[Federal Register Volume 77, Number 192 (Wednesday, October 3, 2012)]
[Rules and Regulations]
[Pages 60288-60296]
[FR Doc No: 2012-23791]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2012-0060; Directorate Identifier 2012-NE-02-AD;
Amendment 39-17123; AD 2012-14-09]
RIN 2120-AA64

Airworthiness Directives; Pratt & Whitney (P&W) Division Turbofan
Engines

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule.

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SUMMARY: We are adopting a new airworthiness directive (AD) for certain
P&W PW4000 series turbofan engines. This AD was prompted by reports of
3rd and 4th stage vane fractures in the low-pressure turbine (LPT) of
certain PW4000-94'' and PW4000-100'' turbofan engines. This AD requires
dimensional inspections of LPT 3rd stage vanes and the rear turbine
case, inspection of LPT 4th stage vanes at the next LPT overhaul and
removal of vanes with non-conforming airfoil fillet radii and vanes
with more than one strip and recoat repair. This AD also requires
disassembly and reassembly of the 2nd stage high-pressure turbine (HPT)
rotor and 3rd stage LPT rotor at the next HPT and LPT overhauls. We are
issuing this AD to prevent 3rd and 4th stage vane fractures in the LPT,
damage to the LPT rotor, uncontained engine failure, and damage to the
airplane.

DATES: This AD is effective November 7, 2012.

ADDRESSES: For more information about this AD, contact James Gray,
Aerospace Engineer, Engine Certification Office, FAA, Engine &
Propeller Directorate, 12 New England Executive Park, Burlington, MA;
phone:<PHONE_NUMBER>; fax:<PHONE_NUMBER>; email<EMAIL_ADDRESS>
Examining the AD Docket

    You may examine the AD docket on the Internet at http://www.regulations.gov; 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 address for the
Docket Office (phone:<PHONE_NUMBER>) is Document 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: James Gray, Aerospace Engineer, Engine
Certification Office, FAA, Engine & Propeller Directorate, 12 New
England Executive Park, Burlington, MA; phone:<PHONE_NUMBER>; fax: 781-
238-7199; email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Discussion

    We issued a notice of proposed rulemaking (NPRM) to amend 14 CFR
part 39 to include an AD that would apply to the specified products.
That NPRM published in the Federal Register on March 2, 2012 (77 FR
12755). That NPRM proposed to require dimensional inspections of 3rd
stage vanes and the rear turbine case. That NPRM also proposed to
require inspection of 4th stage vanes at the next LPT overhaul and
removal of vanes with non-conforming airfoil fillet radii and vanes
with more than one strip and recoat repair. That NPRM also proposed to
require disassembly and reassembly of the 2nd stage HPT rotor and 3rd
stage LPT rotor at the next HPT and LPT overhauls.

Comments

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

Agreement With the Proposed AD

    Two commenters, Boeing and FedEx, agreed with the intent of the
proposed AD.

Request To Change Compliance Time for the 4th Stage Vanes

    One commenter, China Cargo Airlines, requested that we change the
inspection compliance time for the LPT 4th stage vanes from ``next LPT
overhaul'' to ``next engine overhaul.'' The commenter stated that LPT
overhauls are typically performed every other shop visit, which could
be in six-to-eight years. The commenter thought that the risk of having
a 4th stage vane failure during that time was too high.
    We do not agree. We determined that performing the inspections at
the next LPT overhaul after the effective date of the AD provides an
acceptable level of safety, and that we do not need to reduce the
interval. We did not change the AD.

Request for Credit for Prior Compliance

    FedEx requested that a statement be included authorizing credit for
prior compliance as they have already been performing the requirements
of the proposed AD.
    We do not agree. Paragraph (e) of the proposed AD already allows
credit for prior compliance. That paragraph states to comply with the
AD within the compliance times specified, unless already done. We did
not change the AD.

Request To Reference Pratt & Whitney Special Instruction No. 17F-09

    One commenter, Martinair Holland, requested that we add a reference
to Pratt & Whitney Special Instruction No. 17F-09 as an alternate
method of compliance (AMOC) for paragraph (e)(1)(iii). The commenter
stated that they have been checking the 3rd stage vanes for adequate
engagement using that Special Instruction.
    We do not agree. The AD requires dimensional inspections that are
not included in Special Instruction No. 17F-09. Also, we do not include
AMOCs in the requirements of an AD. You may, however, seek an AMOC
using the procedures specified in the AD. We did not add that Special
Instruction reference to the AD.

Request To Add Service Bulletins as Alternate Methods of Compliance

    Martinair Holland, United Airlines, and Onur Air, requested that we
add references to Pratt & Whitney Service Bulletins (SBs) PW4ENG 72-
798, PW4ENG 72-804, and PW4G-100-72-221, as alternate methods of
compliance to paragraph (e)(1)(v). The commenters stated that they have
been inspecting the LPT 4th stage vanes using these SBs.
    We do not agree. Paragraph (e) of the proposed AD states to comply
with the AD within the compliance times specified, unless already done.
If you have already done the proposed actions, then no further action
is required to comply with paragraph (e)(1)(v). Also, as noted above,
we do not include AMOCs in the requirements of an AD. We did not change
the AD.

Request To Include the Part Numbers (P/Ns) of the LPT 4th Stage Vanes

    Pratt & Whitney requested that we include the P/Ns of the LPT 4th
stage vanes that are subject to the one-time strip and recoat
requirement. The commenter stated that it is possible that future
designs of LPT 4th stage vanes would not be restricted to a single
strip and recoat requirement.
    We agree. We listed the P/Ns of the affected LPT 4th stage vanes in
the AD.

Request To Define the Word ``Guidance''

    United Airlines requested that we define the word ``guidance''
which we used in paragraph (g) of the proposed AD, or, that we revise
the wording to specifically detail the inspection/build procedure to be
used. The commenter states that using the term ``guidance'' does not
denote a specific requirement and only suggests a general direction to
be followed.
    We agree. Use of the word ``guidance'' in this AD may have caused
confusion. We deleted the ``guidance'' paragraphs listed under Related
Information from the AD.

Request To Update Guidance Service Information

    Pratt & Whitney and United Parcel Service Co. (UPS) requested that
we add the words ``or later'' after the service information date
references in paragraph (g) of the proposed AD. They also requested
that we clarify that the referenced service information could be
updated, and compliance to that updated service information would be
acceptable. One of the commenters was concerned that service
information listed as guidance would be controlled in the same way as
service information that is incorporated by reference in the AD.
    We do not agree. We do not know how documents will be revised in
the future. This AD, however, was revised to remove references to
related service information, and therefore the comment no longer
applies. We did not change the AD.

Request To Remove the Term ``Overhaul''

    United Airlines and UPS requested that we remove the term
``overhaul,'' such as ``LPT overhaul'' and ``HPT overhaul'' from the
proposed AD compliance, as the term ``overhaul'' is not industry
standard and therefore subjective. The commenters suggested a few
alternatives to use instead of the term ``overhaul.''
    We partially agree. We do not agree that the term ``overhaul''
should be removed, but we do agree that it should be defined. We added
a definition paragraph which states that, for the purpose of this AD,
an overhaul is when all disks in the rotor are removed from the engine
and the blades are removed.

Request To Clarify Approved Methods of Compliance

    UPS requested that we clarify that the service information listed
under Related Information are approved methods of compliance to the
proposed AD. They further stated that, as-written, it is not clear that
they are approved methods of compliance.
    We agree that the AD should be clarified. We revised the AD by

removing references to related service information.

