Section 12(b) Export Notification Application User Guide  -  Primary Authorized Official
Environmental Protection Agency
Office of Pollution Prevention and Toxics

Delivery Order #: GS00Q09BGD0022
Task Order #: GSQ0017AJ0034
Project #: TDD 9.21
Version 0.01
September 29, 2017

Table of Contents
Table of Contents	i
List of Exhibits	ii
Revision Log	iii
1	Introduction	1
2	System Requirements	2
2.1	Supported Browsers	2
2.2	Screen Resolution	2
3	Primary Authorized Official (AO) Functions	3
3.1	Log into Section 12(b) Application	4
3.2	Section 12(b) Home Screen Navigation	4
3.3	Submission History	5
3.4	Create Passphrase	7
3.5	Enter Passphrase	8
3.6	Action Bar	9
3.7	Upload Chemical(s) Using .CSV File	11
4	Export Notification	12
4.1	Create an Online Export Notification	12
4.2	Exporter Information	12
4.3	Exported Chemicals	14
4.4	Instructions for Substantiating Confidential Business Information (CBI) Claims	24
4.5	Review Submission Information	28
5	Preview	30
6	Validate	32
7	Submit to EPA via CDX	33
7.1	TSCA Certification	33
7.2	Submission Validation	33
7.3	PDF Generation	34
7.4	CROMERR Certification	35
7.5	eSignature Widget	36
7.6	Submission Finished	36
8	Download Copy of Record	38
9	Create an Amendment	39
10	Appendix A	40

List of Exhibits
Exhibit 3-1 Section 12(b) User Roles Matrix	3
Exhibit 3-2 Chemical Information Submission System Screen	4
Exhibit 3-3 Section 12(b) Home Screen	5
Exhibit 3-4 Section 12(b) Submission History Section	7
Exhibit 3-5 Create Passphrase Screen	8
Exhibit 3-6 Enter Passphrase Screen	9
Exhibit 3-7 Action Bar  -  Save	10
Exhibit 3-8 Action Bar  -  Preview	10
Exhibit 3-9 Action Bar  -  Validate	10
Exhibit 3-10 Action Bar  -  Submit	10
Exhibit 3-11 CDX Links	11
Exhibit 4-1 Exporter Information Screen (Scroll 1)	13
Exhibit 4-2 Exporter Information Screen (Scroll 2)	14
Exhibit 4-3 Exported Chemicals Screen  -  Countries to a Chemical (Scroll 1)	16
Exhibit 4-4 Exported Chemicals Screen  -  Countries to a Chemical (Scroll 2)	17
Exhibit 4-5 Exported Chemicals Screen  -  Chemicals to a Country (Scroll 1)	18
Exhibit 4-6 Exported Chemicals Screen  -  Chemicals to a Country (Scroll 2)	19
Exhibit 4-7 Search Substance Registry Services (SRS) Pop-Up Window	20
Exhibit 4-8 Add Chemical to Section 12(b) Window	21
Exhibit 4-9 Exported Chemicals Screen  -  Chemicals by Uploading a CSV File	22
Exhibit 4-10 Exported Chemicals Screen (Populated) (Scroll 1)	23
Exhibit 4-11 Exported Chemicals Screen (Populated) (Scroll 2)	24
Exhibit 4-12 Instructions for Substantiating CBI Claims Screen (Scroll 1)	26
Exhibit 4-13 Instructions for Substantiating CBI Claims Screen (Scroll 2)	27
Exhibit 4-14 Instructions for Substantiating CBI Claims Screen (Scroll 3)	27
Exhibit 4-15 Instructions for Substantiating CBI Claims Screen (Scroll 4)	28
Exhibit 4-16 Review Submission Information Screen	29
Exhibit 5-1 Preview Section 12(b) Export Notification PDF	31
Exhibit 6-1 Section 12(b) Export Notification Validation Window	32
Exhibit 7-1 TSCA Certification Screen	33
Exhibit 7-2 Submission Validation Screen	34
Exhibit 7-3 PDF Generation Screen	35
Exhibit 7-4 CROMERR Certification Window	35
Exhibit 7-5 eSignature Widget Window	36
Exhibit 7-6 Submission Finished Screen	37
Exhibit 8-1 Download Copy of Record Screen	38

Revision Log
                                     Date
                                  Version No.
                                  Description
                                    Author
                                   Reviewer
                                  Review Date
09/29/17
0.01
Initial Draft of OPPT Section 12(b) Export Notification Application User Guide  -  Primary Authorized Official
M. Griffin
J. Bronick
09/29/17

Introduction
This document presents the user guide for the Office of Pollution Prevention and Toxics (OPPT) Section 12(b) Export Notification submission process. This document is the user guide for the Primary Authorized Official of the Section 12(b) application.
The Section 12(b) application is the electronic, web-based tool provided by Environmental Protection Agency (EPA) for the submission of Section 12(b) data. As a Primary Authorized Official you can create, modify, and submit a Section 12(b) form. You can also delete Section 12(b) forms, create amendments, and download the Copy of Record (CoR).
For questions concerning the Toxic Substances Control Act (TSCA) Section 12(b) software requirements, please contact the Central Data Exchange (CDX) Help Desk at<EMAIL_ADDRESS>or call 1-888-890-1995 between the hours of 8 am  -  6 pm Eastern Standard Time (EST).
System Requirements
To use the Section 12(b) Export Notification application to submit a Section 12(b) form, the following are required:
   An e-mail account
   JavaScript enabled web browser
   Internet access
   Adobe Acrobat Reader 5.0 or higher
   CDX username and password
Supported Browsers
One of the following supported browsers is required to access the Section 12(b) application:
Vendor supported versions of Internet Explorer (IE) or Edge
      Go to the following link to download:
      https://support.microsoft.com/en-us/help/17621/internet-explorer-downloads
  Vendor supported versions of Mozilla Firefox
      Go to the following link to download:
      https://www.mozilla.org/en-US/firefox/new/
  Vendor supported versions of Safari
      Go to the following link to download:
      https://support.apple.com/downloads/
  Vendor supported versions of Google Chrome
      Go to the following link to download:
      http://www.google.com/chrome
Screen Resolution
Screen resolution should be set to 1024 x 768 or greater.
Primary Authorized Official (AO) Functions
This section describes how to:
   Access the application
   Navigate the Section 12(b) Export Notification `Home' screen
   Assign Supports to complete a form
   Start, complete, and submit a Section 12(b) Export Notification form
   Upload an extensible markup language (XML) file
   Download a Copy of Record
   Create an amendment
 The Primary AO is responsible for the submission of main forms. As a Primary AO, you can create a new form. You are also responsible for submitting amendments, unlocking submissions, and deleting forms. You can assign Supports (or other authorized individuals) to edit and complete a form on your behalf. The Primary AO can be thought of as a primary company authorized official, specifically in regards to any sponsored individuals.
You can save the form at any point during the data entry process. The save functionality allows you to return to that same form at any point in the future. You can print the form at any point; however, the `Not for Submission' watermark will be placed on the form anytime the form is printed prior to actual submission.
 Exhibit 3-1 displays a table of the user role capabilities within the Section 12(b) application:
Exhibit 3-1 Section 12(b) User Roles Matrix

Log into Section 12(b) Application
After you create an account in CDX, click the `Primary Authorized Official' link for the Chemical Safety and Pesticide Programs (CSPP) data flow to navigate to the `Chemical Information Submission System' screen.
Exhibit 3-2 shows a screen capture of the `Chemical Information Submission System' screen:
Exhibit 3-2 Chemical Information Submission System Screen

