[Federal Register: October 26, 2007 (Volume 72, Number 207)]
[Rules and Regulations]
[Page 60760-60762]
[DOCID:fr26oc07-3]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2007-27496; Directorate Identifier 2005-SW-37-AD;
Amendment 39-15238; AD 2007-22-02]
RIN 2120-AA64

Airworthiness Directives; Bell Helicopter Textron, Inc. Model
205A, 205A-1, 205B, 212, 412, 412CF, and 412EP Helicopters

AGENCY:  Federal Aviation Administration, DOT.

ACTION:  Final Rule.

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SUMMARY:  This amendment supersedes an existing airworthiness directive
(AD) for the specified Bell Helicopter Textron, Inc. (Bell)
Helicopters. That AD currently requires inspecting each affected tail
rotor blade (blade) forward tip weight retention block (tip block) and
the aft tip closure (tip closure) for adhesive bond voids, and removing
any blade with an excessive void from service. That AD also requires
modifying certain blades by installing shear pins and tip closure
rivets. This amendment contains the same requirements but expands the
applicability to include other part and serial-numbered blades. This AD
also clarifies the requirement to re-identify the modified blade by
adding ``FM'' after the part number and also requires dynamically
balancing the tail rotor. The existing AD was prompted by five
occurrences of missing tip blocks or tip closures resulting in minor to
substantial damage. This amendment was prompted by the determination
that the AD should apply to other affected part and serial-numbered
blades. The actions specified by this AD are intended to prevent loss
of a tip block or tip closure, loss of a blade and subsequent loss of
control of the helicopter.

DATES:  Effective November 30, 2007.
    The incorporation by reference of certain publications listed in
the regulations is approved by the Director of the Federal Register as
of November 30, 2007.

ADDRESSES:  You may get the service information identified in this AD
from Bell Helicopter Textron, Inc., P.O. Box 482, Fort Worth, Texas
76101, telephone<PHONE_NUMBER>, fax<PHONE_NUMBER>.
    Examining the 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 (telephone<PHONE_NUMBER>) is the 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:  Michael Kohner, Aviation Safety
Engineer, FAA, Rotorcraft Directorate, Rotorcraft Certification Office,
Fort Worth, Texas 76193-0170, telephone<PHONE_NUMBER>, fax (817) 222-
5783.

SUPPLEMENTARY INFORMATION:  A proposal to amend 14 CFR part 39 by
superseding AD 2002-09-04, Amendment 30-12737 (67 FR 22349, May 3,
2002), for the specified Bell model helicopters was published in the
Federal Register on March 13, 2007 (72 FR 11295). The action proposed:
retaining requirements to inspect the tip block and the tip closure for
adhesive bonding voids and to remove any blade with an excessive void
from service; retaining requirements to modify certain blades by
installing shear pins and tip closure rivets in the tip area of the
affected blades; expanding the applicability to include more blades and
clarifying other requirements.
    Since issuing AD 2002-09-04, Bell issued further revisions to Alert
Service Bullet (ASB) Nos. 205-00-80, 205B-00-

34, 212-00-111, 412-00-106, and 412CR-00-13, Revision A, dated December
20, 2000. The revisions add blades with a serial number (S/N) prefix of
``A'' or ``AFS'' and number of 11530 to 13594, 13603 to 13618, and also
change the ``effectivity'' of the blades. The latest revisions,
Revisions D, all dated March 18, 2005, provide an alternative fastener
for the blade tip closure rivets installation. The revised ASBs also
state that blades with S/N A or AFS-11926, 13351, 13367, 13393, 13400,
13402, 13515, 13540, 13568, 13595 to 13602, 13619, and subsequent will
be modified before delivery.
    The previously described unsafe condition is likely to exist or
develop on other helicopters of these same type designs. Therefore,
this AD supersedes AD 2002-09-04 to expand the applicability for the
blade part and serial number. This AD also clarifies the requirement to
re-identify the modified blade by adding ``FM'' after the part number
and also requires dynamically balancing the tail rotor. Because blades,
S/N with a prefix of ``A'' or ``AFS'' and a number 11926, 13351, 13367,
13393, 13400, 13402, 13515, 13540, 13568, 13595 to 13602, 13619, and
subsequent, will be modified before delivery, we are excluding them
from the applicability of this AD.
    Interested persons have been afforded an opportunity to participate
in the making of this amendment. No comments were received on the
proposal or the FAA's determination of the cost to the public. The FAA
has determined that air safety and the public interest require the
adoption of the rule as proposed.
    The FAA estimates that this AD will affect 281 helicopters of U.S.
registry. The required actions will take about 3 work hours per
helicopters to inspect certain blades, install the shear pins and tip
closure rivets, reidentify the modified blades, and dynamically balance
the blade assembly at an average labor rate of $80 per work hour.
Required supplies will cost about $35 per helicopter. Based on these
figures, we estimate the total cost impact of the AD on U.S. operators
to be $77,275.

