[Federal Register Volume 86, Number 221 (Friday, November 19, 2021)]
[Notices]
[Pages 64923-64925]
[FR Doc No: 2021-25285]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Privacy Act of 1974; System of Records

AGENCY: Federal Energy Regulatory Commission, DOE.

ACTION: Notice of a modified system of records.

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SUMMARY: The Federal Energy Regulatory Commission (FERC) is publishing
notice of modifications to an existing FERC system of records, FERC-24
titled Commission Miscellaneous Investigation File. This notice adds 11
new routine uses, including two prescribed by the Office of Management
and Budget (OMB) Memorandum M-17-12, Preparing for and Responding to a
Breach of Personally Identifiable Information, January 3, 2017, that
will permit FERC to disclose information as necessary in response to an
actual or suspected breach of its own records or to assist another
agency in its efforts to respond to a breach. This System of Records
Notice (SORN) also describes the Commission's systems manager and
location change.

DATES: In accordance with 5 U.S.C. 552a(e)(4) and (11), this system of
records notice is effective upon publication, with the exception of the
routine uses, which will go into effect on December 20, 2021, unless
comments have been received from interested members of the public
requiring modification and republication of the notice. Please submit
any comments by December 20, 2021.

ADDRESSES: Any person interested in commenting on the establishment of
this modified system of records may do so by submitting comments
electronically to: [email protected] (Include reference to ``Commission
Miscellaneous Investigation File'' in the subject line of the message.)
    For United States Postal Service-delivered mail: Director, Office
of External Affairs, Federal Energy Regulatory Commission, 888 First
Street NE, Room 4A-05, Washington, DC 20426.
    For hand-delivered or courier-delivered mail: Director, Office of
External Affairs, Federal Energy

Regulatory Commission, 12225 Wilkins Avenue, Rockville, Maryland 20852.

FOR FURTHER INFORMATION CONTACT: Director, Workforce Relations, Chief
Human Capital Officer, Office of the Executive Director, 888 First
Street NE, Washington, DC 20426,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: The Commission Miscellaneous Investigation
File notice is being modified. The notice includes 11 new routine uses,
including two prescribed routine uses that will permit FERC to disclose
information as necessary in response to an actual or suspected breach
of its own records or to assist another agency in its efforts to
respond to a breach. This notice also addresses the system's manager
and location change, while also providing additional specificity on the
category of employees and employee matters contained in the system of
records.

SYSTEM NAME AND NUMBER:
    Commission Miscellaneous Investigation File: FERC-24.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Federal Energy Regulatory Commission, Office of the Executive
Director, Workforce Relations Division (CHCO), 888 First Street NE,
Washington, DC 20426.

SYSTEM MANAGER(S):
    Director, Workforce Relations Division, Chief Human Capital
Officer, Office of the Executive Director, 888 First Street NE,
Washington, DC 20426,<PHONE_NUMBER>.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The Rehabilitation Act, 29 U.S.C. 791 et. seq.
    Title VII of the Civil Rights Act, 42 U.S.C. 2000e et. seq.
    Executive Order No. 13164.
    Executive Order No. 13991.
    29 CFR part 1614--Federal Sector Equal Employment Opportunity.
    5 CFR part 735--Employee responsibilities and conduct.

PURPOSE(S) OF THE SYSTEM:
    To maintain documentation on employee matters that are not part of
a formal grievance process require collection of employee information
by management in order to process request and/or render decisions in
accordance with applicable law, rule or regulation preserve and
maintain confidentiality. This may include, among other considerations,
requests for reasonable accommodation, medical or religious
accommodation, religious compensatory time off, or anti-harassment
allegations.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    For matters that do not involve a formal grievance or appeal
process, or formal Department of Energy Inspector General inquiry,
which may include among other matters: (1) Employees requesting
exception to agency policy, adjustment to the job or adjustment to the
work environment under applicable law, rules or regulations; and (2)
employees petitioning for informal inquiry into allegations of
workplace harassment not that are not covered under Title VII.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Formal reports of inquiry and supporting documentation; records of
actions taken resulting from the inquiry and supporting documentation
for the inquiry and the response; medical forms, medical documents,
documentation from healthcare providers, religious affiliation
information, and other related supporting documents; and decision
documents.

RECORD SOURCE CATEGORIES:
    Information in this system of records comes from the individual to
whom it applies; is derived from information supplied by that
individual; or created by management officials to summarize findings
and/or develop recommendations for action.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
    In addition to those disclosures generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, information maintained in this system may
be disclosed to authorized entities outside FERC for purposes
determined to be relevant and necessary as a routine use pursuant to 5
U.S.C. 552a(b)(3) as follows:
    1. To appropriate agencies, entities, and persons when (1) FERC
suspects or has confirmed that there has been a breach of the system of
records; (2) FERC has determined that as a result of the suspected or
confirmed breach there is a risk of harm to individuals, the Commission
(including its information systems, programs, and operations), the
Federal Government, or national security; and (3) the disclosure made
to such agencies, entities, and persons is reasonably necessary to
assist in connection with the Commission's efforts to respond to the
suspected or confirmed breach or to prevent, minimize, or remedy such
harm.
    2. To another Federal agency or Federal entity, when FERC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (1) responding to
a suspected or confirmed breach or (2) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
    3. To a congressional office from the record of an individual in
response to an inquiry from that congressional office made at the
request of that individual.
    4. To the Equal Employment Opportunity Commission (EEOC) when
requested in connection with investigations of alleged or possible
discriminatory practices, examination of Federal affirmative employment
programs, or other functions of the Commission as authorized by law or
regulation.
    5. To the Federal Labor Relations Authority or its General Counsel
when requested in connection with investigations of allegations of
unfair labor practices or matters before the Federal Service Impasses
Panel.
    6. To disclose information to another Federal agency, to a court,
or a party in litigation before a court or in an administrative
proceeding being conducted by a Federal agency, where the record is
relevant and necessary to the proceeding and the Government is a party
to the judicial or administrative proceeding. In those cases where the
Government is not a party to the proceeding, records may be disclosed
if a subpoena has been signed by a judge.
    7. To the Department of Justice (DOJ) for its use in providing
legal advice to FERC or in representing FERC in a proceeding before a
court, adjudicative body, or other administrative body, where the use
of such information by the DOJ is deemed by FERC to be relevant and
necessary to the advice or proceeding, and such proceeding names as a
party in interest: (a) FERC; (b) any employee of FERC in his or her
official capacity; (c) any employee of FERC in his or her individual
capacity where DOJ has agreed to represent the employee; or (d) the
United States, where FERC determines that litigation is likely to
affect FERC or any of its components.
    8. To non-Federal Personnel, such as contractors, agents, or other
authorized individuals performing work on a contract, service,
cooperative agreement, job, or other activity on behalf of FERC or
Federal Government and who have a

need to access the information in the performance of their duties or
activities.
    9. To the National Archives and Records Administration in records
management inspections and its role as Archivist, as permitted by 44
U.S.C. 2904 and 2906.
    10. To the Merit Systems Protection Board or the Board's Office of
the Special Counsel, when relevant information is requested in
connection with appeals, special studies of the civil service and other
merit systems, review of Office of Personnel Management (OPM) rules and
regulations, and investigations of alleged or possible prohibited
personnel practices.
    11. To appropriate Federal, State, or local agency responsible for
investigating, prosecuting, enforcing, or implementing a statute, rule,
regulation, or order, where the record indicates a violation or
potential violation of civil or criminal law, rule, regulation, order.
    12. To serve as a data source for OPM or Government Accountability
Office (GAO) during the course of on-site inspections or audits.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Paper (assorted documents) or electronic media. Data center
buildings are guarded and monitored by security personnel, cameras, ID
checks, and other physical security measures. Physical access to the
server rooms is limited to authorized personnel only. Records are
maintained in lockable file cabinets in a lockable room with access
limited to those employees whose official duties require access;
servers are stored in secured facilities in cipher locked server rooms.
Computer data is secured by password. The system is secured with the
safeguards required by FedRAMP and NIST SP 800-53.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records may be retrieved by employee's name or employee ID number.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Records are retained under the National Archives and Records
Administration's General Records Schedule 2.3. Destroy 3 years after
being superseded, but longer retention is authorized if required for
business use. Destroy 3 years after employee separation from the agency
or all matters are concluded, whichever is later, but longer retention
is authorized if required for business use.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    All FERC employees and contractors with authorized access have
undergone a thorough background security investigation. Data access is
restricted to agency personnel or contractors whose responsibilities
require access. Access to electronic records is controlled by ``User
ID'' and password combination and/or other network access or security
controls (e.g., firewalls). The system is secured with the safeguards
required by FedRAMP and NIST SP 800-53. Physical access to FERC is
controlled by security guards and admission is limited to those
individuals possessing a valid identification card or individuals under
proper escort.

RECORD ACCESS PROCEDURES:
    Submit a Privacy Act Request:
    The Privacy Act permits access to records about yourself that are
maintained by FERC in a Privacy Act system of records. In addition, you
may request that incorrect or incomplete information be changed or
amended. Privacy requests follow FERC's Freedom of Information Act
(FOIA) request process. You may access the FOIA website at https://www.ferc.gov/freedom-information-act-foia-and-privacy-act.
    For questions: Contact the FOIA Service Center at<PHONE_NUMBER> or
by email at [email protected]. Written request for access to records
should be directed to:
    For United States Postal Service-delivered mail: Director, Office
of External Affairs, Federal Energy Regulatory Commission, 888 First
Street NE, Washington, DC 20426.
    For hand-delivered or courier-delivered mail: Director, Office of
External Affairs, Federal Energy Regulatory Commission, 12225 Wilkins
Avenue, Rockville, Maryland 20852.