Navigation: To access the Section 12(b) `Home' screen, select `TSCA Section 12(b)' from the submission type drop-down menu and click the `OK' button.
Section 12(b) Home Screen Navigation
You can access the Section 12(b) `Home' screen by selecting `TSCA Section 12(b)' from the submission type drop-down menu on the `Chemical Information Submission System' screen and clicking the `OK' button.
The Section 12(b) `Home' screen is the first screen within the Section 12(b) application. It displays the `Quick Tasks,' `Useful Resources,' and `Submission History' panels. There is also a `Help' drop-down menu within the application header, which provides a link to the user guide.
There is a ten (10) minute logout timer for this application; the application will automatically log you out after ten minutes of inactivity and navigate you back to the CDX login screen.
Quick Tasks: Click the `Start Export Notification' button to create an online export notification, or click the `Upload CSV File' button to upload information in bulk.
Useful Resources: Click the links within the `Useful Resources' section.
Submission History: Modify or delete a Section 12(b) form using the `Submission History' section. For additional details about the `Submission History' panel, please refer to Section 3.3.
Exhibit 3-3 shows a screen capture of the Section 12(b) `Home' screen:
Exhibit 3-3 Section 12(b) Home Screen

Submission History
Only one Section 12(b) form is created per form alias, which helps differentiate between forms. Each column within the table of the `Submission History' screen can be sorted by clicking the individual column headers.
Start New Form: To create a new Section 12(b) Export Notification form, click the `Start Export Notification' button. You are required to create a passphrase that will be associated with that particular form. Make sure to create a passphrase that you will remember, as it cannot be retrieved or reset. Refer to Section 3.4 for further instructions on creating a passphrase.
Edit an `In Progress' Form: To modify an existing Section 12(b) Export Notification, click the `Form Alias' link for a form with a status of `In Progress.' You are required to enter the passphrase associated with that particular form to access and edit the form. It is possible for more than one user to modify a form simultaneously; the user that clicks the `Save' button first will have his/her changes saved.
Amend a `Submitted' Form: To edit an already submitted Section 12(b) form (i.e., to create an amendment), you must first unlock the particular submission by clicking the `Lock' icon () under the `Action' column. You will be required to enter the passphrase associated with that particular submission to gain access and continue amending the submission. All further changes that are made will be submitted as an amendment. Refer to Section 9 for further instructions on creating an amendment.
The `Submission History' section displays the following fields and columns of information:
# Entries Found: Displays the number of entries found under this user account for Section 12(b).
Submission Alias: Displays the form alias of a Section 12(b) form. Click the form alias link to navigate to the `Enter Passphrase' page and complete/edit a form.
Modification Date: Displays the date that a form was last modified.
Submission Date: Displays the date that a form was successfully submitted to EPA via CDX. This date populates only after the form has been submitted.
Status: Displays the status of a Section 12(b) form (either `In Progress,' `Submitted,' or `Completed').
Actions: Click the `Delete' icon () to delete an in-progress form. Click the `Lock' icon () to unlock a form for an amendment. The form remains unlocked until the form is resubmitted by the AO.
Export Options: Click the `XML,' `CSV,' `PDF,' or `Excel' button to download the `Submission History' table as an .xml, .csv, .pdf, or .xlsx file, respectively.

Exhibit 3-4 shows a screen capture of the Section 12(b) `Submission History' section:
Exhibit 3-4 Section 12(b) Submission History Section

Navigation: Click the `Start Export Notification' button to create a new Section 12(b) form and navigate to the `Create Passphrase' screen.
Create Passphrase
To start a new Section 12(b) form, click the `Start Export Notification' button on the Section 12(b) `Home' screen to navigate to the `Create Passphrase' screen, which allows you to create a passphrase and associate that passphrase with your newly created form.
The application uses the passphrase as an encryption key to protect the contents of the form. You are responsible for remembering the passphrase and distributing it to the appropriate individuals.
If you lose or forget your passphrase, you will not be able to access your Section 12(b) form to print, submit, or make changes. You will need to complete a new Section 12(b) form and create a new passphrase. For security reasons, the system administrator will not have access to your passphrase and will not be able to retrieve it or reset it.
New Passphrase: Enter a passphrase that is between 8 to 20 characters. For maximum security, your passphrase should contain a combination of letters and numbers. Your passphrase should not contain special characters (for example, +, ?, and *). As a Primary user, you are responsible for remembering your passphrase and distributing it to only authorized individuals. The passphrase is used as an encryption key to protect the contents of the form data.
Confirm Passphrase: Enter the same passphrase that was entered into the `New Passphrase' field. The same passphrase may be associated with multiple forms. The user can choose to have the same passphrase for all forms. Supports do not have the ability to start a new form or create a passphrase for a form.
Exhibit 3-5 shows a screen capture of the `Create Passphrase' screen:
Exhibit 3-5 Create Passphrase Screen

   Navigation: Create a passphrase and click the `Continue' button to navigate to the `Exporter Information' screen in a Section 12(b) Export Notification form.
Enter Passphrase
To edit a form, click the `Form Alias' link for a Section 12(b) form with a status of `In Progress.' The `Enter Passphrase' screen requires you to enter the passphrase that is associated with the form.
Submission Alias: Displays the form alias that is used to identify the form.
Enter Passphrase: Enter the passphrase that is associated with the form.

Exhibit 3-6 shows a screen capture of the `Enter Passphrase' screen:
Exhibit 3-6 Enter Passphrase Screen

Navigation: Enter the passphrase originally created and associated with the form and click the `Continue' button to navigate to the `Exporter Information' screen.
Action Bar
The action bar is located at the top and bottom of the form on each screen. You can perform the following functions using the top action bar:
Home: Click the `Home' link to navigate to the Section 12(b) `Home' screen.
Help: Click the `Help' link to generate a drop-down menu, which displays a link to the user guide.
User ID: Click the user ID link to log out of the application.
The following exhibits, Exhibit 3-7, Exhibit 3-8, Exhibit 3-9, and Exhibit 3-10, show screen captures for the bottom action bar:
Save: Click the `Save' link at any stage of completing a Section 12(b) form to save the form. To generate and access links to other pages of the form within the navigation tree, you must click the `Save' link within the action bar. After you click the `Save' link, you will receive a message indicating that all data entered in the form has been saved successfully. The save function does not validate any entered data. Click the `Previous' and `Next' buttons on a form to save the data entered within a form. Click the `X' button in the upper right-hand corner of the form in your browser to close the form without saving.
Exhibit 3-7 Action Bar  -  Save

Preview: Click the `Preview' link after uploading a minimum of one chemical to preview the form. After you click the `Preview' link, you will be given the option to view a regular version of the PDF(s) or a sanitized version of the PDF(s). Choosing either option will download (a) watermarked PDF version(s) of each chemical identified within the form in a .zip file.
Exhibit 3-8 Action Bar  -  Preview

Validate: Click the `Validate' link at any stage of completing a Section 12(b) Notice of Activity form. A `TSCA Section 12(b) Validation' window generates when you click the `Validate' link if you disable the pop-up blocker within your internet browser. The `Section 12(b) Validation' pop-up window displays a report of all warning messages. Refer to Section 6 for more information on validating a form.
Exhibit 3-9 Action Bar  -  Validate

Submit: Click the `Submit' link to submit a Section 12(b) form after completing all sections of a Section 12(b) form. After you click the `Submit' link a pop-up message displays to confirm the submission process. The form validates during the submission process and displays any applicable warning or error messages. Refer to Section 6 for further instructions on validation errors. You can continue with the submission process only after clearing all validation errors. Upon successful submission of the form, the application generates and sends an email indicating the successful submission of the form to the submitter's email address. Refer to Section 7 for more information on submitting a Section 12(b) Export Notification form.
Exhibit 3-10 Action Bar  -  Submit

CDX Links: Click any of the `CDX Links,' located at the bottom of each screen within the `CDX Links' drop-down menu, at any stage of completing a Section 12(b) form.
 Click the `CDX Homepage' link to navigate to the `CDX' homepage.
 Click the `MyCDX Homepage' link to navigate to the `MyCDX' page.
 Click the `EPA Homepage' link to navigate to the EPA Homepage.
 Click the `Terms and Conditions' link to navigate to the CDX Terms and Conditions screen.
 Click the `Privacy Notice' link to navigate to the CDX Privacy and Security Notice screen.
Exhibit 3-11 shows a screen capture of the action bar `CDX Links':
Exhibit 3-11 CDX Links