Regulatory Findings

    We have determined that this AD will not have federalism
implications under Executive Order 13132. This AD will not have a
substantial direct effect on the States, on the relationship between
the national Government and the States, or on the distribution of power
and responsibilities among the various levels of government.
    For the reason discussed above, I certify that the regulation:
    1. Is not a ``significant regulatory action'' under Executive Order
12833;
    2. Is not a ``significant rule'' under the DOT Regulatory Policies
and Procedures (44 FR 11034, February 26, 1979); and
    3. Will not have a significant economic impact, positive or
negative, on a substantial number of small entities under the criteria
of the Regulatory Flexibility Act.
    We prepared an economic evaluation of the estimated costs to comply
with this AD. See the AD docket to examine the economic evaluation.

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.

List of Subjects in 14 CFR Part 39

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

Adoption of the Amendment

0
Accordingly, pursuant to the authority delegated to me by the
Administrator, the Federal Aviation Administration amends part 39 of
the Federal Aviation Regulations (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. Section 39.13 is amended by removing Amendment 39-12737 (67 FR
22349, May 3, 2002), and by adding a new airworthiness directive (AD),
Amendment 39-15238, to read as follows:

2007-22-02 Bell Helicopter Textron, Inc.: Amendment 39-15238. Docket
No. FAA-2007-27496; Directorate Identifier 2005-SW-37-AD. Supersedes
AD 2002-09-04, Amendment 39-12737, Docket No. 2001-SW-37-AD.

Applicability

    Model 205A, 205A-1, 205B, 212, 412, 412CF, and 412EP helicopters
with a tail rotor blade (blade), part number 212-010-750-009 through
-129, all serial numbers except serial numbers with a prefix of
``A'' or ``AFS'' and the number 11926, 13351, 13367, 13393, 13400,
13402, 13515, 13540, 13568, 13595 through 13602, 13619, and
subsequent assigned numbers, installed, certificated in any
category.

Compliance

    Within 100 hours time-in-service, unless accomplished
previously.
    To prevent loss of the forward tip weight retention block (tip
block) or aft tip closure (tip closure), loss of the blade, and
subsequent loss of control of the helicopter, accomplish the
following:
    (a) Inspect the tip block and tip closure for voids. Remove from
service any blade with a void in excess of that allowed by the
Component Repair and Overhaul Manual limitations.
    (b) Inspect the tip block attachment countersink screws in four
locations to determine if the head of each countersunk screw is
flush with the surface of the abrasion strip. The locations of these
four screws are depicted on Figure 1 of Bell Helicopter Textron,
Inc. Alert Service Bulletins 205-00-80, 205B-00-34, 212-00-111, 412-
00-106, and 412CF-00-13, all Revision D, all dated March 18, 2005
(ASB). If any of these screws are set below the surface of the
abrasion strip or are covered with filler material, install shear
pins by following the Accomplishment Instructions, Part A, Shear Pin
Installation paragraphs, of the ASB appropriate for your model
helicopter.
    (c) Install the aft tip closure rivets, re-identify the modified
blade by adding an ``FM,'' and dynamically balance the tail rotor
hum assembly by following the Accomplishment Instructions, Part B,
Aft Tip Closure Rivet Installation paragraphs, of the ASB
appropriate for your model helicopter.
    (d) To request a different method of compliance or a different
compliance time for this AD, follow the procedures in 14 CFR 39.19.
Contact the Manager, Rotorcraft Certification Office, Rotorcraft
Directorate, FAA, ATTN: Michael Kohner, Aviation Safety Engineer,
Fort Worth, Texas 76193-0170, telephone<PHONE_NUMBER>, fax (817)
222-5783, for information about previously approved alternative
methods of compliance.
    (e) Inspecting certain screws to determine if they are flush
with the surface of the abrasion strip, modifying blades by
installing shear pins or aft tip closure rivets as necessary, and
re-identifying the modified blade shall be done by following Bell
Helicopter Textron, Inc. Alert Service Bulletins 205-00-80, 205B-00-
34, 212-00-111, 412-00-106, and 412CF-00-13, all Revision D, all
dated March 18, 2005. The Director of the Federal Register approved
this incorporation by reference under 5 U.S.C. 552(a) and 1 CFR part
51. Copies may be

obtained from Bell Helicopter Textron, Inc., P.O. Box 482, Fort
Worth, Texas 76101, telephone<PHONE_NUMBER>, fax<PHONE_NUMBER>.
Copies may be inspected at the FAA, Office of the Regional Counsel,
Southwest Region, 2601 Meacham Blvd., Room 663, Fort Worth, Texas or
at the National Archives and Records Administration (NARA). For
information on the availability of this material at NARA, call 202-
741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html
.

