[Federal Register Volume 77, Number 66 (Thursday, April 5, 2012)]
[Proposed Rules]
[Pages 20572-20574]
[FR Doc No: 2012-8128]

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Proposed Rules
                                                Federal Register
________________________________________________________________________

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

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Federal Register / Vol. 77, No. 66 / Thursday, April 5, 2012 /
Proposed Rules

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2012-0332; Directorate Identifier 2011-NM-130-AD]
RIN 2120-AA64

Airworthiness Directives; BAE Systems (Operations) Limited
Airplanes

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of proposed rulemaking (NPRM).

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SUMMARY: We propose to adopt a new airworthiness directive (AD) for
certain BAE SYSTEMS (OPERATIONS) LIMITED Model BAe 146 and Model Avro
146-RJ airplanes. This proposed AD was prompted by reports of cracking
and surface anomalies of the fuselage skin at the water trap/air drier
unit of the forward discharge valve due to corrosion. This proposed AD
would require repetitive detailed inspections for bulging, surface
anomalies, and cracking of the fuselage skin adjacent to the discharge
valves, repair if necessary, and application of additional sealant in
the affected area if necessary. We are proposing this AD to detect and
correct bulging, surface anomalies, and cracking that could propagate
towards the forward discharge valve outlet and result in the failure of
the fuselage skin, leading to a possible sudden loss of cabin pressure.

DATES: We must receive comments on this proposed AD by May 21, 2012.

ADDRESSES: You may send comments by any of the following methods:
     Federal eRulemaking Portal: Go to http://www.regulations.gov. Follow the instructions for submitting comments.
     Fax:<PHONE_NUMBER>.
     Mail: U.S. Department of Transportation, Docket
Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue SE., Washington, DC 20590.
     Hand Delivery: U.S. Department of Transportation, Docket
Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue SE., Washington, DC, between 9 a.m. and 5 p.m., Monday
through Friday, except Federal holidays.
    For service information identified in this proposed AD, contact BAE
SYSTEMS (Operations) Limited, Customer Information Department,
Prestwick International Airport, Ayrshire, KA9 2RW, Scotland, United
Kingdom; telephone +44 1292 675207; fax +44 1292 675704; email
<EMAIL_ADDRESS>Internet http://www.baesystems.com/Businesses/RegionalAircraft/index.htm. You may review copies of the
referenced service information at the FAA, Transport Airplane
Directorate, 1601 Lind Avenue SW., Renton, Washington. For information
on the availability of this material at the FAA, call<PHONE_NUMBER>.

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
in the ADDRESSES section. Comments will be available in the AD docket
shortly after receipt.

FOR FURTHER INFORMATION CONTACT: Todd Thompson, Aerospace Engineer,
International Branch, ANM-116, Transport Airplane Directorate, FAA,
1601 Lind Avenue SW., Renton, Washington 98057-3356; phone 425-227-
1175; 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-2012-0332;
Directorate Identifier 2011-NM-130-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 we
receive about this proposed AD.

Discussion

    The European Aviation Safety Agency (EASA), which is the Technical
Agent for the Member States of the European Community, has issued EASA
Airworthiness Directive 2011-0099, dated May 26, 2011 (referred to
after this as ``the MCAI''), to correct an unsafe condition for the
specified products. The MCAI states:

    An operator has reported the cracking and surface anomalies
(bulges and/or dents) of the fuselage skin at the water trap/air
drier unit of the forward discharge valve located between Frames 22
and 23 and between stringers 22 and 23.
    Further investigation established that these surface anomalies
(bulges and/or dents) were due to corrosion beneath the water trap/
air drier unit that has resulted in cracking of the fuselage skin. A
crack at the subject location could propagate towards the forward
discharge valve outlet and result in the failure of the fuselage
skin leading to a possible sudden loss of cabin pressure.
    For the reasons described above, this [EASA] AD mandates an
initial and repetitive [detailed] inspections [for bulging, surface
anomalies, and cracking] of the fuselage skin adjacent to the front
and rear discharge valves, the accomplishment of the associated
correctives actions [repair] if applicable and the application of an
additional sealant in the affected area.

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

Relevant Service Information

    BAE SYSTEMS (OPERATIONS) LIMITED has issued Inspection Service
Bulletin ISB.21-162, Revision 1, dated September 16, 2010; Subject 53-
00-00, ``Fuselage, General Description,'' of Chapter 53, ``Fuselage,''
of the BAE SYSTEMS BAe 146 Series/AVRO 146-RJ Series Structural Repair
Manual for Series 100-200, Revision 66, dated October 15, 2011; and
Subject 53-00-00, ``Fuselage, General Description,'' of Chapter 53,
``Fuselage,'' of the BAE SYSTEMS BAe 146 Series/AVRO 146-RJ Series
Structural Repair Manual for Series 300, Revision 44, dated October

15, 2011. The actions described in this service information are
intended to correct the unsafe condition identified in the MCAI.

FAA's Determination and Requirements of This Proposed AD

    This product has been approved by the aviation authority of another
country, and is approved for operation in the United States. Pursuant
to our bilateral agreement with the State of Design Authority, we have
been notified of the unsafe condition described in the MCAI and service
information referenced above. We are proposing this AD because we
evaluated all pertinent information and determined an unsafe condition
exists and is likely to exist or develop on other products of the same
type design.

Costs of Compliance

    Based on the service information, we estimate that this proposed AD
would affect about 1 product of U.S. registry. We also estimate that it
would take about 8 work-hours per product to comply with the basic
requirements of this proposed AD. The average labor rate is $85 per
work-hour. Based on these figures, we estimate the cost of the proposed
AD on U.S. operators to be $680, or $680 per product. We have received
no definitive data that would enable us to provide cost estimates for
the on-condition (repair) actions specified in this proposed AD.

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 that this AD:
    1. Is not a ``significant regulatory action'' under Executive Order
12866;
    2. Is not a ``significant rule'' under the DOT Regulatory Policies
and Procedures (44 FR 11034, February 26, 1979);
    3. Will not affect intrastate aviation in Alaska; and
    4. Will not have a significant economic impact, positive or
negative, on a substantial number of small entities under the criteria
of the Regulatory Flexibility Act.
    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 by adding the following new AD:

BAE Systems (Operations) Limited: Docket No. FAA-2012-0332;
Directorate Identifier 2011-NM-130-AD.

(a) Comments Due Date

    We must receive comments by May 21, 2012.

(b) Affected ADs

    None.

(c) Applicability

    This AD applies to BAE SYSTEMS (OPERATIONS) LIMITED Model BAe
146-100A, -200A airplanes, and -300A and Model Avro 146-RJ70A, 146-
RJ85A, and 146-RJ100A airplanes, certificated in any category; all
models, and all serial numbers except airplanes that have
incorporated auto-pressurization modification HCM50259A during
production.

(d) Subject

    Air Transport Association (ATA) of America Code 21: Air
Conditioning.

(e) Reason

    This AD was prompted by reports of cracking and surface
anomalies of the fuselage skin at the water trap/air drier unit of
the forward discharge valve due to corrosion. We are issuing this AD
to detect and correct bulging, surface anomalies, and cracking that
could propagate towards the forward discharge valve outlet and
result in the failure of the fuselage skin, leading to a possible
sudden loss of cabin pressure.

(f) Compliance

    You are responsible for having the actions required by this AD
performed within the compliance times specified, unless the actions
have already been done.

(g) Detailed Inspection of External Fuselage Skin

    Within 12 months after the effective date of this AD, do a
detailed inspection to check for bulging, surface anomalies, and
cracking of the fuselage skin adjacent to the discharge valve
outlets (one frame fore and aft, one stringer above and below), in
accordance with the Accomplishment Instructions of BAE SYSTEMS
(OPERATIONS) LIMITED Inspection Service Bulletin ISB.21-162,
Revision 1, dated September 16, 2010. Repeat the inspection
thereafter at intervals not to exceed 24 months.
    (1) If any bulging, surface anomalies, or cracking of the
fuselage skin is found to be within the criteria defined in Subject
53-00-00, ``Fuselage, General Description,'' of Chapter 53,
``Fuselage,'' of the BAE SYSTEMS BAe 146 Series/AVRO 146-RJ Series
Structural Repair Manual for Series 100-200, Revision 66, dated
October 15, 2011 (for Model 146-100A and -200A, and Avro 146-RJ70A
and 146-RJ85A airplanes); or Subject 53-00-00, ``Fuselage, General
Description,'' of Chapter 53, ``Fuselage,'' of the BAe SYSTEMS BAE
146 Series/AVRO 146-RJ Series Structural Repair Manual for Series
300, Revision 44, dated October 15, 2011 (for Model 146-300A and
Avro 146-RJ100A airplanes): Before further flight, repair the
damage, in accordance with the Accomplishment Instructions specified
in BAE SYSTEMS (Operations) Limited Inspection Service Bulletin
ISB.21-162, Revision 1, dated September 16, 2010.
    (2) If any bulging, surface anomalies, or cracking of the
fuselage skin is found exceeding the criteria as specified by
Subject 53-00-00, ``Fuselage, General Description,'' of Chapter 53,
``Fuselage,'' of the BAE SYSTEMS BAe 146 Series/AVRO 146-RJ Series
Structural Repair Manual for Series 100-200, Revision 66, dated
October 15, 2011 (for Model 146-100A and -200A, and Avro 146-RJ70A
and 146-RJ85A airplanes); or Subject 53-00-00, ``Fuselage, General
Description,'' of Chapter 53, ``Fuselage,'' of the BAE SYSTEMS BAE
146/AVRO 146-RJ Series Structural Repair Manual for Series 300,
Revision 44, dated October 15, 2011 (for Model 146-300A and Avro
146-RJ100A airplanes): Before further flight, repair the condition
according to a method approved by the Manager, International Branch,
ANM-116, Transport Airplane Directorate, FAA, or EASA (or its
delegated agent).