CONTESTING RECORD PROCEDURES:
    The Privacy Act permits access to records about yourself that are
maintained by FERC in a Privacy Act system of records. In addition, you
may request that incorrect or incomplete information be changed or
amended. Privacy requests follow FERC's Freedom of Information Act
(FOIA) request process. You may access the FOIA website at https://www.ferc.gov/freedom-information-act-foia-and-privacy-act.
    For questions: Contact the FOIA Service Center at<PHONE_NUMBER> or
by email at [email protected].
    Written request for access to records should be directed to:
    For United States Postal Service-delivered mail: Director, Office
of External Affairs, Federal Energy Regulatory Commission, 888 First
Street NE, Washington, DC 20426.
    For hand-delivered or courier-delivered mail: Director, Office of
External Affairs, Federal Energy Regulatory Commission, 12225 Wilkins
Avenue, Rockville, Maryland 20852.

NOTIFICATION PROCEDURES:
    The Privacy Act permits access to records about yourself that are
maintained by FERC in a Privacy Act system of records. In addition, you
may request that incorrect or incomplete information be changed or
amended.
    Privacy requests follow FERC's Freedom of Information Act (FOIA)
request process. You may access the FOIA website at https://www.ferc.gov/freedom-information-act-foia-and-privacy-act.
    For questions: Contact the FOIA Service Center at<PHONE_NUMBER> or
by email at [email protected].
    Written request for access to records should be directed to:
    For United States Postal Service-delivered mail: Director, Office
of External Affairs, Federal Energy Regulatory Commission, 888 First
Street NE, Washington, DC 20426.
    For hand-delivered or courier-delivered mail: Director, Office of
External Affairs, Federal Energy Regulatory Commission, 12225 Wilkins
Avenue, Rockville, Maryland 20852.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    FERC-24 Commission Miscellaneous Investigation File was last
published at Federal Register Vol. 65, No. 79, Monday, April 24, 2000.

    Dated: November 16, 2021.
Kimberly D. Bose,
Secretary.
[FR Doc. 2021-25285 Filed 11-18-21; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 81, Number 65 (Tuesday, April 5, 2016)]
[Notices]
[Page 19599]
[FR Doc No: 2016-07723]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Notice of Effectiveness of Exempt Wholesale Generator Status

FTS Project Owner 1, LLC..............  EG16-26-000
FTS Master Tenant 1, LLC..............  EG16-27-000
Javelina Interconnection, LLC.........  EG16-28-000
Avalon Solar Partners II LLC..........  EG16-29-000
Goal Line L.P.........................  EG16-30-000
Voyager Wind I, LLC...................  EG16-31-000
Pasadena Cogen, LLC...................  EG16-32-000
Wind Service Sp. z.o.o................  FC16-1-000

    Take notice that during the month of February 2016, the status of
the above-captioned entities as Exempt Wholesale Generators or Foreign
Utility Companies became effective by operation of the Commission's
regulations. 18 CFR 366.7(a).

    Dated: March 30, 2016.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2016-07723 Filed 4-4-16; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 79, Number 164 (Monday, August 25, 2014)]
[Notices]
[Page 50645]
[FR Doc No: 2014-20096]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. ER14-2666-000]

Avalon Solar Partners, LLC; Supplemental Notice That Initial
Market-Based Rate Filing Includes Request for Blanket Section 204
Authorization

    This is a supplemental notice in the above-referenced proceeding of
Avalon Solar Partners, LLC's application for market-based rate
authority, with an accompanying rate tariff, noting that such
application includes a request for blanket authorization, under 18 CFR
Part 34, of future issuances of securities and assumptions of
liability.
    Any person desiring to intervene or to protest should file with the
Federal Energy Regulatory Commission, 888 First Street NE., Washington,
DC 20426, in accordance with Rules 211 and 214 of the Commission's
Rules of Practice and Procedure (18 CFR 385.211 and 385.214). Anyone
filing a motion to intervene or protest must serve a copy of that
document on the Applicant.
    Notice is hereby given that the deadline for filing protests with
regard to the applicant's request for blanket authorization, under 18
CFR Part 34, of future issuances of securities and assumptions of
liability, is September 8, 2014.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper, using the FERC Online links at http://www.ferc.gov. To facilitate electronic service, persons with Internet
access who will eFile a document and/or be listed as a contact for an
intervenor must create and validate an eRegistration account using the
eRegistration link. Select the eFiling link to log on and submit the
intervention or protests.
    Persons unable to file electronically should submit an original and
5 copies of the intervention or protest to the Federal Energy
Regulatory Commission, 888 First Street NE., Washington, DC 20426.
    The filings in the above-referenced proceeding are accessible in
the Commission's eLibrary system by clicking on the appropriate link in
the above list. They are also available for electronic review in the
Commission's Public Reference Room in Washington, DC. There is an
eSubscription link on the Web site that enables subscribers to receive
email notification when a document is added to a subscribed docket(s).
For assistance with any FERC Online service, please email
<EMAIL_ADDRESS>or call<PHONE_NUMBER> (toll free). For
TTY, call<PHONE_NUMBER>.

    Dated: August 18, 2014.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2014-20096 Filed 8-22-14; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 78, Number 175 (Tuesday, September 10, 2013)]
[Notices]
[Pages 55247-55248]
[FR Doc No: 2013-21961]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings 1

    Take notice that the Commission received the following electric
corporate filings:
    Docket Numbers: EC13-142-000.
    Applicants: Osage Wind, LLC.
    Description: Application for Authorization of Transaction under
Section 203 of the Federal Power Act of Osage Wind, LLC.
    Filed Date: 8/29/13.
    Accession Number: 20130829-5196.
    Comments Due: 5 p.m. ET 9/19/13.

    Take notice that the Commission received the following electric
rate filings:

    Docket Numbers: ER10-2881-008; ER10-2882-008; ER10-2883-008; ER10-
2884-008; ER10-2885-008; ER10-2641-008; ER10-2663-008; ER10-2886-008;
ER13-1101-003; ER13-1541-002.
    Applicants: Alabama Power Company, Southern Power Company,
Mississippi Power Company, Georgia Power Company, Gulf Power Company,
Oleander Power Project, Limited Partnership, Southern Company--Florida
LLC, Southern Turner Cimarron I, LLC, Spectrum Nevada Solar, LLC, Camp
Verde Solar, LLC.
    Description: Notice of Non-Material Change in Status of Alabama
Power Company, et al.
    Filed Date: 8/30/13.
    Accession Number: 20130830-5199.
    Comments Due: 5 p.m. ET 9/20/13.

    Docket Numbers: ER13-2284-000.
    Applicants: Southwest Power Pool, Inc.
    Description: 2065R2 Westar Energy, Inc. NITSA and NOA to be
effective 8/1/2013.
    Filed Date: 8/29/13.
    Accession Number: 20130829-5180.
    Comments Due: 5 p.m. ET 9/19/13.

    Docket Numbers: ER13-2285-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: Revisions to PJM OATT & OA re Day-ahead Energy Market
Clearing to be effective 10/28/2013.
    Filed Date: 8/29/13.
    Accession Number: 20130829-5185.
    Comments Due: 5 p.m. ET 9/19/13.

    Docket Numbers: ER13-2286-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: Queue Position S14; Original SA No. 3634 to be
effective 7/31/2013.
    Filed Date: 8/30/13.
    Accession Number: 20130830-5068.
    Comments Due: 5 p.m. ET 9/20/13.

    Docket Numbers: ER13-2287-000.
    Applicants: Southern California Edison Company.
    Description: GIA and Distribution Service Agreement with Carson
Cogeneration Company to be effective 9/1/2013.
    Filed Date: 8/30/13.
    Accession Number: 20130830-5072.
    Comments Due: 5 p.m. ET 9/20/13.

    Docket Numbers: ER13-2288-000.
    Applicants: AEP Texas Central Company, AEP Texas North Company.
    Description: TCC-TNC-South Texas Electric Cooperative And &
Restated TSA to be effective 8/8/2013.
    Filed Date: 8/30/13.
    Accession Number: 20130830-5073.
    Comments Due: 5 p.m. ET 9/20/13.

    Docket Numbers: ER13-2289-000.
    Applicants: AEP Texas North Company.
    Description: TCC-TNC-South Texas EC And & Restated TSA Concurrence
to be effective 8/8/2013.
    Filed Date: 8/30/13.
    Accession Number: 20130830-5074.
    Comments Due: 5 p.m. ET 9/20/13.

    Docket Numbers: ER13-2290-000.
    Applicants: AEP Texas North Company, AEP Texas Central Company.
    Description: TCC-TNC-Texas New Mexico Power Company ERCOT TSA to be
effective 8/8/2013.
    Filed Date: 8/30/13.
    Accession Number: 20130830-5075.
    Comments Due: 5 p.m. ET 9/20/13.

    Docket Numbers: ER13-2291-000.
    Applicants: AEP Texas North Company.
    Description: TCC-TNC-Texas New Mexico Power Company ERCOT TSA
Concurrence to be effective 8/8/2013.
    Filed Date: 8/30/13.
    Accession Number: 20130830-5077.
    Comments Due: 5 p.m. ET 9/20/13.

    Docket Numbers: ER13-2292-000.
    Applicants: New England Power Pool Participants Committee.

    Description: September 2013. Membership Filing to be effective 8/1/
2013.
    Filed Date: 8/30/13.
    Accession Number: 20130830-5104.
    Comments Due: 5 p.m. ET 9/20/13.

    Docket Numbers: ER13-2293-000.
    Applicants: EDP Renewables North America LLC.
    Description: Petition for Limited Waiver of Tariff Provision and
Request for Expedited Action of EDP Renewables North America LLC.
    Filed Date: 8/30/13.
    Accession Number: 20130830-5117.
    Comments Due: 5 p.m. ET 9/13/13.

    Docket Numbers: ER13-2294-000.
    Applicants: Public Service Company of New Mexico.
    Description: Modification to Section 18.3 and Schedule 7 to be
effective 11/1/2013.
    Filed Date: 8/30/13.
    Accession Number: 20130830-5118.
    Comments Due: 5 p.m. ET 9/20/13.