Request To Duplicate the Strip and Recoat Requirements

    United Airlines requested that we duplicate the strip and recoat
requirements and make them part of Inspection/Check-01 or Inspection/
Check-03 of the PW4000 Engine Cleaning Inspection and Repair (CIR)
Manual. The commenter stated that the strip and recoat limits are
currently located in repair-14 of the PW4000 CIR Manual, but repair-14
is not always required to return a vane cluster to service. The
commenter stated that the strip and recoat requirements need to be part
of the normal inspection process.
    We do not agree. The AD mandates that the inspection be performed
once, at the next LPT overhaul. That inspection will purge the fleet of
LPT 4th stage vanes that have had more than one strip and recoat
repair. After that inspection, LPT 4th stage vanes are not allowed to
have more than one strip and recoat repair, as specified in the
installation prohibition paragraph (f). Revising the engine manuals to
relocate the inspection requirements is unnecessary. We did not change
the AD.

Request To Remove Reference to 4th Stage Vanes With an Unknown Number
of Strip and Recoat Repairs

    United Airlines stated that there is no way to identify vanes with
an unknown number of strip and recoat repairs. The commenter stated
that if there were no markings on the vane, it would indicate that no
strip and recoat repairs were performed. This could lead to scrapping
vanes that could otherwise be repaired and returned to service.
    We agree. We changed the AD to eliminate the reference to LPT 4th
stage vanes with an unknown number of strip and recoat repairs.

Request To Make the CIR Inspections More Specific

    United Airlines requested that in proposed AD paragraph (e)(1)(iv)
we make the CIR inspections more specific for the LPT case dimensions.
The commenter stated that there are different ways to perform the
measurements and it is not clear whether the dimension to measure is
based on an average or an individual diametric dimension.
    We do not agree. A specific measurement technique is not defined
because multiple measurement techniques exist that are acceptable. The
only diametric dimensional inspection required by the AD is index 24,
which would be acceptable to measure based on an average dimension. We
did not change the AD.

Request To Change ``Ensure Adequate Engagement''

    United Airlines requested that in proposed AD paragraphs
(e)(1)(iii) and (e)(1)(iv), we change ``ensure adequate engagement'' to
``dimensionally inspect the applicable LPT case slot serviceable
dimensions and 3rd stage vane serviceable dimensions per the
appropriate CIR.'' The commenter also requested that we list the
specific dimensions to inspect by index number. The commenter stated
that no mechanic can deduce what an adequate engagement is because it
is not specific enough.
    We agree. We changed paragraph (e)(1)(iii) to ``dimensionally
examine index 13 through index 34 of the LPT 3rd stage vane cluster
assembly.'' We also changed paragraph (e)(1)(iv) to ``dimensionally
examine index 23 and index 24 of the vane engagement slots on the rear
turbine case, where the 3rd stage vane is installed.'' We also listed
the specific dimensions to inspect by index number, and included the
supporting figures in this AD.

Request To Eliminate Paragraphs

    United Airlines requested that we eliminate paragraphs (e)(1)(ii)
through (e)(1)(iv) and (e)(2). The commenter stated that these
paragraphs are related to procedures that are in the engine manual that
operators are already performing. If they are left in the AD, they will
add a significant burden in the amount of time and paperwork required
to manage and verify compliance to the AD.
    We do not agree. The actions in the paragraphs the commenter wants
eliminated from the AD represent changes to the manuals that were
specifically incorporated to address 3rd and 4th stage vane failures.
Although air carriers operating under 14 Code of Federal Regulations
(CFR) Part 121 are likely using the most current versions of the engine
manuals, not all operators, for example, part 91 operators, may be
required to incorporate the latest versions of the engine manuals.
Therefore, we must maintain these requirements in the AD to ensure that
all operators comply to resolve the unsafe condition. We did not change
the AD.

Revision to Cost of Compliance

    In reviewing the cost of compliance estimate made in the NPRM (77
FR 12755, March 2, 2012), we determined that we were unable to
substantiate our prorated cost estimate for limiting the number of
strip and recoat repairs since we do not know how many vanes are
operating with more than one strip and recoat repair. We, therefore,
removed the estimate of the useful part life expectancy and only
included the replacement parts cost. The total cost estimate changed
from $32,147,170 to $9,214,170.

Conclusion

    We reviewed the relevant data, considered the comments received,
and determined that air safety and the public interest require adopting
the AD with the changes described previously. We have determined that
these changes:
     Are consistent with the intent that was proposed in the
NPRM (77 FR 12755, March 2, 2012) for correcting the unsafe condition;
and
     Do not add any additional burden upon the public than was
already proposed in the NPRM (77 FR 12755, March 2, 2012).
    We also determined that these changes will not increase the
economic burden on any operator or increase the scope of the AD.

Costs of Compliance

    We estimate that this AD affects 807 engines installed on airplanes
of U.S. registry. We estimate that it will take 2 work-hours per engine
to perform the LPT 3rd stage vane cluster assembly and rear turbine
case inspections. The average labor rate is $85 per work-hour. We
expect that about 1,870 LPT 4th stage vane cluster assemblies will be
found with the non-conforming casting identification. Replacement parts
cost about $4,854. Based on these figures, we estimate the cost of the
AD on U.S. operators to be $9,214,170.

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

    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 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):

2012-14-09 Pratt & Whitney Division: Amendment 39-17123; Docket No.
FAA-2012-0060; Directorate Identifier 2012-NE-02-AD.

(a) Effective Date

    This AD is effective November 7, 2012.

(b) Affected ADs

    None.

(c) Applicability

    This AD applies to the following Pratt & Whitney Division
turbofan engines:
    (1) PW4000-94'' engine models PW4050, PW4052, PW4056, PW4152,
PW4156, PW4650, PW4060, PW4060A, PW4060C, PW4062, PW4062A, PW4156A,
PW4158, PW4160, PW4460, and PW4462 including models with any dash
number suffix.
    (2) PW4000-100'' engine models PW4164, PW4164C, PW4164C/B,
PW4168, PW4168A, PW4164-1D, PW4164C-1D, PW4164C/B-1D, PW4168-1D,
PW4168A-1D, and PW4170.

(d) Unsafe Condition

    This AD was prompted by reports of 3rd and 4th stage vane
fractures in the low-pressure turbine (LPT) of certain PW4000-94''
and PW4000-100'' turbofan engines. These fractures caused an
uncontained engine failure and an LPT case puncture, and resulted in
multiple in flight shutdowns. We are issuing this AD to prevent 3rd
and 4th stage vane fractures in the LPT, damage to the LPT rotor,
uncontained engine failure, and damage to the airplane.

(e) Compliance

    Comply with this AD within the compliance times specified,
unless already done.
    (1) At the next LPT overhaul, do the following:
    (i) Remove LPT 4th stage vanes that have a P/N listed in Table 1
to paragraph (e) of this AD from service if more than one strip and
recoat repair has been performed.

       Table 1 to Paragraph (e)--Affected LPT 4th Stage Vane P/Ns
------------------------------------------------------------------------

------------------------------------------------------------------------
      50N174      50N674-01     51N174-001     51N374-001     52N574-01
   50N474-01      50N774-01     51N174-002      51N674-01     52N674-01
  50N474-001     50N774-001     51N174-003      52N274-01     51N774-01
   50N574-01      51N174-01      51N374-01      52N474-01     52N774-01
------------------------------------------------------------------------

    (ii) Re-assemble the 3rd stage LPT rotor blades by alternating
heavy blades next to light blades and balancing blades of similar
weights 180 degrees across the rotor.
    (iii) Dimensionally examine index 13 through index 34 of the LPT
3rd stage vane cluster assembly. Use Table 2 to paragraph (e) of
this AD and Figure 1, Figure 2, and Figure 3 to paragraph (e) of
this AD to determine whether the vane is eligible for installation.

