Approved Channel Partner
contingent upon FINRA filing a fingerprint plan with the Commission
and the Commission declaring that fingerprint plan effective. See
FINRA Letter at 2, n.4 (discussing the CCO Letter, available at
https://www.finra.org/sites/default/files/2021-11/fingerprint-plan.pdf). The terms of the CCO Letter are incorporated by reference
in the Plan. See Exhibit A at 1, n. 3.
    \7\ See also infra Section 3. FINRA notes that it is seeking to
identify an alternative approach that would enable transfer agents
and clearing agencies to efficiently fulfill their obligations to
fingerprint their personnel, but would not involve FINRA acting in a
channeler role. FINRA notes that, for the last two years, transfer
agent and clearing agency personnel have accounted for less than two
percent of the fingerprints processed by FINRA. FINRA intends to
work with the Commission, FBI and the transfer agent and clearing
agency communities to identify this alternative approach. See FINRA
Letter at 1.
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    For the reasons discussed below, the Commission finds that,
pursuant to Rule 17f-2(c) of the Exchange Act, the Plan is not
inconsistent with the public interest and the protection of investors
and, therefore, declares the Plan to be effective.

1. Applicable Standard

    Section 17(f)(2) of the Act provides, in pertinent part, that every
member of a national securities exchange, broker, dealer, registered
transfer agent and registered clearing agency, and national securities
association (as well as others), shall require that each of its
partners, directors, officers, and employees be fingerprinted and shall
submit such fingerprints, or cause the same to be submitted, to the
Attorney General of the United States for identification and
appropriate processing.\8\ However, in accordance with Exchange Act
Rule 17f-2(c), the fingerprinting requirement of Section 17(f)(2) may
be satisfied by submitting appropriate and complete fingerprint cards
to, among others, a registered national securities association (such as
FINRA) which, pursuant to a plan filed with and declared effective by,
the Commission, forwards such fingerprint cards to the Attorney General
of the United States (``Attorney General'') or its designee for
identification and appropriate processing.\9\ Under Rule 17f-2(c), such
fingerprinting plans--like FINRA's 2006 Plan and this Plan--shall not
become effective unless it is declared effective

by the Commission, which requires the Commission to find that the plan
is ``not inconsistent with the public interest or the protection of
investors.'' \10\
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    \8\ 15 U.S.C. 78q(f)(2).
    \9\ 17 CFR 240.17f-2(c).
    \10\ See id. The Commission may also impose any terms and
conditions relating to the provisions of the plan and the period of
its effectiveness as it may deem necessary or appropriate in the
public interest, for the protection of investors, or otherwise in
furtherance of the purposes of the Act. See id.
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    FINRA states that the purpose of the Plan is to facilitate
compliance with Section 17(f)(2) of the Act and Rule 17f-2 thereunder
by providing a program for FINRA members,\11\ other broker-dealers,
transfer agents, clearing agencies and FINRA to have the fingerprints
of their partners, directors, officers, and employees processed by the
Attorney General.\12\
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    \11\ For purposes of the Plan, the term ``members'' included
Capital Acquisition Brokers, Funding Portals and applicants for
FINRA membership.
    \12\ See Exhibit A.
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2. FINRA Members and Other Broker-Dealers

    Under FINRA's 2006 Plan, FINRA accepts fingerprints and identifying
information from member firms and other securities industry
participants required to be fingerprinted under Rule 17f-2.\13\ FINRA
then transmits these fingerprints and identifying information to the
FBI, which the Attorney General has designated to identify and process
such fingerprints, consistent with protocols and requirements
established by the Attorney General.\14\ However, as set forth in the
Plan, FINRA is partnering with an FBI-Approved Channel Partner to
process fingerprints and other identifying information from personnel
of FINRA members and other broker-dealers required to be fingerprinted
pursuant to Section 17(f)(2).\15\ Under the Plan, FINRA members or
other broker-dealers will work with the FBI-Approved Channel Partner to
fingerprint such personnel or accept fingerprints from such personnel
(either in electronic or hard copy format), and the FBI-Approved
Channel Partner will submit such fingerprints to the Attorney General
for processing consistent with the protocols and requirements
established by the Attorney General.\16\ The FBI-Approved Channel
Partner will offer state-of-the-art fingerprint services to broker-
dealers that include collecting fingerprints at locations nationwide
and leasing fingerprint equipment to broker-dealers that wish to
fingerprint personnel in-house.\17\
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    \13\ See FINRA Letter at 1, n. 2. FINRA's current platform uses
a customized application that include software licensed from a
vendor, and specialized equipment (to scan, digitize and transmit
fingerprints in accordance with FBI requirements). The vendor has
discontinued the software used in the customized application and
ceased providing support for it in July 2021. As a result, the
customized application, while still fully operational, is currently
supported only by FINRA technology resources. See id. at 1.
    \14\ See supra note 4, 71 FR at 27299-300.
    \15\ See Exhibit A at 1.
    \16\ See id.
    \17\ See FINRA Letter at 2.
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    Also under the terms of the Plan, at least the following three key
aspects of FINRA's 2006 Plan will remain unchanged.\18\ First, FINRA
will continue to receive results after the fingerprints have been
processed by the Attorney General and FINRA will continue to make those
results available to authorized recipients (i.e., to a member or other
broker-dealer that submitted the fingerprints and to regulators, as
appropriate, for licensing, registration and other regulatory
purposes), consistent with protocols and requirements established by
the Attorney General.\19\ Second, members and other broker-dealers will
continue to be able to view the status and results of the processed
fingerprints, including any relevant criminal history information,
through FINRA systems.\20\ Third, FINRA will continue to review the
fingerprint results to fulfill its regulatory responsibilities, store
those results in the CRD or FPRD systems and make them available to
other regulators that are authorized to view the results.\21\
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    \18\ See id. at 2-3. See also Exhibit A at 2.
    \19\ See Exhibit A at 2.
    \20\ These systems include the Central Registration Depository
(``CRD'') and the Funding Portal Registration Depository (``FPRD'').
See Exhibit A at 2.
    \21\ FINRA explains that it reviews fingerprint results to
ensure that applicants for registration have reported appropriately
information responsive to the questions on Form U4 (the Uniform
Application for Securities Industry Registration or Transfer)
relating to criminal history and to identify whether any broker-
dealer personnel required to be fingerprinted is subject to a
statutory disqualification under the Exchange Act based upon a
criminal conviction. See FINRA Letter at 3.
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3. Transfer Agents and Clearing Agencies

