[Federal Register Volume 79, Number 72 (Tuesday, April 15, 2014)]
[Notices]
[Pages 21316-21319]
[FR Doc No: 2014-08414]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-71911; File No. SR-FINRA-2014-017]

Self-Regulatory Organizations; Financial Industry Regulatory
Authority, Inc.; Notice of Filing and Immediate Effectiveness of a
Proposed Rule Change Relating to Reporting and Market Participant
Identifier Requirements for Alternative Trading Systems

April 9, 2014.
    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 April 3, 2014, Financial Industry Regulatory Authority, Inc.
(``FINRA'') 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 FINRA. FINRA has
designated the proposed rule change as constituting a ``non-
controversial'' rule change under paragraph (f)(6) of Rule 19b-4 under
the Act,\3\ which renders the proposal effective upon receipt of this
filing by the Commission. 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.
    \3\ 17 CFR 240.19b-4(f)(6).
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    FINRA is proposing to amend FINRA Rules 4552, 6160, 6170, 6480, and
6720 to revise the reporting and market participant identifier
(``MPID'') requirements applicable to alternative trading systems
(``ATSs'').
    Below is the text of the proposed rule change. Proposed new
language is in italics; proposed deletions are in brackets.\4\
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    \4\ The rule text is shown to include the amendments approved by
the Commission in SR-FINRA-2013-042. See Securities Exchange Act
Release No. 71341 (January 17, 2014), 79 FR 4213 (January 24, 2014)
(Approval Order).
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* * * * *

4000. FINANCIAL AND OPERATIONAL RULES

* * * * *

4500. BOOKS, RECORDS AND REPORTS

* * * * *

4550. ATS Reporting

* * * * *

4552. Alternative Trading Systems--Trading Information for Securities
Executed Within the Alternative Trading System

    (a) Within seven business days after the end of each week, each
member that operates an ATS that has filed a Form ATS with the SEC
shall report to FINRA, in such format as FINRA may require, the
aggregate weekly Trading Information for each NMS stock[,] and OTC
Equity Security [and TRACE-Eligible Security] executed within each such
ATS operated by the member during the previous week.
    (b) No Change.
    (c) When calculating and reporting the volume of securities traded
and the number of trades, an ATS shall include only those trades
executed within the ATS. If two orders are crossed by the ATS, the
volume shall include only the number of shares [or par value of bonds]
crossed as a single trade (e.g., crossing a buy order of 1,000 shares
with a sell order of 1,000 shares would be calculated as a single trade
of 1,000 shares of volume).
    (d) Definitions
    For purposes of this Rule, the term:
    (1) through (2) No Change.
    (3) ``OTC Equity Security'' has the same meaning as that term is
defined in Rule 6420; and
    (4) [``TRACE-Eligible Security'' has the same meaning as that term
is defined in Rule 6710; and]
    [(5)] ``Trading Information'' includes:
    (A) the number of shares of each NMS stock or OTC Equity Security
executed within an ATS [alternative trading system]; and
    [(B) the par value of each TRACE-Eligible Security executed within
an alternative trading system; and]
    ([C]B) the number of trades in a security executed within an
[alternative trading system] ATS.

   Supplementary Material: --------

.01 No Change.
* * * * *

6000. QUOTATION AND TRANSACTION REPORTING FACILITIES

6100. QUOTING AND TRADING IN NMS STOCKS

* * * * *

6160. Multiple MPIDs for Trade Reporting Facility Participants

    (a) through (b) No Change.
    (c) Except as set forth in paragraph (d), a [A] Trade Reporting
Facility Participant that operates an alternative trading system
(``ATS''), as that term is defined in Rule 300 of SEC Regulation ATS,
must obtain a single, separate MPID for each such ATS designated for
exclusive use for reporting each ATS's transactions. The member must
use such separate MPID to report all transactions executed within the
ATS to a Trade Reporting Facility (or Facilities). The member shall not
use such separate MPID to report any transaction that is not executed
within the ATS. Any member that operates multiple ATSs must obtain a
separate MPID for each ATS. Members must have policies and procedures
in place to ensure that trades reported with a separate MPID obtained
under this paragraph are restricted to trades executed within the ATS.
    (d) An ATS is permitted to use two separate MPIDs only if one MPID
is used exclusively for reporting transactions to TRACE and the other
MPID is used exclusively for reporting transactions to the equity trade
reporting facilities (the Alternative Display Facility, the OTC
Reporting Facility, the FINRA/Nasdaq TRF, or the FINRA/NYSE TRF).

   Supplementary Material: --------

.01 through .02 No Change.

6170. Primary and Additional MPIDs for Alternative Display Facility
Participants

    (a) through (c) No Change.
    (d) Except as set forth in paragraph (e), a [A] member reporting
trades to the ADF that operates an alternative trading system
(``ATS''), as that term is defined in Rule 300 of SEC Regulation ATS,
must obtain a single, separate MPID for each such ATS designated for
exclusive use for reporting each ATS's transactions. The member must
use such separate MPID to report all transactions executed within the
ATS to the ADF. The member shall not use such separate MPID to report
any transaction that is not executed within the ATS. Any member that
operates multiple ATSs must obtain a separate MPID for each ATS.
Members must have policies and procedures in place to ensure that
trades reported with a separate MPID obtained under this paragraph are
restricted to trades executed within the ATS.
    (e) An ATS is permitted to use two separate MPIDs only if one MPID
is used exclusively for reporting transactions to TRACE and the other
MPID is used exclusively for reporting transactions to the equity trade
reporting facilities (the Alternative Display Facility, the OTC
Reporting Facility, the FINRA/Nasdaq TRF, or the FINRA/NYSE TRF).

   Supplementary Material: --------

.01 through .05 No Change.
* * * * *

6400. QUOTING AND TRADING IN OTC EQUITY SECURITIES

* * * * *

6480. Multiple MPIDs for Quoting and Trading in OTC Equity Securities

    (a) through (b) No Change.
    (c) Except as set forth in paragraph (d), a[A]n OTC Reporting
Facility Participant that operates an alternative trading system
(``ATS''), as that term is defined in Rule 300 of SEC Regulation ATS,
must obtain a single, separate MPID for each such ATS designated for
exclusive use for reporting each ATS's transactions. The member must
use such separate MPID to report all transactions executed within the
ATS to the OTC Reporting Facility. The member shall not use such
separate MPID to report any transaction that is not executed within the
ATS. Any member that operates multiple ATSs must obtain a separate MPID
for each ATS. Members must have policies and procedures in place to
ensure that trades reported with a separate MPID obtained under this
paragraph are restricted to trades executed within the ATS.
    (d) An ATS is permitted to use two separate MPIDs only if one MPID
is used exclusively for reporting transactions to TRACE and the other
MPID is used exclusively for reporting transactions to the equity trade
reporting facilities (the Alternative Display Facility, the OTC
Reporting Facility, the FINRA/Nasdaq TRF, or the FINRA/NYSE TRF).

   Supplementary Material: --------

.01 No Change.
* * * * *

6700. TRADE REPORTING AND COMPLIANCE ENGINE (TRACE)

* * * * *

6720. Participation in TRACE

    (a) through (b) No Change.
    (c) Alternative Trading Systems
    (1) Except as set forth in paragraph (2), a [A] TRACE Participant
that operates an alternative trading system (``ATS''), as that term is
defined in Rule 300 of SEC Regulation ATS, must obtain a single,
separate Market Participant Identifier (``MPID'') for each such ATS
designated for exclusive use for reporting each ATS's transactions. The
member must use such separate MPID to report all transactions executed
within the ATS to TRACE. The member shall not use such separate MPID to
report any transaction that is not executed within the ATS. Any member
that operates multiple ATSs must obtain a separate MPID for each ATS.
Members must have policies and procedures in place to ensure that
trades reported with a separate MPID obtained under this paragraph are
restricted to trades executed within the ATS.
    (2) An ATS is permitted to use two separate MPIDs only if one MPID
is used exclusively for reporting transactions to TRACE and the other
MPID is used exclusively for reporting transactions to the equity trade
reporting facilities (the Alternative Display Facility, the OTC
Reporting Facility, the FINRA/Nasdaq TRF, or the FINRA/NYSE TRF).
* * * * *

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

    In its filing with the Commission, FINRA 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. FINRA 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 the
Statutory Basis for, the Proposed Rule Change