    Docket Numbers: ER13-2295-000.
    Applicants: Midcontinent Independent System Operator, Inc.
    Description: 08-30-2013 TCDC Filing to be effective 11/15/2013.
    Filed Date: 8/30/13.
    Accession Number: 20130830-5120.
    Comments Due: 5 p.m. ET 9/20/13.

    Docket Numbers: ER13-2296-000.
    Applicants: California Independent System Operator Corporation.
    Description: 2013-08-30--CommitmentCosts to be effective 11/1/2013.
    Filed Date: 8/30/13.
    Accession Number: 20130830-5134.
    Comments Due: 5 p.m. ET 9/20/13.

    Docket Numbers: ER13-2297-000.
    Applicants: Midcontinent Independent System Operator, Inc.
    Description: 08-30-2013 ATC Att GG NUC & Annual Rate Filing to be
effective 9/20/2013.
    Filed Date: 8/30/13.
    Accession Number: 20130830-5146.
    Comments Due: 5 p.m. ET 9/20/13.

    Docket Numbers: ER13-2298-000.
    Applicants: Midcontinent Independent System Operator, Inc.
    Description: 08-30-2013 Module E-1 LRR to be effective 10/29/2013.
    Filed Date: 8/30/13.
    Accession Number: 20130830-5151.
    Comments Due: 5 p.m. ET 9/20/13.

    Docket Numbers: ER13-2299-000.
    Applicants: Midcontinent Independent System Operator, Inc.
    Description: Request for Partial Waiver and Motion for Expedited
Action of Midcontinent Independent System Operator, Inc.
    Filed Date: 8/30/13.
    Accession Number: 20130830-5169.
    Comments Due: 5 p.m. ET 9/9/13.

    Take notice that the Commission received the following electric
securities filings:

    Docket Numbers: ES13-38-000.
    Applicants: MDU Resources Group, Inc.
    Description: MDU Resources Group, Inc.'s Second Amendment to July
30, 2013 Application to increase its short term borrowings.
    Filed Date: 8/30/13.
    Accession Number: 20130830-5170.
    Comments Due: 5 p.m. ET 9/9/13.

    The filings are accessible in the Commission's eLibrary system by
clicking on the links or querying the docket number.
    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.
    eFiling is encouraged. More detailed information relating to filing
requirements, interventions, protests, service, and qualifying
facilities filings 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<PHONE_NUMBER>.

    Dated: August 30, 2013.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2013-21961 Filed 9-9-13; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register: October 6, 2009 (Volume 74, Number 192)]
[Proposed Rules]
[Page 51243-51245]
[DOCID:fr06oc09-12]

========================================================================
Proposed Rules
                                                Federal Register
________________________________________________________________________

This section of the FEDERAL REGISTER contains notices to the public of
the proposed issuance of rules and regulations. The purpose of these
notices is to give interested persons an opportunity to participate in
the rule making prior to the adoption of the final rules.

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

DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 100

[Docket No. USCG-2009-0520]
RIN 1625-AA08

Special Local Regulation, Fran Schnarr Open Water Championships,
Huntington Bay, NY

AGENCY: Coast Guard, DHS.

ACTION: Notice of proposed rulemaking.

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SUMMARY: The Coast Guard proposes to establish a permanent Special
Local Regulation within the waters of Huntington Bay, New York for the
annual Fran Schnarr Open Water Championships. This proposed Special
Local Regulation is necessary to provide for the safety of life on the
navigable waters of Huntington Bay by protecting swimmers from the
hazards imposed by vessel traffic. This action is intended to increase
the safety of the swimmers by limiting vessel access to a portion of
Huntington Bay, New York during the swim event held on a single day
each July. Entry into this area will be prohibited unless authorized by
the Captain of the Port, Long Island Sound or the designated on-scene
patrol personnel.

DATES: Comments and related material must reach the Coast Guard on or
before November 5, 2009.

ADDRESSES: You may submit comments identified by docket number USCG-
2009-0520 using any one of the following methods:
    (1) Federal eRulemaking Portal: http://www.regulations.gov.
    (2) Fax:<PHONE_NUMBER>.
    (3) Mail: Docket Management Facility (M-30), U.S. Department of
Transportation, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue, SE., Washington, DC 20590-0001.
    (4) Hand delivery: Same as mail address above, between 9 a.m. and 5
p.m., Monday through Friday, except Federal holidays. The telephone
number is<PHONE_NUMBER>.
    To avoid duplication, please use only one of these four methods.
See the ``Public Participation and Request for Comments'' portion of
the SUPPLEMENTARY INFORMATION section below for instructions on
submitting comments.

FOR FURTHER INFORMATION CONTACT: If you have questions on this proposed
rule, call or e-mail: MSTC Christie Dixon, Prevention Department, USCG
Sector Long Island Sound at<PHONE_NUMBER>, e-mail
<EMAIL_ADDRESS>If you have questions on viewing or
submitting material to the docket, call Renee V. Wright, Program
Manager, Docket Operations, telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Public Participation and Request for Comments

    We encourage you to participate in this rulemaking by submitting
comments and related materials. All comments received will be posted
without change to http://www.regulations.gov and will include any
personal information you have provided.

Submitting Comments

    If you submit a comment, please include the docket number for this
rulemaking (USCG-2009-0520), indicate the specific section of this
document to which each comment applies, and provide a reason for each
suggestion or recommendation. You may submit your comments and material
online (via http://www.regulations.gov) or by fax, mail, or hand
delivery, but please use only one of these means. If you submit a
comment online via http://www.regulations.gov, it will be considered
received by the Coast Guard when you successfully transmit the comment.
If you fax, hand delivery, or mail your comment, it will be considered
as having been received by the Coast Guard when it is received at the
Docket Management Facility. We recommend that you include your name and
a mailing address, an e-mail address, or a telephone number in the body
of your document so that we can contact you if we have questions
regarding your submission.
    To submit your comment online, go to http://www.regulations.gov,
click on the ``submit a comment'' box, which will then become
highlighted in blue. In the ``Document Type'' drop down menu select
``Proposed Rule'' and insert ``USCG-2009-0520'' in the ``Keyword'' box.
Click ``Search'' then click on the balloon shape in the ``Actions''
column. If you submit your comments by mail or hand delivery, submit
them in an unbound format, no larger than 8\1/2\ by 11 inches, suitable
for copying and electronic filing. If you submit comments by mail and
would like to know that they reached the Facility, please enclose a
stamped, self-addressed postcard or envelope. We will consider all
comments and material received during the comment period and may change
the rule based on your comments.

Viewing Comments and Documents

    To view comments, as well as documents mentioned in this preamble
as being available in the docket, go to http://www.regulations.gov,
select the Advanced Docket Search option on the right side of the
screen, insert USCG-2009-0520 in the Docket ID box, press Enter, and
then click on the item in the Docket ID column. You may also visit the
Docket Management Facility in Room W12-140 on the ground floor of the
Department of Transportation West Building, 1200 New Jersey Avenue,
SE., Washington, DC 20590, between 9 a.m. and 5 p.m., Monday through
Friday, except Federal holidays. We have an agreement with the
Department of Transportation to use the Docket Management Facility.

Privacy Act

    Anyone can search the electronic form of comments received into any
of our dockets by the name of the individual submitting the comment (or
signing the comment, if submitted on behalf of an association,
business, labor union, etc.). You may review a Privacy Act notice
regarding our public dockets in the January 17, 2008 issue of the
Federal Register (73 FR 3316).

Public Meeting

    We do not now plan to hold a public meeting. But you may submit a
request for one using one of the four methods specified under
ADDRESSES. Please explain why you believe a public meeting would be
beneficial. If we

determine that one would aid this rulemaking, we will hold one at a
time and place announced by a later notice in the Federal Register.

Background and Purpose

    Over the last several years, Metropolitan Swimming, Inc. has hosted
an annual open water championship swim on the waters of Huntington Bay,
NY during a single day in July. This swim has historically involved up
to 150 swimmers and accompanying safety craft. Last year, the Coast
Guard established a temporary special local regulation to protect the
swimmers and safety craft from the hazards imposed by passing water
traffic and other water related activities (74 FR 33144 [USCG-2009-
0520]).
    To ensure the continued safety of the swimmers, safety craft and
the boating public, the Coast Guard is proposing to establish a special
local regulation around the race course for the duration of the race,
generally from 7:15 a.m. to 11:30 a.m. on the day of the race.

Discussion of Proposed Rule

    The Coast Guard proposes to establish a special local regulation on
the navigable waters of Huntington Bay, NY that would exclude all
unauthorized persons and vessels from approaching within 100 yards of
the proposed race course which consists of the following points: Start/
Finish at approximate location 40[deg]54'25.8'' N 073[deg]24'28.8'' N,
East Turn at approximate location 40[deg]54'45'' N 073[deg]23'36.6'' N
and a West Turn at approximate location 40[deg]54'31.2'' N
073[deg]25'21'' N. This action is intended to prohibit vessel traffic
in this portion of Huntington Bay, NY to provide for the safety of
swimmers, swimmer safety craft and the boating community from the
hazards posed by vessels operating near persons participating in this
open water swim.
    While the special local regulation will be permanent, it will only
be enforced for approximately four hours and fifteen minutes on a
single day in July that will be specified annually. Notification of the
race date and subsequent enforcement of the special local regulation
will be made via separate notice in the Federal Register, marine
broadcasts and local notice to mariners. Entry into this area would be
prohibited unless authorized by the Captain of the Port Long Island
Sound or the designated on-scene patrol personnel. Marine traffic that
may safely do so may transit outside of the area during the enforcement
period, allowing navigation in all other portions of Huntington Bay, NY
not covered by this rule. Any violation of the special local regulation
described herein is punishable by civil and criminal penalties, in rem
liability against the offending vessel, and license sanctions.

