			  UNITED STATES OF AMERICA

		        DEPARTMENT OF TRANSPORTATION

			  OFFICE OF THE SECRETARY

			          WASHINGTON, D.C.

Issued by the Department of Transportation on September 25, 2003

NOTICE OF ACTION TAKEN -- DOCKET OST 2003-16073

________________________________________________________________________
________________________________________________________

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

Application of    United Air Lines, Inc. (United)  filed  8/29/03 for:

XX  Exemption for two years under 49 U.S.C. §40109 to provide the
following service:

Scheduled foreign air transportation of persons, property, and mail
between Philadelphia, Pennsylvania, and Cozumel, Mexico, pursuant to a
code-share arrangement with US Airways, Inc. (US Airways), whereby
United will place its code on flights operated by US Airways in the
market.

Applicant rep:   Jeffrey A. Manley<PHONE_NUMBER>    DOT Analyst:
Linda L. Lundell<PHONE_NUMBER>

D I S P O S I T I O N

XX  Granted, subject to conditions (see below).

The action above was effective when taken:   September 25, 2003, through
 September 25, 2005 .

Action taken by:     Paul L. Gretch, Director

  		        Office of International Aviation

XX  Authority granted is consistent with the aviation agreement between
the United States and Mexico.

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

XX  Holder’s certificates of public convenience and necessity

XX  Standard Exemption Conditions (attached)

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Special Conditions/Remarks:  The U.S.-Mexico exemption authority granted
is subject to the dormancy notice requirements set forth in condition 7
of Appendix A of Order 88-10-2.   Consistent with our policy, the
dormancy notice period will begin December 13, 2003, United’s startup
date for these services.  The exemption authority granted is limited to
service provided on a code-share basis only.

The code-share operations conducted under this authorization are subject
to the following conditions:  (a) The code-sharing operations conducted
under this authority must comply with 14 CFR 257 and with any amendment
to the Department’s regulations concerning code-share arrangements
that may be adopted.  Notwithstanding any provisions in the contract
between the carriers, our approval here is expressly conditioned upon
the requirements that the subject foreign air transportation be sold in
the name of the carrier holding out such service in computer reservation
systems and elsewhere; that the carrier selling such transportation
(i.e., the carrier shown on the ticket) accept responsibility for the
entirety of the code-share journey for all obligations established in
its contract of carriage with the passenger; and that the passenger
liability of the operating carrier be unaffected; and (b) the authority
granted here is specifically conditioned so that neither United nor US
Airways shall give any force or effect to any contractual provisions
between themselves that are contrary to these conditions.

- see next page -

2

On the basis of data officially noticeable under Rule 24(g) of the
Department’s regulations, we found the applicant qualified to provide
the services authorized.

Under authority assigned by the Department in its regulations, 14 CFR
Part 385, we found that (1) our action was consistent with Department
policy; (2) grant of the application was consistent with the public
interest; and (3) grant of the authority would not constitute a major
regulatory action under the Energy Policy and Conservation Act of 1975.
 To the extent not granted, we denied all requests in the referenced
Docket.  We may amend, modify, or revoke the authority granted in this
Notice at any time without hearing at our discretion.

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

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

http://dms.dot.gov/reports_aviation.asp

APPENDIX

U.S. Carrier Standard Exemption Conditions

In the conduct of the operations authorized, the U.S. carrier
applicant(s) shall:

(1)  Hold at all times effective operating authority from the government
of each country served;

(2)  Comply with applicable requirements concerning oversales contained
in 14 CFR 250 (for scheduled operations, if authorized);

(3)  Comply with the requirements for reporting data contained in 14 CFR
241;

(4)  Comply with requirements for minimum insurance coverage, and for
certifying that coverage to the Department, contained in 14 CFR 205;

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

(6)  Comply with all applicable requirements of the Federal Aviation
Administration and with all applicable U.S. Government requirements
concerning security.  To assure compliance with all applicable U.S.
Government requirements concerning security, the holder shall, before
commencing any new service (including charter flights) to or from a
foreign airport, contact its Principal Security Inspector (PSI) to
advise the PSI of its plans and to find out whether the Transportation
Security Administration has determined that security is adequate to
allow such airport(s) to be served; and

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

The authority granted shall be effective only during the period when the
holder is in compliance with the conditions imposed above.

											8/2003


\222\ 17 CFR 240.0-10(c).
    \223\ See 17 CFR 240.0-10(a).
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E. Reporting, Recordkeeping, and Other Compliance Requirements

    The Commission proposes three amendments to Rule 17a-5: The (1)
Annual Reporting Amendments; (2) Access to Audit Documentation
Amendments; and (3) Form Custody Amendments.
    The Commission preliminarily believes that the potential impact of
the proposals on small broker-dealers would be substantially less than
on larger firms. With respect to the Annual Reporting Amendments, small
broker-dealers would be subject to the Exemption Report, and not the
proposed Compliance Report and Examination.\224\ Therefore, small
broker-dealers would engage their independent public accountant to
review their Exemption Reports and would be subject to the additional
costs associated with that review. Additionally, these firms could be
required to pay additional fees to their independent public accountant,
should the Commission or DEA examiners decide to interview them.
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    \224\ There are no broker-dealers that are carrying firms that
satisfy the definition of a ``small'' broker-dealer.
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F. Duplicative, Overlapping, or Conflicting Federal Rules

    The Commission believes that there are no federal rules that
duplicate, overlap, or conflict with the proposed rule amendments.

G. Significant Alternatives

    Pursuant to Section 3(a) of the Regulatory Flexibility Act,\225\
the Commission must consider certain types of alternatives, including:
(1) The establishment of differing compliance or reporting requirements
or timetables that take into account the resources available to small
entities; (2) the clarification, consolidation, or simplification of
compliance and reporting requirements under the rule for small
entities; (3) the use of performance rather than design standards; and
(4) an exemption from coverage of the rule, or any part of the rule,
for small entities.
---------------------------------------------------------------------------

    \225\ 5 U.S.C. 603(c).
---------------------------------------------------------------------------

    The Commission considered whether it is necessary or appropriate to
establish different compliance or reporting requirements or timetables;
or clarify, consolidate, or simplify compliance and reporting
requirements under the rule for small entities. Because the proposed
rule amendments would enhance the Commission's oversight, the
Commission preliminarily believes that small entities should be covered
by the rule. The Commission also preliminarily believes that it would
not be necessary to establish different compliance requirements for
small broker-dealers, in that, as discussed previously, the proposed
amendments are based in large part on existing compliance requirements
in Rule 17a-5. Similarly, the Commission does not believe it would be
necessary to establish different compliance requirements for small
broker-dealers with respect to Form Custody. The information that would
be elicited on the form is designed to allow examiners to obtain an
understanding of the custody practices of all types of broker-dealers.
Therefore, the Commission preliminarily believes that having
inconsistent requirements could undermine the objectives of the
proposed requirement.