                           Table 2 to Paragraph (e)--Determination of Vane Eligibility
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                  Inspect:                                     Eligible for installation limits:
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13..........................................  1.820-1.830 inches (46.23-46.48 mm).
14..........................................  1.920-1.930 inches (48.77-49.02 mm).
15..........................................  3.200 inches (81.280 mm) Basic.
16..........................................  0.900 inch (22.860 mm) Basic.
17..........................................  0.365 inch (9.271 mm) Basic.
18..........................................  0.350 inch (8.890 mm) Basic.
19..........................................  0.160 inch (4.064 mm) Basic.
20..........................................  0.772 inch (19.609 mm) Basic.
21..........................................  72[deg] Basic.
22..........................................  22.382 inch (568.503 mm) Radius--Origin on Plane S Basic.
23..........................................  21.052 inch (534.721 mm) Radius--Origin on Plane S, concentric
                                               with Index 8 Basic.
24..........................................  Angle from Plane S to Plane SL 3[deg]4'37'' Basic.
25..........................................  Angle from Plane S to Plane SM 6[deg]9'14'' Basic.
26..........................................  90[deg] Basic for typical airfoil section.
27:
    Distance from rear foot outer diameter
     surface to airfoil section along Planes
     S, SL, and SM.
        For Section B-B:....................  5.241 inches (133.121 mm).

        For Section E-E:....................  3.181 inches (80.797 mm).
        For Section J-J:....................  1.935 inches (49.149 mm).
28:
    Airfoil chord at Section J-J (1.935       1.346 inches (34.188 mm) minimum.
     inches (49.149 mm) from rear foot outer
     diameter surface at Planes S, SL, and
     SM).
    At Section E-E (3.181 inches (80.797 mm)  1.314 inches (33.376 mm) minimum.
     from rear foot outer diameter surface
     at Planes S, SL, and SM).
    At Section B-B (5.241 inches (133.121     1.188 inches (30.175 mm) minimum.
     mm) from rear foot outer diameter
     surface at Planes S, SL, and SM).
29:
    Airfoil thickness at Section J-J (1.935   0.239 inch (6.071 mm) minimum.
     inches (49.149 mm) from rear foot outer
     diameter surface at Planes S, SL, and
     SM).
    At Section E-E (3.181 inches (80.797 mm)  0.183 inch (4.648 mm) minimum.
     from rear foot outer diameter surface
     at Planes S, SL, and SM).
    At Section B-B (5.241 inches (133.121     0.139 inch (3.531 mm) minimum.
     mm) from rear foot outer diameter
     surface at Planes S, SL, and SM).
30:
    Distance to trailing edge measurement...  0.062 inch (1.575 mm).
31:
    Airfoil trailing edge thickness.........  0.030 inch (0.762 mm) minimum.
32:
    Dimension...............................  0.315-0.324 inch (8.001-8.230 mm) diameter.
33:
    Dimension...............................  6.785-6.795 inches (172.34-172.59 mm).
34:
    Dimension...............................  0.692-0.714 inch (17.58-18.14 mm).
----------------------------------------------------------------------------------------------------------------

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    (iv) Dimensionally examine index 23 and index 24 of the vane
engagement slots on the rear turbine case, where the 3rd stage vane
is installed. Use Table 3 to paragraph (e) of this AD and Figure 4
to paragraph (e) of this AD to determine whether the case is
eligible for installation.

       Table 3 to Paragraph (e)--Determination of Case Eligibility
------------------------------------------------------------------------
             Inspect:                Eligible for installation limits:
------------------------------------------------------------------------
23...............................  1.875 inch (47.625 mm) minimum.
24...............................  0.097 inch (2.464 mm) minimum.
------------------------------------------------------------------------

[GRAPHIC] [TIFF OMITTED] TR03OC12.003

    (v) Inspect the 44 LPT 4th stage vane cluster assemblies P/N
52N774-01 for casting identification ``51N554AT 1447 2S1C1'' and P/N
52N674-01 for casting identification ``51N454AT 655 2S1C1.'' Remove
the vane cluster assembly from service if either of these casting
identifications is found.
    (2) At the next high-pressure turbine (HPT) overhaul, re-
assemble the 2nd stage HPT rotor blades by alternating heavy blades
next to light blades and balancing blades of similar weights 180
degrees across the rotor.

(f) Installation Prohibition

    After the effective date of this AD, do not install or reinstall
into any engine any LPT 4th stage vanes with a P/N listed in Table 1
to paragraph (e) of this AD that are at piece-part exposure and have
had more than one strip and recoat repair.

(g) Definitions

    (1) For the purpose of this AD, an HPT or LPT overhaul occurs
when all disks in the rotor are removed from the engine and the
blades are removed.
    (2) For the purpose of this AD, piece-part exposure means that
the part is removed from the engine and completely disassembled.

(h) Alternative Methods of Compliance (AMOCs)

    The Manager, Engine Certification Office, FAA, may approve AMOCs
for this AD. Use the procedures found in 14 CFR 39.19 to make your
request.

(i) Related Information

    For more information about this AD, contact James Gray,
Aerospace Engineer, Engine Certification Office, FAA, Engine &
Propeller Directorate, 12 New England Executive Park, Burlington,
MA; phone:<PHONE_NUMBER>; fax:<PHONE_NUMBER>; email:
<EMAIL_ADDRESS>
(j) Material Incorporated by Reference

    None.

    Issued in Burlington, Massachusetts, on September 20, 2012.
Diane M. Cook,
Acting Manager, Engine & Propeller Directorate, Aircraft Certification
Service.
[FR Doc. 2012-23791 Filed 10-2-12; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 78, Number 37 (Monday, February 25, 2013)]
[Notices]
[Pages 12809-12811]
[FR Doc No: 2013-04312]

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DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration

[Docket No. FMCSA-2012-0332]

Qualification of Drivers; Application for Exemptions; Hearing

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

ACTION: Notice of applications for exemptions; request for comments.

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

SUMMARY: FMCSA announces that 9 individuals have applied for a medical
exemption from the hearing requirement in the Federal Motor Carrier
Safety Regulations (FMCSRs). In accordance with the statutory
requirements concerning applications for exemptions, FMCSA requests
public comments on these requests. The statute and implementing
regulations concerning exemptions require that exemptions must provide
an equivalent or greater level of safety than if they were not granted.
If the Agency determines the exemptions would satisfy the statutory
requirements and decides to grant theses requests after reviewing the
public comments submitted in response to this notice, the exemptions
would enable these 9 individuals to operate CMVs in interstate
commerce.

DATES: Comments must be received on or before March 27, 2013.