    Under the Plan, FINRA, rather than the FBI-Approved Channel Partner
discussed above, will continue to use its current fingerprint
processing platform to accept fingerprints and identifying information
from transfer agent and clearing agency personnel who are required to
be fingerprinted pursuant to Rule 17f-2 and who submit fingerprints to
FINRA for processing.\22\ FINRA will also continue to transmit
fingerprints from such personnel to the Attorney General for
identification and processing consistent with protocols and
requirements established by the Attorney General.\23\
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    \22\ See FINRA Letter at 3.
    \23\ FINRA also explains that, because transfer agents and
clearing agencies do not use the CRD system for registration
purposes, FINRA is unable to disseminate the fingerprint statuses
and results through that system (as it does for broker-dealer
personnel). See FINRA Letter at 3.
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4. FINRA Personnel

    The FBI-Approved Channel Partner will also process fingerprints and
identifying information from FINRA personnel who are required to be
fingerprinted under Section 17(f)(2) of the Act and consistent with its
Policy to Conduct Fingerprint-Based Background Checks (``Fingerprint
Policy'').\24\ The FBI-Approved Channel Partner will also transmit
these fingerprints and identifying information to the Attorney General
for identification and processing consistent with protocols and
requirements established by the Attorney General and securely make the
results available to FINRA after the fingerprints have been
processed.\25\ FINRA will evaluate such results and take any
appropriate action in accordance with the terms of its Fingerprint
Policy.\26\
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    \24\ Securities Exchange Act Release No. 50157 (August 5, 2004),
69 FR 49924 (August 12, 2004) (Notice of Filing and Immediate
Effectiveness of File No. SR-NASD-2004-095). See Exhibit A at 3.
    \25\ See id.
    \26\ See id.
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5. Commission's Declaration of Effectiveness of the Plan

    In accordance with Rule 17f-2(c) of the Act, the Commission has
reviewed the procedures detailed in the Plan and believes that the Plan
is not inconsistent with the public interest and the protection of
investors.
    The Commission observes that most of FINRA's 2006 Plan, which the
Commission found previously to be consistent with the public interest
and the protection of investors,\27\ will remain largely unchanged.\28\
As a result, the Commission has no reason to revisit its prior finding
with respect to those unchanged provisions.
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    \27\ See supra note 4 and accompanying text.
    \28\ For example, and as discussed above in section 2, at least
three key aspects of FINRA's 2006 Plan will remain unchanged for
FINRA members and other broker-dealers. See supra note 18 and
accompanying text. FINRA also states that its customized application
for processing fingerprints will remain fully operational, although
it will be supported only by FINRA technology resources. See FINRA
Letter at 1, n. 1. With respect to transfer agent and clearing agent
personnel, the Plan simply memorializes FINRA's existing procedures
for processing fingerprints and other identifying information for
these personnel who are required to be fingerprinted pursuant to
Section 17(f)(2). See id. at 3-4.
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    With respect to FINRA's decision to partner with a new FBI-Approved

Channel Partner \29\ to be the central point of intake and to process
fingerprints and identifying information from its members, other
broker-dealers and FINRA personnel, rather than doing so itself, the
Commission observes the following representations made by FINRA. FINRA
states that the FBI-Approved Channel Partner will offer state-of-the-
art fingerprint services that include collecting fingerprints at
locations nationwide and leasing fingerprint equipment to broker-
dealers that wish to print personnel in-house.\30\ Notably, FINRA
believes that the partnership with the FBI-Approved Channel Partner
will enable FINRA to continue to reliably facilitate fingerprinting of
the personnel of broker-dealers as required under Section 17(f)(2) of
the Exchange Act.\31\ FINRA also believes this partnership will enable
FINRA to continue to fulfill its critical regulatory and investor
protection responsibilities, including the identification of broker-
dealer personnel required to be fingerprinted who may be subject to a
statutory disqualification based on a criminal conviction.\32\
Similarly, FINRA states that the partnership will enable it to continue
to fulfill its Exchange Act requirement to perform fingerprint-based
background checks on covered FINRA personnel.\33\
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    \29\ See supra note 6 (discussing the FBI's conditional approval
of FINRA using a specified FBI-Approved Channel Partner). See also
Exhibit A at 1, n. 3.
    \30\ See FINRA Letter at 2.
    \31\ See id at 4.
    \32\ See id.
    \33\ See id.
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    The Commission agrees with FINRA that these statutorily-mandated
fingerprint-based background checks--whether performed by FINRA itself
under the 2006 Plan or by an FBI-Approved Channel Partner under this
Plan--will continue to help protect investors and serve the public
interest. Based on the foregoing, the Commission finds that, pursuant
to Rule 17f-2(c) of the Exchange Act, the Plan is not inconsistent with
the public interest and the protection of investors and, therefore,
declares the Plan to be effective.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\34\
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    \34\ 17 CFR 200.30-3(a)(17)(iii).
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J. Matthew DeLesDernier,
Assistant Secretary.

Exhibit A

Financial Industry Regulatory Authority; Fingerprint Plan

    The Financial Industry Regulatory Authority, Inc. (``FINRA'')
submits this fingerprint plan (``Plan'') pursuant to Rule 17f-2(c)
under the Securities Exchange Act of 1934 (``Exchange Act''). This Plan
supersedes and replaces FINRA's current fingerprint plan, which was
declared effective by the Securities and Exchange Commission
(``Commission'') on May 2, 2006 (the ``2006 Fingerprint Plan'').\35\
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    \35\ Securities Exchange Act Release No. 53751 (May 2, 2006), 71
FR 27299 (May 10, 2006) (Declaration of Effectiveness of the
Fingerprint Plan of the National Association of Securities Dealers,
Inc.). Pursuant to the 2006 Fingerprint Plan, FINRA channels
fingerprints for, among others, FINRA members, other broker-dealers
and FINRA personnel. FINRA will continue to channel fingerprints for
these personnel consistent with the 2006 Fingerprint Plan until the
new fingerprinting process set forth in the Plan is fully
implemented.
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    The purpose of this Plan is to facilitate compliance with Section
17(f)(2) of the Exchange Act by providing a program for FINRA
members,\36\ other broker-dealers, transfer agents, clearing agencies,
and FINRA to have the fingerprints of their partners, directors,
officers, and employees processed by the Attorney General of the United
States or its designee (hereinafter ``Attorney General'').
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    \36\ For purposes of the Plan, the term ``members'' includes
Capital Acquisition Brokers, Funding Portals and applicants for
FINRA membership.
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1. Members and Other Broker-Dealers

