[Federal Register: October 20, 2008 (Volume 73, Number 203)]
[Notices]
[Page 62344-62350]
[DOCID:fr20oc08-111]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-58765; File No. 4-551]

Program for Allocation of Regulatory Responsibilities Pursuant to
Rule 17d-2; Notice of Filing and Order Approving and Declaring
Effective an Amendment to the Plan for the Allocation of Regulatory
Responsibilities Among the American Stock Exchange LLC, Boston Stock
Exchange, Inc., Chicago Board Options Exchange, Incorporated,
International Securities Exchange, LLC, Financial Industry Regulatory
Authority, Inc., The NASDAQ Stock Market LLC, NYSE Arca, Inc., and
NASDAQ OMX PHLX, Inc., Relating to Options Market Surveillance

October 9, 2008.
    Notice is hereby given that the Securities and Exchange Commission
(``Commission'') has issued an Order, pursuant to Section 17(d) of the
Securities Exchange Act of 1934 (``Act''),\1\ approving and declaring
effective an amendment to the plan for allocating regulatory
responsibility (``Plan'') filed pursuant to Rule 17d-2 of the Act,\2\
by the American Stock Exchange LLC (``Amex''), Boston Stock Exchange,
Inc. (``BSE''), Chicago Board Options Exchange, Incorporated
(``CBOE''), International Securities Exchange, LLC (``ISE''), Financial
Industry Regulatory Authority, Inc. (``FINRA''), The NASDAQ Stock
Market LLC (``NASDAQ''), NYSE Arca, Inc. (``NYSE Arca''), and NASDAQ
OMX PHLX, Inc. (``Phlx'') (collectively, ``SRO Participants'')
concerning options-related market surveillance.
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    \1\ 15 U.S.C. 78q(d).
    \2\ 17 CFR 240.17d-2.
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I. Introduction

    Section 19(g)(1) of the Act,\3\ among other things, requires every
self-regulatory organization (``SRO'') registered as either a national
securities exchange or national securities association to examine for,
and enforce compliance by, its members and persons associated with its
members with the Act, the rules and regulations thereunder, and the
SRO's own rules, unless the SRO is relieved of this responsibility
pursuant to Section 17(d) \4\ or Section 19(g)(2) \5\ of the Act.
Without this relief, the statutory obligation of each individual SRO
could result in a pattern of multiple examinations of broker-dealers
that

maintain memberships in more than one SRO (``common members''). Such
regulatory duplication would add unnecessary expenses for common
members and their SROs.
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    \3\ 15 U.S.C. 78s(g)(1).
    \4\ 15 U.S.C. 78q(d).
    \5\ 15 U.S.C. 78s(g)(2).
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    Section 17(d)(1) of the Act \6\ was intended, in part, to eliminate
unnecessary multiple examinations and regulatory duplication.\7\ With
respect to a common member, Section 17(d)(1) authorizes the Commission,
by rule or order, to relieve an SRO of the responsibility to receive
regulatory reports, to examine for and enforce compliance with
applicable statutes, rules, and regulations, or to perform other
specified regulatory functions.
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    \6\ 15 U.S.C. 78q(d)(1).
    \7\ See Securities Act Amendments of 1975, Report of the Senate
Committee on Banking, Housing, and Urban Affairs to Accompany S.
249, S. Rep. No. 94-75, 94th Cong., 1st Session 32 (1975).
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    To implement Section 17(d)(1), the Commission adopted two rules:
Rule 17d-1 and Rule 17d-2 under the Act.\8\ Rule 17d-1 authorizes the
Commission to name a single SRO as the designated examining authority
(``DEA'') to examine common members for compliance with the financial
responsibility requirements imposed by the Act, or by Commission or SRO
rules.\9\ When an SRO has been named as a common member's DEA, all
other SROs to which the common member belongs are relieved of the
responsibility to examine the firm for compliance with the applicable
financial responsibility rules. On its face, Rule 17d-1 deals only with
an SRO's obligations to enforce member compliance with financial
responsibility requirements. Rule 17d-1 does not relieve an SRO from
its obligation to examine a common member for compliance with its own
rules and provisions of the federal securities laws governing matters
other than financial responsibility, including sales practices and
trading activities and practices.
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    \8\ 17 CFR 240.17d-1 and 17 CFR 240.17d-2, respectively.
    \9\ See Securities Exchange Act Release No. 12352 (April 20,
1976), 41 FR 18808 (May 7, 1976).
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    To address regulatory duplication in these and other areas, the
Commission adopted Rule 17d-2 under the Act.\10\ Rule 17d-2 permits
SROs to propose joint plans for the allocation of regulatory
responsibilities with respect to their common members. Under paragraph
(c) of Rule 17d-2, the Commission may declare such a plan effective if,
after providing for notice and comment, it determines that the plan is
necessary or appropriate in the public interest and for the protection
of investors, to foster cooperation and coordination among the SROs, to
remove impediments to, and foster the development of, a national market
system and a national clearance and settlement system, and is in
conformity with the factors set forth in Section 17(d) of the Act.
Commission approval of a plan filed pursuant to Rule 17d-2 relieves an
SRO of those regulatory responsibilities allocated by the plan to
another SRO.
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    \10\ See Securities Exchange Act Release No. 12935 (October 28,
1976), 41 FR 49091 (November 8, 1976).
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II. The Plan

    On December 11, 2007, the Commission declared effective the SRO
Participants' Plan for allocating regulatory responsibilities pursuant
to Rule 17d-2.\11\ On April 11, 2008, the Commission approved an
amendment to the Plan to include NASDAQ as a participant.\12\ The Plan
is designed to reduce regulatory duplication for common members by
allocating regulatory responsibility for certain options-related market
surveillance matters among the SRO Participants.\13\ Generally, under
the current Plan, an SRO Participant will serve as the Designated
Options Surveillance Regulator (``DOSR'') for each common member
assigned to it and will assume regulatory responsibility with respect
to that common member's compliance with applicable common rules for
certain accounts. When an SRO has been named as a common member's DOSR,
all other SROs to which the common member belongs will be relieved of
regulatory responsibility for that common member, pursuant to the terms
of the Plan, with respect to the applicable common rules specified in
Exhibit A to the Plan.
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    \11\ See Securities Exchange Act Release No. 56941 (December 11,
2007), 72 FR 71723 (December 18, 2007) (File No. 4-551).
    \12\ See Securities Exchange Act Release No. 57649 (April 11,
2008), 73 FR 20976 (April 17, 2008) (File No. 4-551).
    \13\ The Plan is wholly separate from the multiparty options
agreement made pursuant to Rule 17d-2 by and among Amex, BSE, CBOE,
ISE, FINRA, New York Stock Exchange LLC, NASDAQ, NYSE Arca, and Phlx
involving the allocation of regulatory responsibilities with respect
to common members for options-related sales practice matters
relating to the conduct of broker-dealers of accounts for listed
options or index warrants. See Securities Exchange Act Release Nos.
57987 (June 18, 2008), 73 FR 36156 (June 25, 2008) (File No. S7-
966).
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III. Proposed Amendment to the Plan

    On October 1, 2008, the SRO Participants submitted a proposed
amendment to the Plan. The purpose of the amendment is to clarify that
the term Regulatory Responsibility for options position limits includes
examination responsibilities for the delta hedging exemption.
Specifically, the SRO Participants intend that FINRA will conduct
examinations for the delta hedging exemption for all common members
that are members of FINRA notwithstanding the fact that FINRA's
position limit rule is, in some cases, limited to only firms that are
not members of an options exchange (i.e., access members). In such
cases, FINRA's examinations for the delta hedging exemption will be for
the position limit rule(s) of the other SRO Participant(s).
Examinations for the delta hedging exemption for common members that
are non-FINRA members will be conducted by the same SRO Participant
conducting position limit surveillance as provided in Exhibit B to the
Plan. In addition, Exhibit A to the Plan has been updated to reflect
the addition of options position limit rules as common rules.
Accordingly, regulatory responsibility for a common member's compliance
with the options position limit rules included in Exhibit A to the Plan
will be allocated to the applicable DOSR as provided by the amended
Plan. The amended agreement replaces the previous agreement in its
entirety. The text of the proposed amended 17d-2 Plan is as follows
(additions are italicized; deletions are [bracketed]):
* * * * *

Agreement by and Among the American Stock Exchange LLC, the Boston
Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated,
the International Securities Exchange LLC, Financial Industry
Regulatory Authority, Inc., Nyse Arca, Inc., The Nasdaq Stock Market
LLC, and [the Philadelphia Stock Exchange] NASDAQ OMX PHLX, Inc.,
Pursuant to Rule 17d-2 Under the Securities Exchange Act of 1934

