[Federal Register Volume 87, Number 91 (Wednesday, May 11, 2022)]
[Notices]
[Pages 28864-28865]
[FR Doc No: 2022-10119]

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DEPARTMENT OF TRANSPORTATION

Pipeline and Hazardous Materials Safety Administration

[Docket No. PHMSA-2022-0005]

Pipeline Safety: Information Collection Activities

AGENCY: Pipeline and Hazardous Materials Safety Administration (PHMSA),
DOT.

ACTION: Notice and request for comments.

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SUMMARY: In compliance with the Paperwork Reduction Act of 1995, this
notice announces that the information collection requests abstracted
below are being forwarded to the Office of Management and Budget (OMB)
for review and comment. A Federal Register notice with a 60-day comment
period soliciting comments on the information collections was published
on February 2, 2022.

DATES: Interested persons are invited to submit comments on or before
June 10, 2022.

ADDRESSES: The public is invited to submit comments regarding this
information collection request, including suggestions for reducing the
burden, to the Office of Management and Budget, Attention: Desk Officer
for the Office of the Secretary of Transportation, 725 17th Street NW,
Washington, DC 20503. Comments can also be submitted electronically at
www.reginfo.gov/public/do/PRAMain.

FOR FURTHER INFORMATION CONTACT: Angela Hill by telephone at 202-680-
2034, by email at [email protected], or by mail at DOT, PHMSA, 1200
New Jersey Avenue SE, PHP-30, Washington, DC 20590-0001.

SUPPLEMENTARY INFORMATION: Title 5, Code of Regulations (CFR) section
1320.8(d), requires PHMSA to provide interested members of the public
and affected agencies the opportunity to comment on information
collection and recordkeeping requests before they are submitted to OMB
for approval. In accordance with this regulation, on February 2, 2022,
(87 FR 5937) PHMSA published a Federal Register notice with a 60-day
comment period soliciting comments on its plan to request the renewal
of the four impacted information collections abstracted below. PHMSA
received no comments in response to these information collection
renewal requests. This notice announces that PHMSA will submit the
following four information collection requests to the OMB for renewal.
    The following information is provided for each of these information
collections: (1) Title of the information collection; (2) OMB control
number; (3) Current expiration date; (4) Type of request; (5) Abstract
of the information collection activity; (6) Description of affected
public; (7) Estimate of total annual reporting and recordkeeping
burden; and (8) Frequency of collection.
    PHMSA will request a three-year term of approval for each of the
following information collection activities.
    1. Title: Response Plans for Onshore Oil Pipelines.
    OMB Control Number: 2137-0589.
    Current Expiration Date: 6/30/2022.
    Type of Request: Renewal without change of a currently approved
information collection.
    Abstract: Title 49 CFR part 194 requires an operator of an onshore
oil pipeline facility to prepare and submit an oil spill response plan
to PHMSA for review and approval. This mandatory recordkeeping
requirement details operators' plans to prepare for emergency
situations involving oil spills. This mandatory information collection
is used by PHMSA to determine if an operator is compliant with the
requirements in part 194. Plans are submitted and/or updated annually.
This information collection covers operators' submission of facility
response plans for onshore hazardous liquid pipeline facilities.
    Affected Public: Operators of onshore oil pipeline facilities.
    Annual Reporting and Recordkeeping Burden:
    Total Annual Responses: 540.
    Total Annual Burden Hours: 73,980.
    Frequency of Collection: On occasion.
    2. Title: Pipeline Integrity Management in High Consequence

Areas Gas Transmission Pipeline Operators.
    OMB Control Number: 2137-0610.
    Current Expiration Date: 6/30/2022.
    Type of Request: Renewal without change of a currently approved
information collection.
    Abstract: This mandatory information collection request pertains to
gas transmission operators that are required to comply with PHMSA's Gas
Transmission Integrity Management Program regulations. The information
collection requires gas transmission operators in high consequence
areas to maintain a written integrity management program and keep
records that demonstrate compliance with 49 CFR part 192, subpart O.
Operators must maintain their integrity management records for the life
of the pipeline, and PHMSA and/or state regulators may review those
records as a part of inspections. Gas transmission operators are also
required to report to PHMSA certain actions related to their integrity
management program. This information collection supports DOT's
strategic goal of safety by reducing the number of incidents in natural
gas transmission pipelines.
    Affected Public: Gas transmission operators.
    Annual Reporting and Recordkeeping Burden:
    Estimated number of responses: 733.
    Estimated annual burden hours: 1,018,807.
    Frequency of Collection: On occasion.
    3. Title: Control Room Management Human Factors.
    OMB Control Number: 2137-0624.
    Current Expiration Date: 6/30/2022.
    Type of Request: Renewal without change of a currently approved
information collection.
    Abstract: Operators of gas and hazardous liquid pipelines must
develop, implement, and submit a human factors management plan designed
to reduce risks associated with human factors in each control room. The
information is used by PHMSA to determine compliance with federal
pipeline safety regulations and is also used by agency and state
officials to assist federal and state pipeline safety inspectors who
audit this information when they conduct compliance inspections as well
as to provide background for failure investigations.
    Affected Public: Operators of natural gas and hazardous liquid
pipelines.
    Estimated number of responses: 2,702.
    Estimated annual burden hours: 127,328.
    Frequency of collection: On occasion.
    4. Title: Excess Flow Valves--New Customer Notifications.
    OMB Control Number: 2137-0631.
    Current Expiration Date: 12/31/2022.
    Type of Request: Renewal without change of a currently approved
information collection.
    Abstract: This information collection covers the reporting and
recordkeeping requirements for gas pipeline operators associated with
customer notifications pertaining to the installation of excess flow
valves. Gas pipeline operators must notify customers of their right to
request the installation of excess flow valves and keep records of
those notifications. This information collection includes example of
language that can be used to notify natural gas customers of their
right to request the installation of an excess flow valve pursuant to
Sec.  192.383(d). Use of the language is voluntary but would comply
with federal regulatory requirements.
    Affected Public: Natural gas pipeline operators.
    Annual Reporting and Recordkeeping Burden:
    Estimated number of responses: 4,448.
    Estimated annual burden hours: 4,448.
    Frequency of Collection: On occasion.
    Comments to Office of Management and Budget are invited on:
    (a) The need for the proposed information, including whether the
information will have practical utility in helping the agency to
achieve its pipeline safety goals;
    (b) The accuracy of the agency's estimate of the burden of the
proposed collection;
    (c) Ways to enhance the quality, utility, and clarity of the
information to be collected; and
    (d) Ways to minimize the burden on those who are to respond,
including the use of appropriate automated, electronic, mechanical, or
other technological collection techniques.
    Authority: The Paperwork Reduction Act of 1995; 44 U.S.C. Chapter
35, as amended; and 49 CFR 1.48.

    Issued in Washington, DC, on May 5, 2022, under authority
delegated in 49 CFR 1.97.
John A. Gale,
Director, Standards and Rulemaking Division.
[FR Doc. 2022-10119 Filed 5-10-22; 8:45 am]
BILLING CODE 4910-60-P


[Federal Register Volume 81, Number 171 (Friday, September 2, 2016)]
[Notices]
[Page 60772]
[FR Doc No: 2016-21111]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

Forty-Third Meeting of the SC-224 Airport Security Access Control
Systems

AGENCY: Federal Aviation Administration (FAA), U.S. Department of
Transportation (DOT).

ACTION: Forty-Third Meeting of the SC-224 Airport Security Access
Control Systems.

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SUMMARY: The FAA is issuing this notice to advise the public of a
meeting of Forty-Third Meeting of the SC-224 Airport Security Access
Control Systems.

DATES: The meeting will be held September 29, 2016, 10:00 a.m. to 1:00
p.m.

ADDRESSES: The meeting will be held at: 1150 18th Street NW., Suite
910, Washington, DC 20036.

FOR FURTHER INFORMATION CONTACT: Karan Hofmann at<EMAIL_ADDRESS>or
(202) 330-0680, or The RTCA Secretariat, 1150 18th Street NW., Suite
910, Washington, DC 20036, or by telephone at<PHONE_NUMBER>, fax at
(202) 833-9434, or Web site at http://www.rtca.org.

SUPPLEMENTARY INFORMATION: Pursuant to section 10(a)(2) of the Federal
Advisory Committee Act (Pub. L. 92-463, 5 U.S.C., App.), notice is
hereby given for a meeting of the Forty-Third Meeting of the SC-224
Airport Security Access Control Systems. The agenda will include the
following:

Thursday, September 29, 2016, 10:00 a.m. to 1:00 p.m.
    1. Welcome/Introductions/Administrative Remarks
    2. Review/Approve Previous Meeting Summary
    3. Report from the TSA
    4. Report on Safe Skies on Document Distribution
    5. Report on TSA Security Construction Guidelines progress
    6. Review of DO-230H Sections
    7. Action Items for Next Meeting
    8. Time and Place of Next Meeting
    9. Any Other Business
    10. Adjourn

    Attendance is open to the interested public but limited to space
availability. With the approval of the chairman, members of the public
may present oral statements at the meeting. Persons wishing to present
statements or obtain information should contact the person listed in
the FOR FURTHER INFORMATION CONTACT section. Members of the public may
present a written statement to the committee at any time.