ADDRESSES: You may submit comments bearing the Federal Docket
Management System (FDMS) Docket No. FMCSA-2012-0332] using any of the
following methods:

     Federal eRulemaking Portal: Go to http://www.regulations.gov. Follow the on-line instructions for submitting
comments.
     Mail: Docket Management Facility; U.S. Department of
Transportation, 1200 New Jersey Avenue SE., West Building Ground Floor,
Room W12-140, Washington, DC 20590-0001.
     Hand Delivery: West Building Ground Floor, Room W12-140,
1200 New Jersey Avenue SE., Washington, DC, between 9 a.m. and 5 p.m.,
ET, Monday through Friday, except Federal Holidays.
     Fax: 1-202-493-2251.
    Instructions: Each submission must include the Agency name and the
docket numbers for this notice. Note that all comments received will be
posted without change to http://www.regulations.gov, including any
personal information provided. Please see the Privacy Act heading below
for further information.
    Docket: For access to the docket to read background documents or
comments, go to http://www.regulations.gov at any time or Room W12-140
on the ground level of the West Building, 1200 New Jersey Avenue SE.,
Washington, DC, between 9 a.m. and 5 p.m., ET, Monday through Friday,
except Federal holidays. The FDMS is available 24 hours each day, 365
days each year. If you want acknowledgment that we received your
comments, please include a self-addressed, stamped envelope or postcard
or print the acknowledgement page that appears after submitting
comments on-line.
    Privacy Act: Anyone may search the electronic form of all comments
received into any of our dockets by the name of the individual
submitting the comment (or of the person signing the comment, if
submitted on behalf of an association, business, labor union, etc.).
You may review DOT's Privacy Act Statement for the FDMS published in
the Federal Register on January 17, 2008 (73 FR 3316), or you may visit
http://edocket.access.gpo.gov/2008/pdf/E8-785.pdf.

FOR FURTHER INFORMATION CONTACT: Elaine M. Papp, Chief Medical
Programs,<PHONE_NUMBER><EMAIL_ADDRESS>FMCSA, Department of
Transportation, 1200 New Jersey Avenue SE., Room W64-224, Washington,
DC 20590-0001. Office hours are from 8:30 a.m. to 5 p.m., Monday
through Friday, except Federal holidays.

SUPPLEMENTARY INFORMATION:

Background

    The Federal Motor Carrier Safety Administration has authority to
grant exemptions from many of the Federal Motor Carrier Safety
Regulations (FMCSRs) under 49 U.S.C. 31315 and 31136(e), as amended by
Section 4007 of the Transportation Equity Act for the 21st Century
(TEA- 21) (Pub. L. 105-178, June 9, 1998, 112 Stat. 107, 401). FMCSA
has published in 49 CFR part 381, subpart C final rules implementing
the statutory changes in its exemption procedures made by section 4007,
69 FR 51589 (August 20, 2004).\1\ Under the rules in part 381, subpart
C, FMCSA must publish a notice of each exemption request in the Federal
Register. The Agency must provide the public with an opportunity to
inspect the information relevant to the application, including any
safety analyses that have been conducted and any research reports,
technical papers and other publications referenced in the application.
The Agency must also provide an opportunity to submit public comment on
the applications for exemption.
---------------------------------------------------------------------------

    \1\ This action adopted as final rules the interim final rules
issued by FMCSA's predecessor in 1998 (63 FR 67600 (Dec. 8, 2008)),
and adopted by FMCSA in 2001 (66 FR 49867 (Oct. 1, 2001)).
---------------------------------------------------------------------------

    The Agency reviews the safety analyses and the public comments and
determines whether granting the exemption would likely achieve a level
of safety equivalent to or greater than the level that would be
achieved without the exemption. The decision of the Agency must be
published in the Federal Register. If the Agency denies the request, it
must state the reason for doing so. If the decision is to grant the
exemption, the notice must specify the person or class of persons
receiving the exemption and the regulatory provision or provisions from
which an exemption is granted. The notice must also specify the
effective period of the exemption (up to 2 years) and explain the terms
and conditions of the exemption. The exemption may be renewed.
    The current provisions of the FMCSRs concerning hearing state that
a person is physically qualified to drive a CMV if that person

    First perceives a forced whispered voice in the better ear at
not less than 5 feet with or without the use of a hearing aid or, if
tested by use of an audiometric device, does not have an average
hearing loss in the better ear greater than 40 decibels at 500 Hz,
1,000 Hz, and 2,000 Hz with or without a hearing aid when the
audiometric device is calibrated to American National Standard
(formerly ASA Standard) Z24.5--1951.

    49 CFR 391.41(b)(11). This standard was adopted in 1970, with a
revision in 1971 to allow drivers to be qualified under this standard
while wearing a hearing aid, 35 FR 6458, 6463 (April 22, 1970) and 36
FR 12857 (July 3, 1971).
    FMCSA also issues instructions for completing the medical
examination report and includes advisory criteria on the report itself
to provide guidance for medical examiners in applying the hearing
standard. See 49 CFR 391.43(f). The current advisory criteria for the
hearing standard include a reference to a report entitled ``Hearing
Disorders and Commercial Motor Vehicle Drivers'' prepared for the
Federal Highway Administration, FMCSA's predecessor, in 1993.\2\
---------------------------------------------------------------------------

    \2\ This report is available on the FMCSA web site at http://www.fmcsa.dot.gov/facts-research/research-technology/publications/medreport_archives.htm.
---------------------------------------------------------------------------

FMCSA Requests Comments on the Exemption Applications

    FMCSA requests comments from all interested parties on whether a
driver who cannot meet the hearing standard should be permitted to
operate a CMV in interstate commerce. Further, the Agency asks for
comments on whether a driver who cannot meet the hearing standard
should be limited to operating only certain types of vehicles in
interstate commerce, for example, vehicles without air brakes. The
statute and implementing regulations concerning exemptions require that
the Agency request public comments on all applications for exemptions.
The Agency is also required to make a determination that an exemption
would likely achieve a level of safety that is equivalent to, or
greater than, the level that would be achieved absent such exemption
before granting any such requests. 49 U.S.C. 31315(b)(1). See also 49
CFR 381.305(a).

Information on Individual Applicants

Mark Cole

    Mr. Cole holds a driver's license from the state of Ohio. He would
like to drive tractor trailer trucks in interstate commerce, if he is
granted an exemption.

Nelson De Leon

    Mr. De Leon holds a CDL from the state of Florida. He has been
driving in intrastate commerce for 17 years and would like to drive a
CMV in interstate commerce, if he is granted an exemption.

William Wallace Larson

    Mr. Larson holds a class A Commercial driver's license (CDL) from
the state of North Carolina. He has been

driving a dump truck in intrastate commerce for 20 years and recently
lost his hearing. He would like to continue to drive dump trucks if
granted an exemption.

Bryan Lewis

    Mr. Lewis holds a driver's license from the District of Columbia
(DC). He would like to drive rental box trucks in interstate commerce,
if granted an exemption.

Donald Lynch

    Mr. Lynch holds a driver's license from the state of Florida. He
would like to drive tractor trailer trucks in interstate commerce, if
he is granted an exemption.

Zachary Rietz

    Mr. Reitz holds a driver's license from the state of Texas. He has
been driving straight trucks and vans locally for a trucking company.
He would like to obtain a Class A CDL license and drive tractor
trailers in interstate commerce if granted an exemption.

Benton Scott

    Mr. Scott holds a Class A CDL license from the state of
Mississippi. He has driven over the road tractor trailers for 34 years
until recently when he was unable to pass the hearing requirement for
his DOT physical. He would like to resume driving tractor trailer
trucks in interstate commerce, if granted an exemption.

 Bryon Smith

    Mr. Smith holds a driver's license from the state of Louisiana. He
would like to drive tractor trailer trucks in interstate commerce, if
he is granted an exemption.

Steve Queen

    Mr. Queen holds a Class A license from the state of Florida. He has
been driving a CMV in interstate commerce until recently when he failed
to pass the hearing test. He would like to continue to drive tractor
trailer trucks in interstate commerce, if he is granted an exemption.