    This agreement (this ``Agreement''), by and among the American
Stock Exchange LLC (``Amex''), the Boston Stock Exchange, Inc.
(``BSE''), the Chicago Board Options Exchange, Incorporated (``CBOE''),
the International Securities Exchange LLC (``ISE''), Financial Industry
Regulatory Authority, Inc. (``FINRA''), NYSE Arca, Inc. (``Arca''), The
NASDAQ Stock Market LLC (``Nasdaq''), and the [Philadelphia Stock
Exchange] NASDAQ OMX PHLX, Inc. (``PHLX''), is made this 10th day of
October, 2007, and as amended [this] the 31st day of March, 2008, and
this 1st day of October, 2008, pursuant to Section 17(d) of the
Securities Exchange Act of 1934, as amended (the ``Exchange Act''), and
Rule 17d-2 thereunder (``Rule 17d-2''),

which allows for a joint plan among self-regulatory organizations
(``SROs'') to allocate regulatory obligations with respect to brokers
or dealers that are members of two or more of the parties to this
Agreement (``Common Members''). The Amex, BSE, CBOE, ISE, FINRA, Arca,
Nasdaq, and PHLX are collectively referred to herein as the
``Participants'' and individually, each a ``Participant.'' This
Agreement shall be administered by a committee known as the Options
Surveillance Group (the ``OSG'' or ``Group''), as described in Section
V hereof. Unless defined in this Agreement or the context otherwise
requires, the terms used herein shall have the meanings assigned
thereto by the Exchange Act and the rules and regulations thereunder.
    Whereas, the Participants desire to eliminate regulatory
duplication with respect to SRO market surveillance of Common Member
\11\ activities with regard to certain common rules relating to listed
options (``Options''); and
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    \11\ In the case of the BSE, members are those persons who are
Options Participants (as defined in the Boston Options Exchange LLC
Rules).
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    Whereas, for this purpose, the Participants desire to execute and
file this Agreement with the Securities and Exchange Commission (the
``SEC'' or ``Commission'') pursuant to Rule 17d-2.
    Now, Therefore, in consideration of the mutual covenants contained
in this Agreement, the Participants agree as follows:
    I. Except as otherwise provided in this Agreement, each Participant
shall assume Regulatory Responsibility (as defined below) for the
Common Members that are allocated or assigned to such Participant in
accordance with the terms of this Agreement and shall be relieved of
its Regulatory Responsibility as to the remaining Common Members. For
purposes of this Agreement, a Participant shall be considered to be the
Designated Options Surveillance Regulator (``DOSR'') for each Common
Member that is allocated to it in accordance with Section VII.
    II. As used in this Agreement, the term ``Regulatory
Responsibility'' shall mean surveillance, investigation and enforcement
responsibilities relating to compliance by the Common Members with such
Options rules of the Participants as the Participants shall determine
are substantially similar and shall approve from time to time, insofar
as such rules relate to market surveillance (collectively, the ``Common
Rules''). For the purposes of this Agreement the list of Common Rules
is attached as Exhibit A hereto, which may only be amended upon
unanimous written agreement by the Participants. The DOSR assigned to
each Common Member shall assume Regulatory Responsibility with regard
to that Common Member's compliance with the applicable Common Rules for
certain accounts.\12\ A DOSR may perform its Regulatory Responsibility
or enter an agreement to transfer or assign such responsibilities to a
national securities exchange registered with the SEC under Section 6(a)
of the Exchange Act or a national securities association registered
with the SEC under Section 15A of the Exchange Act. A DOSR may not
transfer or assign its Regulatory Responsibility to an association
registered for the limited purpose of regulating the activities of
members who are registered as brokers or dealers in security futures
products.
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    \12\ Certain accounts shall include customer (``C'' as
classified by the Options Clearing Corporation (``OCC'')) and firm
(``F'' as classified by OCC) accounts, as well as other accounts,
such as market maker accounts as the Participants shall, from time
to time, identify as appropriate to review.
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    The term ``Regulatory Responsibility'' does not include, and each
Participant shall retain full responsibility with respect to:
    (a) surveillance, investigative and enforcement responsibilities
other than those included in the definition of Regulatory
Responsibility;
    (b) any aspects of the rules of a Participant that are not
substantially similar to the Common Rules or that are allocated for a
separate surveillance purpose under any other agreement made pursuant
to Rule 17d-2. Any such aspects of a Common Rule will be noted as
excluded on Exhibit A.
    With respect to options position limits, the term Regulatory
Responsibility shall include examination responsibilities for the delta
hedging exemption. Specifically, the Participants intend that FINRA
will conduct examinations for delta hedging for all Common Members that
are members of FINRA notwithstanding the fact that FINRA's position
limit rule is, in some cases, limited to only firms that are not
members of an options exchange (i.e., access members). In such cases,
FINRA's examinations for delta hedging options position limit
violations will be for the identical or substantively similar position
limit rule(s) of the other Participant(s). Examinations for delta
hedging for Common Members that are non-FINRA members will be conducted
by the same Participant conducting position limit surveillance. The
allocation of Common Members to DOSRs for surveillance of compliance
with options position limits and other agreed to Common Rules is
provided in Exhibit B. The allocation of Common Members to DOSRs for
examinations of the delta hedging exemption under the options position
limits rules is provided in Exhibit C.
    III. Each year within 30 days of the anniversary date of the
commencement of operation of this Agreement, or more frequently if
required by changes in the rules of a Participant, each Participant
shall submit to the other Participants, through the Chair of the OSG,
an updated list of Common Rules for review. This updated list may add
Common Rules to Exhibit A, shall delete from Exhibit A rules of that
Participant that are no longer identical or substantially similar to
the Common Rules, and shall confirm that the remaining rules of the
Participant included on Exhibit A continue to be identically or
substantially similar to the Common Rules. Within 30 days from the date
that each Participant has received revisions to Exhibit A from the
Chair of the OSG, each Participant shall confirm in writing to the
Chair of the OSG whether that Participant's rules listed in Exhibit A
are Common Rules.
    IV. Apparent violation of another Participant's rules discovered by
a DOSR, but which rules are not within the scope of the discovering
DOSR's Regulatory Responsibility, shall be referred to the relevant
Participant for such action as is deemed appropriate by that
Participant.
    Notwithstanding the foregoing, nothing contained herein shall
preclude a DOSR in its discretion from requesting that another
Participant conduct an investigative or enforcement proceeding
(``Proceeding'') on a matter for which the requesting DOSR has
Regulatory Responsibility. If such other Participant agrees, the
Regulatory Responsibility in such case shall be deemed transferred to
the accepting Participant and confirmed in writing by the Participants
involved. Additionally, nothing in this Agreement shall prevent another
Participant on whose market potential violative activity took place
from conducting its own Proceeding on a matter. The Participant
conducting the Proceeding shall advise the assigned DOSR. Each
Participant agrees, upon request, to make available promptly all
relevant files, records and/or witnesses necessary to assist another
Participant in a Proceeding.
    V. The OSG shall be composed of one representative designated by
each of the Participants (a ``Representative''). Each Participant shall
also designate one or more persons as its alternate representative(s)
(an ``Alternate Representative''). In the absence of the
Representative, the Alternate

Representative shall assume the powers, duties and responsibilities of
the Representative. Each Participant may at any time replace its
Representative and/or its Alternate Representative to the Group.\13\ A
majority of the OSG shall constitute a quorum and, unless otherwise
required, the affirmative vote of a majority of the Representatives
present (in person, by telephone or by written consent) shall be
necessary to constitute action by the Group. The Group will have a
Chair, Vice Chair and Secretary. A different Participant will assume
each position on a rotating basis for a one-year term. In the event
that a Participant replaces a Representative who is acting as Chair,
Vice Chair or Secretary, the newly appointed Representative shall
assume the position of Chair, Vice Chair, or Secretary (as applicable)
vacated by the Participant's former Representative. In the event a
Participant cannot fulfill its duties as Chair, the Participant serving
as Vice Chair shall substitute for the Chair and complete the subject
unfulfilled term. All notices and other communications for the OSG are
to be sent in care of the Chair and, as appropriate, to each
Representative.
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    \13\ A Participant must give notice to the Chair of the Group of
such a change.
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    VI. The OSG shall determine the times and locations of Group
meetings, provided that the Chair, acting alone, may also call a
meeting of the Group in the event the Chair determines that there is
good cause to do so. To the extent reasonably possible, notice of any
meeting shall be given at least ten business days prior to the meeting
date. Representatives shall always be given the option of participating
in any meeting telephonically at their own expense rather than in
person.
    VII. No less frequently than every two years, in such manner as the
Group deems appropriate, the OSG shall allocate Common Members that
conduct an Options business among the Participants (``Allocation''),
and the Participant to which a Common Member is allocated will serve as
the DOSR for that Common Member. Any Allocation shall be based on the
following principles, except to the extent all affected Participants
consent to one or more different principles:
    (a) The OSG may not allocate a Common Member to a Participant
unless the Common Member is a member of that Participant.
    (b) To the extent practicable, Common Members that conduct an
Options business shall be allocated among the Participants of which
they are members in such manner as to equalize as nearly as possible
the allocation among such Participants, provided that no Common Members
shall be allocated to FINRA. For example, if sixteen Common Members
that conduct an Options business are members only of three
Participants, none of which is FINRA, those Common Members shall be
allocated among the three Participants such that no Participant is
allocated more than six such members and no Participant is allocated
less than five such members. If, in the previous example, one of the
three Participants is FINRA, the sixteen Common Members would be
allocated evenly between the remaining Participants, so that the two
non-FINRA Participants would be allocated eight Common Members each.
    (c) To the extent practicable, Allocation shall take into account
the amount of Options activity conducted by each Common Member in order
to most evenly divide the Common Members with the largest amount of
activity among the Participants of which they are members. Allocation
will also take into account similar allocations pursuant to other plans
or agreements to which the Common Members are party to maintain
consistency in oversight of the Common Members.\14\
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    \14\ For example, if one Participant was allocated a Common
Member by another regulatory group that Participant would be
assigned to be the DOSR of that Common Member, unless there is good
cause not to make that assignment.
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    (d) To the extent practicable, Allocation of Common Members to
Participants will be rotated among the applicable Participants such
that a Common Member shall not be allocated to a Participant to which
that Common Member was allocated within the previous two years. The
assignment of DOSRs pursuant to the Allocation is attached as Exhibit B
hereto, and will be updated from time to time to reflect Common Member
Allocation changes.
    (e) The Group may reallocate Common Members from time-to-time, as
it deems appropriate.
    (f) Whenever a Common Member ceases to be a member of its DOSR, the
DOSR shall promptly inform the Group, which shall review the matter and
allocate the Common Member to another Participant.
    (g) A DOSR may request that a Common Member to which it is assigned
be reallocated to another Participant by giving 30 days written notice
to the Chair of the OSG. The Group, in its discretion, may approve such
request and reallocate the Common Member to another Participant.
    (h) All determinations by the Group with respect to Allocation
shall be made by the affirmative vote of a majority of the Participants
that, at the time of such determination, share the applicable Common
Member being allocated; a Participant shall not be entitled to vote on
any Allocation relating to a Common Member unless the Common Member is
a member of such Participant.
    VIII. Each DOSR shall conduct routine surveillance reviews to
detect violations of the applicable Common Rules by each Common Member
allocated to it with a frequency (daily, weekly, monthly, quarterly,
semi-annually or annually as noted on Exhibit A) not less than that
determined by the Group. The other Participants agree that, upon
request, relevant information in their respective files relative to a
Common Member will be made available to the applicable DOSR. In
addition, each Participant shall provide, to the extent not otherwise
already provided, information pertaining to its surveillance program
that would be relevant to FINRA or the Participant(s) conducting
routine examinations for the delta hedging exemption.
    At each meeting of the OSG, each Participant shall be prepared to
report on the status of its surveillance program for the previous
quarter and any period prior thereto that has not previously been
reported to the Group. In the event a DOSR believes it will not be able
to complete its Regulatory Responsibility for its allocated Common
Members, it will so advise the Group in writing promptly. The Group
will undertake to remedy this situation by reallocating the subject
Common Members among the remaining Participants. In such instance, the
Group may determine to impose a regulatory fee for services provided to
the DOSR that was unable to fulfill its Regulatory Responsibility.
    IX. Each Participant will, upon request, promptly furnish a copy of
the report or applicable portions thereof relating to any investigation
made pursuant to the provisions of this Agreement to each other
Participant of which the Common Member under investigation is a member.
    X. Each Participant will routinely populate a common database, to
be accessed by the Group relating to any formal regulatory action taken
during the course of a Proceeding with respect to the Common Rules
concerning a Common Member.
    XI. Any written notice required or permitted to be given under this
Agreement shall be deemed given if sent by certified mail, return
receipt requested, to any Participant to the attention of that
Participant's Representative, to the Participant's principal place of
business or by e-mail at such address as the Representative

