[Federal Register: April 2, 2007 (Volume 72, Number 62)]
[Notices]
[Page 15751-15752]
[DOCID:fr02ap07-129]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-55522; File No. SR-NYSEArca-2007-26]

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing
and Immediate Effectiveness of a Proposed Rule Change Relating to
Certain Types of Orders on Ox

March 26, 2007.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on March 2, 2007, NYSE Arca, Inc. (``NYSE Arca'' or ``Exchange'') filed
with the Securities and Exchange Commission (``Commission'') the
proposed rule change as described in Items I and II below, which Items
have been substantially prepared by the Exchange. The Exchange filed
the proposed rule change as a ``non-controversial'' proposed rule
change pursuant to Section 19(b)(3)(A) \3\ of the Act and Rule 19b-
4(f)(6) thereunder,\4\ which renders the proposal effective upon filing
with the Commission. The Commission is publishing this notice to
solicit comments on the proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ 15 U.S.C. 78s(b)(3)(A).
    \4\ 17 CFR 240.19b-4(f)(6).
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    NYSE Arca proposes to update and amend its rules concerning order
types by incorporating the order type definitions of NYSE Arca Rule
6.62A into a revised NYSE Arca Rule 6.62. The text of the proposed rule
change is available at the Exchange, the Commission's Public Reference
Room, and http://www.nysearca.com.

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

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

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

1. Purpose
    The purpose of this filing is to incorporate the order definitions
contained in NYSE Arca Rule 6.62A into a revised NYSE Arca Rule 6.62.
Presently, Rule 6.62 defines certain order types applicable under the
PCX Plus System, which is obsolete, while Rule 6.62A defines certain
order types applicable under the current OX Trading System. Many of
these rules overlap and actually apply to both systems, while some
portions are obsolete. Revising the two rules will eliminate obsolete
references and redundancies.
    In September 2006, NYSE Arca introduced the OX Trading System
(``OX''), a new automated options trading platform. OX replaced the
Exchange's legacy system, PCX Plus. In conjunction with the
introduction of OX, the Exchange filed, and received approval for, a
new rule set applicable to the new system.\5\ During the introductory
phase of OX, the Exchange operated two trading systems, which
necessitated the need for two rule sets: one pertaining to PCX Plus;
and another pertaining to OX. The Exchange has now completed its
rollout of OX. As such, options issues no longer trade on the PCX Plus
at the Exchange, thereby rendering the PCX Plus rule set effectively
duplicative and obsolete.\6\
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    \5\ See Securities Exchange Act Release No. 54238 (July 28,
2006), 71 FR 44758 (August 7, 2006) (SR-NYSEArca-2006-13) (Order
approving rules related to the OX Trading System).
    \6\ The Exchange anticipates submitting a comprehensive clean-up
rule filing in the near future. At the request of the Commission
staff, the instant filing is targeted to eliminate confusion
regarding certain order types.
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    Order types that are contained in Rule 6.62, designated as PCX Plus
rules, may also be applicable under the OX system. Other order types
that are presently designated as PCX Plus rules, may also be applicable
in open outcry trading. The Exchange proposes to combine all order
types from Rule 6.62 and Rule 6.62A into one rule. Revised Rule 6.62
will now contain all defined order types for options that trade on NYSE
Arca and Rule 6.62A will be deleted in its entirety. In rule text where
either ``PCX Plus'' or ``OX'' has been used, the Exchange proposes to
replace such designation with ``NYSE Arca'' or ``Exchange.'' The
Exchange also proposes removing the ``PCX Plus'' designation from the
title of Rule 6.62. A more detailed description of proposed

changes is shown below. In addition to these changes, minor technical
corrections, and new subsection designations are shown in the proposed
rule text, accompanying this filing.
     Rule 6.62(b) will include text taken from Rule 6.62A(b)
related to ``marketable'' limit orders and will also contain new
subsection (1) defining Inside Limit Orders. This definition is
presently Rule 6.62A(c).
     Rule 6.62(c) Contingency Orders. This rule will also cover
Working Order types, presently defined in Rule 6.62A(e), including
definitions for Stop Orders and Stop Limit Orders.
     Rule 6.62(h) Combination Orders. New subsection (1)-(2)
will be added defining Stock/option Orders and Single Stock Future
(``SSF'')/Option Order. These definitions are presently contained in
subsection (j)(1)-(2).
     Rule 6.62(k)-(r) are taken from Rule 6.62A(d) and (f)-(k).
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with Section 6(b) of the Act,\7\ in general, and furthers the
objectives of Section 6(b)(5) of the Act,\8\ in particular, because it
is designed to prevent fraudulent and manipulative acts and practices,
to promote just and equitable principles of trade, to foster
cooperation and coordination with persons engaged in facilitating
transactions in securities, and to remove impediments to and perfect
the mechanism of a free and open market and a national market system.
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    \7\ 15 U.S.C. 78f(b).
    \8\ 15 U.S.C. 78f(b)(5).
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B. Self-Regulatory Organization's Statement on Burden on Competition

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

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

    The Exchange has neither solicited nor received written comments on
the proposed rule change.