1. Purpose
    On January 17, 2014, the SEC approved a proposed rule change to (i)
adopt FINRA Rule 4552 (Alternative Trading Systems--Trading Information
for Securities Executed Within the Alternative Trading System) to
require ATSs \5\ to report to FINRA weekly

volume information and number of trades regarding securities
transactions within the ATS; and (ii) amend FINRA Rules 6160, 6170,
6480, and 6720 to require each ATS to acquire and use a single, unique
MPID when reporting information to FINRA (``MPID Requirement'').\6\ The
implementation date for the reporting requirement under Rule 4552 is
May 12, 2014, and ATSs must use a single, unique MPID to report
information to FINRA beginning November 10, 2014.\7\
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    \5\ Regulation ATS defines an ``alternative trading system'' as
``any organization, association, person, group of persons, or
system: (1) That constitutes, maintains, or provides a market place
or facilities for bringing together purchasers and sellers of
securities or for otherwise performing with respect to securities
the functions commonly performed by a stock exchange within the
meaning of [Exchange Act Rule 3b-16]; and (2) That does not: (i) Set
rules governing the conduct of subscribers other than the conduct of
such subscribers' trading on such organization, association, person,
group of persons, or system; or (ii) Discipline subscribers other
than by exclusion from trading.'' 17 CFR 242.300(a). Rule 4552 and
the other amendments in the proposed rule change apply to any
alternative trading system, as that term is defined in Regulation
ATS, that has filed a Form ATS with the Commission.
    \6\ See Securities Exchange Act Release No. 71341 (January 17,
2014), 79 FR 4213 (January 24, 2014) (Approval Order).
    \7\ See Regulatory Notice 14-07 (February 2014).
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    The proposed rule change amends these new requirements in two ways
to address implementation questions that have arisen since the SEC's
approval of the new provisions as they relate to ATSs that trade debt
securities reportable to the Trade Reporting and Compliance Engine
(``TRACE'').\8\ First, the proposed rule change removes from the ATS
weekly reporting requirement in Rule 4552 transactions in TRACE-
Eligible Securities so that, as amended, Rule 4552 would require ATSs
to report only volume information in equity securities subject to FINRA
trade reporting requirements (i.e., NMS stocks and OTC Equity
Securities).\9\
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    \8\ Debt securities reportable to TRACE (``TRACE-Eligible
Securities'') are set forth in Rule 6710. See Rule 6710(a).
    \9\ The proposed rule change also replaces the phrase
``alternative trading system'' with the defined term ``ATS'' in Rule
4552(d).
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    Following discussions with multiple firms after the adoption of
Rule 4552 and a review of TRACE trade reporting guidance and practices,
FINRA believes that initially requiring ATSs to self-report volume
information for TRACE-Eligible Securities is not necessary and that
FINRA can confirm its ability to rely on TRACE data to calculate
reliable volume information once the MPID Requirement is in place
through targeted requests to firms rather than requiring weekly
reports. FINRA intends to continue to work with ATSs that trade TRACE-
Eligible Securities to confirm they are accurately and completely
reporting transaction information to TRACE, and FINRA expects to
request periodically that some ATSs provide the staff with their weekly
volume for TRACE-Eligible Securities. FINRA does not believe, however,
that it is necessary to require these ATSs to incur the costs necessary
to report weekly volume information to FINRA pursuant to Rule 4552 when
FINRA can obtain more targeted data by working directly with firms.
    Moreover, because ATS volume information regarding TRACE-Eligible
Securities will not be publicly disseminated at this time, FINRA
believes the costs to ATSs to comply with the reporting requirements of
Rule 4552 with respect to TRACE-Eligible Securities outweighs the
benefits of receiving the information on a weekly basis.\10\ FINRA is
not proposing to amend the reporting requirement for ATSs with respect
to equity data because of the need to ensure that the ATS equity data
that is publicly disseminated is consistent across ATSs.
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    \10\ See Rule 4552(b).
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    Second, the proposed rule change amends Rules 6160, 6170, 6480, and
6720 to permit an ATS that trades both TRACE-Eligible Securities and
equity securities (OTC Equity Securities or NMS stocks) to use two
MPIDs, rather than a single unique MPID, if each MPID is used
exclusively for either TRACE-Eligible Securities or equity securities.
As noted in SR-FINRA-2013-042, FINRA adopted the requirement that ATSs
acquire and use a single, unique MPID for reporting to FINRA to enable
FINRA to rely on trade reports to determine whether an ATS has reached
any of the volume thresholds in Regulation ATS, to allow FINRA to
calculate consistent and accurate volumes of ATS activity, and to
provide more granular information regarding ATS activity to FINRA's
market surveillance program. Because TRACE and the equity trade
reporting facilities (the Alternative Display Facility, the exchange
Trade Reporting Facilities, and the OTC Reporting Facility) operate
independently, a single ATS's use of two separate MPIDs does not impede
FINRA's ability to perform these calculations provided the use of each
MPID is limited to either TRACE or the equity trade reporting
facilities. Consequently, the proposed rule change would allow a single
ATS to use two MPIDs provided the use of each MPID is exclusively
limited to reporting to either TRACE or one or more of the equity trade
reporting facilities.
    FINRA has filed the proposed rule change for immediate
effectiveness. The implementation date of the proposed amendments to
Rule 4552 will be May 12, 2014. The implementation date of the proposed
amendments to Rules 6160, 6170, 6480, and 6720 will be November 10,
2014. FINRA will announce the implementation dates of the proposed rule
change no later than 60 days following Commission notice of the filing
of the proposed rule change for immediate effectiveness.
2. Statutory Basis
    FINRA believes that the proposed rule change is consistent with the
provisions of Section 15A(b)(6) of the Act,\11\ which requires, among
other things, that FINRA rules must be designed to prevent fraudulent
and manipulative acts and practices, to promote just and equitable
principles of trade, and, in general, to protect investors and the
public interest. FINRA believes that the proposed rule change will
enhance members' ability to comply with Rule 4552 and the amendments to
Rules 6160, 6170, 6480, and 6720 by alleviating some of the burdens
imposed by those rules without any detriment to FINRA's ability to
surveil for compliance with Regulation ATS or to calculate accurate
volume information for ATS trading activity.
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    \11\ 15 U.S.C. 78o-3(b)(6).
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B. Self-Regulatory Organization's Statement on Burden on Competition

    FINRA does not believe that the proposed rule change will result in
any burden on competition that is not necessary or appropriate in
furtherance of the purposes of the Act. The proposed rule change
provides for additional flexibility for ATSs that trade both debt
securities and equity securities and removes the self-reporting
obligation on ATSs that trade only debt securities.

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

    Written comments were neither solicited nor received.

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

    Because the foregoing proposed rule change does not: (i)
Significantly affect the protection of investors or the public
interest; (ii) impose any significant burden on competition; and (iii)
become operative for 30 days from the date on which it was filed, or
such shorter time as the Commission may designate, it has become
effective pursuant to Section

19(b)(3)(A) of the Act \12\ and Rule 19b-4(f)(6) thereunder.\13\
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    \12\ 15 U.S.C. 78s(b)(3)(A).
    \13\ 17 CFR 240.19b-4(f)(6).
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    In addition, Rule 19b-4(f)(6)(iii) requires a self-regulatory
organization to provide the Commission with written notice of its
intent to file the proposed rule change, along with a brief description
and text of the proposed rule change, at least five business days prior
to the date of filing of the proposed rule change, or such shorter time
as designated by the Commission. FINRA has requested that the
Commission waive the 5-day advance filing requirement. The Commission
hereby grants this request.\14\
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    \14\ The Commission notes that it was notified four days prior
to filing of this proposed rule change.
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    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission shall institute proceedings to
determine whether the proposed rule 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-FINRA-2014-017 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-FINRA-2014-017. 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 FINRA. 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-FINRA-2014-017, and should
be submitted on or before May 6, 2014.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\15\
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    \15\ 17 CFR 200.30-3(a)(12).
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Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-08414 Filed 4-14-14; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 80, Number 142 (Friday, July 24, 2015)]
[Rules and Regulations]
[Pages 43960-43964]
[FR Doc No: 2015-17664]

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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Part 52

[EPA-R01-OAR-2014-0842; A-1-FRL-9927-32-Region 1]

Approval and Promulgation of Air Quality Implementation Plans;
Connecticut; Prevention of Significant Deterioration and Nonattainment
New Source Review

AGENCY: Environmental Protection Agency (EPA).

ACTION: Direct final rule.