shall have filed in writing with the Chair.
    XII. The costs incurred by each Participant in discharging its
Regulatory Responsibility under this Agreement are not reimbursable.
However, any of the Participants may agree that one or more will
compensate the other(s) for costs incurred.
    XIII. The Participants shall notify the Common Members of this
Agreement by means of a uniform joint notice approved by the Group.
Each Participant will notify the Common Members that have been
allocated to it that such Participant will serve as DOSR for that
Common Member.
    XIV. This Agreement shall be effective upon approval of the
Commission. This Agreement may only be amended in writing duly approved
by each Participant. All amendments to this Agreement, excluding
changes to Exhibits A, B and [B]C, must be filed with and approved by
the Commission.
    XV. Any Participant may manifest its intention to cancel its
participation in this Agreement at any time upon providing written
notice to (i) the Group six months prior to the date of such
cancellation, or such other period as all the Participants may agree,
and (ii) the Commission. Upon receipt of the notice the Group shall
allocate, in accordance with the provisions of this Agreement, those
Common Members for which the canceling Participant was the DOSR. The
canceling Participant shall retain its Regulatory Responsibility and
other rights, privileges and duties pursuant to this Agreement until
the Group has completed the reallocation as described above, and the
Commission has approved the cancellation.
    XVI. The cancellation of its participation in this Agreement by any
Participant shall not terminate this Agreement as to the remaining
Participants. This Agreement will only terminate following notice to
the Commission, in writing, by the then Participants that they intend
to terminate the Agreement and the expiration of the applicable notice
period. Such notice shall be given at least six months prior to the
intended date of termination, or such other period as all the
Participants may agree. Such termination will become effective upon
Commission approval.
    XVII. Participation in the Group shall be strictly limited to the
Participants and no other party shall have any right to attend or
otherwise participate in the Group except with the unanimous approval
of all Participants. Notwithstanding the foregoing, any national
securities exchange registered with the SEC under Section 6(a) of the
Act or any national securities association registered with the SEC
under section 15A of the Act may become a Participant to this Agreement
provided that: (i) Such applicant has adopted rules substantially
similar to the Common Rules, and received approval thereof from the
SEC; (ii) such applicant has provided each Participant with a signed
statement whereby the applicant agrees to be bound by the terms of this
Agreement to the same effect as though it had originally signed this
Agreement and (iii) an amended agreement reflecting the addition of
such applicant as a Participant has been filed with and approved by the
Commission.
    XVIII. This Agreement is wholly separate from the multiparty
Agreement made pursuant to Rule 17d-2 by and among the Amex, BSE, CBOE,
ISE, NASD, the New York Stock Exchange, LLC, Arca and PHLX involving
the allocation of regulatory responsibilities with respect to common
members for compliance with common rules relating to the conduct by
broker-dealers of accounts for listed options or index warrants entered
into on December 1, 2006, and as may be amended from time to time.
Limitation of Liability
    No Participant nor the Group nor any of their respective directors,
governors, officers, employees or representatives shall be liable to
any other Participant in this Agreement for any liability, loss or
damage resulting from or claimed to have resulted from any delays,
inaccuracies, errors or omissions with respect to the provision of
Regulatory Responsibility as provided hereby or for the failure to
provide any such Regulatory Responsibility, except with respect to such
liability, loss or damages as shall have been suffered by one or more
of the Participants and caused by the willful misconduct of one or more
of the other Participants or its respective directors, governors,
officers, employees or representatives. No warranties, express or
implied, are made by the Participants, individually or as a group, or
by the OSG with respect to any Regulatory Responsibility to be
performed hereunder.
Relief From Responsibility
    Pursuant to Section 17(d)(1)(A) of the Exchange Act and Rule 17d-2,
the Participants join in requesting the Commission, upon its approval
of this Agreement or any part thereof, to relieve the Participants that
are party to this Agreement and are not the DOSR as to a Common Member
of any and all Regulatory Responsibility with respect to the matters
allocated to the DOSR.
    This Agreement may be executed in any number of counterparts, each
of which shall be deemed to be an original, but all such counterparts
shall together constitute one and the same Agreement.
    In Witness Whereof, the Participants hereto have executed this
Agreement as of the date and year first above written.
* * * * *
OPTIONS SURVEILLANCE GROUP 17d-2
Exhibit A

                                                  Common Rules
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                                                                    Exchange rule
              SRO                      Description of rule             number            Frequency of review
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Violation I: Expiring Exercise Declarations (EED)--For Listed Equity Options Expiring: the Third Saturday
 Following the Third Friday of a Month, Quarterly, AND for Listed FLEX Options
----------------------------------------------------------------------------------------------------------------
Amex..........................  Exercise of Options Contracts...  [Amex] Rule 980.  At Expiration.
BOX...........................  Exercise of Options Contracts...  [BOX] Rule 7.1..  At Expiration.
CBOE..........................  Exercise of Options Contracts...  [CBOE] Rule 11.1  At Expiration.
FINRA.........................  Exercise of Options Contracts...  NASD Rule 2860..  At Expiration.
ISE...........................  Exercise of Options Contracts...  [ISE] Rule 1100.  At Expiration.
Nasdaq........................  Exercise of Options Contracts...  Nasdaq Chapter    At Expiration.
                                                                   VIII, Sec.1.
NYSEArca......................  Exercise of Options Contracts...  [NYSEArca] Rule   At Expiration.
                                                                   6.24.
PHLX..........................  Exercise of Equity Options        [PHLX] Rule 1042  At Expiration.
                                 Contracts.
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Violation II: Position Limits. (PL)--For Listed Equity Options Expiring: The Third Saturday Following The Third
 Friday of a Month, Quarterly
----------------------------------------------------------------------------------------------------------------

Amex..........................  Position Limits.................  Rule 904........  Daily.
                                Liquidating Positions...........  Rule 907........  As Needed.
BOX...........................  Position Limits.................  Chapter III,      Daily.
                                                                   Section 7.
                                Exemptions from Position........  Chapter III,      As Needed.
                                                                   Section 8.
                                Liquidation Positions...........  Chapter III,      As Needed.
                                                                   Section 11.
CBOE..........................  Position Limits.................  Rule 4.11.......  Daily.
                                Liquidation of Positions........  Rule 4.14.......  As Needed.
FINRA.........................  Position Limits.................  NASD Rule         Daily.
                                                                   2860(b)(3).
                                Liquidation of Positions. and     NASD Rule         As Needed.
                                 Restrictions on Access.           2860(b)(6).
ISE...........................  Position Limits.................  Rule 412........  Daily.
                                Exemptions from Position Limits.  Rule 413........  As Needed.
                                Liquidating Positions...........  Rule 416........  As Needed.
Nasdaq........................  Position Limits.................  Nasdaq Rule       Daily.
                                                                   Chapter III
                                                                   Section 7.
                                Exemptions from Position Limits.  Nasdaq Rule       As Needed.
                                                                   Chapter III
                                                                   Section 8.
                                Liquidating Positions...........  Nasdaq Rule       As Needed.
                                                                   Chapter III
                                                                   Section 11.
NYSEArca......................  Position Limits.................  Rule 6.8........  Daily.
                                Liquidation of Position.........  Rule 6.7........  As Needed.
PHLX..........................  Position Limits.................  Rule 1001.......  Daily.
                                Liquidation of Positions........  Rule 1004.......  As Needed.
----------------------------------------------------------------------------------------------------------------

* * * * *

IV. Solicitation of Comments

    Interested persons are invited to submit written data, views, and
arguments concerning the foregoing. Comments may be submitted by any of
the following methods:

Electronic Comments

     Use the Commission's Internet comment form (http://
www.sec.gov/rules/other.shtml); or
     Send an e-mail to<EMAIL_ADDRESS>Please include
File Number 4-551 on the subject line.

Paper Comments

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

All submissions should refer to File Number 4-551. 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/other.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed plan that are filed with the
Commission, and all written communications relating to the proposed
plan 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, on official business days between
the hours of 10 a.m. and 3 p.m. Copies of the plan also will be
available for inspection and copying at the principal offices of Amex,
BSE, CBOE, ISE, FINRA, NASDAQ, NYSE Arca, and Phlx. 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 4-551 and should be submitted
on or before November 10, 2008.

