[Federal Register: June 15, 2006 (Volume 71, Number 115)]
[Notices]
[Page 34648-34651]
[DOCID:fr15jn06-64]

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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-53949; File No. SR-CHX-2006-04]

Self-Regulatory Organizations; Chicago Stock Exchange, Inc.;
Notice of Filing of a Proposed Rule Change and Amendment Nos. 1 and 2
Thereto Relating to the Transfer of Securities Among Co-Specialists
Within a Specialist Firm

June 6, 2006.
    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 8, 2006, the Chicago Stock Exchange, Inc. (``CHX'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I, II
and III below, which Items have been prepared by the CHX. On May 3,
2006, CHX filed Amendment No. 1 to the proposed rule change.\3\ On May
22, 2006, CHX filed Amendment No. 2 to the proposed rule change.\4\ The
Commission is publishing this notice to solicit comments on the
proposed rule change, as amended, from interested parties.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ In Amendment No. 1, the Exchange revised the rule text of
the proposed rule change to clarify the application of the proposal
to intrafirm transfers and revised the purpose section to discuss
the proposed provision requiring the specialist unit to accurately
represent its plans in the specialist application regarding
designating a particular co-specialist to trade a security.
    \4\ In Amendment No. 2, the Exchange revised the rule text of
the proposed rule change to clarify the impact of a intrafirm
transfer on the deregistration and registration of individual co-
specialists within a specialist firm and made non-substantive
changes to the proposed rule text. The proposed rule text set forth
in Amendment No. 2 superceded and replaced the rule text set forth
in the initial filing and Amendment No. 1 in its entirety.
---------------------------------------------------------------------------

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

    The CHX proposes to amend its rules to permit the transfer of
securities to different co-specialists within a specialist firm. Below
is the text of the proposed rule change, as amended. Proposed new
language is in italics; \5\ proposed deletions are in [brackets].
---------------------------------------------------------------------------

    \5\ The Exchange inadvertently failed to designate the phrase
``as either a specialist or co-specialist'' in the first paragraph
of CHX Rule 1 as proposed new text. For clarity, the new text has
been underlined herein. The Exchange has committed to file an
amendment reflecting the fact that this phrase is new text prior to
Commission approval of the proposed rule change.
---------------------------------------------------------------------------

ARTICLE XXX

Specialists

Registration and Appointment

    RULE 1. No Participant shall act as a specialist or co-specialist
on the Exchange in any security unless registered as such in the
particular security. Except for the intrafirm transfers of registration
permitted by Section I.2 of Interpretation and Policy .01 of this Rule,
[R]registration as either a specialist or co-specialist shall be
subject to the approval of the Exchange.
* * * * *
    An applicant for initial registration as a co-specialist shall, or
as otherwise may be determined by the Committee on Specialist
Assignment and Evaluation be required to serve for a period of six
months in the capacity of relief specialist under continuous
supervision of a registered co-specialist. No application for co-
specialist in a particular issue will be considered by the Committee on
Specialist Assignment and Evaluation (and no intrafirm transfer
permitted by Section I.2 of Interpretation and Policy .01 of this Rule
may be made) prior to the time that the individual has satisfied these
training requirements.
* * * * *
    Unless required by [Subject to] the provisions of Article XXX, Rule
8 or when permitted by Section I.2 of Interpretation and Policy .01 of
this Rule, a specialist, co-specialist or relief specialist shall not
relinquish their positions until permission to do so is received from
the Committee on Specialist Assignment and Evaluation.
    * * * Interpretations and Policies:
.01 COMMITTEE ON SPECIALIST ASSIGNMENT AND EVALUATION
ASSIGNMENT FUNCTION
I. EVENTS LEADING TO ASSIGNMENT PROCEEDINGS
* * * * *
    1. No change.
    2. Specialist Request. Any specialist unit and co-specialist may
ask to be deregistered in one or more of its assigned securities, and
the Committee on Specialist Assignment and Evaluation (the Committee)
will hear all such requests. The Committee will initiate a reassignment
proceeding if it believes that such action is called for. The Committee
may initiate a reassignment proceeding on the basis that if the merits
of the request are not established the security must be retained by the
registered specialist if no other unit appears to be able to make a
better market or if no other unit applies.
* * * * *
    Exception, Intrafirm transfers that meet the criteria below do not
require the submission of an application or the approval of the
Committee and will not result in a proceeding by the Committee to
reassign the security to another co-specialist or specialist firm.
    Because a specialist unit is responsible both financially and as a
regulatory matter for the activities of its co-specialists, a
specialist unit might, from time to time, determine that the
responsibility for trading one or more securities should be transferred
from one co-specialist to another within the same specialist unit.
Without seeking prior Committee approval, a specialist unit may
transfer the responsibility for trading securities among the co-
specialists associated with its firm, so long as (1) the specialist
unit immediately notifies the Exchange, in the manner required by the
Exchange, of each such transfer; and (2) when such a transfer is made
within six months of an initial assignment of the security to the
specialist unit, the specialist unit must inform the Exchange, in
writing, of its reasons for making the change. Each such transfer by
the specialist unit

effectively deregisters a co-specialist in the securities that the co-
specialist no longer trades and registers another co-specialist in any
newly-assigned securities.
    [Without limiting the foregoing, the Committee will generally
approve a co-specialist's request for deregistration in any security
for the purpose of having the security assigned to another co-
specialist in the same specialist unit only under the following
conditions:]
    [(a) For any security awarded to such co-specialist in competition,
a period of at least two years must have elapsed from the date of the
original assignment. Alternatively, if the specialist unit agrees to
have the security posted, a period of at least one year (but less than
two years) must have elapsed from the date of the original assignment.]
    [(b) For any security awarded to such co-specialist without
competition, no minimum time period is required.]
    3. No change.
    4. Split-Up and/or Merger of Specialist Units.
    (a) No change.
    (b) When a security is to be assigned or reassigned, specialists,
not co-specialists, apply for registration. Article XXX, Rule 1.01.II.
In applying for registration in a particular stock, however, a
specialist must indicate the individual co-specialist who will trade
the stock. Article XXX, Rule 1.01.III. Therefore, although the
Committee assigns a stock to a specialist unit, not to the co-
specialist, and the specialist is responsible both financially and as a
regulatory matter for the activities of its co-specialists, it is the
trading activities of the co-specialist that are the basis for the
Committee's evaluations. Thus, a specialist and co-specialist are
jointly responsible for each assignment and, with the exception of an
intrafirm transfer permitted by Section I.2 of Interpretation and
Policy .01 of this Rule, a withdrawal of either party may require a new
posting if circumstances warrant.
    (c) Because the specialist is financially responsible for the
activities of its co-specialists, a co-specialist may act as such only
with the concurrence of the specialist. If, at any time, a specialist
no longer wants a co-specialist to trade for it, the specialist--
subject to the Committee's approval--may terminate the relationship.
Similarly, a co-specialist--again subject to the Committee's approval--
may terminate his relationship with a specialist. With the exception of
an intrafirm transfer permitted by Section I.2 of Interpretation and
Policy .01 of this Rule, either of the decisions described above are
subject tot he Committee's approval. When the Committee assesses a
situation involving the split-up or merger of specialist units, [Among
the factors] the Committee may consider a number of factors, including
[are]:
    1. Co-specialist performance.
    2. Specialist capital generally.
    3. Specialist capital made available to the particular co-
specialist.
    4. Length of association between specialist and co-specialist.
    5. Length of time that the co-specialist has traded the security.
    6[5]. Whether the co-specialist has a proprietary interest in the
trading profits or losses derived from the stock.
    7[6]. Whether the specialist or co-specialist wishes to continue
trading the security.
    8[7]. Performance of the proposed new co-specialist.
    9[8]. Financial capacity of the co-specialist's new specialist
unit.
    Based on its consideration of these and any other relevant factors,
the Committee will decide whether to (i) leave a security with the
specialist, (ii) permit the co-specialist to take the security with
him, or (iii) require a new posting. In the event of a posting, the
existing specialist or co-specialist will be permitted to reapply for
the stock. A decision to permit the specialist or co-specialist to
retain the security may be made conditionally based on the performance
of the new co-specialist or specialist.
    As noted above, intrafirm transfers that meet the criteria set out
in Section I.2 of Interpretation and Policy .01 of this Rule do not
require the approval of the Committee and will not result in a
proceeding by the Committee to reassign the security to another co-
specialist or specialist firm.
    5.-8. No change.