(h) Application of Sealant

    Within 24 months after the effective date of this AD, unless a
repair has already been accomplished in accordance with paragraph
(g) of this AD: Apply additional PR1422A-2 or PR1764-2 edge sealant
between the water trap/air drier and the fuselage skin, in
accordance with the Accomplishment Instructions of BAE SYSTEMS
(OPERATIONS) LIMITED Inspection Service Bulletin ISB.21-162,
Revision 1, dated September 16, 2010. Application of additional
sealant does not constitute terminating actions for the repetitive
detailed inspection required by paragraph (g) of this AD.
Accomplishment of a repair as required by paragraph (g) of this AD
terminates the repetitive inspection requirements of this AD.

(i) Credit for Previous Actions

    (1) This paragraph provides credit for inspections and sealant
applications required by paragraphs (g) and (h) of this AD, if those
actions were performed using the Accomplishment Instructions of BAE
SYSTEMS (OPERATIONS) LIMITED Inspection Service Bulletin ISB.21-162,
dated June 7, 2010.
    (2) This paragraph provides credit for using criteria defined in
the following subject of the applicable structural repair manual, as
required by paragraphs (g)(1) and (g)(2) of this AD, if that
criteria was used before the effective date of this AD using Subject
53-00-00, ``Fuselage, General Description,'' of Chapter 53,
``Fuselage,'' of the BAE SYSTEMS BAe 146 Series/AVRO 146-RJ Series
Structural Repair Manual for Series 100-200, Revision 65, dated
September 15, 2010 (for Model 146-100A and -200A, and Avro 146-RJ70A
and 146-RJ85A airplanes); or Subject 53-00-00, ``Fuselage, General
Description,'' of Chapter 53, ``Fuselage,'' of the BAE SYSTEMS BAe
146 Series/AVRO 146-RJ Series Structural Repair Manual for Series
300, Revision 43, dated September 15, 2010 (for Model 146-300A and
Avro 146-RJ100A airplanes).

(j) Other FAA AD Provisions

    The following provisions also apply to this AD:
    (1) Alternative Methods of Compliance (AMOCs): The Manager,
International Branch, ANM-116, Transport Airplane Directorate, FAA,
has the authority to approve AMOCs for this AD, if requested using
the procedures found in 14 CFR 39.19. In accordance with 14 CFR
39.19, send your request to your principal inspector or local Flight
Standards District Office, as appropriate. If sending information
directly to the International Branch, send it to ATTN: Todd
Thompson, Aerospace Engineer, International Branch, ANM-116,
Transport Airplane Directorate, FAA, 1601 Lind Avenue SW., Renton,
Washington 98057-3356; phone<PHONE_NUMBER>; fax<PHONE_NUMBER>.
Information may be emailed to<EMAIL_ADDRESS>
Before using any approved AMOC, notify your appropriate principal
inspector, or lacking a principal inspector, the manager of the
local flight standards district office/certificate holding district
office. The AMOC approval letter must specifically reference this
AD.
    (2) Airworthy Product: For any requirement in this AD to obtain
corrective actions from a manufacturer or other source, use these
actions if they are FAA-approved. Corrective actions are considered
FAA-approved if they are approved by the State of Design Authority
(or their delegated agent). You are required to assure the product
is airworthy before it is returned to service.

(k) Related Information

    Refer to MCAI EASA Airworthiness Directive 2011-0099, dated May
26, 2011, and the service information identified in paragraphs
(k)(1), (k)(2), and (k)(3) of this AD, for related information.
    (1) BAE SYSTEMS (OPERATIONS) LIMITED Inspection Service Bulletin
ISB.21-162, Revision 1, dated September 16, 2010.
    (2) Subject 53-00-00, ``Fuselage, General Description,'' of
Chapter 53, ``Fuselage,'' of the BAE SYSTEMS BAe 146 Series/AVRO
146-RJ Series Structural Repair Manual for Series 100-200, Revision
66, dated October 15, 2011.
    (3) Subject 53-00-00, ``Fuselage, General Description,'' of
Chapter 53, ``Fuselage,'' of the BAE SYSTEMS BAe 146 Series/AVRO
146-RJ Series Structural Repair Manual for Series 300, Revision 44,
dated October 15, 2011.

    Issued in Renton, Washington, on March 28, 2012.
Kalene C. Yanamura,
Acting Manager, Transport Airplane Directorate, Aircraft Certification
Service.
[FR Doc. 2012-8128 Filed 4-4-12; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 81, Number 7 (Tuesday, January 12, 2016)]
[Notices]
[Pages 1458-1464]
[FR Doc No: 2016-00406]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-76848/January 7, 2016]

Order Making Fiscal Year 2016 Annual Adjustments to Transaction
Fee Rates

I. Background

    Section 31 of the Securities Exchange Act of 1934 (``Exchange
Act'') requires each national securities exchange and national
securities association to pay transaction fees to the Commission.\1\
Specifically, Section 31(b) requires each national securities exchange
to pay to the Commission fees based on the aggregate dollar amount of
sales of certain securities (``covered sales'') transacted on the
exchange.\2\ Section 31(c) requires each national securities
association to pay to the Commission fees based on the aggregate dollar
amount of covered sales transacted by or through any member of the
association other than on an exchange.\3\
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    \1\ 15 U.S.C. 78ee.
    \2\ 15 U.S.C. 78ee(b).
    \3\ 15 U.S.C. 78ee(c).
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    Section 31 of the Exchange Act requires the Commission to annually
adjust the fee rates applicable under Sections 31(b) and (c) to a
uniform adjusted rate.\4\ Specifically, the Commission must adjust the
fee rates to a uniform adjusted rate that is reasonably likely to
produce aggregate fee collections (including assessments on security
futures transactions) equal to the regular appropriation to the
Commission for the applicable fiscal year.\5\
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    \4\ In some circumstances, the SEC also must make a mid-year
adjustment to the fee rates applicable under Sections 31(b) and (c).
    \5\ 15 U.S.C. 78ee(j)(1) (the Commission must adjust the rates
under Sections 31(b) and (c) to a ``uniform adjusted rate that, when
applied to the baseline estimate of the aggregate dollar amount of
sales for such fiscal year, is reasonably likely to produce
aggregate fee collections under [Section 31] (including assessments
collected under [Section 31(d)]) that are equal to the regular
appropriation to the Commission by Congress for such fiscal
year.'').
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    The Commission is required to publish notice of the new fee rates
under Section 31 not later than 30 days after the date on which an Act
making a regular appropriation for the applicable fiscal year is
enacted.\6\ On December 18, 2015, the President signed the
``Consolidated Appropriations Act, 2016'', providing $1,605,000,000 in
funds to the SEC for fiscal year 2016.
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    \6\ 15 U.S.C. 78ee(g).
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II. Fiscal Year 2016 Annual Adjustment to the Fee Rate

