[Federal Register Volume 77, Number 60 (Wednesday, March 28, 2012)]
[Proposed Rules]
[Pages 18719-18722]
[FR Doc No: 2012-7386]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2012-0327; Directorate Identifier 2011-NM-125-AD]
RIN 2120-AA64

Airworthiness Directives; The Boeing Company Airplanes

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of proposed rulemaking (NPRM).

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SUMMARY: We propose to supersede an existing airworthiness directive
(AD) that applies to certain The Boeing Company Model DC-10-10, DC-10-
10F, DC-10-15, DC-10-30, DC-10-30F (KC-10A and KDC-10), DC-10-40, DC-
10-40F, MD-10-10F, and MD-10-30F airplanes. The existing AD currently
requires installing or replacing with improved parts, as applicable,
the bonding straps between the metallic frame of the fillet and the
wing leading edge ribs, on both the left and right sides of the
airplane. The existing AD also requires, for certain airplanes,
repositioning or replacing two bonding straps, doing a bonding-
resistance check and an inspection to determine correct installation of
certain bonding straps, and applicable corrective actions. Since we
issued that AD, we have determined that additional actions are
necessary to address the identified unsafe condition. This proposed AD
would add airplanes to the applicability and retain the requirements of
the existing AD. This proposed AD would also require, depending on the
airplane configuration, installing new braided bonding straps,
inspecting to determine if a certain strap is installed and replacing
with or installing a braided bonding strap if necessary, measuring the
electrical resistance of the bonding straps, verifying that brackets
have an acceptable fillet seal, and corrective actions if necessary. We
are proposing this AD to reduce the potential of ignition sources
inside fuel tanks in the event of a severe lightning strike, which, in
combination with flammable fuel vapors, could result in fuel tank
explosions and consequent loss of the airplane.

DATES: We must receive comments on this proposed AD by May 14, 2012.

ADDRESSES: You may send comments, using the procedures found in 14 CFR
11.43 and 11.45, by any of the following methods:
     Federal eRulemaking Portal: Go to http://www.regulations.gov. Follow the instructions for submitting comments.
     Fax:<PHONE_NUMBER>.
     Mail: U.S. Department of Transportation, Docket
Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue SE., Washington, DC 20590.
     Hand Delivery: Deliver to Mail address above between 9
a.m. and 5 p.m., Monday through Friday, except Federal holidays.
    For service information identified in this proposed AD, contact
Boeing Commercial Airplanes, Attention: Data & Services Management,
3855 Lakewood Boulevard, MC D800-0019, Long Beach, California 90846-
0001; telephone<PHONE_NUMBER>, extension 2; fax<PHONE_NUMBER>; email
<EMAIL_ADDRESS>Internet https://www.myboeingfleet. You may
review copies of the referenced service information at the FAA,
Transport Airplane Directorate, 1601 Lind Avenue SW., Renton,
Washington. For information on the availability of this material at the
FAA, call<PHONE_NUMBER>.

Examining the AD Docket

    You may examine the AD docket on the Internet at http://www.regulations.gov; or in person at the Docket Management Facility
between 9 a.m. and 5 p.m., Monday through Friday, except Federal
holidays. The AD docket contains this proposed AD, the regulatory
evaluation, any comments received, and other information. The street
address for the Docket Office (phone:<PHONE_NUMBER>) is in the ADDRESSES
section. Comments will be available in the AD docket shortly after
receipt.

FOR FURTHER INFORMATION CONTACT: Samuel Lee, Aerospace Engineer,
Propulsion Branch, ANM-140L, FAA, Los Angeles Aircraft Certification
Office, 3960 Paramount Boulevard, Lakewood, California 90712-4137;
phone:<PHONE_NUMBER>; fax:<PHONE_NUMBER>; email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Comments Invited

    We invite you to send any written relevant data, views, or
arguments about this proposed AD. Send your comments to an address
listed under the ADDRESSES section. Include ``Docket No. FAA-2012-0327;
Directorate Identifier 2011-NM-125-AD'' at the beginning of your
comments. We specifically invite comments on the overall regulatory,
economic, environmental, and energy aspects of this proposed AD. We
will consider all comments received by the closing date and may amend
this proposed AD because of those comments.
    We will post all comments we receive, without change, to http://www.regulations.gov, including any personal information you provide. We
will also post a report summarizing each substantive verbal contact we
receive about this proposed AD.

Discussion

    On December 17, 2009, we issued AD 2009-26-17, Amendment 39-16156
(74 FR 69268, December 31, 2009), for certain Boeing Model DC-10-10,
DC-

10-10F, DC-10-15, DC-10-30, DC-10-30F (KC-10A and KDC-10), DC-10-40,
DC-10-40F, MD-10-10F, and MD-10-30F airplanes. That AD requires
installing or replacing with improved parts, as applicable, the bonding
straps between the metallic frame of the fillet and the wing leading
edge ribs, on both the left and right sides of the airplane. That AD
also requires, for certain airplanes, repositioning or replacing two
bonding straps, and doing a bonding-resistance check and an inspection
to determine correct installation of certain bonding straps, and
applicable corrective actions. That AD resulted from fuel system
reviews conducted by the manufacturer. We issued that AD to reduce the
potential of ignition sources inside fuel tanks in the event of a
severe lightning strike, which, in combination with flammable fuel
vapors, could result in fuel tank explosions and consequent loss of the
airplane.