II. ASSIGNMENT PROCEDURES

* * * * *
    The assignment procedures set out in this Section II do not apply
to the intrafirm transfers permitted by Section I.2 of Interpretation
and Policy .01 of this Rule. Intrafirm transfers that meet the criteria
set out in Section I.2 of Interpretation and Policy .01 of this Rule do
not require the submission of an application or the approval of the
Committee.
    In assigning specialists, co-specialists, relief specialists and
odd-lot dealers, the Committee may act through a Subcommittee of not
less than three of its members, at least one of whom shall not be
affiliated with a broker/dealer. Where emergency circumstances require
the expedited assignments of one or more specialists, co-specialists,
relief specialists or odd-lot dealers, and a Subcommittee is unable to
be convened, the chairman, or a member of the Committee designated by
the chairman, may make such temporary assignment as he deems necessary,
pending a final determination by a Subcommittee or the full Committee.
Any proposal or agreement between or among specialists, co-specialists,
relief specialists or odd-lot dealers, to exchange existing
assignments, shall be submitted in writing to the Subcommittee for its
consideration and, if not disapproved by the Subcommittee within 30
days of the date of submission, shall become effective as written.
    1. Applications. In applying, a specialist unit should state the
reasons why it believes the stock should be assigned to it. A standard
application form is available from the Exchange and should be used for
this purpose. Except as otherwise provided in paragraph 6, below, the
application must, at a minimum, include the name and background of the
co-specialist who will normally be trading the security and his ability
and experience relative to the issue being applied for. It is important
that the application accurately represent the specialist unit's plans
as to the co-specialist who will trade the security. Also, if any
special or unique characteristics of the security have been identified
by the Committee, such as unusually high capital requirements or
institutional participation making trading difficult, the applicant
should specifically note and comment on its ability to deal with the
special characteristics.
* * * * *
III. GUIDELINES FOR ASSIGNMENT OF ISSUES TO CO-SPECIALISTS

    The guidelines set out in this Section III apply to the assignment
of securities by the Committee. These guidelines do not apply to the
intrafirm transfers permitted by Section I.2 of Interpretation and
Policy .01 of this Rule. Intrafirm transfers that meet the criteria set
out in Section I.2 of Interpretation and Policy .01 of this Rule do not
require the submission of an application or the approval of the
Committee.
* * * * *
    3. Because the Committee considers the demonstrated ability and
experience of the co-specialist designated by the specialist unit when
applying for the assignment of a security, it is important that the
specialist unit accurately represent its plans for having that
particular co-specialist trade the

security. A specialist unit must not designate a co-specialist with
relatively strong demonstrated ability and experience when applying for
a security and then immediately transfer the security to a co-
specialist with less demonstrated ability and experience without good
cause for making the change.
* * * * *

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 CHX included statements
concerning the purpose of, and basis for, the proposed rule change, as
amended, and discussed any comments it received regarding the proposal,
as amended. The text of these statements may be examined at the places
specified in Item IV below. The CHX 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
    Under the Exchange's current rules relating to the assignment of
securities to specialist firms, the Committee on Specialist Assignment
and Evaluation (``CSAE'') assigns each security to a specialist firm
and this firm is responsible both financially and as a regulatory
matter for the trading of the security.\6\ At the same time, however,
when a specialist firm applies to trade a security, it must identify
the co-specialist that will trade the security and the CSAE will review
the co-specialist's trading performance in making its assignment
decision.\7\ As an overall matter, the specialist firm and the
individual co-specialist are jointly responsible for each assigned
security and the decision by either the firm or the individual trader
to deregister in a security could result in the posting of the security
for re-assignment.\8\
---------------------------------------------------------------------------

    \6\ See Article XXX, Rule 1, Interpretation and Policy .01,
Section II, Introductory paragraphs; and Section I.4.
    \7\ See Article XXX, Rule 1, Interpretation and Policy .01,
Sections II and III.
    \8\ See Article XXX, Rule 1, Interpretation and Policy .01,
Section I.4. Telephone conversation between Ellen Neely, President
and General Counsel, CHX and David Michehl, Special Counsel,
Division of Market Regulation, Commission on May 26, 2006.
---------------------------------------------------------------------------

    Several specialist firms have expressed interest in being able to
transfer assigned securities among co-specialists within each firm.
These types of transfers might be used, for example, when a particular
security becomes more active than originally envisioned and could be
better handled by a more experienced trader. Under the existing rules
relating to the assignment of securities, however, intrafirm transfers
are not particularly favored. In fact, the Exchange's rules typically
require the co-specialist to whom a security was assigned in
competition to keep the assigned stock for a period of two years.\9\
---------------------------------------------------------------------------

    \9\ See Article XXX, Rule 1, Interpretation and Policy .01,
Section I.2. Securities assigned without competition may be
transferred without a waiting period, but these transfers must be
approved by the CSAE.
---------------------------------------------------------------------------

    Through this submission, the Exchange seeks to amend its rules to
permit the transfer of securities among co-specialists within a firm,
without seeking prior Committee approval, so long as: (1) The
specialist unit immediately notifies the Exchange of such transfer; and
(2) when such a transfer is made within six months of an initial
assignment of the security to the specialist unit, the specialist unit
provides written notification to the Exchange of the transfer decision
and of its reasons for making the change.\10\ Each intrafirm transfer
by the specialist unit effectively deregisters a co-specialist in the
securities that the co-specialist no longer trades and registers
another co-specialist in any newly-assigned securities.\11\ The
Exchange believes that these changes will permit a specialist firm to
have an appropriate amount of flexibility to respond to a variety of
issues, including changes in the volatility of a particular security
and the co-specialist's ability to trade assigned securities.\12\
---------------------------------------------------------------------------

    \10\ See supra note 4.
    \11\ Id.
    \12\ The Exchange represents that these proposed rules are
similar to provisions that are in place at the New York Stock
Exchange. See NYSE Rule 103B, Section IV.
---------------------------------------------------------------------------

    Under the Exchange's existing rules, when the CSAE makes a decision
to assign a particular security, the CSAE considers the qualifications
of the specialist unit and the co-specialist's demonstrated ability and
experience. Because the CSAE bases its decision, in part, on a co-
specialist 's qualifications, it is important that a specialist firm
accurately represent i ts plans for having a particular co-specialist
trade a security. A specialist unit must not designate a co-specialist
with relatively strong demonstrated ability and experience when
applying for a security and then immediately transfer the security to a
co-specialist with less demonstrated ability and experience without
good cause for making the change.
2. Statutory Basis
    The Exchange believes that the proposed rule change, as amended, is
consistent with Section 6(b)(5) of the Act \13\ in that it would
promote just and equitable principles of trade, remove impediments to,
and perfect the mechanism of, a free and open market and a national
market system, and, in general, protect investors and the public
interest by permitting specialist firms to respond to various issues
that may arise by transferring securities among co-specialists within
the firm.
---------------------------------------------------------------------------

    \13\ 15 U.S.C. 78f(b)(4).
---------------------------------------------------------------------------

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

    The Exchange does not believe that the proposed rule change, as
amended, will impose any burden on competition.