V. Discussion

    The Commission continues to believe that the Plan, as proposed to
be amended, is an achievement in cooperation among the SRO
Participants, and will reduce unnecessary regulatory duplication by
allocating to the designated SRO the responsibility for certain
options-related market surveillance matters that would otherwise be
performed by multiple SROs. The Plan promotes efficiency by reducing
costs to firms that are members of more than one of the SRO
Participants. In addition, because the SRO Participants coordinate
their regulatory functions in accordance with the Plan, the Plan
promotes, and will continue to promote, investor protection.
    Under paragraph (c) of Rule 17d-2, the Commission may, after
appropriate notice and comment, declare a plan, or any part of a plan,
effective. In this instance, the Commission believes that appropriate
notice and comment can take place after the proposed amendment is
effective. The Commission notes that the SRO Participants have
separately determined to add options position limit rules to the list
of common rules included in Exhibit A to the Plan.\14\ To cover the
full scope of regulatory responsibilities associated with these new
position limit common rules, the SRO Participants have proposed to add
language to the Plan to clarify the allocation of examination
responsibilities with respect to the delta hedging exemption from
options position limits. The amended Plan allocates to FINRA the
examination responsibilities with respect to the delta hedging
exemption for all common members that are members of FINRA, and
allocates to the applicable DOSR the examination responsibilities with
respect to the delta hedging exemption for common members that are not
members of FINRA. In addition, to facilitate the ability of FINRA or a
DOSR to perform examination responsibilities with regard to the
position limit rules, the amended Plan states that each SRO Participant
shall provide information pertaining to its surveillance program that
would be relevant to FINRA or the applicable DOSR conducting routine
examinations for the delta hedging exemption. By declaring it effective
today, the amended Plan can become effective and be implemented without
undue delay.
---------------------------------------------------------------------------

    \14\ See Section XIV of the Plan (regarding amendments to the
Plan).

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

VI. Conclusion

    This order gives effect to the amended Plan submitted to the
Commission that is contained in File No. 4-551.
    It is therefore ordered, pursuant to Section 17(d) of the Act,\15\
that the Plan, as amended, made by and between Amex, BSE, CBOE, ISE,
FINRA, NASDAQ, NYSE Arca, and Phlx filed with the Commission pursuant
to Rule 17d-2 on October 1, 2008 is hereby approved and declared
effective.
---------------------------------------------------------------------------

    \15\ 15 U.S.C. 78q(d).
---------------------------------------------------------------------------

    It is further ordered that those SRO Participants that are not the
DOSR as to a particular common member are relieved of those regulatory
responsibilities allocated to the common member's DOSR under the
amended Plan to the extent of such allocation.
    It is further ordered that the SRO Participants are relieved of the
examination responsibilities with respect to the delta hedging
exemption from options position limits for all common members allocated
to FINRA under the amended Plan to the extent of such allocation.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\16\
---------------------------------------------------------------------------

    \16\ 17 CFR 200.30-3(a)(34).
---------------------------------------------------------------------------

Florence E. Harmon,
Acting Secretary.
 [FR Doc. E8-24740 Filed 10-17-08; 8:45 am]

BILLING CODE 8011-01-P


[Federal Register Volume 86, Number 35 (Wednesday, February 24, 2021)]
[Proposed Rules]
[Pages 11211-11212]
[FR Doc No: 2021-02680]

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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Part 52

[EPA-R08-OAR-2020-0739; FRL-10020-10-Region 8]

Approval and Promulgation of Implementation Plans; South Dakota;
Revisions to Air Rules of South Dakota

AGENCY: Environmental Protection Agency (EPA).

ACTION: Proposed rule.

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SUMMARY: The Environmental Protection Agency (EPA) is proposing to
approve a State Implementation Plan (SIP) revision submitted by the
State of South Dakota on January 3, 2020 that revises the
Administrative Rules of South Dakota (ARSD), Air Pollution Control
Program, updating the chapter pertaining to definitions. The EPA is
taking this action pursuant to the Clean Air Act (CAA).

DATES: Written comments must be received on or before March 26, 2021.

ADDRESSES: Submit your comments, identified by Docket ID No. EPA-R08-
OAR-2020-0739, to the Federal Rulemaking Portal: https://www.regulations.gov. Follow the online instructions for submitting
comments. Once submitted, comments cannot be edited or removed from
www.regulations.gov. The EPA may publish any comment received to its
public docket. Do not submit electronically any information you
consider to be Confidential Business Information (CBI) or other
information whose disclosure is restricted by statute. Multimedia
submissions (audio, video, etc.) must be accompanied by a written
comment. The written comment is considered the official comment and
should include discussion of all points you wish to make. The EPA will
generally not consider comments or comment contents located outside of
the primary submission (i.e., on the web, cloud, or other file sharing
system). For additional submission methods, the full EPA public comment
policy, information about CBI or multimedia submissions, and general
guidance on making effective comments, please visit http://www2.epa.gov/dockets/commenting-epa-dockets.
    Docket: All documents in the docket are listed in the
www.regulations.gov index. Although listed in the index, some
information is not publicly available, e.g., CBI or other information
whose disclosure is restricted by statute. Certain other material, such
as copyrighted material, will be publicly available only in hard copy.
Publicly available docket materials are available electronically in
www.regulations.gov. To reduce the risk of COVID-19 transmission, for
this action we do not plan to offer hard copy review of the docket.
Please email or call the person listed in the FOR FURTHER INFORMATION
CONTACT section if you need to make alternative arrangements for access
to the docket.

FOR FURTHER INFORMATION CONTACT: Kate Gregory,<PHONE_NUMBER>,
<EMAIL_ADDRESS>Mail can be directed to the Air and Radiation
Division, U.S. EPA, Region 8, Mail-code 8ARD-QP, 1595 Wynkoop Street,
Denver, Colorado 80202-1129.

SUPPLEMENTARY INFORMATION: Throughout this document wherever ``we,''
``us,'' or ``our'' is used, we mean the EPA.

I. Background

    On January 3, 2020 the State of South Dakota submitted proposed
revisions and additions to the ARSD. In this action, we are proposing
to approve the additions to the ARSD pertaining to the definitions
section.

II. EPA's Evaluation

    On January 3, 2020 the EPA received revisions for the ARSD for the
State of South Dakota. The submittal was signed by the Governor and
received a 30-day State public comment period starting on November 26,
2019 (no requests were made for a public hearing). The EPA is proposing
to approve the revisions to the ARSD, specifically the additions to the
definitions section, for the State of South Dakota submitted by the
State on January 3, 2020 in this action.

III. Proposed Action

    In this action, the EPA is proposing to approve the revisions to
the ARSD submitted by the State of South Dakota on January 3, 2020,
specifically the additions of 74:36:01(74) and 74:36:01(75) in the
definitions section of the ARSD.\1\ The subsections of the ARSD
definitions section we are proposing to approve, 74:36:01(74) and
74:36:01(75), contain the definitions of `closed landfill' and `closed
landfill subcategory' respectively. In this action, we are proposing to
approve the addition of the abovementioned subsections to the
definitions section of the ARSD. Additional revisions and additions to
the ARSD, related to content including `closed landfill' and `closed
landfill subcategory' have been proposed for approval in a separate
document [(85 FR 68538) Approval and Promulgation of State Plans for
Designated Facilities and Pollutants; South Dakota; Control of
Emissions From Existing Municipal Solid Waste Landfills].
---------------------------------------------------------------------------

    \1\ The additional revisions and additions to the ARSD as they
relate to the SIP referenced in the January 3, 2020 ARSD rule
revision submission by the State of South Dakota were approved in a
prior rule: Air Quality State Implementation Plans; Approval and
Promulgation of Implementation Plans; South Dakota; Infrastructure
Requirements for the 2015 Ozone National Ambient Air Quality
Standards; Revisions to Administrative Rules (85 FR 67653).
---------------------------------------------------------------------------

    In the table below, the key is as follows:
    A--Approve.
    D--Disapprove.

       Table 1--ARSD Additions That the EPA Is Proposing To Act On
------------------------------------------------------------------------

------------------------------------------------------------------------
        Additions the Administrative Rules of South Dakota (ARSD)
------------------------------------------------------------------------
74:36:01(74)..................................................        A
74:36:01(75)..................................................        A
------------------------------------------------------------------------

IV. Incorporation by Reference

    In this document, the EPA is proposing to include regulatory text
in an EPA final rule that includes incorporation by reference. In
accordance with requirements of 1 CFR 51.5, the EPA is proposing to
incorporate by reference South Dakota's January 3, 2020 submission of
the ARSD of the State of South Dakota as described in the Proposed
Action section of this preamble. The EPA has made, and will continue to
make, these materials generally available through www.regulations.gov
and at the EPA Region 8 Office (please contact the persons identified
in the FOR FURTHER INFORMATION CONTACT section of this preamble for
more information).

V. Statutory and Executive Order Reviews

    Under the CAA, the Administrator is required to approve a SIP
submission that complies with the provisions of the Act and applicable
Federal regulations. 42 U.S.C. 7410(k); 40 CFR 52.02(a). Thus, in
reviewing SIP submissions, the EPA's role is to approve state choices,
provided that they meet the criteria of the CAA. Accordingly, this
action merely proposes to approve state law as meeting Federal
requirements and does not impose additional requirements beyond those
imposed by state law. For that reason, this action:
     Is not a ``significant regulatory action'' subject to
review by the Office of Management and Budget under Executive Orders
12866 (58 FR 51735, October 4, 1993) and 13563 (76 FR 3821, January 21,
2011);
     Is not an Executive Order 13771 (82 FR 9339, February 2,
2017) regulatory action because SIP approvals are exempted under
Executive Order 12866;
     Does not impose an information collection burden under the
provisions of the Paperwork Reduction Act (44 U.S.C. 3501 et seq.);
     Is certified as not having a significant economic impact
on a substantial number of small entities under the Regulatory
Flexibility Act (5 U.S.C. 601 et seq.);
     Does not contain any unfunded mandate or significantly or
uniquely affect small governments, as described in the Unfunded
Mandates Reform Act of 1995 (Pub. L. 104-4);
     Does not have Federalism implications as specified in
Executive Order 13132 (64 FR 43255, August 10, 1999);
     Is not an economically significant regulatory action based
on health or safety risks subject to Executive Order 13045 (62 FR
19885, April 23, 1997);
     Is not a significant regulatory action subject to
Executive Order 13211 (66 FR 28355, May 22, 2001);
     Is not subject to requirements of section 12(d) of the
National Technology Transfer and Advancement Act of 1995 (15 U.S.C. 272
note) because application of those requirements would be inconsistent
with the CAA; and
     Does not provide EPA with the discretionary authority to
address, as appropriate, disproportionate human health or environmental
effects, using practicable and legally permissible methods, under
Executive Order 12898 (59 FR 7629, February 16, 1994).
    In addition, the SIP is not approved to apply on any Indian
reservation land or in any other area where EPA or an Indian tribe has
demonstrated that a tribe has jurisdiction. In those areas of Indian
country, the proposed rule does not have tribal implications and will
not impose substantial direct costs on tribal governments or preempt
tribal law as specified by Executive Order 13175 (65 FR 67249, November
9, 2000).