H. Request for Comments

    The Commission encourages written comments on matters discussed in
this IRFA. In particular, the Commission seeks comment on the number of
small entities that would be affected by the proposed rule amendments
and whether the effect on small entities would be economically
significant. Commenters are asked to describe the nature of any effect
and to provide empirical data to support their views.

X. Statutory Authority and Text of the Proposed Amendments

    The Commission is proposing amendments to Rule 17a-5 under the
Exchange Act pursuant to the authority conferred by the Exchange Act,
including Sections 15, 17, 23(a) and 36.\226\
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    \226\ 15 U.S.C. 78o, 78q, 78w(a) and 78mm.
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List of Subjects in 17 CFR Parts 240 and 249

    Brokers, Confidential business information, Fraud, Reporting and
recordkeeping requirements, Securities.

Text of the Proposed Amendments

    For the reasons set out in the preamble, the Commission proposes to
amend Title 17, Chapter II, of the Code of Federal Regulations as
follows:

PART 240--GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF
1934

    1. The authority citation for part 240 continues to read, in part,
as follows:

    Authority:  15 U.S.C. 77c, 77d, 77g, 77j, 77s, 77z-2, 77z-3,
77eee, 77ggg, 77nnn, 77sss, 77ttt, 78c, 78d, 78e, 78f, 78g, 78i,
78j, 78j-1, 78k, 78k-1, 78l, 78m, 78n, 78n-1, 78o, 78o-4, 78p, 78q,
78s, 78u-5, 78w, 78x, 78ll, 78mm, 80a-20, 80a-23, 80a-29, 80a-37,
80b-3, 80b-4, 80b-11, and 7201 et seq., 18 U.S.C. 1350, and 12
U.S.C. 5221(e)(3), unless otherwise noted.
* * * * *
    2. Section 240.17a-5 is amended by:
    a. In paragraph (a)(2)(ii), in the first sentence, removing the
phrase ``annual audit of financial statements where said date is other
than a calendar quarter'' and adding in its place ``annual reports
where said date is other than the end of a calendar quarter.'';
    b. In paragraph (a)(2)(iii), removing the phrase ``the annual audit
of financial statements where said date is other than the end of the
calendar quarter.'' and adding in its place ``the annual reports where
said date is other than the end of a calendar quarter.'';
    c. In paragraph (a)(2)(iv), adding the phrase ``(``designated
examining authority'')'' after the phrase ``section 17(d) of the Act'';
    d. Redesignating paragraphs (a)(5) and (a)(6) as paragraphs (a)(6)
and (a)(7);
    e. In newly redesignated paragraph (a)(6)(ii)(A), removing the
phrase ``(a)(5)(i)'' and adding in its place ``(a)(6)(i)'';
    f. Adding new paragraph (a)(5);
    g. In paragraph (b)(4), removing the word ``he'' and adding in its
place the phrase ``the broker or dealer''.
    h. Removing paragraph (b)(6);
    i. In paragraph (c)(1)(i), removing the phrase ``his customers''
and adding in its place the phrase ``customers of the introducing
broker or dealer'';
    j. In paragraph (c)(1)(iii), removing the phrase ``in the manner
contemplated by the $2,500 minimum net capital requirement of Sec.
240.15c3-1'' and adding in its place ``and otherwise qualified to
maintain net capital of no less than what is required pursuant to Sec.
240.15c3-1(a)(2)(iv)'';
    k. In paragraph (c)(2), in the first sentence, removing the phrase
``audited financial statements'' and adding in its place ``financial
report'';
    l. In paragraph (c)(2)(i) removing the phrase ``balance sheet with
appropriate notes prepared in accordance with'' and adding in its place
``Statement of Financial Condition with appropriate notes prepared in
accordance with U.S.'';
    m. Removing paragraph (c)(2)(iii);
    n. Redesignating paragraph (c)(2)(iv) as (c)(2)(iii);
    o. In newly redesignated paragraph (c)(2)(iii), removing the phrase
``annual audit report'' and adding in its place ``financial report'';
    p. Adding new paragraph (c)(2)(iv);
    q. In paragraph (c)(4) removing the word ``'customer''' and adding
in its place the word ``customer'';
    r. In paragraphs (c)(5)(ii)(A) and (c)(5)(iii), removing the phrase
``Web site'' and adding in its place ``website'';
    s. In paragraph (c)(5)(vi), removing the phrase ``was not required
by paragraph (e) of Sec.  240.17a-11 to give notice and transmit a
report to the Commission'' and replacing it with ``received an
unqualified financial statement audit report pursuant to paragraph (g)
of this section and neither the broker or dealer, pursuant to paragraph
(d) of this section, or the independent public accountant, pursuant to
paragraph (g) of this section, identified a material weakness or
instance of material non-compliance'';
    t. Revising paragraph (d);
    u. In paragraph (e) introductory text, removing the phrase
``financial statements'' and adding in its place ``annual reports'';
    v. Revising paragraph (e)(1);
    w. In paragraph (e)(2), in the first sentence, adding the word
``financial'' before ``report'';
    x. Revising paragraphs (e)(3) and (e)(4);
    y. Removing paragraph (e)(5);
    z. Revising paragraphs (f), (g), (h), and (i); and
    aa. Removing and reserving paragraph (j).
    The revisions and additions read as follows:

Sec.  240.17a-5  Reports to be made by certain brokers and dealers.

    (a) * * *
    (5) Every broker or dealer subject to this paragraph (a) shall file
Form Custody (Sec.  249.1900 of this chapter) with its designated
examining authority within 17 business days after the end of each
calendar quarter and within 17 business days after the date selected
for the annual reports where said date is other than the end of a
calendar quarter. The designated examining authority shall maintain the
information obtained through the filing of Form Custody and transmit
such information to the Commission, at such time as it transmits the
applicable part of Form X-17A-5 (Sec.  249.617 of this chapter) as
required in paragraph (a)(4) of this section.
* * * * *
    (c) * * *
    (2) * * *
    (iv) If in connection with the most recent annual report the
independent public accountant provided notice to the Commission
pursuant to paragraph (h) of this section, there shall be a statement
by the broker or dealer that a copy of such notice is currently
available for the customer's inspection at the principal office of the
Commission in Washington, DC.
* * * * *
    (d) Annual reports. (1)(i) Every broker or dealer registered
pursuant to section 15 of the Act shall file annually, on a calendar or
fiscal year basis:
    (A) A financial report as described in paragraph (d)(2) of this
section;
    (B)(1) A compliance report as described in paragraph (d)(3) of this
section unless the broker or dealer is exempt from the provisions of
Sec.  240.15c3-3; or
    (2) An exemption report described in paragraph (d)(4) of this
section if the broker or dealer is exempt from the provisions of Sec.
240.15c3-3; and
    (C) For each report filed pursuant to this paragraph (d), a report
prepared by an independent public accountant pursuant to the engagement
provisions set forth in paragraph (g)(1) of this section, except as
provided in paragraphs (d)(1) and (e)(1) of this section.
    (ii) The reports required to be filed under this paragraph (d)
shall be as of the same fixed or determinable date each year, unless a
change is approved in writing by the designated examining authority for
the broker or dealer. A copy of such written approval should be sent to
the regional office of the Commission for the region in which the
broker or dealer has its principal place of business.