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

    No written comments were solicited or received.

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

    Within 35 days of the date of publication of this notice in the
Federal Register or within such longer period (i) as the Commission may
designate up to 90 days of such date if it finds such longer period to
be appropriate and publishes its reasons for so finding or (ii) as to
which the self-regulatory organization consents, the Commission will:
    A. By order approve such proposed rule change, as amended; or
    B. Institute proceedings to determine whether the proposed rule
change, as amended, should be 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, as amended, 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-CHX-2006-04 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-CHX-2006-04. 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 tot he 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 the CHX. 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-CHX-2006-04 and should be submitted on or before July 6,
2006.

    For the Commission, by the Division of Market Regulation,
pursuant to delegated authority.\14\
---------------------------------------------------------------------------

    \14\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

J. Lynn Taylor,
Assistant Secretary.
[FR Doc. 06-5417 Filed 6-14-05; 8:45 am]

BILLING CODE 8010-01-M


[Federal Register Volume 78, Number 75 (Thursday, April 18, 2013)]
[Notices]
[Page 23244]
[FR Doc No: 2013-09100]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings

    Take notice that the Commission has received the following Natural
Gas Pipeline Rate and Refund Report filings:

Filings Instituting Proceedings

    Docket Numbers: RP13-584-000.
    Applicants: Columbia Gas Transmission, LLC.
    Description: Settlement Refund Report--RP12-1021 & RP13-584.
    Filed Date: 4/10/13.
    Accession Number: 20130410-5105.
    Comments Due: 5 p.m. ET 4/22/13.

    Docket Numbers: RP13-789-000.
    Applicants: Gulf South Pipeline Company, LP.
    Description: Gulf South Pipeline Company, LP submits tariff filing
per 154.204: Amendment to Neg Rate Agmt (Devon 34694-48) to be
effective 4/9/2013.
    Filed Date: 4/9/13.
    Accession Number: 20130409-5095.
    Comments Due: 5 p.m. ET 4/22/13.

    Docket Numbers: RP13-790-000.
    Applicants: Iroquois Gas Transmission System, L.P.
    Description: 04/10/13 Negotiated Rates--Sequent Energy Management
(HUB) 3075-89 to be effective 4/15/2013.
    Filed Date: 4/10/13.
    Accession Number: 20130410-5090.
    Comments Due: 5 p.m. ET 4/22/13.

    Docket Numbers: RP13-791-000.
    Applicants: Equitrans, L.P.
    Description: Compliance Filing--2013 Settlement to be effective 4/
1/2013.
    Filed Date: 4/10/13.
    Accession Number: 20130410-5111.
    Comments Due: 5 p.m. ET 4/22/13.

    Any person desiring to intervene or protest in any of the above
proceedings must file in accordance with Rules 211 and 214 of the
Commission's Regulations (18 CFR 385.211 and 385.214) on or before 5:00
p.m. Eastern time on the specified comment date. Protests may be
considered, but intervention is necessary to become a party to the
proceeding.
    The filings are accessible in the Commission's eLibrary system by
clicking on the links or querying the docket number.
    eFiling is encouraged. More detailed information relating to filing
requirements, interventions, protests, and service can be found at:
http://www.ferc.gov/docs-filing/efiling/filing-req.pdf. For other
information, call<PHONE_NUMBER> (toll free). For TTY, call (202) 502-
8659.

    Dated: April 11, 2013.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2013-09100 Filed 4-17-13; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 83, Number 100 (Wednesday, May 23, 2018)]
[Rules and Regulations]
[Pages 23788-23791]
[FR Doc No: 2018-11133]

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

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2018-0447; Product Identifier 2018-NM-080-AD; Amendment
39-19290; AD 2018-11-02]
RIN 2120-AA64

Airworthiness Directives; Lockheed Martin Corporation/Lockheed
Martin Aeronautics Company

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule; request for comments.

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

SUMMARY: We are adopting a new airworthiness directive (AD) for all
Lockheed Martin Corporation/Lockheed Martin Aeronautics Company Model
188A and 188C airplanes; and Model P3A, P-3A, and P3B airplanes type
certificated under various other type certificate holders. Certain
variants of Model 188A and 188C airplanes are known as ``P-3'' series
airplanes. P-3 series airplanes include but are not limited to Model
CP-140, NP-3A, P3A, P-3A, P3B, P-3B, P-3C, P-3P, and WP-3D airplanes.
This AD requires a borescope inspection of the aileron

control rod assembly to determine if threads exist on the aileron
control rod body, and corrective actions if necessary. This AD was
prompted by a report indicating that certain aileron control rod bodies
were incorrectly machined so that they did not include the load-
carrying threads in the bore of the aileron control rod body. As a
result, aileron control rod assemblies, which contain the discrepant
part, do not provide adequate load carrying capabilities. We are
issuing this AD to address the unsafe condition on these products.

DATES: This AD is effective May 23, 2018.
    The Director of the Federal Register approved the incorporation by
reference of a certain publication listed in this AD as of May 23,
2018.
    We must receive comments on this AD by July 9, 2018.

ADDRESSES: You may send comments, using the procedures found in 14 CFR
11.43 and 11.45, by any of the following methods:
     Federal eRulemaking Portal: Go to http://www.regulations.gov. Follow the instructions for submitting comments.
     Fax:<PHONE_NUMBER>.
     Mail: U.S. Department of Transportation, Docket
Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue SE, Washington, DC 20590.
     Hand Delivery: Deliver to Mail address above between 9
a.m. and 5 p.m., Monday through Friday, except Federal holidays.
    For service information identified in this final rule, contact
Lockheed Martin Corporation/Lockheed Martin Aeronautics Company,
Customer Support Center, Dept. 3E1M, Zone 0591, 86 S Cobb Drive,
Marietta, GA 30063; telephone<PHONE_NUMBER>; email
[email protected]; internet https://www.lockheedmartin.com/en-us/who-we-are/business-areas/aeronautics/mmro/customer-support-center.html. You may view this service information at the FAA,
Transport Standards Branch, 2200 South 216th St., Des Moines, WA. For
information on the availability of this material at the FAA, call 206-
231-3195. It is also available on the internet at http://www.regulations.gov by searching for and locating Docket No. FAA-2018-
0447.

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-2018-
0447; or in person at Docket Operations between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal holidays. The AD docket contains
this final rule, the regulatory evaluation, any comments received, and
other information. The street address for Docket Operations (phone:
800-647-5527) is in the ADDRESSES section. Comments will be available
in the AD docket shortly after receipt.

FOR FURTHER INFORMATION CONTACT: Hector Hernandez, Aerospace Engineer,
Systems and Equipment Section, FAA, Atlanta ACO Branch, 1701 Columbia
Avenue, College Park, GA 30337; phone:<PHONE_NUMBER>; fax:<PHONE_NUMBER>;
email: [email protected].