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SUMMARY: The Environmental Protection Agency (EPA) is taking direct
final action to fully approve revisions to the State of Connecticut's
State Implementation Plan (SIP) relating to regulation of fine
particulate matter (PM2.5) emissions within the context of
EPA's Prevention of Significant Deterioration (PSD) regulations. EPA is
also approving clarifications to the applicability section of
Connecticut's Nonattainment New Source Review (NNSR) regulations. These
revisions will be part of Connecticut's major stationary source
preconstruction permitting programs, and are intended to align
Connecticut's regulations with the federal PSD and NNSR regulations.
This action is being taken in accordance with the Clean Air Act (CAA).

DATES: This direct final rule will be effective September 22, 2015,
unless EPA receives adverse comments by August 24, 2015. If adverse
comments are received, EPA will publish a timely withdrawal of the
direct final rule in the Federal Register informing the public that the
rule will not take effect.

ADDRESSES: Submit your comments, identified by Docket ID Number EPA-
R01-OAR-2014-0842 by one of the following methods:
    1. www.regulations.gov: Follow the on-line instructions for
submitting comments.
    2. Email<EMAIL_ADDRESS>    3. Fax:<PHONE_NUMBER>.
    4. Mail: ``Docket Identification Number EPA-R01-OAR-2014-0842'',
Donald Dahl, U.S. Environmental Protection Agency, EPA New England
Regional Office, Office of Ecosystem Protection, Air Permits, Toxics,
and Indoor Programs Unit, 5 Post Office Square--Suite 100, (Mail code
OEP05-2), Boston, MA 02109-3912.
    5. Hand Delivery or Courier: Deliver your comments to: Donald Dahl,
U.S. Environmental Protection Agency, EPA New England Regional Office,
Office of Ecosystem Protection, Air Permits, Toxics, and Indoor
Programs Unit, 5 Post Office Square--Suite 100 (Mail code OEP05-2),
Boston, MA 02109-3912. Such deliveries are only accepted during the
Regional Office's normal hours of operation. The Regional Office's
official hours of business are Monday through Friday, 8:30 a.m. to 4:30
p.m., excluding legal holidays.
    Instructions: Direct your comments to Docket ID No. EPA-R01-OAR-
2014-0842. EPA's policy is that all comments received will be included
in the public docket without change and may be made available online at
www.regulations.gov, including any personal information provided,
unless the comment includes information claimed to be Confidential
Business Information (CBI) or other information whose disclosure is
restricted by statute. Do not submit through www.regulations.gov, or
email, information that you consider to be CBI or otherwise protected.
The www.regulations.gov Web site is an ``anonymous access'' system,
which means EPA will not know your identity or contact information
unless you provide it in the body of your comment. If you send an email
comment directly to EPA without going through www.regulations.gov your
email address will be automatically captured and included as part of
the comment that is placed in the public docket and made available on
the Internet. If you submit an electronic comment, EPA recommends that
you include your name and other contact information in the body of your
comment and with any disk or CD-ROM you submit. If EPA cannot read your
comment due to technical difficulties and cannot contact you for
clarification, EPA may not be able to consider your comment. Electronic
files should avoid the use of special characters, any form of
encryption, and be free of any defects or viruses.
    Docket: All documents in the electronic docket are listed in the
www.regulations.gov index. Although listed in the index, some
information may not publicly available, e.g., CBI or other information
whose disclosure is restricted by statute. Certain other material, such
as copyrighted material,

is not placed on the Internet and will be publicly available only in
hard copy form. Publicly available docket materials are available
either electronically in www.regulations.gov or in hard copy at U.S.
Environmental Protection Agency, EPA New England Regional Office,
Office of Ecosystem Protection, 5 Post Office Square--Suite 100,
Boston, MA. EPA requests that if at all possible, you contact the
contact listed in the FOR FURTHER INFORMATION CONTACT section to
schedule your inspection. The Regional Office's official hours of
business are Monday through Friday, 8:30 a.m. to 4:30 p.m., excluding
legal holidays.
    In addition, a copy of the state submittal is also available for
public inspection during normal business hours, by appointment at the
State Air Agency; the Bureau of Air Management, Department of Energy
and Environmental Protection, State Office Building, 79 Elm Street,
Hartford, CT 06106-1630.

FOR FURTHER INFORMATION CONTACT: Donald Dahl, U.S. Environmental
Protection Agency, EPA New England Regional Office, Office of Ecosystem
Protection, Air Permits, Toxics, and Indoor Programs Unit, 5 Post
Office Square--Suite 100, (Mail code OEP05-2), Boston, MA 02109-3912.
Mr. Dahl's telephone number is<PHONE_NUMBER>; email address:
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:
    Throughout this document whenever ``we,'' ``us,'' or ``our'' is
used, we mean EPA.
    Organization of this document. The following outline is provided to
aid in locating information in this preamble.

Table of Contents

I. What is the background for EPA's action?
II. What is EPA's analysis of Connecticut's proposed SIP revisions?
    A. Connecticut's September 27, 2012 SIP Submission
    B. Connecticut's October 9, 2012 SIP Submission
III. Final Action
IV. Incorporation by Reference
V. Statutory and Executive Order Reviews

I. What is the background for EPA's action?

    On September 27, 2012 and October 9, 2012, the State of
Connecticut's Department of Energy and Environmental Protection (CT
DEEP) submitted to EPA proposed formal revisions to Connecticut's State
Implementation Plan (SIP). The submitted SIP revisions consist of: (1)
Amendments to Connecticut's PSD regulations and tables to address
PM2.5 emissions; (2) a notice requirement to be provided to
states affected by emissions from major new or modified construction;
(3) one modified definition relating to the State's PSD program; (4)
language amending an existing section of the State's NNSR SIP
regulations for purposes of clarification; and (5) the addition of
PM2.5 in an emissions offset provision of the State's NNSR
regulations. Each of these revisions relates to requirements contained
in EPA's regulations codified at either 40 CFR 51.165 (NNSR) or 51.166
(PSD).

II. What is EPA's analysis of Connecticut's proposed SIP revisions?

    Connecticut is currently a SIP-approved state for all CAA major
stationary source preconstruction permitting programs, PSD and NNSR.
EPA's analysis of Connecticut's September 27, 2012 and October 9, 2012
submissions in relation to those federal programs appears below.

A. Connecticut's September 27, 2012 SIP Submission

    Connecticut's submission included sections 22a-174-2a(b)(5)(E) and
(b)(6) of its air program regulations. Those provisions clarify when
and which entities will receive from the CT DEEP a copy of the notice
of the State's ``tentative determination'' (or draft major stationary
source preconstruction permit). More specifically, Connecticut's SIP-
approved regulations had not previously contained a provision requiring
notice (prior to issuance of a PSD permit) to states whose air quality
may be affected by emissions from a major new or modified source. EPA
identified this missing requirement when determining whether
Connecticut's SIP met the affected state notification requirement in
CAA section 110(a)(2)(D)(ii) and 40 CFR 51.166(q)(2)(iv). On October
16, 2012, EPA conditionally approved Connecticut's infrastructure SIP
for the 1997 and 2006 PM2.5 standards. See 77 FR 63228. The
portion of the October 16, 2012 conditional approval addressed by the
State's September 27, 2012 SIP revision involved the requirement that
Connecticut notify other affected states prior to issuing a PSD permit.
    EPA has analyzed the submitted provisions and has determined that
they are consistent with EPA's regulations, including the requirement
at 40 CFR 51.166(q)(2)(iv) applicable to affected state notice.
Therefore, EPA is fully approving the revisions into Connecticut's SIP.