    Issued in Washington, DC, on August 29, 2016.
Mohannad Dawoud,
Management & Program Analyst, Partnership Contracts Branch, ANG-A17
NextGen, Procurement Services Division, Federal Aviation
Administration.
[FR Doc. 2016-21111 Filed 9-1-16; 8:45 am]
 BILLING CODE 4910-13-P


			  UNITED STATES OF AMERICA

		        DEPARTMENT OF TRANSPORTATION

			  OFFICE OF THE SECRETARY

			          WASHINGTON, D.C.

Issued by the Department of Transportation on April 20, 2005

NOTICE OF ACTION TAKEN -- DOCKET OST-2005-20479

________________________________________________________________________
________________________________________________________

This serves as notice to the public of the action described below, taken
by the Department official indicated (no additional confirming order
will be issued in this matter).

Applicant:  Package Delivery Xpress, Ltd.			Date Filed:  February 24,
2005

Relief requested:   Exemption from 49 U.S.C. § 41301 to engage in
charter foreign air transportation of property between a point or points
in the United States, on the one hand, and a point or points in the
Bahamas, on the other hand, using small aircraft.

If renewal, date and citation of last action: New authority

Applicant representatives:  William S. Burnett<PHONE_NUMBER>

DOT Analyst:  Shelita A. Smith<PHONE_NUMBER>

Responsive pleadings:  None filed

DISPOSITION

Action:  Approved							Action date:  April 20, 2005

Effective dates of authority granted:  April 20, 2005 – April 20, 2006

Basis for approval (bilateral agreement/reciprocity):  Reciprocity

Except to the extent exempted/waived, this authority is subject to the
terms, conditions, and limitations indicated:

    X   Standard exemption conditions (attached)               Foreign
air carrier permit conditions (Order         )

Special conditions/Partial grant/Denial basis/Remarks:  Based on the
record in this case, we found that Package Delivery Xpress is
financially and operationally qualified to perform the services
authorized above.  In addition, we found that Package Delivery Xpress is
substantially owned and effectively controlled by Bahamian citizens.
The carrier is properly licensed by the Government of the Bahamas to
perform the proposed services.  By memorandum dated April 5, 2005, the
FAA advised us that it knew of no reason why we should act unfavorably
on Package Delivery Xpress’s application.

The charter authority granted to Package Delivery Xpress above is
limited to operations involving aircraft designed to have a maximum
passenger capacity of not more than 60 seats or a maximum payload
capacity of not more than 18,000 pounds.

Action taken by:  Paul L. Gretch, Director

		   Office of International Aviation

________________________________________________________________________
________________________________________________________

Under authority assigned by the Department in its regulations, 14 CFR
Part 385, we found that (1) the applicant is qualified to perform the
proposed operations; (2) our action was consistent with Department
policy; (3) grant of the authority was consistent with the public
interest; and (4) grant of the authority would not constitute a major
regulatory action under the Energy Policy and Conservation Act of 1975.
To the extent not granted/deferred/dismissed, we denied

all requests in the referenced Docket.  We may amend, modify, or revoke
the authority granted in this Notice at any time without hearing at our
discretion.

Persons entitled to petition the Department for review of the action set
forth in this Notice under the Department’s regulations, 14 CFR §
385.30, may file their petitions within seven (7) days after the date of
issuance of this Notice.  This action was effective when taken, and the
filing of a petition for review will not alter such effectiveness.

An electronic version of this document is available on the World Wide
Web at:

  HYPERLINK "http://dms.dot.gov//reports/reports_aviation.asp"
http://dms.dot.gov//reports/reports_aviation.asp

Foreign Carrier Exemption Conditions

In the conduct of the operations authorized, the foreign carrier
applicant(s) shall:

(1)  Not conduct any operations unless it holds a currently effective
authorization from its homeland for such operations, and it has filed a
copy of such authorization with the Department;

(2)  Comply with all applicable requirements of the Federal Aviation
Administration, including, but not limited to, 14 CFR Parts 129, 91, and
36, and with all applicable U.S. Government requirements concerning
security, including, but not limited to, 49 CFR Part 1546 or 1550, as
applicable.  To assure compliance with all applicable U.S. Government
requirements concerning security, the holder shall, before commencing
any new service (including charter flights) from a foreign airport that
would be the holder’s last point of departure for the United States,
contact its International Principal Security Inspector (IPSI) to advise
the IPSI of its plans and to find out whether the Transportation
Security Administration has determined that security is adequate to
allow such airport(s) to be served;

(3)  Comply with the requirements for minimum insurance coverage
contained in 14 CFR Part 205, and, prior to the commencement of any
operations under this authority, file evidence of such coverage, in the
form of a completed OST Form 6411, with the Federal Aviation
Administration’s Program Management Branch (AFS-260), Flight Standards
Service (any changes to, or termination of, insurance also shall be
filed with that office);

(4)  Not operate aircraft under this authority unless it complies with
operational safety requirements at least equivalent to Annex 6 of the
Chicago Convention;

(5)  Conform to the airworthiness and airman competency requirements of
its Government for international air services;

(6)  Except as specifically exempted or otherwise provided for in a
Department Order, comply with the requirements of 14 CFR Part 203,
concerning waiver of Warsaw Convention liability limits and defenses;

(7)  Agree that operations under this authority constitute a waiver of
sovereign immunity, for the purposes of 28 U.S.C. 1605(a), but only with
respect to those actions or proceedings instituted against it in any
court or other tribunal in the United States that are: (a)  based on its
operations in international air transportation that, according to the
contract of carriage, include a point in the United States as a point of
origin, point of destination, or agreed stopping place, or for which the
contract of carriage was purchased in the United States; or (b)  based
on a claim under any international agreement or treaty cognizable in any
court or other tribunal of the United States.  In this condition, the
term "international air transportation" means "international
transportation" as defined by the Warsaw Convention, except that all
States shall be considered to be High Contracting Parties for the
purpose of this definition;

(8)  Except as specifically authorized by the Department, originate or
terminate all flights to/from the United States in its homeland;

(9)  Comply with the requirements of 14 CFR Part 217, concerning the
reporting of scheduled, nonscheduled, and charter data;

(10) If charter operations are authorized, except as otherwise provided
in the applicable aviation agreement, comply with the Department's rules
governing charters (including 14 CFR Parts 212 and 380); and

(11) Comply with such other reasonable terms, conditions, and
limitations required by the public interest as may be prescribed by the
Department, with all applicable orders or regulations of other U.S.
agencies and courts, and with all applicable laws of the United States.

This authority shall not be effective during any period when the holder
is not in compliance with the conditions imposed above.  Moreover, this
authority cannot be sold or otherwise transferred without explicit
Department approval under Title 49 of the U.S. Code.

 Package Delivery Xpress is owned by two Bahamian citizens (Sylvester
Rollins and Andrea Rollins).

05/2004


[Federal Register Volume 83, Number 201 (Wednesday, October 17, 2018)]
[Notices]
[Pages 52579-52581]
[FR Doc No: 2018-22539]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-84411; File No. SR-NYSE-2018-47]

Self-Regulatory Organizations; New York Stock Exchange LLC;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To
Amend the Fees for Routing Orders in UTP Securities Priced Below $1.00

October 11, 2018.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby
given that, on October 1, 2018, New York Stock Exchange LLC (``NYSE''
or the ``Exchange'') filed with the Securities and Exchange Commission
(the ``Commission'') the proposed rule change as described in Items I,
II, and III below, which Items have been prepared by the self-
regulatory organization. The Commission is publishing this notice to
solicit comments on the proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to amend its Price List to amend the fees for
routing orders in UTP Securities priced below $1.00. The Exchange
proposes to implement these changes to its Price List effective October
1, 2018. The proposed rule change is available on the Exchange's
website at www.nyse.com, at the principal office of the Exchange, and
at the Commission's Public Reference Room.

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

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

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

1. Purpose
    The Exchange proposes to amend its Price List to amend the fees for
routing orders in UTP Securities priced below $1.00.
    The Exchange proposes to implement these changes to its Price List
effective October 1, 2018.
    Currently, for executions in securities with a price below $1.00
that route to and execute on an Away Market,\4\ the Exchange charges a
fee of 0.30% of the total dollar value of the transaction for
executions in an Away Market auction as well as all other executions.
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    \4\ The term ``Away Market'' is defined in Rule 1.1(ff) to mean
any exchange, alternative trading system (``ATS'') or other broker-
dealer (1) with which the Exchange maintains an electronic linkage,
and (2) that provides instantaneous responses to orders routed from
the Exchange.
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    The Exchange proposes to amend this fee to charge $0.0005 per share
execution in an NYSE American auction, $0.0010 per share execution in
an Away Market auction at venues other than NYSE American, and 0.30% of
total dollar value of the transaction for all other executions.
* * * * *
    The proposed changes are not otherwise intended to address any
other issues, and the Exchange is not aware of any problems that member
organizations would have in complying with the proposed change.
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with