Actions Since Existing AD 2009-26-17, Amendment 39-16156 (74 FR 69268,
December 31, 2009) Was Issued

    Since we issued AD 2009-26-17, Amendment 39-16156 (74 FR 69268,
December 31, 2009), Boeing has issued new service information that
specifies additional actions that are necessary to address the
identified unsafe condition.

Relevant Service Information

    We reviewed Boeing Service Bulletin DC10-53-111, Revision 7, dated
March 16, 2011, which makes minor corrections and adds part number
substitutions.
    We also reviewed Boeing Service Bulletin DC10-53-109, Revision 8,
dated March 10, 2011. This service information reinstates airplanes
inadvertently omitted from the prior revision of this service
information, and describes new additional actions. This service
information describes:
     New procedures for installing new braided bonding straps,
depending on the airplane configuration.
     Inspecting to determine if a certain strap is installed,
and replacing with or installing a braided bonding strap if necessary.
     Measuring the electrical resistance of the bonding straps.
     Verifying that brackets have an acceptable fillet seal.
     Corrective actions if necessary.
    Corrective actions include cleaning braided bonding straps, and
repairing damaged or missing fillet seals.

FAA's Determination

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

Proposed AD Requirements

    This proposed AD would retain all requirements of AD 2009-26-17,
Amendment 39-16156 (74 FR 69268, December 31, 2009). This proposed AD
would also require accomplishing the additional actions specified in
the service information described previously.

Changes to Existing AD 2009-26-17, Amendment 39-16156 (74 FR 69268,
December 31, 2009)

    Since AD 2009-26-17, Amendment 39-16156 (74 FR 69268, December 31,
2009), was issued, the AD format has been revised, and certain
paragraphs have been rearranged. As a result, the service bulletins
listed in Table 1 of AD 2009-26-17 are listed in paragraph (g)(2) of
this proposed AD, and the service bulletins listed in Table 2 of AD
2009-26-17 are listed in paragraph (g)(1) of this proposed AD.
    We also revised paragraph (h) of this proposed AD to describe the
affected airplanes. Paragraph (h) of AD 2009-26-17, Amendment 39-16156
(74 FR 69268, December 31, 2009), specifies that it is ``for airplanes
with fuselage numbers not identified in Table 2 of this AD * * *.''
Since this proposed AD adds airplanes, we have revised that sentence as
follows: ``For airplanes with fuselage numbers identified in the
applicable service bulletin listed in paragraph (g)(2) of this AD that
are not also identified in the applicable service bulletin listed in
paragraph (g)(1) of this AD * * *.''
    In addition, we have revised the wording of paragraph (k) of AD
2009-26-17, Amendment 39-16156 (74 FR 69268, December 31, 2009);
however, the intent of that paragraph has not changed.

Costs of Compliance

    We estimate that this proposed AD affects 208 airplanes of U.S.
registry.
    We estimate the following costs to comply with this proposed AD:

                                                 Estimated Costs
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                                                                                Cost on U.S.
             Action                   Labor cost          Parts cost       Cost per product        operators
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Installation, inspection, and     Up to 17 work-      Up to $4,169......  Up to $5,614......  Up to $1,167,712.
 resistance measurement            hours x $85 per
 [retained actions from existing   hour = $1,445.
 AD 2009-26-17, Amendment 39-
 16156 (74 FR 69268, December
 31, 2009)]
Installation, inspection, and     Up to 16 work-      Up to $33,230.....  Up to $34,590.....  Up to $7,194,720.
 resistance measurement [new       hours x $85 per
 proposed action]                  hour = $1,360.
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Authority for This Rulemaking

    Title 49 of the United States Code specifies the FAA's authority to
issue rules on aviation safety. Subtitle I, Section 106, describes the
authority of the FAA Administrator. Subtitle VII, Aviation Programs,
describes in more detail the scope of the Agency's authority.
    We are issuing this rulemaking under the authority described in
Subtitle VII, Part A, Subpart III, Section 44701, ``General
requirements.'' Under that section, Congress charges the FAA with
promoting safe flight of civil aircraft in air commerce by prescribing
regulations for practices, methods, and procedures the Administrator
finds necessary for safety in air commerce. This regulation is within
the scope of that authority because it addresses an unsafe condition
that is likely to exist or develop on products identified in this
rulemaking action.

Regulatory Findings

    We have determined that this proposed AD would not have federalism
implications under Executive Order 13132. This proposed AD would 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 the proposed
regulation:
    (1) Is not a ``significant regulatory action'' under Executive
Order 12866,
    (2) Is not a ``significant rule'' under the DOT Regulatory Policies
and Procedures (44 FR 11034, February 26, 1979),
    (3) Will not affect intrastate aviation in Alaska, and
    (4) Will not have a significant economic impact, positive or
negative, on a substantial number of small entities under the criteria
of the Regulatory Flexibility Act.