    (f) This amendment becomes effective November 30, 2007.

    Issued in Fort Worth, Texas, on October 10, 2007.
Scott A. Horn,
Acting Manager, Rotorcraft Directorate, Aircraft Certification Service.
[FR Doc. 07-5186 Filed 10-25-07; 8:45 am]

BILLING CODE 4910-13-M


[Federal Register Volume 86, Number 184 (Monday, September 27, 2021)]
[Rules and Regulations]
[Pages 53187-53189]
[FR Doc No: 2021-20827]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2021-0507; Project Identifier 2018-SW-117-AD; Amendment
39-21712; AD 2021-18-11]
RIN 2120-AA64

Airworthiness Directives; Leonardo S.p.a. Helicopters

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule.

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SUMMARY: The FAA is adopting a new airworthiness directive (AD) for
certain Leonardo S.p.a. Model AB139 and AW139 helicopters. This AD was
prompted by a report that, during a post-flight inspection of an in-
service helicopter, a tail rotor slider assembly was found fractured,
and the bushing and the actuator rod in the tail rotor servo were
partially damaged. This AD requires an inspection of the rail rotor
tail rotor slider assembly for corrosion and signs of circumferential
refinishing and, depending on the findings, replacement of the tail
rotor slider assembly with a serviceable part or repetitive inspections
of the tail rotor slider assembly for corrosion and signs of
circumferential refinishing, as specified in a European Aviation Safety
Agency (now European Union Aviation Safety Agency) (EASA) AD, which is
incorporated by reference. The FAA is issuing this AD to address the
unsafe condition on these products.

DATES: This AD is effective November 1, 2021.
    The Director of the Federal Register approved the incorporation by
reference of a certain publication listed in this AD as of November 1,
2021.

ADDRESSES: For material incorporated by reference (IBR) in this AD,
contact EASA, Konrad-Adenauer-Ufer 3, 50668 Cologne, Germany; telephone
+49 221 8999 000; email<EMAIL_ADDRESS>internet
www.easa.europa.eu. You may find this IBR material on the EASA website
at https://ad.easa.europa.eu. You may view this material at the 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>. It is also available
in the AD docket at https://www.regulations.gov by searching for and
locating Docket No. FAA-2021-0507.

Examining the AD Docket

    You may examine the AD docket at https://www.regulations.gov by
searching for and locating Docket No. FAA-2021-0507; 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
mandatory continuing airworthiness information (MCAI), any comments
received, and other information. The address for Docket Operations is
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: Andrea Jimenez, Aerospace Engineer,
COS Program Management Section, Operational Safety Branch, Compliance &
Airworthiness Division, FAA, 1600 Stewart Ave., Suite 410, Westbury, NY
11590; telephone<PHONE_NUMBER>; email<EMAIL_ADDRESS>137d6a72707c3e707c60537572723d747c65.

SUPPLEMENTARY INFORMATION:

Background

    The EASA, which is the Technical Agent for the Member States of the
European Union, has issued EASA AD 2018-0292, dated December 28, 2018
(EASA AD 2018-0292) (also referred to as the MCAI), to correct an
unsafe condition for Leonardo S.p.a. (formerly Finmeccanica S.p.A,
AgustaWestland S.p.A., Agusta S.p.A.; AgustaWestland Philadelphia
Corporation, formerly Agusta Aerospace Corporation) Model AB139 and
AW139 helicopters, all serial numbers. Although EASA AD 2018-0292
applies to all Model AB139 and AW139 helicopters, this AD applies to
helicopters with an affected part installed instead.
    The FAA issued a notice of proposed rulemaking (NPRM) to amend 14
CFR part 39 by adding an AD that would apply to certain Leonardo S.p.a.
Model AB139 and AW139 helicopters. The NPRM published in the Federal
Register on June 24, 2021 (86 FR 33149). The NPRM was prompted by a
report that, during a post-flight inspection of an in-service
helicopter, a tail rotor slide assembly was found fractured, and the
bushing and the actuator rod in the tail rotor servo were partially
damaged. The subsequent investigation revealed that the failure was due
to fatigue, initiated from corroded areas (corrosion craters) on the
surface of the tail rotor slider assembly characterized by signs of
circumferential refinishing. The corrosion craters originated along
finishing signs consistent with low grit sanding operations, which can
remove the passivation corrosion protection from the tail rotor slider
assembly. Sanding is a maintenance activity that is not included in the
maintenance manual for Leonardo S.p.a. Model AB139 and AW139
helicopters and is not allowed on in-service helicopters. The NPRM
proposed to require an inspection of the rail rotor tail rotor slider
assembly for corrosion and signs of circumferential refinishing and,
depending on the findings, replacement of the tail rotor slider
assembly with a serviceable part or repetitive inspections of the tail
rotor slider assembly for corrosion and signs of circumferential
refinishing, as specified in EASA AD 2018-0292.
    The FAA is issuing this AD to address corrosion in the tail rotor
slider assembly caused by improper refinishing (characterized by signs
of circumferential refinishing consistent with sanding). The unsafe
condition, if not addressed, could result in fatigue crack and fracture
of the tail rotor slider assembly, resulting in failure of the tail
rotor controls and consequent loss of yaw control of the helicopter.
See EASA AD 2018-0292 for additional background information.