    FINRA is partnering with an FBI-approved private channeler (``FBI-
Approved Channel Partner'') \37\ to process fingerprints and
identifying information from personnel of members and other broker-
dealers required to be fingerprinted pursuant to Exchange Act Section
17(f)(2) and Rule 17f-2 thereunder. The FBI-Approved Channel Partner
fingerprints such personnel or accepts fingerprints of such personnel
(either in electronic or hard copy format) and submits such
fingerprints to the Attorney General for processing consistent with
protocols and requirements established by the Attorney General.\38\
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    \37\ The FBI-Approved Channel Partner is one of a limited number
of entities approved by the FBI to submit fingerprints to the FBI
and receive the results on behalf of an organization using that
information for authorized non-criminal justice purposes (e.g.,
employment suitability, licensing determinations, etc.). The FBI
reviews and approves all outsourced channeling relationships
consistent with its outsourcing standards and protocols. As outlined
in the September 28, 2021 letter from the FBI's National Crime
Prevention and Privacy Compact Council Office (``CCO Letter''), the
FBI has reviewed and conditionally granted permission to FINRA to
use a specified FBI-Approved Channel Partner contingent upon FINRA
filing a fingerprint plan with the Commission and the Commission
declaring that fingerprint plan effective. See CCO Letter, available
at https://www.finra.org/registration-exams-ce/classic-crd/fingerprints. The terms of the CCO Letter are incorporated by
reference in the Plan.
    \38\ On its website, FINRA informs its members and other broker-
dealers of the availability of fingerprint services and any fees
charged by FINRA in connection with those services and the
processing of fingerprints pursuant to this Plan. See https://www.finra.org/registration-exams-ce/classic-crd/fingerprints.
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    FINRA receives results from the FBI-Approved Channel Partner after
the fingerprints have been processed by the Attorney General and makes
those results available to authorized recipients (i.e., to a member or
other broker-dealer that submitted the fingerprints and to regulators,
as appropriate, for licensing, registration and other regulatory
purposes), consistent with protocols and requirements established by
the Attorney General. With respect to members and other broker-dealers,
FINRA also reviews any Criminal History Record Information returned by
the Attorney General to identify persons who may be subject to
statutory disqualification under the Exchange Act and to take action,
as appropriate, with respect to such persons.
    FINRA maintains copies of fingerprint processing results received
from the Attorney General with respect to fingerprints submitted by the
FBI-Approved Channel Partner pursuant to this Plan in accordance with
FINRA's records policy.\39\ Any maintenance of fingerprint records by
FINRA shall be for FINRA's own administrative purposes; FINRA is not
undertaking to maintain fingerprint records on behalf of FINRA members
pursuant to Exchange Act Rule 17f-2(d)(2). FINRA records in FINRA
systems the status of fingerprints of personnel of members and other
broker-dealers submitted to the Attorney General.\40\ Through these
systems, FINRA makes available to a member or other broker-dealer that
has submitted fingerprints the status and results of such fingerprints
after submission to the Attorney General.
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    \39\ FINRA's records policy is to maintain all records for at
least five years.
    \40\ These systems include the Central Registration Depository
(CRD[supreg]) and the Funding Portal Registration Depository
(FPRD[supreg]).

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2. Transfer Agents and Clearing Agencies

    FINRA accepts fingerprints and identifying information from
transfer agent personnel and clearing agency personnel who are required
to be fingerprinted pursuant to Exchange Act Section 17(f)(2) and Rule
17f-2 thereunder. FINRA accepts fingerprints of such personnel in hard
copy format and transmits fingerprints to the Attorney General for
identification and processing consistent with protocols and
requirements established by the Attorney General.\41\ After receiving
the processed results, FINRA transmits them to the submitting transfer
agent or clearing agency (i.e., an authorized recipient of the
results). FINRA informs transfer agents and clearing agencies of its
fingerprint processing services and the fees associated with those
services.
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    \41\ FINRA is channeling transfer agent and clearing agency
fingerprints and not using the FBI-Approved Channel Partner for this
purpose.
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3. FINRA Personnel

    FINRA partners with the FBI-Approved Channel Partner to obtain
fingerprints and identifying information from FINRA personnel who are
required to be fingerprinted under Exchange Act Section 17(f)(2) and
consistent with its Policy to Conduct Fingerprint-Based Background
Checks (``Fingerprint Policy'').\42\ The FBI-Approved Channel Partner
transmits fingerprints to the Attorney General for identification and
processing consistent with protocols and requirements established by
the Attorney General and securely makes the results available to FINRA
after the fingerprints have been processed. FINRA evaluates the
fingerprint results and takes any appropriate action in accordance with
the terms of the Fingerprint Policy.
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    \42\ Securities Exchange Act Release No. 50157 (August 5, 2004),
69 FR 49924 (August 12, 2004) (Notice of Filing and Immediate
Effectiveness of File No. SR-NASD-2004-095).

[FR Doc. 2021-24327 Filed 11-5-21; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 83, Number 104 (Wednesday, May 30, 2018)]
[Proposed Rules]
[Pages 24688-24690]
[FR Doc No: 2018-11426]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2018-0489; Product Identifier 2018-NM-001-AD]
RIN 2120-AA64

Airworthiness Directives; The Boeing Company Airplanes

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of proposed rulemaking (NPRM).

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SUMMARY: We propose to adopt a new airworthiness directive (AD) for all
The Boeing Company Model 747-8 and 747-8F series airplanes. This
proposed AD was prompted by a report that flightcrew oxygen masks did
not deploy correctly during flight testing. This proposed AD would
require an inspection to determine if certain oxygen masks/regulators
and stowage boxes are installed and replacement if necessary. We are
proposing this AD to address the unsafe condition on these products.