Section 6(b) of the Act,\5\ in general, and furthers the objectives of
Sections 6(b)(4) and 6(b)(5) of the Act,\6\ in particular, because it
provides for the equitable allocation of reasonable dues, fees, and
other charges among its members, issuers and other persons using its
facilities and does not unfairly discriminate between customers,
issuers, brokers or dealers.
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    \5\ 15 U.S.C. 78f(b).
    \6\ 15 U.S.C. 78f(b)(4) & (5).
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    The Exchange believes that its proposed routing fees of $0.0005 per
share for NYSE American and $0.0010 per share for venues other than
NYSE American for securities with a price under $1.00 are reasonable,
equitable and not an unfairly discriminatory allocation of fees because
the fees would be applicable to all member organizations in an
equivalent manner. Moreover, the proposed fees for routing shares are
also reasonable, equitable and not unfairly discriminatory because the
proposal would align routing fees with fees for away market auctions.
For example, NYSE American charges $0.0005 per share for executions at
the open and close for securities below $1.00 \7\ and BZX charges
0.00100 per share for closing auctions in BZX listed securities.\8\
Further, the proposal to charge a fee of 0.30% of total dollar value
for transactions for all other executions in securities with a price
under $1.00 is reasonable, equitable and not unfairly discriminatory
because it is consistent with fees charged on other exchanges.\9\
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    \7\ See https://www.nyse.com/publicdocs/nyse/markets/nyse-american/NYSE_America_Equities_Price_List.pdf.
    \8\ See https://markets.cboe.com/us/equities/membership/fee_schedule/bzx/.
    \9\ NASDAQ, for example, charges a fee of 0.30% (i.e. 30 basis
points) of total dollar volume to remove liquidity for shares
executed below $1.00. See NASDAQ Fee Schedule at http://www.nasdaqtrader.com/Trader.aspx?id=PriceListTrading2.
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    Finally, the Exchange believes that it is subject to significant
competitive forces, as described below in the Exchange's statement
regarding the burden on competition.
    For the foregoing reasons, the Exchange believes that the proposal
is consistent with the Act.

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

    In accordance with Section 6(b)(8) of the Act,\10\ the Exchange
believes that the proposed rule change would not impose any burden on
competition that is not necessary or appropriate in furtherance of the
purposes of the Act. Instead, the Exchange believes that the proposed
change would foster liquidity provision and stability in the
marketplace, thereby promoting price discovery and transparency and
enhancing order execution opportunities for member organizations. In
this regard, the Exchange believes that the transparency and
competitiveness of attracting additional executions on an exchange
market would encourage competition between the Exchange and other
execution venues, including those that currently offer similar order
types and comparable transaction pricing, by encouraging additional
orders to be sent to the Exchange for execution.
---------------------------------------------------------------------------

    \10\ 15 U.S.C. 78f(b)(8).
---------------------------------------------------------------------------

    Finally, the Exchange notes that it operates in a highly
competitive market in which market participants can readily favor
competing venues if they deem fee levels at a particular venue to be
excessive or rebate opportunities available at other venues to be more
favorable. In such an environment, the Exchange must continually adjust
its fees and rebates to remain competitive with other exchanges and
with alternative trading systems that have been exempted from
compliance with the statutory standards applicable to exchanges.
Because competitors are free to modify their own fees and credits in
response, and because market participants may readily adjust their
order routing practices, the Exchange believes that the degree to which
fee changes in this market may impose any burden on competition is
extremely limited. As a result of all of these considerations, the
Exchange does not believe that the proposed changes will impair the
ability of member organizations or competing order execution venues to
maintain their competitive standing in the financial markets.

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

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

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

    The foregoing rule change is effective upon filing pursuant to
Section 19(b)(3)(A) \11\ of the Act and subparagraph (f)(2) of Rule
19b-4 \12\ thereunder, because it establishes a due, fee, or other
charge imposed by the Exchange.
---------------------------------------------------------------------------

    \11\ 15 U.S.C. 78s(b)(3)(A).
    \12\ 17 CFR 240.19b-4(f)(2).
---------------------------------------------------------------------------

    At any time within 60 days of the filing of such proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission shall institute proceedings under
Section 19(b)(2)(B) \13\ of the Act to determine whether the proposed
rule change should be approved or disapproved.
---------------------------------------------------------------------------

    \13\ 15 U.S.C. 78s(b)(2)(B).
---------------------------------------------------------------------------

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 protected]. Please include
File Number SR-NYSE-2018-47 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSE-2018-47. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the proposed
rule change between the Commission and any person, other than those
that may be withheld from the public in accordance with the provisions
of 5 U.S.C. 552, will be available for website viewing and printing in
the Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549 on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of the filing also will be available for inspection
and copying at the principal

office of the Exchange. All comments received will be posted without
change. Persons submitting comments are cautioned that we do not redact
or edit personal identifying information from comment submissions. You
should submit only information that you wish to make available
publicly. All submissions should refer to File Number SR-NYSE-2018-47
and should be submitted on or before November 7, 2018.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\14\
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    \14\ 17 CFR 200.30-3(a)(12).
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Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018-22539 Filed 10-16-18; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 77, Number 50 (Wednesday, March 14, 2012)]
[Notices]
[Pages 15097-15098]
[FR Doc No: 2012-6120]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Notice of FERC Staff Attendance at the Entergy Regional State
Committee Working Group and Stakeholders Meeting

    The Federal Energy Regulatory Commission hereby gives notice that
members of its staff may attend the meeting noted below. Their
attendance is part of the Commission's ongoing outreach efforts.

Entergy Regional State Committee Working Group and Stakeholders Meeting

March 14, 2012 (9 a.m.-3 p.m.).
    This meeting will be held at the Pan American Life Center, 601
Poydras Street, New Orleans, LA 70130. The Center's phone number is
504-561-1245.
    The discussions may address matters at issue in the following
proceedings:

Docket No. OA07-32 Entergy Services, Inc.

Docket No. EL00-66 Louisiana Public Service Commission v. Entergy
Services, Inc.
Docket No. EL01-88 Louisiana Public Service Commission v. Entergy
Services, Inc.
Docket No. EL07-52 Louisiana Public Service Commission v. Entergy
Services, Inc.
Docket No. EL08-51 Louisiana Public Service Commission v. Entergy
Services, Inc.
Docket No. EL08-60 Ameren Services Co. v. Entergy Services, Inc.
Docket No. EL09-43 Arkansas Public Service Commission v. Entergy
Services, Inc.
Docket No. EL09-50 Louisiana Public Service Commission v. Entergy
Services, Inc.
Docket No. EL09-61 Louisiana Public Service Commission v. Entergy
Services, Inc.
Docket No. EL10-55 Louisiana Public Service Commission v. Entergy
Services, Inc.
Docket No. EL10-65 Louisiana Public Service Commission v. Entergy
Services, Inc.
Docket No. EL11-34 Midwest Independent System Transmission Operator,
Inc.
Docket No. ER05-1065 Entergy Services, Inc.
Docket No. ER07-682 Entergy Services, Inc.
Docket No. ER07-956 Entergy Services, Inc.
Docket No. ER08-1056 Entergy Services, Inc.
Docket No. ER09-833 Entergy Services, Inc.
Docket No. ER09-1224 Entergy Services, Inc.
Docket No. ER10-794 Entergy Services, Inc.
Docket No. ER10-1350 Entergy Services, Inc.
Docket No. ER10-1676 Entergy Services, Inc.
Docket No. ER10-2001 Entergy Arkansas, Inc.
Docket No. ER10-3357 Entergy Arkansas, Inc.
Docket No. ER11-2131 Entergy Arkansas, Inc.
Docket No. ER11-2132 Entergy Gulf States, Louisiana, LLC.
Docket No. ER11-2133 Entergy Gulf States, Louisiana, LLC.
Docket No. ER11-2134 Entergy Mississippi, Inc.
Docket No. ER11-2135 Entergy New Orleans, Inc.
Docket No. ER11-2136 Entergy Texas, Inc.
Docket No. ER11-3156 Entergy Arkansas, Inc.
Docket No. ER11-3657 Entergy Arkansas, Inc.
Docket No. ER12-480 Midwest Independent Transmission System Operator,
Inc.

    These meetings are open to the public.
    For more information, contact Peter Nagler, Office of Energy Market
Regulation, Federal Energy Regulatory Commission at<PHONE_NUMBER> or
<EMAIL_ADDRESS>
    Dated: March 8, 2012 .
Kimberly D. Bose,
Secretary.
[FR Doc. 2012-6120 Filed 3-13-12; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register: October 31, 2007 (Volume 72, Number 210)]
[Notices]
[Page 61699-61701]
[DOCID:fr31oc07-140]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-56700; File No. SR-Phlx-2007-78]

Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.;
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change
To Amend Article FOURTH of its Restated Certificate of Incorporation

October 24, 2007.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on October 5, 2007, the Philadelphia Stock Exchange, Inc. (``Phlx'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I, II,
and III below, which Items have been substantially prepared by the
Exchange pursuant to Section 19(b)(3)(A)(iii) of the Act \3\ and Rule
19b-4(f)(3) thereunder.\4\ The Exchange has designated this proposal as
one concerned solely with the administration of the Exchange, which
renders the proposal effective upon filing with the Commission. The
Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \4\ 17 CFR 240.19b-4(f)(3).
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    Phlx proposes to amend its Restated Certificate of Incorporation
(``Certificate'') by modifying the definition of ``Related Persons'' in
Article FOURTH. The text of the proposed rule change is available at
the Exchange, on the Exchange's Web site at http://www.phlx.com/exchange/phlx_rule_fil.html
, and at the Commission's Public Reference

Room.