Discussion of Final Airworthiness Directive

Comments

    The FAA gave the public the opportunity to participate in
developing this final rule. The FAA received no comments on the NPRM or
on the determination of the cost to the public.

Conclusion

    The FAA reviewed the relevant data and determined that air safety
requires adopting this AD as proposed. Except for minor editorial
changes, this AD is

adopted as proposed in the NPRM. None of the changes will increase the
economic burden on any operator. Accordingly, the FAA is issuing this
AD to address the unsafe condition on these products.

Related Service Information Under 1 CFR Part 51

    EASA AD 2018-0292 requires a detailed inspection of the tail rotor
slide assembly for corrosion and sign of circumferential refinishing
and, depending on the findings, applicable corrective actions. If there
is any evidence of corrosion craters the corrective action is
replacement of the affected part with a serviceable part. If there is
any evidence of surface imperfections caused by circumferential
refinishing but no evidence of corrosion, the corrective action is
repetitive inspections of the tail rotor slide assembly for corrosion
and signs of circumferential refinishing. Replacement of an affected
part with a serviceable part is terminating action for the repetitive
inspections.
    This material is reasonably available because the interested
parties have access to it through their normal course of business or by
the means identified in the ADDRESSES section.

Costs of Compliance

    The FAA estimates that this AD affects 129 helicopters of U.S.
Registry. The FAA estimates the following costs to comply with this AD.

                                                 Estimated Costs
----------------------------------------------------------------------------------------------------------------
                                                                                Cost per       Cost on U.S.
               Action                        Labor cost           Parts cost        product         operators
----------------------------------------------------------------------------------------------------------------
Inspection..........................  1 work-hour x $85 per                $0              $85          $10,965
                                       hour = $85.
----------------------------------------------------------------------------------------------------------------

    The FAA estimates the following costs to do any necessary
replacement that would be required based on the results of the
inspection. The agency has no way of determining the number of aircraft
that might need this replacement:

                                               On-Condition Costs
----------------------------------------------------------------------------------------------------------------
                Action                            Labor cost              Parts cost        Cost per product
----------------------------------------------------------------------------------------------------------------
Replacement...........................  Up to 10 work-hours x $85 per          $23,200  Up to $24,050.
                                         hour = $850.
Inspection............................  1 work-hour x $85 per hour =                 0  $85 per inspection
                                         $85 per inspection cycle.                       cycle.
----------------------------------------------------------------------------------------------------------------

    The FAA has included all known costs in its cost estimate.
According to the manufacturer, however, some or all of the costs of
this AD may be covered under warranty, thereby reducing the cost impact
on affected operators.

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 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) Will not affect intrastate aviation in Alaska, and
    (3) 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.

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:

2021-18-11 Leonardo S.p.a.: Amendment 39-21712; Docket No. FAA-2021-
0507; Project Identifier 2018-SW-117-AD.

(a) Effective Date

    This airworthiness directive (AD) is effective November 1, 2021.

(b) Affected ADs

    None.

(c) Applicability

    This AD applies to Leonardo S.p.a. Model AB139 and AW139
helicopters, certificated in any category, with an affected part as
identified in European Aviation Safety Agency (now European Union
Aviation Safety Agency) (EASA) AD 2018-0292, dated December 28, 2018
(EASA AD 2018-0292).

(d) Subject

    Joint Aircraft Service Component (JASC) Code: 6400, Tail Rotor
System.

(e) Unsafe Condition

    This AD was prompted by a report that, during a post-flight
inspection of an in-service helicopter, a tail rotor slider assembly
was found fractured, and the bushing and the actuator rod in the
tail rotor servo were partially damaged. The FAA is issuing this AD
to address corrosion in the tail rotor slider assembly caused by
improper refinishing (characterized by signs of circumferential
refinishing consistent with

sanding). The unsafe condition, if not addressed, could result in
fatigue cracks and fracture of the tail rotor slider assembly,
resulting in failure of the tail rotor controls and consequent loss
of yaw control of the helicopter.