Upload Chemical(s) Using .CSV File
The `Upload CSV File' button displays on the  Section 12(b) `Home' screen within the `Quick Tasks' panel. Upon clicking this button you will be asked to create a passphrase before navigating to the `Exported Chemicals' screen within a newly created Section 12(b) Export Notification form. Refer to Section 3.4 for further information on the passphrase creation process.
`Chemicals by Uploading a CSV File' will be automatically selected within the `Add one or more' drop-down menu, thus displaying fields of information on uploading a .csv file. Refer to Section 4.3.4 for further information on uploading a .csv file within a Section 12(b) form. You will still have to complete all other parts of the Export Notification, including the `Exporter Information' screen, before being able to submit to EPA. Refer to Section 4 through Section 4.5 for the entire walkthrough of a Section 12(b) form.
Export Notification
Any company who exports or intends to export a chemical substance or mixture subject to certain TSCA regulations is required to notify EPA. Under TSCA Section 12(b), exporters are required to notify EPA of their intention to export a chemical substance or mixture regulated under certain parts of the law. EPA, in turn, provides information about such exported chemical and EPA's related regulatory actions, to the importing government.
Create an Online Export Notification
To create a new Export Notification form, navigate to the Section 12(b) `Home' screen and click the `Start Export Notification' button. Refer to Section 3.2 for additional details regarding the Section 12(b) `Home' screen.
Refer to Section 3.4 for additional details regarding the passphrase creation process.
Exporter Information
You can navigate to the `Exporter Information' screen by clicking the `Start Export Notification' button and creating a new passphrase, or by accessing a Section 12(b) form that is `In Progress' and entering the passphrase associated with the selected form.
This screen displays two sections  -  `Submitter Information' and `Exporter Information.' You will also have the option to assign a `Submission Alias' to identify the form. A unique submission alias is helpful when a user or company has multiple forms and/or when you must differentiate between forms to the help desk. Upon navigating to the `Exporter Information' screen, the system auto-generates a default alias comprised of a form type in the following format: <12b-XX-XXXX>. This is a required field.
Submitter Information
The `Submitter Information' section of the `Exporter Information' screen displays the organization or individual preparing the Section 12(b) submission. This information is pre-populated from CDX registration. If the information listed is incorrect please make the appropriate edits to your user information in CDX registration.
CBI: Check this checkbox to claim the submitter information as CBI.
User Information: Displays the name, email address, and phone number of the submitter.
Organization: Displays the company's name, mailing address, city, state (if applicable), postal code, and country of the submitter.
Job Title (optional): Enter the submitter's job title.
Exporter Information
The `Exporter Information' section of the `Exporter Information' screen provides fields to input identifying information for the manufacturing or processing establishment that is exporting chemicals or mixtures outside the United States.
Copy Organization Information from Above?: Click this link to copy CDX registration information, as shown above within the `Submitter Information' section.
Company Name: Enter the company name of the exporter. This is a required field.
CBI: Check this checkbox to claim the company name as CBI.
Address Line 1: Enter line 1 of the address of the exporter. This is a required field.
CBI: Check this checkbox to claim the entire address as CBI.
Address Line 2 (optional): Enter line 2 of the address of the exporter, if applicable.
City: Enter the city of the exporter. This is a required field.
State: Enter the state of the exporter. This is a required field.
Postal Code: Enter the postal code of the exporter. This is a required field.
 Exhibit 4-1 shows a screen capture of the `Exporter Information' screen (Scroll 1):
Exhibit 4-1 Exporter Information Screen (Scroll 1)

 Exhibit 4-2 shows a screen capture of the `Exporter Information' screen (Scroll 2):
Exhibit 4-2 Exporter Information Screen (Scroll 2)

Navigation: Click the `Continue' button to navigate to the `Exported Chemicals' screen. You can also access this screen by clicking the `Exported Chemicals' link within the navigation header.
Exported Chemicals
You can navigate to the `Exported Chemicals' screen by clicking the `Continue' button from the `Exporter Information' screen, or by clicking the `Exported Chemicals' link within the navigation header.
This screen displays the `TSCA Section 12(b) Exported Chemicals Table' and the `Add Exported Chemicals' section.
The `Add Exported Chemicals' section within the `Exported Chemicals' screen displays a drop-down menu labeled `Add one or more.' Select one of the following from this drop-down menu  -  `Countries to a Chemical,' `Chemicals to a Country,' or `Chemicals by Uploading a CSV File.'
Add Exported Chemicals  -  Countries to a Chemical
  The following information is displayed when `Countries to a Chemical' is selected from the `Add one or more' drop-down menu:
Search SRS for 12(b) Chemicals or Create a New Chemical: Click this link to generate the `Search Substance Registry Services (SRS)' pop-up window. Refer to Section 4.3.3 for further information on adding a chemical using SRS.
   Upon adding a chemical using SRS, a new section will generate within the `Exported Chemicals' screen, labeled `Provide Chemical Details.' This section will be prepopulated with the identified chemical name and the following fields of information:
Chemical Name: Displays the chemical name of the chemical substance selected within the `Search Substance Registry Services (SRS)' pop-up window. This is a required field.
TSCA Section: Select the TSCA section for the identified chemical substance (either Section 4, Section 5, Section 5(a)(2), Section 5(b), Section 5(e), Section 6, Section 7, Section 5(a)(2)(e), or Section 5(f)). This is a required field.
Section 12(b) Category: Select the Section 12(b) category for the identified chemical substance. This is a required field. Refer to Appendix A for a list of categories that this drop-down menu provides.
Import Country: Select the country from the drop-down menu to which the chemical(s) are imported. Check the `CBI' checkbox next to this field to claim the import country as CBI. This is a required field.
Export Date or Intended Export Date: Click the calendar widget to select the anticipated or set date for export. Check the `CBI' checkbox next to this field to claim the export date as CBI. This is a required field.
Add Import Country and Export Date to Chemical: Click this button to add the selected country and date to the chemical, which will then be populated into the `List of Import Countries and Export Dates' panel.
Delete: Click the `Delete' icon () to remove an import country and export date entry from the `List of Import Countries and Export Dates' panel.
Add to Exported Chemicals Table: Once all countries and export dates have been added to the `List of Import Countries and Export Dates,' click this button to add this chemical substance to the `TSCA Section 12(b) Exported Chemicals Table.'
Cancel: Click this button to close the `Provide Chemical Details' section and the `List of Import Countries and Export Dates' without saving.