    The new fee rate is determined by (1) subtracting the sum of fees
estimated to be collected prior to the effective date of the new fee
rate \7\ and estimated assessments on security futures transactions to
be collected under Section 31(d) of the Exchange Act for all of fiscal
year 2016 \8\ from an amount equal to the regular appropriation to the
Commission for fiscal year 2016, and (2) dividing by the estimated
aggregate dollar amount of sales for the remainder of the fiscal year
following the effective date of the new fee rate.\9\
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    \7\ The sum of fees to be collected prior to the effective date
of the new fee rate is determined by applying the current fee rate
to the dollar amount of covered sales prior to the effective date of
the new fee rate. The exchanges and FINRA have provided data on the
dollar amount of covered sales through November, 2015. To calculate
the dollar amount of covered sales from December, 2015 to the
effective date of the new fee rate, the Commission is using the new
methodology described in Section IV of this order.
    \8\ The Commission is using the same methodology it has used
previously to estimate assessments on security futures transactions
to be collected in fiscal year 2016. An explanation of the
methodology appears in Appendix A.
    \9\ To estimate the aggregate dollar amount of covered sales for
the remainder of fiscal year 2016 following the effective date of
the new fee rate, the Commission is using the new methodology
referenced above, and described in Section IV of this order.
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    The regular appropriation to the Commission for fiscal year 2016 is
$1,605,000,000. The Commission estimates that it will collect
$502,582,684 in fees for the period prior to the effective date of the
new fee rate and $35,649 in assessments on round turn transactions in
security futures products during all of fiscal year 2016. Using a new
methodology described below, the Commission estimates that the
aggregate dollar amount of covered sales for the remainder of fiscal
year 2016 to be $50,672,728,301,509.
    The uniform adjusted rate is computed by dividing the residual fees
to be collected of $1,102,381,667 by the estimate of the aggregate
dollar amount of covered sales for the remainder of fiscal year 2016 of
$50,672,728,301,509; this results in a uniform adjusted rate for fiscal
year 2016 of $21.80 per million.\10\
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    \10\ Appendix A shows the process of calculating the fiscal year
2016 annual adjustment. The appendix also includes the data used by
the Commission in making this adjustment.

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III. Effective Date of the Uniform Adjusted Rate

    Under Section 31(j)(4)(A) of the Exchange Act, the fiscal year 2016
annual adjustments to the fee rates applicable under Sections 31(b) and
(c) of the Exchange Act shall take effect on the later of October 1,
2015, or 60 days after the date on which a regular appropriation to the
Commission for fiscal year 2016 is enacted.\11\ The regular
appropriation to the Commission for fiscal year 2016 was enacted on
December 18, 2015, and accordingly, the new fee rates applicable under
Sections 31(b) and (c) of the Exchange Act will take effect on February
16, 2016.
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    \11\ 15 U.S.C. 78ee(j)(4)(A).
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IV. New Methodology for the Baseline Estimate of the Aggregate Dollar
Volume of Covered Sales

    The methodology used to generate the baseline estimate of the
aggregate dollar amount of covered sales is required to be developed by
the Commission in consultation with the Congressional Budget Office
(``CBO'') and the Office of Management and Budget (``OMB'').\12\ The
Commission recently completed a comprehensive review of the methodology
and determined that modifications to the methodology would improve the
accuracy of the estimates. The Commission consulted with CBO and OMB
regarding the modifications to the methodology, as required under
Section 31 of the Exchange Act. Consequently, the Commission has
adopted the new methodology to generate the baseline estimate of the
aggregate dollar volume of covered sales, which is used to determine
the new fee rates. The methodology is explained in Appendix A attached
to this order.
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    \12\ 15 U.S.C. 78ee(j)(1).
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V. Conclusion

    Accordingly, pursuant to Section 31 of the Exchange Act,
    It is hereby ordered that the fee rates applicable under Sections
31(b) and (c) of the Exchange Act shall be $21.80 per $1,000,000
effective on February 16, 2016.

    By the Commission.
Brent J. Fields,
Secretary.

Appendix A

    This appendix provides the methodology for determining the
annual adjustment to the fee rates applicable under Sections 31(b)
and (c) of the Exchange Act for fiscal year 2016. Section 31 of the
Exchange Act requires the fee rates to be adjusted so that it is
reasonably likely that the Commission will collect aggregate fees
equal to its regular appropriation for fiscal year 2016.
    To make the adjustment, the Commission must project the
aggregate dollar amount of covered sales of securities on the
securities exchanges and certain over-the-counter markets over the
course of the year. The fee rate equals the ratio of the
Commission's regular appropriation for fiscal year 2016 (less the
sum of fees to be collected during fiscal year 2016 prior to the
effective date of the new fee rate and aggregate assessments on
security futures transactions during all of fiscal year 2016) to the
estimated aggregate dollar amount of covered sales for the remainder
of the fiscal year following the effective date of the new fee rate.
    For 2016, the Commission has estimated the aggregate dollar
amount of covered sales by projecting forward the trend established
in the previous decade. More specifically, the dollar amount of
covered sales was forecasted for months subsequent to November 2015,
the last month for which the Commission has data on the dollar
volume of covered sales.\13\
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    \13\ To determine the availability of data, the Commission
compares the date of the appropriation with the date the transaction
data are due from the exchanges (10 business days after the end of
the month). If the business day following the date of the
appropriation is equal to or subsequent to the date the data are due
from the exchanges, the Commission uses these data. The
appropriation was signed on December 18, 2015. The first business
day after this date was December 21, 2015. Data for November, 2015
were due from the exchanges on December 14, 2015, so the Commission
used November 2015 and earlier data to forecast volume for December,
2015 later months.
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    The following sections describe this process in detail.

A. Baseline estimate of the aggregate dollar amount of covered sales
for fiscal year 2016.

    First, calculate the average daily dollar amount of covered
sales (ADS) for each month in the sample (October, 2005-November,
2015). The monthly total dollar amount of covered sales (exchange
plus certain over-the-counter markets) is presented in column C of
Table A.
    Next, model the monthly change in the natural logarithm of ADS
as a first order autoregressive process (``AR(1)''), including
monthly indicator variables to control for seasonality.
    Use the estimated AR(1) model to forecast the monthly change in
the log level of ADS. These percent changes can then be applied to
obtain forecasts of the total dollar volume of covered sales. The
following is a more formal (mathematical) description of the
procedure:
    1. Begin with the monthly data for total dollar volume of
covered sales (column C). The sample spans ten years, from October,
2005-November, 2015.\14\ Divide each month's total dollar volume by
the number of trading days in that month (column B) to obtain the
average daily dollar volume (ADS, column D).
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    \14\ Because the model uses a one period lag in the change in
the log level of average daily sales, two additional months of data
are added to the table so that the model is estimated with 120
observations.
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    2. For each month t, calculate [Delta] LN ADS (shown in column
E) as the log growth rate of ADS, that is, the difference between
the natural logarithm of ADS in month t and its value in the prior
month.
    3. Estimate the AR(1) model
    [GRAPHIC] [TIFF OMITTED] TN12JA16.000

with Dmt representing monthly indicator variables, Yt representing
the log growth rate in ADS ([Delta] LS ADS), and [egr]t
representing the error term for month t. The model can be estimated
using standard commercially available software. The estimated
parameter values are [beta] = -0.2671 and [alpha] -
[alpha]12 as follows:
[alpha]1 (JAN) = 0.0854, [alpha]2 (FEB) =
0.0425, [alpha]3 (MAR) = 0.0124, [alpha]4
(APR) = -0.0466, [alpha]5 (MAY) = 0.0501,
[alpha]6 (JUN) = 0.0031, [alpha]7 (JUL) =
-0.0482, [alpha]8 (AUG) = -0.0004,
[alpha]9 (SEP) = 0.0335, [alpha]10 (OCT) =
0.0614, [alpha]11 (NOV) = -0.0296,
[alpha]12 (DEC) = -0.0801. The root-mean
squared error (RMSE) of the regression is 0.1140.

    4. For the first month calculate the forecasted value of the log
growth rate of ADS as
[GRAPHIC] [TIFF OMITTED] TN12JA16.001

    For the next month use the forecasted value of the log growth
rate of the first month to calculate the forecast of the next month.
This process iterates until a forecast is generated for all
remaining months in the fiscal year. These data appear in column F.
    5. Assuming that the regression error in the AR(1) model is
normally distributed, the expected percentage change in average
daily dollar volume from month t - 1 to month t is then given by the
expression
[GRAPHIC] [TIFF OMITTED] TN12JA16.002

where [sgr] denotes the root mean squared error of the regression
(RMSE).
    6. For instance, for December 2015, using the [beta] parameter
and the [alpha]12 parameter (for December) above, and the
change in the log-level ADS from November, 2015, we can estimate the
change in the log growth in average daily sales as
[beta][hairsp][gamma][hairsp]Nov +
[alpha][hairsp]Dec = ((-0.2671 x-0.02892) -0.0801) = -
0.0724. This represents the estimated change in log average daily
dollar volume for December 2015 relative to November 2015. To
estimate the percent change in average daily sales from November,
2015 to December, 2015, use the formula shown in Step 5, above: exp
(-0.0724 + \1/2\[hairsp]0.11402) = -0.0638. Apply this
estimated percent change in ADS to the ADS for November, 2015 to
estimate the ADS for December, 2015 as $291,167,469,596 x (1-0.0638)
= $272,602,991,941. Multiply this by the 22 trading days in December
2015 to obtain a total dollar volume forecast of $5,997,265,822,693.