Request for Comments

    In accordance with 49 U.S.C. 31136(e) and 31315(b)(4), FMCSA
requests public comment from all interested persons on the exemption
petitions described in this notice. The Agency will consider all
comments received before the close of business March 27, 2013. Comments
will be available for examination in the docket at the location listed
under the ADDRESSES section of this notice. The Agency will file
comments received after the comment closing date in the public docket,
and will consider them to the extent practicable. In addition to late
comments, FMCSA will also continue to file, in the public docket,
relevant information that becomes available after the comment closing
date. Interested persons should monitor the public docket for new
material.

    Issued on: February 4, 2013.
Larry W. Minor,
Associate Administrator for Policy.
[FR Doc. 2013-04312 Filed 2-22-13; 8:45 am]
BILLING CODE 4910-EX-P


UNITED STATES OF AMERICA

DEPARTMENT OF TRANSPORTATION

OFFICE OF THE SECRETARY

WASHINGTON, DC

Issued by the Department of Transportation on June 9, 2003

   NOTICE OF ACTION TAKEN -- DOCKET OST-2003-15093

________________________________________________________________________
_________________________________

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  Kalitta Air, L.L.C.  filed   5/1/03 for:

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

Scheduled foreign air transportation of property and mail between a
point or points in the United States, on the one hand, and Kuwait City,
Kuwait and Amman, Jordan, on the other.

No answers to the application were filed.

Applicant rep:  Mark W. Atwood<PHONE_NUMBER>  DOT Analyst:  Michael D.
Bodman<PHONE_NUMBER>

D I S P O S I T I O N

XX  Granted (subject to conditions, see below).

The above action was effective when taken:  June 9, 2003, through June
9, 2005

Action taken by:   Paul L. Gretch, Director

		    Office of International Aviation

XX  The exemption authority granted is consistent with the aviation
agreement between the United States and Jordan and the overall state of
aviation relations between the United States and Kuwait.

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)

________________________________________________________________________
_____________

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 exemption authority 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.  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/reports_aviation.asp

APPENDIX

U.S. CARRIER

Standard Exemption Conditions

In the conduct of operations authorized by the attached notice, the
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 the applicable requirements of the Federal Aviation
Administration Regulations and with all applicable U.S. Government
requirements concerning security; 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.

Kalitta Air also requests exemption authority to serve a point or points
in Iraq.  We will process Kalitta Air’s request to serve Iraq
separately.

To assure compliance with all applicable U.S. Government requirements
concerning security, the holder should, 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.


[Federal Register Volume 82, Number 247 (Wednesday, December 27, 2017)]
[Notices]
[Pages 61292-61293]
[FR Doc No: 2017-27911]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. NJ18-7-000]

City of Colton, California; Notice of Filing

    Take notice that on December 18, 2017, City of Colton, California
submitted its tariff filing: City of Colton 2018 TRBAA/ETC Update to be
effective 1/1/2018.
    Any person desiring to intervene or to protest this filing must
file in accordance with Rules 211 and 214 of the Commission's Rules of
Practice and Procedure (18 CFR 385.211, 385.214). Protests will be
considered by the Commission in determining the appropriate action to
be taken, but will not serve to make protestants parties to

the proceeding. Any person wishing to become a party must file a notice
of intervention or motion to intervene, as appropriate. Such notices,
motions, or protests must be filed on or before the comment date.
Anyone filing a motion to intervene or protest must serve a copy of
that document on the Applicant and all the parties in this proceeding.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper using the eFiling link at http://www.ferc.gov. Persons unable to file electronically should submit an
original and 5 copies of the protest or intervention to the Federal
Energy Regulatory Commission, 888 First Street NE, Washington, DC
20426.
    This filing is accessible on-line at http://www.ferc.gov, using the
eLibrary link and is available for electronic review in the
Commission's Public Reference Room in Washington, DC. There is an
eSubscription link on the website that enables subscribers to receive
email notification when a document is added to a subscribed docket(s).
For assistance with any FERC Online service, please email
[email protected], or call<PHONE_NUMBER> (toll free). For
TTY, call<PHONE_NUMBER>.
    Comment Date: 5:00 p.m. Eastern Time on January 8, 2018.

    Dated: December 20, 2017.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2017-27911 Filed 12-26-17; 8:45 am]
 BILLING CODE 6717-01-P


[Federal Register Volume 76, Number 123 (Monday, June 27, 2011)]
[Notices]
[Pages 37384-37386]
[FR Doc No: 2011-15965]

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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-64717; File No. SR-FINRA-2011-029]

Self-Regulatory Organizations; Financial Industry Regulatory
Authority, Inc.; Notice of Filing and Immediate Effectiveness of
Proposed Rule Change Relating to Exemptions from the Order Audit Trail
System Recording and Reporting Requirements

 June 21, 2011.
    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 June 14, 2011, Financial Industry Regulatory Authority, Inc.
(``FINRA'') filed with the Securities and Exchange Commission

(``SEC'' or ``Commission'') the proposed rule change as described in
Items I and II below, which Items have been prepared by FINRA. FINRA
has designated the proposed rule change as constituting a ``non-
controversial'' rule change under paragraph (f)(6) of Rule 19b-4 under
the Act,\3\ which renders the proposal effective upon receipt of this
filing by the Commission. The Commission is publishing this notice to
solicit comments on the proposed rule change from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ 17 CFR 240.19b-4(f)(6).
---------------------------------------------------------------------------

I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    FINRA is proposing to amend FINRA Rule 7470 to extend for four
years FINRA's ability to exempt certain members from the recording and
reporting requirements of the Order Audit Trail System (``OATS'') Rules
(``OATS Rules'') for manual orders received by the member.
    The text of the proposed rule change is available on FINRA's Web
site at http://www.finra.org, at the principal office of FINRA and at
the Commission's Public Reference Room.

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

    In its filing with the Commission, FINRA 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. FINRA has prepared summaries, set forth in sections A,
B, and C below, of the most significant aspects of such statements.

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

1. Purpose
    On September 28, 2005, the SEC approved amendments to the OATS
Rules that, among other things, permitted FINRA to grant exemptive
relief from the OATS reporting requirements for manual orders.\4\ In
2006, FINRA's exemptive authority was expanded to include the authority
to exempt manual orders received by members from the OATS recording
requirements.\5\ At a minimum, under FINRA Rule 7470, members must meet
the following criteria to be eligible to request an exemption from the
OATS recording and reporting requirements for manual orders: (1) The
member and current control affiliates and associated persons of the
member have not been subject within the last five years to any final
disciplinary action, and within the last ten years to any disciplinary
action involving fraud; (2) the member has annual revenues of less than
$2 million; (3) the member does not conduct any market making
activities in any security subject to the OATS Rules; (4) the member
does not execute principal transactions with its customers (with
limited exceptions for principal transactions executed pursuant to
error corrections); and (5) the member does not conduct clearing or
carrying activities for other firms.\6\ An exemption granted by FINRA
pursuant to Rule 7470 is for a maximum of two years; however, a member
that continues to meet the criteria may request subsequent exemptions
at or prior to the expiration of a grant of exemptive relief.\7\
Finally, Rule 7470 includes a sunset provision of five years from the
original effective date of the rule, which was July 10, 2006.
Consequently, Rule 7470 is set to expire as of July 10, 2011.
---------------------------------------------------------------------------