    (iii) A broker or dealer succeeding to and continuing the business
of another broker or dealer need not file the reports under this
paragraph (d) as of a date in the fiscal or calendar year in which the
succession occurs if the predecessor broker or dealer has filed a
report in compliance with this paragraph (d) as of a date in such
fiscal or calendar year.
    (iv) A broker or dealer that is a member of a national securities
exchange and has transacted a business in securities solely with or for
other members of a national securities exchange, and has not carried
any margin account, credit balance or security for any person who is
defined as a customer in paragraph (c)(4) of this section, shall not be
required to file the reports under this paragraph.
    (2) Financial report. The financial report shall contain:
    (i) A Statement of Financial Condition (in a format and on a basis
that is consistent with the total reported on the Statement of
Financial Condition contained in Form X-17A-5 (Sec.  249.617 of this
chapter) Part II or IIA), a Statement of Income, a Statement of Cash
Flows, a Statement of Changes in Stockholders' or Partners' or Sole
Proprietor's Equity, and Statement of Changes in Liabilities
Subordinated to Claims of General Creditors. Such statements shall be
in a format that is consistent with such statements as contained in
Form X-17A-5 Part II or Part IIA. If the Statement of Financial
Condition filed in accordance with instructions to Form X-17A-5, Part
II or Part IIA, is not consolidated, a summary of financial data,
including the assets, liabilities, and net worth or stockholders'
equity, for subsidiaries not consolidated in the Part II or Part IIA
Statement of Financial Condition as filed by the broker or dealer
should be included in the notes to the consolidated statement of
financial condition reported on by the independent public accountant.
    (ii) Supporting schedules shall include, from Part II or Part IIA
of Form X-17A-5 (Sec.  249.617 of this chapter) a Computation of Net
Capital Under Sec.  240.15c3-1, a Computation for Determination of the
Reserve Requirements under Exhibit A of Sec.  240.15c3-3 and
Information Relating to the Possession or Control Requirements Under
Sec.  240.15c3-3 and shall be filed with said report.
    (iii) If either the Computation of Net Capital under Sec.
240.15c3-1 or the Computation for Determination of the Reserve
Requirements Under Exhibit A of Sec.  240.15c3-3 in the financial
report is materially different from the corresponding computation in
the most recent Part II or Part IIA of Form X-17A-5 (Sec.  249.617 of
this chapter) filed by the broker or dealer pursuant to paragraph (a)
of this section, then the broker or dealer shall include in the
financial report a reconciliation, including appropriate explanations,
between the computation in the financial report and the computation in
the most recent Part II or Part IIA of Form X-17A-5 filed by the broker
or dealer. If no material differences exist, a statement so indicating
shall be included in the financial report.
    (3) Compliance report. (i) The compliance report shall contain:
    (A) A statement as to whether the broker or dealer has established
and maintained a system of internal control to provide the broker or
dealer with reasonable assurance that any instances of material non-
compliance with Sec. Sec.  240.15c3-1, 240.15c3-3, and 240.17a-13, and
any rule of the designated examining authority of the broker or dealer
that requires account statements to be sent to the customers of the
broker or dealer (``Account Statement Rule'') will be prevented or
detected on a timely basis;
    (B) Assertions by the broker or dealer that include:
    (1) Whether it was in compliance in all material respects with
Sec. Sec.  240.15c3-1, 240.15c3-3, and 240.17a-13, and the Account
Statement Rule as of the fiscal year-end;
    (2) Whether the information used to assert compliance with
Sec. Sec.  240.15c3-1, 240.15c3-3, and 240.17a-13, and the Account
Statement Rule was derived from the books and records of the broker or
dealer; and
    (3) Whether the internal control over compliance with Sec. Sec.
240.15c3-1, 240.15c3-3, and 240.17a-13, and the Account Statement Rule
was effective during the most recent fiscal year such that there were
no instances of material weakness; and
    (C) A description of each identified instance of material non-
compliance and each identified material weakness in internal control
over compliance with Sec. Sec.  240.15c3-1, 240.15c3-3, and 240.17a-13,
and the Account Statement Rule.
    (ii) The broker or dealer is not permitted to conclude that it is
in compliance with Sec. Sec.  240.15c3-1, 240.15c3-3, and 240.17a-13
and the Account Statement Rule if it identifies one or more instances
of material non-compliance. For purposes of this paragraph material
non-compliance would be a failure by the broker or dealer to comply
with the requirements of Sec. Sec.  240.15c3-1, 240.15c3-3, and
240.17a-13 or the Account Statement Rule in all material respects.
    (iii) The broker or dealer is not permitted to conclude that the
internal control over compliance with Sec. Sec.  240.15c3-1, 240.15c3-
3, and 240.17a-13, and the Account Statement Rule were effective if
there were one or more instances of material weakness in the internal
control over compliance. For purposes of this paragraph, an instance of
material weakness is defined as a deficiency, or a combination of
deficiencies, in internal control over compliance with Sec. Sec.
240.15c3-1, 240.15c3-3, and 240.17a-13, and the Account Statement Rule,
such that there is a reasonable possibility that material non-
compliance with Sec. Sec.  240.15c3-1, 240.15c3-3, and 240.17a-13, or
the Account Statement Rule will not be prevented or detected on a
timely basis. For purposes of this paragraph a deficiency in internal
control over compliance exists when the design or operation of a
control does not allow the broker or dealer, in the normal course of
performing their assigned functions, to prevent or detect non-
compliance with Sec. Sec.  240.15c3-1, 240.15c3-3, and 240.17a-13, or
the Account Statement Rule on a timely basis.
    (4) Exemption report. The exemption report shall contain an
assertion by the broker or dealer that it is exempt from the provisions
of Sec.  240.15c3-3 because it meets conditions set forth in Sec.
240.15c3-3(k) and should identify the specific conditions.
    (5) The annual reports shall be filed not more than sixty (60) days
after the date of the financial statements.
    (6) The annual reports shall be filed at the regional office of the
Commission for the region in which the broker or dealer has its
principal place of business, the Commission's principal office in
Washington, DC, and the principal office of the designated examining
authority for said broker or dealer and with the Securities Investor
Protection Corporation. Copies thereof shall be provided to all self-
regulatory organizations of which said broker or dealer is a member,
unless the self-regulatory organization by rule waives this
requirement.
    (e) * * *
    (1)(i) The broker or dealer need not engage an independent public
accountant to provide the reports required pursuant to paragraph (d) of
this section if, since the date of the registration of the broker or
dealer pursuant to Section 15 of the Act (15 U.S.C. 78o) or of the
previous annual reports filed pursuant to paragraph (d) of this
section:

    (A) The securities business of such broker or dealer has been
limited to acting as broker (agent) for the issuer in soliciting
subscriptions for securities of such issuer, said broker has promptly
transmitted to such issuer all funds and promptly delivered to the
subscriber all securities received in connection therewith, and said
broker has not otherwise held funds or securities for or owed money or
securities to customers; or
    (B) Its securities business has been limited to buying and selling
evidences of indebtedness secured by mortgage, deed or trust, or other
lien upon real estate or leasehold interests, and said broker or dealer
has not carried any margin account, credit balance or security for any
securities customer.
* * * * *
    (3) The annual reports filed pursuant to paragraph (d) of this
section shall be public, except that, if the Statement of Financial
Condition in a format that is consistent with Form X-17A-5 (Sec.
249.617 of this chapter), Part II or Part IIA, is bound separately from
the balance of the annual report filed pursuant to paragraph (d)(2) of
this section, and each page of the balance of the annual report is
stamped confidential, then the balance of the annual report shall be
deemed confidential. However, the annual reports, including the
confidential portions, shall be available for official use by any
official or employee of the U.S. or any State, by national securities
exchanges and registered national securities associations of which the
person filing such a report is a member, by the PCAOB and by any other
person to whom the Commission authorizes disclosure of such information
as being in the public interest. Nothing contained in this paragraph
shall be deemed to be in derogation of the rules of any registered
national securities association or national securities exchange that
give to customers of a member broker or dealer the right, upon request
to such member broker or dealer, to obtain information relative to its
financial condition.
    (4)(i) The broker or dealer shall file with the Securities Investor
Protection Corporation (``SIPC'') a report on the SIPC annual general
assessment reconciliation or exclusion from membership forms that
contains such information and is in such format as determined by SIPC
by rule and approved by the Commission.
    (ii) Until the earlier of two years after the date paragraph
(e)(4)(i) of this section is effective or SIPC adopts a rule pursuant
to paragraph (e)(4)(i) of this section and the rule is approved by the
Commission, the broker or dealer shall file a supplemental report on
the status of the membership of the broker or dealer in SIPC if,
pursuant to paragraph (d)(1)(i)(C) of this section, the broker or
dealer is required to file reports prepared by an independent public
accountant. The supplemental report shall include the independent
public accountant's report on applying agreed-upon procedures based on
the performance of the procedures outlined in paragraph (e)(4)(ii)(C).
The supplemental report shall cover the SIPC annual general assessment
reconciliation or exclusion from membership forms not previously
reported on under this paragraph (e)(4) that were required to be filed
on or prior to the date of the reports required by paragraph (d) of
this section: Provided, that the broker or dealer need not file the
supplemental report on the SIPC annual general assessment
reconciliation or exclusion from membership form for any period during
which the SIPC assessment is a specified dollar value as provided for
in section 4(d)(1)(c) of the Securities Investor Protection Act of
1970, as amended. The supplemental report shall be filed with the
regional office of the Commission for the region in which the broker or
dealer has its principal place of business, the Commission's principal
office in Washington, DC, the principal office of the designated
examining authority for the broker or dealer, and the principal office
of SIPC. The supplemental report shall include the following:
    (A) A schedule of assessment payments showing any overpayments
applied and overpayments carried forward including: Payment dates,
amounts, and name of SIPC collection agent to whom mailed, or
    (B) If exclusion from membership was claimed, a statement that the
broker or dealer qualified for exclusion from membership under the
Securities Investor Protection Act of 1970, and
    (C) An accountant's report. The accountant shall be engaged to
perform the following procedures:
    (1) Comparison of listed assessment payments with respective cash
disbursements record entries;
    (2) For all or any portion of a fiscal year ending, comparison of
amounts reflected in the annual report as required by paragraph (d) of
this section, with amounts reported in the Annual General Assessment
Reconciliation (Form SIPC-7);
    (3) Comparison of adjustments reported in Form SIPC-7 with
supporting schedules and working papers supporting adjustments;
    (4) Proof of the arithmetical accuracy of the calculations
reflected in Form SIPC-7 and in the schedules and working papers
supporting adjustments; and
    (5) Comparison of the amount of any overpayment applied with the
Form SIPC-7 on which it was computed; or
    (6) If exclusion from membership is claimed, a comparison of the
income or loss reported in the financial report required by paragraph
(d) of this section to the Certification of Exclusion from Membership
(Form SIPC-3).
    (f)(1) Qualification of accountants. The independent public
accountant must be qualified and independent in accordance with Sec.
210.2-01 of this chapter and, in addition, the independent public
accountant must be registered with the Public Company Accounting
Oversight Board if required by the Sarbanes-Oxley Act of 2002.
    (2) Designation of accountant. (i) Every broker or dealer that is
required by paragraph (d) of this section to file annual reports shall
file no later than December 10 of each year (or 30 calendar days after
the effective date of its registration as a broker or dealer, if
earlier) a statement as prescribed in paragraph (f)(2)(ii) of this
section designating an independent public accountant with the
Commission's principal office in Washington, DC, the regional office of
the Commission for the region in which its principal place of business
is located, and the principal office of the designated examining
authority for the broker or dealer. The statement must be dated no
later than December 1. If the engagement of the independent public
accountant is of a continuing nature, providing for successive
engagements, no further filing is required. If the engagement is for a
single year, or if the most recent engagement has been terminated or
amended, a new statement must be filed by the required date.
    (ii) The statement must be headed ``Notice pursuant to Rule 17a-
5(f)(2)'' and must contain the following information and
representations:
    (A) Name, address, telephone number, and registration number of the
broker or dealer;
    (B) Name, address, and telephone number of the independent public
accountant;
    (C) The date of the annual reports of the broker or dealer covered
by the engagement;
    (D) Whether the engagement is for a single year or is of a
continuing nature;
    (E) A representation that the engagement of the independent public