List of Subjects in 40 CFR Part 52

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

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

    Dated: February 3, 2021.
Debra Thomas,
Acting Regional Administrator, Region 8.
[FR Doc. 2021-02680 Filed 2-23-21; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register: December 23, 2009 (Volume 74, Number 245)]
[Proposed Rules]
[Page 68194-68196]
[DOCID:fr23de09-20]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2009-0302; Directorate Identifier 2009-NE-09-AD]
RIN 2120-AA64

Airworthiness Directives; Turbom[eacute]ca ARRIEL 1B, 1D, 1D1,
2B, and 2B1 Turboshaft Engines

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of proposed rulemaking (NPRM).

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

SUMMARY: We propose to revise an existing airworthiness directive (AD)
for the products listed above. This proposed AD results from mandatory
continuing airworthiness information (MCAI) issued by an aviation
authority of another country to identify and correct an unsafe
condition on an aviation product. The MCAI describes the unsafe
condition as:

    During production of Arriel 1 and Arriel 2 Power Turbine (PT)
wheels, geometric non-conformances on blade fir tree roots have been
detected by Turbom[eacute]ca. Potentially non-conforming PT blades
have been traced as having been installed on Module M04 (PT) listed
in Mandatory Service Bulletin (MSB) A292 72 0827 for Arriel 1
engines and A292 72 2833 for Arriel 2 engines.
    The geometric non-conformities of the blades may potentially
lead to a reduction in the fatigue resistance of PT blades to a
lower level than their authorized in service use limit. This
reduction of fatigue resistance can potentially result in blade
release, which could cause an uncommanded in-flight shutdown.

    We are proposing this AD to prevent release of PT blades, which
could result in an uncommanded in-flight shutdown and emergency
autorotation landing.

DATES: We must receive comments on this proposed AD by January 22,
2010.

ADDRESSES: You may send comments by any of the following methods:
     Federal eRulemaking Portal: Go to http://
www.regulations.gov and follow the instructions for sending your
comments electronically.
     Mail: Docket Management Facility, U.S. Department of
Transportation, 1200 New Jersey Avenue, SE., West Building Ground
Floor, Room W12-140, Washington, DC 20590-0001.
     Hand Delivery: Deliver to Mail address above between 9
a.m. and 5 p.m., Monday through Friday, except Federal holidays.
     Fax:<PHONE_NUMBER>.
    Contact Turbom[eacute]ca, 40220 Tarnos, France; telephone 33 05 59
74 40 00, fax 33 05 59 74 45 15, for the service information identified
in this proposed AD.

Examining the AD Docket

    You may examine the AD docket on the Internet at http://
www.regulations.gov; or in person at the Docket Operations office
between 9 a.m. and 5 p.m., Monday through Friday, except Federal
holidays. The AD docket contains this proposed AD, the regulatory
evaluation, any comments received, and other information. The street
address for the Docket Operations office (telephone<PHONE_NUMBER>) is
the same as the Mail address provided in the ADDRESSES section.
Comments will be available in the AD docket shortly after receipt.

FOR FURTHER INFORMATION CONTACT: Kevin Dickert, Aerospace Engineer,
Engine Certification Office, FAA, Engine and Propeller Directorate, 12
New England Executive Park, Burlington, MA 01803; e-mail:
<EMAIL_ADDRESS>telephone<PHONE_NUMBER>, fax<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Comments Invited

    We invite you to send any written relevant data, views, or
arguments about this proposed AD. Send your comments to an address
listed under the ADDRESSES section. Include ``Docket No. FAA-2009-0302;
Directorate Identifier 2009-NE-09-AD'' at the beginning of your
comments. We specifically invite comments on the overall regulatory,
economic, environmental, and energy aspects of this proposed AD. We
will consider all comments received by the closing date and may amend
this proposed AD based on those comments.
    We will post all comments we receive, without change, to http://
www.regulations.gov, including any personal information you provide. We
will also post a report summarizing each substantive verbal contact
with FAA personnel concerning this proposed AD. Using the search
function of the Web site, anyone can find and read the comments in any
of our dockets, including, if provided, the name of the individual who
sent the comment (or signed the comment on behalf of an association,
business, labor union, etc.). You may review the DOT's complete Privacy
Act Statement in the Federal Register published on April 11, 2000 (65
FR 19477-78).

Discussion

    On April 6, 2009, the FAA issued AD 2009-08-08, Amendment 39-15881
(74 FR 17075, April 14, 2009). That AD requires:
     For engines with an affected Module M04 (PT module) which
has accumulated 1,000 total PT cycles or more on the effective date of
that AD, remove the PT blades from service before further flight.
     For engines with an affected Module M04 (PT module) which
has accumulated fewer than 1,000 total PT cycles on the effective date
of that AD, remove the PT blades from service before accumulating 1,000
total PT cycles.
     After the effective date of that AD, do not install any PT
blades removed as specified in paragraph (e)(1) or (e)(2) of that AD,
into any engine.

Actions Since AD 2009-08-08 Was Issued

    Since that AD was issued, the European Aviation Safety Agency
(EASA), which is the Technical Agent for the Member States of the
European Community, has issued EASA Airworthiness Directive 2009-
0112R1, dated July 30, 2009 (referred to after this as ``the MCAI''),
to correct an unsafe condition for the specified products. The MCAI
states:

    Since issuance of initial version of AD 2009-0112 additional
information is available:

--The list of Modules M04 concerned by the restriction of the cycle
use limit of these PT blades has been updated again: The serial
numbers of Modules M04 which have been retrofitted are crossed out.
However no new affected Modules M04 have been identified. See figure
1 of the referenced Turbom[eacute]ca MSB.
--Additional testing and analysis had been carried out by
Turbom[eacute]ca which allows increasing the cyclic use limit of
these PT blades to 5 000 flight cycles.

Therefore this AD revises AD 2009-0112 and requires establishing the
cyclic use limit of these PT blades to 5 000 flight cycles.
    For PT blades having reached a number of flight cycles superior
or equal to 5 000, removal of Module M04, or PT wheel assembly, or
PT blades is required prior to next flight.

    You may obtain further information by examining the MCAI in the AD
docket.

Relevant Service Information

    Turbom[eacute]ca has issued Alert MSB No. A292 72 0827, Version C,
dated July 15, 2009, for Arriel 1 series turboshaft engines, and issued
Alert MSB No. A292 72 2833, Version C, dated July 15, 2009, for Arriel
2 series turboshaft engines. The power turbine modules M04 having the
affected PT blades are listed by serial number (S/N) in Figure 1 of
these MSBs, as applicable. We have incorporated by reference these MSBs
to identify the affected parts.

Differences Between This AD and the MCAI or Service Information

    We have reviewed the MCAI and related service information and, in
general, agree with their substance. But we required different actions
in this AD from those in the MCAI in order to follow FAA policies. Any
such differences are described in a separate paragraph of the AD. These
requirements take precedence over the actions copied from the MCAI.

FAA's Determination and Requirements of This Proposed AD

    This product has been approved by the aviation authority of France
and is approved for operation in the United States. Pursuant to our
bilateral agreement with France, they have notified us of the unsafe
condition described in the MCAI and service information referenced
above. We are issuing this AD because we evaluated all information
provided by EASA and determined the unsafe condition exists and is
likely to exist or develop on other products of the same type design.
This AD requires removing the affected PT blades from service before
exceeding 5,000 flight cycles.

Costs of Compliance

    Based on the service information, we estimate that this proposed AD
would affect about 10 products of U.S. registry. We also estimate that
it would take about 8 work-hours per product to comply with this
proposed AD. The average labor rate is $80 per work-hour. Required
parts would cost about $43,000 per product. Based on these figures, we
estimate the cost of the proposed AD on U.S. operators to be $436,400.

Authority for This Rulemaking

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

Regulatory Findings

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

List of Subjects in 14 CFR Part 39

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

The Proposed Amendment

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

PART 39--AIRWORTHINESS DIRECTIVES

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

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

Sec.  39.13  [Amended]

    2. The FAA amends Sec.  39.13 removing amendment 39-15881, and
adding the following new AD:

Turbom[eacute]ca S.A.: Docket No. FAA-2009-0302; Directorate
Identifier 2009-NE-09-AD.

Comments Due Date

    (a) We must receive comments by January 22, 2010.

Affected Airworthiness Directives (ADs)

    (b) This AD revises AD 2009-08-08, Amendment 39-15881.

Applicability

    (c) This AD applies to:
    (1) Turbom[eacute]ca Arriel 1B, 1D, and 1D1 turboshaft engines
with the power turbine (PT) modules M04 installed, as listed by
serial number (S/N) in Figure 1 of Turbom[eacute]ca Alert Mandatory
Service Bulletin (MSB) No. A292 72 0827, Version C, dated July 15,
2009; and
    (2) Turbom[eacute]ca Arriel 2B, and 2B1 turboshaft engines with
the power turbine modules M04 installed, as listed by S/N in Figure
1 of Turbom[eacute]ca Alert MSB No. A292 72 2833, Version C, dated
July 15, 2009.
    (3) These engines are installed on, but not limited to,
Eurocopter AS 350 B, AS 350 BA, AS 350 B1, AS 350 B2, AS 350 B3, and
EC 130 B4 helicopters.

Reason

    (d) European Aviation Safety Agency (EASA) AD No. 2009-0112R1,
dated July 30, 2009, states:
    Since issuance of initial version of AD 2009-0112 additional
information is available:

--The list of Modules M04 concerned by the restriction of the cycle
use limit of these PT blades has been updated again: The serial
numbers of Modules M04 which have been retrofitted are crossed out.
However no new affected Modules M04 have been identified. See figure
1 of the referenced Turbom[eacute]ca MSB.
--Additional testing and analysis had been carried out by
Turbom[eacute]ca which allows increasing the cyclic use limit of
these PT blades to 5 000 flight cycles.