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

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

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

1. Purpose
    As discussed further below, the Exchange represents that the
purpose of the proposed rule change is to amend the definition of
``Related Persons'' as it appears in Article FOURTH of the Certificate
to remove unnecessary burdens on the flexibility of the Exchange and
its shareholders in effecting certain types of lawful fundamental
transactions. The Exchange believes that this should facilitate
appropriate deliberation, discussion, and activities by the
shareholders of the Exchange in relation to fundamental transactions
and other appropriate matters, without compromising the policies
underlying the concentration limits on voting and ownership of Common
Stock of the Exchange contained in Article FOURTH of the Certificate.
    Article FOURTH of the Certificate imposes limitations on ownership
and voting by holders of Phlx's Common Stock.\5\ For purposes of
applying these limitations, the holdings of a Phlx shareholder are
combined with those of the shareholder's ``Related Persons.'' Clause
(b)(iii)(B) of Article FOURTH provides, in pertinent part, that:
---------------------------------------------------------------------------

    \5\ The concentration limits in the Certificate limit any
person, either alone or together with its Related Person, to (i)
owning 40% of the outstanding Common Stock of the Exchange (20% in
the case of Exchange members), and (ii) exercising voting rights in
respect of more than 20% of the Common Stock. A waiver by the Board
of Governors, subject to Commission approval, is permitted in
certain cases. See Article FOURTH (b)(iii) and (v).

    * * * ``Related Persons'' shall mean (1) with respect to any
Person,\6\ all ``affiliates'' and ``associates'' of such Person (as
such terms are defined in Rule 12b-2 under the Securities Exchange
Act of 1934, as amended (the ``Exchange Act'')), (2) with respect to
any natural person constituting a ``member'' (as such term is
defined in the Exchange Act) of the Corporation, any broker or
dealer with which such member is associated and (3) any two or more
Persons that have any agreement, arrangement or understanding
(whether or not in writing) to act together for the purpose of
acquiring, holding, voting or disposing of shares of Common Stock.
(Footnote added).
---------------------------------------------------------------------------

    \6\ In Article FOURTH (a)(iv), ``Person'' is defined as an
individual, partnership (general or limited), joint-stock company,
corporation, limited liability company, trust or unincorporated
organization, and a government or agency or political subdivision
thereof.

    The Exchange notes that ownership and voting concentration limits
are intended to ensure that the Exchange's management is not beset with
conflicts of interest for the benefit of a small number of individuals
or entities such that the Exchange cannot meet the statutory standards
for national securities exchanges set forth in Sections 6 \7\ and 19
\8\ of the Act.\9\ The Exchange believes that the ``Related Persons''
definition is intended to keep members and other persons from evading
the numerical limits of holding shares in multiple affiliates or by
having secret agreements with other shareholders whereby their ``true''
level of ownership, control, or voting power indirectly exceeds the
permitted percentage limits.
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    \7\ 15 U.S.C. 78f.
    \8\ 15 U.S.C. 78s.
    \9\ See Securities Exchange Act Release No. 50699 (November 18,
2004), 69 FR 71126 (December 8, 2004) (proposed SRO governance
rulemaking). The organizational documents of other national
securities exchanges contain similar concentration limits. See
Securities Exchange Act Release Nos. 45803 (April 23, 2002), 67 FR
21306 (April 30, 2002) (SR-ISE-2002-01) (approving the restructuring
of International Securities Exchange, Inc. from a limited liability
company to a corporation); and 49718 (May 17, 2004), 69 FR 29611
(May 24, 2004) (SR-PCX-2004-08) (approving the demutualization of
the former Pacific Exchange, Inc.). See also Securities Exchange Act
Release Nos. 49067 (January 13, 2004), 64 FR 2761 (January 21, 2004)
(SR-BSE-2003-19) (approving the operating agreement of the Boston
Options Exchange); and 54399 (September 1, 2006), 71 FR 53728
(September 12, 2006) (SR-ISE-2006-45) (granting accelerated approval
of the establishment of ISE Stock Exchange, LLC as a facility of the
International Securities Exchange, Inc.).
---------------------------------------------------------------------------

    Phlx is of the view that the policy underlying these restrictions
was not intended to inhibit the Exchange or shareholders from effecting
certain kinds of fundamental, and otherwise lawful, transactions, such
as effecting an initial public offering or a merger or from entering
into agreements or arrangements that are necessary or directly related
to the execution of such transactions.\10\
---------------------------------------------------------------------------

    \10\ Indeed, such fundamental transactions have been
consummated, and are currently contemplated, by other national
securities exchanges. In these cases, charter provisions of such
exchanges similar to those in Article FOURTH of the Certificate were
deleted or amended to accommodate specific transactions, such as
when the Pacific Exchange was acquired by Archipelago Holdings. See
Securities Exchange Act Release 50170 (August 9, 2004), 69 FR 50419
(August 16, 2004) (SR-PCX-2004-56); see also International
Securities Exchange Holdings, Inc. Form 8-K, Item 5.02 (Accession
Number 1193125-7-96585 (April 30, 2007)).

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

    Moreover, Phlx does not believe that the concentration limits or
the ``Related Persons'' definition were intended to have the effect of
limiting discussions among shareholders of any sort as they relate to
the business of the Exchange or other matters of concern to the
shareholders. In order to structure a fundamental transaction in a
manner that is mutually beneficial to all parties, management and
shareholders need the freedom to discuss various aspects of the
transaction without the threat of these initial discussions triggering
sub-clause (3) of the ``Related Person'' definition, thereby
potentially causing the shareholders who are party to such discussions
to exceed their permitted ownership and/or voting limits.
    The proposed amendment is intended to (i) provide that certain
ordinary agreements, arrangements or understandings in connection with
potential fundamental transactions of the type described above are
expressly permitted, and (ii) negate any inference that discussions or
other communications among shareholders affecting the interests of the
shareholders or the Exchange, as they relate to such transactions or
certain other matters (that are not otherwise exempted under the
definition), would cause shareholders to be regarded as ``Related
Persons.''

a. Exempted Matters

    The proposed amendment would exclude from the scope of the
``Related Persons'' definition any agreement, arrangement, or
understanding pertaining to any of the following: A merger, sale,
acquisition, or other corporate affiliation of or by the Exchange or
any subsidiary; the sale of all or substantially all of the assets of
the Exchange; the issuance, offer, or sale by the Exchange and/or one
or more shareholders (whether in one or more public or private
transactions) of Common Stock of the Exchange.
    The purpose of this language is to provide that certain types of
ordinary and customary agreements and arrangements in connection with
potential fundamental transactions, such as those described above, do
not cause such shareholders to be ``Related Persons.'' These would
include, for example, underwriting agreements relating to an initial
public offering, merger agreements, asset purchase agreements, lock-up
and standstill agreements, and voting agreements in connection with an
acquisition.
    The Exchange believes that if these types of agreements cannot be
entered into without causing existing shareholders to be regarded as
``Related Persons'' (and thereby causing the aggregation of their
shareholdings to prohibited levels), then Phlx will be severely
hampered in its ability to proceed to structure and negotiate an
otherwise lawful, fundamental transaction of the type described above.
However, the proposal is intended to narrowly define certain types of
transactions about which agreements, arrangements, and understandings
may be concluded without causing the shareholders that are party
thereto to be regarded as ``Related Persons.'' The Phlx believes that
the legitimate policy concerns that are safeguarded by the current
voting and ownership limitations in the Exchange's Certificate continue
to be addressed, because Article FOURTH would still treat as ``Related
Persons,'' persons who are parties to agreements that are formed for
any reason that is outside of the defined list of exempted transactions
and certain related preparatory agreements (see discussion below).\11\
---------------------------------------------------------------------------

    \11\ Of course, if a fundamental transaction were to proceed,
the concentration limits and related procedures set forth in Article
FOURTH would apply to any shareholder or prospective shareholder of
the Exchange, unless the Certificate is further amended or the
Exchange is not the surviving entity in the case of a merger. In
these latter cases, any proposed amendment or any proposed new or
successor Certificate would need to be filed with the Commission.
See Sections 3(a)(27) (defining ``rules of an exchange'' to include
the certificate of incorporation or ``instruments corresponding to
the foregoing'') and 19(b) (specifying procedures pertaining to
filing and approval of self-regulatory organizations' rules and
proposed rule changes) of the Act, 15 U.S.C. 78c(a)(27) and
78s(b)(1). Thus, the protections afforded by the concentration
limits would not be diluted in the case of a fundamental
transaction.
---------------------------------------------------------------------------

b. Certain Preparatory Activities

    The proposal will also exempt from the ``Related Persons''
definition certain agreements, arrangements, or understandings that
relate to preparations for effecting fundamental transactions,
including the preparation, filing with the Commission, or dissemination
of a registration, proxy, or information statement in respect of any of
the matters or transactions described in the Exempted Matters section
above and any proposal or plan to do any of the foregoing, and any step
that is required for, or specifically and directly related thereto.
    The above language is intended to cover activities relating to the
preparations, plans, and/or steps required for, or specifically and
directly related to, the types of fundamental transactions described
above. This clause expands the scope of activities that are proposed to
be permitted without triggering the ``Related Persons'' definition.
However, the proposal clearly defines the scope of activities that can
be engaged in and cannot serve as a subterfuge for members or
affiliates or other shareholders to join together to use their
ownership or voting rights to attempt to manage the day-to-day
operations of the Exchange to their benefit and disadvantage of others
or to deny access to the facilities of the Exchange.