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

    Because the proposed rule change does not: (i) Significantly affect
the protection of investors or the public interest; (ii) impose any
significant burden on competition; and (iii) become operative for 30
days after the date of filing (or such shorter time as the Commission
may designate if consistent with the protection of investors and the
public interest), the proposed rule change has become effective
pursuant to Section 19(b)(3)(A) of the Act \9\ and subparagraph (f)(6)
of Rule 19b-4 thereunder.\10\
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    \9\ 15 U.S.C. 78s(b)(3)(A).
    \10\ 17 CFR 240.19b-4(f)(6).
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    A proposed rule change filed under 19b-4(f)(6) normally may not
become operative prior to 30 days after the date of filing.\11\
However, Rule 19b-4(f)(6)(iii) permits the Commission to designate a
shorter time if such action is consistent with the protection of
investors and the public interest. The Exchange has satisfied the five-
day pre-filing requirement. In addition, the Exchange has requested
that the Commission waive the 30-day pre-operative delay and designate
the proposed rule change to become operative upon filing. The
Commission believes that waiving the 30-day pre-operative delay is
consistent with the protection of investors and the public interest
because it would allow the Exchange to clarify and update its rules
concerning order types without delay. Therefore, the Commission
designates the proposal to become effective and operative upon
filing.\12\
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    \11\ 17 CFR 240.19b-4(f)(6)(iii).
    \12\ For purposes only of waiving the operative delay of this
proposal, the Commission has considered the proposed rule's impact
on efficiency, competition, and capital formation. 15 U.S.C. 78c(f).
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    At any time within 60 days of the filing of the proposed rule
change, the Commission may summarily abrogate such rule change if it
appears to the Commission that such action is necessary or appropriate
in the public interest, for the protection of investors, or otherwise
in the furtherance of the purposes of the Act.

IV. Solicitation of Comments

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

Electronic Comments

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

File Number SR-NYSEArca-2007-26 on the subject line.

Paper Comments

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

    All submissions should refer to File Number SR-NYSEArca-2007-26.
This file number should be included on the subject line if e-mail is
used. To help the Commission process and review your comments more
efficiently, please use only one method. The Commission will post all
comments on the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml
). Copies of the submission, all subsequent amendments,

all written statements with respect to the proposed rule change that
are filed with the Commission, and all written communications relating
to the proposed rule change between the Commission and any person,
other than those that may be withheld from the public in accordance
with the provisions of 5 U.S.C. 552, will be available for inspection
and copying in the Commission's Public Reference Room. Copies of such
filing also will be available for inspection and copying at the
principal office of NYSE Arca. All comments received will be posted
without change; the Commission does not edit personal identifying
information from submissions. You should submit only information that
you wish to make available publicly. All submissions should refer to
File Number SR-NYSEArca-2007-26 and should be submitted on or before
April 23, 2007.

    For the Commission, by the Division of Market Regulation,
pursuant to delegated authority.\13\
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    \13\ 17 CFR 200.30-3(a)(12).
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Florence E. Harmon,
Deputy Secretary.
[FR Doc. E7-5987 Filed 3-30-07; 8:45 am]

BILLING CODE 8010-01-P


[Federal Register Volume 81, Number 238 (Monday, December 12, 2016)]
[Rules and Regulations]
[Pages 89367-89371]
[FR Doc No: 2016-28597]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2016-8178; Directorate Identifier 2015-NM-197-AD;
Amendment 39-18721; AD 2016-24-04]
RIN 2120-AA64

Airworthiness Directives; Bombardier, Inc. Airplanes

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

ACTION: Final rule.

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SUMMARY: We are adopting a new airworthiness directive (AD) for certain
Bombardier, Inc. Model DHC-8-400 series airplanes. This AD was prompted

by a determination by the manufacturer that shims might not have been
installed between certain longerons and longeron joint fittings. This
AD requires various repetitive and detailed visual inspections of the
affected areas and corrective actions if necessary. This AD also
provides terminating action for certain repetitive inspections. We are
issuing this AD to address the unsafe condition on these products.

DATES: This AD is effective January 17, 2017.
    The Director of the Federal Register approved the incorporation by
reference of a certain publication listed in this AD as of January 17,
2017.

ADDRESSES: For service information identified in this final rule,
contact Bombardier, Inc., Q-Series Technical Help Desk, 123 Garratt
Boulevard, Toronto, Ontario M3K 1Y5, Canada; telephone<PHONE_NUMBER>;
fax<PHONE_NUMBER>; email<EMAIL_ADDRESS>Internet
http://www.bombardier.com. You may view this referenced service
information at the FAA, Transport Airplane Directorate, 1601 Lind
Avenue SW., Renton, WA. For information on the availability of this
material at the FAA, call<PHONE_NUMBER>. It is also available on the
Internet at http://www.regulations.gov by searching for and locating
Docket No. FAA-2016-8178.