   Exhibit 4-3 shows a screen capture of the `Exported Chemicals' screen with `Countries to a Chemical' selected (Scroll 1):
Exhibit 4-3 Exported Chemicals Screen  -  Countries to a Chemical (Scroll 1)

   Exhibit 4-4 shows a screen capture of the `Exported Chemicals' screen with `Countries to a Chemical' selected (Scroll 2):
Exhibit 4-4 Exported Chemicals Screen  -  Countries to a Chemical (Scroll 2)

Add Exported Chemicals  -  Chemicals to a Country
 The following information is displayed when `Chemicals to a Country' is selected from the `Add one or more' drop-down menu:
Search SRS for 12(b) Chemicals or Create a New Chemical: Click this link to generate the `Search Substance Registry Services (SRS)' pop-up window. Refer to Section 4.3.3 for further information on adding a chemical using SRS.
   Upon adding a chemical using SRS, a new section will generate within the `Exported Chemicals' screen, labeled `Provide Chemical Details.' This section will be prepopulated with the identified chemical name and the following fields of information:
Import Country: Select the country from the drop-down menu to which the chemical(s) are imported. Check the `CBI' checkbox next to this field to claim the import country as CBI. This is a required field.
Export Date or Intended Export Date: Click the calendar widget to select the anticipated or set date for export. Check the `CBI' checkbox next to this field to claim the export date as CBI. This is a required field.
Chemical Name: Displays the chemical name of the chemical substance selected within the `Search Substance Registry Services (SRS)' pop-up window. This is a required field.
TSCA Section: Select the TSCA section for the identified chemical substance (either Section 4, Section 5, Section 5(a)(2), Section 5(b), Section 5(e), Section 6, Section 7, Section 5(a)(2)(e), or Section 5(f)). This is a required field.
Section 12(b) Category: Select the Section 12(b) category for the identified chemical substance. This is a required field. Refer to Appendix A for a list of categories that this drop-down menu provides.
Add Chemical to Import Country and Export Date: Click this button to add the identified chemical to the selected date and country, which will then be populated into the `List of Exported Chemicals' panel.
Delete: Click the `Delete' icon () to remove an import country and export date entry from the `List of Exported Chemicals' panel.
Add to Exported Chemicals Table: Once all chemicals have been added to the `List of Exported Chemicals,' click this button to add the chemical substance(s) to the `TSCA Section 12(b) Exported Chemicals Table.'
Cancel: Click this button to close the `Provide Chemical Details' section and the `List of Exported Chemicals' without saving.
   Exhibit 4-5 shows a screen capture of the `Exported Chemicals' screen with `Chemicals to a Country' selected (Scroll 1):
Exhibit 4-5 Exported Chemicals Screen  -  Chemicals to a Country (Scroll 1)

   Exhibit 4-6 shows a screen capture of the `Exported Chemicals' screen with `Chemicals to a Country' selected (Scroll 2):
Exhibit 4-6 Exported Chemicals Screen  -  Chemicals to a Country (Scroll 2)

Add Chemical using Substance Registry Services (SRS)
The `Search SRS for 12(b) Chemicals or Create New Chemical' link displays on the `Exported Chemicals' screen, when either `Countries to a Chemical' or `Chemicals to a Country' is selected from the `Add one or more' drop-down menu under the `Add Exported Chemicals' section.
Search SRS for 12(b) Chemicals or Create New Chemical: Click this button to generate the `Search Substance Registry Services (SRS)' pop-up window. You can search for the reported chemical(s) by either the `Chemical Name/Synonym' or the `Chemical Abstracts Service Registry Number (CASRN).' You can also limit the search to certain categories of Section 12(b).
The system allows you to save each chemical by clicking the `Add Chemical to Submission' button located at the bottom of the `Search Substance Registry Services (SRS)' pop-up window. Once you select the specified chemical substance and click the `Add Chemical to Submission' button, the chemical information populates into a generated section titled `Provide Chemical Details' within the `Exported Chemicals' screen.
   Chemical Name/Synonym: Select this radio button to search by the chemical name or synonym.
   CASRN: Select this radio button to search by the Chemical Abstracts Service Registry Number of the chemical; this field accommodates dashes.
   Limit search to: Select the appropriate category in this drop-down menu. Refer to Appendix A for a list of categories that this drop-down menu provides.
   Search SRS: Click the `Search SRS' button to search SRS using the entered search criteria.
   Add Chemical to Submission: Click the `Add Chemical to Submission' button to populate the chemical substance information into the `Exported Chemicals' screen.
   Close: Click the `Close' button to stop the process of adding chemical substance information and return to the `Exported Chemicals' screen.
   Create New Chemical: Click the `Create New Chemical' button to identify a new chemical. Refer to Section <IP_ADDRESS> for further information on creating a new chemical.
Exhibit 4-7 shows a screen capture of the `Search Substance Registry Services (SRS)' pop-up window:
Exhibit 4-7 Search Substance Registry Services (SRS) Pop-Up Window

Navigation: Click the `Add Chemical to Submission' button to populate the selected chemical into a generated section titled `Provide Chemical Details' within the `Exported Chemicals' screen. Click the `Close' button to close the window and return to the `Exported Chemicals' screen.
Create New Chemical
The `Create New Chemical' button displays on the `Search Substance Registry Services (SRS)' window to identify new chemicals.
   Create New Chemical: Click the `Create New Chemical' button to generate the `Add Chemical to Section 12(b)' window.
   Chemical Name: Enter the name of the identified chemical substance. This is a required field.
   Identifier: Enter the identifying number associated with the identified chemical substance. This is a required field.
   CASRN: Select this radio button if the identifier is a Chemical Abstracts Service Registry Number.
   PMN No.: Select this radio button if the identifier is a Premanufacture Notice number.
   Accession No.: Select this radio button if the identifier is an Accession number.
   Save New 12(b) Chemical: Click this button to populate the entered chemical information into the chemical fields within the `Exported Chemicals' screen.
   Close: Click the `Close' button to close the `Add Chemical to Section 12(b)' window without saving the entered data.
   Search SRS: Click this button to navigate back to the `Search Substance Registry Services (SRS)' window.
Exhibit 4-8 shows a screen capture of the `Add Chemical to Section 12(b)' window:
Exhibit 4-8 Add Chemical to Section 12(b) Window

Add Exported Chemicals  -  Chemicals by Uploading a CSV File
The following information is displayed when `Chemicals by Uploading a CSV File' is selected from the `Add one or more' drop-down menu:
example: Click this link to download an example of how the .csv file should be arranged.
The .csv file has a header in row 1.: Check this checkbox if the uploaded .csv file has a header in the first row.
Browse...: Click this button to search for and select a .csv file to upload.
Exhibit 4-9 shows a screen capture of the `Exported Chemicals' screen with `Chemicals by Uploading a CSV File' selected:
Exhibit 4-9 Exported Chemicals Screen  -  Chemicals by Uploading a CSV File

TSCA Section 12(b) Exported Chemicals Table
The `TSCA Section 12(b) Exported Chemicals Table' within the `Exported Chemicals' screen displays the following columns of information:
Chemical Name: Displays the name of the identified chemical.
Identifier: Displays the identifying number of the identified chemical.
TSCA Section: Displays the TSCA Section of the identified chemical.
Category: Displays the Section 12(b) category for the identified chemical.
Import Country: Displays the import country for the identified chemical.
Export Date: Displays the export date for the identified chemical.
Action: Click the `Delete' icon () to remove the identified chemical from the chemicals table.
Exhibit 4-10 shows a screen capture of the `Exported Chemicals' screen with chemicals populated within the `TSCA Section 12(b) Exported Chemicals Table' (Scroll 1):
Exhibit 4-10 Exported Chemicals Screen (Populated) (Scroll 1)

Exhibit 4-11 shows a screen capture of the `Exported Chemicals' screen with chemicals populated within the `TSCA Section 12(b) Exported Chemicals Table' (Scroll 2):
Exhibit 4-11 Exported Chemicals Screen (Populated) (Scroll 2)