c. Discussions of Other Communications

    This proposed amendment is also intended to clarify that certain
communications among shareholders affecting the interests of the
shareholders or the Exchange (other than those relating to transactions
or activities that are otherwise exempted under the proposal) will not
be presumed to constitute an ``agreement, arrangement, or understanding
. . . to act together for the purpose of acquiring, holding, voting or
disposing of shares of Common Stock.'' The Exchange believes that
Article FOURTH, as currently drafted, could result in an inappropriate
chilling effect on legitimate discussions or other communications that
do not implicate any of the Commission's concerns underlying the
concentration limits and the ``Related Persons'' definition, as
discussed above.
    The proposal provides that the following shall not create a
presumption or inference that persons have an agreement, arrangement,
or understanding for the purposes of determining ``Related Persons,''
as defined by Article FOURTH: (i) Communications by or among any
persons (or their officers, agents or representatives) for the purpose
of understanding, considering, or communicating the advisability,
desirability, or feasibility of any matter concerning the interests of
the Exchange or its shareholders, or (ii) the fact that two or more
persons (or their officers, agents or representatives) may have
expressed or communicated common views as to the advisability,
desirability or feasibility of any matter concerning the interests of
the Exchange or its shareholders (including, in either such case, by
way of voting or otherwise acting as Governors,\12\ members of

standing or other committees or shareholders).
---------------------------------------------------------------------------

    \12\ See Phlx By-Law Article I, Section 1-1(m).
---------------------------------------------------------------------------

    By listing non-exclusive examples of permitted discussions and
other communications, the Exchange hopes to clarify that certain
customary and appropriate conversations and other communications
between and among shareholders will not cause the shareholders to be
considered ``Related Persons'' and result in the aggregation of their
shares or voting rights in a way that would improperly restrict
legitimate communication among shareholders.
2. Statutory Basis
    The Exchange believes that its proposal is consistent with Section
6(b) of the Act \13\ in general, and furthers the objectives of
Sections 6(b)(5) of the Act \14\ in particular, in that it is designed
to promote just and equitable principles of trade, to remove
impediments to and perfect the mechanism of a free and open market and
a national market system and, in general, to protect investors and the
public interest by modifying Phlx's Certificate to remove unnecessary
burdens on the flexibility of the Exchange and its shareholders in
effecting certain types of lawful fundamental transactions. The
Exchange also believes that its proposal is consistent with Section
6(b)(1) of the Act \15\ in that it should facilitate appropriate
deliberation, discussion, and activities by the shareholders of the
Exchange in relation to fundamental transactions and other appropriate
matters, without compromising the policies underlying the concentration
limits on voting and ownership of Common Stock of the Exchange
contained in Article FOURTH of the Certificate.
---------------------------------------------------------------------------

    \13\ 15 U.S.C. 78f(b).
    \14\ 15 U.S.C. 78f(b)(5).
    \15\ 15 U.S.C. 78f(b)(1).
---------------------------------------------------------------------------

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

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

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

    No written comments were either solicited or received.

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

    Because the foregoing rule change is concerned solely with the
administration of the Exchange, it has become effective pursuant to
Section 19(b)(3)(A)(iii) of the Act and Rule 19b-4(f)(3) thereunder. At
any time within 60 days of the filing of such proposed rule change the
Commission may summarily abrogate such rule change if it appears to the
Commission that such action is necessary or appropriate in the public
interest, for the protection of investors, or otherwise in furtherance
of the purposes of the Act.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml.
); or     Send an e-mail to<EMAIL_ADDRESS>Please include

File Number SR-Phlx-2007-78 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-Phlx-2007-78. This file
number should be included on the subject line if e-mail is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml
). Copies of the submission, all subsequent amendments, all

written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for inspection and
copying in the Commission's Public Reference Room, 100 F Street, NE.,
Washington, DC 20549, on official business days between the hours of 10
a.m. and 3 p.m. Copies of such filing also will be available for
inspection and copying at the principal office of the Exchange. All
comments received will be posted without change; the Commission does
not edit personal identifying information from submissions. You should
submit only information that you wish to make available publicly. All
submissions should refer to File Number SR-Phlx-2007-78 and should be
submitted on or before November 21, 2007.

    For the Commission, by the Division of Market Regulation,
pursuant to delegated authority.\16\
---------------------------------------------------------------------------

    \16\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Nancy M. Morris,
Secretary.
[FR Doc. E7-21382 Filed 10-30-07; 8:45 am]

BILLING CODE 8011-01-P


[Federal Register Volume 84, Number 118 (Wednesday, June 19, 2019)]
[Notices]
[Page 28549]
[FR Doc No: 2019-12969]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings

    Take notice that the Commission has received the following Natural
Gas Pipeline Rate and Refund Report filings:

Filings Instituting Proceedings

    Docket Number: PR17-54-001.
    Applicants: B&W Pipeline, LLC.
    Description: Tariff filing per 284.123(b),(e)/: SOC to be effective
7/17/2017.
    Filed Date: 6/6/19.
    Accession Number:<PHONE_NUMBER>83.
    Comments/Protests Due: 5 p.m. ET 6/27/19.

    Docket Numbers: RP01-382-029.
    Applicants: Northern Natural Gas Company.
    Description: Northern Natural Gas Company submits Carlton
Reimbursement Report under RP01-382.
    Filed Date: 6/3/19.
    Accession Number: 20190603-5197.
    Comments Due: 5 p.m. ET 6/17/19.

    Docket Numbers: RP19-1310-000.
    Applicants: Northern Natural Gas Company.
    Description: Sec.  4(d) Rate Filing: 20190607 Negotiated Rate to be
effective 6/8/2019.
    Filed Date: 6/7/19.
    Accession Number: 20190607-5128.
    Comments Due: 5 p.m. ET 6/19/19.

    The filings are accessible in the Commission's eLibrary system by
clicking on the links or querying the docket number.
    Any person desiring to intervene or protest in any of the above
proceedings must file in accordance with Rules 211 and 214 of the
Commission's Regulations (18 CFR 385.211 and 385.214) on or before 5:00
p.m. Eastern time on the specified date(s). Protests may be considered,
but intervention is necessary to become a party to the proceeding.
    eFiling is encouraged. More detailed information relating to filing
requirements, interventions, protests, service, and qualifying
facilities filings can be found at: http://www.ferc.gov/docs-filing/efiling/filing-req.pdf. For other information, call<PHONE_NUMBER>
(toll free). For TTY, call<PHONE_NUMBER>.

    Dated: June 11, 2019.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2019-12969 Filed 6-18-19; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 80, Number 58 (Thursday, March 26, 2015)]
[Rules and Regulations]
[Pages 15913-15914]
[FR Doc No: 2015-06817]

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

Federal Motor Carrier Safety Administration

49 CFR Part 390

Federal Motor Carrier Safety Regulations; Regulatory Guidance
Concerning Crashes Involving Vehicles Striking Attenuator Trucks
Deployed at Construction Sites

AGENCY: Federal Motor Carrier Safety Administration, DOT.

ACTION: Regulatory guidance.

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SUMMARY: FMCSA provides regulatory guidance concerning crashes
involving motor vehicles striking the rear of attenuator trucks
deployed at construction sites and whether such crashes meet the
definition of ``accident'' under 49 CFR 390.5 for the motor carrier
that controls the attenuator truck. Attenuator trucks are highway
safety vehicles equipped with an impact attenuating crash cushion
intended to reduce the risks of injuries and fatalities resulting from
crashes in construction work zones. The guidance explains that such
crashes in which motorists strike the attenuator trucks while they are
deployed at construction work zones are not covered by the definition
of accident and such occurrences will not be considered by FMCSA under
its Compliance, Safety, Accountability Safety Measurement System (SMS)
scores, or Safety Fitness Determination for the motor carrier that
controls the attenuator truck. This guidance will provide the motor
carrier industry and Federal, State, and local law enforcement
officials with uniform information for use in determining whether
certain crashes involving attenuator vehicles must be recorded on

the motor carrier's accident register and considered in the Agency's
safety oversight programs.

DATES: This guidance is effective May 26, 2015.

FOR FURTHER INFORMATION CONTACT: Mr. Thomas L. Yager, Chief, Driver and
Carrier Operations Division, Office of Bus and Truck Standards and
Operations; 1200 New Jersey Ave. SE., Washington, DC 20590, Telephone
202-366-4325, Email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Legal Basis

    The Secretary of Transportation has statutory authority to set
minimum standards for commercial motor vehicle safety. These minimum
standards must ensure that: (1) CMVs are maintained, equipped, loaded,
and operated safely; (2) the responsibilities imposed on operators of
CMVs do not impair their ability to operate the vehicles safely; (3)
the physical condition of operators of CMVs is adequate to enable them
to operate the vehicles safely; (4) the operation of CMVs does not have
a deleterious effect on the physical condition of the operators; and
(5) an operator of a commercial motor vehicle is not coerced by a motor
carrier, shipper, receiver, or transportation intermediary to operate a
commercial motor vehicle in violation of a regulation. (49 U.S.C.
31136(a)(1)-(5), as amended). The Secretary also has broad power in
carrying out motor carrier safety statutes and regulations to
``prescribe recordkeeping and reporting requirements'' and to ``perform
other acts the Secretary considers appropriate.'' (49 U.S.C.
31133(a)(8) and (10)).
    The Administrator of FMCSA has been delegated authority under 49
CFR 1.87(f) to carry out the functions vested in the Secretary of
Transportation by 49 U.S.C. chapter 311, subchapters I and III,
relating to commercial motor vehicle programs and safety regulation.
    This document provides regulatory guidance to the public with
respect to the definition of ``accident'' in 49 CFR 390.5 of the
Federal Motor Carrier Safety Regulations (FMCSRs), and the recording of
accidents as required under 49 CFR 390.15. All interested parties may
access the guidance in this document through the FMCSA's Internet site
at http://www.fmcsa.dot.gov.