accountant by the broker or dealer meets the required undertakings of
paragraph (g) of this section; and
    (F) A representation that the broker or dealer agrees to allow
representatives of the Commission or its designating examining
authority, if requested for purposes of an examination of the broker or
dealer, to review the documentation associated with the reports of the
independent public accountant prepared pursuant to paragraph (g) of
this section.
    (G) A representation that the broker or dealer agrees to permit the
independent public accountant to discuss with representatives of the
Commission and its designated examining authority, if requested for
purposes of an examination of the broker or dealer, the findings
associated with the reports of the independent public accountant
prepared pursuant to paragraph (g) of this section.
    (iii) A broker or dealer that does not carry nor clear transactions
nor carry customer accounts is not required to include the
representations in paragraphs (e)(2)(ii)(F) and (e)(2)(ii)(G) of this
section.
    (iv) Any broker or dealer that is exempted from the requirement to
file an annual audited report of financial statements shall
nevertheless file the notice specified herein indicating the date as of
which the unaudited report will be prepared.
    (v) Notwithstanding the date of filing specified in paragraph
(f)(2)(i) of this section, every broker or dealer shall file the notice
provided for in paragraph (f)(2) of this section within 30 days
following the effective date of registration as a broker or dealer.
    (3) Replacement of accountant. A broker or dealer must file a
notice that must be received by the Commission's principal office in
Washington, DC, the regional office of the Commission for the region in
which its principal place of business is located, and the principal
office of the designated examining authority for such broker or dealer,
not more than 15 business days after:
    (i) The broker or dealer has notified the independent public
accountant whose reports covered the most recent annual reports filed
under paragraph (d) of this section that the independent public
accountant's services will not be utilized in future engagements; or
    (ii) The broker or dealer has notified an independent public
accountant who was engaged to provide reports covering the annual
reports to be filed under paragraph (d) of this section that the
engagement has been terminated; or
    (iii) An independent public accountant has notified the broker or
dealer that the independent public accountant would not continue under
an engagement to provide reports covering the annual reports to be
filed under paragraph (d) of this section; or
    (iv) A new independent public accountant has been engaged to
provide reports covering the annual reports to be filed under paragraph
(d) of this section without any notice of termination having been given
to or by the previously engaged independent public accountant.
    (v) Such notice must provide:
    (A) The date of notification of the termination of the engagement
or of the engagement of the new independent public accountant as
applicable; and
    (B) The details of any issues arising during the 24 months (or the
period of the engagement, if less) preceding such termination or new
engagement relating to any matter of accounting principles or
practices, financial statement disclosure, auditing scope or procedure,
or compliance with applicable rules of the Commission, which issues, if
not resolved to the satisfaction of the former independent public
accountant, would have caused the independent public accountant to make
reference to them in the report of the independent public accountant.
The issues required to be reported include both those resolved to the
former independent public accountant's satisfaction and those not
resolved to the former accountant's satisfaction. Issues contemplated
by this section are those that occur at the decisionmaking level--i.e.,
between principal financial officers of the broker or dealer and
personnel of the accounting firm responsible for rendering its report.
The notice must also state whether the accountant's report covering the
annual reports filed under paragraph (d) of this section for any of the
past two years contained an adverse opinion or a disclaimer of opinion
or was qualified as to uncertainties, audit scope, or accounting
principles, and must describe the nature of each such adverse opinion,
disclaimer of opinion, or qualification. The broker or dealer must also
request the former independent public accountant to furnish the broker
or dealer with a letter addressed to the Commission stating whether the
independent public accountant agrees with the statements contained in
the notice of the broker or dealer and, if not, stating the respects in
which independent public accountant does not agree. The broker or
dealer must file three copies of the notice and the accountant's
letter, one copy of which must be manually signed by the sole
proprietor, or a general partner or a duly authorized corporate
officer, as appropriate, and by the independent public accountant,
respectively.
    (g) Engagement of independent public accountant. Every broker or
dealer required to file the annual reports pursuant to paragraph (d) of
this section shall engage an independent public accountant, unless the
broker or dealer is subject to the exclusions in paragraphs (d)(1) and
(e)(1)(i) of this section. The independent public accountant as part of
the engagement must undertake the following, as applicable:
    (1) To prepare an independent public accountant's report based on
an examination of the financial report required to be filed by the
broker or dealer under paragraph (d)(2) of this section in accordance
with standards of the Public Company Accounting Oversight Board; and
    (2)(i) To prepare an independent public accountant's report based
on an examination of the compliance report required to be filed by the
broker or dealer under paragraph (d)(3) of this section in accordance
with standards of the Public Company Accounting Oversight Board. This
examination and the related report would apply to the assertions of the
broker or dealer required under paragraph (d)(3) of this section; or
    (ii) To prepare an independent public accountant's report based on
a review of the exemption report required to be filed by the broker or
dealer under paragraph (d)(4) of this section in accordance with
standards of the Public Company Accounting Oversight Board.
    (h) Notification of material non-compliance. Upon determining any
material non-compliance exists during the course of preparing the
independent public accountant's reports, the independent public
accountant must notify the Commission within one business day of the
determination by means of a facsimile transmission or electronic mail,
followed by first class mail, directed to the attention of the Director
of the Office of Compliance Inspections and Examinations and provide a
copy of such notification in the same manner to the principal office of
the designated examining authority for the broker or dealer within one
business day of the finding.
    (i) Reports prepared by the independent public accountant.
    (1) Technical requirements. The independent public accountant's
reports shall:
    (i) Be dated;
    (ii) Be signed manually;
    (iii) Indicate the city and state where issued; and

    (iv) Identify without detailed enumeration the items covered by the
reports.
    (2) Representations as to the examinations and review. The
accountant's report shall:
    (i) State whether the examination or review was made in accordance
with standards of the Public Company Accounting Oversight Board;
    (ii) Designate any examination and, if applicable, review
procedures deemed necessary by the independent public accountant under
the circumstances of the particular case that have been omitted, and
the reason for their omission.
    (iii) Nothing in this section shall be construed to imply authority
for the omission of any procedure that independent public accountants
would ordinarily employ in the course of an examination or review made
for the purpose of expressing the opinions or statement required under
this section.
    (3) Opinion to be expressed. The independent public accountant's
reports shall state clearly the opinion of the independent public
accountant:
    (i) With respect to the financial report and the accounting
principles and practices reflected therein and the compliance report;
and
    (ii) With respect to the financial report, as to the consistency of
the application of the accounting principles, or as to any changes in
such principles that have a material effect on the financial
statements.
    (4) Exceptions. Any matters to which the independent public
accountant takes exception shall be clearly identified, the exception
thereto specifically and clearly stated, and, to the extent
practicable, the effect of each such exception on any related items
contained in the annual reports.
    3. Section 240.17a-11 is amended by revising paragraph (e)
introductory text to read as follows:

Sec.  240.17a-11  Notification provision for brokers and dealers.

* * * * *
    (e) Whenever any broker or dealer discovers, or is notified by an
independent public accountant pursuant to Sec.  240.17a-12(i)(2), of
the existence of any material inadequacy as defined in Sec.  240.17a-
12(h)(2), the broker or dealer shall:
* * * * *

PART 249--FORMS, SECURITIES EXCHANGE ACT OF 1934

    4. The authority citation for Part 249 continues to read, in part,
as follows:

    Authority: 15 U.S.C. 78a et seq. and 7201 et seq.; and 18 U.S.C.
1350, unless otherwise noted.