We are issuing this AD to prevent release of PT blades, which could
result in an uncommanded in-flight shutdown and emergency
autorotation landing.

Actions and Compliance

    (e) Unless already done, do the following actions.
    (1) For engines with an affected Module M04 (PT module), which
has accumulated 5,000 total PT cycles or more on the effective date
of this AD, remove the PT blades from service before further flight.
    (2) For engines with an affected Module M04, which has
accumulated fewer than 5,000 total PT cycles on the effective date
of this AD, remove the PT blades from service before accumulating
5,000 total PT cycles.
    (3) After the effective date of this AD, do not install any PT
blades removed as specified in paragraph (e)(1) or (e)(2) of this
AD, into any engine.

FAA AD Differences

    (f) Although the compliance section of EASA AD No. 2009-0112R1,
dated July 30, 2009, states to replace the Module M04, or PT wheel
assembly, or PT blades, this AD states to remove the PT blades from
service.
    (g) Although EASA AD No. 2009-0112R1, dated July 30, 2009,
applies to the Arriel

2B1A engine, this AD does not apply to that model because it has no
U.S. type certificate.

Alternative Methods of Compliance (AMOCs)

    (h) The Manager, Engine Certification Office, FAA, has the
authority to approve AMOCs for this AD, if requested using the
procedures found in 14 CFR 39.19.

Related Information

    (i) Refer to MCAI EASA Airworthiness Directive 2009-0112R1,
dated July 30, 2009; and Turbom[eacute]ca Mandatory Service
Bulletins (MSBs) A292 72 0827, Version C, dated July 15, 2009; and
A292 72 2833, Version C, dated July 15, 2009; for related
information.
    (j) Contact Kevin Dickert, Aerospace Engineer, Engine
Certification Office, FAA, Engine and Propeller Directorate, 12 New
England Executive Park, Burlington, MA 01803; e-mail:
<EMAIL_ADDRESS>telephone<PHONE_NUMBER>, fax<PHONE_NUMBER>,
for more information about this AD.

    Issued in Burlington, Massachusetts, on December 17, 2009.
Peter A. White,
Assistant Manager, Engine and Propeller Directorate, Aircraft
Certification Service.
[FR Doc. E9-30511 Filed 12-22-09; 8:45 am]

BILLING CODE 4910-13-P


[Federal Register Volume 81, Number 70 (Tuesday, April 12, 2016)]
[Rules and Regulations]
[Pages 21462-21465]
[FR Doc No: 2016-08380]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 100

[Docket Number USCG-2015-1126]
RIN 1625-AA08

Special Local Regulation; Chesapeake Bay, Between Sandy Point and
Kent Island, MD

AGENCY: Coast Guard, DHS.

ACTION: Temporary final rule.

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SUMMARY: The Coast Guard is establishing special local regulations for
certain waters of the Chesapeake Bay. This action is necessary to
provide for the safety of life on these navigable waters located
between Sandy Point, Anne Arundel County, MD and Kent Island, Queen
Anne's County, MD, during a paddling event on May 14, 2016. This
rulemaking will prohibit persons and vessels from being in the
regulated area unless authorized by the Captain of the Port Baltimore
or Coast Guard Patrol Commander.

DATES: This rule is effective from 7:30 a.m. on May 14, 2016 through
12:30 p.m. on May 15, 2016.

ADDRESSES: To view documents mentioned in this preamble as being
available in the docket, go to http://www.regulations.gov, type USCG-
2015-1126 in the ``SEARCH'' box and click ``SEARCH.'' Click on Open
Docket Folder on the line associated with this rule.

FOR FURTHER INFORMATION CONTACT: If you have questions on this rule,
call or email Mr. Ronald Houck, U.S. Coast Guard Sector Baltimore, MD;
telephone<PHONE_NUMBER>, email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. Table of Abbreviations

CFR Code of Federal Regulations
COTP Captain of the Port
DHS Department of Homeland Security
FR Federal Register
NPRM Notice of proposed rulemaking
Sec.  Section
U.S.C. United States Code

II. Background Information and Regulatory History

    On December 28, 2015, ABC Events, Inc. notified the Coast Guard
that from 8 a.m. until noon on May 14, 2016, it will be conducting the
Bay Bridge Paddle race in the Chesapeake Bay, under and between the
north and south spans of the William P. Lane, Jr. (US-50/301) Memorial
Bridges, located between Sandy Point, Anne Arundel County, MD and Kent
Island, Queen Anne's County, MD. In response, on February 12, 2016, the
Coast Guard published a notice of proposed rulemaking (NPRM) titled
``Special Local Regulation; Chesapeake Bay, between Sandy Point and
Kent Island, MD'' in the Federal Register (81 FR 7481). There we stated
why we issued the NPRM, and invited comments on our proposed regulatory
action related to this paddle race. During the comment period that
ended March 14, 2016, we received 2 comments. No public meeting was
requested, and none was held.

III. Legal Authority and Need for Rule

    The Coast Guard is issuing this rule under authority in 33 U.S.C.
1233. The COTP Baltimore has determined that potential hazards
associated with the paddle race on May 14, 2016 will be a safety
concern for anyone intending to operate within certain waters of the
Chesapeake Bay between Sandy Point and Kent Island, MD. The purpose of
this rule is to protect event participants, spectators and transiting
vessels on certain waters of the Chesapeake Bay before, during, and
after the scheduled event.

IV. Discussion of Comments, Changes, and the Rule

    As noted above, we received 2 comments on our NPRM published on
February 12, 2016. There are no changes in the regulatory text of this
rule from the proposed rule in the NPRM.
    One commenter, the Sailing Club of the Chesapeake, stated that the
regulated area for this event would impact its planned annual sailing
regatta held on the Chesapeake Bay, between a location south of the
south span of the William P. Lane, Jr. (US-50/301) Memorial Bridges and
a location north of the north span.
    The COTP Baltimore had no prior notifications of this annual
sailing regatta in previous years. The Coast Guard will only enforce
the regulated area during the enforcement period. However, should the
event sponsor develop a schedule that would help predict when and where
gaps in the race course may exist during the event, and vessel traffic
would be able to safely transit the regulated area once the Coast Guard
Patrol Commander deems it safe to do so, then such actions could be
permitted after authorization is obtained.
    The second commenter, the Baltimore Port Alliance, stated that, as
proposed, the regulated area for this event would block ship access to
and from the Port of Baltimore for five hours, and that any
restrictions on vessel traffic in or out of the port could result in a
significant economic hardship for port stakeholders by disrupting
committed schedules. Additionally, the commenter recommended
redesigning the paddle race course as to not block the main shipping
channel or to change the date of the paddle race to coincide with the
annual Great Chesapeake Bay Swim event a month later, so that only one
blockage of the main shipping channel would occur.
    The Coast Guard agrees that waterway restrictions, when necessary,
should be as limited in scope and duration. For this event, enough
notice has been provided for persons to schedule, coordinate and adjust
their ship schedules. As it currently does with the annual Great
Chesapeake Bay Swim event, the Coast Guard will work with the port
stakeholders to monitor potential impacts to commercial vessel
movements in the vicinity of the event area. Additionally, it is
impractical to conduct the events concurrently; as the two events are
of different types, each having hundreds of participants occupying the
same navigable waters. Since the times for the Great Chesapeake Bay
Swim event are also dependent upon tidal current predictions, the
possibility exists, should both events be conducted on the same day,
the waterway restrictions would last for a significantly longer period
of time having a greater impact on the public and the use of the
waterway.
    This rule establishes special local regulations from 7:30 a.m.
until 12:30 p.m. on May 14, 2016, and, if necessary due to inclement
weather, from 7:30 a.m. until 12:30 p.m. on May 15, 2016. The regulated
area will cover all navigable waters of the Chesapeake Bay between and
adjacent to the spans of the William P. Lane Jr. Memorial Bridges from
shoreline to shoreline, bounded to the north by a line drawn parallel
and 500 yards north of the north bridge span that originates from the
western shoreline at latitude 39[deg]00'36'' N., longitude
076[deg]23'05'' W. and thence eastward to the eastern shoreline at
latitude 38[deg]59'14'' N., longitude 076[deg]20'00'' W., and bounded
to the south by a line drawn parallel and 500 yards south of the south
bridge span that originates from the western shoreline at latitude
39[deg]00'16'' N., longitude 076[deg]24'30'' W. and thence eastward to
the eastern shoreline at latitude 38[deg]58'38.5'' N., longitude
076[deg]20'06'' W. The duration of the regulated area is intended to
ensure the safety of vessels and these navigable waters before, during,
and after the event, currently scheduled to being at 8 a.m. and last
until noon. Except for Bay Bridge Paddle participants, no vessel or
person will be permitted to enter the regulated area without obtaining
permission from the COTP Baltimore or designated Coast Guard Patrol
Commander.

V. Regulatory Analyses

    We developed this rule after considering numerous statutes and
Executive orders related to rulemaking. Below we summarize our analyses
based on a number of these statutes and Executive orders, and we
discuss First Amendment rights of protestors.

A. Regulatory Planning and Review

    Executive Orders 12866 and 13563 direct agencies to assess the
costs and benefits of available regulatory alternatives and, if
regulation is necessary, to select regulatory approaches that maximize
net benefits. Executive Order 13563 emphasizes the importance of
quantifying both costs and benefits, of reducing costs, of harmonizing
rules, and of promoting flexibility. This rule has not been designated
a ``significant regulatory action,'' under Executive Order 12866.
Accordingly, it has not been reviewed by the Office of Management and
Budget.
    This regulatory action determination is based on the size and
duration of the regulated area, which would impact a small designated
area of the Chesapeake Bay for only 5 hours. Although the regulated
area cuts off one portion of the Chesapeake Bay from the other, the
closure is temporary, and notice has been provided well in advance to
permit mariners to plan their transit. The Coast Guard would issue a
Broadcast Notice to Mariners via VHF-FM marine channel 16 about the
status of the regulated area. Moreover, the rule would allow vessels to
seek permission to enter the regulated area, and vessel traffic would
be able to safely transit the regulated area once the Coast Guard
Patrol Commander deems it safe to do so.