(f) Compliance

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

(g) Requirements

    Except as specified in paragraph (h) of this AD: Comply with all
required actions and compliance times specified in, and in
accordance with, EASA AD 2018-0292.

(h) Exceptions to EASA AD 2018-0292

    (1) Where EASA AD 2018-0292 refers to flight hours (FH), this AD
requires using hours time-in-service.
    (2) Where EASA AD 2018-0292 refers to its effective date, this
AD requires using the effective date of this AD.
    (3) Where EASA AD 2018-0292 refers to ``Part I of the ASB,''
this AD requires using ``Part I of section 3., Accomplishment
Instructions of the ASB,'' and where EASA AD 2018-0292 refers to
``Part II of the ASB,'' this AD requires using ``Part II of section
3., Accomplishment Instructions of the ASB.''.
    (4) Where the service information referred to in EASA AD 2018-
0292 specifies to return certain parts, this AD does not include
that requirement.
    (5) Where the service information referred to in EASA AD 2018-
0292 specifies to contact Leonardo S.p.a. ``if in doubt'' regarding
if a tail rotor slider assembly needs to be replaced based on
evidence of corrosion craters, replacement of an affected slider
assembly is required by this AD but contacting Leonardo S.p.a. is
not required by this AD.
    (6) The ``Remarks'' section of EASA AD 2018-0292 does not apply
to this AD.

(i) No Reporting Requirement

    Although the service information referenced in EASA AD 2018-0292
specifies to submit certain information to the manufacturer, this AD
does not include that requirement.

(j) Alternative Methods of Compliance (AMOCs)

    (1) The Manager, International Validation 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 International Validation Branch, send
it to the attention of the person identified in paragraph (k) of
this AD. Information may be emailed to<EMAIL_ADDRESS>    (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.

(k) Related Information

    For more information about this AD, contact Andrea Jimenez,
Aerospace Engineer, COS Program Management Section, Operational
Safety Branch, Compliance & Airworthiness Division, FAA, 1600
Stewart Ave., Suite 410, Westbury, NY 11590; telephone (516) 228-
7330; email<EMAIL_ADDRESS>
(l) 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 this AD specifies otherwise.
    (i) European Aviation Safety Agency (EASA) AD 2018-0292, dated
December 28, 2018.
    (ii) [Reserved]
    (3) For EASA AD 2018-0292, contact EASA, Konrad-Adenauer-Ufer 3,
50668 Cologne, Germany; telephone +49 221 8999 000; email
<EMAIL_ADDRESS>internet www.easa.europa.eu. You may find this
EASA AD on the EASA website at https://ad.easa.europa.eu.
    (4) You may view this material at the 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>. This material may be
found in the AD docket on the internet at https://www.regulations.gov by searching for and locating Docket No. FAA-
2021-0507.
    (5) You may view this material 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 August 26, 2021.
Lance T. Gant,
Director, Compliance & Airworthiness Division, Aircraft Certification
Service.
[FR Doc. 2021-20827 Filed 9-24-21; 8:45 am]
BILLING CODE 4910-13-P


of data for Commission enforcement and rulemaking efforts. Further, we
believe the proposed Form D filing system would be relatively easy to
use.\130\ We solicit comment, however, on whether differing compliance,
reporting or timetable requirements, a partial or complete exemption,
or the use of performance rather than design standards would be
consistent with our described main goal of addressing deficiencies in
the Form D data collection process.\131\
---------------------------------------------------------------------------

    \130\ As discussed in Part III.C, we are considering a period
during which we would permit voluntary electronic filing of Form D
information using the new electronic filing system and form to
enable issuers to become familiar with them. Small entities would be
able to take advantage of any such period.
    \131\ In this regard, in Part III of this release, we solicit
comment on the availability of technology to complete Form D online
and whether public companies should be phased in to mandated
electronic Form D filing sooner than private companies (presumably,
many of the small entities that would file Form D would be private
companies).
---------------------------------------------------------------------------

    We considered further clarifying, consolidating or simplifying the
proposed Form D information and electronic filing requirements. During
2003, the Commission's Office of Small Business Policy (``OSBP'')
reviewed the types of errors, omissions, and misstatements more
commonly found in Form D filings, as well as the types of questions
typically received through phone calls from the public associated with
the form. We also have considered the electronic filing requirements
related to Exchange Act Forms 3, 4 and 5, the manner in which their
online filing system has operated and the suitability of that system as
a model for the expected online system for Form D information. Based in
part on OSBP's review and our consideration of the electronic filing of
Forms 3, 4 and 5, we believe that the proposed Form D information and
electronic filing requirements are clear and straightforward (although,
we seek comment on this).