DATES: We must receive comments on this proposed AD by July 16, 2018.

ADDRESSES: You may send comments, using the procedures found in 14 CFR
11.43 and 11.45, by any of the following methods:
     Federal eRulemaking Portal: Go to http://www.regulations.gov. Follow the instructions for submitting comments.
     Fax:<PHONE_NUMBER>.
     Mail: U.S. Department of Transportation, Docket
Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue SE, Washington, DC 20590.
     Hand Delivery: Deliver to Mail address above between 9
a.m. and 5 p.m., Monday through Friday, except Federal holidays.
    For service information identified in this NPRM, contact Boeing
Commercial Airplanes, Attention: Contractual & Data Services (C&DS),
2600 Westminster Blvd., MC 110-SK57, Seal Beach, CA 90740-5600;
telephone<PHONE_NUMBER>; internet https://www.myboeingfleet.com. You may
view this referenced service information at the FAA, Transport
Standards Branch, 2200 South 216th St., Des Moines, WA. For information
on the availability of this material at the FAA, call<PHONE_NUMBER>. It
is also available on the internet at http://www.regulations.gov by
searching for and locating Docket No. FAA-2018-0489.

Examining the AD Docket

    You may examine the AD docket on the internet at http://www.regulations.gov by searching for and locating Docket No. FAA-2018-
0489; or in person at the Docket Management Facility between 9 a.m. and
5 p.m., Monday through Friday, except Federal holidays. The AD docket
contains this NPRM, the regulatory evaluation, any comments received,
and other information. The street address for the Docket Office (phone:
800-647-5527) is in the ADDRESSES section. Comments will be available
in the AD docket shortly after receipt.

FOR FURTHER INFORMATION CONTACT: Susan L. Monroe, Aerospace Engineer,
Cabin Safety and Environmental Systems Section, FAA, Seattle ACO
Branch, 2200 South 216th Street, Des Moines, WA 98198; phone and fax:
206-231-3570; email: [email protected].

SUPPLEMENTARY INFORMATION:

Comments Invited

    We invite you to send any written relevant data, views, or
arguments about this proposal. Send your comments to an address listed
under the ADDRESSES section. Include ``Docket No. FAA-2018-0489;
Product Identifier 2018-NM-001-AD'' at the beginning of your comments.
We specifically invite comments on the overall regulatory, economic,
environmental, and energy aspects of this NPRM. We will consider all
comments received by the closing date and may amend this NPRM because
of those comments.
    We will post all comments we receive, without change, to http://www.regulations.gov, including any personal information you provide. We
will also post a report summarizing each substantive verbal contact we
receive about this proposed AD.

Discussion

    We have received a report indicating that during flight tests,
flightcrew oxygen masks/regulators did not deploy correctly. Users
could not put the flightcrew oxygen masks/regulators on quickly because
the harness tubing became caught in the mask or goggles. This
condition, if not addressed, could result in a delay for the flightcrew
to put

on the masks, which may lead to hypoxia and the loss of useful
consciousness, potentially resulting in loss of control of the
airplane.

Related Service Information Under 1 CFR Part 51

    We reviewed Boeing Special Attention Service Bulletin 747-35-2133,
Revision 1, dated November 1, 2017. This service information describes
procedures for replacing certain oxygen masks/regulators and stowage
boxes. 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.

FAA's Determination

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

Proposed AD Requirements

    This proposed AD would require an inspection to determine if
certain oxygen masks/regulators and stowage boxes are installed and, if
certain oxygen masks/regulators and stowage boxes are installed,
accomplishment of the actions identified as ``RC'' (required for
compliance) in the Accomplishment Instructions of Boeing Special
Attention Service Bulletin 747-35-2133, Revision 1, dated November 1,
2017, described previously, except as discussed under ``Differences
Between this Proposed AD and the Service Information,'' and except for
any differences identified as exceptions in the regulatory text of this
proposed AD.
    For information on the procedures and compliance times, see this
service information at http://www.regulations.gov by searching for and
locating Docket No. FAA-2018-0489.

Differences Between This Proposed AD and the Service Information

    Where Boeing Special Attention Service Bulletin 747-35-2133,
Revision 1, dated November 1, 2017, refers to or specifies installing a
new (or changed) part, for this proposed AD, we have determined a new
or serviceable (or changed) part is acceptable.
    In addition, the effectivity of Boeing Special Attention Service
Bulletin 747-35-2133, Revision 1, dated November 1, 2017, is limited.
However, this proposed AD applies to all Model 747-8 and 747-8F series
airplanes. Because the affected parts are rotable parts, we have
determined that these parts could later be installed on airplanes that
were initially delivered with acceptable parts, thereby subjecting
those airplanes to the unsafe condition. This difference has been
coordinated with Boeing.

Costs of Compliance

    We estimate that this proposed AD affects 18 airplanes of U.S.
registry. We estimate the following costs to comply with this proposed
AD:

                                                          Estimated Costs for Required Actions
--------------------------------------------------------------------------------------------------------------------------------------------------------
                Action                        Labor cost           Parts cost              Cost per product                 Cost on  U.S. operators
--------------------------------------------------------------------------------------------------------------------------------------------------------
Inspection...........................  1 work-hour x $85 per                 $0  $85................................  $1,530.
                                        hour = $85.
Replacement..........................  Up to 6 work-hours x $85          68,256  Up to $68,766......................  Up to $1,237,788.
                                        per hour = $510.
--------------------------------------------------------------------------------------------------------------------------------------------------------

Authority for This Rulemaking

    Title 49 of the United States Code specifies the FAA's authority to
issue rules on aviation safety. Subtitle I, section 106, describes the
authority of the FAA Administrator. Subtitle VII: Aviation Programs,
describes in more detail the scope of the Agency's authority.
    We are issuing this rulemaking under the authority described in
Subtitle VII, Part A, Subpart III, Section 44701: ``General
requirements.'' Under that section, Congress charges the FAA with
promoting safe flight of civil aircraft in air commerce by prescribing
regulations for practices, methods, and procedures the Administrator
finds necessary for safety in air commerce. This regulation is within
the scope of that authority because it addresses an unsafe condition
that is likely to exist or develop on products identified in this
rulemaking action.
    This proposed AD is issued in accordance with authority delegated
by the Executive Director, Aircraft Certification Service, as
authorized by FAA Order 8000.51C. In accordance with that order,
issuance of ADs is normally a function of the Compliance and
Airworthiness Division, but during this transition period, the
Executive Director has delegated the authority to issue ADs applicable
to transport category airplanes to the Director of the System Oversight
Division.