Navigation: If any CBI claims were made, click the `Continue' button to navigate to the `Instructions for Substantiating Confidential Business Information (CBI) Claims' screen. If no CBI claims were made, click the `Continue' button to navigate to the `Review Submission Information' screen.
Instructions for Substantiating Confidential Business Information (CBI) Claims
EPA modified the electronic reporting applications for TSCA submissions to accept CBI substantiations for CBI claims made during the creation of electronic submissions. Other than information exempt from substantiation under TSCA Section 14(c)(2), users who wish to assert CBI claims for data within a submission must substantiate those claims at the time of submission as required by TSCA Section 14(c)(3).
You can access the `Instructions for Substantiating Confidential Business Information (CBI) Claims' screen by claiming information as CBI within a form and clicking the `Instructions for Substantiating CBI Claims' link within the navigation header. The link and screen will not generate until a CBI claim is made within a submission. Information claimed CBI must either be substantiated or claimed exempt pursuant to TSCA Section 14(c)(2) at the time of submission.
To substantiate a CBI claim, upload documentation asserting your claim(s) on the `Instructions for Substantiating CBI Claims' screen within the form. You may also opt-out of substantiation on the `Instructions for Substantiating CBI Claims' screen if, for example, you believe your CBI claim is exempt under TSCA Section 14(c)(2). Common exemption reasons can be found at https://www.epa.gov/tsca-cbi/what-information-include-cbi-substantiations. To opt-out of substantiation at the time of submission, all CBI claims within a submission must be exempt.
  Substantiation Opt-Out: Certain data claimed CBI may be exempt from substantiation at the time of submission. If all information contained within the submission was previously substantiated or you believe it to be exempt pursuant to TSCA Section 14(c)(2), check the `Substantiation Opt-Out' checkbox to generate the `Substantiation Opt-Out Reason' text box and hide the `File Upload' button. If a substantiation document is uploaded, checking the `Substantiation Opt-Out' checkbox clears the uploaded attachments. Either a substantiation opt-out reason or CBI substantiation document must be provided if a CBI claim is made in a submission.
  Substantiation Opt-Out Reason: Enter information explaining why you believe your CBI claim(s) to be exempt from substantiation. Either a substantiation opt-out reason within the text box or CBI substantiation document must be provided if a CBI claim is made in a submission.
  File Upload: Click the `File Upload' button to search your local machine and upload a file that contains your CBI substantiation. To overwrite an uploaded file, click the `File Upload' button again to search for and upload a new file. If the `Substantiation Opt-Out' checkbox is checked after you upload a file, the application will delete the uploaded file. Either a substantiation opt-out reason or CBI substantiation document must be provided if a CBI claim is made in a submission.
  Check if the Substantiation Document is CBI: If the uploaded substantiation document contains CBI, check the `Check if the Substantiation Document is CBI' checkbox to generate the `Sanitized Upload' button. A sanitized CBI substantiation document must be provided if the original substantiation document is claimed CBI.
  Sanitized Upload: Click the `Sanitized Upload' button to search your local machine and upload a file that contains your sanitized CBI substantiation. To overwrite an uploaded file, click the `Sanitized Upload' button again to search for and upload a new file. If the `Substantiation Opt-Out' checkbox is checked after you upload a file, the application will delete the uploaded sanitized file. A substantiation attachment must be provided if the original substantiation document is claimed CBI.
If you are unfamiliar with substantiating CBI claims or require assistance preparing substantiation documents, EPA offers a link to templates and other information for substantiating CBI claims on the `Instructions for Substantiating Confidential Business Information (CBI) Claims' screen. It is suggested that you right-click the link and open in a new tab or new window so you do not leave your submission as this may affect your saved data.

The following exhibits, Exhibit 4-12, Exhibit 4-13, Exhibit 4-14, and Exhibit 4-15, show screen captures of the `Instructions for Substantiating Confidential Business Information (CBI) Claims' screen:
Exhibit 4-12 Instructions for Substantiating CBI Claims Screen (Scroll 1)

Exhibit 4-13 Instructions for Substantiating CBI Claims Screen (Scroll 2)

Exhibit 4-14 Instructions for Substantiating CBI Claims Screen (Scroll 3)

Exhibit 4-15 Instructions for Substantiating CBI Claims Screen (Scroll 4)

Navigation: Click the `Continue' button to navigate to the `Review Submission Information' screen. You can also access this screen by clicking the `Review & Submit' link within the navigation header.
Review Submission Information
You can navigate to the `Review Submission Information' screen by clicking the `Continue' button from either the `Instructions for Substantiating Confidential Business Information (CBI) Claims' screen if any CBI claims were made, or the `Exported Chemicals' screen if no CBI claims were made. You can also access this screen by clicking the `Review & Submit' link within the navigation header.
This screen displays a summary of information that was entered throughout this form, including `Submitter Information,' `Exporter Information,' and a `List of Exported Chemicals.'
The following information is displayed within the `Review Submission Information' screen:
Submitter Name: Displays the name of the submitter.
Phone Number: Displays the phone number of the submitter.
Email Address: Displays the email address of the submitter.
Company Name: Displays the company name of the exporter.
Company Address: Displays the company address of the exporter.
List of Exported Chemicals: Displays a duplicate of the `TSCA Section 12(b) Exported Chemicals Table,' as shown within the `Exported Chemicals' screen.
   Exhibit 4-16 shows a screen capture of the `Review Submission Information' screen:
Exhibit 4-16 Review Submission Information Screen

   Navigation: Click the `Submit' button to begin the submission process. Refer to Section 7 for further information on the submission process.
Preview
The system provides the option to preview a form during the submission process. Click the `Preview' link, located within the bottom action bar, to preview a PDF file of the regular or sanitized version of the form. After you choose either the `Regular' or `Sanitized' PDF, the application generates a watermarked PDF draft of the form.
The watermark reads `Not For Submission' and displays across each page in the background. The form preview displays the entire form in a printable format. The preview functionality provides the flexibility to track the status of the form and see the entire form in a single viewpoint.

   Exhibit 5-1 shows a screen capture for the `Preview Section 12(b) Export Notification PDF' form:
Exhibit 5-1 Preview Section 12(b) Export Notification PDF

Validate
You can click the `Validate' link located within the bottom action bar at any stage of completing a Section 12(b) form. The `Section 12(b) Export Notification Validation' window displays when you click the `Validate' link. Disable the pop-up blocker within your internet browser so that the `Section 12(b) Export Notification Validation' window displays correctly. This validation window displays a report of all validation errors. During the validation process, the application validates each screen of the form to find missing and invalid data.
Validation Errors: Errors can be fixed by clicking the error link. The links will display the Screen Title Name (e.g., Exporter Information) and the associated error. After you click a link, the main application screen will display the section where the error occurred so you can easily fix the error. Once you have fixed the error(s), click the `Validate' link again to refresh the `Section 12(b) Export Notification Validation' window. If the information you fixed passes validation, the error will be removed from the validation window. You must fix all validation errors to submit the form to CDX successfully.
Click the `X' button located at the upper right-hand corner of the window to close the `Section 12(b) Export Notification Validation' window.
   Exhibit 6-1 shows a screen capture of the `Section 12(b) Export Notification Validation' window:
Exhibit 6-1 Section 12(b) Export Notification Validation Window

Submit to EPA via CDX
As a Primary AO, you have the ability to sign and submit a Section 12(b) Export Notification form to EPA via CDX. You can save your form at any point during the data entry process. Any assigned Supports for your form cannot submit the Section 12(b) form. The save functionality will allow you to return to that same form at any point in the future.
Once you complete all required information and correct all items failing validation, the system will allow the form to be successfully submitted.
TSCA Certification
Click the `Submit' button from the `Review Submission Information' screen to access the `TSCA Certification' screen.
   Exhibit 7-1 shows a screen capture of the `TSCA Certification' screen:
Exhibit 7-1 TSCA Certification Screen

Navigation: Click the `Confirm' button to certify regarding the contents of the form and navigate to the `Submission Validation' screen.
Submission Validation
Click the `Confirm' button from the `TSCA Certification' screen to access the `Submission Validation' screen. If no validation errors are found, you will be able to continue with the submission process. If any validation errors are found, you will have to correct those errors before continuing with submission. Refer to Section 6 for further information on the validation process.

   Exhibit 7-2 shows a screen capture of the `Submission Validation' screen:
Exhibit 7-2 Submission Validation Screen

Navigation: Click the `PDF Generation' button to continue to the `PDF Generation' screen. A pop-up window will display informing you that a regular and sanitized PDF will be made. Click the `OK' button to navigate to the `PDF Generation' screen.
PDF Generation
Click the `PDF Generation' button from the `Submission Validation' screen to access the `PDF Generation' screen.