Examining the AD Docket

    You may examine the AD docket on the Internet at http://www.regulations.gov by searching for and locating Docket No. FAA-2016-
8178; or in person at the Docket Management Facility between 9 a.m. and
5 p.m., Monday through Friday, except Federal holidays. The AD docket
contains this AD, the regulatory evaluation, any comments received, and
other information. The street address for the Docket Office (telephone
800-647-5527) is Docket Management Facility, U.S. Department of
Transportation, Docket Operations, M-30, West Building Ground Floor,
Room W12-140, 1200 New Jersey Avenue SE., Washington, DC 20590.

FOR FURTHER INFORMATION CONTACT: Aziz Ahmed, Aerospace Engineer,
Airframe and Mechanical Systems Branch, ANE-171, FAA, New York Aircraft
Certification Office (ACO), 1600 Stewart Avenue, Suite 410, Westbury,
NY 11590; telephone<PHONE_NUMBER>; fax<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Discussion

    We issued a notice of proposed rulemaking (NPRM) to amend 14 CFR
part 39 by adding an AD that would apply to certain Bombardier, Inc.
Model DHC-8-400 series airplanes. The NPRM published in the Federal
Register on July 15, 2016 (81 FR 45995) (``the NPRM''). The NPRM was
prompted by a determination by the manufacturer that shims might not
have been installed between certain longerons and longeron joint
fittings. The NPRM proposed to require repetitive inspections of the
external surface of the fuselage skin panel for loose or working
fasteners, and corrective action if necessary; a detailed visual
inspection of the longeron joint fittings for the existence of shims
and, if necessary, repetitive inspections of the longeron and the
longeron joint fittings for any cracking, and corrective action if
necessary. We are issuing this AD to detect and correct missing shims
between the longerons and longeron joint fittings, which could result
in a gapping condition and lead to stress corrosion cracking of the
longeron joint fittings, and could adversely affect the structural
integrity of the wing-to-fuselage attachment joints.
    Transport Canada Civil Aviation (TCCA), which is the aviation
authority for Canada, has issued Canadian Airworthiness Directive CF-
2015-22, dated August 3, 2015 (referred to after this as the Mandatory
Continuing Airworthiness Information, or ``the MCAI''), to correct an
unsafe condition for certain Bombardier, Inc. Model DHC-8-400 series
airplanes. The MCAI states:

    The aeroplane manufacturer has determined that shims may not
have been installed between the longerons and longeron joint
fittings at fuselage station X373-380, stringers 7 on the left and
right hand side, on certain aeroplanes. The missing shims could
result in a gapping condition and could lead to stress corrosion
cracking of the longeron joint fittings.
    Failure of the longeron joint fitting could compromise the
structural integrity of the wing-to-fuselage attachment joint.
    This [Canadian] AD mandates inspections in the area of the
longeron joint fittings.

Corrective actions include replacing any loose or working fasteners
(fasteners that show signs of wear, fatigue, or corrosion), repairing
any structural damage, and replacing any cracked longeron or longeron
with an amplitude of 50% or more of the calibration signal. You may
examine the MCAI in the AD docket on the Internet at http://www.regulations.gov by searching for and locating Docket No. FAA-2016-
8178.

Comments

    We gave the public the opportunity to participate in developing
this AD. The following presents the comments received on the NPRM and
the FAA's response to each comment.

Request To Incorporate Revised Service Information

    Horizon Air requested that we incorporate Bombardier Service
Bulletin 84-53-65, Revision A, dated February 22, 2016.
    We agree with the commenter's request to incorporate the revised
service information because Bombardier Service Bulletin 84-53-65,
Revision A, dated February 22, 2016, is the latest revision. We have
changed all service bulletin references in this final rule to
Bombardier Service Bulletin 84-53-65, Revision A, dated February 22,
2016.

Request To Provide Credit for Previous Actions

    Horizon Air requested that we add a paragraph addressing credit for
previous actions.
    We agree. Since we have incorporated revised service information in
this final rule, we agree to provide credit for required tasks
performed before the effective date of this AD using Bombardier Service
Bulletin 84-53-65, dated February 27, 2015. We have added a new
paragraph (n) to this AD to provide credit for previous actions and
redesignated subsequent paragraphs accordingly.

Additional Changes to NPRM

    We have reformatted paragraph (l) in this AD to clarify the
requirements.

Conclusion

    We reviewed the relevant data, considered the comments received,
and determined that air safety and the public interest require adopting
this AD with the changes described previously and minor editorial
changes. We have determined that these minor changes:
     Are consistent with the intent that was proposed in the
NPRM for correcting the unsafe condition; and
     Do not add any additional burden upon the public than was
already proposed in the NPRM.
    We also determined that these changes will not increase the
economic burden on any operator or increase the scope of this AD.

Related Service Information Under 1 CFR Part 51

    We reviewed Bombardier Service Bulletin 84-53-65, Revision A, dated
February 22, 2016. The service information describes procedures for

inspections of the external surface of the fuselage skin panel for
loose or working fasteners; a detailed visual inspection of the
longeron joint fittings for the existence of shims; high frequency eddy
current inspections of the longeron and the longeron joint fittings for
any cracking; and replacement of longeron fittings, shims, and
fasteners. This service information is reasonably available because the
interested parties have access to it through their normal course of
business or by the means identified in the ADDRESSES section.