* * * * *

    Note:  The text of Form Custody does not, and this amendment
will not, appear in the Code of Federal Regulations.

    5. Add Subpart T and Form Custody (referenced in Sec.  249.1900) to
Part 249 to read as follows:

Subpart T--Form for Broker-Dealers

Sec.  249.1900  Form Custody

BILLING CODE 8011-01-P

[GRAPHIC] [TIFF OMITTED] TP27JN11.018

[GRAPHIC] [TIFF OMITTED] TP27JN11.019

[GRAPHIC] [TIFF OMITTED] TP27JN11.020

[GRAPHIC] [TIFF OMITTED] TP27JN11.021

[GRAPHIC] [TIFF OMITTED] TP27JN11.022

[GRAPHIC] [TIFF OMITTED] TP27JN11.023

[GRAPHIC] [TIFF OMITTED] TP27JN11.024

[GRAPHIC] [TIFF OMITTED] TP27JN11.025

[GRAPHIC] [TIFF OMITTED] TP27JN11.026

    By the Commission.

    Dated: June 15, 2011.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2011-15341 Filed 6-24-11; 8:45 am]
BILLING CODE 8011-01-C


UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

NATIONAL VEHICLE AND FUEL EMISSIONS LABORATORY

2000 TRAVERWOOD DRIVE

ANN ARBOR, MI  48105-2498

									     OFFICE OF

									AIR AND RADIATION

11/12/15

MEMORANDUM

SUBJECT: Test Procedure Review with the Engine Manufacturers Association
(EMA), Eaton and Allison

FROM: James Sanchez

TO:  Greenhouse Gas Emissions Standards and Fuel Efficiency Standards
for Medium- and

Heavy-Duty Engines and Vehicles - Phase 2 - Docket EPA-HQ-OAR-2014-0827

This memo documents communication on November 12, 2015 between
representatives of EMA, Eaton, Allison and EPA to discuss heavy-duty
test procedures proposed in the Phase 2 greenhouse gas and fuel
efficiency standards for heavy-duty vehicles notice of proposed
rulemaking.  The draft procedures are enclosed.

The emails included the draft cycle average fuel map test procedure.


[Federal Register Volume 80, Number 212 (Tuesday, November 3, 2015)]
[Rules and Regulations]
[Pages 67621-67623]
[FR Doc No: 2015-27936]

========================================================================
Rules and Regulations
                                                Federal Register
________________________________________________________________________

This section of the FEDERAL REGISTER contains regulatory documents
having general applicability and legal effect, most of which are keyed
to and codified in the Code of Federal Regulations, which is published
under 50 titles pursuant to 44 U.S.C. 1510.

The Code of Federal Regulations is sold by the Superintendent of Documents.
Prices of new books are listed in the first FEDERAL REGISTER issue of each
week.

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

Federal Register / Vol. 80, No. 212 / Tuesday, November 3, 2015 /
Rules and Regulations

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 25

[Docket No. FAA-2015-2123; Special Conditions No. 25-604-SC]

Special Conditions: TIMCO Aerosystems, Boeing Model 777-300ER
Series Airplanes; Dynamic Test Requirements for Single-Occupant,
Oblique (Side-Facing) Seats with Airbag Devices

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final special conditions; request for comments.

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

SUMMARY: These special conditions are issued for Boeing Model 777-300ER
series airplanes. This airplane, as modified by TIMCO Aerosystems, will
have novel or unusual design features associated with oblique-angled,
single-occupant seats equipped with airbag systems. The applicable
airworthiness regulations do not contain adequate or appropriate safety
standards for these design features. These special conditions contain
the additional safety standards the Administrator considers necessary
to establish a level of safety equivalent to that established by the
existing airworthiness standards.

DATES: The effective date of these special conditions is November 3,
2015. We must receive your comments by December 18, 2015.

ADDRESSES: Send comments identified by docket number FAA-2015-2123
using any of the following methods:
    Federal eRegulations Portal: Go to http://www.regulations.gov/ and
follow the online instructions for sending your comments
electronically.
    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.
    Hand Delivery or 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 9 a.m. and 5 p.m., Monday through
Friday, except Federal holidays.
    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 Web site, 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 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:  John Shelden, Airframe and Cabin
Safety, ANM-115, Transport Airplane Directorate, Aircraft Certification
Service, 1601 Lind Avenue SW., Renton, Washington 98057-3356; telephone
425-227-2785; facsimile<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: The FAA has determined that notice of, and
opportunity for, prior public comment on these special conditions are
impracticable because these procedures would significantly delay
issuance of the design approval and thus delivery of the affected
airplane.
    In addition, the substance of these special conditions has been
subject to the public-comment process in several prior instances with
no substantive comments received. The FAA therefore finds that good
cause exists for making these special conditions effective upon
issuance.

Comments Invited

    We invite 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.
    We will consider all comments we receive by the closing date for
comments. We may change these special conditions based on the comments
we receive.

Background

    On August 20, 2014, through FAA project no. ST14746AT-T,
certification plan no. 13T422R006, TIMCO Aerosystems applied for a
supplemental type certificate to allow the installation of oblique
passenger seats, positioned at 30 degrees to the vertical plane of the
airplane longitudinal centerline, and to include inflatable lap belts,
in Boeing Model 777-300ER airplanes. The Boeing Model 777-300ER
airplane is a wide-body, swept-wing, conventional-tail, twin-engine,
turbofan-powered transport airplane, with seating capacity for 550
passengers and 11 crew members.
    TIMCO Aerosystems proposes the installation of oblique (side-
facing) B/E Aerospace Super Diamond Business Class (B/C) seats. These
seats will include airbag devices for occupant restraint and injury
protection.

Type Certification Basis

    Under the provisions of Sec.  21.101, TIMCO Aerosystems must show
that the 777-300ER, as changed, continues to meet the applicable
provisions of the regulations listed in type certificate no. T00001SE,
or the applicable regulations in effect on the date of application for
the change, except for earlier amendments as agreed upon by the FAA.
The regulations listed in the type certificate are commonly referred to
as the ``original type-certification basis.'' The regulations listed in
type certificate no. T00001SE are as follows:
    The type-certification basis for the Model 777-300ER airplane is 14
CFR part 25, effective February 1, 1965, as amended by Amendments 25-1
through 25-98, including special conditions 25-295-SC and 25-187A-SC.
In addition, the certification basis includes certain special
conditions, exemptions, or later

amended sections of the applicable part that are not relevant to these
proposed special conditions.
    If the Administrator finds that the applicable airworthiness
regulations (i.e., 14 CFR part 25) do not contain adequate or
appropriate safety standards for the Boeing Model 777-300ER airplane
because of a novel or unusual design feature, special conditions are
prescribed under the provisions of Sec.  21.16.
    Special conditions are initially applicable to the model for which
they are issued. Should the applicant apply for a supplemental type
certificate to modify any other model included on the same type
certificate to incorporate the same novel or unusual design feature,
these special conditions would also apply to the other model under
Sec.  21.101.
    In addition to the applicable airworthiness regulations and special
conditions, the Boeing Model 777-300ER airplane must comply with the
fuel-vent and exhaust-emission requirements of 14 CFR part 34, and the
noise-certification requirements of 14 CFR part 36.
    The FAA issues special conditions, as defined in 14 CFR 11.19, in
accordance with Sec.  11.38, and they become part of the type-
certification basis under Sec.  21.101.