G. Solicitation of Comment

    We encourage comments with respect to any aspect of this Initial
Regulatory Flexibility Analysis. In particular, we request comments
regarding:
     The number of small entities that may be affected by the
proposed amendments;
     The existence or nature of the potential impact of the
proposed amendments on small entities as discussed in this analysis;
and

     How to quantify the impact of the proposed amendments.
    We ask those submitting comments to describe the nature of any
impact and provide empirical data supporting the extent of the impact.
These comments will be considered in the preparation of the Final
Regulatory Flexibility Analysis, if the proposed amendments are
adopted, and will be placed in the same public file as comments on the
proposed amendments themselves.

IX. Small Business Regulatory Enforcement Fairness Act

    For purposes of the Small Business Regulatory Enforcement Fairness
Act of 1996,\132\ a rule is ``major'' if it has resulted, or is likely
to result in:
---------------------------------------------------------------------------

    \132\ Pub. L. 104-121, Title II, 110 Stat. 857 (1996).
---------------------------------------------------------------------------

     An annual effect on the economy of $100 million or more;
     A major increase in costs or prices for consumers or
individual industries; or
     Significant adverse effects on competition, investment or
innovation.
    In connection with this analysis, we solicit comment and empirical
data on:
     The potential effect of the proposals on the U.S. economy
on an annual basis;
     Any potential increase in costs or prices for consumers or
individual industries resulting from the proposals; and
     Any potential effect of the proposals on competition,
investment or innovation.

X. Statutory Basis and Text of Proposed Amendments

    We are proposing the amendments to Rules 100, 101, 104, 201, and
202 of Regulation S-T, Securities Act Rules 502 and 503 and the
description and content of Securities Act Form D under the authority in
sections 2(a), 3(b), 4(2), 19(a), 19(d), and 28 of the Securities
Act,\133\ sections 3(b), 23(a), and 35A of the Exchange Act,\134\
section 319(a) of the Trust Indenture Act,\135\ and section 38 of the
Investment Company Act.\136\
---------------------------------------------------------------------------

    \133\ 15 U.S.C. 77b(a), 77c(b), 77d(2), 77s(a), 77s(d), and 77z-
3.
    \134\ 15 U.S.C. 78c(b), 78w(a), and 78ll.
    \135\ 15 U.S.C. 77sss(a).
    \136\ 15 U.S.C. 80a-37.
---------------------------------------------------------------------------

List of Subjects in 17 CFR Parts 230, 232 and 239

    Reporting and recordkeeping requirements, Securities.

Text of Proposed Amendments

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

PART 230--GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933

    1. The general authority citation for Part 230 continues to read in
part as follows:

    Authority: 15 U.S.C. 77b, 77c, 77d, 77f, 77g, 77h, 77j, 77r,
77s, 77z-3, 77sss, 78c, 78d, 78j, 78l, 78m, 78n, 78o, 78t, 78w,
78ll(d), 78mm, 80a-8, 80a-24, 80a-28, 80a-29, 80a-30, and 80a-37,
unless otherwise noted.
* * * * *
    2. Amend Sec.  230.502 by revising paragraph (c) to read as
follows:

Sec.  230.502  General conditions to be met.

* * * * *
    (c) Limitation on manner of offering. Except as provided in Sec.
230.504(b)(1), neither the issuer nor any person acting on its behalf
shall offer or sell the securities by any form of general solicitation
or general advertising, including, but not limited to, the following:
    (1) Any advertisement, article, notice or other communication
published in any newspaper, magazine, or similar media or broadcast
over television or radio; and
    (2) Any seminar or meeting whose attendees have been invited by any
general solicitation or general advertising; Provided, however, that
publication by an issuer of a notice in accordance with Sec.  230.135c
or filing with the Commission by an issuer of a notice of sales on Form
D (17 CFR 239.500) in which the issuer has made a good faith and
reasonable attempt to comply with the requirements of such form, shall
not be deemed to constitute general solicitation or general advertising
for purposes of this section; Provided further, that, if the
requirements of Sec.  230.135e are satisfied, providing any journalist
with access to press conferences held outside of the United States, to
meetings with issuer or selling security holder representatives
conducted outside of the United States, or to written press-related
materials released outside the United States, at or in which a present
or proposed offering of securities is discussed, will not be deemed to
constitute general solicitation or general advertising for purposes of
this section.
* * * * *
    3. Revise Sec.  230.503 to read as follows:

Sec.  230.503  Filing of notice of sales.