    \4\ See Securities Exchange Act Release No. 52521 (September 28,
2005), 70 FR 57909 (October 4, 2005).
    \5\ See Securities Exchange Act Release No. 53580 (March 30,
2006), 71 FR 17529 (April 6, 2006). In 2006, the exemptive provision
was also relocated from NASD Rule 6955(d) to NASD Rule 6958. As of
December 15, 2008, NASD Rule 6958 was renumbered as FINRA Rule 7470.
See FINRA Regulatory Notice 08-57 (October 2008).
    \6\ See FINRA Rule 7470(a).
    \7\ See FINRA Rule 7470(b).
---------------------------------------------------------------------------

    FINRA adopted this exemptive authority so that it would have the
ability to grant relief to members that meet certain criteria in
situations where, for example, the reporting of order information would
be unduly burdensome for the member or where temporary relief from the
rules, in the form of additional time to achieve compliance, would
permit the members to avoid unnecessary expense or hardship.\8\ FINRA
believes that these concerns continue to be present for many firms and,
consequently, proposes to extend the period for FINRA to grant
exemptive relief for an additional four years. In addition, as part of
the its recent proposal to create a consolidated audit trail across
self-regulatory organizations, the SEC is evaluating, among other
things, the impact of consolidated audit trail requirements on smaller
member firms.\9\ FINRA believes it is appropriate to allow firms that
have received an exemption from OATS to continue to rely on their
current exemption (or request an additional two-year exemption) until
the scope and application of the SEC's consolidated audit trail is
determined.
---------------------------------------------------------------------------

    \8\ See Securities Exchange Act Release No. 52521 (September 28,
2005), 70 FR 57909 (October 4, 2005).
    \9\ See Securities Exchange Act Release No. 62174 (May 26,
2010), 75 FR 32556 (June 8, 2010).
---------------------------------------------------------------------------

    FINRA is not proposing any substantive changes to the criteria
necessary for firms to qualify for an exemption because FINRA believes
that the criteria continue to ensure that only those firms with limited
revenue, no recent final disciplinary actions, and limited business
models will be eligible for exemptions.\10\
---------------------------------------------------------------------------

    \10\ FINRA notes that although many of the members relying on
current exemptions pursuant to Rule 7470 also qualify for the
exception from the definition of ``Reporting Member'' in Rule
7410(o), some firms relying on exemptions route orders to multiple
clearing firms or otherwise fail to meet the exception in Rule
7410(o).
---------------------------------------------------------------------------

    FINRA has filed the proposed rule change for immediate
effectiveness. The operative date will be July 9, 2011.
2. Statutory Basis
    FINRA believes that the proposed rule change is consistent with the
provisions of Section 15A(b)(6) of the Act,\11\ which requires, among
other things, that FINRA rules must be designed to prevent fraudulent
and manipulative acts and practices, to promote just and equitable
principles of trade, and, in general, to protect investors and the
public interest. FINRA believes that the proposed rule change will
provide a continued way to exempt manual orders received by certain
small firms from the OATS Rules and avoid imposing potentially
unnecessary expense or hardship on those firms that qualify for the
exemption.
---------------------------------------------------------------------------

    \11\ 15 U.S.C. 78o-3(b)(6).
---------------------------------------------------------------------------

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

    FINRA does not believe that the proposed rule change will result in
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

    Written comments were neither solicited nor received.

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

    Because the foregoing 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 from the date on which it was filed, or such shorter time as the
Commission may designate, it has become effective pursuant to Section
19(b)(3)(A) of the Act \12\ and Rule 19b-4(f)(6) thereunder.\13\
---------------------------------------------------------------------------

    \12\ 15 U.S.C. 78s(b)(3)(A).
    \13\ 17 CFR 240.19b-4(f)(6). Among other things, Rule 19b-
4(f)(6)(iii) requires that a self-regulatory organization submit to
the Commission written notice of its intent to file the proposed
rule change, along with a brief description and text of the proposed
rule change, at least five business days prior to the date of filing
of the proposed rule change, or such shorter time as designated by
the Commission. The Commission notes that FINRA has satisfied the
pre-filing notice requirement.
---------------------------------------------------------------------------

    FINRA has requested that the Commission waive the requirement that
the rule change, by its terms, not become operative for 30 days after
the date of the filing as set forth in Rule 19b-4(f)(6)(iii).\14\ FINRA
believes that the proposed rule change should become operative on July
9, 2011, to avoid any lapse in the application of the rule. The
Commission agrees that it is consistent with the protection of
investors and the public interest to allow FINRA's limited exemptive
authority to grant relief to members that meet certain criteria from
the OATS recording and reporting requirements to continue without a
lapse. Therefore, the Commission hereby grants a waiver of the 30-day
operative delay.\15\
---------------------------------------------------------------------------

    \14\ 17 CFR 240.19b-4(f)(6)(iii).
    \15\ For the 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. See 15
U.S.C. 78c(f).
---------------------------------------------------------------------------

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

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-FINRA-2011-029 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-FINRA-2011-029. 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 Web site
viewing and printing in the Commission's Public Reference Room, 100 F
Street, NE., Washington, DC 20549, on official business days between
the hours of 10 a.m. and 3 p.m. Copies of such filing also will be
available for inspection and copying at the principal office of FINRA.
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-FINRA-2011-029
and should be submitted on or before July 18, 2011.

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

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

Cathy H. Ahn,
Deputy Secretary.
[FR Doc. 2011-15965 Filed 6-24-11; 8:45 am]
BILLING CODE 8011-01-P


As noted above, delay costs reflect the cost of the delayed receipt of profits by chemical manufactures as a result of the submission review process. Industry delay costs used to calculate the average cost per submission were computed using the midpoint of the low and high delay cost estimates (1993 dollars) as presented in the "Regulatory Impact Analysis of Amendments to Regulations for TSCA section 5 Premanufacture Notifications" (1994), and inflated to 2016 dollars using the Bureau of Labor Statistics' Producer Price Index data for the Chemical Manufacturing industry.
The EPA fees (explicit costs) used to calculate the average cost per submission were taken from the 2018 fees rule: Fees for the Administration of the Toxic Substances Control Act (83 Fed.Reg. 82694). This rule increased fees for PMNs, SNUNs, and MCANs from $2,500 to $16,000 and fees for LVE, LoREX, TME, TERA, Tier II, and photographic film articles from $0 to $4,700. Laboratory testing costs were inflated to 2016 dollars using the Bureau of Labor Statistics (BLS) Employment Cost Index (ECI) series for private industry workers in all industries and occupations.

Table 7. Total Respondent Cost Calculation
                                Type of Notice
                           Average Annual Responses
   Total Burden (Reporting + Recordkeeping) and Wage Rate by Labor Category
                                Labor Costs[1]
                                Delay Costs[2]
                                    Fees[3]
                            Avg. Cost Per Notice[4]
                           Total Respondent Cost[6]

                                  Managerial
                                   Technical
                                   Clerical

                                     Hours
                                   Wage ($)
                                     Hours
                                   Wage ($)
                                     Hours
                                   Wage ($)

PMN
                                      409
                                      24
                                    $76.67
                                    85.325
                                    $77.94
                                       0
                                    $34.99
                                    $8,490
                                    $31,680
                                    $16,000
                                    $56,171
                                  $22,973,773
SNUN
                                       7
                                      24
                                    $76.67
                                    85.325
                                    $77.94
                                       0
                                    $34.99
                                    $8,490
                                    $31,680
                                    $16,000
                                    $56,171
                                   $393,194
MCAN
                                      24
                                      71
                                    $76.67
                                    235.345
                                    $77.94
                                      0.5
                                    $34.99
                                    $23,804
                                    $31,680
                                    $16,000
                                    $71,484
                                  $1,715,618
Exemptions:

   TME
                                      15
                                      23
                                    $76.67
                                    81.345
                                    $77.94
                                      0.5
                                    $34.99
                                    $8,121
                                       -
                                    $4,700
                                    $12,821
                                   $192,313
   LVE/LoREX
                                      414
                                      24
                                    $76.67
                                    85.325
                                    $77.94
                                       0
                                    $34.99
                                    $8,490
                                    $15,946
                                    $4,700
                                    $29,136
                                  $12,062,500
   TERA
                                       2
                                      135
                                    $76.67
                                    390.345
                                    $77.94
                                      0.5
                                    $34.99
                                    $40,791
                                       -
                                    $4,700
                                    $45,491
                                    $90,982
   Tier I
                                       1
                                      29
                                    $76.67
                                    99.345
                                    $77.94
                                      0.5
                                    $34.99
                                    $9,984
                                       -
                                       -
                                    $9,984
                                    $9,984
   Tier II
                                       4
                                      29
                                    $76.67
                                    99.345
                                    $77.94
                                      0.5
                                    $34.99
                                    $9,984
                                       -
                                    $4,700
                                    $14,684
                                    $58,735
   Polymer
                                      119
                                     6.32
                                    $76.67
                                    13.425
                                    $77.94
                                     2.25
                                    $34.99
                                    $1,610
                                       -
                                       -
                                    $1,610
                                   $191,546
   R&D
                                      200
                                     5.07
                                    $76.67
                                    13.925
                                    $77.94
                                     0.25
                                    $34.99
                                    $1,483
                                       -
                                       -
                                    $1,483
                                   $296,555
   Film Articles
                                       1
                                     5.07
                                    $76.67
                                    11.925
                                    $77.94
                                       0
                                    $34.99
                                    $1,318
                                       -
                                    $4,700
                                    $6,018
                                    $6,018
Bona Fide
                                      181
                                     11.07
                                    $76.67
                                    22.675
                                    $77.94
                                       0
                                   $34.99
                                    $2,616
                                       -
                                       -
                                    $2,616
                                   $473,499
Section 5(e) Orders with Triggered Testing[1]
                                      66
                                     43.87
                                    $76.67
                                    132.625
                                    $77.94
                                     8.75
                                    $34.99
                                    $14,006
                                       -
                                  $150,319[5]
                                   $164,326
                                  $10,845,488
Section 5(e) Orders with Potentially Useful Information/ 5(f) Orders with No Testing[1]
                                      45
                                     24.57
                                    $76.67
                                    29.175
                                    $77.94
                                     12.5
                                    $34.99
                                    $4,595
                                       -
                                       -
                                    $4,595
                                   $206,779
NOC
                                      198
                                     5.07
                                    $76.67
                                    11.8375
                                    $77.94
                                    0.0625
                                    $34.99
                                    $1,314
                                       -
                                       -
                                    $1,314
                                   $260,076
New CDX Registration
                                     2855
                                     0.132
                                    $76.67
                                     0.528
                                    $77.94
                                       0
                                    $34.99
                                      $51
                                       -
                                       -
                                      $51
                                   $146,383
Total
                                 $49,923,442
                                                                            [1]
Labor costs are calculated by multiplying burden hours by the wage rate for each labor category and summing across labor categories.
                                                                            [2]
Delay costs calculated using the average of low and high estimates from "Regulatory Impact Analysis of Amendments to Regulations for TSCA section 5 Premanufacture Notifications" September 9, 1994 (RIA, 1994), updated to 2016$, using Bureau of Labor Statistics Producer Price Index data for the chemical manufacturing industry. MCANs are assumed to have the same delay costs as PMNs.
                                                                            [3]
User fees charged by EPA, except where noted.
                                                                            [4]
Average cost per notice is the sum of labor costs, delay costs and fees.
                                                                            [5]
This figure is for a representative testing regimen consisting of 835.3110 (ready biodegradability), 850.1010, 850.1075, 850.5400 (aquatic base set), and OECD 407 (28-day repeated dose), based on an analysis of average costs for 277 testing cases and inflated to 2016$ using the Bureau of Labor Statistics (BLS) Employment Cost Index (ECI) series for all workers in private industry (Series ID CIS2010000000000I (B)).
                                                                            [6]
While companies incur costs for control equipment, such costs are outside the scope of this ICR

Estimating Agency Cost
	The Agency costs associated with this information collection are estimated to total $28,287,555 (Table 7). Costs to the government include: (1) review of the chemical substance or significant new use under the conditions of use (circumstances under which the chemical is intended, known or reasonably foreseen to be manufactured, processed, distributed in commerce, used, or disposed of), (2) making a final determination on the chemical substance under TSCA section 5(a)(3), and (3) as appropriate, taking regulatory action under TSCA sections 5(e), 5(f) or 5(g).
The provisions of TSCA, as amended, result in additional TSCA section 5 Agency costs that arise primarily from the requirement to review the intended, known or reasonably foreseen activities associated with the chemical, from the requirement to make an affirmative risk determination, and from development of significant new use rules (SNURs) and orders that result from our analysis and findings under TSCA, as amended. Therefore, the Agency used the cost estimates from prior experience and prior versions of this ICR as a starting point and then added estimates for the costs of these additional responsibilities to calculate the Agency's program costs associated with TSCA section 5 as part of the final rule: Fees for the Administration of the Toxic Substances Control Act (83 Fed. Reg. 52694) (2018).
Agency cost estimates include the costs of processing, reviewing, and making determinations, and the Agency's costs of taking any regulatory action, such as with a SNUR or a consent order. Costs of reviewing any data that is submitted to the Agency as a result of an order is also included. Agency cost estimates for administering TSCA section 5 also include the costs associated with processing and retaining records related to NOCs. NOC costs also include the cost of registering the chemical with the Chemical Abstracts Service (CAS). These estimates of average cost per notice are based on projected FTE and extramural support needed for these actions divided by the number of notices the Agency assumes will be received each year once fees are in place. Total Agency cost estimates are then calculated as average cost per notice multiplied by the average number of notices estimated in section 6(b) of this ICR.

Table 8. Total Agency Cost Calculation
                                Type of Notice
                           Average Annual Responses
                            Avg. Cost Per Notice[1]
                             Total Agency Cost[2]
PMN[3]
                                      409
                                   $41,000
                                  $16,769,000
SNUN[3]
                                       7
                                   $41,000
                                   $287,000
MCAN[3]
                                      24
                                   $41,000
                                   $984,000
Exemption:

TME
                                      15
                                    $5,622
                                    $84,330
LVE/LoREX
                                      414
                                    $5,622
                                  $2,327,508
TERA
                                       2
                                    $5,622
                                    $11,244
Tier I
                                       1
                                    $5,622
                                    $5,622
Tier II
                                       4
                                    $5,622
                                    $22,488
Polymer
                                      119
                                    $5,622
                                   $669,018
R&D
                                      200
                                    $5,622
                                  $1,124,400
Film Articles
                                       1
                                    $5,622
                                    $5,622
Bona Fide[4]
                                      181
                                       -
                                       -
Section 5(e) Orders with Triggered Testing[4]
                                      66
                                       -
                                       -
Section 5(e) Orders with Potentially Useful Information/ 5(f) Orders with No Testing[4]
                                      45
                                       -
                                       -
NOC
                                      198
                                    $5,805
                                  $1,149,390
New CDX Registration[4]
                                     2,855
                                       -
                                       -
Risk Management[5]
                                       -
                                       -
                                  $4,847,933
Total
                                  $28,287,555
                                                                            [1]
Values derived from TSCA User Fees Technical Support Document (2018).
                                                                            [2]
Total Agency Cost per type of notice calculated as average cost per notice multiplied by average number of annual responses per type of notice.
                                                                            [3]
Average of annual responses of PMN/SNUN/MCAN based on historical activity and are expected to decline because fees were increased by the final rule titled Fees for the Administration of the Toxic Substances Control Act (2018) (83 Fed.Reg. 52694).
                                                                            [4]
Agency costs associated with review of Bona Fide notices, 5(e) orders, 5(f) orders, and new CDX registrations is included in the average cost per notice for PMNs, SNUNs, MCANs, Exemptions and NOCs, as well as in the total Agency cost associated with Risk Management activities.
                                                                            [5]
Includes costs associated with taking regulatory actions under TSCA sections 5(e), 5(f), or 5(g), as well as reviewing data submitted from consent orders.