List of Subjects in 14 CFR Part 39

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

The Proposed Amendment

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

PART 39--AIRWORTHINESS DIRECTIVES

    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]

    2. The FAA amends Sec.  39.13 by removing airworthiness directive
(AD) 2009-26-17, Amendment 39-16156 (74 FR 69268, December 31, 2009),
and adding the following new AD:

The Boeing Company: Docket No. FAA-2012-0327; Directorate Identifier
2011-NM-125-AD.

(a) Comments Due Date

    The FAA must receive comments on this AD action by May 14, 2012.

(b) Affected ADs

    This AD supersedes AD 2009-26-17, Amendment 39-16156 (74 FR
69268, December 31, 2009).

(c) Applicability

    This AD applies to The Boeing Company Model DC-10-10, DC-10-10F,
DC-10-15, DC-10-30, DC-10-30F (KC-10A and KDC-10), DC-10-40, and DC-
10-40F airplanes, and Model MD-10-10F and MD-10-30F airplanes that
have been converted from Model DC-10 series airplanes; certificated
in any category; as identified in paragraph (c)(1) or (c)(2) of this
AD, as applicable.
    (1) Boeing Service Bulletin DC10-53-109, Revision 8, dated March
10, 2011 (for airplanes with extended wing-to-fuselage fillets).
    (2) Boeing Service Bulletin DC10-53-111, Revision 7, dated March
16, 2011 (for airplanes with conventional wing-to-fuselage fillets).

(d) Subject

    Joint Aircraft System Component (JASC)/Air Transport Association
(ATA) of America Code 53, Fuselage.

(e) Unsafe Condition

    This AD was prompted by fuel system reviews conducted by the
manufacturer. We are issuing this AD to reduce the potential of
ignition sources inside fuel tanks in the event of a severe
lightning strike, which, in combination with flammable fuel vapors,
could result in fuel tank explosions and consequent loss of the
airplane.

(f) Compliance

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

(g) Restatement of Requirements of AD 2006-16-03, Amendment 39-14703
(71 FR 43962, August 3, 2006), With New Service Information: Install or
Replace

    For airplanes with manufacturer's fuselage numbers identified in
the applicable service bulletin listed in paragraph (g)(1) of this
AD: Within 7,500 flight hours or 60 months after September 7, 2006
(the effective date of AD 2006-16-03, Amendment 39-14703 (71 FR
43962, August 3, 2006)), whichever occurs earlier: Install or
replace with improved parts, as applicable, the bonding straps
between the metallic frame of the fillet and the wing leading edge
ribs, on both the left and right sides of the airplane, in
accordance with the Accomplishment Instructions of the applicable
service bulletin identified in paragraph (g)(1), (g)(2), or (g)(3)
of this AD. After February 4, 2010 (the effective date of AD 2009-
26-17, Amendment 39-16156 (74 FR 69268, December 31, 2009)), use the
applicable service bulletin identified in paragraph (g)(2) or (g)(3)
of this AD. After the effective date of this AD, use only the
applicable service bulletin identified in paragraph (g)(3) of this
AD to do the actions required by this paragraph.
    (1) McDonnell Douglas DC-10 Service Bulletin 53-109, Revision 4,
dated October 7, 1992 (for airplanes with extended wing-to-fuselage
fillets); or McDonnell Douglas DC-10 Service Bulletin 53-111,
Revision 3, dated August 24, 1992 (for airplanes with conventional
wing-to-fuselage fillets).
    (2) Boeing Service Bulletin DC10-53-109, Revision 7, dated March
3, 2009 (for airplanes with extended wing-to-fuselage fillets); or
Boeing Service Bulletin DC10-53-111, Revision 6, dated March 3, 2009
(for airplanes with conventional wing-to-fuselage fillets).
    (3) Boeing Service Bulletin DC10-53-109, Revision 8, dated March
10, 2011 (for airplanes with extended wing-to-fuselage fillets); or
Boeing Service Bulletin DC10-53-111, Revision 7, dated March 16,
2011 (for airplanes with conventional wing-to-fuselage fillets).

(h) Restatement of Requirements of AD 2009-26-17, Amendment 39-16156
(74 FR 69268, December 31, 2009), With New Service Information: Install
or Replace

    For airplanes with fuselage numbers identified in the applicable
service bulletin listed in paragraph (g)(2) of this AD that are not
also identified in the applicable service bulletin listed in
paragraph (g)(1) of this AD, except for airplanes identified in
paragraph (i) or (j) of this AD: Within 7,500 flight hours or 60
months, whichever occurs first after February 4, 2010 (the effective
date of AD 2009-26-17, Amendment 39-16156 (74 FR 69268, December 31,
2009)), install or replace with improved parts, as applicable, the
bonding straps between the metallic frame of the fillet and the wing
leading edge ribs, on both the left and right sides of the airplane.
Do the actions in accordance with the Accomplishment Instructions of
the applicable service bulletin identified in paragraph (g)(2) or
(g)(3) of this AD. After the effective date of this AD, use only the
applicable service bulletin identified in paragraph (g)(3) of this
AD to do the actions required by this paragraph.