    (a) When notice of sales on Form D must be filed. (1) An issuer
offering or selling securities in reliance on Sec.  230.504, Sec.
230.505, or Sec.  230.506 must file with the Commission a notice of
sales on Form D (17 CFR 239.500) for each new offering of securities no
later than 15 calendar days after the first sale of securities in the
offering.
    (2) An issuer may file an amendment to a previously filed notice of
sales on Form D at any time.
    (3) An issuer must file an amendment to a previously filed notice
of sales on Form D for an offering:
    (i) To correct a mistake of fact in the previously filed notice of
sales on Form D, as soon as practicable after discovery of the mistake;
    (ii) To reflect a change in the information provided in the
previously filed notice of sales on Form D, as soon as practicable
after the change, except that no amendment is required to reflect a
change that occurs after the offering terminates or a change that
occurs in the following only:
    (A) An issuer's revenues,
    (B) The amount of securities sold in the offering,
    (C) The total offering amount, if the change, together with all
other changes in that amount since the previously filed notice of sales
on Form D, does not result in an increase of more than 10%,
    (D) The number of accredited investors who have invested in the
offering,
    (E) The number of non-accredited investors who have invested in the
offering, as long as the change does not increase the number to more
than 35, or
    (F) In offerings that last more than a year, information on related
persons if the change was due solely to the filling of a vacant
position upon the death or departure in the ordinary course of business
of the previous occupant of the position; and
    (iii) In offerings that last more than a year, annually, between
January 1 and February 14, to reflect information about the offering on
or before its termination since the later of the filing of the notice
of sales on Form D or the most recent amendment to the notice of sales
on Form D.
    (4) An issuer that files an amendment to a previously filed notice
of sales on Form D must provide current information in response to all
requirements of the notice of sales on Form D regardless of why the
amendment is filed.
    (b) How notice of sales on Form D must be filed and signed. (1) A
notice of sales on Form D must be filed with the Commission in
electronic format by means of the Commission's Electronic Data
Gathering Analysis and Retrieval System (EDGAR) in accordance with
EDGAR rules set forth in Regulation S-T (17 CFR Part 232).

    (2) Every notice of sales on Form D must be signed by a person duly
authorized by the issuer.

PART 232--REGULATION S-T--GENERAL RULES AND REGULATIONS FOR
ELECTRONIC FILINGS

    4. The general authority citation for Part 232 continues to read as
follows:

    Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a), 77sss(a),
78c(b), 78l, 78m, 78n, 78o(d), 78w(a), 78ll(d), 80a-8, 80a-29, 80a-
30, and 80a-37, and 7201 et seq.; and 18 U.S.C. 1350.
* * * * *
    5. Amend Sec.  232.100 by revising paragraph (a) to read as
follows:

Sec.  232.100  Persons and entities subject to mandated electronic
filing.

    (a) Registrants and other entities whose filings are subject to
review by the Division of Corporation Finance;
* * * * *
    6. Amend Sec.  232.101 by:
    a. Removing the word ``and'' at the end of paragraph (a)(1)(xi);
    b. Removing the period and adding ``and'' at the end of paragraph
(a)(1)(xii);
    c. Adding paragraph (a)(1)(xiii); and
    d. Removing ``, Regulation D (Sec. Sec.  230.501-230.506 of this
chapter)'' from paragraph (c)(6).
    The addition reads as follows:

Sec.  232.101  Mandated electronic submissions and exceptions.

    (a) * * *
    (1) * * *
    (xiii) Form D (Sec.  239.500 of this chapter).
* * * * *
    7. Amend Sec.  232.104 by revising paragraph (a) to read as
follows:

Sec.  232.104  Unofficial PDF copies included in an electronic
submission.

    (a) An electronic submission, other than a Form 3 (Sec.  249.103 of
this chapter), a Form 4 (Sec.  249.104 of this chapter), a Form 5
(Sec.  249.105 of this chapter), a Form ID (Sec. Sec.  239.63, 249.446,
269.7 and 274.402 of this chapter), a Form TA-1 (Sec.  249.100 of this
chapter), a Form TA-2 (Sec.  249.102 of this chapter), a Form TA-W
(Sec.  249.101 of this chapter) or a Form D (Sec.  239.500 of this
chapter), may include one unofficial PDF copy of each electronic
document contained within that submission, tagged in the format
required by the EDGAR Filer Manual.
* * * * *
    8. Amend Sec.  232.201 by revising paragraph (a) introductory text
to read as follows:

Sec.  232.201  Temporary hardship exemption.