Regulatory Analyses

    We developed this proposed rule after considering numerous statutes
and executive orders related to rulemaking. Below we summarize our
analyses based on 13 of these statutes or executive orders.

Regulatory Planning and Review

    This proposed rule is not a significant regulatory action under
section 3(f) of Executive Order 12866, Regulatory Planning and Review,
and does not require an assessment of potential costs and benefits
under section 6(a)(3) of that Order. The Office of Management and
Budget has not reviewed it under that Order.
    We expect the economic impact of this proposed rule to be so
minimal that a full Regulatory Evaluation is unnecessary. This
regulation may have some impact on the public, but the potential impact
would be minimized for the following reason: vessels may transit in all
areas of Huntington Bay, NY other than the area of the special local
regulation with minimal increased transit time and the special local
regulation will only be enforced for approximately four and a quarter
hours on a single specified day each July.

Small Entities

    Under the Regulatory Flexibility Act (5 U.S.C. 601-612), we have
considered whether this proposed rule would have a significant economic
impact on a substantial number of small entities. The term ``small
entities'' comprises small businesses, not-for-profit organizations
that are independently owned and operated and are not dominant in their
fields, and governmental jurisdictions with populations of less than
50,000.
    The Coast Guard certifies under 5 U.S.C. 605(b) that this proposed
rule would not have a significant economic impact on a substantial
number of small entities. This proposed rule may affect the following
entities, some of which may be small entities: the owners or operators
of vessels intending to transit in those portions of Huntington Bay, NY
covered by the special local regulation. For the reasons outlined in
the Regulatory Evaluation section above, this rule will not have a
significant impact on a substantial number of small entities. If you
think that your business, organization, or governmental jurisdiction
qualifies as a small entity and that this rule would have a significant
economic impact on it, please submit a comment (see ADDRESSES)
explaining why you think it qualifies and how and to what degree this
rule would economically affect it.

Assistance for Small Entities

    Under section 213(a) of the Small Business Regulatory Enforcement
Fairness Act of 1996 (Pub. L. 104-121), we want to assist small
entities in understanding this proposed rule so that they can better
evaluate its effects on them and participate in the rulemaking. If the
rule would affect your small business, organization, or governmental
jurisdiction and you have questions concerning its provisions or
options for compliance, please contact: MST1 Christie Dixon, Prevention
Department, USCG Sector Long Island Sound at<PHONE_NUMBER>,
<EMAIL_ADDRESS>The Coast Guard will not retaliate against
small entities that question or complain about this proposed rule or
any policy or action of the Coast Guard.

Collection of Information

    This proposed rule would call for no new collection of information
under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520).

Federalism

    A rule has implications for federalism under Executive Order 13132,
Federalism, if it has a substantial direct effect on State or local
governments and would either preempt State law or impose a substantial
direct cost of compliance on them. We have analyzed this proposed rule
under that Order and have determined that it does not have implications
for federalism.

Unfunded Mandates Reform Act

    The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538)
requires Federal agencies to assess the effects of their discretionary
regulatory actions. In particular, the Act addresses actions that may
result in the expenditure by a State, local, or tribal government, in
the aggregate, or by the private sector of $100,000,000 or more in any
one year. Though this proposed rule would not result in such an
expenditure, we do discuss the effects of this rule elsewhere in this
preamble.

Taking of Private Property

    This proposed rule would not effect a taking of private property or
otherwise have taking implications under Executive Order 12630,
Governmental Actins and Interference with Constitutionally Protected
Property Rights.

Civil Justice Reform

    This proposed rule meets applicable standards in sections 3(a) and
3(b)(2) of Executive Order 12988, Civil Justice Reform, to minimize
litigation, eliminate ambiguity, and reduce burden.

Protection of Children

    We have analyzed this proposed rule under Executive Order 13045,
Protection of Children from Environmental Health Risks and Safety
Risks. This rule is not an economically significant rule and would not
create an environmental risk to health or risk to safety that might
disproportionately affect children.

Indian Tribal Governments

    This proposed rule does not have tribal implications under
Executive Order 13175, Consultation and Coordination with Indian Tribal
Governments, because it would not have a substantial direct effect on
one or more Indian tribes, on the relationship between the Federal
Government and Indian tribes, or on the distribution of power and
responsibilities between the Federal Government and Indian tribes.

Energy Effects

    We have analyzed this proposed rule under Executive Order 13211,
Actions Concerning Regulations That Significantly Affect Energy Supply,
Distribution, or Use. We have determined that it is not a ``significant
energy action'' under that order because it is not a ``significant
regulatory action'' under Executive Order 12866 and is not likely to
have a significant adverse effect on the supply, distribution, or use
of energy. The Administrator of the Office of Information and
Regulatory Affairs has not designated it as a significant energy
action. Therefore, it does not require a Statement of Energy Effects
under Executive Order 13211.

Technical Standards

    The National Technology Transfer and Advancement Act (NTTAA) (15
U.S.C. 272 note) directs agencies to use voluntary consensus standards
in their regulatory activities unless the agency provides Congress,
through the Office of Management and Budget, with an explanation of why
using these standards would be inconsistent with applicable law or
otherwise impractical. Voluntary consensus standards are technical
standards (e.g., specifications of materials, performance, design, or
operation; test methods; sampling procedures; and related management
systems practices) that are developed or adopted by voluntary consensus
standards bodies.
    This proposed rule does not use technical standards. Therefore, we
did not consider the use of voluntary consensus standards.

Environment

    We have analyzed this proposed rule under Department of Homeland
Security Management Directive 023-01 and Commandant Instruction
M16475.lD, which guide the Coast Guard in complying with the National
Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4321-4370f), and
have made a preliminary determination that this action is one of a
category of actions which do not individually or cumulatively have a
significant effect on the human environment. A preliminary
environmental analysis checklist supporting this determination is
available in the docket where indicated under ADDRESSES. This proposed
rule involves the establishment of a special local regulation which is
categorically excluded from further environmental analysis under
paragraph 34(h) of the Instruction. We seek any comments or information
that may lead to the discovery of a significant environmental impact
from this proposed rule.

List of Subjects in 33 CFR Part 100

    Marine safety, Navigation (water), Reporting and recordkeeping
requirements, Waterways.

    For the reasons discussed in the preamble, the Coast Guard proposes
to amend 33 CFR part 100 as follows:

PART 100--SAFETY OF LIFE ON NAVIGABLE WATERS

    1. The authority citation for part 100 continues to read as
follows:

    Authority:  33 U.S.C. 1233.

    2. Add Sec.  100.123 to read as follows:

Sec.  100.123:  Fran Schnarr Open Water Championships, Huntington Bay,
New York.

    (a) Regulated area. All navigable waters of Huntington Bay, NY
within 100 yards of the swim race course consisting of the following
points: Start/Finish at approximate position 40[deg]54'25.8'' N
073[deg]24'28.8'' N, East Turn at approximate position 40[deg]54'45'' N
073[deg]23'36.6'' N and a West Turn at approximate position
40[deg]54'31.2'' N 073[deg]25'21'' N.
    (b) Definitions. The following definition applies to this section:
Designated on-scene patrol personnel, means any commissioned, warrant
or petty officer of the U.S. Coast Guard operating Coast Guard vessels
who have been authorized to act on the behalf of the Captain of the
Port Long Island Sound.
    (c) Special local regulations. (1) The general regulations
contained in 33 CFR 100.35 and 100.40 apply.
    (2) In accordance with the general regulations in Sec.  100.35 of
this part, No person or vessel may enter, transit, or remain within the
regulated area during the effective period of regulation unless they
are officially participating in the Fran Schnarr Open Water Swim event
or are otherwise authorized by the Designated On-scene Patrol
Personnel.
    (3) All persons and vessels must comply with the instructions from
the Coast Guard Captain of the Port Long Island Sound or the designated
on-scene patrol personnel. The Designated On-scene Patrol Personnel may
delay, modify, or cancel the swim event as conditions or circumstances
require.
    (4) Upon being hailed by a U.S. Coast Guard vessel by siren, radio,
flashing light or other means, the operator of the vessel must proceed
as directed.
    (5) Persons and vessels desiring to enter the regulated area may
request permission to enter from the designated on scene patrol
personnel on VHF-16 or to the Captain of the Port, Long Island Sound
via phone at<PHONE_NUMBER>.
    (d) Enforcement Period. This rule is enforced from 7:15 a.m. to
11:30 a.m. on a specified day each July to be determined on an annual
basis. Notification of the specific date for the swim race and
enforcement of the special local regulation will be made via separate
notice in the Federal Register, marine broadcasts and local notice to
mariners.

    Dated: June 17, 2009.
Daniel A. Ronan,
Captain, U.S. Coast Guard, Captain of the Port Long Island Sound.
[FR Doc. E9-24007 Filed 10-5-09; 8:45 am]

BILLING CODE 4910-15-P


[Federal Register Volume 85, Number 229 (Friday, November 27, 2020)]
[Rules and Regulations]
[Pages 75834-75838]
[FR Doc No: 2020-25493]

=======================================================================
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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2018-0893; Product Identifier 2018-SW-032-AD; Amendment
39-21319; AD 2020-23-03]
RIN 2120-AA64

Airworthiness Directives; Airbus Helicopters

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule.

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

SUMMARY: The FAA is superseding Airworthiness Directive (AD) 2017-09-05
for Airbus Helicopters Model AS332C, AS332C1, AS332L, AS332L1, AS332L2,
and EC225LP helicopters. AD 2017-09-05 required repetitively checking
screws in the emergency flotation gear. This new AD retains the
requirements of AD 2017-09-05 but also requires installing a
modification (MOD), which is a terminating action for the repetitive
checks. This AD was prompted by the development of the MOD by Airbus
Helicopters that addresses the unsafe condition. The actions of this AD
are intended to address an unsafe condition on these products.

DATES: This AD is effective January 4, 2021.
    The Director of the Federal Register approved the incorporation by
reference of certain publications listed in this AD as of January 4,
2021.