Reasons for Change in Burden
This renewal reflects an increase in the total estimated respondent burden of 15,860 hours (from 118,555 hours to 134,415 hours) from that currently in the OMB inventory. This increase is driven by several changes.
First, the mix of the estimated number of each type of notice changed, based on the most recent EPA data available. While the net effect of these changes was that the number of notices decreased by 440, increases in the types of notices with a high associated unit burden (such as Section 5(e)/5(f) Order Test and Non-Testing Section 5(e)/5(f) Order) led to a net increase in burden.
Similarly, the estimated number of annual CDX registrants also increased (from 392 submissions to 2,855 submissions), reflecting the most recent EPA data available. This change results in increased burden of 1,626 hours.
This ICR also integrates corrections to rounding errors and recordkeeping unit burden estimates for PMNs, SNUNs, LVEs, and LoREXs.
This ICR removes 276 hours of rule familiarization attributed to the change request submitted for the 2015 amendment to the ePMN rule. (A
Table 9. Summary of the Change in Burden
Burden Change

Starting Burden
                                                                        118,555
Change due to Adjustments
                                                                        -11,529
Change in the annual number of notices
                                                                        -11,097
Change in the annual number of CDX registrants
                                                                          1,626
Change due to correcting rounding error in previous ICRs
                                                                           -547
Change resulting from corrections to recordkeeping burden estimates for PMNs, SNUNs, LVEs, and LoREXs
                                                                         -1,235
Elimination of "rule familiarization" IC from previous change request
                                                                           -276
Program changes
                                                                         27,389
Adding CBI Substantiation due to 2016 TSCA amendments
                                                                         27,389
Total
                                                                        134,415
Note: Totals may not be exact due to rounding
Burden Statement
The annual public burden for this collection of information, which is approved under OMB Control No. 2070-0012, is estimated to range between 16.97 hours and 525.85 hours per response (for NOCs and TERAs, respectively), depending upon the type of response. Burden is defined in 5 CFR 1320.3(b). An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. The OMB control number for this information collection appears above. The OMB control numbers for EPA's regulations in title 40 of the CFR, after appearing in the Federal Register, are listed in 40 CFR part 9 and included on the related collection instrument or form, if applicable.
The Agency has established a public docket for this ICR under Docket ID No. EPA-HQ-OPPT-2017-0645, which is available for online viewing at www.regulations.gov, or in-person viewing at the Office of Pollution Prevention and Toxics Docket in the EPA Docket Center (EPA/DC). The EPA/DC Public Reading Room is located in the West William Jefferson Clinton Bldg., Room 3334, 1301 Constitution Ave., N.W., Washington, DC. The EPA/DC Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays. The telephone number for the EPA/DC Public Reading Room is<PHONE_NUMBER>, and the telephone number for the Pollution Prevention and Toxics Docket is<PHONE_NUMBER>.
You may submit comments regarding the Agency's need for this information, the accuracy of the provided burden estimates, including the estimates involving the "Points to Consider" document and any suggested methods for minimizing respondent burden, including the use of automated collection techniques. Submit your comments, referencing Docket ID No. EPA-HQ- OPPT-2017-0645 and OMB Control No. 2070-0012, to both EPA and OMB as follows:
:: To EPA online using http://www.regulations.gov (our preferred method) or by mail to: EPA Docket Center, Environmental Protection Agency, Mail Code 28221T, 1200 Pennsylvania Ave., NW, Washington, DC 20460.
:: To OMB via email to<EMAIL_ADDRESS>Address comments to OMB Desk Officer for EPA.
EPA's policy is that all comments received will be included in the docket without change, including any personal information provided, unless the comment includes profanity, threats, information claimed to be Confidential Business Information (CBI), or other information whose disclosure is restricted by statute. Do not submit electronically any information you consider to be CBI or other information whose disclosure is restricted by statute.
ATTACHMENTS TO THIS SUPPORTING STATEMENT
Attachments to the supporting statement are available in the public docket established for this ICR under docket identification number EPA-HQ-OPPT-2017-0645. These attachments are available for online viewing at www.regulations.gov or otherwise accessed as described in section 6(f) of the supporting statement.
Attachment A:	15 U.S.C. Chapter 53, Section 2604 - Toxic Substances Control Act, as amended by Frank R. Lautenberg Chemical Safety for the 21[st] Century Act. Also available online at the U.S. House of Representatives' U.S. Code website

Attachment B:	40 CFR part 700 - General. Also available online at the National Archives and Records Administration's Electronic CFR website

Attachment C:	40 CFR part 720 - Premanufacture Notification. Also available online at the National Archives and Records Administration's Electronic CFR website

Attachment D:	40 CFR part 721 (excluding subpart E) - Significant New Uses of Chemical Substances. Also available online at the National Archives and Records Administration's Electronic CFR website

Attachment E:	40 CFR part 723 - Premanufacture Notification Exemptions. Also available online at the National Archives and Records Administration's Electronic CFR website

Attachment F: 	40 CFR part 725 - Reporting Requirements and Review Processes for Microorganisms. Also available online at the National Archives and Records Administration's Electronic CFR website

Attachment G:	EPA Form 7710-25 - Premanufacture Notice. Also available online at https://www.epa.gov/reviewing-new-chemicals-under-toxic-substances-control-act-tsca/sample-premanufacturehttps://www.epa.gov/reviewing-new-chemicals-under-toxic-substances-control-act-tsca/sample-premanufacture-notification

Attachment H:	Instruction Manual for Reporting under the TSCA Section §5 New Chemicals Program. Also available online at https://www.epa.gov/reviewing-new-chemicals-under-toxic-substances-control-act-tsca/instruction-manual-reporting-under

Attachment I:	EPA Form 7710-56 - Notice of Commencement of Manufacture or Import. Also available online at https://www.epa.gov/sites/production/files/2015-10/documents/noc_print_form070709.pdf  Also see:  https://www.epa.gov/reviewing-new-chemicals-under-toxic-substances-control-act-tsca/filing-pre-manufacture-notice-epa#tab-1

Attachment J:	Points to Consider When Preparing TSCA New Chemical Notifications.  Also available online at: https://www.epa.gov/reviewing-new-chemicals-under-toxic-substances-control-act-tsca/points-consider-when-preparing-tsca

Attachment K:	Comment from Christina Silvon.  Also available online at: https://www.regulations.gov/document?D=EPA-HQ-OPPT-2017-0645-0012

Attachment L:	Comment from American Chemistry Council.  Also available online at: https://www.regulations.gov/document?D=EPA-HQ-OPPT-2017-0645-0013

Attachment M:	Response to Comments Memorandum

Attachment N:	Consultation Email to Potential Respondents