(i) Restatement of Requirements of AD 2009-26-17, Amendment 39-16156
(74 FR 69268, December 31, 2009), With New Service Information: Strap
Repositioning for Certain Airplanes

    For Group 1-4, Configuration 3 airplanes, as identified in
Boeing Service Bulletin DC10-53-109, Revision 7, dated March 3,
2009: Within 7,500 flight hours or 60 months after February 4, 2010
(the effective date of AD 2009-26-17, Amendment 39-16156 (74 FR
69268, December 31, 2009)), whichever occurs first, do the actions
specified in paragraphs (i)(1) and (i)(2) of this AD.
    (1) Remove two braided bonding straps and install two longer
braided bonding straps between the metallic frame of the fillet and
the wing leading edge ribs, in accordance with the Accomplishment
Instructions of Boeing Service Bulletin DC10-53-109, Revision 7,
dated March 3, 2009; or Boeing Service Bulletin DC10-53-109,
Revision 8, dated March 10, 2011. After the effective date of this
AD, use only Boeing Service Bulletin DC10-53-109, Revision 8, dated
March 10, 2011, to do the actions required by this paragraph.
    (2) Measure the resistance of the previously installed bonding
straps and, before further flight, do all applicable corrective
actions, in accordance with the Accomplishment Instructions of
Boeing Service Bulletin DC10-53-109, Revision 7, dated March 3,
2009; or Boeing Service Bulletin DC10-53-109, Revision 8, dated
March 10, 2011. After the effective date of this AD, use only Boeing
Service Bulletin DC10-53-109, Revision 8, dated March 10, 2011, to
do the actions required by this paragraph.

(j) Restatement of Requirements of AD 2009-26-17, Amendment 39-16156
(74 FR 69268, December 31, 2009), With New Service Information:
Inspection and Corrective Action for Certain Airplanes

    For Group 1-2, Configuration 2 airplanes, as identified in
Boeing Service Bulletin DC10-53-111, Revision 6, dated March 3,
2009: Within 7,500 flight hours or 60 months after February 4, 2010
(the effective date of AD 2009-26-17, Amendment 39-16156 (74 FR
69268, December 31, 2009)), whichever occurs first, do the actions
specified in paragraphs (j)(1) and (j)(2) of this AD.

    (1) Do a general visual inspection to verify correct
installation of the braided bonding straps (one left-hand wing and
one right-hand wing) as shown in Sheet 7 in Figure 3 of Boeing
Service Bulletin DC10-53-111, Revision 6, dated March 3, 2009, or
Boeing Service Bulletin DC10-53-111, Revision 7, dated March 16,
2011; and, before further flight, do all applicable corrective
actions, in accordance with the Accomplishment Instructions of
Boeing Service Bulletin DC10-53-111, Revision 6, dated March 3,
2009, or Boeing Service Bulletin DC10-53-111, Revision 7, dated
March 16, 2011. After the effective date of this AD, use only Boeing
Service Bulletin DC10-53-111, Revision 7, dated March 16, 2011, to
do the actions required by this paragraph.
    (2) Measure the resistance of the previously installed bonding
straps and, before further flight, do all applicable corrective
actions, in accordance with the Accomplishment Instructions of
Boeing Service Bulletin DC10-53-111, Revision 6, dated March 3,
2009; or Boeing Service Bulletin DC10-53-111, Revision 7, dated
March 16, 2011. After the effective date of this AD, use only Boeing
Service Bulletin DC10-53-111, Revision 7, dated March 16, 2011, to
do the actions required by this paragraph.

(k) Credit for Previous Actions

    This paragraph provides credit for the actions required by
paragraphs (g), (h), (i), and (j) this AD, if those actions were
accomplished before February 4, 2010 (the effective date of AD 2009-
26-17, Amendment 39-16156 (74 FR 69268, December 31, 2009)), using
Boeing Service Bulletin DC10-53-111, Revision 5, dated March 19,
2008; or Boeing Service Bulletin DC10-53-109, Revision 6, dated July
10, 2008.