    7. For January 2016, proceed in a similar fashion. Using the
estimates for December, 2015 along with the [beta] parameter and the
[alpha][hairsp]1 parameter (for January) to generate a
forecast for the one-month change in the log level of average daily
sales. Convert the estimated log change in average daily sales to
estimated percent change in ADS as in step 6, above to obtain a
forecast ADS of $304,668,090,424. Multiply this figure by the 19
trading days in January 2016 to obtain a total dollar volume
forecast of $5,788,693,718,050.
    8. Repeat this procedure for subsequent months.

B. Using the Forecasts From A To Calculate the New Fee Rate

    1. Use Table A to estimate fees collected for the period 10/1/15
through 2/15/16. The projected aggregate dollar amount of covered
sales for this period is $27,314,276,282,567. Actual and projected
fee collections at the current fee rate of $18.40 per million are
$502,582,684.
    2. Estimate the amount of assessments on security futures
products collected from 10/1/15 through 9/30/16. First, calculate
the average and the standard deviation of the change in log average
daily sales, in column E. The average is 0.005148 and the standard
deviation is 0.12233. These are used to estimate an average growth
rate in ADS using the formula exp (0.005148 + \1/
2\[hairsp]0.122332)-1. This results in an average monthly
increase of 1.271%. Apply this monthly increase to the last month
for which single stock futures' assessments are available, which was
$2,828.72, for November, 2015. Estimate all subsequent months in
fiscal year 2016 by applying the growth rate to the previously
estimated monthly value, and sum the results. This totals $35,649
for the entire fiscal year.
    3. Subtract the amounts $502,582,684 and $35,649 from the target
offsetting collection amount set by Congress of $1,605,000,000
leaving $1,102,381,667 to be collected on dollar volume for the
period 2/16/2016 through 9/30/2016.
    4. Use Table A to estimate dollar volume for the period 2/16/
2016 through 9/30/2016. The estimate is $50,672,728,301,509.
Finally, compute the fee rate required to produce the additional
$1,102,381,667 in revenue. This rate is $1,102,381,667 divided by
$50,672,728,301,509 or 0.00002175493.
    5. Round the result to the seventh decimal point, yielding a
rate of 0.0000218 (or $21.80 per million).

   Table A--Baseline Estimate of the Aggregate Dollar Amount of Sales
------------------------------------------------------------------------
                 Fee rate calculation
------------------------------------------------------------------------
a. Baseline estimate of the aggregate dollar amount           24,202,962
 of sales, 10/01/2015 to 01/31/2016 ($Millions)......
b. Baseline estimate of the aggregate dollar amount            3,111,314
 of sales, 02/01/2016 to 02/15/2016 ($Millions)......
c. Baseline estimate of the aggregate dollar amount            3,111,314
 of sales, 02/16/2016 to 02/29/2016 ($Millions)......
d. Baseline estimate of the aggregate dollar amount           47,561,414
 of sales, 03/01/2015 to 09/30/2016 ($Millions)......
e. Estimated collections in assessments on security                0.036
 features products in fiscal year 2016 ($Millions)...
f. Implied fee rate (($1,605,000,000-$18.40 * (a + b)-            $21.80
 e) / (c + d)........................................
------------------------------------------------------------------------

--------------------------------------------------------------------------------------------------------------------------------------------------------
               (A)                    (B)              (C)                  (D)             (E)         (F)             (G)                  (H)
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                      # of
                                    Trading    Total dollar amount     Average daily    [Delta] LN   Forecast    Forecast average      Forecast total
              Month                 days in         of sales         dollar amount of       ADS     [Delta] LN     daily dollar       dollar amount of
                                     month                              sales (ADS)                     ADS       amount of sales           sales
--------------------------------------------------------------------------------------------------------------------------------------------------------
Oct-05...........................         21     3,279,847,331,057     156,183,206,241        #N/A
Nov-05...........................         21     3,163,453,821,548     150,640,658,169    -0.03613
Dec-05...........................         21     3,090,212,715,561     147,152,986,455    -0.02342
Jan-06...........................         20     3,573,372,724,766     178,668,636,238     0.19406
Feb-06...........................         19     3,314,259,849,456     174,434,728,919    -0.02398
Mar-06...........................         23     3,807,974,821,564     165,564,122,677    -0.05219
Apr-06...........................         19     3,257,478,138,851     171,446,217,834     0.03491
May-06...........................         22     4,206,447,844,451     191,202,174,748     0.10906
Jun-06...........................         22     3,995,113,357,316     181,596,061,696    -0.05155
Jul-06...........................         20     3,339,658,009,357     166,982,900,468    -0.08389
Aug-06...........................         23     3,410,187,280,845     148,269,012,211    -0.11886
Sep-06...........................         20     3,407,409,863,673     170,370,493,184     0.13895
Oct-06...........................         22     3,980,070,216,912     180,912,282,587     0.06004
Nov-06...........................         21     3,933,474,986,969     187,308,332,713     0.03474
Dec-06...........................         20     3,715,146,848,695     185,757,342,435    -0.00831
Jan-07...........................         20     4,263,986,570,973     213,199,328,549     0.13779
Feb-07...........................         19     3,946,799,860,532     207,726,308,449    -0.02601
Mar-07...........................         22     5,245,051,744,090     238,411,442,913     0.13778
Apr-07...........................         20     4,274,665,072,437     213,733,253,622    -0.10927
May-07...........................         22     5,172,568,357,522     235,116,743,524     0.09535
Jun-07...........................         21     5,586,337,010,802     266,016,048,133     0.12347
Jul-07...........................         21     5,938,330,480,139     282,777,641,911     0.06110
Aug-07...........................         23     7,713,644,229,032     335,375,836,045     0.17059
Sep-07...........................         19     4,805,676,596,099     252,930,347,163    -0.28214
Oct-07...........................         23     6,499,651,716,225     282,593,552,879     0.11090
Nov-07...........................         21     7,176,290,763,989     341,728,131,619     0.19001
Dec-07...........................         20     5,512,903,594,564     275,645,179,728    -0.21490
Jan-08...........................         21     7,997,242,071,529     380,821,051,025     0.32322
Feb-08...........................         20     6,139,080,448,887     306,954,022,444    -0.21563
Mar-08...........................         20     6,767,852,332,381     338,392,616,619     0.09751
Apr-08...........................         22     6,150,017,772,735     279,546,262,397    -0.19104
May-08...........................         21     6,080,169,766,807     289,531,893,657     0.03510
Jun-08...........................         21     6,962,199,302,412     331,533,300,115     0.13546
Jul-08...........................         22     8,104,256,787,805     368,375,308,537     0.10537
Aug-08...........................         21     6,106,057,711,009     290,764,652,905    -0.23659
Sep-08...........................         21     8,156,991,919,103     388,428,186,624     0.28959
Oct-08...........................         23     8,644,538,213,244     375,849,487,532    -0.03292