Novel or Unusual Design Features

    The Boeing Model 777-300ER airplane will incorporate the following
novel or unusual design features:
    Installation of B/E Aerospace Super Diamond Business Class (B/C)
seats manufactured by B/E Aerospace in ``J'' class, to be installed at
an angle of 30 degrees to the airplane centerline. These seats will
include airbag devices for occupant restraint and injury protection.
The applicable airworthiness regulations do not contain adequate or
appropriate safety standards for occupants of seats installed in the
proposed configuration.
    The seating configuration TIMCO Aerosystems proposes is novel and
unusual due to the seat installation at 30 degrees to the airplane
centerline, the airbag-system installation, and the seat/occupant
interface with the surrounding furniture that introduces occupant
alignment and loading concerns.
    Ongoing research is progressing to establish acceptable occupant-
injury limits. Until those limits become available, the FAA proposes a
set of interim limits based on the current literature available,
current National Highway Traffic Safety Administration (NHTSA)
regulations, and preliminary test data from the research program.
    The existing regulations do not provide adequate or appropriate
safety standards for occupants of oblique-angled seats with airbag
systems. To provide a level of safety that is equivalent to that
afforded occupants of forward- and aft-facing seats, additional
airworthiness standards, in the form of special conditions, are
necessary. These special conditions supplement part 25 and, more
specifically, supplement Sec. Sec.  25.562 and 25.785. The requirements
contained in these special conditions consist of both test conditions
and injury pass/fail criteria.

Discussion

    Amendment 25-15 to part 25, dated October 24, 1967, introduced the
subject of side-facing seats, and a requirement that each occupant in a
side-facing seat must be protected from head injury by a safety belt
and a cushioned rest that will support the arms, shoulders, head, and
spine.
    Subsequently, Amendment 25-20, dated April 23, 1969, clarified the
definition of side-facing seats to require that each occupant of a
seat, positioned at more than an 18-degree angle to the vertical plane
of the airplane longitudinal centerline, must be protected from head
injury by a safety belt and an energy-absorbing rest that will support
the arms, shoulders, head, and spine; or by a safety belt and shoulder
harness that will prevent the head from contacting any injurious
object. The FAA concluded that an 18-degree angle would provide an
adequate level of safety based on tests that were performed at that
time, and thus adopted that standard.
    Part 25 was amended June 16, 1988, by Amendment 25-64, to revise
the emergency-landing conditions that must be considered in the design
of the airplane. Amendment 25-64 revised the static-load conditions in
14 CFR 25.561, and added the new Sec.  25.562 that requires dynamic
testing for all seats approved for occupancy during takeoff and
landing. The intent of Amendment 25-64 is to provide an improved level
of safety for occupants on transport-category airplanes. Because most
seating is forward-facing on transport-category airplanes, the pass/
fail criteria developed in Amendment 25-64 focused primarily on these
seats. As a result, the FAA issued Policy Memorandums ANM-03-115-30 and
PS-ANM-100-2000-00123 to provide the additional guidance necessary to
demonstrate the level of safety required by the regulations for side-
facing seats, and their mounting plates and adapters.
    Special conditions 25-295-SC were issued on August 9, 2005, for the
Boeing Model 777, with injury criteria for seats installed at an
oblique angle; however, those injury criteria were developed for a seat
configuration that provided body support for the occupant, and do not
directly address the complex occupant-loading conditions introduced by
the oblique seat configuration that is the subject of these new special
conditions.
    To reflect current research findings, the FAA developed a
methodology to address all fully side-facing seats (i.e., seats
positioned in the airplane with the occupant facing 90 degrees to the
vertical plane of the airplane centerline), and has documented those
requirements in a set of new special conditions. The FAA issued Policy
Statement PS-ANM-25-03-R1 to define revised injury criteria associated
with neck and leg injuries as they relate to fully side-facing seats,
i.e., seats installed 90 degrees to the airplane centerline. That
policy statement does not address oblique seat installations. Some of
those criteria are applicable to oblique seats but others are not,
because the motion of an occupant in an oblique seat is different from
the motion of an occupant in a fully side-facing seat during emergency-
landing conditions.
    Most recently, on September, 30, 2015, the FAA issued special
conditions 25-594-SC and 25-596-SC, applicable to the Boeing 747-8 and
777-200, for oblique seats. These new special conditions are identical
to both of those special conditions. No public comments were received
for those special conditions.

Applicability

    As discussed above, these special conditions are applicable to the
Boeing Model 777-300ER airplane. Should TIMCO apply at a later date for
a supplemental type certificate to modify any other model included on
type certificate no. T00001SE, to incorporate the same novel or unusual
design feature, these special conditions would apply to the other model
as well.

Conclusion

    This action affects only certain novel or unusual design features
on one model of airplane. It is not a rule of general applicability,
and affects only the applicant who applied to the FAA for approval of
these features on the airplane.
    The substance of these special conditions has been subjected to the
notice and comment period in several prior instances, and has been
derived without substantive change from those previously issued. It is
unlikely that prior public comment would result in a significant change
from the substance

contained herein. Therefore, because a delay would significantly affect
the certification of the airplane, the FAA has determined that prior
public notice and comment are unnecessary and impracticable, and good
cause exists for adopting these special conditions upon publication in
the Federal Register. The FAA is requesting comments to allow
interested persons to submit views that may not have been submitted in
response to the prior opportunities for comment described above.

List of Subjects in 14 CFR Part 25

    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 Special Conditions

0
Accordingly, pursuant to the authority delegated to me by the
Administrator, the following special conditions are issued as part of
the type certification basis for the Boeing Model 777-300ER airplane as
modified by TIMCO Aerosystems.

Side-Facing Seats Special Conditions

    In addition to the requirements of Sec.  25.562:

1. Head-Injury Criteria

    Compliance with Sec.  25.562(c)(5) is required, except that, if the
anthropomorphic test device (ATD) has no apparent contact with the
seat/structure but has contact with an airbag, a head-injury criterion
(HIC) unlimited score in excess of 1000 is acceptable, provided the
HIC15 score (calculated in accordance with 49 CFR 571.208) for that
contact is less than 700.