ADDRESSES: For service information identified in this final rule,
contact Airbus Helicopters, 2701 N Forum Drive, Grand Prairie, TX
75052; telephone<PHONE_NUMBER> or Fax:<PHONE_NUMBER>; or at https://www.airbus.com/helicopters/services/technical-support.html. You may
view this 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-2018-
0893.

Examining the AD Docket

    You may examine the AD docket on the internet at https://www.regulations.gov in Docket No. FAA-2018-0893; 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 Aviation
Safety Agency (now European Union Aviation Safety Agency) (EASA) AD,
any service information that is incorporated by reference, any comments
received, and other information. The street 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: Matt Fuller, AD Program Manager,
Operational Safety Branch, Airworthiness Products Section, General
Aviation & Rotorcraft Unit, FAA, 10101 Hillwood Pkwy., Fort Worth, TX
76177; telephone<PHONE_NUMBER>; email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Discussion

    The FAA issued a notice of proposed rulemaking (NPRM) to amend 14
CFR part 39 to remove AD 2017-09-05, Amendment 39-18867 (82 FR 21913,
May 11, 2017) (``AD 2017-09-05''), and add a new AD. AD 2017-09-05
applied to Airbus Helicopters Model AS332C, AS332C1, AS332L, AS332L1,
AS332L2, and EC225LP helicopters with emergency flotation gear
installed. The NPRM published in the Federal Register on August 7, 2020
(85 FR 47921). The NPRM proposed to require, within 15 hours time-in-
service (TIS) and thereafter, before each flight over water, visually
checking each emergency flotation gear left-hand (LH) and right-hand
(RH) rear upper fitting for the presence of screw heads and looseness.
An owner/operator (pilot) may perform the required visual check but
must enter compliance with the applicable paragraph of this AD in the
helicopter maintenance records in accordance with 14 CFR 43.9(a)(1)
through (4) and 91.417(a)(2)(v). A pilot may perform this check because
it involves visually checking the rear upper fittings of the LH and RH
emergency flotation gears for the presence of screw heads and twisting
the screws by hand. This action can be performed equally well by a
pilot or a mechanic. This check is an exception to the FAA's standard
maintenance regulations. If any screws are loose or any screw heads are
missing, the NPRM proposed to require removing from service the screws
on each LH and RH side on the flotation gear rear fitting and
installing MOD 0728456, base washers and spherical washers. The NPRM
also proposed to require, within 300 hours TIS, installing MOD 0728456
as a terminating action for the repetitive checks.
    AD 2017-09-05 was prompted by EASA AD 2015-0239-E, dated December
18, 2015 (EASA AD 2015-0239-E), issued by EASA, which is the Technical
Agent for the Member States of the European Union, to correct an unsafe
condition for Airbus Helicopters Model AS332C, AS332C1, AS332L,
AS332L1, AS332L2, and EC225LP helicopters. EASA advised that a screw
ruptured on the rear upper fitting on the LH emergency flotation gear
of an AS332 helicopter. EASA stated that this condition, if not
detected and corrected, could result in the failure of an emergency
flotation system when ditching and unstable floating of the helicopter,
possibly resulting in injuries to the occupants. The EASA AD
consequently required repetitive inspections of the lower attachment
screws of rear upper fitting on the rear LH and RH emergency flotation
gears. EASA stated that the root cause of the failure had not yet been
identified.
    After the FAA issued AD 2017-09-05, Airbus Helicopters identified
the root cause of the screw rupture as a tapering gap under the fitting
attachment screw heads creating excessive stress loads. Consequently,
EASA issued AD No. 2018-0090, dated April 20, 2018 (EASA AD 2018-0090),
to supersede EASA AD 2015-0239-E. EASA AD 2018-0090 retains the
repetitive inspection requirements in EASA AD 2015-0239-E and also
requires the installation of Airbus Helicopters MOD 0728456 as a
terminating action for the repetitive inspections. MOD 0728456 involves
the installation of spherical washers and longer screws on the rear
upper fittings of the flotation gear to remove the stress applied to
the screw heads.

Actions Since the NPRM Was Issued

    Since the FAA issued the NPRM, it was identified that the NPRM
specified installing MOD 0728456 by using Airbus Helicopters Alert
Service Bulletin (ASB) No. AS332-25.03.43 or ASB No. EC225-25A207, each
Revision 0 and dated April 4, 2018, in paragraphs (f)(3)(i) through
(iii) of this AD. However, the FAA intended to update this service
information to Airbus Helicopters ASB No. AS332-25.03.43 or ASB No.
EC225-25A207, each Revision 2 and dated March 21, 2019. Since the
updated service information does not affect compliance, this final rule
allows the use of either Revision 0 or Revision 2 of this service
information to install MOD 0728456.

Comments

    The FAA gave the public the opportunity to participate in
developing this final rule, but the FAA did not receive any comments on
the NPRM or on the determination of the cost to the public.

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 of the information provided by EASA and determining the
unsafe condition exists and is likely to exist or develop on other
helicopters of these same type design and that air safety and the
public interest require adopting the AD requirements as proposed except
for minor editorial changes. The two instances of 17mm (+ 0.1/+ 0.1) as
published in the Required Actions of the NPRM have been corrected to
17mm (+ 0.1/- 0.1). These minor editorial changes are consistent with
the intent of the proposals in the NPRM and will not increase the
economic burden on any operator nor increase the scope of this AD.

Differences Between This AD and the EASA AD

    The EASA AD allows using tools for the inspection, while this AD
requires checking by hand. The EASA AD requires contacting Airbus
Helicopters if a screw is missing or loose, while this AD does not. The
EASA AD requires that repetitive inspections occur at intervals not to
exceed 15 hours TIS, while this AD requires the repetitive checks
before each flight over water.

Related Service Information Under 1 CFR Part 51

    Airbus Helicopters has issued ASB No. AS332-25.03.43, Revision 0,
dated April 4, 2018, for Model AS332C, AS332C1, AS332L, AS332L1, and
AS332L2 helicopters and for military Model AS332B, AS332B1, AS332F1,
AS332M, and AS332M1 helicopters. The FAA also reviewed ASB No. EC225-
25A207, Revision 0, dated April 4, 2018, for Model EC 225 LP
helicopters. This service information specifies, within 12 months,
installing MOD 0728456 by installing spherical leveling washers and
longer screws to attach the rear upper fittings of the LH and RH
emergency flotation gear. Airbus

Helicopters specifies that helicopters that have undergone MOD 0728456
are exempt from these service information requirements. Airbus
Helicopters revised each of these ASBs, now at Revision 2 and dated
March 21, 2019, to specify an alternative to the protection of the
spotfacing(s) and add an instruction to apply primer after the
protection and before painting the parts.
    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.

Other Related Service Information

    Airbus Helicopters has issued Emergency Alert Service Bulletin
(EASB) No. 05.01.06, Revision 0, dated December 18, 2015, for Model
AS332C, AS332C1, AS332L, AS332L1, and AS332L2 helicopters and for
military Model AS332B, AS332B1, AS332F1, AS332M, and AS332M1
helicopters, and EASB No. 05A047, Revision 0, dated December 18, 2015,
for Model EC225LP helicopters. This service information specifies
repetitively inspecting the lower screws of the rear upper fitting on
the rear LH and RH emergency floating gears for the presence of the
heads and stressing the screw heads using a tool to make sure that the
screw head does not move. If all screw heads are present, the service
information requires no further action. If at least one screw head is
missing or is loose, the service information specifies replacing the
two lower screws and the upper screw and informing Airbus Helicopters.
Airbus Helicopters revised each of these EASBs to Revision 1, dated
April 4, 2018, to exclude helicopters with MOD 0728456 installed from
the effectivity.

Costs of Compliance

    The FAA estimates that this AD affects 29 helicopters of U.S.
Registry. The FAA estimates that operators may incur the following
costs in order to comply with this AD. Labor costs are estimated at $85
per work-hour.
    Checking the screws for looseness and a missing head takes about 5
minutes, for an estimated cost of about $7 per helicopter and $203 for
the U.S. fleet.
    Performing the MOD takes about 16 work-hours, and parts cost about
$3,030 for total estimated cost of $4,390 per helicopter and $127,310
for the U.S. fleet.

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

    The FAA has determined that this AD will not have federalism
implications under Executive Order 13132. This AD will not have a
substantial direct effect on the States, on the relationship between
the national government and the States, or on the distribution of power
and responsibilities among the various levels of government.
    For the reasons discussed above, I certify that this AD:
    (1) Is not a ``significant regulatory action'' under Executive
Order 12866,
    (2) 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.

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:
0
a. Removing Airworthiness Directive (AD) 2017-09-05, Amendment 39-18867
(82 FR 21913, May 11, 2017); and
0
b. Adding the following new AD:

2020-23-03 Airbus Helicopters: Amendment 39-21319; Docket No. FAA-
2018-0893; Product Identifier 2018-SW-032-AD.

(a) Applicability

    This airworthiness directive (AD) applies to Airbus Helicopters
Model AS332C, AS332C1, AS332L, AS332L1, AS332L2, and EC225LP
helicopters with emergency flotation gear installed, certificated in
any category, except those helicopters that have Airbus Helicopters
Modification (MOD) 0728456 already installed.

(b) Unsafe Condition

    This AD defines the unsafe condition as failure of a rear upper
screw fitting on the emergency flotation gear. This condition, if
not detected and corrected, could result in failure of the emergency
flotation system and subsequent capsizing of the helicopter.

(c) Affected ADs

    This AD replaces AD 2017-09-05, Amendment 39-18867 (82 FR 21913,
May 11, 2017).

(d) Effective Date

    This AD becomes effective January 4, 2021.

(e) 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.