Costs of Compliance

    We estimate that this AD affects 76 airplanes of U.S. registry.
    We also estimate that it will take about 2 work-hours per product
to comply with the basic requirements of this AD. The average labor
rate is $85 per work-hour. Based on these figures, we estimate the cost
of this AD on U.S. operators to be $12,920, or $170 per product.
    In addition, we estimate that any necessary follow-on actions will
take about 3 work-hours for the inspection for missing shims, 9 work-
hours for the replacement of longeron fittings and shims, and 1 work-
hour for a reporting requirement; and would require parts costing
$3,222; for a cost of up to $4,327 per product. We have no way of
determining the number of aircraft that might need these actions. We
have received no definitive data that will enable us to provide cost
estimates for repair of loose or working fasteners or structural damage
specified in this AD.

Paperwork Reduction Act

    A federal agency may not conduct or sponsor, and a person is not
required to respond to, nor shall a person be subject to penalty for
failure to comply with a collection of information subject to the
requirements of the Paperwork Reduction Act unless that collection of
information displays a current valid OMB control number. The control
number for the collection of information required by this AD is 2120-
0056. The paperwork cost associated with this AD has been detailed in
the Costs of Compliance section of this document and includes time for
reviewing instructions, as well as completing and reviewing the
collection of information. Therefore, all reporting associated with
this AD is mandatory. Comments concerning the accuracy of this burden
and suggestions for reducing the burden should be directed to the FAA
at 800 Independence Ave. SW., Washington, DC 20591, ATTN: Information
Collection Clearance Officer, AES-200.

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 AD will not have federalism implications
under Executive Order 13132. This AD will 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.

List of Subjects in 14 CFR Part 39

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

Adoption of the Amendment

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

PART 39--AIRWORTHINESS DIRECTIVES

0
1. The authority citation for part 39 continues to read as follows:

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

Sec.  39.13   [Amended]

0
2. The FAA amends Sec.  39.13 by adding the following new airworthiness
directive (AD):

2016-24-04 Bombardier, Inc: Amendment 39-18721; Docket No. FAA-2016-
8178; Directorate Identifier 2015-NM-197-AD.

(a) Effective Date

    This AD is effective January 17, 2017.

(b) Affected ADs

    None.

(c) Applicability

    This AD applies to Bombardier, Inc. Model DHC-8-400, -401, and -
402 airplanes, certificated in any category, serial numbers 4156
through 4453 inclusive, 4456, and 4457.

(d) Subject

    Air Transport Association (ATA) of America Code 53, Fuselage.

(e) Reason

    This AD was prompted by a determination by the manufacturer that
shims might not have been installed between certain longerons and
longeron joint fittings. We are issuing this AD to detect and
correct missing shims between the longerons and longeron joint
fittings, which could result in a gapping condition and lead to
stress corrosion cracking of the longeron joint fittings, and could
adversely affect the structural integrity of the wing-to-fuselage
attachment joints.

(f) Compliance

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

(g) Inspection of the External Surface of the Fuselage Skin Panels

    At the time specified in paragraph (g)(1) or (g)(2) of this AD,
as applicable, do a detailed visual inspection of the external
surface of the fuselage skin panel for loose or working fasteners
(fasteners that show signs of wear, fatigue, or corrosion) and
structural damage, in accordance with paragraph 3.B. of the
Accomplishment Instructions of Bombardier Service Bulletin 84-53-65,
Revision A, dated February 22, 2016.
    (1) For airplanes that have accumulated less than 10,000 total
flight hours, or less than 5 years in service since new, as of the
effective date of this AD: Prior to accumulating 12,000 total flight
hours or 6 years in service since new, whichever occurs first.
    (2) For airplanes that have accumulated 10,000 total flight
hours or more, or 5 years or more in service since new, as of the
effective date of this AD: Within 2,000 flight hours or 12 months
after the effective date of this AD, whichever occurs first.

(h) Corrective Actions

    If any loose or working fastener or any structural damage is
found during any inspection required by this AD: Before further
flight, repair using a method approved by the Manager, New York
Aircraft Certification Office (ACO), FAA; or Transport Canada Civil
Aviation (TCCA); or

Bombardier, Inc.'s TCCA Design Approval Organization (DAO); and
thereafter do the inspections required by paragraph (i) of this AD.
Accomplishment of a repair in accordance with a method approved by
the Manager, New York ACO, FAA; or TCCA; or Bombardier, Inc.'s TCCA
DAO terminates the repetitive inspections required by paragraph (i)
of this AD for the repaired area only.

(i) Repetitive Detailed Visual Inspections

    Repeat the detailed visual inspection required by the
introductory text to paragraph (g) of this AD at intervals not to
exceed 12 months or 2,000 flight cycles, whichever occurs first
after accomplishment of the most recent inspection, until the
actions required by the introductory text to paragraph (j) of this
AD are done.