B. Impact on Small Entities

    The Regulatory Flexibility Act of 1980, 5 U.S.C. 601-612, as
amended, requires Federal agencies to consider the potential impact of
regulations on small entities during rulemaking. The term ``small
entities'' comprises small businesses, not-for-profit organizations
that are independently owned and operated and are not dominant in their
fields, and governmental jurisdictions with populations of less than
50,000. The Coast Guard certifies under 5 U.S.C. 605(b) that this rule
will not have a significant economic impact on a substantial number of
small entities.
    While some owners or operators of vessels intending to transit the
regulated area may be small entities, for the reasons stated in section
IV.A above this rule will not have a significant economic impact on any
vessel owner or operator.
    Under section 213(a) of the Small Business Regulatory Enforcement
Fairness Act of 1996 (Pub. L. 104-121), we want to assist small
entities in understanding this rule. If the rule would affect your
small business, organization, or governmental jurisdiction and you have
questions concerning its provisions or options for compliance, please
contact the person listed in the FOR FURTHER INFORMATION CONTACT
section.
    Small businesses may send comments on the actions of Federal
employees who enforce, or otherwise determine compliance with, Federal
regulations to the Small Business and Agriculture Regulatory
Enforcement Ombudsman and the Regional Small Business Regulatory
Fairness Boards. The Ombudsman evaluates these actions annually and
rates each agency's responsiveness to small business. If you wish to
comment on actions by employees of the Coast Guard, call 1-888-REG-FAIR
(1-888-734-3247). The Coast Guard will not retaliate against small
entities that question or complain about this rule or any policy or
action of the Coast Guard.

C. Collection of Information

    This rule will not call for a new collection of information under
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520).

D. Federalism and Indian Tribal Governments

    A rule has implications for federalism under Executive Order 13132,
Federalism, if it has a substantial direct effect on the States, on the
relationship between the national government and the States, or on the
distribution of power and responsibilities among the various levels of
government. We have analyzed this rule under that Order and have
determined that it is consistent with the fundamental federalism
principles and preemption requirements described in Executive Order
13132.
    Also, this rule does not have tribal implications under Executive
Order 13175, Consultation and Coordination with Indian Tribal
Governments, because it does not have a substantial direct effect on
one or more Indian tribes, on the relationship between the Federal
Government and Indian tribes, or on the distribution of power and
responsibilities between the Federal Government and Indian tribes. If
you believe this rule has implications for federalism or Indian tribes,
please contact the person listed in the FOR FURTHER INFORMATION CONTACT
section.

E. Unfunded Mandates Reform Act

    The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538)
requires Federal agencies to assess the effects of their discretionary
regulatory actions. In particular, the Act addresses actions that may
result in the expenditure by a State, local, or tribal government, in
the aggregate, or by the private sector of $100,000,000 (adjusted for
inflation) or more in any one year. Though this rule will not result in
such an expenditure, we do discuss the effects of this rule elsewhere
in this preamble.

F. Environment

    We have analyzed this rule under Department of Homeland Security
Management Directive 023-01 and Commandant Instruction M16475.lD, which
guide the Coast Guard in complying with the National Environmental
Policy Act of 1969(42 U.S.C. 4321-4370f), and have determined that this
action is one of a category of actions that do not individually or
cumulatively have a significant effect on the human environment. This
rule involves implementation of regulations within 33 CFR part 100
applicable to organized marine events on the navigable waters of the
United States that could negatively impact the safety of waterway users
and shore side activities in the event area lasting for 5 hours. The
category of water activities includes but is not limited to sail boat
regattas, boat parades, power boat racing, swimming events, crew
racing, canoe and sail board racing. It is categorically excluded from
further review under paragraph 34(h) of Figure 2-1 of the Commandant
Instruction. An environmental analysis checklist supporting this
determination and a Categorical Exclusion Determination are available
in the docket where indicated under ADDRESSES. We seek any comments or
information that may lead to the discovery of a significant
environmental impact from this rule.

G. Protest Activities

    The Coast Guard respects the First Amendment rights of protesters.
Protesters are asked to contact the person listed in the FOR FURTHER
INFORMATION CONTACT section to coordinate protest activities so that
your message can be received without jeopardizing the safety or
security of people, places or vessels.

List of Subjects in 33 CFR Part 100

    Marine safety, Navigation (water), Reporting and recordkeeping
requirements, Waterways.

    For the reasons discussed in the preamble, the Coast Guard amends
33 CFR part 100 as follows:

PART 100--SAFETY OF LIFE ON NAVIGABLE WATERS

0
1. The authority citation for part 100 continues to read as follows:

    Authority:  33 U.S.C. 1233.

0
2. Add a temporary Sec.  100.35-T05-1126 to read as follows:

Sec.  100.35-T05-1126  Special Local Regulation; Chesapeake Bay,
between Sandy Point and Kent Island, MD.

    (a) Regulated area. The following location is a regulated area: All
navigable waters of the Chesapeake Bay between and adjacent to the
spans of the William P. Lane Jr. Memorial Bridges from shoreline to
shoreline, bounded to the north by a line drawn parallel and 500 yards
north of the north bridge span that originates from the western
shoreline at latitude 39[deg]00'36'' N., longitude 076[deg]23'05'' W.
and thence eastward to the eastern shoreline at latitude 38[deg]59'14''
N., longitude 076[deg]20'00'' W., and bounded to the south by a line
drawn parallel and 500 yards south of the south bridge span that
originates from the western shoreline at latitude 39[deg]00'16'' N.,
longitude 076[deg]24'30'' W. and thence eastward to the eastern
shoreline at latitude 38[deg]58'38.5'' N., longitude 076[deg]20'06'' W.
All coordinates reference Datum NAD 1983.
    (b) Definitions. (1) Captain of the Port Baltimore means the
Commander, U.S. Coast Guard Sector Baltimore, Maryland or any Coast
Guard commissioned, warrant or petty officer who has been authorized by
the Captain of the Port to act on his behalf.

    (2) Coast Guard Patrol Commander means a commissioned, warrant, or
petty officer of the U.S. Coast Guard who has been designated by the
Commander, Coast Guard Sector Baltimore.
    (3) Official Patrol means any vessel assigned or approved by
Commander, Coast Guard Sector Baltimore with a commissioned, warrant,
or petty officer on board and displaying a Coast Guard ensign.
    (4) Participant means all persons and vessels participating in the
Bay Bridge Paddle event under the auspices of the Marine Event Permit
issued to the event sponsor and approved by Commander, Coast Guard
Sector Baltimore.
    (c) Special local regulations. (1) The Coast Guard Patrol Commander
may forbid and control the movement of all vessels and persons,
including event participants, in the regulated area. When hailed or
signaled by an official patrol, a vessel or person in the regulated
area shall immediately comply with the directions given. Failure to do
so may result in expulsion from the area, citation for failure to
comply, or both. The Coast Guard Patrol Commander may terminate the
event, or the operation of any support vessel participating in the
event, at any time it is deemed necessary for the protection of life or
property.
    (2) Except for participants and vessels already at berth, mooring,
or anchor, all persons and vessels within the regulated area at the
time it is implemented are to depart the regulated area.
    (3) Persons desiring to transit the regulated area must first
obtain authorization from the Captain of the Port Baltimore or Coast
Guard Patrol Commander. Prior to the enforcement period, to seek
permission to transit the area, the Captain of the Port Baltimore can
be contacted at telephone number<PHONE_NUMBER> or on Marine Band Radio,
VHF-FM channel 16 (156.8 MHz). During the enforcement period, to seek
permission to transit the area, the Coast Guard Patrol Commander can be
contacted on Marine Band Radio, VHF-FM channel 16 (156.8 MHz) for
direction.
    (4) The Coast Guard may be assisted in the patrol and enforcement
of the regulated area by other Federal, State, and local agencies. The
Coast Guard Patrol Commander and official patrol vessels enforcing this
regulated area can be contacted on marine band radio VHF-FM channel 16
(156.8 MHz) and channel 22A (157.1 MHz).
    (5) The Coast Guard will publish a notice in the Fifth Coast Guard
District Local Notice to Mariners and issue a marine information
broadcast on VHF-FM marine band radio announcing specific event date
and times.
    (d) Enforcement period. This section will be enforced from 7:30
a.m. until 12:30 p.m. on May 14, 2016, and, if necessary due to
inclement weather, from 7:30 a.m. until 12:30 p.m. on May 15, 2016.

    Dated: March 31, 2016.
Lonnie P. Harrison, Jr.,
Captain, U.S. Coast Guard, Captain of the Port Baltimore.
[FR Doc. 2016-08380 Filed 4-11-16; 8:45 am]
 BILLING CODE 9110-04-P


[Federal Register Volume 83, Number 210 (Tuesday, October 30, 2018)]
[Notices]
[Pages 54644-54645]
[FR Doc No: 2018-23706]

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DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration

[Docket No. FMCSA-2018-0014]

Qualification of Drivers; Exemption Applications; Vision

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

ACTION: Notice of final disposition.

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SUMMARY: FMCSA announces its decision to exempt 13 individuals from the
vision requirement in the Federal Motor Carrier Safety Regulations
(FMCSRs) to operate a commercial motor vehicle (CMV) in interstate
commerce. They are unable to meet the vision requirement in one eye for
various reasons. The exemptions enable these individuals to operate
CMVs in interstate commerce without meeting the vision requirement in
one eye.

DATES: The exemptions were applicable on August 17, 2018. The
exemptions expire on August 17, 2020.