(f) Required Actions

    (1) Within 15 hours time-in-service (TIS), and before each
flight over water thereafter, visually check each emergency
flotation gear left hand (LH) and right hand (RH) rear upper fitting
to determine whether the heads of the lower screws are present.
Figure 1 to paragraph (f)(1) of this AD depicts where the lower
three screws (noted as B and E) are located. Check each screw for
looseness by determining whether it can be rotated by hand. These
actions may be performed by the owner/operator (pilot) holding at
least a private pilot certificate and must be entered into the
aircraft records showing compliance with this AD in accordance with
14 CFR 43.9(a)(1) through (4) and 14 CFR 91.417(a)(2)(v). The record
must be maintained as required by 14 CFR 91.417, 121.380, or
135.439.

[GRAPHIC] [TIFF OMITTED] TR27NO20.069

    (2) If a screw head is missing, or if a screw is loose, before
further flight over water, install MOD 0728456 by completing
paragraph (f)(3) of this AD.
    (3) Within 300 hours TIS, unless required before further flight
over water by paragraph (f)(2) of this AD, install MOD 0728456 by
doing the following:

    Note 1 to paragraph (f)(3): The installation of MOD 0728456 on
the LH and RH sides is identical.

    (i) Remove external fitting (a) and remove from service screws
(c), (d) and (e), washers (f), and nuts (g) as shown in Figure 1,
Detail A of Airbus Helicopters Alert Service Bulletin (ASB) No.
AS332-25.03.43, Revision 0, dated April 4, 2018 (ASB AS332-25.03-43
Rev 0), or ASB No. EC225-25A207, Revision 0, dated April 4, 2018
(ASB EC225-25A207 Rev 0), as applicable to your model helicopter. As
an option, you may use Airbus Helicopters ASB No. AS332-25.03.43 or
ASB No. EC225-25A207, each Revision 2 and dated March 21, 2019 (ASB
AS332-25.03-43 Rev 2 or ASB EC225-25A207 Rev 2), as applicable to
your model helicopter, instead of ASB AS332-25.03-43 Rev 0 or ASB
EC225-25A207 Rev 0.
    (ii) Install base washers (1) (structural side), spherical
washers (2) (screw side), and screws (3) and coat with sealing
compound (or similar) on the smooth surface of the nuts (5) as shown
in Figure 2 of ASB AS332-25.03-43 Rev 0 or ASB EC225-25A207 Rev 0,
as applicable to your model helicopter. As an option, you may use
ASB AS332-25.03-43 Rev 2 or ASB EC225-25A207 Rev 2, as applicable to
your model helicopter, instead of ASB AS332-25.03-43 Rev 0 or ASB
EC225-25A207 Rev 0.
    (iii) Inspect each washer on the external fitting (a) for
contact with a weld as shown in Figure 2, Detail A of ASB AS332-
25.03-43 Rev 0 or ASB EC225-25A207 Rev 0, and inspect each washer on
the internal fitting for contact with the fitting radius. As an
option, you may use or ASB AS332-25.03-43 Rev 2 or ASB EC225-25A207
Rev 2, as applicable to your model helicopter, instead of ASB AS332-
25.03-43 Rev 0 or ASB EC225-25A207 Rev 0.

    (A) If a washer on the external fitting makes contact with a
weld, perform a spotfacing to the diameter of 17mm (+ 0.1/- 0.1)
with a cutter root radius of 0.5mm.
    (B) If a washer on the internal fitting falls in the radius of
the bracket, perform a spotfacing to the diameter of 17mm (+ 0.1/-
0.1) with a cutter root radius of 0.5mm.
    (iv) Torque each nut to 169-203 lbf.in (1.9-2.3 daN.m), and
apply sealing compound to outer edge of the LH rear upper fitting.
    (4) Completion of the requirements in paragraph in (f)(3) of
this AD constitutes terminating action for the repetitive checks
required in paragraph (f)(1) of this AD.

(g) Special Flight Permits

    Special flight permits are prohibited for flights over water.

(h) Alternative Methods of Compliance (AMOCs)

    (1) The Manager, Rotorcraft Standards Branch, FAA, may approve
AMOCs for this AD. Send your proposal to: Matthew Fuller, AD Program
Manager, Operational Safety Branch, Airworthiness Products Section,
General Aviation & Rotorcraft Unit, 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.

(i) Additional Information

    (1) Airbus Helicopters Emergency Alert Service Bulletin (EASB)
No. 05.01.06, and EASB No. 05A047, each Revision 0 and dated
December 18, 2015, and each Revision 1 and dated April 4, 2018,
which are not incorporated by reference, contain additional
information about the subject of this AD. For service information
identified in this AD, contact Airbus Helicopters, 2701 N Forum
Drive, Grand Prairie, TX 75052; telephone<PHONE_NUMBER> or 800-232-
0323; fax<PHONE_NUMBER>; or at https://www.airbus.com/helicopters/services/technical-support.html. You may view a copy of the service
information at the FAA, Office of the Regional Counsel, Southwest
Region, 10101 Hillwood Pkwy., Room 6N-321, Fort Worth, TX 76177.
    (2) The subject of this AD is addressed in European Aviation
Safety Agency (now European Union Aviation Safety Agency) (EASA) AD
No. 2018-0090, dated April 20, 2018. You may view the EASA AD on the
internet at https://www.regulations.gov in Docket No. FAA-2018-0893.

(j) Subject

    Joint Aircraft Service Component (JASC) Code: 3212, Emergency
Flotation Section.

(k) 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) Airbus Helicopters Alert Service Bulletin (ASB) No. AS332-
25.03.43, Revision 0, dated April 4, 2018.
    (ii) Airbus Helicopters ASB No. AS332-25.03.43, Revision 2,
dated March 21, 2019.
    (iii) Airbus Helicopters ASB No. EC225-25A207, Revision 0, dated
April 4, 2018.
    (iv) Airbus Helicopters ASB No. EC225-25A207, Revision 2, dated
March 21, 2019.
    (3) For service information identified in this AD, contact
Airbus Helicopters, 2701 N Forum Drive, Grand Prairie, TX 75052;
telephone<PHONE_NUMBER> or Fax:<PHONE_NUMBER>; or at https://www.airbus.com/helicopters/services/technical-support.html.
    (4) You may view this service information 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>.
    (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 October 27, 2020.
Lance T. Gant,
Director, Compliance & Airworthiness Division, Aircraft Certification
Service.
[FR Doc. 2020-25493 Filed 11-25-20; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register: April 22, 2009 (Volume 74, Number 76)]
[Rules and Regulations]
[Page 18288-18290]
[DOCID:fr22ap09-2]

=======================================================================
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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 71

[Docket No. FAA-2008-1259; Airspace Docket No. 08-ASO-1]

Modification of the Atlantic High and San Juan Low Offshore
Airspace Areas; East Coast, United States

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule.

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SUMMARY: This action will amend the boundaries of the Atlantic High and
San Juan Low Offshore Airspace Areas located off the east coast of the
United States. The implementation of the West Atlantic Route System
Plus (WATRS Plus) project modified the boundaries of the Miami Control
Area (CTA)/Flight Identification Region (FIR), the San Juan CTA/FIR,
and the New York Oceanic CTA/FIR. This action modifies the Atlantic
High and San Juan Low Offshore Airspace Area boundaries to coincide
with the CTA/FIR changes.

DATES: Effective Date: 0901 UTC, July 2, 2009. The Director of the
Federal Register approves this incorporation by reference action under
1 CFR part 51, subject to the annual revision of FAA Order 7400.9 and
publication of conforming amendments.

FOR FURTHER INFORMATION CONTACT: Paul Gallant, Airspace and Rules
Group, Office of System Operations Airspace and AIM, Federal Aviation
Administration, 800 Independence Avenue, SW., Washington, DC 20591;
telephone:<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

History

    On Thursday January 15, 2009, the FAA published in the Federal
Register a notice of proposed rulemaking to modify the Atlantic High
and San Juan Low Offshore Airspace Areas, East Coast, United States (74
FR 2427). Interested parties were invited to participate in this
rulemaking effort by submitting written comments on the proposal. No
comments were received. With the exception of editorial changes, this
amendment is the same as that proposed in the NPRM.
    High offshore airspace areas are published in paragraph 2003, and
low offshore airspace areas are published in paragraph 6007, of FAA
Order 7400.9S signed October 3, 2008, and effective October 31, 2008,
which is incorporated by reference in 14 CFR 71.1. The offshore
airspace areas listed in this

document will be published subsequently in the Order.

The Rule

    This action amends Title 14 Code of Federal Regulations (14 CFR)
part 71 by modifying the boundaries of the Atlantic High and San Juan
Low Offshore Airspace Areas to match recent boundary changes to the
Miami, San Juan and New York Oceanic CTA/FIRs. The CTA/FIR boundaries
were modified due to the implementation of the WATRS Plus project,
which introduced a redesigned route structure and a reduced lateral
separation standard on oceanic routes in the WATRS Plus CTAs to enhance
en route capacity. This change is a minor realignment of one point
common to both the Atlantic High and San Juan Low Offshore Airspace
area boundaries. The point at lat. 21[deg]08'00' N., long.
67[deg]45'00'' W. is changed to read lat. 21[deg]14'21'' N., long.
67[deg]39'02'' W.
    The FAA has determined that this regulation only involves an
established body of technical regulations for which frequent and
routine amendments are necessary to keep them operationally current.
Therefore, this regulation: (1) Is not a ``significant regulatory
action'' under Executive Order 12866; (2) is not a ``significant rule''
under Department of Transportation (DOT) Regulatory Policies and
Procedures (44 FR 11034; February 26, 1979); and (3) does not warrant
preparation of a regulatory evaluation as the anticipated impact is so
minimal. Since this is a routine matter that will only affect air
traffic procedures and air navigation, it is certified that this rule,
when promulgated, will not have a significant economic impact on a
substantial number of small entities under the criteria of the
Regulatory Flexibility Act.
    The FAA's authority to issue rules regarding aviation safety is
found in Title 49 of the United States Code. Subtitle I, Section 106
describes the authority of the FAA Administration. Subtitle VII,
Aviation Programs, describes in more detail the scope of the agency's
authority.
    This rulemaking is promulgated under the authority described in
Subtitle VII, Part A, Subpart I, Section 40103. Under that section, the
FAA is charged with prescribing regulations to assign the use of the
airspace necessary to ensure the safety of aircraft and the efficient
use of airspace. This regulation is within the scope of that authority
as it enhances the safety of aircraft within the National Airspace
System.