(j) Inspection for Missing Shims

    At the time specified in paragraph (j)(1) or (j)(2) of this AD,
as applicable, do a detailed visual inspection of the longeron joint
fittings for the existence of shims, in accordance with paragraph
3.C. of the Accomplishment Instructions of Bombardier Service
Bulletin 84-53-65, Revision A, dated February 22, 2016.
    (1) For airplanes that have accumulated less than 10,000 total
flight hours, or less than 5 years in service since new, as of the
effective date of this AD: Prior to accumulating 18,000 total flight
hours or 9 years in service since new, whichever occurs first.
    (2) For airplanes that have accumulated 10,000 total flight
hours or more, or 5 years or more in service since new, as of the
effective date of this AD: Within 8,000 flight hours or 4 years
after the effective date of this AD, whichever occurs first; but not
to exceed 30,000 total flight hours or 144 months in service since
new, whichever occurs first.

(k) Airplanes With Installed Shims: No Further Action Required

    If the inspection required by the introductory text to paragraph
(j) of this AD reveals that shims are installed in the longeron
joint fittings, no further action is required by this AD.

(l) Airplanes With Missing Shims: High Frequency Eddy Current (HFEC)
Inspections and Corrective Actions

    If the inspection required by the introductory text to paragraph
(j) of this AD reveals that any shim is missing from the longeron
joint fittings: Before further flight, do a high frequency eddy
current (HFEC) inspection of the longeron and the longeron joint
fittings for any cracking, in accordance with paragraph 3.D. of the
Accomplishment Instructions of Bombardier Service Bulletin 84-53-65,
Revision A, dated February 22, 2016.
    (1) If any crack is found, or if any indication with an
amplitude of 50% or more of the calibration signal is found, do the
actions specified in paragraphs (l)(1)(i) and (l)(1)(ii) of this AD.
    (i) Before further flight: Replace the longeron joint fittings,
in accordance with paragraph 3.E. of the Accomplishment Instructions
of Bombardier Service Bulletin 84-53-65, Revision A, dated February
22, 2016.
    (ii) At the applicable time specified in paragraph (l)(1)(ii)(A)
or (l)(1)(ii)(B) of this AD: Report the inspection results to
Bombardier, Inc., Q-Series Technical Help Desk, 123 Garratt
Boulevard, Toronto, Ontario M3K 1Y5, Canada; telephone<PHONE_NUMBER>;
fax<PHONE_NUMBER>; email<EMAIL_ADDRESS>Internet
http://www.bombardier.com.
    (A) If the inspection was done on or after the effective date of
this AD: Report within 30 days after that inspection.
    (B) If the inspection was done before the effective date of this
AD: Report within 30 days after the effective date of this AD.
    (2) If no crack or indication with an amplitude of 50% or more
of the calibration signal is found: Repeat the HFEC inspection
required by the introductory text to paragraph (l) of this AD at
intervals not to exceed 12,000 flight hours or 6 years, whichever
occurs first after accomplishment of the most recent HFEC
inspection, in accordance with paragraph 3.D. of the Accomplishment
Instructions of Bombardier Service Bulletin 84-53-65, Revision A,
dated February 22, 2016.

(m) Terminating Action for Repetitive HFEC Inspections

    Replacement of the longeron joint fittings, in accordance with
paragraph 3.E. of the Accomplishment Instructions of Bombardier
Service Bulletin 84-53-65, Revision A, dated February 22, 2016,
constitutes terminating action for the repetitive HFEC inspections
required by paragraph (l)(2) of this AD.

(n) Credit for Previous Actions

    This paragraph provides credit for actions required by
paragraphs (g), (i), (j), (k), (l), and (m) of this AD, if those
actions were performed before the effective date of this AD using
Bombardier Service Bulletin 84-53-65, dated February 27, 2015.

(o) Other FAA AD Provisions

    The following provisions also apply to this AD:
    (1) Alternative Methods of Compliance (AMOCs): The Manager, New
York ACO, ANE-170, 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 ACO, send it to ATTN: Program
Manager, Continuing Operational Safety, FAA, New York ACO, 1600
Stewart Avenue, Suite 410, Westbury, NY 11590; telephone 516-228-
7300; fax<PHONE_NUMBER>. 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) Contacting the Manufacturer: For any requirement in this AD
to obtain corrective actions from a manufacturer, the action must be
accomplished using a method approved by the Manager, New York ACO,
ANE-170, FAA; or TCCA; or Bombardier, Inc.'s TCCA DAO. If approved
by the DAO, the approval must include the DAO-authorized signature.
    (3) Reporting Requirements: A federal agency may not conduct or
sponsor, and a person is not required to respond to, nor shall a
person be subject to a penalty for failure to comply with a
collection of information subject to the requirements of the
Paperwork Reduction Act unless that collection of information
displays a current valid OMB Control Number. The OMB Control Number
for this information collection is 2120-0056. Public reporting for
this collection of information is estimated to be approximately 5
minutes per response, including the time for reviewing instructions,
completing and reviewing the collection of information. All
responses to this collection of information are mandatory. Comments
concerning the accuracy of this burden and suggestions for reducing
the burden should be directed to the FAA at: 800 Independence Ave.
SW., Washington, DC 20591, Attn: Information Collection Clearance
Officer, AES-200.