Nov-08...........................         19     5,727,998,341,833     301,473,596,939    -0.22051
Dec-08...........................         22     5,176,041,317,640     235,274,605,347    -0.24793
Jan-09...........................         20     4,670,249,433,806     233,512,471,690    -0.00752
Feb-09...........................         19     4,771,470,184,048     251,130,009,687     0.07274
Mar-09...........................         22     5,885,594,284,780     267,527,012,945     0.06325
Apr-09...........................         21     5,123,665,205,517     243,984,057,406    -0.09212
May-09...........................         20     5,086,717,129,965     254,335,856,498     0.04155
Jun-09...........................         22     5,271,742,782,609     239,624,671,937     0.05958
Jul-09...........................         22     4,659,599,245,583     211,799,965,708    -0.12343
Aug-09...........................         21     4,582,102,295,783     218,195,347,418     0.02975
Sep-09...........................         21     4,929,155,364,888     234,721,684,042     0.07301
Oct-09...........................         22     5,410,025,301,030     245,910,240,956     0.04657
Nov-09...........................         20     4,770,928,103,032     238,546,405,152    -0.03040
Dec-09...........................         22     4,688,555,303,171     213,116,150,144    -0.11273
Jan-10...........................         19     4,661,793,708,648     245,357,563,613     0.14088
Feb-10...........................         19     4,969,848,578,023     261,570,977,791     0.06399
Mar-10...........................         23     5,563,529,823,621     241,892,601,027    -0.07821
Apr-10...........................         21     5,546,445,874,917     264,116,470,234     0.08790
May-10...........................         20     7,260,430,376,294     363,021,518,815     0.31807
Jun-10...........................         22     6,124,776,349,285     278,398,924,967    -0.26541
Jul-10...........................         21     5,058,242,097,334     240,868,671,302    -0.14480
Aug-10...........................         22     4,765,828,263,463     216,628,557,430    -0.10607
Sep-10...........................         21     4,640,722,344,586     220,986,778,314     0.01992
Oct-10...........................         21     5,138,411,712,272     244,686,272,013     0.10187
Nov-10...........................         21     5,279,700,881,901     251,414,327,710     0.02713
Dec-10...........................         22     4,998,574,681,208     227,207,940,055    -0.10124
Jan-11...........................         20     5,043,391,121,345     252,169,556,067     0.10424
Feb-11...........................         19     5,114,631,590,581     269,191,136,346     0.06532
Mar-11...........................         23     6,499,355,385,307     282,580,668,926     0.04854
Apr-11...........................         20     4,975,954,868,765     248,797,743,438    -0.12732
May-11...........................         21     5,717,905,621,053     272,281,220,050     0.09020
Jun-11...........................         22     5,820,079,494,414     264,549,067,928    -0.02881
Jul-11...........................         20     5,189,681,899,635     259,484,094,982    -0.01933
Aug-11...........................         23     8,720,566,877,109     379,155,081,613     0.37925
Sep-11...........................         21     6,343,578,147,811     302,075,149,896    -0.22727
Oct-11...........................         21     6,163,272,963,688     293,489,188,747    -0.02884
Nov-11...........................         21     5,493,906,473,584     261,614,593,980    -0.11497
Dec-11...........................         21     5,017,867,255,600     238,946,059,790    -0.09063
Jan-12...........................         20     4,726,522,206,487     236,326,110,324    -0.01103
Feb-12...........................         20     5,011,862,514,132     250,593,125,707     0.05862
Mar-12...........................         22     5,638,847,967,025     256,311,271,228     0.02256
Apr-12...........................         20     5,084,239,396,560     254,211,969,828    -0.00822
May-12...........................         22     5,611,638,053,374     255,074,456,972     0.00339
Jun-12...........................         21     5,121,896,896,362     243,899,852,208    -0.04480
Jul-12...........................         21     4,567,519,314,374     217,500,919,732    -0.11455
Aug-12...........................         23     4,621,597,884,730     200,939,038,467    -0.07920
Sep-12...........................         19     4,598,499,962,682     242,026,313,825     0.18604
Oct-12...........................         21     5,095,175,588,310     242,627,408,967     0.00248
Nov-12...........................         21     4,547,882,974,292     216,565,855,919    -0.11363
Dec-12...........................         20     4,744,922,754,360     237,246,137,718     0.09120
Jan-13...........................         21     5,079,603,817,496     241,885,896,071     0.01937
Feb-13...........................         19     4,800,663,527,089     252,666,501,426     0.04360
Mar-13...........................         20     4,917,701,839,870     245,885,091,993    -0.02721
Apr-13...........................         22     5,451,358,637,079     247,789,028,958     0.00771
May-13...........................         22     5,681,788,831,869     258,263,128,721     0.04140
Jun-13...........................         20     5,623,545,462,226     281,177,273,111     0.08501
Jul-13...........................         22     5,083,861,509,754     231,084,614,080     0.19620
Aug-13...........................         22     4,925,611,193,095     223,891,417,868     0.03162
Sep-13...........................         20     4,959,197,626,713     247,959,881,336     0.10211
Oct-13...........................         23     5,928,804,028,970     257,774,088,216     0.03882
Nov-13...........................         20     5,182,024,612,049     259,101,230,602     0.00514
Dec-13...........................         21     5,265,282,994,173     250,727,761,627    -0.03285
Jan-14...........................         21     5,808,700,114,288     276,604,767,347     0.09822
Feb-14...........................         19     6,018,926,931,054     316,785,627,950     0.13564
Mar-14...........................         21     6,068,617,342,988     288,981,778,238    -0.09186
Apr-14...........................         21     6,013,948,953,528     286,378,521,597    -0.00905
May-14...........................         21     5,265,594,447,318     250,742,592,729    -0.13289
Jun-14...........................         21     5,159,506,989,669     245,690,809,032    -0.02035
Jul-14...........................         22     5,364,099,567,460     243,822,707,612    -0.00763
Aug-14...........................         21     5,075,332,147,677     241,682,483,223    -0.00882

Sep-14...........................         21     5,507,943,363,243     262,283,017,297     0.08180
Oct-14...........................         23     7,796,638,035,879     338,984,262,430     0.25653
Nov-14...........................         19     5,340,847,027,697     281,097,211,984    -0.18725
Dec-14...........................         22     6,559,110,068,128     298,141,366,733     0.05887
Jan-15...........................         20     6,185,619,541,044     309,280,977,052     0.03668
Feb-15...........................         19     5,723,523,235,641     301,238,065,034    -0.02635
Mar-15...........................         22     6,395,046,297,249     290,683,922,602    -0.03566
Apr-15...........................         21     5,625,548,298,004     267,883,252,286    -0.08169
May-15...........................         20     5,521,351,972,386     276,067,598,619     0.03009
Jun-15...........................         22     6,005,521,460,806     272,978,248,218    -0.01125
Jul-15...........................         22     6,493,670,315,390     295,166,832,518     0.07815
Aug-15...........................         21     6,963,901,249,270     331,614,345,203     0.11643
Sep-15...........................         21     6,440,925,545,396     306,710,740,257    -0.07807
Oct-15...........................         22     6,593,653,094,211     299,711,504,282    -0.02308
Nov-15...........................         20     5,823,349,391,916     291,167,469,596    -0.02892
Dec-15...........................         22  ....................  ..................  ..........     -0.0724     272,602,991,941     5,997,265,822,693
Jan-16...........................         19  ....................  ..................  ..........      0.1047     304,668,090,424     5,788,693,718,050
Feb-16...........................         20  ....................  ..................  ..........      0.0145     311,131,425,570     6,222,628,511,396
Mar-16...........................         22  ....................  ..................  ..........      0.0085     315,842,407,146     6,948,532,957,222
Apr-16...........................         21  ....................  ..................  ..........     -0.0488     302,748,113,304     6,357,710,379,390
May-16...........................         21  ....................  ..................  ..........      0.0631     324,581,761,754     6,816,216,996,826
Jun-16...........................         22  ....................  ..................  ..........     -0.0138     322,226,038,253     7,088,972,841,563
Jul-16...........................         20  ....................  ..................  ..........     -0.0445     310,203,769,953     6,204,075,399,062
Aug-16...........................         23  ....................  ..................  ..........      0.0115     315,832,901,491     7,264,156,734,284
Sep-16...........................         21  ....................  ..................  ..........      0.0304     327,702,320,832     6,881,748,737,465
--------------------------------------------------------------------------------------------------------------------------------------------------------

BILLING CODE 8011-01-P

[GRAPHIC] [TIFF OMITTED] TN12JA16.003

[FR Doc. 2016-00406 Filed 1-11-16; 8:45 am]
BILLING CODE 8011-01-C


[Federal Register Volume 85, Number 182 (Friday, September 18, 2020)]
[Notices]
[Pages 58423-58425]
[FR Doc No: 2020-20660]

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

DEPARTMENT OF TRANSPORTATION

National Highway Traffic Safety Administration

[Docket No. NHTSA-2020-0033; Notice 1]

Mack Trucks Inc., Receipt of Petition for Decision of
Inconsequential Noncompliance

AGENCY: National Highway Traffic Safety Administration (NHTSA),
Department of Transportation (DOT).

ACTION: Receipt of petition.

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

SUMMARY: Mack Trucks Inc. (Mack Trucks) has determined that certain
model year (MY) 2016 2020 Mack heavy duty motor vehicles do not fully
comply with Federal Motor Vehicle Safety Standard (FMVSS) No. 101,
Controls and Displays. Mack Trucks filed a noncompliance report dated
October 9, 2019, and later amended the report on May 29, 2020. Mack
Trucks subsequently petitioned NHTSA for a decision that the subject
noncompliance is inconsequential as it relates to motor vehicle safety
on November 2, 2019, and later amended this petition on May 29, 2020,
and July 9, 2020. This notice announces receipt of Mack Trucks'
petition as amended.

DATES: Send comments on or before October 19, 2020.