SUPPLEMENTARY INFORMATION:

Discussion

    We have received a report indicating that certain aileron control
rod bodies, part number (P/N) 826999-3, were incorrectly machined so
that they did not include the load-carrying threads in the bore of the
aileron control rod body. As a result, aileron control rod assemblies,
P/N 826998-3, which contain the discrepant part, do not provide
adequate load carrying capabilities. A number of these discrepant parts
have been found installed on operational airplanes.
    The discrepant aileron control rod bodies, P/N 826999-3, were
machined with a smooth internal bore rather than with \7/8\-inch
internal threads to engage the mating part. The missing \7/8\-inch
internal threads are intended to transmit the aileron control loads.
The incorrectly machined aileron control rod assemblies, P/N 826998-3,
are held together with a single threaded #10 (0.190-inch diameter)
screw that is not intended to carry aileron control forces.
    Failure of the aileron control rod assembly, or loss or failure of
the #10 (0.190-inch diameter) screw holding the left (or right) aileron
control rod assembly together, if not addressed, will result in loss of
aileron authority, and could result in the jamming of both left and
right ailerons, and loss of control of the airplane.

Related Service Information Under 1 CFR Part 51

    We reviewed Lockheed Martin Aeronautics Company Aircraft
Maintenance Bulletin M0017R2, Revision 2, dated May 10, 2018. This
service information describes procedures for a borescope inspection of
the aileron control rod assembly to determine if threads exist on the
aileron control rod body. 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.

FAA's Determination

    We are issuing this AD because we evaluated all the relevant
information and determined the unsafe condition described previously is
likely to exist or develop in other products of the same type design.

AD Requirements

    This AD requires accomplishing the actions specified in the service
information described previously, and replacement of the aileron
control rod assembly with a serviceable assembly.

Difference Between Service Information and AD

    Lockheed Martin Aeronautics Company Aircraft Maintenance Bulletin
M0017R2, Revision 2, dated May 10, 2018, recommends that the inspection
be performed before the next flight. This AD, however, allows 3 days
after the effective date of the AD to do this inspection. We have
determined that 3 days will allow affected operators time for an
orderly inspection of their fleet and still provide an acceptable level
of safety.

FAA's Justification and Determination of the Effective Date

    An unsafe condition exists that requires the immediate adoption of
this AD without providing an opportunity for public comments prior to
adoption. The FAA has found that the risk to the flying public
justifies waiving notice and comment prior to adoption of this rule
because failure of the aileron control rod assembly, or loss or failure
of the #10 (0.190-inch diameter) screw holding the left (or right)
aileron control rod assembly together, will result in loss of aileron
authority, and could result in the jamming of both left and right
ailerons, and loss of control of the airplane. Therefore, we find good
cause that notice and opportunity for prior public comment are
impracticable. In addition, for the reasons stated above, we find that
good cause exists for making this amendment effective in less than 30
days.

Comments Invited

    This AD is a final rule that involves requirements affecting flight
safety and was not preceded by notice and an opportunity for public
comment. However, we invite you to send any written data, views, or
arguments about this final rule. Send your comments to an address
listed under the ADDRESSES section. Include the docket number

FAA-2018-0447 and Product Identifier 2018-NM-080-AD at the beginning of
your comments. We specifically invite comments on the overall
regulatory, economic, environmental, and energy aspects of this final
rule. We will consider all comments received by the closing date and
may amend this final rule because of those comments.
    We will post all comments we receive, without change, to http://www.regulations.gov, including any personal information you provide. We
will also post a report summarizing each substantive verbal contact we
receive about this final rule.

Costs of Compliance

    We estimate that this AD affects 25 airplanes of U.S. registry. We
estimate the following costs to comply with this AD:

                                                 Estimated Costs
----------------------------------------------------------------------------------------------------------------
                                                                                Cost per      Cost on U.S.
                Action                         Labor cost           Parts cost        product        operators
----------------------------------------------------------------------------------------------------------------
Inspection............................  4 work-hours x $85 per                $0            $340          $8,500
                                         hour = $340.
----------------------------------------------------------------------------------------------------------------

    We estimate the following costs to replace any aileron control rod
assembly that would be required based on the results of the inspection.
We have no way of determining the number of aircraft that might need
this replacement:

                                               On-Condition Costs
----------------------------------------------------------------------------------------------------------------
                                                                                Cost per
                    Action                                 Labor cost               Parts cost        product
----------------------------------------------------------------------------------------------------------------
Replacement...................................  9 work-hours x $85 per hour =             $1,600          $2,365
                                                 $765.
----------------------------------------------------------------------------------------------------------------

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.
    This AD is issued in accordance with authority delegated by the
Executive Director, Aircraft Certification Service, as authorized by
FAA Order 8000.51C. In accordance with that order, issuance of ADs is
normally a function of the Compliance and Airworthiness Division, but
during this transition period, the Executive Director has delegated the
authority to issue ADs applicable to transport category airplanes and
associated appliances to the Director of the System Oversight Division.

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):

2018-11-02 Lockheed Martin Corporation/Lockheed Martin Aeronautics
Company and various other type certificate holders: Amendment 39-
19290; Docket No. FAA-2018-0447; Product Identifier 2018-NM-080-AD.

(a) Effective Date

    This AD is effective May 23, 2018.

(b) Affected ADs

    None.

(c) Applicability

    This AD applies to all Lockheed Martin Corporation/Lockheed
Martin Aeronautics Company Model 188A and 188C airplanes; and Model
P3A, P-3A, and P3B airplanes type certificated under various other
type certificate holders; certificated in any category.

    Note 1 to paragraph (c) of this AD: Certain variants of Model
188A and 188C airplanes are known as ``P-3'' series airplanes. P-3
series airplanes include but are not limited to Model CP-140, NP-3A,
P3A, P-3A, P3B, P-3B, P-3C, P-3P, and WP-3D airplanes.

(d) Subject

    Air Transport Association (ATA) of America Code 27, Flight
controls.

(e) Unsafe Condition

    This AD was prompted by a report indicating that certain aileron
control rod bodies, part number (P/N) 826999-3, were incorrectly
machined so that they did not include the load-carrying threads in
the bore

of the aileron control rod body. As a result, aileron control rod
assemblies, P/N 826998-3, which contain the discrepant part, do not
provide adequate load carrying capabilities. We are issuing this AD
to address failure of the aileron control rod assembly, or loss or
failure of the #10 (0.190-inch diameter) screw holding the left (or
right) aileron control rod assembly together, which will result in
loss of aileron authority, and could result in the jamming of both
left and right ailerons, and loss of control of the airplane.

(f) Compliance

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

(g) Inspection

    Within 3 days after the effective date of this AD, perform a
borescope inspection of the aileron control rod assembly, P/N
826998-3, to determine if threads exist on the aileron control rod
body, P/N 826999-3, in accordance with Lockheed Martin Aeronautics
Company Aircraft Maintenance Bulletin M0017R2, Revision 2, dated May
10, 2018. If the inspection indicates missing threads on the aileron
control rod body, before further flight, replace the aileron control
rod assembly with a serviceable part. A serviceable aileron control
rod assembly is one that has been inspected in accordance with the
requirements of this paragraph and found to have internal threads on
the aileron control rod body.

    Note 2 to paragraph (g) of this AD: Guidance on replacing the
aileron control rod assembly can be found in Lockheed Martin
Aircraft Maintenance Manual Sections 27-2-2 AILERON PRIMARY CONTROL
CABLES, Maintenance Practices, Rigging of Aileron Primary Control
Cable System; 27-2-3 AILERON PUSH-PULL TUBES, BRACKETS AND
BELLCRANKS, Maintenance Practices, Aileron Push-Pull Tubes, Brackets
and Bellcranks, Remove/Replace/Adjust/Rig; and 27-2-4 AILERON,
Maintenance Practices, Removal/Installation/Adjustment/Lubrication
aileron.