(p) Related Information

    (1) Refer to Mandatory Continuing Airworthiness Information
(MCAI) Canadian Airworthiness Directive CF-2015-22, dated August 3,
2015, for related information. This MCAI may be found in the AD
docket on the Internet at http://www.regulations.gov by searching
for and locating Docket No. FAA-2016-8178.
    (2) Service information identified in this AD that is not
incorporated by reference is available at the addresses specified in
paragraphs (q)(3) and (q)(4) of this AD.

(q) Material Incorporated by Reference

    (1) The Director of the Federal Register approved the
incorporation by reference (IBR) of the service information listed
in this paragraph under 5 U.S.C. 552(a) and 1 CFR part 51.
    (2) You must use this service information as applicable to do
the actions required by this AD, unless this AD specifies otherwise.
    (i) Bombardier Service Bulletin 84-53-65, Revision A, dated
February 22, 2016.
    (ii) Reserved.
    (3) For service information identified in this AD, contact
Bombardier, Inc., Q-Series Technical Help Desk, 123 Garratt
Boulevard, Toronto, Ontario M3K 1Y5, Canada; telephone<PHONE_NUMBER>;
fax<PHONE_NUMBER>; email<EMAIL_ADDRESS>Internet
http://www.bombardier.com.
    (4) You may view this service information at the FAA, Transport
Airplane Directorate, 1601 Lind Avenue SW., Renton, WA. For
information on the availability of this material at the FAA, call
425-227-1221.
    (5) You may view this service information that is incorporated
by reference at the National Archives and Records Administration
(NARA). For information on the availability of this material at
NARA, call<PHONE_NUMBER>, or go to: http://www.archives.gov/federal-register/cfr/ibr-locations.html.

    Issued in Renton, Washington, on November 17, 2016.
Phil Forde,
Acting Manager, Transport Airplane Directorate, Aircraft Certification
Service.
[FR Doc. 2016-28597 Filed 12-9-16; 8:45 am]
 BILLING CODE 4910-13-P


[Federal Register Volume 85, Number 111 (Tuesday, June 9, 2020)]
[Notices]
[Pages 35300-35301]
[FR Doc No: 2020-12442]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. RM01-5-000]

Electronic Tariff Filings; Notice of Procedures for Making
Statutory Filings When Authorization for New or Revised Tariff
Provisions Is Not Required

    This guidance document reiterates prior guidance and sets forth the
procedures that filers must use to make statutory filings pursuant to
section 205(d) of the Federal Power Act (FPA), section 4(d) of the
Natural Gas Act (NGA), or section 6 of the Interstate Commerce Act
(ICA) in situations where the filer is not seeking approval of new or
revised tariff provisions. Herein, the term statutory filing means a
filing pursuant to the above-referenced statutory sections that would
go into effect by operation of law, absent Commission action, after the
expiration of the applicable statutory prior notice periods of 60
(under the FPA) or 30 days (under the NGA and ICA), or on a specific
later effective date proposed by the filer.\1\
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    \1\ The Commission also has referred to statutory filings as
those having a statutory action date, i.e., a deadline for
Commission action. The effective date of a statutory filing, absent
Commission action on the filing, is the 61st or 31st calendar day,
respectively, after the date of filing, or a later date specified by
the filer. Under the Commission's regulations, the full 60 or 30
calendar days of notice must expire before the filing would become
effective. 18 CFR 385.2007(a) (2019) ([A]ny period of time . . . is
computed to exclude the day of the act or event from which the time
period begins to run.).
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I. Background

    The FPA, NGA, and ICA each give the Commission authority to
prescribe rules and regulations governing the form of filings to be
made thereunder. Pursuant to that authority, the Commission issued
Order No. 714,\2\ requiring electronic filing for all tariffs \3\ made
pursuant to Parts 35, 154, and 341 of the Commission's regulations,
which correspond to FPA, NGA, and ICA filings, respectively. In a
subsequent order, the Commission explained that all filers making
filings pursuant to these statutes must choose a statutory filing type
and include a proposed effective date in eTariff in order to have their
filings treated as filings upon which the Commission must act within
statutorily-established time frames.\4\ In Order No. 714-A, the
Commission revised its regulations to specify that filings intending to
have statutorily-defined action dates must be made pursuant to the
requirements and formats for electronic filing.\5\ That requirement is
now stated within each applicable Part of the Commission's regulations:
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    \2\ Electronic Tariff Filings, Order No. 714, 124 FERC 61,270
(2008), clarified, Order No. 714-A, 147 FERC 61,115 (2014).
    \3\ The term tariff refer[s] to tariffs, rate schedules,
jurisdictional contracts, and other jurisdictional agreements that
are required to be on file with the Commission. Id. at P 13 n.11.
The regulations promulgated by Order No. 714 required electronic
filing of tariffs, rate schedules and service agreements, or parts
thereof, and material that relates to or bears upon such documents,
such as cancellations, amendments, withdrawals, termination, or
adoption of tariffs. See 18 CFR 35.7(a) (2019).
    \4\ Electronic Tariff Filings, 130 FERC 61,047, at P 5 (2010).
    \5\ Order No. 714-A, 147 FERC 61,115 at P 4 (The regulations now
will provide explicitly that only tariff filings properly filed as
and designated as statutory filings according to the Commission's
eTariff requirements will be considered to have statutory action
dates, and that tariff filings not properly filed and designated as
statutory filings will not become effective in the absence of
Commission action.). See Pioneer Transmission, LLC, 169 FERC 61,265
(2019) (a filing not made through eTariff does not have a statutory
action date).