ADDRESSES: Interested persons are invited to submit written data,
views, and arguments on this petition. Comments must refer to the
docket and notice number cited in the title of this notice and
submitted by any of the following methods:
     Mail: Send comments by mail addressed to the U.S.
Department of Transportation, Docket Operations, M-30, West Building
Ground Floor, Room W12-140, 1200 New Jersey Avenue SE, Washington, DC
20590.
     Hand Delivery: Deliver comments by hand to the U.S.
Department of Transportation, Docket Operations, M-30, West Building
Ground Floor, Room W12-140, 1200 New Jersey Avenue SE, Washington, DC
20590. The Docket Section is open on weekdays from 10 a.m. to 5 p.m.
except for Federal holidays.
     Electronically: Submit comments electronically by logging
onto the Federal Docket Management System (FDMS) website at https://www.regulations.gov/. Follow the online instructions for submitting
comments.
     Comments may also be faxed to<PHONE_NUMBER>.
    Comments must be written in the English language, and be no greater
than 15 pages in length, although there is no limit to the length of
necessary attachments to the comments. If comments are submitted in
hard copy form, please ensure that two copies are provided. If you wish
to receive confirmation that comments you have submitted by mail were
received, please enclose a stamped, self-addressed postcard with the
comments. Note that all comments received will be posted without change
to https://www.regulations.gov, including any personal information
provided.
    All comments and supporting materials received before the close of
business on the closing date indicated above will be filed in the
docket and will be considered. All comments and supporting materials
received after the closing date will also be filed and will be
considered to the fullest extent possible.
    When the petition is granted or denied, notice of the decision will
also be published in the Federal Register pursuant to the authority
indicated at the end of this notice.
    All comments, background documentation, and supporting materials
submitted to the docket may be viewed by anyone at the address and
times given above. The documents may also be viewed on the internet at
https://www.regulations.gov by following the online instructions for
accessing the docket. The docket ID number for this petition is shown
in the heading of this notice.
    DOT's complete Privacy Act Statement is available for review in a
Federal Register notice published on April 11, 2000 (65 FR 19477-78).

SUPPLEMENTARY INFORMATION:
    I. Overview: Mack Trucks determined that certain MY 2016 2020 Mack
heavy duty motor vehicles do not fully comply with the requirements of
paragraph S5.2.1 of FMVSS No. 101, Controls and Displays (49 CFR
571.101). Mack Trucks filed a noncompliance report dated October 9,
2019, and later amended the report on May 29, 2020, pursuant to 49 CFR
part 573, Defect and Noncompliance Responsibility and Reports. Mack
Trucks subsequently petitioned NHTSA on November 2, 2019, and later
amended the petition on May 29, 2020, and July 9, 2020, for an
exemption from the notification and remedy requirements of 49 U.S.C.
Chapter 301 on the basis that this noncompliance is inconsequential as
it relates to motor vehicle safety, pursuant to 49 U.S.C. 30118(d) and
30120(h) and 49 CFR part 556, Exemption for Inconsequential Defect or
Noncompliance.
    This notice of receipt of Mack Trucks' petition is published under
49 U.S.C. 30118 and 30120 and does not represent any Agency decision or
other exercise of judgment concerning the merits of the petition.
    II. Vehicles Involved: Approximately 47,742 MY 2019-2020 Anthem,
Pinnacle, and Granite model vehicles and MY 2016-2020 LR model vehicles
manufactured between July 12, 2015, and October 3, 2019, are
potentially involved.
    III. Noncompliance: Mack Trucks explains that the noncompliance is
that the subject vehicles are equipped with certain controls that are
not properly labeled with the appropriate symbols or words as required
by paragraph S5.2.1, Table 1 of FMVSS No. 101. Specifically, in the
Anthem, Pinnacle, Granite, and LR vehicles there is no identifier for
the heating and air conditioning fan control and the incorrect
identifier was used for the position side marker control. In the LR
vehicles the master lighting switch control is not identified with the
required symbol.
    IV. Rule Requirements: Paragraph S5.2.1 of FMVSS No. 101 includes
the requirements relevant to this petition. Except for the Low Tire
Pressure Telltale, each control, telltale, and indicator that is listed
in column 1 of Table 1 or Table 2 must be identified by the symbol
specified for it in column 2 or the word or abbreviation specified for
it in column 3 of Table 1 or Table 2.
    V. Summary of Mack Trucks' Petition: The following views and
arguments presented in this section, V. Summary of Mack Trucks'
Petition, are the views and arguments provided by Mack Trucks. They
have not been evaluated by the Agency and do not reflect the views of
the Agency. Mack Trucks described the subject noncompliance and stated
their belief that the noncompliance is inconsequential as it relates to
motor vehicle safety.
    In support of its petition, Mack Trucks submitted the following
reasoning:
    1. For the heating and air conditioning fan control, the
requirement specified that the control must be labeled with the fan
symbol or the word ``fan.'' The required symbol or the word ``fan'' is
not on the control. The rotary control has numbers 0 to 4 and is
located on the HVAC panel; therefore, it is obvious to the driver that
the control is for the fan speed. The owner's manual shows the control
and informs that the control is the fan speed. Operation of the
vehicles requires a Commercial Driver's License (CDL); therefore, the
driver will be a licensed professional driver.
    2. For the position side marker, end-outline marker, or
identification or clearance lamps control, the control must be labeled
with the required symbol or the words ``Marker Lamps'' or ``MK Lps.''
The control uses a different symbol to identify the marker. The rotary
control has a symbol that indicates that the position is for the
parking lights. The position in the sequence makes it discernible to
the driver. The owner's manual shows the control and informs that the
pictured symbol is for the marker lamps. Operation of the vehicle
requires a CDL;

therefore, the driver will be a licensed professional.
    3. For the Master Lighting Control, the control must be labeled
with the identified symbol or the word ``lights.'' The control is not
identified with the symbol or the word. The control is a three-position
toggle switch and includes the low beam headlight symbol and the
parking light symbol and, therefore, is discernible to the driver. The
owner's manual includes information on the control and its purpose.
Operation of the vehicles requires a CDL; therefore, the driver will be
a licensed professional driver.
    4. Mack Trucks views these noncompliances as inconsequential to the
safe operation of the vehicle. Mack Trucks states that there are no
customer complaints, field reports, warranty claims, or accidents
associated with these noncompliances.
    5. Class 7 & 8 vehicles require that the driver have CDL to operate
the vehicle.
    Mack Trucks concluded by expressing its belief that the subject
noncompliance is inconsequential as it relates to motor vehicle safety
and that its petition be exempted from providing notification of the
noncompliance, as required by 49 U.S.C. 30118, and a remedy for the
noncompliance, as required by 49 U.S.C. 30120, should be granted.
    NHTSA notes that the statutory provisions (49 U.S.C. 30118(d) and
30120(h)) that permit manufacturers to file petitions for a
determination of inconsequentiality allow NHTSA to exempt manufacturers
only from the duties found in sections 30118 and 30120, respectively,
to notify owners, purchasers, and dealers of a defect or noncompliance
and to remedy the defect or noncompliance. Therefore, any decision on
this petition only applies to the subject vehicles that Mack Trucks no
longer controlled at the time it determined that the noncompliance
existed. However, any decision on this petition does not relieve
vehicle distributors and dealers of the prohibitions on the sale, offer
for sale, or introduction or delivery for introduction into interstate
commerce of the noncompliant vehicles under their control after Mack
Trucks notified them that the subject noncompliance existed.

(Authority: 49 U.S.C. 30118, 30120: delegations of authority at 49
CFR 1.95 and 501.8).

Otto G. Matheke III,
Director, Office of Vehicle Safety Compliance.
[FR Doc. 2020-20660 Filed 9-17-20; 8:45 am]
BILLING CODE 4910-59-P


[Federal Register Volume 84, Number 123 (Wednesday, June 26, 2019)]
[Proposed Rules]
[Pages 30050-30052]
[FR Doc No: 2019-13651]

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

Federal Aviation Administration

14 CFR Part 27

[Docket No. FAA-2019-0106; Notice No. 27-046-SC]

Special Conditions: Robinson Helicopter Company, Model Robinson
R66, Visual Flight Rules Autopilot and Stability Augmentation System
(AP/SAS System)

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of proposed special conditions.

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SUMMARY: This action proposes special conditions for the Robinson
Helicopter Company (Robinson) Model R66 helicopter. This helicopter
will have a novel or unusual design feature associated with
installation of the autopilot and stability augmentation system (AP/SAS
system). The applicable airworthiness regulations do not contain
adequate or appropriate safety standards for this design feature. These
proposed special conditions contain the additional safety standards
that the Administrator considers necessary to establish a level of
safety equivalent to that established by the existing airworthiness
standards.

DATES: Send your comments on or before August 12, 2019.

ADDRESSES: Send comments identified by docket number [FAA-2019-XXXX]
using any of the following methods:
    [squ] Federal eRegulations Portal: Go to http://www.regulations.gov
and follow the online instructions for sending your comments
electronically.