(h) Parts Installation Limitation

    As of the effective date of this AD, no person may install an
aileron control rod assembly, P/N 826998-3, on any airplane, unless
the aileron control rod assembly is serviceable as defined in
paragraph (g) of this AD.

(i) Reporting Provisions

    Although Lockheed Martin Aeronautics Company Aircraft
Maintenance Bulletin M0017R2, Revision 2, dated May 10, 2018,
recommends that inspection reports be submitted to Lockheed, this AD
does not require that action.

(j) Special Flight Permit

    Special flight permits, as described in Section 21.197 and
Section 21.199 of the Federal Aviation Regulations (14 CFR 21.197
and 21.199), are not allowed.

(k) Alternative Methods of Compliance (AMOCs)

    (1) The Manager, Atlanta ACO Branch, 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
manager of the certification office, send it to the attention of the
person identified in paragraph (l) of this AD.
    (2) 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.

(l) Related Information

    For more information about this AD, contact Hector Hernandez,
Aerospace Engineer, Systems and Equipment Section, FAA, Atlanta ACO
Branch, 1701 Columbia Avenue, College Park, GA 30337; phone: 404-
474-5587; fax:<PHONE_NUMBER>; email: [email protected].

(m) 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 the AD specifies otherwise.
    (i) Lockheed Martin Aeronautics Company Aircraft Maintenance
Bulletin M0017R2, Revision 2, dated May 10, 2018 (only the first
page contains the date).
    (ii) Reserved.
    (3) For service information identified in this AD, contact
Lockheed Martin Corporation/Lockheed Martin Aeronautics Company,
Customer Support Center, Dept. 3E1M, Zone 0591, 86 S Cobb Drive,
Marietta, GA 30063; telephone<PHONE_NUMBER>; email
[email protected]; internet https://www.lockheedmartin.com/en-us/who-we-are/business-areas/aeronautics/mmro/customer-support-center.html.
    (4) You may view this service information at the FAA, Transport
Standards Branch, 2200 South 216th St., Des Moines, WA. For
information on the availability of this material at the FAA, call
206-231-3195.
    (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 Des Moines, Washington, on May 17, 2018.
Jeffrey E. Duven,
Director, System Oversight Division, Aircraft Certification Service.
[FR Doc. 2018-11133 Filed 5-22-18; 8:45 am]
 BILLING CODE 4910-13-P


[Federal Register Volume 76, Number 210 (Monday, October 31, 2011)]
[Notices]
[Page 67172]
[FR Doc No: 2011-28101]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project Nos. 14167-000, 14185-000 and 14196-000]

Riverbank Hydro No. 16 LLC, Lock Hydro Friends Fund IV, FFP
Project 55 LLC; Notice of Competing Preliminary Permit Applications
Accepted for Filing and Soliciting Comments, Motions To Intervene, and
Competing Applications

    On May 2, 2011, Riverbank Hydro No. 16 LLC (Riverbank), and on May
3, 2011, Lock Hydro Friends Fund IV (Lock Hydro), and FFP Project 55
LLC (FFP 55) filed preliminary permit applications, pursuant to section
4(f) of the Federal Power Act, proposing to study the feasibility of a
hydropower project at the U.S. Army Corps of Engineers' (Corps)
Kentucky River Lock & Dam No. 2, located on the Kentucky River, in
Henry and Owen Counties, Kentucky. The sole purpose of a preliminary
permit, if issued, is to grant the permit holder priority to file a
license application during the permit term. A preliminary permit does
not authorize the permit holder to perform any land-disturbing
activities or otherwise enter upon lands or waters owned by others
without the owners' express permission.
    Riverbank's Project No. 14167-000 would consist of: (1) A forebay;
(2) an intake structure; (3) a powerhouse containing one generating
unit with a total capacity of 9.4 megawatts (MW); (4) a tailrace
structure; and (5) a 2.7-mile-long, 25 kilo-volt (kV) transmission
line. The project would have an estimated average annual generation of
31.0 gigawatt-hours (GWh), and operate run-of-river utilizing surplus
water from the Kentucky River Lock & Dam No. 2, as directed by the
Corps.
    Applicant Contact: Mr. Kuo-Bao Tong, Riverbank Power Corporation,
Royal Bank Plaza, South Tower, P.O. Box 166, 200 Bay Street, Suite
3230, Toronto, ON, Canada M5J2J4.<PHONE_NUMBER> x 154.
    Lock Hydro's Project No. 14185-000 would consist of: (1) One lock
frame modules, the frame module will be 45-feet long, 20-feet-high and
contain four generating units with a total combined capacity of 3.0 MW;
(2) a new switchyard containing a transformer; and (3) a proposed 3.0-
mile-long, 115 kV transmission line to an existing distribution line.
The proposed project would have an average annual generation of 13.149
GWh, and operate run-of-river utilizing surplus water from the Kentucky
River Lock & Dam No. 2, as directed by the Corps.
    Applicant Contact: Mr. Wayne F. Krouse, Hydro Green Energy, 5090
Richmond Avenue 390, Houston, TX 77056.<PHONE_NUMBER> x 709.
    FFP 55's Project No. 14196-000 would consist of: (1) An 170-foot-
long, 130-foot-wide approach channel; (2) a powerhouse, located on the
southeastern side of the dam, containing two generating units with a
total capacity of 6.6 MW; (3) a 275-foot-long, 130-foot-wide tailrace;
(4) a 4.16/25 KV substation; and (5) a 3.0-mile-long, 25 kV
transmission line. The proposed project would have an average annual
generation of 26.4 GWh, and operate run-of-river utilizing surplus
water from the Kentucky River Lock & Dam No. 2, as directed by the
Corps.
    Applicant Contact: Ms. Ramya Swaminathan, Free Flow Power Corp.,
239 Causeway Street, Suite 300, Boston, MA 02114.<PHONE_NUMBER>.
    FERC Contact: Michael Spencer<EMAIL_ADDRESS>(202) 502-
6093.
    Deadline for filing comments, motions to intervene, competing
applications (without notices of intent), or notices of intent to file
competing applications: 60 days from the issuance of this notice.
Competing applications and notices of intent must meet the requirements
of 18 CFR 4.36. Comments, motions to intervene, notices of intent, and
competing applications may be filed electronically via the Internet.
See 18 CFR 385.2001(a)(1)(iii) and the instructions on the Commission's
Web site http://www.ferc.gov/docs-filing/efiling.asp. Commenters can
submit brief comments up to 6,000 characters, without prior
registration, using the eComment system at http://www.ferc.gov/docs-filing/ecomment.asp. You must include your name and contact information
at the end of your comments. For assistance, please contact FERC Online
Support. Although the Commission strongly encourages electronic filing,
documents may also be paper-filed. To paper-file, mail an original and
seven copies to: Kimberly D. Bose, Secretary, Federal Energy Regulatory
Commission, 888 First Street NE., Washington, DC 20426.
    More information about this project, including a copy of the
application, can be viewed or printed on the ``eLibrary'' link of the
Commission's Web site at http://www.ferc.gov/docs-filing/elibrary.asp.
Enter the docket number (P-14167-000, P-14185-000, or P-14196-000) in
the docket number field to access the document. For assistance, contact
FERC Online Support.

    Dated: October 25, 2011.
Kimberly D. Bose,
Secretary.
[FR Doc. 2011-28101 Filed 10-28-11; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 83, Number 73 (Monday, April 16, 2018)]
[Notices]
[Pages 16369-16370]
[FR Doc No: 2018-07836]

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

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2018-D-1189]

Highly Concentrated Caffeine in Dietary Supplements; Guidance for
Industry; Availability

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice of availability.