ICAO Considerations

    As this action relates to navigable airspace outside the United
States, this notice is submitted in accordance with the International
Civil Aviation Organization (ICAO) International Standards and
Recommended Practices.
    The application of International Standards and Recommended
Practices by the FAA, Office of System Operations Airspace and AIM,
Airspace & Rules, in areas outside the United States domestic airspace,
is governed by the Convention on International Civil Aviation.
Specifically, the FAA is governed by Article 12 and Annex 11, which
pertain to the establishment of necessary air navigational facilities
and services to promote the safe, orderly, and expeditious flow of
civil air traffic. The purpose of Article 12 and Annex 11 is to ensure
that civil aircraft operations on international air routes are
performed under uniform conditions.
    The International Standards and Recommended Practices in Annex 11
apply to airspace under the jurisdiction of a contracting state,
derived from ICAO. Annex 11 provisions apply when air traffic services
are provided and a contracting state accepts the responsibility of
providing air traffic services over high seas or in airspace of
undetermined sovereignty.
    A contracting state accepting this responsibility may apply the
International Standards and Recommended Practices that are consistent
with standards and practices utilized in its domestic jurisdiction.
    In accordance with Article 3 of the Convention, state-owned
aircraft are exempt from the Standards and Recommended Practices of
Annex 11. The United States is a contracting state to the Convention.
Article 3(d) of the Convention provides that participating state
aircraft will be operated in international airspace with due regard for
the safety of civil aircraft. Since this action involves the
designation of navigable airspace outside the United States, the
Administrator consulted with the Secretary of State and the Secretary
of Defense in accordance with the provisions of Executive Order 10854.

Environmental Review

    The FAA has determined that this action qualifies for categorical
exclusion under the National Environmental Policy Act in accordance
with paragraph 311a of FAA Order 1050.1E, Environmental Impacts:
Polices and Procedures. This airspace action is not expected to cause
any potentially significant environmental impacts, and no extraordinary
circumstances exist that warrant preparation of an environmental
assessment.

List of Subjects in 14 CFR Part 71

    Airspace, Incorporation by reference, Navigation (air).

Adoption of the Amendment

0
In consideration of the foregoing, the Federal Aviation Administration
amends 14 CFR part 71 as follows:

PART 71--DESIGNATION OF CLASS A, B, C, D AND E AIRSPACE AREAS; AIR
TRAFFIC SERVICE ROUTES; AND REPORTING POINTS

0
1. The authority citation for part 71 continues to read as follows:

    Authority: 49 U.S.C. 106(g), 40103, 40113, 40120; E.O. 10854, 24
FR 9565, 3 CFR, 1959-1963 Comp., p. 389.

Sec.  71.1  [Amended]

0
2. The incorporation by reference in 14 CFR 71.1 of FAA Order 7400.9S,
Airspace Designations and Reporting Points, signed October 3, 2008 and
effective October 31, 2008, is amended as follows:

Paragraph 2003 Offshore Airspace Areas.

* * * * *

Atlantic High [Amended]

    That airspace extending upward from 18,000 feet MSL to and
including FL 600 within the area bounded on the east from north to
south by the Moncton FIR, New York Oceanic CTA/FIR, and the San Juan
Oceanic CTA/FIR; to the point where the San Juan Oceanic CTA/FIR
boundary turns southwest at lat. 21[deg]14'21'' N., long.
67[deg]39'02'' W., thence from that point southeast via a straight
line to intersect a 100-mile radius of the Fernando Luis Ribas
Dominicci Airport at lat. 19[deg]47'28'' N., long. 67[deg]09'37''
W., thence counter-clockwise via a 100-mile radius of the Fernando
Luis Ribas Dominicci Airport to lat. 18[deg]53'05'' N., long.
67[deg]47'43'' W., thence from that point northwest via a straight
line to intersect the point where the Santo Domingo FIR turns
northwest at lat. 19[deg]39'00'' N., long. 69[deg]09'00'' W., thence
from that point the area is bounded on the south from east to west
by the Santo Domingo FIR, Port-Au-Prince CTA/FIR, and the Havana
CTA/FIR; bounded on the west from south to north by the Houston
Oceanic CTA/FIR, southern boundary of the Jacksonville Air Route
Traffic Control Center and a line 12 miles offshore and parallel to
the U.S. shoreline.
* * * * *

Paragraph 6007 Offshore Airspace Areas.

* * * * *

San Juan Low, PR [Amended]

    That airspace extending upward from 5,500 feet MSL from the
point of intersection of the San Juan Oceanic CTA/FIR and Miami
Oceanic CTA/FIR boundary at lat. 21[deg]14'21'' N., long.
67[deg]39'02'' W., thence from that point

southeast via a straight line to intersect a 100-mile radius of the
Fernando Luis Ribas Dominicci Airport at lat. 19[deg]47'28'' N.,
long. 67[deg]09'37'' W., thence clockwise via a 100-mile radius of
the Fernando Luis Ribas Dominicci Airport to lat. 18[deg]53'05'' N.,
long. 67[deg]47'43'' W., thence from that point northwest via a
straight line to intersect the point where the Santo Domingo FIR
turns northwest at lat. 19[deg]39'00'' N., long. 69[deg]09'00'' W.,
thence from that point northeast along the San Juan CTA/FIR and
Miami CTA/FIR boundary to the point of beginning.
* * * * *

    Issued in Washington, DC, on April 15, 2009.
Edith V. Parish,
Manager, Airspace and Rules Group.
[FR Doc. E9-9137 Filed 4-21-09; 8:45 am]

BILLING CODE 4910-13-P


[Federal Register Volume 85, Number 71 (Monday, April 13, 2020)]
[Notices]
[Pages 20553-20556]
[FR Doc No: 2020-07649]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-88577; File No. SR-C2-2020-003]

Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of
Filing and Immediate Effectiveness of a Proposed Rule Change To Amend
Rule 6.34 in Connection With Business Continuity and Disaster Recovery
Testing

April 7, 2020.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that on March 26, 2020, Cboe C2 Exchange, Inc. (``Exchange'' or ``C2'')
filed with the Securities and Exchange Commission (``Commission'') the
proposed rule change as described in Items I and II below, which Items
have been prepared by the Exchange. The Commission is publishing this
notice to solicit comments on the proposed rule change from interested
persons.
---------------------------------------------------------------------------

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

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

    Cboe C2 Exchange, Inc. (the ``Exchange'' or ``C2'') proposes to
amend Rule 6.34 in connection with business continuity and disaster
recovery testing. The text of the proposed rule change is provided in
Exhibit 5.
    The text of the proposed rule change is also available on the
Exchange's website (http://markets.cboe.com/us/options/regulation/rule_filings/ctwo/), at the Exchange's Office of the Secretary, and at
the Commission's Public Reference Room.

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

    In its filing with the Commission, the Exchange included statements
concerning the purpose of and basis for the proposed rule change and
discussed any comments it received on the proposed rule change. The
text of these statements may be examined at the places specified in
Item IV below. The Exchange 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
    The Exchange proposes to harmonize Rule 6.34, in connection with
business continuity and disaster recovery testing, with the
corresponding rules of its affiliated options exchanges, Cboe BZX
Exchange, Inc. (``BZX Options'') and Cboe EDGX Exchange, Inc. (``EDGX
Options'').\3\
---------------------------------------------------------------------------

    \3\ The Exchange notes that Cboe Exchange, Inc. (``Cboe
Options'') is simultaneously filing a rule change to harmonize
certain provisions of its business continuity and disaster recovery
testing rules with that of BZX Options and EDGX Options.
---------------------------------------------------------------------------

    As background, Regulation Systems Compliance and Integrity
(``Regulation SCI'') \4\ applies to certain self-regulatory
organizations (including the Exchange), alternative trading systems
(``ATSs''), plan processors, and exempt clearing agencies
(collectively, ``SCI entities''). Specifically, Rule 1004 of Regulation
SCI (``Reg SCI'') states that each SCI entity shall establish standards
for the designation of members or participants that are necessary for
the maintenance of fair and orderly markets in the event of the
activation of the business continuity and disaster recovery plans,
designate such members or participants in scheduled functional and
performance testing of the operation of such plans no less than once
every 12 months, and coordinate the testing of such plans on an
industry- or sector-wide basis with other SCI entities.
---------------------------------------------------------------------------

    \4\ See Securities Exchange Act Release No. 73639 (November 19,
2014), 79 FR 72252 (December 5, 2014) (``SCI Adopting Release'').
---------------------------------------------------------------------------