(l) New Requirements of This AD: Installation and Corrective Actions
for Certain Airplanes

    Within 7,500 flight hours or 60 months after the effective date
of this AD, whichever comes first: Do the applicable actions
specified in paragraphs (l)(1) through (l)(6) of this AD, as
applicable.
    (1) For Group 1-4, Configurations 1 and 2 airplanes, as
identified in Boeing Service Bulletin DC10-53-109, Revision 8, dated
March 10, 2011, except airplanes that are identified in paragraph
(g) of this AD: Remove any solid metal bonding straps and install 7
new braided bonding straps, in accordance with the Accomplishment
Instructions of Boeing Service Bulletin DC10-53-109, Revision 8,
dated March 10, 2011.
    (2) For Group 1-4, Configurations 1 and 2 airplanes, as
identified in Boeing Service Bulletin DC10-53-109, Revision 8, dated
March 10, 2011, that are also identified in paragraph (g) of this
AD: Remove any solid metal bonding straps not removed during the
actions required by paragraph (g) of this AD and install a 7th new
braided bonding strap (paragraph (g) of this AD requires installing
6 straps), in accordance with the Accomplishment Instructions of
Boeing Service Bulletin DC10-53-109, Revision 8, dated March 10,
2011.
    (3) For Group 1-4, Configuration 3 airplanes, as identified in
Boeing Service Bulletin DC10-53-109, Revision 8, dated March 10,
2011, except airplanes identified in paragraph (i) of this AD: Do
the actions specified in paragraphs (l)(3)(i) and (l)(3)(ii) of this
AD.
    (i) Replace one strap with new braided bonding strap, inspect to
determine the existence of an installed solid metal bonding strap
and replace any missing strap and any solid metal bonding strap with
a new braided bonding strap, in accordance with the Accomplishment
Instructions of Boeing Service Bulletin DC10-53-109, Revision 8,
dated March 10, 2011.
    (ii) Measure the electrical resistance across each bonding joint
of the 6 previously-installed braided strap assemblies and verify
that brackets have an acceptable fillet seal, and do all applicable
corrective actions, in accordance with the Accomplishment
Instructions of Boeing Service Bulletin DC10-53-109, Revision 8,
dated March 10, 2011. Do all applicable corrective actions before
further flight.
    (4) For Group 1-4, Configuration 3 airplanes, as identified in
Boeing Service Bulletin DC10-53-109, Revision 8, dated March 10,
2011, that are also identified in paragraph (i) of this AD: Do the
actions specified in paragraphs (l)(4)(i) and (l)(4)(ii) of this AD.
    (i) Inspect to determine the existence of an installed solid
metal bonding strap and replace any missing strap and any solid
metal bonding strap with a new braided bonding strap, in accordance
with the Accomplishment Instructions of Boeing Service Bulletin
DC10-53-109, Revision 8, dated March 10, 2011.
    (ii) Measure the electrical resistance across each bonding joint
of the 6 previously-installed braided strap assemblies and verify
that brackets have an acceptable fillet seal, and do all applicable
corrective actions, in accordance with the Accomplishment
Instructions of Boeing Service Bulletin DC10-53-109, Revision 8,
dated March 10, 2011. Do all applicable corrective actions before
further flight.
    (5) For Group 1-4, Configuration 4 airplanes, as identified in
Boeing Service Bulletin DC10-53-109, Revision 8, dated March 10,
2011: Do the actions specified in paragraphs (l)(5)(i) and
(l)(5)(ii) of this AD.
    (i) Inspect to determine the existence of an installed solid
metal bonding strap, and replace any missing strap and any solid
metal bonding strap with a new braided bonding strap, in accordance
with the Accomplishment Instructions of Boeing Service Bulletin
DC10-53-109, Revision 8, dated March 10, 2011.
    (ii) Measure the electrical resistance across each bonding joint
of the 6 previously-installed braided strap assemblies and verify
that brackets have an acceptable fillet seal, and do all applicable
corrective actions, in accordance with the Accomplishment
Instructions of Boeing Service Bulletin DC10-53-109, Revision 8,
dated March 10, 2011. Do all applicable corrective actions before
further flight.
    (6) For Group 1-4, Configuration 5 airplanes, as identified in
Boeing Service Bulletin DC10-53-109, Revision 8, dated March 10,
2011: Inspect to determine the existence of an installed solid metal
bonding strap, and replace any missing strap and any solid metal
bonding strap with a new braided bonding strap, in accordance with
the Accomplishment Instructions of Boeing Service Bulletin DC10-53-
109, Revision 8, dated March 10, 2011.

 (m) Alternative Methods of Compliance (AMOCs)

    (1) The Manager, Los Angeles Aircraft Certification Office
(ACO), FAA, has the authority to approve AMOCs for this AD, if
requested using the procedures found in 14 CFR 39.19. In accordance
with 14 CFR 39.19, send your request to your principal inspector or
local Flight Standards District Office, as appropriate. If sending
information directly to the manager of the ACO, send it to the
attention of the person identified in the Related Information
section of this AD.
    (2) Before using any approved AMOC, notify your appropriate
principal inspector, or lacking a principal inspector, the manager
of the local flight standards district office/certificate holding
district office.
    (3) AMOCs approved previously in accordance with AD 2006-16-03,
Amendment 39-14703 (71 FR 43962, August 3, 2006), are approved as
AMOCs for the corresponding provisions of paragraphs (g), (h), (i),
and (j) of this AD.
    (4) AMOCs approved previously in accordance with AD 2009-26-17,
Amendment 39-16156 (74 FR 69268, December 31, 2009), are approved as
AMOCs for the corresponding provisions of paragraphs (g), (h), (i),
and (j) of this AD.