Background

    The regulatory guidance in this regulatory guidance responds to
questions concerning the definition of ``accident'' in 49 CFR 390.5:
Are crashes in which motorists strike the rear of attenuator trucks
deployed at construction sites considered recordable accidents?
    Section 390.5 defines ``accident'' as an occurrence involving a
commercial motor vehicle operating on a highway in interstate or
intrastate commerce which results in a fatality; bodily injury to a
person who, as a result of the injury, immediately receives medical
treatment away from the scene of the accident; or one or more motor
vehicles incurring disabling damage as a result of the accident,
requiring the motor vehicles to be transported away from the scene by a
tow truck or other motor vehicle. It excludes occurrences involving
only boarding and alighting from a stationary motor vehicle or
involving only the loading or unloading of cargo.
    FMCSA acknowledges the potential impact on motor carriers' Safety
Measurement System (SMS) scores that could result from States uploading
reports about crashes involving attenuator trucks deployed at
construction sites into the Agency's Motor Carrier Management
Information System (MCMIS). Because these vehicles are deployed to
prevent certain crashes through the use of flashing lights and to
reduce the severity of crashes through the use of truck-mounted impact
attenuators or crash cushions when motorists do not take appropriate
action to avoid the obstacles in the construction zone, it is expected
that these vehicles will be struck from time to time while the
attenuators are deployed. Such events that occur in a construction
zone, either stationary or moving, should not count against the safety
performance record of the motor carrier responsible for the operation
of the attenuator truck.

FMCSA's Decision

    In consideration of the above, FMCSA has determined that the
current regulatory guidance should be revised to make clear that
crashes involving motorists striking attenuator trucks are not
considered accidents, as defined under 49 CFR 390.5. The Agency issues
the following guidance to 49 CFR 390.5 to read as follows:

PART 390--FEDERAL MOTOR CARRIER SAFETY REGULATIONS; GENERAL

Regulatory Guidance for 49 CFR 390.5 Definition of ``Accident''

    Question: Are crashes involving motorists striking attenuator
trucks while the impact attenuators or crash cushions are deployed
included within the definition of ``accident'' with regard to the motor
carrier responsible for the operation of the attenuator truck?
    Guidance: No. Attenuator trucks are highway safety vehicles
equipped with an impact attenuating crash cushion intended to reduce
the risks of injuries and fatalities resulting from crashes in
construction work zones. Because these vehicles are deployed at
construction work zones to prevent certain crashes through the use of
flashing lights and to reduce the severity of crashes when motorists do
not take appropriate action to avoid personnel and objects in the
construction zone, it is expected that these vehicles will be struck
from time to time while the impact attenuators or crash cushions are
deployed. Therefore, such events are not considered accidents and the
recordkeeping requirements of 49 CFR 390.15, Assistance in
investigations and special studies, are not applicable with regard to
the motor carrier responsible for the operation of the attenuator
truck. If however, a commercial motor vehicle, as defined in 49 CFR
390.5, strikes an attenuator truck, this event would be considered an
accident for the motor carrier responsible for the operation of the
vehicle that hits the attenuator truck.

Procedures

    Starting on the effective date of this regulatory guidance, any
crash meeting the above criteria may be removed from a carrier's record
of crashes. To do so the carrier operating the attenuator vehicle
should file a Request for Data Review (RDR) using the DataQ system at
https://www.dataqs.fmcsa.dot.gov, as a no reportable crash, and provide
sufficient evidence to establish the crash in question took place
between a vehicle and their attenuator vehicle deployed in a
constructions zone. After the effective date of this regulatory
guidance, the affected motor carrier may file a RDR to remove crashes
related to this regulatory guidance from their carrier record for the
previous 24 months.

    Issued on: March 18, 2015.
T.F. Scott Darling, III,
Acting Administrator.
[FR Doc. 2015-06817 Filed 3-25-15; 8:45 am]
 BILLING CODE 4910-EX-P


[Federal Register Volume 86, Number 25 (Tuesday, February 9, 2021)]
[Notices]
[Pages 8817-8819]
[FR Doc No: 2021-02589]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-91048; File No. SR-NYSE-2021-09]

Self-Regulatory Organizations; New York Stock Exchange LLC;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To
Amend Section 907.00 of the Manual

February 3, 2021.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby
given that on January 26, 2021, New York Stock Exchange LLC (``NYSE''
or the ``Exchange'') filed with the Securities and Exchange Commission
(the ``Commission'') the proposed rule change as described in Items I
and II below, which Items have been prepared by the self-regulatory
organization. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to amend Section 907.00 of the Manual to
clarify the application of that rule. The proposed rule change is
available on the Exchange's website at www.nyse.com, at the principal
office of the Exchange, and at the Commission's Public Reference Room.

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

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

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

1. Purpose
    Section 907.00 of the Manual sets forth complimentary products and
services that issuers are entitled to receive in connection with their
NYSE listing. The Exchange offers certain complimentary products and
services and access to discounted third-party products and services
through the NYSE Market Access Center to listed issuers. The Exchange
also provides complimentary market surveillance products and services
(with a commercial value of approximately $55,000 annually), Web-
hosting products and services (with a commercial value of approximately
$16,000 annually), web-casting services (with a commercial value of
approximately $6,500 annually), market analytics products and services
(with a commercial value of approximately $30,000 annually), and news
distribution products and services (with a commercial value of
approximately $20,000 annually) to Eligible New Listings \4\ and
Eligible Transfer Companies \5\ based on the following tiers: \6\
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    \4\ For the purposes of Section 907.00, the term ``Eligible New
Listing'' means (i) any U.S. company that lists common stock on the
Exchange for the first time and any non-U.S. company that lists an
equity security on the Exchange under Section 102.01 or 103.00 of
the Manual for the first time, regardless of whether such U.S. or
non-U.S. company conducts an offering and (ii) any U.S. or non-U.S.
company emerging from a bankruptcy, spinoff (where a company lists
new shares in the absence of a public offering), and carve-out
(where a company carves out a business line or division, which then
conducts a separate initial public offering).
    \5\ For purposes of Section 907.00, the term ``Eligible Transfer
Company'' means any U.S. or non-U.S. company that transfers its
listing of common stock or equity securities, respectively, to the
Exchange from another national securities exchange. For purposes of
Section 907.00, an ``equity security'' means common stock or common
share equivalents such as ordinary shares, New York shares, global
shares, American Depository Receipts, or Global Depository Receipts.
    \6\ Section 907.00 provides for separate service entitlements
for Acquisition Companies listed under Section 102.06 and the
issuers of Equity Investment Tracking Stocks listed under Section
102.07.

    Tier A: For Eligible New Listings and Eligible Transfer
Companies with a global market value of $400 million or more, in
each case calculated as of the date of listing on the Exchange, the
Exchange offers market surveillance, market analytics, web-hosting,
webcasting, and news distribution products and services.
    Tier B: For Eligible New Listings and Eligible Transfer
Companies with a global market value of less than $400 million, in
each case calculated as of the date of listing on the Exchange, the
Exchange offers Web-hosting, market analytics, web-casting, and news
distribution products and services.

    On January 11, 2021, the Commission approved the Exchange's
proposal to provide all the additional complimentary products and
services described above to Eligible New Listings

and Eligible Transfer Companies for a period of 48 months.\7\ Eligible
New Listings and Eligible Transfer Companies that listed on the
Exchange prior to January 11, 2021 are not entitled to receive such
services for 48 months, but instead for the shorter period of 24 months
under the prior version of the rule applicable when they listed on the
Exchange. As the Exchange stated in SR-NYSE-2020-94, ``[t]he proposed
amendment would be applicable to Eligible New Listings and Eligible
Transfer Companies that list on or after the date of SEC approval of
the proposal.'' \8\ The Exchange now proposes to add text to Section
907.00 to make it clear that only Eligible New Listings and Eligible
Transfer Companies that list on or after January 11, 2021 are entitled
to receive these services for a period of 48 months, while Eligible New
Listings and Eligible Transfer Companies that listed before that date
are entitled to receive such services for a period of 24 months. The
Exchange believes this clarification is appropriate to avoid any
confusion by making the rule text explicit.
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    \7\ See Securities Exchange Act Release No. 90893 (January 11,
2021) (SR-NYSE-2020-94).
    \8\ See Securities Exchange Act Release No. 90466 (November 20,
2020), 85 FR 76129, note 2 at 76129.
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2. Statutory Basis
    The Exchange believes that its proposal is consistent with Section
6(b) of the Securities Exchange Act of 1934 (the ``Act'') generally.\9\
Section 6(b)(5) \10\ of the Act requires, among other things, that
exchange rules promote just and equitable principles of trade and that
they are not designed to permit unfair discrimination between issuers,
brokers or dealers. The Exchange believes that the proposal is designed
to promote just and equitable principles of trade, as it provides
clarification and transparency in the text of Section 907.00 as to how
that rule is applied to Eligible New Listings and Eligible Transfers
that listed prior to the most recent amendment to that rule, without
changing the substance of that application in any way.
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    \9\ 15 U.S.C. 78f(b).
    \10\ 15 U.S.C. 78f(b)(5).
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B. Self-Regulatory Organization's Statement on Burden on Competition

    The Exchange does not believe that the proposed rule change will
impose any burden on competition not necessary or appropriate in
furtherance of the purposes of the Act. As noted above, the proposal is
designed to clarify rule text and provide transparency in a manner
consistent with a previously approved rule amendment and does not
result in any substantive change in the application of the rule. The
proposal is therefore non substantive in nature and the Exchange does
not believe it imposes any burden on competition.