2. Body-to-Wall/Furnishing Contact

    If a seat is installed aft of structure (e.g., an interior wall or
furnishing) that does not provide a homogenous contact surface for the
expected range of occupants and yaw angles, then additional analysis
and/or test(s) may be required to demonstrate that the injury criteria
are met for the area that an occupant could contact. For example, if
different yaw angles could result in different airbag performance, then
additional analysis or separate test(s) may be necessary to evaluate
performance.

3. Neck Injury Criteria

    The seating system must protect the occupant from experiencing
serious neck injury. The assessment of neck injury must be conducted
with the airbag device activated, unless there is reason to also
consider that the neck-injury potential would be higher for impacts
below the airbag-device deployment threshold.
    a. The Nij (calculated in accordance with 49 CFR
571.208) must be below 1.0, where Nij =Fz/
Fzc + My/Myc, and Nij
critical values are:

i. Fzc = 1530 lb for tension
ii. Fzc = 1385 lb for compression
iii. Myc = 229 lb-ft in flexion
iv. Myc = 100 lb-ft in extension

    b. In addition, peak upper-neck Fz must be below 937 lb
of tension and 899 lb of compression.
    c. Rotation of the head about its vertical axis, relative to the
torso, is limited to 105 degrees in either direction from forward-
facing.
    d. The neck must not impact any surface that would produce
concentrated loading on the neck.

4. Spine and Torso Injury Criteria

    a. The shoulders must remain aligned with the hips throughout the
impact sequence, or support for the upper torso must be provided to
prevent forward or lateral flailing beyond 45 degrees from the vertical
during significant spinal loading. Alternatively, the lumbar spine
tension (Fz) cannot exceed 1200 lb.
    b. Significant concentrated loading on the occupant's spine, in the
area between the pelvis and shoulders during impact, including rebound,
is not acceptable. During this type of contact, the interval for any
rearward (X-direction) acceleration exceeding 20g must be less than 3
milliseconds as measured by the thoracic instrumentation specified in
49 CFR part 572, subpart E, filtered in accordance with SAE
International (SAE) J211-1.
    c. Occupant must not interact with the armrest or other seat
components in any manner significantly different than would be expected
for a forward-facing seat installation.
    5. Longitudinal test(s), conducted to measure the injury criteria
above, must be performed with the FAA Hybrid III ATD, as described in
SAE 1999-01-1609. The test(s) must be conducted with an undeformed
floor, at the most-critical yaw case(s) for injury, and with all
lateral structural supports (armrests/walls) installed.

    Note: TIMCO Aerosystems must demonstrate that the installation
of seats via plinths or pallets meets all applicable requirements.
Compliance with the guidance contained in FAA Policy Memorandum PS-
ANM-100-2000-00123, dated February 2, 2000, titled ``Guidance for
Demonstrating Compliance with Seat Dynamic Testing for Plinths and
Pallets,'' is acceptable to the FAA.

Inflatable Lap Belt Special Conditions

    If inflatable lap belts are installed on single-place side-facing
seats, the lap belts must meet Special Conditions no. 25-187A-SC.

    Issued in Renton, Washington, on October 28, 2015.
Michael Kaszycki,
Acting Manager, Transport Airplane Directorate, Aircraft Certification
Service.
[FR Doc. 2015-27936 Filed 11-2-15; 8:45 am]
 BILLING CODE 4910-13-P


[Federal Register Volume 80, Number 168 (Monday, August 31, 2015)]
[Rules and Regulations]
[Pages 52398-52399]
[FR Doc No: 2015-21524]

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

DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 165

[Docket No. USCG-2015-0530]
RIN 1625-AA00

Safety Zone; Annual Events Requiring Safety Zones in the Captain
of the Port Lake Michigan Zone--Sister Bay Marinafest Fireworks

AGENCY: Coast Guard, DHS.

ACTION: Notice of enforcement of regulation.

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

SUMMARY: The Coast Guard will enforce the safety zone on the waters of
Sister Bay in Sister Bay, WI for the Sister Bay Marinafest Fireworks.
This zone will be enforced from 8:15 p.m. until 10 p.m. on each day of
September 5 and 6, 2015. This action is necessary and intended to
ensure safety of life on navigable waters immediately prior to, during,
and immediately after the fireworks display. During the aforementioned
period, the Coast Guard will enforce restrictions upon, and control
movement of, vessels in the safety zone. No person or vessel may enter
the safety zone while it is being enforced without permission of the
Captain of the Port Lake Michigan or a designated representative.

DATES: The regulations in 33 CFR 165.929 will be enforced for safety
zone (f)(15), Table 165.929, from 8:15 p.m. until 10 p.m. on each day
of September 5 and 6, 2015.

FOR FURTHER INFORMATION CONTACT: If you have questions on this
document, call or email MST1 Joseph McCollum, Prevention Department,
Coast Guard Sector Lake Michigan, Milwaukee, WI at<PHONE_NUMBER>,
email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: The Coast Guard will enforce the Sister Bay
Marinafest Fireworks safety zone listed as item (f)(15) in Table
165.929 of 33 CFR 165.929. Section 165.929 lists many annual events
requiring safety zones in the Captain of the Port Lake Michigan zone.
This safety zone will encompass all waters of Sister Bay within an 800-
foot radius of the launch vessel in approximate position 45[deg]11.585'
N., 087[deg]07.392' W. (NAD 83). This zone will be enforced from 8:15
p.m. until 10 p.m. on each day of September 5 and 6, 2015.
    All vessels must obtain permission from the Captain of the Port
Lake Michigan or the on-scene representative to enter, move within, or
exit the safety zone. Requests must be made in advance and approved by
the Captain of the Port before transits will be authorized. Approvals
will be granted on a case by case basis. Vessels and persons granted
permission to enter the safety zone must obey all lawful orders or
directions of the Captain of the Port Lake Michigan or a designated
representative.
    This document is issued under authority of 33 CFR 165.929, Safety
Zones; Annual events requiring safety zones in the Captain of the Port
Lake Michigan zone, and 5 U.S.C. 552(a). In addition to this
publication in the Federal Register, the Coast Guard will provide the
maritime community with advance notification for the enforcement of
this zone via Broadcast Notice to Mariners or Local Notice to Mariners.
The Captain of the Port Lake Michigan or an on-scene representative may
be contacted via Channel 16, VHF-FM.

    Dated: August 14, 2015.
A.B. Cocanour,
Captain, U.S. Coast Guard, Captain of the Port Lake Michigan.
[FR Doc. 2015-21524 Filed 8-28-15; 8:45 am]
BILLING CODE 9110-04-P