   Exhibit 7-3 shows a screen capture of the `PDF Generation' screen:
Exhibit 7-3 PDF Generation Screen

Navigation: Click the `Regular PDF' button to generate a regular version of the Section 12(b) PDF. Click the `Sanitized PDF' button to generate a sanitized version of the Section 12(b) PDF. Click the `Sign, Encrypt and Submit' button to begin the CROMERR certification process.
CROMERR Certification
Click the `Sign, Encrypt and Submit' button from the `PDF Generation' screen to generate the `CROMERR Certification' window.
   Exhibit 7-4 shows a screen capture of the `CROMERR Certification' window:
Exhibit 7-4 CROMERR Certification Window

Navigation: Click the `Accept' button to agree to the certification statement and generate the `eSignature Widget.'
eSignature Widget
Click the `Accept' button on the `CROMERR Certification' window to accept the certification statement and generate the `eSignature Widget.' The `eSignature Widget' will prompt for the CDX login password and an answer to one of your security questions. Click the `Sign' button on the `eSignature Widget' to navigate to the `Submission Finished' screen.
   Exhibit 7-5 shows a screen capture of the `eSignature Widget' window:
Exhibit 7-5 eSignature Widget Window

Navigation: Click the `Sign' button on the `eSignature Widget' to navigate to the `Submission Finished' screen.
Submission Finished
Click the `Sign' button on the `eSignature Widget' to navigate to the `Submission Finished' screen.

   Exhibit 7-6 shows a screen capture of the `Submission Finished' screen:
Exhibit 7-6 Submission Finished Screen

Navigation: Click the `Home' button to navigate back to the Section 12(b) `Home' screen.
Download Copy of Record
To download a Copy of Record, navigate to the Section 12(b) `Home' screen and locate a form alias for which you have successfully completed a submission and which has a status of `Completed.'
Click the `Copy of Record' icon () from the `Submission History' section of the Section 12(b) `Home' screen to navigate to the `Enter Passphrase' screen to login into CDX. The `Enter Passphrase' screen requires you to enter the passphrase originally associated with the form. If the passphrase is entered correctly, you will view the `CROMERR Certification' message where you can acknowledge the certification. Once you accept the certification, the `eSignature Widget' displays where you provide the correct CDX password, answer the 20-5-1 question, and click the `Sign' button. The copy of record .pdf files generate on the current page.
   Exhibit 8-1 shows a screen capture of the `Download Copy of Record' screen:
Exhibit 8-1 Download Copy of Record Screen

Navigation: The screen displays the `File Name,' `File Size,' and `Action' columns in a table format. Click the `Copy of Record' icon () to automatically download the .pdf file consisting of the individual regular or sanitized PDF.

Create an Amendment
To amend a submitted Section 12(b) form, navigate to the Section 12(b) `Home' screen and locate a submission that you previously submitted with a status of `Completed' within the `Submission History' table. In addition to displaying a status of `Completed' under the `Status' column, the `Lock' icon () will be displayed under the `Action' column. Click the `Lock' icon () under the `Action' column to start an amendment.
A pop-up window will appear after clicking the `Lock' icon (), confirming that you wish to begin the amendment process. After you click the `OK' button, you will be taken to the `Enter Passphrase' screen. You must enter the passphrase originally associated with the submission to start the amendment process. After you enter the passphrase and click the `Next' button, you will be taken to the first screen in the specific form. Refer to Section 3.5 for further instructions on the `Enter Passphrase' screen.
After a submission has been unlocked, the Section 12(b) `Submission History' screen will display a status of `In Progress' under the `Status' column, and the `Lock' icon () will no longer display under the `Action' column; however, you will not see these changes until you navigate back to the Section 12(b) `Submission History' screen. The only way to lock the submission again is by resubmitting it to EPA.
Refer to Section 4 through Section 4.5 for instructions on editing a revised Section 12(b) Export Notification form.

Appendix A
   The following is a list of the options available for the drop-down menu for a `Section 12(b) Category':
All 12(b) Categories
Perfluoroalkyl Sulfonates (PFAS)
Polychlorinated Biphenyls (PCBs)
Polybrominated Diphenyl Ethers
Substances contaminated with Halogenated Dibenzodioxins (HDDs)/ Halogenated Dibenzofurans (HDFs)
Hexavalent Chromium Water Treatment
Long Chain Perfluoroalkyl Carboxylate
Nitrites of Alkali Metals (Group IA elements)
N/A


[Federal Register Volume 86, Number 129 (Friday, July 9, 2021)]
[Rules and Regulations]
[Pages 36202-36205]
[FR Doc No: 2021-14690]

=======================================================================
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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2021-0542; Project Identifier MCAI-2021-00117-R;
Amendment 39-21641; AD 2021-14-14]
RIN 2120-AA64

Airworthiness Directives; Leonardo S.p.a. Helicopters

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule; request for comments.

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

SUMMARY: The FAA is adopting a new airworthiness directive (AD) for
certain Leonardo S.p.a. Model AW119 MKII helicopters. This AD was
prompted by reports of detected smoke and burning smell during flight,
caused by chafing of electrical wiring. This AD requires an inspection
of the instrument panel electrical wiring, corrective actions if
necessary, a modification of the wiring installation, and, for certain
helicopters, an additional modification of the wiring installation, 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 becomes effective July 26, 2021.
    The Director of the Federal Register approved the incorporation by
reference of a certain publication listed in this AD as of July 26,
2021.
    The FAA must receive comments on this AD by August 23, 2021.

ADDRESSES: You may send comments, using the procedures found in 14 CFR
11.43 and 11.45, by any of the following methods:
     Federal eRulemaking Portal: Go to https://www.regulations.gov. Follow the instructions for submitting comments.
     Fax:<PHONE_NUMBER>.
     Mail: U.S. Department of Transportation, Docket
Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue SE, Washington, DC 20590.
     Hand Delivery: Deliver to Mail address above between 9
a.m. and 5 p.m., Monday through Friday, except Federal holidays.
    For material incorporated by reference (IBR) in this AD, contact
the EASA, Konrad-Adenauer-Ufer 3, 50668 Cologne, Germany; phone: +49
221 8999 000; email<EMAIL_ADDRESS>internet: www.easa.europa.eu.
You may find this material on the EASA website at https://ad.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 in the AD
docket on the internet at https://www.regulations.gov by searching for
and locating Docket No. FAA-2021-0542.

Examining the AD Docket

    You may examine the AD docket at https://www.regulations.gov by
searching for and locating Docket No. FAA-2021-0542; 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 AD, any comments
received, and other information. The street address for Docket
Operations is listed above.

FOR FURTHER INFORMATION CONTACT: Hal Jensen, Aerospace Engineer,
Operational Safety Branch, Compliance & Airworthiness Division, FAA,
950 L'Enfant Plaza N SW, Washington, DC 20024; telephone (202) 267-
9167; email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Background

    The EASA, which is the Technical Agent for the Member States of the
European Union, has issued EASA AD 2021-0040, dated January 27, 2021
(EASA AD 2021-0040) (also referred to as the Mandatory Continuing
Airworthiness Information, or the MCAI), to correct an unsafe condition
for certain Leonardo S.p.a. Model AW119 MKII helicopters.
    This AD was prompted by reports of detected smoke and burning smell
during flight, caused by chafing of electrical wiring. The FAA is
issuing this AD to address detected smoke, burning smell during flight,
and chafing of electrical wiring, which could lead to further
occurrences of smoke in the cabin, or loss of function of avionics
equipment, and possibly result in reduced control of the helicopter.
See the MCAI for additional background information.

Related Service Information Under 1 CFR Part 51

    EASA AD 2021-0040 specifies procedures for an inspection of the
instrument panel electrical wiring for defects (including wire chafing;
pinched, broken, or severely bent wires; deteriorated, cracked or
missing wire shielding or insulation; and loose, corroded, or broken
wire connectors), corrective actions (repair or replacement of the
wiring and a pin to pin continuity

check on the repaired wiring) if necessary, a modification of the
wiring installation, and, for certain helicopters, an additional
modification of the wiring installation. 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 the
ADDRESSES section.