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

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

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

    The Exchange has filed the proposed rule change pursuant to Section
19(b)(3)(A)(iii) of the Act \11\ and Rule 19b-4(f)(6) thereunder.\12\
Because the proposed rule change does not: (i) Significantly affect the
protection of investors or the public interest; (ii) impose any
significant burden on competition; and (iii) become operative prior to
30 days from the date on which it was filed, or such shorter time as
the Commission may designate, if consistent with the protection of
investors and the public interest, the proposed rule change has become
effective pursuant to Section 19(b)(3)(A) of the Act \13\ and Rule 19b-
4(f)(6)(iii) thereunder.\14\
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    \11\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \12\ 17 CFR 240.19b-4(f)(6).
    \13\ 15 U.S.C. 78s(b)(3)(A).
    \14\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires the Exchange to give the Commission written notice of the
Exchange's intent to file the proposed rule change, along with a
brief description and text of the proposed rule change, at least
five business days prior to the date of filing of the proposed rule
change, or such shorter time as designated by the Commission. The
Exchange has complied with this requirement.
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    A proposed rule change filed under Rule 19b-4(f)(6) \15\ normally
does not become operative prior to 30 days after the date of the
filing. However, pursuant to Rule 19b-4(f)(6)(iii),\16\ the Commission
may designate a shorter time if such action is consistent with the
protection of investors and the public interest. The Exchange has asked
the Commission to waive the 30-day operative delay so that the proposal
may become operative immediately upon filing. The Commission believes
that waiver of the 30-day operative delay is consistent with the
protection of investors and the public interest because it will allow
the Exchange to immediately provide clarification and transparency in
the text of Section 907.00 as to how that rule is applied to Eligible
New Listings and Eligible Transfers that listed prior to the
implementation of the most recent amendment to Section 907.00.\17\
Accordingly, the Commission hereby waives the 30-day operative delay
and designates the proposal operative upon filing.\18\
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    \15\ 17 CFR 240.19b-4(f)(6).
    \16\ 17 CFR 240.19b-4(f)(6)(iii).
    \17\ See supra note 7.
    \18\ For purposes only of waiving the 30-day operative delay,
the Commission has considered the proposed rule change's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
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    At any time within 60 days of the filing of such proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission shall institute proceedings under
Section 19(b)(2)(B) \19\ of the Act to determine whether the proposed
rule change should be approved or disapproved.
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    \19\ 15 U.S.C. 78s(b)(2)(B).
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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-NYSE-2021-09 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-NYSE-2021-09. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the

proposed rule change between the Commission and any person, other than
those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for website viewing and
printing in the Commission's Public Reference Room, 100 F Street NE,
Washington, DC 20549, on official business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of the filing also will be available
for inspection and copying at the principal office of the Exchange. All
comments received will be posted without change. Persons submitting
comments are cautioned that we do not redact or edit personal
identifying information from comment submissions. You should submit
only information that you wish to make available publicly. All
submissions should refer to File Number SR-NYSE-2021-09, and should be
submitted on or before March 2, 2021.
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    \20\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\20\
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-02589 Filed 2-8-21; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 86, Number 130 (Monday, July 12, 2021)]
[Rules and Regulations]
[Pages 36493-36496]
[FR Doc No: 2021-14765]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Parts 61 and 141

[Docket No.: FAA-2021-0592]

Notification of Policy for Flight Training in Certain Aircraft

AGENCY: Federal Aviation Administration (FAA), Department of
Transportation (DOT).

ACTION: Notification of policy.

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SUMMARY: This notification provides clarification on flight training
for compensation in certain aircraft that hold special airworthiness
certificates including limited category,

experimental category, and primary category aircraft. It also provides
guidance on how flight training for compensation can be accomplished in
these aircraft in compliance with regulations and establishes a process
for owners of experimental aircraft to obtain a letter of deviation
authority to receive and provide compensation for flight training in
their experimental aircraft.

DATES: The policy described herein is effective July 12, 2021.

FOR FURTHER INFORMATION CONTACT: For technical questions concerning
this policy notification, contact Erin Cappel for information about
Letters of Deviation Authority and Thomas (TJ) Leahy for information
about exemption, General Aviation and Commercial Division, General
Aviation Operations Branch,<PHONE_NUMBER>, or email<EMAIL_ADDRESS>800 Independence Ave. SW, Washington, DC 20591.

SUPPLEMENTARY INFORMATION:

I. Background

    On April 2, 2021, the United States Court of Appeals for the
District of Columbia Circuit dismissed a petition for review of the
FAA's emergency cease and desist order against Warbird Adventures, Inc.
and Thom Richard (hereinafter ``Warbirds''), ordering that they cease
and desist from operating their limited category aircraft in violation
of Sec.  91.315 of title 14 of the Code of Federal Regulations (14
CFR). In this case, Warbirds maintained a publicly available website
that advertised opportunities to fly in Warbirds' limited category
aircraft at upcoming airshows and allowed members of the public to book
flights in exchange for substantial amounts of money. Section 91.315
states that no person may operate a limited category aircraft carrying
persons or property for compensation or hire.
    Before the Court, Warbirds argued that it was conducting flight
training for compensation in its limited category aircraft, which it
claimed is not prohibited under Sec.  91.315.\1\ The FAA responded
that, under the plain language of Sec.  91.315, flight training for
compensation constitutes operating a limited category aircraft carrying
a person for compensation or hire and, therefore, is a violation of the
regulation. After the Court dismissed the petition for review, several
industry groups requested that the FAA publish a statement explaining
the impact of the decision and providing clarification regarding flight
training in general and flight training for compensation in certain
aircraft that hold special airworthiness certificates.\2\ The FAA is
issuing this notification in response to the request from industry.
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    \1\ The FAA has not conceded that the flights being operated by
Warbirds were for the purpose of flight training.
    \2\ On April 19, 2021, AOPA, EAA, and GAMA sent a joint letter
to Ali Bahrami, then Associate Administrator for Aviation Safety. A
copy of this letter and the response has been placed in the docket
for this notification.
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II. FAA Regulations and Guidance

A. Pilot Requirements and Operating Requirements

    The requirements for a person exercising the privileges of a pilot
certificate or a flight instructor certificate are generally contained
in 14 CFR part 61. These regulations govern what is required to ``act
as pilot in command,'' ``serve as a required flightcrew member,'' or
``conduct flight training in an aircraft.'' The regulations in 14 CFR
part 91 by contrast contain operating requirements that govern how the
aircraft itself may be operated. The term ``operate'' is broadly
defined in 14 CFR 1.1 as ``use, cause to use or authorize to use
aircraft, for the purpose (except as provided in Sec.  91.13 of this
chapter) of air navigation including the piloting of aircraft, with or
without the right of legal control (as owner, lessee, or otherwise).''
As such, the determination of whether someone is operating an aircraft
is not contingent on ownership, flightcrew status, or the receipt of
payment for the use of the aircraft.
    Although a person may hold the appropriate privileges ``to act as
pilot in command'' or ``conduct flight training'' under part 61, the
regulations in part 91 may restrict the exercise of those privileges in
a particular category of aircraft under certain conditions, such as
operations conducted for compensation or hire. As defined, the term
``operate'' has broader meaning than the general terms used in part 61
that address ``acting as pilot in command'' or ``exercising the
privileges'' of a particular pilot certificate. A person may be
considered to ``operate'' an aircraft under the Sec.  1.1 definition
without serving as a required flightcrew member or manipulating the
controls of the aircraft.
    As noted, under Sec.  91.315, no person may operate a limited
category aircraft carrying persons or property for compensation or
hire. Based on the plain language of the regulation, the FAA's position
as represented in a 2014 legal interpretation \3\ and restated in the
Warbirds case is that a flight instructor who is operating (i.e.
``using'') a limited category aircraft that is carrying a person (e.g.
the person receiving instruction) for compensation (e.g. monetary
payment) is acting contrary to the regulation.\4\
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    \3\ FAA Legal Interpretation to Gregory Morris (October 7,
2014). The Morris Interpretation concluded, inter alia, that Sec.
91.315 ``does not set forth any exceptions for providing flight
training for hire in a limited category aircraft'' and that ``the
only way to provide such training is pursuant to an exemption from
this section of the regulations'' following the procedures of 14 CFR
part 11.
    \4\ Given the broad definition of ``operate'' in Sec.  1.1, both
the owner of a limited category aircraft seeking flight training and
the flight instructor providing the training are considered to be
operating the aircraft. The FAA notes that the term ``operate'' has
a different meaning from the term ``operational control,'' which is
defined in Sec.  1.1 as ``the exercise of authority over initiating,
conducting or terminating a flight.''
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    The regulations governing other categories of aircraft
(experimental aircraft in Sec.  91.319 and primary category aircraft in
Sec.  91.325) include the same language as the prohibition in Sec.
91.315. The prohibitions in Sec. Sec.  91.319 and 91.325 that mirror
the language in Sec.  91.315 must be read to have the same meaning.\5\
As such, a flight instructor providing flight training in one of these
categories of aircraft for compensation is acting contrary to the
regulations absent a letter of deviation authority (LODA), if
applicable, or exemption.
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    \5\ Consistent with the position for limited category aircraft,
FAA Order 8900.1 addresses the prohibition against the operation of
an experimental aircraft to carry persons or property for
compensation or hire. It acknowledges that the restriction
``prohibits the widespread use of experimental aircraft for flight
training for compensation or hire.'' FAA Order 8900.1, Vol. 3, Chpt.
11, sec. 1, para. 3-293.
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B. FAA Guidance on Flight Training for Compensation in Experimental
Aircraft