    A tariff or rate filing must be made electronically in
accordance with the requirements and formats for electronic filing
listed in the instructions for electronic filings. A tariff or rate
filing not made in accordance with these requirements and formats
will not have a statutory action date and will not become effective
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should the Commission not act by the requested action date.\6\

    \6\ 18 CFR 35.7(d), 154(d), 341(d) (2019).
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    The required formats for electronic filing have been posted by the
Secretary of the Commission.\7\ Consequently, any filing that filers
intend to become effective by operation of law in the absence of
Commission action must be made through the Commission's eTariff system.
Under the eTariff system, the statutory action dates for statutory
filings are determined only by examining the filer's proposed effective
dates in the tariff record dataset of an eTariff filing.\8\ Therefore,
a statutory filing must be submitted using eTariff and must include at
least one actual (not a pro forma) tariff record with a proposed
effective date.
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    \7\ Office of the Secretary, Implementation Guide for Electronic
Filing of Parts 35, 154, 284, 300, and 341 Tariff Filings
(Implementation Guide) (Version: November 14, 2016), https://www.ferc.gov/docs-filing/etariff/implementation-guide.pdf.
    \8\ Id. at 5 (The Commission will use the Type of Filing Code
together with the Tariff Record Proposed Effective Date to establish
whether a filing is statutory and the applicable statutory
timelines).
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    Since the development of eTariff, however, instances have arisen in
which a filer seeks to make a statutory filing, but the authorization
sought does not require the filing of a new or revised tariff record.
For example, a public utility transmission provider with formula rates
may wish to make a statutory filing pursuant to section 205 of the FPA
for Commission approval of recovery through its formula transmission
rates of certain costs such as those held as a regulatory asset, pre-
commercial costs, or abandonment costs. If the existing formula rate on
file contains a placeholder for recovery of these costs, the filing may
not require a tariff revision to the public utility's rate formula in
order to recover these costs upon authorization by the Commission.
Another example of this situation is a response to a Commission staff
deficiency letter that does not require a revision to the entity's
tariff records.\9\
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    \9\ Staff deficiency letters frequently require that the
deficiency response filing must be filed . . . by making a
deficiency filing in accordance with the Commission's electronic
tariff requirements. See, e.g., PJM Interconnection, L.L.C., Docket
No. ER20-457-000 (Jan. 16, 2020). See generally, Transmittal Letter,
Cal. Indep. Sys. Operator Corp., Docket No. ER17-1432-001, at 2 n.2
(July 5, 2017) (in response to a deficiency letter, a tariff record
must be included with the filing. Consistent with the Commission's
directive, the CAISO is submitting one unchanged tariff record--
proposed CAISO tariff Section 26.7.1.); Transmittal Letter,
PacifiCorp, Docket No. ER13-1206-001, at 4 n.8 (Jun. 20, 2013)
(Because the Deficiency Letter does not direct any changes to the
proposed tariff revisions, even though Tariff Record Versions must
be included in this filing, PacifiCorp has included in this filing
the unchanged April 1, 2013 Tariff Record Versions, and have
numbered the versions one version higher in its eTariff filing
system.).

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II. Procedure for Making a Statutory Filing When No New or Revised
Tariff Records Are Required

    To make a statutory filing in circumstances where the filer has no
need to change the text of the tariff record, the filer must make the
filing through eTariff and include at least one actual tariff record
(i.e., a live tariff record, not a pro forma tariff record) with a
proposed effective date. The actual tariff record should be an exact
duplicate of an existing tariff record, but with a proposed effective
date that would be the proposed effective date for the new filing.
While the filer can choose a duplicate of any existing tariff record to
make such a filing (i.e., Tariff Title, Table of Contents \10\), staff
recommends that the filer include a duplicate of a tariff record to
which the filing most closely relates.\11\ For example, if the filing
is to obtain approval for costs to be added to a formula rate, the
filer would file a duplicate of its current formula rate tariff record.
Filing a duplicate of a related existing tariff record will allow the
Commission and the public to discern how the filing relates to the
tariff on file. If the new filing becomes effective by operation of law
or Commission acceptance, the duplicate eTariff record will become the
new effective version of that record, superseding the identical tariff
record without changing the contents of that record.
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    \10\ See, e.g., Transmittal Letter, at 9, GridLiance W. LLC,
Docket No. ER19-191-000 (filed Oct. 25, 2018) (The instant
Application does not necessitate any change to GridLiance West's
tariff. However, to ensure this Application is appropriately
recognized as statutory submitted pursuant to section 205,
GridLiance West includes an unrevised tariff record of the cover
sheet to its Transmission Owner Tariff.).
    \11\ See, e.g., cases cited supra note 9.
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    Below are the step-by-step procedures to have a tariff filing
considered to be subject to a statutory action date.