FAA's Determination

    This product has been approved by the aviation authority of another
country, and is approved for operation in the United States. Pursuant
to the FAA's bilateral agreement with the State of Design Authority,
the FAA has been notified of the unsafe condition described in the MCAI
referenced above. 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 products of the same type
design.

Requirements of This AD

    This AD requires accomplishing the actions specified in EASA AD
2021-0040, described previously, as incorporated by reference, except
for any differences identified as exceptions in the regulatory text of
this AD.

Explanation of Required Compliance Information

    In the FAA's ongoing efforts to improve the efficiency of the AD
process, the FAA initially worked with Airbus and EASA to develop a
process to use certain EASA ADs as the primary source of information
for compliance with requirements for corresponding FAA ADs. The FAA has
since coordinated with other manufacturers and civil aviation
authorities (CAAs) to use this process. As a result, EASA AD 2021-0040
is incorporated by reference in the FAA final rule. This AD will,
therefore, require compliance with EASA AD 2021-0040 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 the EASA AD 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
the EASA AD. Service information specified in EASA AD 2021-0040 that is
required for compliance with EASA AD 2021-0040 is available on the
internet at https://www.regulations.gov by searching for and locating
Docket No. FAA-2021-0542.

FAA's Justification 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 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 foregoing notice and comment prior to adoption of this rule
because of detected smoke, burning smell during flight, and chafing of
electrical wiring, which could lead to further occurrences of smoke in
the cabin, or loss of function of avionics equipment, and possibly
result in reduced control of the helicopter. In addition, the
compliance time for the inspection of the instrument panel electrical
wiring is within 25 hours time-in-service or 3 months, whichever occurs
first after the effective date of this AD, which is shorter than the
time necessary for the public to comment and for publication of the
final rule. Therefore, notice and opportunity for prior public comment
are impracticable and contrary to 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 forego
notice and comment.

Comments Invited

    The FAA invites you to send any written relevant data, views, or
arguments about this AD. Send your comments to an address listed under
ADDRESSES. Include ``Docket No. FAA-2021-0542; Project Identifier MCAI-
2021-00117-R'' at the beginning of your comments. The most helpful
comments reference a specific portion of the AD, 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
AD 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
https://www.regulations.gov, including any personal information you
provide. The agency will also post a report summarizing each
substantive verbal contact received about this AD.

Confidential Business Information

    CBI is commercial or financial information that is both customarily
and actually treated as private by its owner. Under the Freedom of
Information Act (FOIA) (5 U.S.C. 552), CBI is exempt from public
disclosure. If your comments responsive to this 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 Hal
Jensen, Aerospace Engineer, Operational Safety Branch, Compliance &
Airworthiness Division, FAA, 950 L'Enfant Plaza N SW, Washington, DC
20024; telephone<PHONE_NUMBER>; email<EMAIL_ADDRESS>Any
commentary that the FAA receives that is not specifically designated as
CBI will be placed in the public docket for this rulemaking.

Regulatory Flexibility Act (RFA)

    The requirements of the 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 notice and comment, RFA analysis is not required.

Costs of Compliance

    The FAA estimates that this AD affects 10 helicopters of U.S.
registry. The FAA estimates the following costs to comply with this AD:

                                      Estimated Costs for Required Actions
----------------------------------------------------------------------------------------------------------------
             Labor cost                Parts cost          Cost per  product           Cost on U.S.  operators
----------------------------------------------------------------------------------------------------------------
Up to 11 work[dash]hours x $85 per              $73  Up to $1,008.................  Up to $10,080.
 hour = $935.
----------------------------------------------------------------------------------------------------------------

    The FAA has received no definitive data on which to base the cost
estimates for the on-condition actions specified in this AD.
    According to the manufacturer, some or all of the costs of this AD
may be covered under warranty, thereby reducing the cost impact on
affected individuals. The FAA does not control warranty coverage for
affected individuals. As a result, the FAA has included all known costs
in the cost estimate.

Authority for This Rulemaking

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

Regulatory Findings

    The FAA determined that this AD would not have federalism
implications under Executive Order 13132. This 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 regulation:
    (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 adding the following new airworthiness
directive:

2021-14-14 Leonardo S.p.a.: Amendment 39-21641; Docket No. FAA-2021-
0542; Project Identifier MCAI-2021-00117-R.

(a) Effective Date

    This airworthiness directive (AD) becomes effective July 26,
2021.

(b) Affected ADs

    None.

(c) Applicability

    This AD applies to Leonardo S.p.a. Model AW119 MKII helicopters,
certificated in any category, as identified in European Union
Aviation Safety Agency (EASA) AD 2021-0040, dated January 27, 2021
(EASA AD 2021-0040).

(d) Subject

    Joint Aircraft System Component (JASC) Code 3197, Instrument
System Wiring.

(e) Unsafe Condition

    This AD was prompted by reports of detected smoke and burning
smell during flight, caused by chafing of electrical wiring. The FAA
is issuing this AD to address detected smoke, burning smell during
flight, and chafing of electrical wiring, which could lead to
further occurrences of smoke in the cabin, or loss of function of
avionics equipment, and possibly result in reduced 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 2021-0040.

(h) Exceptions to EASA AD 2021-0040

    (1) Where EASA AD 2021-0040 refers to its effective date, this
AD requires using the effective date of this AD.
    (2) The ``Remarks'' section of EASA AD 2021-0040 does not apply
to this AD.
    (3) Where EASA AD 2021-0040 refers to flight hours (FH), this AD
requires using hours time-in-service.
    (4) Where paragraph (2) of EASA AD 2021-0040 specifies actions
if ``any defect is found,'' for this AD a ``defect'' includes wire
chafing; pinched, broken, or severely bent wires; deteriorated,
cracked or missing wire shielding or insulation; and loose,
corroded, or broken wire connectors.
    (5) Where paragraph (1) of EASA AD 2021-0040 refers to ``the
instructions of Part I of the SB,'' for this AD, use ``the
instructions of Part I, paragraph 3. of the Accomplishment
Instructions of the SB.''
    (6) Where paragraph (2) of EASA AD 2021-0040 refers to ``the
instructions of Part I of the SB,'' for this AD, use ``the
instructions of Part I, paragraphs 4. and 5. of the Accomplishment
Instructions of the SB.''
    (7) Where paragraph (4) of EASA AD 2021-0040 refers to ``the
instructions of Part II of the SB,'' for this AD, use ``the
instructions of Part II, paragraph 1. of the Accomplishment
Instructions of the SB.''
    (8) Where the service information referenced in EASA AD 2021-
0040 specifies to contact Leonardo if the cargo hoist indicator
cable is damaged, this AD requires repair or replacement using a
method approved by the Manager, International Validation Branch,
FAA. The Manager's approval letter must specifically refer to this
AD.

(i) Special Flight Permit

    Special flight permits may be issued in accordance with 14 CFR
21.197 and 21.199 to operate the helicopter to a location where the
helicopter can be modified (if the operator elects to do so),
provided no passengers are onboard.

(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_ADDRESS>    (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 Hal Jensen,
Aerospace Engineer, Operational Safety Branch, Compliance &
Airworthiness Division, FAA, 950 L'Enfant Plaza N SW, Washington, DC
20024; telephone<PHONE_NUMBER>; email<EMAIL_ADDRESS>
(l) Material Incorporated by Reference

    (1) The Director of the Federal Register approved the
incorporation by reference (IBR) 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 2021-0040,
dated January 27, 2021.
    (ii) [Reserved]
    (3) For EASA AD 2021-0040, contact the EASA, Konrad-Adenauer-
Ufer 3, 50668 Cologne, Germany; phone: +49 221 8999 000; email:
<EMAIL_ADDRESS>internet: www.easa.europa.eu. You may find this
EASA AD on the EASA website at https://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>. This material may be
found in the AD docket on the internet at https://www.regulations.gov by searching for and locating Docket No. FAA-
2021-0542.
    (5) You may view this material that is incorporated by reference
at the National Archives and Records Administration (NARA). For
information on the availability of this material at NARA, email
<EMAIL_ADDRESS>or go to https://www.archives.gov/federal-register/cfr/ibr-locations.html.