 (n) Related Information

    (1) For more information about this AD, contact Samuel Lee,
Aerospace Engineer, Propulsion Branch, ANM-140L, FAA, Los Angeles
Aircraft Certification Office, 3960 Paramount Boulevard, Lakewood,
California 90712-4137; phone:<PHONE_NUMBER>; fax:<PHONE_NUMBER>;
email<EMAIL_ADDRESS>    (2) For service information identified in this AD, contact
Boeing Commercial Airplanes, Attention: Data & Services Management,
3855 Lakewood Boulevard, MC D800-0019, Long Beach, California 90846-
0001; telephone<PHONE_NUMBER>, extension 2; fax<PHONE_NUMBER>; email
<EMAIL_ADDRESS>Internet https://www.myboeingfleet.com. You
may review copies of the referenced service information at the FAA,
Transport Airplane Directorate, 1601 Lind Avenue SW., Renton,
Washington. For information on the availability of this material at
the FAA, call<PHONE_NUMBER>.

    Issued in Renton, Washington, on March 16, 2012.
Ali Bahrami,
Manager, Transport Airplane Directorate, Aircraft Certification
Service.
[FR Doc. 2012-7386 Filed 3-27-12; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register: September 28, 2005 (Volume 70, Number 187)]
[Notices]
[Page 56661]
[DOCID:fr28se05-77]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. CP05-411-000]

Northern Natural Gas Company; Notice of Application

September 16, 2005.
    Take notice that on September 2, 2005, Northern Natural Gas Company
(Northern), 1111 South 103rd Street, Omaha, Nebraska 68124, filed in
Docket No. CP05-411-000, an application pursuant to section 7 of the
Natural Gas Act (NGA) to replace two existing 2,400 horsepower
compressor units with two new 3,550 horsepower compressor units at the
Cunningham Compressor Station located in Pratt County, Kansas, and
increase the certificated withdrawal rate to 720 MMcf/d and the
certificated injection rate to 545 MMcf/d at the Cunningham Storage
Field located in Pratt and Kingman counties, Kansas, all as more fully
set forth in the application which is on file with the Commission and
open to public inspection. This filing may be also viewed on the Web at
http://www.ferc.gov using the ``eLibrary'' link. Enter the docket

number excluding the last three digits in the docket number field to
access the document. For assistance, call<PHONE_NUMBER> or TTY, (202)
502-8659.
    Any questions regarding this application may be directed to Michael
T. Loeffler, Director of Certificates for Northern, 1111 South 103rd
Street, Omaha, Nebraska 68124,<PHONE_NUMBER> or Bret Fritch, Senior
Regulatory Analyst, at<PHONE_NUMBER>.
    There are two ways to become involved in the Commission's review of
this project. First, any person wishing to obtain legal status by
becoming a party to the proceedings for this project should, before the
comment date of this notice, file with the Federal Energy Regulatory
Commission, 888 First Street, NE., Washington, DC 20426, a motion to
intervene in accordance with the requirements of the Commission's Rules
of Practice and Procedure (18 CFR 385.214 or 385.211) and the
Regulations under the NGA (18 CFR 157.10). A person obtaining party
status will be placed on the service list maintained by the Secretary
of the Commission and will receive copies of all documents filed by the
applicant and by all other parties. A party must submit 14 copies of
filings made with the Commission and must mail a copy to the applicant
and to every other party in the proceeding. Only parties to the
proceeding can ask for court review of Commission orders in the
proceeding.
    However, a person does not have to intervene in order to have
comments considered. The second way to participate is by filing with
the Secretary of the Commission, as soon as possible, an original and
two copies of comments in support of or in opposition to this project.
The Commission will consider these comments in determining the
appropriate action to be taken, but the filing of a comment alone will
not serve to make the filer a party to the proceeding. The Commission's
rules require that persons filing comments in opposition to the project
provide copies of their protests only to the party or parties directly
involved in the protest.
    Comments, protests and interventions may be filed electronically
via the Internet in lieu of paper. See, 18 CFR 385.2001(a)(1)(iii) and
the instructions on the Commission's Web site under the ``e-Filing''
link.
    Comment Date: October 5, 2005.

Magalie R. Salas,
Secretary.
[FR Doc. E5-5206 Filed 9-27-05; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 80, Number 201 (Monday, October 19, 2015)]
[Rules and Regulations]
[Pages 63083-63084]
[FR Doc No: 2015-26345]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2015-0277; Directorate Identifier 2015-NE-05-AD;
Amendment 39-18262; AD 2015-18-04]
RIN 2120-AA64

Airworthiness Directives; CFM International S.A. Turbofan Engines

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule; correction.

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SUMMARY: The FAA is correcting an airworthiness directive (AD) that
published in the Federal Register. That AD applies to certain CFM
International S.A. (CFM) CFM56-7B and CFM56-3 turbofan engines. Four
headings in the Compliance section are incorrect. This document
corrects the errors. In all other respects, the original document
remains the same.