    1. The filer must choose a Type of Filing Code (TOFC) within the
Normal Filing Category.\12\ Specifically, the filer must choose a
TOFC appropriate for the FERC Program (e.g., electric, market-based
electric, NGA, or oil) at issue. The Type of Filing Codes for Normal
filings include Electric Utilities--TOFC 10; Market-Based Rate
Filers--TOFC 30; Natural Gas Pipelines--TOFC 570; and Oil
Pipelines--TOFC 830.
    2. Filers with multiple tariff databases should file the
duplicate record in the Tariff ID to which the filing relates.
    3. The filer must include at least one duplicate of an actual
(live) tariff record (not a pro forma tariff record) and specify a
proposed effective date.

    \12\ The list of TOFCs can be found in documents posted on the
Commission's website at https://www.ferc.gov/docs-filing/etariff.asp. The TOFCs can be found in the documents entitled
Validation Error Codes, https://www.ferc.gov/docs-filing/etariff/filing_type.csv and Type of Filing Rules Table, https://www.ferc.gov/docs-filing/etariff/types-filing-rules-table.pdf.
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III. Determination of Effective Date for Statutory Filings

    As discussed above, the NGA, ICA, or FPA all specify that filings
with a statutory action date become effective following a statutory
notice period of either 30 or 60 days, respectively, unless the
Commission takes action that prevents that result. In cases in which a
filer proposes an effective date for a tariff record that is later than
the day after the end of the statutory notice period, the filing would
become effective on that later date in the absence of a Commission
order issued before that later date that rejects the filing or suspends
its effectiveness. Therefore, the effective date for natural gas and
oil pipeline filings subject to a statutory action date is the later of
either the 31st day after the date of filing or the earliest of the
proposed tariff record effective dates that is after the 31st day, and
for public utility filings, the later of either the 61st day after the
date of filing or the earliest of the proposed tariff record effective
dates that is after the 61st day. A filing requesting waiver of the 30-
or 60-day notice period would become effective on the 31st or 61st day
if the Commission does not issue an order acting on the filing and
granting the waiver.

IV. How To Ascertain Whether a Filing Is Subject to a Statutory Action
Date

    There are two ways for filers and the public to ascertain the
statutory status of a filing: the Commission's eLibrary system or the
Commission's Notice of Filings.
    First, in eLibrary, the search results page of a query includes a
field called Description. eTariff filings normally include a Filing
Type code at the end of the filing's description. This Filing Type
corresponds to the codes included in the Commission's list of filing
codes.\13\ All statutory filings will use a Normal type filing code
with a code description indicating a Time expiration in a specified
number of days.\14\ The following are the filing codes generally
associated with pipeline and utility proposed tariff revisions:
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    \13\ Type of Filing Rules Table, https://www.ferc.gov/docs-filing/etariff/types-filing-rules-table.pdf (Filing Rules Table).
    \14\ While, as discussed earlier, Commission regulations require
that pipelines and utilities must make statutory filings pursuant to
NGA section 4(d), FPA section 205(d), and ICA section 6 using a
Normal filing code, it is not necessarily true that all Normal
filings fall under NGA section 4(d), FPA section 205(d), and ICA
section 6. The Commission included some electric filing types as
Normal filings in eTariff, to reflect the general Commission
business practice of processing those filings within the specified
time periods. For example, the Commission processes filings by non-
jurisdictional electric entities for pass-through rates (TOFC Code
1030) as if they were FPA section 205(d) filings. Users must consult
Commission and court precedent to determine whether filings are, in
fact, subject to statutory time limits.

------------------------------------------------------------------------
                                                  Filing type codes
------------------------------------------------------------------------
NGA Section 4(d)...........................  570, 630, 640, 650, 660,
                                              680, 690, and 730
FPA Section 205(d).........................  10, 30, 280, 320, and 340
ICA Section 6..............................  830, 840, 860, 890, 920,
                                              and 930
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    Second, for public utility and natural gas pipeline proposed tariff
revisions, as a general matter, the Commission's combined Notice of
Filings publicly issued by the Commission's Secretary translates these
codes with a prefatory statement that the filing is an NGA 4(d) Rate
Filing or an FPA 205(d) Rate Filing and will include proposed effective
dates.\15\
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    \15\ Oil pipeline filings are not noticed.
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V. Consultation With FERC Staff

    Those who have filed or intend to make filings with the Commission
may contact FERC staff to further discuss the guidance provided herein
or other questions with respect to making eTariff filings. Inquiries
can be directed to the Commission's eTariff help line at<PHONE_NUMBER>
or via email at<EMAIL_ADDRESS>
    Dated: June 3, 2020.
Kimberly D. Bose,
Secretary.
[FR Doc. 2020-12442 Filed 6-8-20; 8:45 am]
 BILLING CODE 6717-01-P