B. Connecticut's October 9, 2012 SIP Submission

    Connecticut's submission addresses PM2.5 emissions
requirements for PSD permitting by adding PM2.5 to several
sections of the State's SIP regulations. These sections are Section
22a-174-1 (definition of ``Major source baseline date'') and Tables
3a(i)-1 (Ambient Impact \1\), 3a(k)-1 (Significant Emission Rate
Thresholds) and 3a(k)-2 (PSD Increment) in Section 22a-174-3a.
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    \1\ The values contained in Connecticut's Ambient Impact table
correspond to EPA's Significant Impact Levels (SILs).
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    Connecticut's SIP-approved regulations had not previously contained
provisions that addressed PM2.5 requirements for PSD
permitting. EPA identified these missing requirements when determining
whether Connecticut's infrastructure SIP met the requirements of a
fully approved PSD program set forth in CAA sections 110(a)(2)(C),
(D)(i)(II) and (J). On October 16, 2012, EPA conditionally approved
Connecticut's infrastructure SIP for the 1997 and 2006 PM2.5
standards. See 77 FR 63228. The portion of EPA's October 16, 2012
conditional approval addressed by the State's October 9, 2012 SIP
revision submission involved establishing a Significant Emission Rate
Threshold for PM2.5 emissions and precursors to
PM2.5, PM2.5 increment, and adding
PM2.5 to the definition of ``Major source baseline date.''
    The October 9, 2012 submission also included revisions to
Connecticut's NNSR regulations. These revisions are to Section 22a-174-
3a(l)(1) (applicability), discussed in more detail below, and Section
22a-174-3a(l)(4)(B)(iv), adding PM2.5 to a list of
pollutants relevant to emissions offsets. We note, however, that
Connecticut currently does not have any PM2.5 nonattainment
areas.
    In EPA's ``Implementation of the New Source Review (NSR) Program
for Particulate Matter Less Than 2.5 Micrometers,'' Final Rule, 73 FR
28321 (May 16, 2008), EPA established a new significance level for
PM2.5 emissions. In EPA's ``Prevention of Significant
Deterioration (PSD) for Particulate Matter Less Than 2.5 Micrometers
(PM2.5)--Increments, Significant Impact Levels (SILs) and
Significant Monitoring Concentration (SMC),'' Final Rule, 75 FR 64864
(October 20, 2010), EPA established increments, SILs, and SMCs for
PM2.5 emissions. Both of these EPA rules required
Connecticut to amend their state regulations for permitting major new
and modified major

stationary sources in relation to the PM2.5 NAAQS.
    On January 22, 2013, the United States Court of Appeals for the
District of Columbia Circuit granted a request from EPA to vacate and
remand to EPA the portions of the PM2.5 PSD Increment-SILs-
SMC Rule (40 CFR 51.166(k)(2) and 40 CFR 52.21(k)(2)) addressing the
SILs for PM2.5 so that EPA could voluntarily correct an
error in these provisions. See Sierra Club v. EPA, 705 F.3d 458, 463-66
(D.C. Cir. 2013). The court declined to vacate the SILs provision at 40
CFR 51.165(b)(2) that did not contain that same error. Id. The Court
also vacated the part of the PM2.5 PSD Increment-SILs-SMC
Rule establishing the PM2.5 SMC for the PSD permitting
program, finding that EPA was precluded from using the PM2.5
SMC to exempt permit applicants from the statutory requirement to
compile and submit preconstruction monitoring data as part of a
complete PSD application. Id. at 469. On December 9, 2013, EPA issued a
final rulemaking to remove the vacated PM2.5 SILs provisions
and revising the existing PM2.5 SMC listed in 40 CFR
51.166(i)(5)(i)(c) to zero micrograms per cubic meter (0 [mu]g/m\3\).
See 78 FR 73698.
    Connecticut has never adopted an SMC for PM2.5 emissions
pursuant to 40 CFR 51.166(i)(5), which was vacated by the United States
Court of Appeals for the District of Columbia Circuit, because the
provision is an optional element of a state's program and Connecticut
chose not to include that element in its program. Connecticut's
regulations also do not contain provisions that address the SIL
provisions at 40 CFR 51.166(k)(2) vacated by the Court.
    EPA has analyzed the above-described amended sections of
Connecticut's regulations and has determined those sections are
consistent with the requirements codified at 40 CFR 51.166, and
therefore should be approved into Connecticut's SIP.
    Connecticut's October 9, 2012 submission also included amendments
to certain sections of the State's NNSR regulations. One change
affected section 22a-174-3a(l)(1) of Connecticut's regulations and was
adopted to clarify that the applicability of the State's NNSR
requirements is triggered in designated nonattainment areas by
emissions of the pollutant for which the area is designated
nonattainment.
    As noted earlier, Connecticut also added PM2.5 emissions
to a list of pollutants in section 22a-174-3a(l)(4)(B)(iv), which
addresses emission reduction credits. As also noted earlier, however,
Connecticut currently does not have any PM2.5 nonattainment
areas.
    EPA has analyzed the above-described amended sections of
Connecticut's regulations and has determined those sections are
consistent with the requirements codified at 40 CFR 51.165, and
therefore should be approved into Connecticut's SIP.
    The State's October 9, 2012 submission also included an amendment
to Table 3a(i)-1 of section 22a-174-3a, adding values for
PM2.5 Ambient Impact (these values are equivalent
conceptually to EPA's SILs). The State's October 9, 2012 submission
also included section 22a-174-3a(l)(l)(C), which requires sources to
undergo NNSR and permitting even though they are located in attainment
areas or areas that are unclassifiable, but only if the allowable
emissions from such sources would cause or exacerbate a violation of a
NAAQS in an adjacent nonattainment area. EPA is approving these two
revisions to Connecticut's SIP. In doing so, however, we note that
section 22a-174-3a(l)(l)(C) contains a reference to Table 3a(i)-1 of
section 22a-174-3a (the State's Ambient Impact values) and specifies
that if the modeled ambient impacts from a source's allowable emissions
would be below those impact values the NNSR permitting requirements of
section 22a-174-3a(l)(l)(C) would then not apply. EPA interprets this
provision to only apply in the state's NNSR permitting program to
determine whether a source locating in an attainment or unclassifiable
area will cause or exacerbate a violation of the NAAQS in an adjacent
nonattainment area and thus be subject to NNSR review under the
particular requirements of the Connecticut SIP. As this provision only
appears in the state's NNSR permitting rules, EPA does not interpret
this provision to apply in Connecticut's PSD permitting program to
determine whether a proposed new or modified source would cause or
contribute to a violation of the NAAQS anywhere. Thus, this narrowly
drafted NNSR applicability provision and the manner in which
Connecticut's regulation applies the ambient impact values from Table
3a(i)-1 in this provision are not in conflict with the DC Circuit
decision in Sierra Club v. EPA that vacated EPA's SIL provision at 40
CFR 51.166(k)(2). EPA views Section 22a-174-3a(l)(l)(C) as a NNSR
applicability provision that has no effect on Connecticut's PSD
permitting program, which still requires that a proposed new or
modified source locating in an attainment or unclassifiable area to
make an appropriate demonstration that it does not cause or contribute
to a violation of any NAAQS or increment. See Section 22a-174-3a(k) of
CT DEEP's regulations.

III. Final Action

    Pursuant to section 110 of the CAA, EPA is fully approving
Connecticut's September 27, 2012 and October 9, 2012 SIP revisions. The
EPA is publishing this action without prior proposal because the Agency
views this as a noncontroversial amendment and anticipates no adverse
comments. However, in the proposed rules section of this Federal
Register publication, EPA is publishing a separate document that will
serve as the proposal to approve the SIP revisions should relevant
adverse comments be filed. This rule will be effective September 22,
2015 without further notice unless the Agency receives relevant adverse
comments by August 24, 2015.
    If the EPA receives such comments, then EPA will publish a notice
withdrawing today's final rule and informing the public that the rule
will not take effect. All public comments received will then be
addressed in a subsequent final rule based on the proposed rule. The
EPA will not institute a second comment period on the proposed rule.
All parties interested in commenting on the proposed rule should do so
at this time. If no such comments are received, the public is advised
that this rule will be effective on September 22, 2015 and no further
action will be taken on the proposed rule. Please note that if EPA
receives adverse comment on an amendment, paragraph, or section of this
rule and if that provision may be severed from the remainder of the
rule, EPA may adopt as final those provisions of the rule that are not
the subject of an adverse comment.

IV. Incorporation by Reference

    In this rule, the EPA is finalizing regulatory text that includes
incorporation by reference. In accordance with requirements of 1 CFR
51.5, the EPA is finalizing the incorporation by reference of the State
of Connecticut Department of Energy and Environmental Protection
Regulations described in the amendments to 40 CFR part 52 set forth
below. The EPA has made, and will continue to make, these documents
generally available electronically through www.regulations.gov and/or
in hard copy at the appropriate EPA office (see the ADDRESSES section
of this preamble for more information).