Regulatory Findings

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

List of Subjects in 14 CFR Part 39

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

The Proposed Amendment

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

PART 39--AIRWORTHINESS DIRECTIVES

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

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

Sec.  39.13  [Amended]

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

The Boeing Company: Docket No. FAA-2018-0489; Product Identifier
2018-NM-001-AD.

(a) Comments Due Date

    We must receive comments by July 16, 2018.

(b) Affected ADs

    None.

 (c) Applicability

    This AD applies to all The Boeing Company Model 747-8 and 747-8F
series airplanes, certificated in any category.

(d) Subject

    Air Transport Association (ATA) of America Code 35, Oxygen.

(e) Unsafe Condition

    This AD was prompted by a report that flightcrew oxygen masks
did not function as designed during flight testing. We are issuing
this AD to address flightcrew oxygen masks/regulators that do not
deploy correctly, which could result in a delay for the flightcrew
to put on the masks, which may lead to hypoxia and loss of useful
consciousness, potentially resulting in loss of control of the
airplane.

(f) Compliance

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

(g) Required Actions

    For airplanes with an original certificate of airworthiness, or
an original export certificate of airworthiness, issued on or before
the effective date of this AD: Within 72 months after the effective
date of this AD, inspect for oxygen mask/regulator part number (P/N)
MLD20-626-1 and stowage box P/N MXP806-1. If any oxygen mask/
regulator P/N MLD20-626-1 or stowage box P/N MXP806-1 is found,
within 72 months after the effective date of this AD, do all
applicable actions identified as ``RC'' (required for compliance)
in, and in accordance with, the Accomplishment Instructions of
Boeing Special Attention Service Bulletin 747-35-2133, Revision 1,
dated November 1, 2017, except as provided by paragraph (h) of this
AD. A review of airplane maintenance records is acceptable in lieu
of the part number inspection if the part numbers of the oxygen
mask/regulator and stowage box can be conclusively determined from
that review.

 (h) Exceptions to Service Information Specifications

    Where Boeing Special Attention Service Bulletin 747-35-2133,
Revision 1, dated November 1, 2017, refers to or specifies
installing a new (or changed) part, for this AD, a new or
serviceable (or changed) part is acceptable.

 (i) Parts Installation Limitation

    (1) For airplanes with an original certificate of airworthiness,
or an original export certificate of airworthiness, issued on or
before the effective date of this AD: As of the effective date of
this AD, no person may install an oxygen mask/regulator P/N MLD20-
626-1 on any airplane, except that prior to 72 months after the
effective date of this AD, installation of P/N MLD20-626-1 is
acceptable for unscheduled maintenance as a replacement only for
another P/N MLD20-626-1 and only into a stowage box P/N MXP806-1. If
an oxygen mask/regulator having a part number other than P/N MLD20-
626-1 is installed, it may not be replaced with P/N MLD20-626-1. For
the purposes of this AD, unscheduled maintenance is defined as
maintenance that was not planned for or scheduled in advance, such
as changing a defective or unserviceable oxygen mask at dispatch.
    (2) For airplanes with an original certificate of airworthiness
or an original export certificate of airworthiness issued after the
effective date of this AD: As of the effective date of this AD, no
person may install oxygen mask/regulator P/N MLD20-626-1, on any
airplane.
    (3) For all airplanes: As of the effective date of this AD, no
person may install oxygen mask/regulator P/N MLD20-726-1, in
combination with any stowage box part number that is not P/N MXP806-
7, on any airplane.

 (j) Alternative Methods of Compliance (AMOCs)

    (1) The Manager, Seattle ACO 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 certification office, send it to the attention of the
person identified in paragraph (k)(1) 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.
    (3) An AMOC that provides an acceptable level of safety may be
used for any repair, modification, or alteration required by this AD
if it is approved by the Boeing Commercial Airplanes Organization
Designation Authorization (ODA) that has been authorized by the
Manager, Seattle ACO Branch, to make those findings. To be approved,
the repair method, modification deviation, or alteration deviation
must meet the certification basis of the airplane, and the approval
must specifically refer to this AD.
    (4) Except as required by paragraph (h) of this AD: For service
information that contains steps that are labeled as RC, the
provisions of paragraphs (j)(4)(i) and (j)(4)(ii) of this AD apply.
    (i) The steps labeled as RC, including substeps under an RC step
and any figures identified in an RC step, must be done to comply
with the AD. If a step or substep is labeled ``RC Exempt,'' then the
RC requirement is removed from that step or substep. An AMOC is
required for any deviations to RC steps, including substeps and
identified figures.
    (ii) Steps not labeled as RC may be deviated from using accepted
methods in accordance with the operator's maintenance or inspection
program without obtaining approval of an AMOC, provided the RC
steps, including substeps and identified figures, can still be done
as specified, and the airplane can be put back in an airworthy
condition.

(k) Related Information

    (1) For more information about this AD, contact Susan L. Monroe,
Aerospace Engineer, Cabin Safety and Environmental Systems Section,
FAA, Seattle ACO Branch, 2200 South 216th Street, Des Moines, WA
98198; phone and fax:<PHONE_NUMBER>; email: [email protected].
    (2) For service information identified in this AD, contact
Boeing Commercial Airplanes, Attention: Contractual & Data Services
(C&DS), 2600 Westminster Blvd., MC 110-SK57, Seal Beach, CA 90740-
5600; telephone<PHONE_NUMBER>; internet https://www.myboeingfleet.com. You may view this referenced service
information at the FAA, Transport Standards Branch, 2200 South 216th
St., Des Moines, WA. For information on the availability of this
material at the FAA, call<PHONE_NUMBER>.