    Issued on July 2, 2021.
Gaetano A. Sciortino,
Deputy Director for Strategic Initiatives, Compliance & Airworthiness
Division, Aircraft Certification Service.
[FR Doc. 2021-14690 Filed 7-7-21; 11:15 am]
BILLING CODE 4910-13-P


[Federal Register Volume 79, Number 224 (Thursday, November 20, 2014)]
[Notices]
[Pages 69168-69170]
[FR Doc No: 2014-27450]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-73600; File No. SR-ISEGemini-2014-28]

Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing
and Immediate Effectiveness of Proposed Rule Change To Amend the
Schedule of Fees

November 14, 2014.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that on November 3, 2014, ISE Gemini, LLC (the ``Exchange'' or ``ISE
Gemini'') 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 self-regulatory
organization. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of the
Substance of the Proposed Rule Change

    ISE Gemini is proposing to amend its Schedule of Fees to introduce
a new higher maker rebate for certain Market Maker orders. The text of
the proposed rule change is available on the Exchange's Internet Web
site at http://www.ise.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 self-regulatory organization 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 purpose of the proposed rule change is to amend the Schedule of
Fees to introduce a new higher maker rebate for certain Market Maker
\3\ orders. The Exchange's Schedule of Fees has separate tables for
fees applicable to Standard Options and Mini Options. The Exchange
notes that while the discussion below relates to fees for Standard
Options, the fees for Mini Options, which are not discussed below, are
and shall continue to be 1/10th of the fees for Standard Options.
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    \3\ The term Market Maker refers to ``Competitive Market
Makers'' and ``Primary Market Makers'' collectively. Market Makers
orders sent to the Exchange by an Electronic Access Member are
assessed fees and rebates at the same level as Market Maker orders.
See footnote 2, Schedule of Fees, Section I and II.
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    Currently, Market Maker orders that add liquidity on ISE Gemini are
provided a maker rebate in Penny Symbols \4\ and SPY of $0.30 per
contract for Tier 1, $0.32 per contract for Tier 2, $0.34 per contract
for Tier 3, $0.37 per contract for Tier 4, and $0.38 per contract for
Tier 5. In Non-Penny Symbols \5\ this maker rebate is $0.40 per
contract for Tier 1, $0.42 per contract for Tier 2, and $0.44 per
contract for Tier 3, $0.47 per contract for Tier 4, and $0.49 per
contract for Tier 5. In order to incentivize Market Makers to quote
more aggressively on ISE Gemini, the Exchange now proposes to provide a
higher maker rebate to Tier 2 members that meet an additional average
daily volume (``ADV'') threshold with respect to Market Maker orders
executed in a given month.\6\ In particular, Market Makers that achieve
Tier 2 and execute an ADV of 100,000 to 124,999 contracts in a given
month, including both maker and taker volume, will qualify for a maker
rebate of $0.33 per contract in Penny Symbols and SPY, and $0.43 per
contract in Non-Penny Symbols.
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    \4\ ``Penny Symbols'' are options overlying all symbols listed
on ISE Gemini that are in the Penny Pilot Program.
    \5\ ``Non-Penny Symbols'' are options overlying all symbols
excluding Penny Symbols.
    \6\ A Tier 2 member is a member that executes a Total Affiliated
Member ADV of 50,000 to 124,999 contracts, Priority Customer Maker
ADV of 20,000 to 49,999 contracts, or a Total Affiliated Member ADV
of 40,000 to 99,999 contracts with a minimum Priority Customer Maker
ADV of 15,000 contracts.

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2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with the provisions of Section 6 of the Act,\7\ in general, and Section
6(b)(4) of the Act,\8\ in particular, in that it is designed to provide
for the equitable allocation of reasonable dues, fees, and other
charges among its members and other persons using its facilities.
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    \7\ 15 U.S.C. 78f.
    \8\ 15 U.S.C. 78f(b)(4).
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    The Exchange believes that the proposed fee change is reasonable
and equitable as the new maker rebate is designed to attract additional
volume from Market Makers that do not qualify for Tier 3 or higher
maker rebates. The Exchange believes that providing higher maker
rebates for orders executed by Market Makers that have achieved the
volume threshold for this new ``sub-tier'' will attract that order flow
to ISE Gemini, and thereby create additional liquidity to the benefit
of all market participants who trade on the Exchange. The Exchange
further believes that the proposed rule change is not unfairly
discriminatory as all Market Makers that achieve the new volume
threshold will receive the same maker rebate. The Exchange does not
believe that it is unfairly discriminatory to offer this higher rebate
only to Market Maker orders as Market Makers are subject to additional
requirements and obligations (such as quoting requirements) that other
market participants are not. Moreover, the Exchange believes that the
proposed fee change will encourage Market Makers to quote more
aggressively on the Exchange in order to qualify for the new maker
rebate, which will benefit all market participants.
    The Exchange notes that it has determined to charge fees and
provide rebates in Mini Options at a rate that is 1/10th the rate of
fees and rebates the Exchange provides for trading in Standard Options.
The Exchange believes it is reasonable and equitable and not unfairly
discriminatory to assess lower fees and rebates to provide market
participants an incentive to trade Mini Options on the Exchange. The
Exchange believes the proposed fees and rebates are reasonable and
equitable in light of the fact that Mini Options have a smaller
exercise and assignment value, specifically 1/10th that of a standard
option contract, and, as such, is providing fees and rebates for Mini
Options that are 1/10th of those applicable to Standard Options.

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

    In accordance with Section 6(b)(8) of the Act,\9\ the Exchange does
not believe that the proposed rule change will impose any burden on
intermarket or intramarket competition that is not necessary or
appropriate in furtherance of the purposes of the Act. To the contrary,
the Exchange believes that the proposed fee change will promote
competition as it is designed to allow ISE Gemini to better compete for
order flow by offering higher rebates to orders executed by Market
Makers that meet the new volume threshold for the new ``sub tier.'' The
Exchange operates in a highly competitive market in which market
participants can readily direct their order flow to competing venues.
In such an environment, the Exchange must continually review, and
consider adjusting, its fees to remain competitive with other
exchanges. For the reasons described above, the Exchange believes that
the proposed fee changes reflect this competitive environment.
---------------------------------------------------------------------------

    \9\ 15 U.S.C. 78f(b)(8).
---------------------------------------------------------------------------

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

    The Exchange has not solicited, and does not intend to solicit,
comments on this proposed rule change. The Exchange has not received
any unsolicited written comments from members or other interested
parties.

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

    The foregoing rule change has become effective pursuant to Section
19(b)(3)(A)(ii) of the Act,\10\ and subparagraph (f)(2) of Rule 19b-4
thereunder,\11\ because it establishes a due, fee, or other charge
imposed by ISE Gemini.
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    \10\ 15 U.S.C. 78s(b)(3)(A)(ii).
    \11\ 17 CFR 240.19b-4(f)(2).
---------------------------------------------------------------------------

    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. If the Commission
takes such action, the Commission shall institute proceedings to
determine whether the proposed rule should be approved or disapproved.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-ISEGemini-2014-28 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-ISEGemini-2014-28. 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 such 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-ISEGemini-2014-28, and
should be submitted on or before December 11, 2014.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\12\
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    \12\ 17 CFR 200.30-3(a)(12).

Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-27450 Filed 11-19-14; 8:45 am]
BILLING CODE 8011-01-P