    (a) If an electronic filer experiences unanticipated technical
difficulties preventing the timely preparation and submission of an
electronic filing, other than a Form 3 (Sec.  249.103 of this chapter),
a Form 4 (Sec.  249.104 of this chapter), a Form 5 (Sec.  249.105 of
this chapter), a Form ID (Sec. Sec.  239.63, 249.446, 269.7 and 274.402
of this chapter), a Form TA-1 (Sec.  249.100 of this chapter), a Form
TA-2 (Sec.  249.102 of this chapter), a Form TA-W (Sec.  249.101 of
this chapter) or a Form D (Sec.  239.500 of this chapter), the
electronic filer may file the subject filing, under cover of Form TH
(Sec. Sec.  239.65, 249.447, 269.10 and 274.404 of this chapter), in
paper format no later than one business day after the date on which the
filing was to be made.
* * * * *
    9. Amend Sec.  232.202 by revising paragraph (a) introductory text
to read as follows:

Sec.  232.202  Continuing hardship exemption.

    (a) An electronic filer may apply in writing for a continuing
hardship exemption if all or part of a filing or group of filings,
other than a Form ID (Sec. Sec.  239.63, 249.446, 269.7 and 274.402 of
this chapter) or a Form D (Sec.  239.500 of this chapter), otherwise to
be filed in electronic format cannot be so filed without undue burden
or expense. Such written application shall be made at least ten
business days prior to the required due date of the filing(s) or the
proposed filing date, as appropriate, or within such shorter period as
may be permitted. The written application shall contain the information
set forth in paragraph (b) of this section.
* * * * *

PART 239--FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933

    10. The general authority citation for Part 239 continues to read
as follows:

    Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 77s, 77z-2, 77z-3,
77sss, 78c, 78j, 78l, 78m, 78n, 78o(d), 78u-5, 78w(a), 78ll(d),
78mm, 80a-2(a), 80a-3, 80a-8, 80a-9, 80a-10, 80a-13, 80a-24, 80a-26,
80a-29, 80a-30, and 80a-37, unless otherwise noted.
* * * * *
    11. Revise Sec.  239.500 to read as follows:

Sec.  239.500  Form D, notice of sales of securities under Regulation D
and section 4(6) of the Securities Act of 1933.

    (a) When notice of sales on Form D must be filed. (1) An issuer
offering or selling securities in reliance on Sec.  230.504, Sec.
230.505, or Sec.  230.506 of this chapter or section 4(6) of the
Securities Act of 1933 must file with the Commission a notice of sales
on Form D (17 CFR 239.500) for each new offering of securities no later
than 15 calendar days after the first sale of securities in the
offering.
    (2) An issuer may file an amendment to a previously filed notice of
sales on Form D at any time.
    (3) An issuer must file an amendment to a previously filed notice
of sales on Form D for an offering:
    (i) To correct a mistake of fact in the previously filed notice of
sales on Form D, as soon as practicable after discovery of the mistake;
    (ii) To reflect a change in the information provided in the
previously filed notice of sales on Form D, as soon as practicable
after the change, except that no amendment is required to reflect a
change that occurs after the offering terminates or a change that
occurs in the following only:
    (A) An issuer's revenues,
    (B) The amount of securities sold in the offering,
    (C) The total offering amount, if the change, together with all
other changes in that amount since the previously filed notice of sales
on Form D, does not result in an increase of more than 10%,
    (D) The number of accredited investors who have invested in the
offering,
    (E) The number of non-accredited investors who have invested in the
offering, as long as the change does not increase the number to more
than 35, or
    (F) In offerings that last more than a year, information on related
persons if the change was due solely to the filling of a vacant
position upon the death or departure in the ordinary course of business
of the previous occupant of the position; and
    (iii) In offerings that last more than a year, annually, between
January 1 and February 14, to reflect information about the offering on
or before its termination date since the later of the filing of the
notice of sales on Form D or the most recent amendment to the notice of
sales on Form D.
    (4) An issuer that files an amendment to a previously filed notice
of sales on Form D must provide current information in response to all
requirements of the notice of sales on Form D regardless of why the
amendment is filed.
    (b) How notice of sales on Form D must be filed and signed. (1) A
notice of sales on Form D must be filed with the Commission in
electronic format by means of the Commission's Electronic Data
Gathering Analysis and Retrieval System (EDGAR) in accordance with
EDGAR rules set forth in Regulation S-T (17 CFR Part 232).
    (2) Every notice of sales on Form D must be signed by a person duly
authorized by the issuer.

    12. Revise Form D (referenced in Sec.  239.500) to read as follows:

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

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    Dated: June 29, 2007.

    By the Commission.

Florence E. Harmon,
Deputy Secretary.
 [FR Doc. E7-13018 Filed 7-6-07; 8:45 am]

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