    In order to comply with the coordination requirement among SCI
entities, the Exchange has conducted the required operational testing
in parallel with the industry-led testing program coordinated by the
Securities Industry and Financial Markets Association (``SIFMA''),
which occurs on an annual basis. In particular, Rule 6.34(b) requires
certain Trading Permit Holders (``TPHs'') that contribute a meaningful
percentage of the Exchange's overall volume must connect to the
Exchange's backup systems and participate in functional and performance
testing as announced

by the Exchange, which occurs at least once every 12 months. This is
consistent with Reg SCI and generally occurs in October. In particular,
subparagraph (b)(1) provides that the Exchange determines the
percentage of volume it considers to be meaningful for purposes of Rule
6.34(b), subparagraph (b)(2) provides that the Exchange measures volume
executed on the Exchange on a quarterly basis, and that the Exchange
also individually notifies all Trading Permit Holders quarterly that
are subject to this paragraph (b) based on the prior calendar quarter's
volume, and subparagraph (b)(3) provides that if a Trading Permit
Holder has not previously been subject to the requirements of this
paragraph (b), such Trading Permit Holder has until the next calendar
quarter before such requirements are applicable.
    In order to harmonize its business continuity and disaster recovery
testing provisions with that of its affiliated options exchanges, the
Exchange proposes to amend subparagraph (b)(2) to allow the Exchange to
identify TPHs designated to test based on trading activity during a
single designated quarter for a given year. In line with this proposed
rule change, the Exchange also subsequently updates the timeframe for
notification to TPHs that are designated for testing in subparagraph
(b)(2) and removes subparagraph (b)(3) as all TPHs will be subject to
the same measurement quarter selected by the Exchange. Specifically,
the proposed rule change provides that the Exchange individually
notifies all TPHs (designated for testing) annually, and at least three
months prior to the scheduled functional and performance testing. The
proposed rule change is substantively identical to the language
regarding testing notification provided in Interpretation and Policy
.01 to Rule 2.4 of BZX Options and EDGX Options. The proposed rule
change is intended to provide the Exchange with greater flexibility in
selecting the most relevant quarter's trade data for which the Exchange
may identify TPHs that will be designated to participate in annual
testing. As such, the Exchange may identify TPHs designated for testing
based on potentially the most representative measure of trading
activity. For example, if the second quarter of the year in which the
test will take place is generally experiencing high volume and trading
activity, such a quarter would provide a better, more relevant and/or
accurate sample of overall activity and trading patterns on the
Exchange than a former, potentially less active quarter or a quarter
farther removed from the test date (e.g., the third quarter of the
preceding year) for which a TPH might have been designated, thus
providing a more relevant and/or accurate, holistic representation of
the TPHs who meet the requirement set forth in Rules 6.34(b). The
proposed rule change provides additional detail regarding the timeframe
for which the Exchange will provide notice to TPHs that have been
designated to test based on a single designated quarter as opposed to a
quarterly basis. The Exchange believes three months is reasonable
advanced notice.
2. Statutory Basis
    The Exchange believes the proposed rule change is consistent with
the Securities Exchange Act of 1934 (the ``Act'') and the rules and
regulations thereunder applicable to the Exchange and, in particular,
the requirements of Section 6(b) of the Act.\5\ Specifically, the
Exchange believes the proposed rule change is consistent with the
Section 6(b)(5) \6\ requirements that the rules of an exchange be
designed to prevent fraudulent and manipulative acts and practices, to
promote just and equitable principles of trade, to foster cooperation
and coordination with persons engaged in regulating, clearing,
settling, processing information with respect to, and facilitating
transactions in securities, to remove impediments to and perfect the
mechanism of a free and open market and a national market system, and,
in general, to protect investors and the public interest. Additionally,
the Exchange believes the proposed rule change is consistent with the
Section 6(b)(5) \7\ requirement that the rules of an exchange not be
designed to permit unfair discrimination between customers, issuers,
brokers, or dealers.
---------------------------------------------------------------------------

    \5\ 15 U.S.C. 78f(b).
    \6\ 15 U.S.C. 78f(b)(5).
    \7\ Id.
---------------------------------------------------------------------------

    In particular, the proposed change is intended to harmonize the
rules in connection with business continuity and disaster recovery
testing across the Exchange and its affiliated options exchanges, BZX
Options and EDGX Options.\8\ The proposed rule change does not propose
new or unique business continuity and disaster recovery procedures or
requirements as the proposed changes are substantively similar to rules
currently in place on the Exchange's affiliated options exchanges and
previously filed with the Commission. Consistent requirements and
procedures in connection with business continuity and disaster recovery
testing will simplify the regulatory requirements and increase the
understanding of the Exchange's operations for TPHs that are also
participants on the Exchange's affiliated options exchanges. Greater
harmonization across the affiliated options exchanges will result in
greater uniformity, rules that are easier to follow and understand, and
less burdensome, more efficient regulatory compliance, thereby
contributing to the protection of investors and the public interest.
Moreover, the proposed rule change will harmonize Exchange rules with
those of other self-regulatory organizations in furtherance of the
coordination of testing among SCI entities required by Rule 1004(c) of
Regulation SCI. As set forth in Regulation SCI, ``SROs have the
authority, and legal responsibility, under Section 6 of the Exchange
Act, to adopt and enforce rules (including rules to comply with
Regulation SCI's requirements relating to business continuity and
disaster recovery testing) applicable to their members or participants
that are designed to, among other things, foster cooperation and
coordination with persons engaged in regulating, clearing, settling,
processing information with respect to, and facilitating transactions
in securities, to remove impediments to and perfect the mechanism of a
free and open market and a national market system, and, in general, to
protect investors and the public interest.'' \9\ The Exchange believes
that the proposed rule change is consistent with such authority and
legal responsibility and will serve to strengthen the Exchange's
coordination with other SCI entities to the benefit of investors and
the public interest.
---------------------------------------------------------------------------

    \8\ See supra note 5.
    \9\ See supra note 6.
---------------------------------------------------------------------------

    In addition to this, by allowing the Exchange to identify TPHs that
are subject to testing based on activity during a single designated
quarter and to issue an annual notification at least three months prior
to testing the proposed rule change will remove impediments to and
perfect the mechanism of a free and open market and national market
system, and, in general, protect investors as it will allow the
Exchange to rely on the trading activity within a quarter that may be
more relevant or representative of overall trading activity and
patterns on the Exchange in order to better determine which TPHs should
participate in testing, provide specificity as to the timing for which
the Exchange will give notice to TPHs designated to participate in
testing based on the selection of a single measurement

quarter, and, in general, will simplify the TPH designation and notice
process.

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

    The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Act. The Exchange notes that the
proposed rule change is not a competitive proposal as it is intended to
coordinate TPH notification and designated calendar quarters in
connection with annual functional and performance testing participation
with the rules of its affiliated options exchanges.
    The Exchange does not believe that the proposed rule change will
impose any burden on intramarket competition that is not necessary or
appropriate in furtherance of the purposes of the Act because the
trading activity of TPHs will be measured during the same Exchange-
determined quarter for all TPHs and annual notice will be given to each
TPH designated for testing at the same time at least three months in
advance.
    The Exchange does not believe that the proposed rule change will
impose any burden on intermarket competition that is not necessary or
appropriate in furtherance of the purposes of the Act because the
proposed rule changes are substantively identical to the corresponding
rules of BZX Options and EDGX Options, which have previously been filed
with the Commission.

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

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

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

    Because the foregoing proposed rule change does not: (i)
Significantly affect the protection of investors or the public
interest; (ii) impose any significant burden on competition; and (iii)
become operative for 30 days from the date on which it was filed, or
such shorter time as the Commission may designate, it has become
effective pursuant to Section 19(b)(3)(A)(iii) of the Act \10\ and
subparagraph (f)(6) of Rule 19b-4 thereunder.\11\
---------------------------------------------------------------------------

    \10\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \11\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires a self-regulatory organization to give the Commission
written notice of its intent to file the proposed rule change, along
with a brief description and text of the proposed rule change, at
least five business days prior to the date of filing of the proposed
rule change, or such shorter time as designated by the Commission.
The Exchange has satisfied this requirement.
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    A proposed rule change filed under Rule 19b-4(f)(6) \12\ normally
does not become operative prior to 30 days after the date of the
filing. However, Rule 19b-4(f)(6)(iii) \13\ permits the Commission to
designate a shorter time if such action is consistent with the
protection of investors and the public interest. The Exchange has asked
the Commission to waive the 30-day operative delay so that the proposed
rule change may become effective and operative immediately upon filing.
The Exchange states that waiver of the operative delay would eliminate
potential confusion in connection with testing participation in the
next annual functional and performance testing (October 2020) across
the Exchange and its affiliated options exchanges and in coordination
with other SCI entities. The Exchange also states that the proposed
rule changes will harmonize Exchange rules with those of other self-
regulatory organizations in furtherance of the coordination of testing
among SCI entities, thereby contributing the protection of investors
and the public interest. The Exchange further states that the proposed
rule change will simplify and streamline the process of notification to
TPHs designated to participate in the annual test and will ensure that
the Exchange and its affiliated options exchanges will be able to base
all member participation on the same designated quarter (e.g., Q1 2020)
for the upcoming annual test, thus resulting in more efficient
regulatory compliance and operations for investors across the
exchanges. Accordingly, the Commission believes that waiver of the 30-
day operative delay is consistent with the protection of investors and
the public interest. Therefore, the Commission hereby waives the 30-day
operative delay and designates the proposed rule change as operative
upon filing.\14\
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    \12\ 17 CFR 240.19b-4(f)(6).
    \13\ 17 CFR 240.19b-4(f)(6)(iii).
    \14\ For purposes only of waiving the 30-day operative delay,
the Commission has also considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
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    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is: (i)
Necessary or appropriate in the public interest; (ii) for the
protection of investors; or (iii) otherwise in furtherance of the
purposes of the Act. If the Commission takes such action, the
Commission shall institute proceedings to determine whether the
proposed rule should be approved or disapproved.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-C2-2020-003 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-C2-2020-003. This file
number should be included on the subject line if email 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 website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the proposed
rule change between the Commission and any person, other than those
that may be withheld from the public in accordance with the provisions
of 5 U.S.C. 552, will be available for website viewing and printing in
the Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549, on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of the filing also will be available for inspection
and copying at the principal office of the Exchange. All comments
received will be posted without change. Persons submitting comments are
cautioned that we do not redact or edit personal identifying
information from comment submissions. You should submit only
information that you wish to make available publicly. All submissions
should refer to File Number SR-C2-2020-003 and should be submitted on
or before May 4, 2020.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\15\
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    \15\ 17 CFR 200.30-3(a)(12).
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J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-07649 Filed 4-10-20; 8:45 am]
 BILLING CODE 8011-01-P