DATES: This final rule is effective on October 20, 2015. The effective
date of AD 2015-18-04, Amendment 39-18262 (80 FR 55235, September 15,
2015) remains October 20, 2015.

ADDRESSES: You may examine the AD docket on the Internet at http://www.regulations.gov; or in person at the Docket Management Facility
between 9 a.m. and 5 p.m., Monday through Friday, except Federal
holidays. The AD docket contains this AD, the regulatory evaluation,
any comments received, and other information. The address for the
Docket Office (phone:<PHONE_NUMBER>) is Document Management Facility,
U.S. Department of Transportation, Docket Operations, M-30, West
Building Ground Floor, Room W12-140, 1200 New Jersey Avenue SE.,
Washington, DC 20590.

FOR FURTHER INFORMATION CONTACT: Kyle Gustafson, Aerospace Engineer,
Engine Certification Office, FAA, Engine & Propeller Directorate, 12
New England Executive Park, Burlington, MA 01803; phone:<PHONE_NUMBER>;
fax:<PHONE_NUMBER>; email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: AD 2015-18-04, Amendment 39-18262 (80 FR
55235, September 15, 2015), requires AGB/transfer gearbox (TGB)
magnetic chip detector (MCD) inspection of the affected gearshafts
until removal.
    As published, four headings in the Compliance section are
incorrect.
    No other part of the final rule has been changed.
    The effective date of AD 2015-18-04 remains October 20, 2015.

Correction of Regulatory Text

Sec.  39.13  [Corrected]

0
2. The FAA republishes airworthiness directive (AD) 2015-18-04,
Amendment 39-18262 (80 FR 55235, September 15, 2015) as follows:

2015-18-04 CFM International S.A.: Amendment 39-18262; Docket No.
FAA-2015-0277; Directorate Identifier 2015-NE-05-AD.

(a) Effective Date

    This AD is effective October 20, 2015.

(b) Affected ADs

    None.

(c) Applicability

    This AD applies to CFM International S.A. (CFM) CFM56-7B and
CFM56-3 engines with a 73-tooth or 41-tooth gearshaft installed in
the accessory gearbox (AGB), that has a gearshaft serial number in
Appendix A or Appendix B of CFM Service Bulletin (SB) No. CFM56-7B
S/B 72-0964, Revision 1, dated December 15, 2014.

(d) Unsafe Condition

    This AD was prompted by a report of an uncommanded in-flight
shutdown on a CFM CFM56-7B engine following rupture of the 73-tooth
gearshaft located in the engine AGB. We are issuing this AD to
prevent failure of certain AGB gearshafts, which could lead to
failure of one or more engines, loss of thrust control, and damage
to the airplane.

(e) Compliance

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

(1) Initial AGB/Transfer Gearbox (TGB)/Magnetic Chip Detector (MCD)
Inspection and Analysis for CFM56-7B Engines

    (i) For affected 73-tooth gearshafts, perform an AGB/TGB MCD
inspection within 250 flight hours (FHs) since last inspection,
within 25 FHs from the effective date of this AD, or when the
gearshaft accumulates 3,000 FHs since new, whichever comes later.
    (ii) For affected 41-tooth gearshafts, perform an AGB/TGB MCD
inspection within 250 FHs since last inspection, within 25 FHs from
the effective date of this AD, or when the gearshaft accumulates
6,000 FHs since new, whichever comes later.
    (iii) If any magnetic particles, including fuzz, are seen,
determine with laboratory analysis if the particles are 73-tooth or
41-tooth gearshaft material.
    (iv) If the particles are 73-tooth or 41-tooth gearshaft
material, remove the affected gearshaft(s) within 75 FHs since the
AGB/TGB MCD inspection.

(2) Repetitive AGB/TGB MCD Inspection and Analysis for CFM56-7B Engines

    (i) For affected 73-tooth gearshafts, perform an AGB/TGB MCD
inspection and laboratory analysis within every 500 FHs since the
last AGB/TGB MCD inspection until affected gearshaft is removed.
    (ii) For affected 41-tooth gearshafts, perform an AGB/TGB MCD
inspection and laboratory analysis within every 500 FHs since the
last AGB/TGB MCD inspection until affected gearshaft is removed.
    (iii) If any magnetic particles, including fuzz, are seen,
determine with laboratory analysis if the particles are 73-tooth or
41-tooth gearshaft material.
    (iv) If the particles are 73-tooth or 41-tooth gearshaft
material, remove the affected gearshaft(s) within 75 FHs since the
AGB/TGB MCD inspection.

(f) Mandatory Terminating Action for CFM56-7B Engines

    (1) Remove the affected 73-tooth gearshaft prior to the
gearshaft accumulating 6,000 FHs since new or within 50 FHs after
the effective date of this AD, whichever comes later.
    (2) Remove the affected 41-tooth gearshaft prior to the
gearshaft accumulating 9,000 FHs since new or within 50 FHs after
the effective date of this AD, whichever comes later.

(g) Installation Prohibition for CFM56-3 and CFM56-7B Engines

    After the effective date of this AD, do not install an affected
gearshaft into an AGB.