    [squ] Mail: Send comments to Docket Operations, M-30, U.S.
Department of Transportation (DOT), 1200 New Jersey Avenue SE, Room
W12-140, West Building Ground Floor, Washington, DC, 20590-0001.
    [squ] Hand Delivery of Courier: Take comments to Docket Operations
in Room W12-140 of the West Building Ground Floor at 1200 New Jersey
Avenue SE, Washington, DC, between 8 a.m., and 5 p.m., Monday through
Friday, except Federal holidays.
    [squ] Fax: Fax comments to Docket Operations at<PHONE_NUMBER>.
    Privacy: The FAA will post all comments it receives, without
change, to http://www.regulations.gov, including any personal
information the commenter provides. Using the search function of the
docket website, anyone can find and read the electronic form of all
comments received into any FAA docket, including the name of the
individual sending the comment (or signing the comment for an
association, business, labor union, etc.). DOT's complete Privacy Act
Statement can be found in the Federal Register published on April 11,
2000 (65 FR 19477-19478), as well as at http://DocketsInfo.dot.gov.
    Docket: Background documents or comments received may be read at
http://www.regulations.gov at any time. Follow the online instructions
for accessing the docket or go to the Docket Operations in Room W12-140
of the West Building Ground Floor at 1200 New Jersey Avenue SE,
Washington, DC, between 9 a.m., and 5 p.m., Monday through Friday,
except Federal holidays.

FOR FURTHER INFORMATION CONTACT: Andy Shaw, Aerospace Engineer, FAA,
Rotorcraft Standards Branch, Policy and Innovation Division, 10101
Hillwood Pkwy., Fort Worth, TX 76177; telephone<PHONE_NUMBER>; email
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Comments Invited

    The FAA invites interested people to take part in this rulemaking
by sending written comments, data, or views. The most helpful comments
reference a specific portion of the special conditions, explain the
reason for any recommended change, and include supporting data.
    The FAA will consider all comments it receives on or before the
closing date for comments. The FAA will consider comments filed late if
it is possible to do so without incurring expense or delay. The FAA may
change these special conditions based on the comments it receives.

Background

    On June 8, 2018, Robinson applied to amend type certificate (TC)
Number R00015LA to install an AP/SAS system on the Robinson Model R66
helicopter. The Robinson Model R66 helicopter is a 14 CFR part 27
normal category, single turbine engine, conventional helicopter
designed for civil operation. This helicopter model is capable of
carrying up to four passengers with one pilot and has a maximum gross
weight of up to 2,700 pounds, depending on the model configuration. The
major design features include a 2-blade main rotor, an anti-torque tail
rotor system, a skid landing gear, and a visual flight rule basic
avionics configuration. Robinson proposes to modify this model
helicopter by installing an AP/SAS system.
    The AP/SAS system provides attitude stabilization in two or three
axes (pitch and roll with optional yaw) as well as higher-level
autopilot functions such as altitude hold, heading command and
navigation tracking. However, the possible failure conditions for this
system, and their effect on the continued safe flight and landing of
the helicopter, are more severe than those envisioned by the present
rules.
    The effect on safety is not adequately covered under 14 CFR 27.1309
for the application of new technology and new application of standard
technology. Specifically, the present provisions of Sec.  27.1309(c) do
not adequately address the safety requirements for systems whose
failures could result in catastrophic or hazardous/severe-major failure
conditions, or for complex systems whose failures could result in major
failure conditions. The current regulations are inadequate because when
Sec.  27.1309(c) were promulgated, it was not envisioned that this type
of rotorcraft would use systems that are complex or whose failure could
result in ``catastrophic'' or ``hazardous/severe-major'' effects on the
rotorcraft. This is particularly true with the application of new
technology, new application of standard technology, or other
applications not envisioned by the rule that affect safety.

Type Certification Basis

    Under 14 CFR 21.101, Robinson must show that the Model R66
helicopter, as modified by the installed AP/SAS, continues to meet the
applicable regulations in effect on the date of application for the
change to the type certificate. The baseline certification basis for
the unmodified Robinson Model R66 helicopter is listed in TC Number
R00015LA. Additionally, compliance must be shown to any applicable
equivalent level of safety findings, exemptions, and special conditions
prescribed by the Administrator as part of the certification basis.
    The Administrator has determined the applicable airworthiness
regulations (that is, 14 CFR part 27), as they pertain to this amended
TC, do not contain adequate or appropriate safety standards for the
Robinson Model R66 helicopter because of a novel or unusual design
feature. Therefore, special conditions are prescribed under Sec.
21.16.
    In addition to the applicable airworthiness regulations and special
conditions, Robinson must show compliance of the AP/SAS amended TC
altered model R66 helicopter with the noise certification requirements
of 14 CFR part 36.
    The FAA issues special conditions, as defined in Sec.  11.19, in
accordance with Sec.  11.38 and they become part of the type
certification basis under Sec.  21.101(d).

Novel or Unusual Design Features

    The Robinson Model R66 helicopter will incorporate the following
novel or unusual design features: AP/SAS. The AP/SAS performs non-
critical control functions.

Discussion

    To comply with the provisions of the special conditions, the FAA
proposes to require that Robinson provide the FAA with a systems safety
assessment (SSA) for the final AP/SAS installation configuration that
will adequately address the safety objectives established by a
functional hazard assessment (FHA). This process will ensure that all
failure conditions and their resulting effects are adequately addressed
for the installed AP/SAS. The SSA process is part of the overall safety
assessment process discussed in FAA Advisory Circular 27-1B,
Certification of Normal Category Rotorcraft, and Society of Automotive
Engineers document Aerospace Recommended Practice 4761, Guidelines and
Methods for Conducting the Safety Assessment Process on Civil Airborne
Systems and Equipment.
    These proposed special conditions would require that the AP/SAS
installed on a Robinson Model R66 helicopter meet the requirements to
adequately address the failure effects identified by the FHA, and
subsequently verified by the SSA, within the defined design integrity
requirements.
    Failure conditions are classified according to the severity of
their effects on the rotorcraft. Radio Technical Commission for
Aeronautics, Inc. (RTCA) Document DO-178C, Software

Considerations in Airborne Systems and Equipment Certification,
provides software design assurance levels most commonly used for the
major, hazardous/severe-major, and catastrophic failure condition
categories. The AP/SAS system equipment must be qualified for the
expected installation environment. The test procedures prescribed in
RTCA Document DO-160G, Environmental Conditions and Test Procedures for
Airborne Equipment, are recognized by the FAA as acceptable
methodologies for finding compliance with the environmental
requirements. Equivalent environment test standards may also be
acceptable. Environmental qualification provides data to show that the
AP/SAS system can perform its intended function under the expected
operating condition. Some of the main considerations for environmental
concerns are installation locations and the resulting exposure to
environmental conditions for the AP/SAS system equipment, including
considerations for other equipment that may also be affected
environmentally by the AP/SAS equipment installation. The level of
environmental qualification must be related to the severity of the
considered failure conditions and effects on the rotorcraft.

Applicability

    These special conditions are applicable to the AP/SAS installed as
an amended TC approval in Robinson Model R66 helicopter, TC Number
R00015LA.

Conclusion

    This action affects only certain novel or unusual design features
for an AP/SAS amended TC installed on one model helicopter. It is not a
rule of general applicability and affects only the applicant who
applied to the FAA for approval of these features.

List of Subjects in 14 CFR Part 27

    Aircraft, Aviation safety, Reporting and recordkeeping
requirements.

    The authority citation for these special conditions is as follows:

    Authority:  49 U.S.C. 106(g), 40113, 44701, 44702, 44704.

The Proposed Special Conditions

    Accordingly, the Federal Aviation Administration (FAA) proposes the
following special conditions as part of the amended type certification
basis for installation of the AP/SAS system on Robinson Model R66
helicopters.
    Instead of the requirements of 14 CFR 27.1309(b) and (c), the
following must be met for certification of the AP/SAS system installed
on Robinson Model R66 helicopters:
    a. The equipment and systems must be designed and installed so that
any equipment and systems do not adversely affect the safety of the
rotorcraft or its occupants.
    b. The rotorcraft systems and associated components considered
separately and in relation to others systems, must be designed and
installed so that:
    (1) The occurrence of any catastrophic failure condition is
extremely improbable;
    (2) The occurrence of any hazardous failure condition is extremely
remote; and
    (3) The occurrence of any major failure condition is remote.
    c. Compliance with the requirements of these special conditions may
be shown by a variety of methods, which typically consist of analysis,
flight tests, ground tests, and simulation, as a minimum. Compliance
methodology is related to the associated failure condition category.
Compliance with the requirements for failure conditions classified as
``major'' may be shown by analysis, in combination with appropriate
testing to validate the analysis. Compliance with the requirements for
failure conditions classified as ``hazardous/severe-major'' may be
shown by flight-testing in combination with analysis and simulation,
and the appropriate testing to validate the analysis. Flight tests may
be limited for ``hazardous/severe-major'' failure conditions and
effects due to safety considerations. Compliance with the requirements
for failure conditions classified as ``catastrophic'' may be shown by
analysis, and appropriate testing in combination with simulation to
validate the analysis. Very limited flight tests in combination with
simulation are used as a part of a showing of compliance for
``catastrophic'' failure conditions. Flight tests are performed only in
circumstances that use operational variations, or extrapolations from
other flight performance aspects to address flight safety.
    d. These special conditions require that the AP/SAS system
installed on a Robinson Model R66 helicopter, Type Certificate Number
R00015LA, meet these requirements to adequately address the failure
effects identified by the FHA, and subsequently verified by the SSA,
within the defined design system integrity requirements.
    e. Information concerning an unsafe system operating condition must
be provided in a timely manner to the crew to enable them to take
appropriate corrective action. An appropriate alert must be provided if
immediate pilot awareness and immediate or subsequent corrective action
is required. Systems and controls, including indications and
annunciations, must be designed to minimize crew errors that could
create additional hazards.