FOR FURTHER INFORMATION CONTACT: Ms. Christine A. Hydock, Chief,
Medical Programs Division,<PHONE_NUMBER>, [email protected], FMCSA,
Department of Transportation, 1200 New Jersey Avenue SE, Room W64-224,
Washington, DC 20590-0001. Office hours are from 8:30 a.m. to 5 p.m.,
ET, Monday through Friday, except Federal holidays. If you have
questions regarding viewing or submitting material to the docket,
contact Docket Services, telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

I. Public Participation

A. Viewing Documents and Comments

    To view comments, as well as any documents mentioned in this notice
as being available in the docket, go to http://www.regulations.gov.
Insert the docket number, FMCSA-2018-0014, in the keyword box, and
click ``Search.'' Next, click the ``Open Docket Folder'' button and
choose the document to review. If you do not have access to the
internet, you may view the docket online by visiting the Docket
Management Facility in Room W12-140 on the ground floor of the DOT West
Building, 1200 New Jersey Avenue SE, Washington, DC 20590, between 9
a.m. and 5 p.m., ET, Monday through Friday, except Federal holidays.

B. Privacy Act

    In accordance with 5 U.S.C. 553(c), DOT solicits comments from the
public to better inform its rulemaking process. DOT posts these
comments, without edit, including any personal information the
commenter provides, to www.regulations.gov, as described in the system
of records notice (DOT/ALL-14 FDMS), which can be reviewed at
www.dot.gov/privacy.

II. Background

    On July 17, 2018, FMCSA published a notice announcing receipt of
applications from 13 individuals requesting an exemption from vision
requirement in 49 CFR 391.41(b)(10) and requested comments from the
public (83 FR 33292). The public comment period ended on August 16,
2018, and no comments were received.
    FMCSA has evaluated the eligibility of these applicants and
determined that granting the exemptions to these individuals would
achieve a level of safety equivalent to or greater than the level that
would be achieved by complying with the current regulation 49 CFR
391.41(b)(10).
    The physical qualification standard for drivers regarding vision
found in 49 CFR 391.41(b)(10) states that a person is physically
qualified to driver a CMV if that person has distant visual acuity of
at least 20/40 (Snellen) in each eye without corrective lenses or
visual acuity separately corrected to 20/40 (Snellen) or better with
corrective lenses, distant binocular acuity of a least 20/40 (Snellen)
in both eyes with or without corrective lenses, field of vision of at
least 70[deg] in the horizontal meridian in each eye, and the ability
to recognize the colors of traffic signals and devices showing red,
green, and amber.

III. Discussion of Comments

    FMCSA received no comments in this proceeding.

IV. Basis for Exemption Determination

    Under 49 U.S.C. 31136(e) and 31315, FMCSA may grant an exemption
for up to five years from the vision standard in 49 CFR 391.41(b)(10)
if the exemption is likely to achieve an equivalent or greater level of
safety than would be achieved without the exemption. The exemption
allows applicants to operate CMVs in

interstate commerce. FMCSA grants exemptions from the FMCSRs for a two-
year period to align with the maximum duration of a driver's medical
certification.
    The Agency's decision regarding these exemption applications is
based on medical reports about the applicants' vision as well as their
driving records and experience driving with the vision deficiency. The
qualifications, experience, and medical condition of each applicant
were stated and discussed in detail in the July 17, 2018, Federal
Register notice (83 FR 33292) and will not be repeated in this notice.
    FMCSA recognizes that some drivers do not meet the vision
requirement but have adapted their driving to accommodate their
limitation and demonstrated their ability to drive safely. The 13
exemption applicants listed in this notice are in this category. They
are unable to meet the vision requirement in one eye for various
reasons, including amblyopia, complete loss of vision, corneal scar,
irregularly shaped pupil, macular myelinated nerve fibers, macular
scar, optic nerve damage, posterior staphyloma, prosthetic eye, and
retinal detachment. In most cases, their eye conditions were not
recently developed. Nine of the applicants were either born with their
vision impairments or have had them since childhood. The four
individuals that sustained their vision conditions as adults have had
it for a range of 6 to 18 years. Although each applicant has one eye
which does not meet the vision requirement in 49 CFR 391.41(b)(10),
each has at least 20/40 corrected vision in the other eye, and in a
doctor's opinion, has sufficient vision to perform all the tasks
necessary to operate a CMV.
    Doctors' opinions are supported by the applicants' possession of a
valid license to operate a CMV. By meeting State licensing
requirements, the applicants demonstrated their ability to operate a
CMV, with their limited vision in intrastate commerce, even though
their vision disqualified them from driving in interstate commerce. We
believe that the applicants' intrastate driving experience and history
provide an adequate basis for predicting their ability to drive safely
in interstate commerce. Intrastate driving, like interstate operations,
involves substantial driving on highways on the interstate system and
on other roads built to interstate standards. Moreover, driving in
congested urban areas exposes the driver to more pedestrian and
vehicular traffic than exists on interstate highways. Faster reaction
to traffic and traffic signals is generally required because distances
between them are more compact. These conditions tax visual capacity and
driver response just as intensely as interstate driving conditions.
    The applicants in this notice have driven CMVs with their limited
vision in careers ranging for 4 to 78 years. In the past three years,
no drivers were involved in crashes, and one driver was convicted of a
moving violation in a CMV. All the applicants achieved a record of
safety while driving with their vision impairment, demonstrating the
likelihood that they have adapted their driving skills to accommodate
their condition. As the applicants' ample driving histories with their
vision deficiencies are good predictors of future performance, FMCSA
concludes their ability to drive safely can be projected into the
future.
    Consequently, FMCSA finds that in each case exempting these
applicants from the vision requirement in 49 CFR 391.41(b)(10) is
likely to achieve a level of safety equal to that existing without the
exemption.

V. Conditions and Requirements

    The terms and conditions of the exemption are provided to the
applicants in the exemption document and includes the following: (1)
Each driver must be physically examined every year (a) by an
ophthalmologist or optometrist who attests that the vision in the
better eye continues to meet the standard in 49 CFR 391.41(b)(10) and
(b) by a certified Medical Examiner who attests that the individual is
otherwise physically qualified under 49 CFR 391.41; (2) each driver
must provide a copy of the ophthalmologist's or optometrist's report to
the Medical Examiner at the time of the annual medical examination; and
(3) each driver must provide a copy of the annual medical certification
to the employer for retention in the driver's qualification file, or
keep a copy in his/her driver's qualification file if he/she is self-
employed. The driver must also have a copy of the exemption when
driving, for presentation to a duly authorized Federal, State, or local
enforcement official.

VI. Preemption

    During the period the exemption is in effect, no State shall
enforce any law or regulation that conflicts with this exemption with
respect to a person operating under the exemption.

VII. Conclusion

    Based upon its evaluation of the 13 exemption applications, FMCSA
exempts the following drivers from the vision requirement, 49 CFR
391.41(b)(10), subject to the requirements cited above:

Ronald D. Blakely (MI)
Homero Dominguez (TX)
Larry L. George (LA)
Jason C. Hetrick (PA)
Michael A. Hildebrand (PA)
Junior M. Isenberg (KY)
David G. Livingston (VT)
Joseph P. Markley (PA)
Derek L. Redford (ID)
David Tavarez (NJ)
William B. Van Drielen (NV)
Willie R. White, Jr. (NV)
Curtis C. Williams (MO)

    In accordance with 49 U.S.C. 31136(e) and 31315, each exemption
will be valid for two years from the effective date unless revoked
earlier by FMCSA. The exemption will be revoked if the following
occurs: (1) The person fails to comply with the terms and conditions of
the exemption; (2) the exemption has resulted in a lower level of
safety than was maintained prior to being granted; or (3) continuation
of the exemption would not be consistent with the goals and objectives
of 49 U.S.C. 31136 and 31315.

    Issued on: October 24, 2018.
Larry W. Minor,
Associate Administrator for Policy.
[FR Doc. 2018-23706 Filed 10-29-18; 8:45 am]
 BILLING CODE 4910-EX-P


[Federal Register Volume 88, Number 103 (Tuesday, May 30, 2023)]
[Notices]
[Page 34497]
[FR Doc No: 2023-11412]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. EL23-69-000]

Secure-the-Grid Coalition; Notice of Filing

    Take notice that on May 15, 2023, pursuant to Rule 207 of the
Federal Energy Regulatory Commission's (Commission) Rules of Practice
and Procedure, 18 CFR 385.207 (2022), Secure-the-Grid Coalition
(Petitioner) filed a request to the Commission to direct that the North
American Electric Reliability Corporation create a new or modified
physical security Reliability Standard.
    Any person desiring to intervene or to protest this filing must
file in accordance with Rules 211 and 214 of the Commission's Rules of
Practice and Procedure (18 CFR 385.211, 385.214). Protests will be
considered by the Commission in determining the appropriate action to
be taken but will not serve to make protestants parties to the
proceeding. Any person wishing to become a party must file a notice of
intervention or motion to intervene, as appropriate. All interventions,
or protests must be filed on or before the comment date.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper using the ``eFiling'' link at http://www.ferc.gov. Persons unable to file electronically should submit an
original copy of the pleading by U.S. mail to Kimberly D. Bose,
Secretary, Federal Energy Regulatory Commission, 888 First Street NE,
Room 1A, Washington, DC 20426. Submissions by any other courier in
docketed proceedings should be delivered to, Kimberly D. Bose,
Secretary, Federal Energy Regulatory Commission, 12225 Wilkins Avenue,
Rockville, Maryland 20852.
    In addition to publishing the full text of this document in the
Federal Register, the Commission provides all interested persons an
opportunity to view and/or print the contents of this document via the
internet through the Commission's Home Page (http://ferc.gov) using the
``eLibrary'' link. Enter the docket number excluding the last three
digits in the docket number field to access the document. At this time,
the Commission has suspended access to the Commission's Public
Reference Room, due to the proclamation declaring a National Emergency
concerning the Novel Coronavirus Disease (COVID-19), issued by the
President on March 13, 2020. For assistance, contact the Federal Energy
Regulatory Commission at [email protected] or call toll-free,
(886) 208-3676 or TYY,<PHONE_NUMBER>.
    Comment Date: 5:00 Eastern Time on June 13, 2023.

    Dated: May 23, 2023.
Debbie-Anne A. Reese,
Deputy Secretary.
[FR Doc. 2023-11412 Filed 5-26-23; 8:45 am]
BILLING CODE 6717-01-P