V. Statutory and Executive Order Reviews

    Under the Clean Air Act, the Administrator is required to approve a
SIP submission that complies with the provisions of the Act and
applicable Federal regulations. 42 U.S.C. 7410(k); 40 CFR 52.02(a).
Thus, in reviewing SIP submissions, EPA's role is to approve state
choices, provided that they meet the criteria of the Clean Air Act.
Accordingly, this action merely approves state law as meeting Federal
requirements and does not impose additional requirements beyond those
imposed by state law. For that reason, this action:
     Is not a significant regulatory action subject to review
by the Office of Management and Budget under Executive Orders 12866 (58
FR 51735, October 4, 1993) and 13563 (76 FR 3821, January 21, 2011);
     does not impose an information collection burden under the
provisions of the Paperwork Reduction Act (44 U.S.C. 3501 et seq.);
     is certified as not having a significant economic impact
on a substantial number of small entities under the Regulatory
Flexibility Act (5 U.S.C. 601 et seq.);
     does not contain any unfunded mandate or significantly or
uniquely affect small governments, as described in the Unfunded
Mandates Reform Act of 1995 (Pub. L. 104-4);
     does not have Federalism implications as specified in
Executive Order 13132 (64 FR 43255, August 10, 1999);
     is not an economically significant regulatory action based
on health or safety risks subject to Executive Order 13045 (62 FR
19885, April 23, 1997);
     is not a significant regulatory action subject to
Executive Order 13211 (66 FR 28355, May 22, 2001);
     is not subject to requirements of Section 12(d) of the
National Technology Transfer and Advancement Act of 1995 (15 U.S.C. 272
note) because application of those requirements would be inconsistent
with the Clean Air Act; and
     does not provide EPA with the discretionary authority to
address, as appropriate, disproportionate human health or environmental
effects, using practicable and legally permissible methods, under
Executive Order 12898 (59 FR 7629, February 16, 1994).
    In addition, the SIP is not approved to apply on any Indian
reservation land or in any other area where EPA or an Indian tribe has
demonstrated that a tribe has jurisdiction. In those areas of Indian
country, the rule does not have tribal implications and will not impose
substantial direct costs on tribal governments or preempt tribal law as
specified by Executive Order 13175 (65 FR 67249, November 9, 2000).
    The Congressional Review Act, 5 U.S.C. 801 et seq., as added by the
Small Business Regulatory Enforcement Fairness Act of 1996, generally
provides that before a rule may take effect, the agency promulgating
the rule must submit a rule report, which includes a copy of the rule,
to each House of the Congress and to the Comptroller General of the
United States. EPA will submit a report containing this action and
other required information to the U.S. Senate, the U.S. House of
Representatives, and the Comptroller General of the United States prior
to publication of the rule in the Federal Register. A major rule cannot
take effect until 60 days after it is published in the Federal
Register. This action is not a ``major rule'' as defined by 5 U.S.C.
804(2).
    Under section 307(b)(1) of the Clean Air Act, petitions for
judicial review of this action must be filed in the United States Court
of Appeals for the appropriate circuit by September 22, 2015. Filing a
petition for reconsideration by the Administrator of this final rule
does not affect the finality of this action for the purposes of
judicial review nor does it extend the time within which a petition for
judicial review may be filed, and shall not postpone the effectiveness
of such rule or action. Parties with objections to this direct final
rule are encouraged to file a comment in response to the parallel
notice of proposed rulemaking for this action published in the proposed
rules section of today's Federal Register, rather than file an
immediate petition for judicial review of this direct final rule, so
that EPA can withdraw this direct final rule and address the comment in
the proposed rulemaking. This action may not be challenged later in
proceedings to enforce its requirements. (See section 307(b)(2).)

List of Subjects in 40 CFR Part 52

    Environmental protection, Air pollution control, Carbon monoxide,
Incorporation by reference, Intergovernmental relations, Lead, Nitrogen
dioxide, Ozone, Particulate matter, Reporting and recordkeeping, Sulfur
oxides, Volatile organic compounds.

    Dated: April 20, 2015.
H. Curtis Spalding,
Regional Administrator, EPA New England.

    Part 52 of chapter I, title 40 of the Code of Federal Regulations
is amended as follows:

PART 52--[AMENDED]

0
1. The authority citation for part 52 continues to read as follows:

    Authority: 42 U.S.C. 7401 et seq.

Subpart H--Connecticut

0
2. Section 52.370 is amended by adding paragraphs (c)(107) and (108) to
read as follows:

Sec.  52.370  Identification of plan

* * * * *
    (c) * * *
    (107) Revisions to the State Implementation Plan submitted by the
Connecticut Department of Energy and Environmental Protection on
September 27, 2012.
    (i) Incorporation by reference.
    (A) Regulations of Connecticut State Agencies Section 22a-174-
2a(b)(5) introductory text and Section 22a-174-2a(b)(5)(E), as
published in the Connecticut Law Journal on October 23, 2012, effective
September 10, 2012.
    (B) Regulations of Connecticut State Agencies Section 22a-174-
2a(b)(6), as published in the Connecticut Law Journal on October 23,
2012, effective September 10, 2012.
    (108) Revisions to the State Implementation Plan submitted by the
Connecticut Department of Energy and Environmental Protection on
October 9, 2012.
    (i) Incorporation by reference.
    (A) Regulations of Connecticut State Agencies Section 22a-174-
1(62), as published in the Connecticut Law Journal on October 16, 2012,
effective September 10, 2012.
    (B) Regulations of Connecticut State Agencies Section 22a-174-
3a(i), Table 3a(i)-1, published in the Connecticut Law Journal on
October 16, 2012, effective September 10, 2012.
    (C) Regulations of Connecticut State Agencies revisions to Section
22a-174-3a(k), Table 3a(k)-1, published in the Connecticut Law Journal
on October 16, 2012, effective September 10, 2012.
    (D) Regulations of Connecticut State Agencies revisions to Section
22a-174-3a(k), Table 3a(k)-2, published in the Connecticut Law Journal
on October 16, 2012, effective September 10, 2012.
    (E) Regulations of Connecticut State Agencies revisions to Section
22a-174-3a (l)(1), published in the Connecticut Law Journal on October
16, 2012, effective September 10, 2012.
    (F) Regulations of Connecticut State Agencies revisions to Section
22a-174-3a(l)(4)(B) introductory text and Section 22a-174-
3a(l)(4)(B)(iv), published in the Connecticut Law Journal on October
16, 2012, effective September 10, 2012.

0
3. In Sec.  52.385, Table 52.385 is amended by adding new entries to
existing state citations for 22a-174-1, 22a-174-2a, and 22a-174-3a to
read as follows:

Sec.  52.385  EPA-approved Connecticut regulations.

* * * * *

                                                         Table 52.385--EPA-Approved Regulations
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                 Dates
    Connecticut  State                             --------------------------------     Federal Register         Section
         citation               Title/subject        Date adopted    Date approved          citation             52.370          Comments/description
                                                       by State         by EPA
--------------------------------------------------------------------------------------------------------------------------------------------------------

                                                                      * * * * * * *
22a-174-1................  Definitions............       9/10/2012       7/24/2015  [Insert Federal                (c)(108)  Modified definition of
                                                                                Register citation].                      ``major source baseline
                                                                                date'' for purposes of
                                                                                adding PM2.5.

                                                                      * * * * * * *
22a-174-2a...............  Procedural Requirements       9/10/2012       7/24/2015  [Insert Federal                (c)(107)  Only sections 22a-174-
                            for New Source Review                                    Register citation].                      2a(b)(5)(E) and (b)(6) are
                            and Title V Permitting.                                                                           being approved.

                                                                      * * * * * * *
22a-174-3a...............  Permit to Construct and       9/10/2012       7/24/2015  [Insert Federal                (c)(108)  Added Ambient Impact values
                            Operate Stationary                                       Register citation].                      for PM2.5 in Table 3a(i)-
                            Sources.                                                                                1, Significant Emission
                                                                                Rate Thresholds for PM2.5
                                                                                emissions and its
                                                                                precursors in Table 3a(k)-
                                                                                1, PM2.5 increment added
                                                                                to Table 3a(k)-2, and
                                                                                PM2.5 added to section 22a-
                                                                                174-3a(l)(4)(B)(iv).
                                                                                Revised section 22a-174-
                                                                                3a(l)(1).

                                                                      * * * * * * *
--------------------------------------------------------------------------------------------------------------------------------------------------------

[FR Doc. 2015-17664 Filed 7-23-15; 8:45 am]
 BILLING CODE 6560-50-P


[Federal Register Volume 76, Number 197 (Wednesday, October 12, 2011)]
[Notices]
[Page 63341]
[FR Doc No: 2011-26454]

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

SECURITIES AND EXCHANGE COMMISSION

[File No. 500-1]

China-Biotics, Inc.; Order of Suspension of Trading

October 7, 2011.
    It appears to the Securities and Exchange Commission that there is
a lack of current and accurate information concerning the securities of
China-Biotics, Inc. (``China-Biotics'') because it has been delinquent
in its required periodic reports since February 2011. China-Biotics is
traded on the OTC Link under the ticker symbol CHBT.PK.
    The Commission is of the opinion that the public interest and the
protection of investors require a suspension of trading in the
securities of the above-listed company.
    Therefore, it is ordered, pursuant to Section 12(k) of the
Securities Exchange Act of 1934, that trading in the securities of the
above-listed company is suspended for the period from 9:30 a.m. EDT,
October 7, 2011 through 11:59 p.m. EDT, on October 20, 2011.