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

SUMMARY: The Food and Drug Administration (FDA or we) is announcing the
availability of a guidance for industry, ``Highly Concentrated Caffeine
in Dietary Supplements.'' FDA considers some dietary supplements that
consist of only or primarily pure or highly concentrated caffeine to be
adulterated. FDA is issuing this document to provide guidance to firms
that manufacture, market, or distribute dietary supplement products
that contain pure or highly concentrated caffeine, or are considering
doing so. This guidance should help such parties determine whether
their products are or would be adulterated under the Federal Food,
Drug, and Cosmetic Act (FD&C Act) and to help them understand how to
reduce the likelihood that their products will be considered
adulterated.

DATES: The announcement of the guidance is published in the Federal
Register on April 16, 2018.

ADDRESSES: You may submit either electronic or written comments on
Agency guidances at any time as follows:

Electronic Submissions

    Submit electronic comments in the following way:
     Federal eRulemaking Portal: https://www.regulations.gov.
Follow the instructions for submitting comments. Comments submitted
electronically, including attachments, to https://www.regulations.gov
will be posted to the docket unchanged. Because your comment will be
made public, you are solely responsible for ensuring that your comment
does not include any confidential information that you or a third party
may not wish to be posted, such as medical information, your or anyone
else's Social Security number, or confidential business information,
such as a manufacturing process. Please note that if you include your
name, contact information, or other information that identifies you in
the body of your comments, that information will be posted on https://www.regulations.gov.
     If you want to submit a comment with confidential
information that you do not wish to be made available to the public,
submit the comment as a written/paper submission and in the manner
detailed (see ``Written/Paper Submissions'' and ``Instructions'').

Written/Paper Submissions

    Submit written/paper submissions as follows:
     Mail/Hand delivery/Courier (for written/paper
submissions): Dockets Management Staff (HFA-305), Food and Drug
Administration, 5630 Fishers Lane, Rm. 1061, Rockville, MD 20852.
     For written/paper comments submitted to the Dockets
Management Staff, FDA will post your comment, as well as any
attachments, except for information submitted, marked and identified,
as confidential, if submitted as detailed in ``Instructions.''
    Instructions: All submissions received must include the Docket No.
FDA-2018-D-1189 for ``Highly Concentrated Caffeine in Dietary
Supplements; Guidance for Industry; Availability.'' Received comments
will be placed in the docket and, except for those submitted as
``Confidential Submissions,'' publicly viewable at https://www.regulations.gov or at the Dockets Management Staff between 9 a.m.
and 4 p.m., Monday through Friday.
     Confidential Submissions--To submit a comment with
confidential information that you do not wish to be made publicly
available, submit your comments only as a written/paper submission. You
should submit two copies total. One copy will include the information
you claim to be confidential with a heading or cover note that states
``THIS DOCUMENT CONTAINS CONFIDENTIAL INFORMATION.'' We will review
this copy, including the claimed confidential information, in our
consideration of comments. The second copy, which will have the claimed
confidential information redacted/blacked out, will be available for
public viewing and posted on https://www.regulations.gov. Submit both
copies to the Dockets Management Staff. If you do not wish your name
and contact information to be made publicly available, you can provide
this information on the cover sheet and not in the body of your
comments and you must identify this information as ``confidential.''
Any information marked as ``confidential'' will not be disclosed except
in accordance with 21 CFR 10.20 and other applicable disclosure law.
For more information about FDA's posting of comments to public dockets,
see 80 FR 56469, September 18, 2015, or access the information at:
https://www.gpo.gov/fdsys/pkg/FR-2015-09-18/pdf/2015-23389.pdf.
    Docket: For access to the docket to read background documents or
the electronic and written/paper comments received, go to https://www.regulations.gov and insert the docket number, found in brackets in
the heading of this document, into the ``Search'' box and follow the
prompts and/or go to the Dockets Management Staff, 5630 Fishers Lane,
Rm. 1061, Rockville, MD 20852.
    You may submit comments on any guidance at any time (see 21 CFR
10.115(g)(5)).
    Submit written requests for single copies of the guidance to Office
of Dietary Supplement Programs, Center for Food Safety and Applied
Nutrition, Food and Drug Administration, 5001 Campus Dr., College Park,
MD 20740. Send two self-addressed adhesive labels to assist that office
in processing your

requests. See the SUPPLEMENTARY INFORMATION section for electronic
access to the guidance document.

FOR FURTHER INFORMATION CONTACT: Sibyl Swift, Office of Dietary
Supplement Programs, Center for Food Safety and Applied Nutrition, Food
and Drug Administration, 5001 Campus Dr., College Park, MD 20740, 240-
402-1455.

SUPPLEMENTARY INFORMATION:

I. Background

    We are announcing the availability of a guidance for industry
entitled ``Highly Concentrated Caffeine in Dietary Supplements.'' We
are issuing this guidance consistent with our good guidance practices
(GGP) regulation 21 CFR 10.115. In accordance with 21 CFR Sec.
10.115(g)(2), we are issuing this guidance without prior public comment
because we have determined that prior public participation is not
feasible or appropriate in light of the threat to the public health
that is posed by pure and highly concentrated caffeine products, which
have been linked to several deaths in recent years. Although this
guidance is immediately in effect, it remains subject to comment in
accordance with FDA's GGP regulation.
    In this guidance, we are announcing that we consider some dietary
supplements containing high concentrations of caffeine to be
adulterated and informing industry about characteristics that are
likely to lead to products being considered adulterated. A dietary
supplement is adulterated under section 402(f)(1)(A) of the FD&C Act
(21 U.S.C. 342(f)(1)(A)) if it presents a significant or unreasonable
risk of illness or injury under the conditions of use recommended or
suggested in the labeling or, if no conditions for use are suggested or
recommended, under ordinary conditions of use. In recent years, we have
seen the emergence of powdered and liquid dietary supplement products
containing high concentrations of caffeine marketed directly to
consumers. These products are often sold in bulk containers with
hundreds or thousands of servings in the container, and even a small
dose can be toxic or deadly. The consumer is required to measure out a
small, precise serving from what is often a potentially lethal amount
of product. These products pose a significant or unreasonable risk of
illness or injury.
    When formulated appropriately, caffeine can be an ingredient in a
dietary supplement that does not present a significant or unreasonable
risk of illness or injury. The guidance provides suggestions on how
manufacturers can formulate safer dietary supplements containing
caffeine that do not present a significant or unreasonable risk of
illness or injury.
    The guidance represents our current thinking on dietary supplements
containing high concentrations of caffeine. It does not establish any
rights for any person and is not binding on FDA or the public. You can
use an alternative approach if it satisfies the requirements of the
applicable statutes and regulations. This guidance is not subject to
Executive Order 12866.

II. Electronic Access

    Persons with access to the internet may obtain the document at
either https://www.fda.gov/FoodGuidances or https://www.regulations.gov.

    Dated: April 11, 2018.
Leslie Kux,
Associate Commissioner for Policy.
[FR Doc. 2018-07836 Filed 4-13-18; 8:45 am]
 BILLING CODE 4164-01-P


[Federal Register Volume 85, Number 76 (Monday, April 20, 2020)]
[Rules and Regulations]
[Pages 21754-21757]
[FR Doc No: 2020-08297]

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

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2020-0390; Product Identifier 2018-SW-096-AD; Amendment
39-19901; AD 2020-07-22]
RIN 2120-AA64

Airworthiness Directives; PZL Swidnik S.A. Helicopters

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule; request for comments.