    Issued in Des Moines, Washington, on May 21, 2018.
James Cashdollar,
Acting Director, System Oversight Division, Aircraft Certification
Service.
[FR Doc. 2018-11426 Filed 5-29-18; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 81, Number 213 (Thursday, November 3, 2016)]
[Notices]
[Pages 76637-76639]
[FR Doc No: 2016-26511]

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

[Release No. 34-79185; File No. SR-Phlx-2016-104]

Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing
of Proposed Rule Change To Amend Phlx Rule 748, Supervision

October 28, 2016.
    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 October 14, 2016, NASDAQ PHLX LLC (``Phlx'' or ``Exchange'') filed
with the Securities and Exchange Commission (``SEC'' or ``Commission'')
the proposed rule change as described in Items I, II, and III, 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 a proposal [sic] to amend Phlx Rule 748,
Supervision, as explained further below.
    The text of the proposed rule change is available on the Exchange's
Web site at http://nasdaqphlx.cchwallstreet.com/, 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
    The Exchange is proposing to amend several provisions of Rule 748.
The proposed rule change is intended to modernize, upgrade and
strengthen the Exchange's rules pertaining to supervisory obligations
of its members and member organizations.
Rule 748(a)
    Rule 748(a) currently provides in the first paragraph that each
office, location, department, or business activity of a member or
member organization (including foreign incorporated branch offices)
shall be under the supervision and control of the member or member
organization establishing it and of an appropriately qualified
supervisor. The Exchange is amending the first paragraph of Rule 748(a)
to clarify and state clearly that each trading system and internal
surveillance system of a member or member organization (including
foreign incorporated branch offices) shall, inasmuch as they are
aspects of their business activity, be under the supervision and
control of the member or member organization establishing it and of an
appropriately qualified supervisor.
Rule 748(b)
    Rule 748(b), Designation of Supervisor by Member Organizations,
currently provides in relevant part that the general partners or
directors of each member organization shall provide for appropriate
supervisory control and shall designate a general partner or principal
executive officer to assume overall authority and responsibility for
internal supervision and control of the organization and compliance
with securities' (sic) laws and regulations, including the By-Laws and
Rules of the Exchange. It provides that the designated person shall
delegate to qualified principals or qualified employees responsibility
and authority for supervision and control of each office, location,
department, or business activity, (including foreign incorporated
branch offices), and provide for

appropriate written procedures of supervision and control. The Exchange
proposes to amend Rule 748(b) to provide that the delegated person
shall likewise delegate to qualified principals or qualified employees
responsibility and authority for supervision and control of each
trading system and internal surveillance system.\3\
---------------------------------------------------------------------------

    \3\ The Exchange is also deleting the extraneous apostrophe
following the word ``securities''.
---------------------------------------------------------------------------

Rule 748(c)
    Rule 748(c) currently provides that each person with supervisory
control, as described in paragraphs (a) and (b) of Rule 748, must meet
the Exchange's qualification requirements for supervisors, including
successful completion of the appropriate examination. The Exchange
proposes to add to Rule 748(c) a new requirement that each member or
member organization must make reasonable efforts to determine that each
person with supervisory control, as described in paragraphs (a) and (b)
of Rule 748, is qualified by virtue of experience or training to carry
out his or her assigned responsibilities.
Rule 748(g)
    Rule 748(g), Office Inspections, currently provides that each
member or member organization for which the Exchange is the DEA shall
inspect each office or location (including foreign incorporated branch
offices) of the member or member organization according to a cycle that
shall be established in its written supervisory procedures. In
establishing such inspection cycle, the member or member organization
shall give consideration to the nature and complexity of the securities
activities for which the office or location is responsible, the volume
of business done, and the number of registered representatives,
employees, and associated persons at each office or location. Rule
748(g) is proposed to be amended to provide that an inspection may not
be conducted by any person within that office or location who has
supervisory responsibilities or by any individual who is directly or
indirectly supervised by such person. The Exchange also proposes to add
language requiring the examination schedule and an explanation of the
factors considered in determining the frequency of the examinations in
the cycle to be set forth in the member or member organization's
written supervisory procedures. It also proposes to require that the
inspection be reasonably designed to assist in preventing and detecting
violations of, and achieving compliance with, applicable securities
laws and regulations, and with applicable Exchange rules.
Rule 748(h)
    Rule 748(h) in the first paragraph currently requires each member
or member organization to establish, maintain, and enforce written
supervisory procedures, and a system for applying such procedures, to
supervise the types of business(es) in which the member or member
organization engages and to supervise the activities of all registered
representatives, employees, and associated persons. The written
supervisory procedures and the system for applying such procedures
shall reasonably be expected to prevent and detect, insofar as
practicable, violations of the applicable securities laws and
regulations, including the By-Laws and Rules of the Exchange. The
Exchange proposes to substitute the word ``designed'' for the word
``expected.''
    Rule 748(h) in the second paragraph currently requires that the
written supervisory procedures set forth the supervisory system
established by the member or member organization and include the name,
title, registration status, and location of all supervisory personnel
required by this rule, the dates for which supervisory designations
were or are effective, and the responsibilities of supervisory
personnel as these relate to the types of business(es) the member or
member organization engages in, and securities laws and regulations,
including the By-Laws and Rules of the Exchange. The Exchange proposes
to add a requirement that this record be preserved for a period of not
less than three years, the first two in an easily accessible place.
    Rule 748(h) in the third paragraph currently requires a copy of the
written supervisory procedures to be kept and maintained at each
location where supervisory activities are conducted on behalf of the
member or member organization. It requires each member or member
organization to amend its written supervisory procedures as appropriate
within a reasonable time after changes occur in supervisory personnel
or supervisory procedures, and to communicate such changes throughout
its organization within a reasonable time. The Exchange proposes to
amend Rule 748(h) to likewise amend and communicate changes to its
written supervisory procedures as appropriate within a reasonable time
after changes occur in applicable securities laws and regulations and
Exchange rules.
2. Statutory Basis
    The Exchange believes that its proposal is consistent with Section
6(b) of the Act,\4\ in general, and furthers the objectives of Section
6(b)(5) of the Act,\5\ 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,
by enhancing its rules relating to supervision as set forth in Rule
748. Requiring increased comprehensive supervision by members and
member organizations of their activities should promote the Exchange's
ability to enforce compliance by members and member organizations with
the Act and the regulations thereunder.
---------------------------------------------------------------------------