    By the Commission.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2011-26454 Filed 10-7-11; 4:15 pm]
BILLING CODE 8011-01-P


[Federal Register Volume 79, Number 43 (Wednesday, March 5, 2014)]
[Proposed Rules]
[Pages 12420-12423]
[FR Doc No: 2014-04893]

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

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2014-0127; Directorate Identifier 2013-NM-237-AD]
RIN 2120-AA64

Airworthiness Directives; The Boeing Company

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of proposed rulemaking (NPRM).

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

SUMMARY: We propose to adopt a new airworthiness directive (AD) for all
The Boeing Company Model 767 airplanes. This proposed AD was prompted
by reports of latently failed fuel shutoff valves discovered during
fuel filter replacement. This proposed AD would require revising the
maintenance or inspection program to include new airworthiness
limitations. We are proposing this AD to detect and correct latent
failures of the fuel shutoff valve to the engine, which could result in
the inability to shut off fuel to the engine and, in case of certain
engine fires, an uncontrollable fire that could lead to wing failure.

DATES: We must receive comments on this proposed AD by April 21, 2014.

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.

Examining the AD Docket

    You may examine the AD docket on the Internet at http://www.regulations.gov; 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 proposed AD, the regulatory
evaluation, any comments received, and other information. The street
address for the Docket Office (phone:<PHONE_NUMBER>) is in the ADDRESSES
section. Comments will be available in the AD docket shortly after
receipt.

FOR FURTHER INFORMATION CONTACT: Rebel Nichols, Aerospace Engineer,
Propulsion Branch, ANM-140S, FAA, Seattle Aircraft Certification
Office, 1601 Lind Avenue SW., Renton, WA 98057-3356; phone: (425) 917-
6509; fax:<PHONE_NUMBER>; email<EMAIL_ADDRESS>
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-2014-0127;
Directorate Identifier 2013-NM-237-AD'' at the beginning of your
comments. We specifically invite comments on the overall regulatory,
economic, environmental, and energy aspects of this proposed AD. We
will consider all comments received by the closing date and may amend
this proposed AD 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 reports of latently failed fuel shutoff valves
discovered during fuel filter replacement. Deficiencies in the valve
actuator design have resulted in latent failures of the fuel shutoff
valve to the engine. This condition, if not detected and corrected,
could result in latent failures of the fuel shutoff valve to the
engine, which could result in the inability to shut off fuel to the
engine and, in case of certain engine fires, an uncontrollable fire
that could lead to wing failure.

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 revising the maintenance or
inspection program to include new airworthiness limitations. The
airworthiness limitations would allow an operator to perform the
operational check as either a maintenance action or a flightcrew
action. The flightcrew or maintenance crew would monitor the engine
spar valve lights for a few seconds immediately after moving the engine
fuel condition levers. Flightcrews can perform this operational check
while starting the engine or while shutting down the engine.
Maintenance crews can do this operational check as a separate action
that does not require actual starting of the engine.
    This proposed AD would require revisions to certain operator
maintenance documents to include these new inspections. Compliance with
these inspections is required by section 91.403(c) of the Federal
Aviation Regulations (14 CFR 91.403(c)). For airplanes that have been
previously modified, altered, or repaired in the areas addressed by
these inspections, an operator might not be able to accomplish the
inspections described in the revisions. In this situation, to comply
with 14 CFR 91.403(c), the operator must request approval of an
alternative method of compliance (AMOC) in accordance with the
provisions of paragraph (i) of this proposed AD. The request should
include a description of changes to the proposed inspections that will
ensure the continued operational safety of the airplane.

Interim Action

    We consider this proposed AD interim action. The manufacturer is

currently developing a modification that will address the unsafe
condition identified in this proposed AD. Once this modification is
developed, approved, and available, we might consider additional
rulemaking.

Costs of Compliance

    We estimate that this proposed AD affects 450 airplanes of U.S.
registry.
    We estimate the following costs to comply with this proposed AD:

                                                 Estimated Costs
----------------------------------------------------------------------------------------------------------------
                                                                                Cost per       Cost on U.S.
              Action                        Labor cost            Parts cost        product         operators
----------------------------------------------------------------------------------------------------------------
Incorporating Airworthiness         1 work-hour x $85 per                  $0              $85          $38,250
 Limitation.                         hour = $85.
----------------------------------------------------------------------------------------------------------------

Authority for This Rulemaking

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

Regulatory Findings

    We determined that this 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. Amend Sec.  39.13 by adding the following new airworthiness
directive (AD):

The Boeing Company: Docket No. FAA-2014-0127; Directorate Identifier
2013-NM-237-AD.

(a) Comments Due Date

    We must receive comments by April 21, 2014.

(b) Affected ADs

    None.

(c) Applicability

    This AD applies to all The Boeing Company Model 767-200, -300, -
300F, and -400ER series airplanes, certificated in any category.

(d) Subject

    Joint Aircraft System Component (JASC) Code 2823, Fuel Selector/
Shut-off Valve.

(e) Unsafe Condition

    This AD was prompted by reports of latently failed fuel shutoff
valves discovered during fuel filter replacement. We are issuing
this AD to detect and correct latent failures of the fuel shutoff
valve to the engine, which could result in the inability to shut off
fuel to the engine and, in case of certain engine fires, an
uncontrollable fire that could lead to wing failure.

(f) Compliance

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

(g) Revision of Maintenance or Inspection Program

    Within 30 days after the effective date of this AD, revise the
maintenance or inspection program, as applicable, to add
airworthiness limitation numbers 28-AWL-ENG, 28-AWL-MOV, and 28-AWL-
APU, by incorporating the information specified in Figure 1, Figure
2, and Figure 3 to paragraph (g) of this AD into the Airworthiness
Limitations Section of the Instructions for Continued Airworthiness.
The initial compliance time for accomplishing the actions specified
in Figure 1, Figure 2, and Figure 3 to paragraph (g) of this AD is
within 7 days after accomplishing the maintenance or inspection
program revision required by this paragraph.

  Figure 1 to Paragraph (g) of This AD: Engine Shut-Off Valve (Fuel Spar Valve) Position Indication Operational
                                                      Check
----------------------------------------------------------------------------------------------------------------
      AWL Number            Task           Interval         Applicability                 Description
----------------------------------------------------------------------------------------------------------------
28-AWL-ENG...........  ALI..........  DAILY............  767-200, -300, and - Engine Shut-Off Valve (Fuel Spar
                                                          300F airplanes.      Valve) Position Indication
                                                                               Operational Check.
                                                                              Concern: The MOV actuator design
                                                                               can result in airplanes operating
                                                                               with a failed MOV actuator that
                                                                               is not reported. A latently
                                                                               failed MOV actuator could prevent
                                                                               fuel shut off to an engine. In
                                                                               the event of certain engine
                                                                               fires, the potential exists for
                                                                               an engine fire to be
                                                                               uncontrollable.