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

SUMMARY: The FAA is adopting a new airworthiness directive (AD) for PZL
Swidnik S.A. (PZL) Model PZL W-3A helicopters. This AD requires
inspecting the main gearbox (MGB) bolts and washers to determine if
they are properly locked and, depending on the inspection outcome,
removing the engine, removing certain bolts from

service, and performing more in-depth inspections; and depending on the
outcome of those inspections, replacing the graphite seal assembly or
removing it from service. Finally, this AD prohibits installing any
affected MGB on a helicopter unless it has met the requirements of this
AD. This AD was prompted by reports that the bolts securing the input
quill and graphite seal assembly of the MGB were not properly locked.
The actions of this AD are intended to address an unsafe condition on
these products.

DATES: This AD becomes effective May 5, 2020.
    The Director of the Federal Register approved the incorporation by
reference of a certain document listed in this AD as of May 5, 2020.
    The FAA must receive comments on this AD by June 19, 2020.

ADDRESSES: You may send comments by any of the following methods:
     Federal eRulemaking Docket: Go to https://www.regulations.gov. Follow the online instructions for sending your
comments electronically.
     Fax:<PHONE_NUMBER>.
     Mail: Send comments to the U.S. Department of
Transportation, Docket Operations, M-30, West Building Ground Floor,
Room W12-140, 1200 New Jersey Avenue SE, Washington, DC 20590-0001.
     Hand Delivery: Deliver to the ``Mail'' address between 9
a.m. and 5 p.m., Monday through Friday, except Federal holidays.

Examining the AD Docket

    You may examine the AD docket on the internet at https://www.regulations.gov by searching for and locating Docket No. FAA-2020-
0390; or in person at Docket Operations between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal holidays. The AD docket contains
this AD, the European Union Aviation Safety Agency (previously European
Aviation Safety Agency) (EASA) AD, any incorporated by reference
service information, any comments received, and other information. The
street address for Docket Operations is listed above.
    For service information identified in this final rule, contact WSK
``PZL- [Sacute]widnik'' S.A., Al. Lotnik[oacute]w Polskich 1, 21-045
[Sacute]widnik, Poland, telephone +48 664 424 798, or at
www.pzl.swidnik.pl. You may review the referenced service information
at the FAA, Office of the Regional Counsel, Southwest Region, 10101
Hillwood Pkwy, Room 6N-321, Fort Worth, TX 76177. It is also available
on the internet at https://www.regulations.gov by searching for and
locating Docket No. FAA-2020-0390.

FOR FURTHER INFORMATION CONTACT: Rao Edupuganti, Aviation Safety
Engineer, Regulations and Policy Section, Rotorcraft Standards Branch,
FAA, 10101 Hillwood Pkwy., Fort Worth, TX 76177; telephone 817-222-
5110; email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Comments Invited

    This AD is a final rule that involves requirements affecting flight
safety, and the FAA did not provide you with notice and an opportunity
to provide your comments prior to it becoming effective. However, the
FAA invites you to participate in this rulemaking by submitting written
comments, data, or views. The FAA also invites comments relating to the
economic, environmental, energy, or federalism impacts that resulted
from adopting this AD. The most helpful comments reference a specific
portion of the AD, explain the reason for any recommended change, and
include supporting data. To ensure the docket does not contain
duplicate comments, commenters should send only one copy of written
comments, or if comments are filed electronically, commenters should
submit them only one time. The FAA will file in the docket all comments
received, as well as a report summarizing each substantive public
contact with FAA personnel concerning this rulemaking during the
comment period. The FAA will consider all the comments received and may
conduct additional rulemaking based on those comments.

Discussion

    EASA, which is the Technical Agent for the Member States of the
European Union, has issued EASA AD No. 2018-0238, dated November 6,
2018 (EASA AD 2018-0238), to correct an unsafe condition for
Wytw[oacute]rnia Sprz[eogon]tu Komunikacyjnego ``PZL-[Sacute]widnik''
Sp[oacute][lstrok]ka Akcyjna (WSK ``PZL-[Sacute]WIDNIK'' S.A.) Model
PZL W-3A and PZL W-3AS helicopters.
    EASA advises of occurrences of improperly locked bolts, which
secure the input quill cover and graphite seal assembly of the WR-3
MGB. The bolts are locked in place through the use of locking tabs on
the washer part number (P/N) 89.06.0387. According to EASA, a
subsequent investigation determined that the root cause of this event
was improper assembly of the MGB during manufacturing or overhaul. EASA
stated this condition could lead to disconnection of the engines to the
MGB mechanical link, possibly resulting in loss of helicopter control.

FAA's Determination

    These helicopters have been approved by EASA and are approved for
operation in the United States. Pursuant to the FAA's bilateral
agreement with the European Union, EASA has notified the FAA of the
unsafe condition described in its AD. The FAA is issuing this AD after
evaluating all information provided by EASA and determining the unsafe
condition exists and is likely to exist or develop on other helicopters
of the same type design.

Related Service Information Under 1 CFR Part 51

    WYTW[Oacute]RNIA SPRZ[Eogon]TU KOMUNIKACYJNEGO ``PZL-
[Sacute]widnik'' Sp[oacute]lka Akcyjna has issued Mandatory Bulletin
No. BO-37-18-289, dated October 23, 2018, which specifies using a
fiberscope to inspect for improperly locked bolts that secure the input
quill cover and graphite seal assembly of WR-3 MGBs. This service
information also specifies reporting certain information to PZL and
Pratt & Whitney Rzesz[oacute]w S.A., removing the engine for more in-
depth inspection of the bolts for signs of rubbing and deformation,
inspecting the bolts for proper torque, removing the input drive quill
seals, and inspecting the graphite seal assembly.
    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.

AD Requirements

    This AD requires, within 25 hours time-in-service, for all PZL
Model PZL W-3A helicopters that have a WR-3 MGB serial number up to and
including 316463007M installed, inspecting each bolt P/N 89.00.0049 for
proper locking using a fiberscope. Depending on the inspection outcome,
this AD requires removing the engine and inspecting each bolt head for
signs of rubbing and deformation, inspecting each bolt for proper
torque, removing the left-hand and right-hand input drive quill seals,
and inspecting each graphite seal assembly. This AD requires removing
from service any bolt with signs of rubbing or deformation on its bolt
head. If necessary, this AD requires replacing the graphite seal
assembly or removing it from service. This AD also prohibits installing
affected MGBs that have not been inspected for improperly locked bolts.

Differences Between This AD and the EASA AD

    The EASA AD applies to Model PZL W-3AS helicopters, whereas this AD
does not because that model is not FAA type-certificated. The EASA AD
requires reporting certain information to PZL and Pratt & Whitney
Rzesz[oacute]w S.A., whereas this AD does not.

Regulatory Flexibility Act

    The requirements of the Regulatory Flexibility Act (RFA) do not
apply when an agency finds good cause pursuant to 5 U.S.C. 553 to adopt
a rule without prior notice and comment. Because the FAA has determined
that it has good cause to adopt this rule without notice and comment,
RFA analysis is not required.

Costs of Compliance

    There are no costs of compliance with this AD because there are no
helicopters of this type certificate on the U.S. Registry.