    \4\ 15 U.S.C. 78f(b).
    \5\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    Amending Rules 748(a) and (b) to require trading systems and
internal surveillance systems to be under the supervision and control
of the member or member organization establishing them and of an
appropriately qualified supervisor, and requiring the general partner
or principal executive officer with overall authority and
responsibility for internal supervision and control of the organization
and compliance with securities laws and regulations to delegate
responsibility and authority for supervision and control of each
trading system and internal surveillance system to qualified principals
or qualified employees, should protect investors and the public
interest by specifically requiring supervision and control of these
aspects of the member or member organization's business by an
appropriately qualified individual.
    The proposed amendment to Rule 748(c) should protect investors and
the public interest by requiring that each person with supervisory
control as described in Rules 748(a) and (b) to be qualified by virtue
of experience or training to carry out his or her assigned
responsibilities, such that the individual has the actual capacity to
fulfill those responsibilities.
    The proposed amendments to Rule 748(g) regarding office inspections
should protect investors and the public interest by minimizing the
potential for conflicts of interest in the conduct of office
inspections. The amendments would prohibit the required inspections
from being conducted by any person within that office or location who
has supervisory responsibilities or by any individual who is directly
or indirectly supervised by such a person who may

be incentivized to minimize any compliance issues identified in the
inspection. The proposed amendments to Rule 748(g) concerning the
examination schedule and specifically requiring that the inspection be
reasonably designed to assist in preventing and detecting violations
of, and achieving compliance with, applicable securities laws and
regulations and with applicable Exchange rules should assure that
inspections take place with a predictable and adequate frequency and
are reasonably designed to identify violations of applicable law and
rules.
    The proposed amendments to Rule 748(h) are also designed to protect
investors and the public interest, by requiring the written supervisory
procedures to be preserved for a period of not less than three years,
the first two in an easily accessible place, in order to facilitate
identification of instances where the procedures were not followed.
Stating that the written supervisory procedures and the system for
applying such procedures shall reasonably be ``designed'' rather than
``expected'' to prevent and detect violations clarifies the affirmative
nature of the member or member organization's obligations under the
rule when creating such procedures.
    Finally, the Rule 748(h) amendment requiring members or member
organizations to update their written supervisory procedures following
changes in applicable securities laws and regulations, and Exchange
rules should promote the continued usefulness of the procedures in the
context of ongoing changes in the regulatory environment in which
members and member organizations conduct their business.

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 not necessary or appropriate in
furtherance of the purposes of the Act. The amendments will apply to
all members and member organizations subject to Rule 748.

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

    Within 45 days of the date of publication of this notice in the
Federal Register or within such longer period (i) as the Commission may
designate up to 90 days of such date if it finds such longer period to
be appropriate and publishes its reasons for so finding or (ii) as to
which the Exchange consents, the Commission shall: (a) By order approve
or disapprove such proposed rule change, or (b) institute proceedings
to determine whether the proposed rule change should be 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-2016-104 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-Phlx-2016-104. 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 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, 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; 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-Phlx-2016-104 and
should be submitted on or before November 25, 2016.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\6\
---------------------------------------------------------------------------

    \6\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Brent J. Fields,
Secretary.
[FR Doc. 2016-26511 Filed 11-2-16; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 76, Number 173 (Wednesday, September 7, 2011)]
[Notices]
[Pages 55467-55469]
[FR Doc No: 2011-22758]

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DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration

[Docket No. FMCSA-1998-4334; FMCSA-1999-5578; FMCSA-2000-7363; FMCSA-
2001-9258; FMCSA-2001-9561;FMCSA-2003-14504; FMCSA-2003-15268; FMCSA-
2005-20027; FMCSA-2005-21254; FMCSA-2007-27897]

Qualification of Drivers; Exemption Applications; Vision

AGENCY: Federal Motor Carrier Safety Administration (FMCSA), DOT.

ACTION: Notice of renewal of exemptions; request for comments.

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

SUMMARY: FMCSA announces its decision to renew the exemptions from the
vision requirement in the Federal Motor Carrier Safety Regulations for
19 individuals. FMCSA has statutory authority to exempt individuals
from the vision requirement if the exemptions granted will not
compromise safety. The Agency has concluded that granting these
exemption renewals will provide a level of safety that is equivalent to
or greater than the level of safety maintained without the exemptions
for these commercial motor vehicle (CMV) drivers.

DATES: This decision is effective September 23, 2011. Comments must be
received on or before October 7, 2011.

ADDRESSES: You may submit comments bearing the Federal Docket
Management System (FDMS) numbers: FMCSA-1998-4334; FMCSA-1999-5578;
FMCSA-2000-7363; FMCSA-2001-9258; FMCSA-2001-9561;FMCSA-

2003-14504; FMCSA-2003-15268; FMCSA-2005-20027; FMCSA-2005-21254;
FMCSA-2007-27897, using any of the following methods:
     Federal eRulemaking Portal: Go to http://www.regulations.gov. Follow the on-line instructions for submitting
comments.
     Mail: Docket Management Facility; U.S. Department of
Transportation, 1200 New Jersey Avenue, SE., West Building Ground
Floor, Room W12-140, Washington, DC 20590-0001.
     Hand Delivery or Courier: West Building Ground Floor, Room
W12-140, 1200 New Jersey Avenue, SE., Washington, DC, between 9 a.m.
and 5 p.m., Monday through Friday, except Federal Holidays.
     Fax: 1-202-493-2251.
    Instructions: Each submission must include the Agency name and the
docket number for this notice. Note that DOT posts all comments
received without change to http://www.regulations.gov, including any
personal information included in a comment. Please see the Privacy Act
heading below.
    Docket: For access to the docket to read background documents or
comments, go to http://www.regulations.gov at any time or Room W12-140
on the ground level of the West Building, 1200 New Jersey Avenue, SE.,
Washington, DC, between 9 a.m. and 5 p.m., Monday through Friday,
except Federal holidays. The Federal Docket Management System (FDMS) is
available 24 hours each day, 365 days each year. If you want
acknowledgment that we received your comments, please include a self-
addressed, stamped envelope or postcard or print the acknowledgement
page that appears after submitting comments on-line.
    Privacy Act: Anyone may search the electronic form of all comments
received into any of our dockets by the name of the individual
submitting the comment (or of the person signing the comment, if
submitted on behalf of an association, business, labor union, etc.).
You may review DOT's Privacy Act Statement for the FDMS published in
the Federal Register on January 17, 2008 (73 FR 3316), or you may visit
http://edocket.access.gpo.gov/2008/pdf/E8-785.pdf.