                                                                              Perform one of the following
                                                                               operational checks of the Fuel
                                                                               Spar Valve position indication
                                                                               (unless checked by the flight
                                                                               crew in a manner approved by the
                                                                               principal operations inspector):
                                                                              A. Operational Check during engine
                                                                               shutdown
                                                                              1. Do an operational check of the
                                                                               left engine fuel spar valve
                                                                               actuator.
                                                                              a. As the L FUEL CONTROL switch on
                                                                               the quadrant control stand is
                                                                               moved to the CUTOFF position,
                                                                               verify the left SPAR VALVE
                                                                               disagreement light on the
                                                                               quadrant control stand
                                                                               illuminates and then goes off.
                                                                              b. If the test fails (light fails
                                                                               to illuminate), before further
                                                                               flight, repair faults as required
                                                                               (refer to Boeing Airplane
                                                                               Maintenance Manual (AMM) 28-22-
                                                                               11).
                                                                              2. Do an operational check of the
                                                                               right engine fuel spar valve
                                                                               actuator.
                                                                              a. As the R FUEL CONTROL switch on
                                                                               the quadrant control stand is
                                                                               moved to the CUTOFF position,
                                                                               verify the right SPAR VALVE
                                                                               disagreement light on the
                                                                               quadrant control stand
                                                                               illuminates and then goes off.
                                                                              b. If the test fails (light fails
                                                                               to illuminate), before further
                                                                               flight, repair faults as required
                                                                               (refer to Boeing AMM 28-22-11).
                                                                              B. Operational check during engine
                                                                               start
                                                                              1. Do an operational check the
                                                                               left engine fuel spar valve
                                                                               actuator.
                                                                              a. As the L FUEL CONTROL switch on
                                                                               the quadrant control stand is
                                                                               moved to the RUN (or RICH)
                                                                               position, verify the left SPAR
                                                                               VALVE disagreement light on the
                                                                               quadrant control stand
                                                                               illuminates and then goes off.
                                                                              b. If the test fails (light fails
                                                                               to illuminate), before further
                                                                               flight, repair faults as required
                                                                               (refer to Boeing AMM 28-22-11).
                                                                              2. Do an operational check of the
                                                                               right engine fuel spar valve
                                                                               actuator.
                                                                              a. As the R FUEL CONTROL switch on
                                                                               the quadrant control stand is
                                                                               moved to the RUN (or RICH)
                                                                               position, verify the right SPAR
                                                                               VALVE disagreement light on the
                                                                               quadrant control stand
                                                                               illuminates and then goes off.
                                                                              b. If the test fails (light fails
                                                                               to illuminate), before further
                                                                               flight, repair faults as required
                                                                               (refer to Boeing AMM 28-22-11).
                                                                              C. Operational check without
                                                                               engine operation
                                                                              1. Make sure all fuel pump
                                                                               switches on the Overhead Panel
                                                                               are in the OFF position.
                                                                              2. If the APU is running, open and
                                                                               collar the L FWD FUEL BOOST PUMP
                                                                               (C00372) circuit breaker on the
                                                                               Main Power Distribution Panel.
                                                                              3. Make sure LEFT and RIGHT ENG
                                                                               FIRE switches on the Aft Aisle
                                                                               Stand are in the NORMAL (IN)
                                                                               position.
                                                                              4. Make sure L and R ENG STAR
                                                                               Selector Switches on the Overhead
                                                                               Panel are in the OFF position.
                                                                              5. For airplanes with PW4000
                                                                               series engines without SCU, make
                                                                               sure the EEC MAINT ``L ENG
                                                                               POWER'' and ``R ENG POWER''
                                                                               switches on the right side P61
                                                                               maintenance panel is in the
                                                                               ``NORM'' position.
                                                                              6. Do an operational check of the
                                                                               left engine fuel spar valve
                                                                               actuator.
                                                                              a. Move L FUEL CONTROL switch on
                                                                               the quadrant control stand to the
                                                                               RUN position and wait 10 seconds.
                                                                              NOTE: It is normal under this test
                                                                               condition for the ENG VALVE
                                                                               disagreement light on the
                                                                               quadrant control stand to stay
                                                                               illuminated.
                                                                              b. Move L FUEL CONTROL switch on
                                                                               the quadrant control stand to the
                                                                               CUTOFF position.
                                                                              c. Verify the left SPAR VALVE
                                                                               disagreement light on the
                                                                               quadrant control stand
                                                                               illuminates and then goes off.
                                                                              d. If the test fails (light fails
                                                                               to illuminate), before further
                                                                               flight, repair faults as required
                                                                               (refer to Boeing AMM 28-22-11).
                                                                              7. Operational check the right
                                                                               engine fuel spar valve actuator.
                                                                              a. Move R FUEL CONTROL switch on
                                                                               the quadrant control stand to the
                                                                               RUN position and wait 10 seconds.
                                                                              NOTE: It is normal under this test
                                                                               condition for the ENG VALVE
                                                                               disagreement light on the
                                                                               quadrant control stand to stay
                                                                               illuminated.
                                                                              b. Move R FUEL CONTROL switch on
                                                                               the quadrant control stand to the
                                                                               CUTOFF position.
                                                                              c. Verify the right SPAR VALVE
                                                                               disagreement light on the
                                                                               quadrant control stand
                                                                               illuminates and then goes off.
                                                                              d. If the test fails (light fails
                                                                               to illuminate), before further
                                                                               flight, repair faults as required
                                                                               (refer to Boeing AMM 28-22-11).
                                                                              8. If the L FWD FUEL BOOST PUMP
                                                                               circuit breaker was collared in
                                                                               step C.2., remove collar and
                                                                               close.
----------------------------------------------------------------------------------------------------------------

      Figure 2 to Paragraph (g) of This AD: Engine Shut-Off Valve (Fuel Spar Valve) MOV Actuator Inspection
----------------------------------------------------------------------------------------------------------------
    AWL Number        Task       Interval     Applicability                       Description
----------------------------------------------------------------------------------------------------------------
28-AWL-MOV.......  ALI......  10 DAYS......  767-400ER        Engine Shut-Off Valve (Fuel Spar Valve) MOV
                                              series           Actuator Inspection
                                              airplanes.
                                                              Concern: The MOV actuator design can result in
                                                               airplanes operating with a failed MOV actuator
                                                               that is not reported. A latently failed MOV
                                                               actuator would prevent fuel shutoff to an engine.
                                                               In the event of certain engine fires, the
                                                               potential exists for an engine fire to be
                                                               uncontrollable.
                                                              Perform an inspection of the Fuel Spar Valve MOV
                                                               Actuator position (refer to Boeing AMM 28-22-00).
                                                              NOTE: The Fuel Spar Valve MOV Actuator is located
                                                               behind latch panel 551 DB (left engine) and latch
                                                               panel 651 DB (right engine).
                                                              1. Make sure the Engine Control Switch is in the
                                                               CUTOFF position.
                                                              2. Inspect the left engine fuel spar valve
                                                               actuator located in the left rear spar.
                                                              a. Verify the manual override handle on the engine
                                                               fuel spar valve actuator is in the CLOSED
                                                               position.
                                                              b. Repair or replace any MOV actuator that is not
                                                               in the CLOSED position (refer to Boeing AMM 28-22-
                                                               11).
                                                              3. Inspect the right engine fuel spar valve
                                                               actuator located in the right rear spar.
                                                              a. Verify the manual override handle on the engine
                                                               fuel spar valve actuator is in the CLOSED
                                                               position.
                                                              b. Repair or replace any MOV actuator that is not
                                                               in the CLOSED position (refer to Boeing AMM 28-22-
                                                               11).
----------------------------------------------------------------------------------------------------------------

           Figure 3 to Paragraph (g) of This AD: APU Fuel Valve Position Indication Operational Check
----------------------------------------------------------------------------------------------------------------
    AWL Number        Task       Interval     Applicability                       Description
----------------------------------------------------------------------------------------------------------------
28[dash]AWL[dash]  ALI......  10 DAYS......  ALL............  APU Fuel Valve Position Indication Operational
 APU.                                                          Check
                                                              Concern: The MOV actuator design can result in
                                                               airplanes operating with a failed MOV actuator
                                                               that is not reported. A latently failed MOV
                                                               actuator could prevent fuel shut off to the APU.
                                                               In the event of certain APU fires, the potential
                                                               exists for an APU fire to be uncontrollable.
                                                              Perform the operational check of the APU Fuel
                                                               Valve position indication (unless checked by the
                                                               flight crew in a manner approved by the principal
                                                               operations inspector)
                                                              A. Do an operational check of the APU Fuel Valve
                                                               position indication.
                                                              1. If the APU is running, unload and shut down the
                                                               APU using standard practices.
                                                              2. Make sure the APU FIRE switch on the Aft Aisle
                                                               Stand is in the NORMAL (IN) position.
                                                              3. Make sure there is at least 1,000 lbs (500 kgs)
                                                               of fuel in the Left Main Tank.
                                                              4. Move APU Selector switch on the Overhead Panel
                                                               to the ON position and wait 10 seconds.
                                                              5. Move APU Selector switch on the Overhead Panel
                                                               to the OFF position.
                                                              6. Verify the APU FAULT light on the Overhead
                                                               Panel illuminates and then goes off.
                                                              7. If the test fails (light fails to illuminate),
                                                               before further flight requiring APU availability,
                                                               repair faults as required (refer to Boeing AMM 28-
                                                               25-02).
                                                              NOTE: Dispatch may be permitted per MMEL 28-25-02
                                                               if APU is not required for flight.
----------------------------------------------------------------------------------------------------------------

(h) No Alternative Actions and Intervals

    After accomplishment of the maintenance or inspection program
revision required by paragraph (g) of this AD, no alternative
actions (e.g., inspections) or intervals may be used unless the
actions or intervals are approved as an alternative method of
compliance (AMOC) in accordance with the procedures specified in
paragraph (i)(1) of this AD.