FAA's Justification and Determination of the Effective Date

    Section 553(b)(3)(B) of the Administrative Procedure Act (5 U.S.C.)
authorizes agencies to dispense with notice and comment procedures for
rules when the agency, for ``good cause,'' finds that those procedures
are ``impracticable, unnecessary, or contrary to the public interest.''
Under this section, an agency, upon finding good cause, may issue a
final rule without seeking comment prior to the rulemaking.
    There are no helicopters with this type certificate on the U.S.
Registry. Therefore, notice and opportunity for prior public comment
are unnecessary pursuant to 5 U.S.C. 553(b)(3)(B). In addition, for the
reasons stated above, the FAA finds that good cause exists pursuant to
5 U.S.C. 553(d) for making this amendment effective in less than 30
days.

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.
    The FAA is 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 helicopters 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, and
    (2) Will not affect intrastate aviation in Alaska.

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):

2020-07-22 PZL Swidnik S.A.: Amendment 39-19901; Docket No. FAA-
2020-0390; Product Identifier 2018-SW-096-AD.

(a) Applicability

    This AD applies to PZL Swidnik S.A. (PZL) Model PZL W-3A
helicopters, certificated in any category, with a WR-3 main gearbox
(MGB) with a serial number (S/N) up to 316463007M inclusive and with
a bolt part number (P/N) 89.00.0049 and washer P/N 89.06.0387,
installed.

(b) Unsafe Condition

    This AD defines the unsafe condition as improper locking of the
bolts which secure the input quill cover and graphite seal assembly
of the WR-3 MGB. This condition could result in disconnection of an
engine to the MGB mechanical link and subsequent loss of control of
the helicopter.

(c) Effective Date

    This AD becomes effective May 5, 2020.

(d) Compliance

    You are responsible for performing each action required by this
AD within the specified compliance time unless it has already been
accomplished prior to that time.

(e) Required Actions

    (1) Within 25 hours time-in-service (TIS), inspect each bolt to
determine if it is properly locked with the washer by following
Chapter II, Inspection Procedure, paragraphs 3.1.a) and 3.1.b) of
WYTW[Oacute]RNIA SPRZ[Eogon]TU KOMUNIKACYJNEGO ``PZL-
[Sacute]widnik'' Sp[oacute]lka Akcyjna Mandatory Bulletin No. BO-37-
18-289, dated October 23, 2018 (MB BO-37-18-289). If any bolt is not
properly locked, before further flight:
    (i) Remove the engine to visually inspect the bolt head for any
sign of rubbing and deformation.
    (ii) If there is no sign of rubbing or deformation, loosen the
bolt and tighten to the correct torque value of 2.5-3.0 Nm. Lock the
bolt by folding tabs of the washer up to the side surfaces of the
bolt head. Photo 4 of MB BO-37-18-289 shows an example of a properly
locked bolt.
    (iii) If there is any sign of rubbing or deformation;
    (A) Remove from service the bolt.
    (B) Remove the left-hand (LH) and right-hand (RH) input drive
quill seals by following paragraphs 1.1. through 1.6., Procedure--
Case B. Attachment 1 to MB BO-37-18-289.
    (C) Visually inspect each graphite seal assembly of the LH and
RH input drive quill seals for any crack, damage, and surface
deformation in the surface area identified as ``D'' of Sketch 3.
Radial Seal, Attachment 1 to MB BO-37-18-289, and any crack, damage,
surface deformation, cracked graphite segments and seizing of
grooves in the surface area identified as ``E'' of Sketch 3. Radial
Seal, Attachment 1 to MB BO-37-18-289. For purposes of this
inspection, damage to the graphite seal assembly may be indicated by
spalling, chipping, scratches, or dents. Also visually inspect for
unsmooth freedom of radial motion of each graphite ring in the
surface area identified as ``E'' of Sketch 3. Radial Seal,
Attachment 1 to MB BO-37-18-289, any scratch and dent in the surface
areas identified as ``A'' and ``B'' of Sketch 3. Radial Seal,
Attachment 1 to MB BO-37-18-289, and seizing on the surface area
identified as ``C'' of Sketch 3. Radial Seal, Attachment 1 to MB BO-
37-18-289.
    (1) If there is any crack, damage, or surface deformation in
surface area ``E'' greater than an area of 1.5 mm\2\ or a depth of
1mm, before further flight, remove from service the graphite seal
assembly.
    (2) If there is any spalling or chipping in surface area ``E''
that is equal to or less than an area of 1.5 mm\2\ and a depth of 1
mm, or any scratch or dent in surface areas ``A'' or ``B'' or
seizing in surface area ``C'' that is acceptable after blending
material flashes, before further flight, replace the graphite seal
assembly.
    (3) If there is any crack, damage, or surface deformation on
surface ``D'', cracked graphite

segments or seizing of grooves on surface ``E'', any scratch or dent
in surface areas ``A'' or ``B'' or seizing in surface area ``C''
that is not acceptable after blending material flashes, or radial
motion of graphite rings is difficult and not smooth, before further
flight, remove from service the graphite seal assembly.
    (2) After the effective date of this AD, do not install a WR-3
MGB with an S/N up to 316463007M inclusive and with a bolt P/N
89.00.0049 and washer P/N 89.06.0387 on any PZL Model PZL W-3A
helicopter, unless it has been inspected in accordance with the
requirements of this AD.

(f) Alternative Methods of Compliance (AMOCs)

    (1) The Manager, Safety Management Section, Rotorcraft Standards
Branch, FAA, may approve AMOCs for this AD. Send your proposal to:
Rao Edupuganti, Aviation Safety Engineer, Regulations and Policy
Section, Rotorcraft Standards Branch, FAA, 10101 Hillwood Pkwy.,
Fort Worth, TX 76177; telephone<PHONE_NUMBER>; email<EMAIL_ADDRESS>    (2) For operations conducted under a 14 CFR part 119 operating
certificate or under 14 CFR part 91, subpart K, the FAA suggests
that you notify your principal inspector, or lacking a principal
inspector, the manager of the local flight standards district office
or certificate holding district office, before operating any
aircraft complying with this AD through an AMOC.

(g) Additional Information

    The subject of this AD is addressed in European Union Aviation
Safety Agency (previously European Aviation Safety Agency) (EASA) AD
No. 2018-0238, dated November 6, 2018. You may view the EASA AD on
the internet at https://www.regulations.gov in Docket No. FAA-2020-
0390.

(h) Subject

    Joint Aircraft Service Component (JASC) Code: 6320, Main Rotor
Gearbox.

(i) Material Incorporated by Reference

    (1) The Director of the Federal Register approved the
incorporation by reference 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 the AD specifies otherwise.
    (i) WYTW[Oacute]RNIA SPRZ[Eogon]TU KOMUNIKACYJNEGO ``PZL-
[Sacute]widnik'' Sp[oacute]lka Akcyjna Mandatory Bulletin No. BO-37-
18-289, dated October 23, 2018.
    (ii) [Reserved]
    (3) For service information identified in this AD, contact PZL-
[Sacute]widnik S.A., A1. Lotnik[oacute]w Polskich 1, 21-045
[Sacute]widnik, Poland; telephone +48 81 468 09 01, 751 20 71; fax
+48 81 468 09 19, 751 21 73; or at www.pzl.swidnik.pl.
    (4) You may view this service information at FAA, Office of the
Regional Counsel, Southwest Region, 10101 Hillwood Pkwy, Room 6N-
321, Fort Worth, TX 76177. For information on the availability of
this material at the FAA, call<PHONE_NUMBER>.
    (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, email<EMAIL_ADDRESS>or go to: https://www.archives.gov/federal-register/cfr/ibr-locations.html.

    Issued on April 15, 2020.
Lance T. Gant,
Director, Compliance & Airworthiness Division, Aircraft Certification
Service.
[FR Doc. 2020-08297 Filed 4-17-20; 8:45 am]
BILLING CODE 4910-13-P