    FAA Order 8900.1 contains guidance for FAA inspectors that
indicates that flight training in an experimental aircraft for
compensation is permissible without a LODA under certain
circumstances.\6\ The guidance states that flight instructors may
receive compensation for providing flight training in an experimental
aircraft but may not receive compensation for the use of the aircraft
in which they provide that flight training unless they obtain a LODA
issued under Sec.  91.319(h). Likewise, the guidance states that owners
of experimental aircraft may receive and provide compensation for
flight training in their aircraft without a LODA, but owners may not
receive compensation for the use of their aircraft for flight training
except in

accordance with a LODA issued under Sec.  91.319(h).\7\
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    \6\ FAA Order 8900.1, Vol. 3, Chpt. 11, sec. 1, para. 3-292.
    \7\ Although there is no written guidance for limited category
and primary category aircraft, the FAA has applied the same approach
to flight training for compensation in limited category and primary
category aircraft.
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    The distinction set forth in FAA Order 8900.1 is inconsistent with
the definition of ``operate'' in Sec.  1.1 and the plain language of
Sec.  91.319. Where a regulation and guidance conflict, the regulation
controls.\8\ Accordingly, owners of experimental aircraft and flight
instructors who have operated experimental aircraft for the purpose of
compensated flight training without obtaining a LODA (as allowed by FAA
guidance) will be required to obtain a LODA to remain compliant with
the regulations.
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    \8\ The FAA will revise the guidance in the 8900.1 to reflect
the requirements in the regulation.
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III. Process for Compliance

    The FAA acknowledges that the disconnect between the regulations
and the guidance to inspectors has created confusion in industry. The
FAA also recognizes the value of specialized flight training in
aircraft that hold special airworthiness certificates under certain
conditions. This section provides guidance to owners of affected
aircraft and flight instructors seeking to conduct flight training for
compensation in these aircraft.

A. Experimental Category Aircraft

    In general, the FAA places limitations on the use of aircraft that
hold experimental airworthiness certificates because the airworthiness
certification requirements for these aircraft impose no standard and
pose unique operational risk to the national airspace system. FAA
regulations and guidance direct that, for most training, pilots should
use a standard category aircraft to accomplish training rather than
aircraft that hold special airworthiness certificates.
    Section 91.319(h), however, permits a person to apply for deviation
authority to conduct flight training in an experimental aircraft.
Currently, individuals seeking to provide flight training and receive
compensation for both the flight training and the use of the
experimental aircraft must submit an application package to the Flight
Standards District Office (FSDO) in the district in which the training
will take place. Under Sec.  91.319(h)(2), a request for deviation
authority must contain a complete description of the proposed operation
and justification that establishes a level of safety equivalent to that
provided under the regulations for the deviation requested. The FAA
generally limits LODAs to training that can only be accomplished in
aircraft with experimental certificates and directs its inspectors
that, with a few exceptions, LODAs should not be issued to permit
flight training in experimental aircraft leading toward the issuance of
a pilot certificate, rating, or operating privilege.
    As discussed, FAA guidance incorrectly indicates that no LODA is
necessary if the owner of an experimental aircraft provides
compensation for flight training in the owner's own aircraft and no
compensation is provided for the use of the aircraft itself. The FAA
will update the guidance to align with the regulation, as previously
discussed. To mitigate disruption for this type of flight training,
which has been allowed under FAA guidance and is viewed as an increased
safety measure for pilots who regularly fly these aircraft, the FAA has
developed an interim process to issue LODAs to the owners of
experimental aircraft and flight instructors that will permit flight
training for compensation in experimental aircraft when no compensation
is provided for the use of the aircraft.
    The FAA finds that, for owners of experimental aircraft seeking
flight training in the aircraft they will regularly fly in the national
airspace, the standard under Sec.  91.319(h)(2) for granting a LODA has
been met. The FAA has long emphasized the importance of pilots being
trained and checked in the aircraft they will operate. Specifically, it
is critical that pilots understand and are familiar with the particular
systems, procedures, operating characteristics, and limitations of the
aircraft they will operate. This flight training is distinct from a
situation where an aircraft with a special airworthiness certificate is
``held out'' broadly for training to individuals who pay for both the
flight training and the use of an aircraft that they will not have
further access to upon completion of LODA training. It is also distinct
from flight training that can be accomplished effectively and safely in
a standard category aircraft.
    The FAA will accept requests for a LODA electronically from an
owner of an experimental aircraft or flight instructor who chooses to
conduct training in experimental aircraft. LODAs, once issued, will
define the scope of the flight training activity so that owners of
experimental aircraft may receive and provide compensation for flight
training in their aircraft, as well as permit flight instructors to
receive compensation for flight training in an experimental aircraft.
These LODAs will prohibit owners and flight instructors from receiving
compensation for any other use of the aircraft in which the flight
training is provided.
    To obtain a LODA, owners of experimental aircraft and flight
instructors providing flight training in experimental aircraft may
submit a request to the following email address<EMAIL_ADDRESS>Applicants seeking a LODA through this process must
provide the following information:

 Name
 Address
 Email address
 Pilot Certificate Number
 Flight instructor certificate number (if applying as a
Certificated Flight Instructor (CFI))
 Aircraft Registration Number (if applying as an owner)
 Aircraft make/model in which you will receive or provide
instruction
 Aircraft home base airport (if applying as an owner)

The FAA will review the information submitted and issue a LODA (via
email) that reflects the conditions and limitations contained in this
notification, as well any additional limitations required in accordance
with Sec.  91.319(h) and (i).
    Individuals seeking to provide flight training and receive
compensation for both the flight training and the use of the aircraft
must continue to apply for LODAs through their local FSDOs.

B. Limited Category and Primary Category Aircraft

    Section 91.315 does not permit an individual to obtain deviation
authority to conduct flight training for compensation or hire in a
limited category aircraft. Therefore, as explained in the 2014 legal
interpretation, the only way to provide flight training for
compensation in a limited category aircraft is pursuant to an exemption
from the regulation. Because there is no deviation authority in Sec.
91.325 for primary category aircraft, the owners of these aircraft and
flight instructors seeking to conduct flight training for compensation
must likewise obtain an exemption from the regulation.
    As with the process for issuing LODAs to owners and flight
instructors, the FAA will consider adopting a fast-track exemption
process for owners of limited category and primary category aircraft
seeking to conduct flight training for compensation in these aircraft.
As with experimental category aircraft, the FAA will consider granting
relief for flight training operations when

compensation is provided solely for the flight training and not the use
of the aircraft.
    The FAA notes that any operator of a limited category aircraft that
holds an exemption to conduct Living History of Flight (LHFE)
operations already holds the necessary exemption relief to conduct
flight training for its flightcrew members. LHFE exemptions grant
relief to the extent necessary to allow the exemption holder to operate
certain aircraft for the purpose of carrying persons for compensation
or hire for living history flight experiences. As a condition of these
exemptions, the operators must provide regular flight training and
checking to flightcrew members. As such, these flight training
operations are considered necessary for the operator to conduct the
LHFE flights themselves.\9\ The FAA will clarify this relief when
operators apply for renewal of their LHFE exemptions.
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    \9\ The FAA cautions, however, that LHFE exemptions do not
permit operators to allow passengers on LHFE flights to manipulate
the controls of the aircraft under the guise of flight training. The
flight training relief extends only to the LHFE operator's own
flightcrew members for the purpose of training those individuals to
conduct LHFE flights.
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    For the safety reasons set forth in this notification, the FAA is
considering a rulemaking that would enable the flight training activity
discussed in this notification without the need to obtain an exemption
or LODA from the FAA.

    Issued in Washington, DC.
Ricardo Domingo,
Executive Director, Flight Standards Service, AFX-1.
[FR Doc. 2021-14765 Filed 7-8-21; 8:45 am]
BILLING CODE 4910-13-P