FOR FURTHER INFORMATION CONTACT: Elaine M. Papp, Chief, Medical
Programs,<PHONE_NUMBER><EMAIL_ADDRESS>FMCSA, Department of
Transportation, 1200 New Jersey Avenue, SE., Room W64-224, Washington,
DC 20590-0001. Office hours are from 8:30 a.m. to 5 p.m. Monday through
Friday, except Federal holidays.

SUPPLEMENTARY INFORMATION:

Background

    Under 49 U.S.C. 31136(e) and 31315, FMCSA may renew an exemption
from the vision requirements in 49 CFR 391.41(b)(10), which applies to
drivers of CMVs in interstate commerce, for a two-year period if it
finds ``such exemption would likely achieve a level of safety that is
equivalent to or greater than the level that would be achieved absent
such exemption.'' The procedures for requesting an exemption (including
renewals) are set out in 49 CFR part 381.

Exemption Decision

    This notice addresses 19 individuals who have requested renewal of
their exemptions in accordance with FMCSA procedures. FMCSA has
evaluated these 19 applications for renewal on their merits and decided
to extend each exemption for a renewable two-year period. They are:

Linda L. Billings
Joey E. Buice
John A. Chizmar
Weldon R. Evans
Richard L. Gagnebin
Orasio Garcia
Leslie W. Good
Chester L. Gray
James P. Guth
Britt D. Hazelwood
Gregory K. Lilly
Larry T. Morrison
Kenneth A. Reddick
Leonard Rice, Jr.
Juan M. Rosas
James T. Sullivan
Steven C. Thomas
Larry J. Waldner
Karl A. Weinert

    The exemptions are extended subject to the following conditions:
(1) That each individual has a physical examination every year (a) by
an ophthalmologist or optometrist who attests that the vision in the
better eye continues to meet the standard in 49 CFR 391.41(b)(10) and
(b) by a medical examiner who attests that the individual is otherwise
physically qualified under 49 CFR 391.41; (2) that each individual
provides a copy of the ophthalmologist's or optometrist's report to the
medical examiner at the time of the annual medical examination; and (3)
that each individual provide a copy of the annual medical certification
to the employer for retention in the driver's qualification file and
retains a copy of the certification on his/her person while driving for
presentation to a duly authorized Federal, State, or local enforcement
official. Each exemption will be valid for two years unless rescinded
earlier by FMCSA. The exemption will be rescinded if: (1) The person
fails to comply with the terms and conditions of the exemption; (2) the
exemption has resulted in a lower level of safety than was maintained
before it was granted; or (3) continuation of the exemption would not
be consistent with the goals and objectives of 49 U.S.C. 31136(e) and
31315.

Basis for Renewing Exemptions

    Under 49 U.S.C. 31315(b)(1), an exemption may be granted for no
longer than two years from its approval date and may be renewed upon
application for additional two year periods. In accordance with 49
U.S.C. 31136(e) and 31315, each of the 19 applicants has satisfied the
entry conditions for obtaining an exemption from the vision
requirements (63 FR 66226; 64 FR 16517; 64 FR 27027; 64 FR 51568; 65 FR
45817; 65 FR 77066; 66 FR 17743; 66 FR 30502; 66 FR 33990; 66 FR 41654;
66 FR 41656; 66 FR 48504; 68 FR 19598; 68 FR 33570; 68 FR 35772; 68 FR
37197; 68 FR 44837; 68 FR 48989; 68 FR 54775; 70 FR 2701; 70 FR 16887;
70 FR 30999; 70 FR 41811; 70 FR 42615; 70 FR 46567; 70 FR 53412; 72 FR
39879; 72 FR 40362; 72 FR 52421; 72 FR 52419; 72 FR 62896; 74 FR 34394;
74 FR 43221). Each of these 19 applicants has requested renewal of the
exemption and has submitted evidence showing that the vision in the
better eye continues to meet the standard specified at 49 CFR
391.41(b)(10) and that the vision impairment is stable. In addition, a
review of each record of safety while driving with the respective
vision deficiencies over the past two years indicates each applicant
continues to meet the vision exemption standards. These factors provide
an adequate basis for predicting each driver's ability to continue to
drive safely in interstate commerce. Therefore, FMCSA concludes that
extending the exemption for each renewal applicant for a period of two
years is likely to achieve a level of safety equal to that existing
without the exemption.

Request for Comments

    FMCSA will review comments received at any time concerning a
particular driver's safety record and determine if the continuation of
the exemption is consistent with the requirements at 49 U.S.C. 31136(e)
and 31315. However, FMCSA requests that interested parties with
specific data concerning the safety records of these drivers submit
comments by October 7, 2011.

    FMCSA believes that the requirements for a renewal of an exemption
under 49 U.S.C. 31136(e) and 31315 can be satisfied by initially
granting the renewal and then requesting and evaluating, if needed,
subsequent comments submitted by interested parties. As indicated
above, the Agency previously published notices of final disposition
announcing its decision to exempt these 19 individuals from the vision
requirement in 49 CFR 391.41(b)(10). The final decision to grant an
exemption to each of these individuals was made on the merits of each
case and made only after careful consideration of the comments received
to its notices of applications. The notices of applications stated in
detail the qualifications, experience, and medical condition of each
applicant for an exemption from the vision requirements. That
information is available by consulting the above cited Federal Register
publications.
    Interested parties or organizations possessing information that
would otherwise show that any, or all, of these drivers are not
currently achieving the statutory level of safety should immediately
notify FMCSA. The Agency will evaluate any adverse evidence submitted
and if safety is being compromised or if continuation of the exemption
would not be consistent with the goals and objectives of 49 U.S.C.
31136(e) and 31315, FMCSA will take immediate steps to revoke the
exemption of a driver.

    Issued on: August 29, 2011.
Larry W. Minor,
Associate Administrator Office of Policy.
[FR Doc. 2011-22758 Filed 9-6-11; 8:45 am]
BILLING CODE 4910-EX-P