    Issued in Fort Worth, Texas, on June 19, 2019.
Stephen Barbini,
Acting Manager, Rotorcraft Standards Branch, Policy and Innovation
Division, Aircraft Certification Service.
[FR Doc. 2019-13651 Filed 6-25-19; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 81, Number 13 (Thursday, January 21, 2016)]
[Proposed Rules]
[Pages 3353-3354]
[FR Doc No: 2016-01211]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 73

[Docket No. FAA-2015-2776; Airspace Docket No. 15-AEA-5]
RIN 2120-AA66

Proposed Amendment and Establishment of Restricted Areas;
Chincoteague Inlet, VA

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of proposed rulemaking (NPRM); reopening of comment
period.

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SUMMARY: This action reopens the comment period for the NPRM published
September 10, 2015, proposing to expand the restricted airspace at
Chincoteague Inlet, VA. This reopening of the comment period is
necessary because a chart depicting the proposed airspace was not
available prior to the original comment period closing date. This
action will ensure that interested persons have the opportunity to view
the chart and submit comments regarding the proposal.

DATES: The comment period for the NPRM published September 10, 2015 (80
FR 54444) closed on October 26, 2015, and reopened until February 22,
2016.

ADDRESSES: Send comments on this proposal to the U.S. Department of
Transportation, Docket Operations, M-30, 1200 New Jersey Avenue SE.,
West Building Ground Floor, Room W12-140, Washington, DC 20590-0001;
telephone:<PHONE_NUMBER>. You must identify FAA Docket No. FAA-2015-
2776 and Airspace Docket No. 15-AEA-5, at the beginning of your
comments. You may also submit comments through the Internet at http://www.regulations.gov. Comments on environmental and land use aspects to
should be directed to: NASA Wallops Flight Facility, Attn: Ms. Shari
Silbert, Wallops Island, VA 23337; telephone:<PHONE_NUMBER>.

FOR FURTHER INFORMATION CONTACT: Paul Gallant, Airspace Policy Group,
Office of Airspace Services, Federal Aviation Administration, 800
Independence Avenue SW., Washington, DC 20591; telephone: (202) 267-
8783.

SUPPLEMENTARY INFORMATION:

Comments Invited

    Interested parties are invited to participate in this proposed
rulemaking by submitting such written data, views, or arguments as they
may desire. Comments that provide the factual basis supporting the
views and suggestions presented are particularly helpful in developing
reasoned regulatory decisions on the proposal. Comments are
specifically invited on the overall regulatory, aeronautical, economic,
environmental, and energy-related aspects of the proposal.
    Communications should identify both docket numbers (FAA Docket No.
FAA-2015-2776 and Airspace Docket No. 15-AEA-5) and be submitted in
triplicate to the Docket Management System (see ADDRESSES section for
address and phone number). You may also submit comments through the
Internet at http://www.regulations.gov.
    Persons wishing the FAA to acknowledge receipt of their comments on
this action must submit with those comments a self-addressed, stamped
postcard on which the following statement is made: ``Comments to FAA
Docket No. FAA-2015-2776 and Airspace Docket No. 15-AEA-5.'' The
postcard will be date/time stamped and returned to the commenter.
    All communications received on or before the specified closing date
for comments will be considered before taking action on the proposed
rule. The proposal contained in this action may be changed in light of
comments received. All comments submitted will be available for
examination in the public docket both before and after the closing date
for comments. A report summarizing each substantive public contact with
FAA personnel concerned with this rulemaking will be filed in the
docket.

Availability of NPRM's

    An electronic copy of this document may be downloaded through the
internet at http://www.regulations.gov.
    You may review the public docket containing the proposal, any
comments received and any final disposition in person at the Dockets
Office (see ADDRESSES section for address and phone number) between
9:00 a.m. and 5:00 p.m., Monday through Friday, except Federal
holidays. An informal docket may also be examined during normal
business hours at the office of the Operations Support Group, Eastern
Service Center, Federal Aviation Administration, 1701 Columbia Ave.,
College Park, GA 30337.
    Persons interested in being placed on a mailing list for future
NPRM's should contact the FAA's Office of Rulemaking,<PHONE_NUMBER>,
for a copy of Advisory Circular No. 11-2A.

Background

    On September 10, 2015, the FAA published a notice of proposed
rulemaking (NPRM) proposing the amendment and establishment of
restricted areas at Chincoteague Inlet, VA (80 FR 54444), Docket No.
FAA-2015-2776, Airspace Docket No. 15-AEA-5. The NPRM included a
statement that a color chart of the proposed airspace would be
available for viewing on the www.regulations.gov Web site. However, the
chart was not posted until after the comment closing date. One
commenter responded that it is difficult to understand the proposed
changes because the chart was unavailable.
    A color chart showing the location of the proposed restricted areas
is now posted on the internet at http://www.regulations.gov. Search
docket no. FAA-2015-2776 and click on ``open docket folder'' to view
the chart.
    To give the public an opportunity to view the chart prior to
submitting comments, the FAA is reopening the comment period for 30
days. All comments submitted during the new comment period, as well as
all comments previously received, will be considered before any final
action is taken on the proposal. No other proposal information as
published in the NPRM has been changed.

    Issued in Washington, DC, on January 14, 2016.
Leslie M. Swann,
Acting Manager, Airspace Policy Group.
[FR Doc. 2016-01211 Filed 1-20-16; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 80, Number 68 (Thursday, April 9, 2015)]
[Notices]
[Pages 19107-19108]
[FR Doc No: 2015-08118]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

Agency Information Collection Activities: Requests for Comments;
Clearance of Renewed Approval of Information Collection: Survey of
Airman Satisfaction With Aeromedical Certification Services

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice and request for comments.

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SUMMARY: In accordance with the Paperwork Reduction Act of 1995, FAA
invites public comments about our intention to request the Office of
Management and Budget (OMB) approval to renew an information
collection. This survey assesses airman opinion of key dimensions of
service quality of aeromedical certification services.

DATES: Written comments should be submitted by June 8, 2015.

ADDRESSES: Send comments to the FAA at the following address: Ronda
Thompson, Room 300, Federal Aviation Administration, ASP-110, 950
L'Enfant Plaza SW., Washington, DC 20024.
    Public Comments Invited: You are asked to comment on any aspect of
this information collection, including (a) Whether the proposed
collection of information is necessary for FAA's performance; (b) the
accuracy of the estimated burden; (c) ways for FAA to enhance the
quality, utility and clarity of the information collection; and (d)
ways that the burden could be minimized without reducing the quality of
the collected information. The agency will summarize and/or include
your comments in the request for OMB's clearance of this information
collection.

FOR FURTHER INFORMATION CONTACT: Ronda Thompson at<PHONE_NUMBER>, or
by email at<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:
    OMB Control Number: 2120-0707.
    Title: Survey of Airman Satisfaction With Aeromedical Certification
Services.
    Form Numbers: There are no FAA forms associated with this
collection.
    Type of Review: Renewal of an information collection.
    Background: The FAA, through the Office of Aerospace Medicine
(OAM), is responsible for the medical certification of pilots and
certain other personnel under 14 CFR part 67 to ensure they are
medically qualified to operate aircraft and perform their duties
safely. In the accomplishment of this responsibility,

OAM provides a number of services to pilots, and has established goals
for the performance of those services. This survey is designed to meet
the requirement to survey stakeholder satisfaction under Executive
Order No. 12862, ``Setting Customer Service Standards,'' and the
Government Performance and Results Act of 1993 (GPRA).
    Respondents: Approximately 2,333 pilots and certain other personnel
who have applied for medical certification.
    Frequency: Information is collected biennially.
    Estimated Average Burden per Response: 15 minutes.
    Estimated Total Annual Burden: 583.25 hours.

    Issued in Washington, DC, on April 2, 2015.
Ronda Thompson,
FAA Information Collection Clearance Officer, IT Enterprises Business
Services Division, ASP-110.
[FR Doc. 2015-08118 Filed 4-8-15; 8:45 am]
 BILLING CODE 4910-13-P