(i) Alternative Methods of Compliance (AMOCs)

    (1) The Manager, Seattle Aircraft Certification Office (ACO)
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 ACO, send it to the
attention of the person identified in paragraph (j) 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.

(j) Related Information

    For more information about this AD, contact Rebel Nichols,
Aerospace Engineer, Propulsion Branch, ANM-140S, FAA, Seattle
Aircraft Certification Office, 1601 Lind Avenue SW., Renton, WA
98057-3356; phone:<PHONE_NUMBER>; fax:<PHONE_NUMBER>; email:
<EMAIL_ADDRESS>
    Issued in Renton, Washington, on February 18, 2014.
Ross Landes,
Acting Manager, Transport Airplane Directorate, Aircraft Certification
Service.
[FR Doc. 2014-04893 Filed 3-4-14; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 83, Number 54 (Tuesday, March 20, 2018)]
[Proposed Rules]
[Pages 12143-12144]
[FR Doc No: 2018-05705]

========================================================================
Proposed Rules
                                                Federal Register
________________________________________________________________________

This section of the FEDERAL REGISTER contains notices to the public of
the proposed issuance of rules and regulations. The purpose of these
notices is to give interested persons an opportunity to participate in
the rule making prior to the adoption of the final rules.

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

Federal Register / Vol. 83, No. 54 / Tuesday, March 20, 2018 /
Proposed Rules

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

21 CFR Parts 117 and 507

[Docket No. FDA-2018-D-0671]

Determining the Number of Employees for Purposes of the ``Small
Business'' Definition in Parts 117 and 507: Draft Guidance for
Industry; Availability

AGENCY: Food and Drug Administration, HHS.

ACTION: Notification of availability.

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

SUMMARY: The Food and Drug Administration (FDA, the Agency, or we) is
announcing the availability of a draft guidance for industry describing
the Agency's current thinking on how to determine the number of
employees for purposes of the ``small business'' definition in the
Current Good Manufacturing Practice, Hazard Analysis, and Risk-Based
Preventive Controls for human and animal food rules. The draft
guidance, when finalized, will help industry subject to those rules
determine the number of employees for purposes of the ``small
business'' definition.

DATES: Submit either electronic or written comments on the draft
guidance by May 21, 2018 to ensure that the Agency considers your
comment on the draft guidance before it begins work on the final
version of the guidance.

ADDRESSES: You may submit comments on any guidance at any time as
follows:

Electronic Submissions

    Submit electronic comments in the following way:
     Federal eRulemaking Portal: https://www.regulations.gov.
Follow the instructions for submitting comments. Comments submitted
electronically, including attachments, to https://www.regulations.gov
will be posted to the docket unchanged. Because your comment will be
made public, you are solely responsible for ensuring that your comment
does not include any confidential information that you or a third party
may not wish to be posted, such as medical information, your or anyone
else's Social Security number, or confidential business information,
such as a manufacturing process. Please note that if you include your
name, contact information, or other information that identifies you in
the body of your comments, that information will be posted on https://www.regulations.gov.
     If you want to submit a comment with confidential
information that you do not wish to be made available to the public,
submit the comment as a written/paper submission and in the manner
detailed (see ``Written/Paper Submissions'' and ``Instructions'').

Written/Paper Submissions

    Submit written/paper submissions as follows:
     Mail/Hand delivery/Courier (for written/paper
submissions): Dockets Management Staff (HFA-305), Food and Drug
Administration, 5630 Fishers Lane, Rm. 1061, Rockville, MD 20852.
     For written/paper comments submitted to the Dockets
Management Staff, FDA will post your comment, as well as any
attachments, except for information submitted, marked and identified,
as confidential, if submitted as detailed in ``Instructions.''
    Instructions: All submissions received must include the Docket No.
FDA-2018-D-0671 for ``Determining the Number of Employees for Purposes
of the `Small Business' Definition in Parts 117 and 507: Guidance for
Industry.'' Received comments will be placed in the docket and, except
for those submitted as ``Confidential Submissions,'' publicly viewable
at https://www.regulations.gov or at the Dockets Management Staff
between 9 a.m. and 4 p.m., Monday through Friday.
     Confidential Submissions--To submit a comment with
confidential information that you do not wish to be made publicly
available, submit your comments only as a written/paper submission. You
should submit two copies total. One copy will include the information
you claim to be confidential with a heading or cover note that states
``THIS DOCUMENT CONTAINS CONFIDENTIAL INFORMATION.'' The Agency will
review this copy, including the claimed confidential information, in
its consideration of comments. The second copy, which will have the
claimed confidential information redacted/blacked out, will be
available for public viewing and posted on https://www.regulations.gov.
Submit both copies to the Dockets Management Staff. If you do not wish
your name and contact information to be made publicly available, you
can provide this information on the cover sheet and not in the body of
your comments and you must identify this information as
``confidential.'' Any information marked as ``confidential'' will not
be disclosed except in accordance with 21 CFR 10.20 and other
applicable disclosure law. For more information about FDA's posting of
comments to public dockets, see 80 FR 56469, September 18, 2015, or
access the information at: https://www.gpo.gov/fdsys/pkg/FR-2015-09-18/pdf/2015-23389.pdf.
    Docket: For access to the docket to read background documents or
the electronic and written/paper comments received, go to https://www.regulations.gov and insert the docket number, found in brackets in
the heading of this document, into the ``Search'' box and follow the
prompts and/or go to the Dockets Management Staff, 5630 Fishers Lane,
Rm. 1061, Rockville, MD 20852.
    You may submit comments on any guidance at any time (see 21 CFR
10.115(g)(5)).
    Submit written requests for single copies of the draft guidance to
the Center for Food Safety and Applied Nutrition, Food and Drug
Administration, 5001 Campus Dr., College Park, MD 20740. Send two self-
addressed adhesive labels to assist that office in processing your
request. See the SUPPLEMENTARY INFORMATION section for electronic
access to the draft guidance.

FOR FURTHER INFORMATION CONTACT: For questions relating to CGMP, Hazard
Analysis, and Risk-Based Preventive Controls for Human Food: Jenny
Scott, Center for Food Safety and Applied Nutrition (HFS-300), Food and
Drug Administration, 5001 Campus Dr., College Park, MD 20740, 240-402-
2166.
    For questions relating to CGMP, Hazard Analysis, and Risk-Based
Preventive Controls for Food for Animals: Jeanette Murphy, Center for
Veterinary Medicine (HFV-200), Food and Drug Administration, 7519
Standish

Pl., Rockville, MD 20855,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

I. Background

    We are announcing the availability of a draft guidance for industry
entitled ``Determining the Number of Employees for Purposes of the
`Small Business' Definition in Parts 117 and 507: Guidance for
Industry.'' We are issuing the draft guidance consistent with our good
guidance practices regulation (21 CFR 10.115). The draft guidance, when
finalized, will represent the current thinking of FDA on this topic. It
does not establish any rights for any person and is not binding on FDA
or the public. You can use an alternate approach if it satisfies the
requirements of the applicable statutes and regulations. This guidance
is not subject to Executive Order 12866.
    This draft guidance concerns two regulations that we have
established in Title 21 of the Code of Federal Regulations (21 CFR) as
part of our implementation of the FDA Food Safety Modernization Act
(Pub. L. 111-353). These two regulations are 21 CFR part 117 (part 117)
(published in the Federal Register on September 17, 2015, 80 FR 55907)
and 21 CFR part 507 (part 507) (published in the Federal Register on
September 17, 2015, 80 FR 56170). Under parts 117 and 507, whether a
business is a ``small business'' has two main implications. First,
certain small businesses are exempt from the human food preventive
controls requirements and the animal food preventive controls
requirements if they are engaged only in specified low-risk activity/
food combinations. Second, small businesses have later compliance dates
for parts 117 and 507 than larger businesses. This guidance will
provide additional information to assist businesses in determining
their status as a ``small business.''

II. Electronic Access

    Persons with access to the internet may obtain the draft guidance
at either https://www.fda.gov/FoodGuidances or https://www.regulations.gov. Use the FDA website listed in the previous
sentence to find the most current version of the guidance.

    Dated: March 15, 2018.
Leslie Kux,
Associate Commissioner for Policy.
[FR Doc. 2018-05705 Filed 3-19-18; 8:45 am]
 BILLING CODE 4164-01-P