(h) Alternative Methods of Compliance (AMOCs)

    The Manager, Engine Certification Office, FAA, may approve AMOCs
for this AD. Use the procedures found in 14 CFR 39.19 to make your
request. You may email your request to<EMAIL_ADDRESS>
(i) Related Information

    For more information about this AD, contact Kyle Gustafson,
Aerospace Engineer, Engine Certification Office, FAA, Engine &
Propeller Directorate, 12 New England Executive Park, Burlington, MA
01803; phone:<PHONE_NUMBER>; fax:<PHONE_NUMBER>; email:
<EMAIL_ADDRESS>
(j) Material Incorporated by Reference

    (1) The Director of the Federal Register approved the
incorporation by reference (IBR) of the service information listed
in this paragraph under 5 U.S.C. 552(a) and 1 CFR part 51.
    (2) You must use this service information as applicable to do
the actions required by this AD, unless the AD specifies otherwise.
    (3) The following service information was approved for IBR on
October 20, 2015.
    (i) CFM International Service Bulletin No. CFM56-7B S/B 72-0964,
Revision 1, dated December 15, 2014.
    (ii) Reserved.
    (4) For CFM service information identified in this AD, contact
CFM International Inc., Aviation Operations Center, 1 Neumann Way,
M/D Room 285, Cincinnati, OH 45125; phone:<PHONE_NUMBER>; fax: 877-
432-3329; email<EMAIL_ADDRESS>    (5) You may view this service information at FAA, Engine &
Propeller Directorate, 12 New England Executive Park, Burlington,
MA. For information on the availability of this material at the FAA,
call<PHONE_NUMBER>.
    (6) You may view this service information at the National
Archives and Records Administration (NARA). For information on the
availability of this material at NARA, call<PHONE_NUMBER>, or go to:
http://www.archives.gov/federal-register/cfr/ibr-locations.html.

    Issued in Burlington, Massachusetts, on October 6, 2015.
Ann C. Mollica,
Acting Directorate Manager, Engine & Propeller Directorate, Aircraft
Certification Service.
[FR Doc. 2015-26345 Filed 10-16-15; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 85, Number 117 (Wednesday, June 17, 2020)]
[Notices]
[Pages 36631-36633]
[FR Doc No: 2020-12998]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-89051]

Order Granting Conditional Exemptive Relief, Pursuant to Section
36 of the Securities Exchange Act of 1934 (``Exchange Act'') and Rule
608(e) of Regulation NMS Under the Exchange Act, From Sections
6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing
the Consolidated Audit Trail

June 11, 2020.

I. Introduction

    By letter dated June 5, 2020 (``Participant Letter''), BOX
Exchange, LLC, Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe
C2 Exchange, Inc., Cboe EDGA Exchange Inc., Cboe EDGX Exchange, Inc.,
Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc.
(``FINRA''), Investors Exchange LLC, Long Term Stock Exchange, Inc.,
Miami International Securities Exchange LLC, MIAX Emerald, LLC, MIAX
PEARL, LLC, NASDAQ BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq
MRX, LLC, NASDAQ PHLX LLC, The NASDAQ Stock Market LLC, New York Stock
Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc.,
and NYSE National, Inc. (collectively, the ``Participants'') request
that the Securities and Exchange Commission (the ``Commission'' or the
``SEC''), pursuant to the Commission's authority under Section 36 of
the Exchange Act \1\ and Rule 608(e) of Regulation NMS under the
Exchange Act,\2\ grant exemptive relief from Sections 6.4(d)(ii)(A)(2)
and (B) of the national market system plan governing the consolidated
audit trail (the ``CAT NMS Plan'').\3\ Specifically, the Participants
request that the Commission provide exemptive relief from Section
6.4(d)(ii)(A)(2) and (B) of the CAT NMS Plan, which state that each
Participant, through its Compliance Rule,\4\ must require its Industry
Members \5\ to record and report to the Central Repository \6\ the
following information: (1) The SRO-Assigned Market Participant
Identifier \7\ of the clearing broker or prime broker, if applicable,
for orders that are executed in whole or in part; \8\ and (2) a
cancelled trade indicator for trades that are cancelled.\9\
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78mm.
    \2\ 17 CFR 242.608(e).
    \3\ The Commission approved the CAT NMS Plan, as modified, on
November 15, 2016. See Securities Exchange Act Release Nos. 79318
(November 15, 2016), 81 FR 84696 (November 23, 2016) (``CAT NMS Plan
Approval Order''). The CAT NMS Plan functions as the limited
liability company agreement of the jointly owned limited liability
company formed under Delaware state law through which the
Participants conduct activities related to the consolidated audit
trail (the ``Company'').
    \4\ The CAT NMS Plan defines ``Compliance Rule'' as ``the
rule(s) promulgated by such Participant as contemplated by Section
3.11.'' See id., at Section 1.1.
    \5\ The CAT NMS Plan defines ``Industry Member'' as a ``member
of a national securities exchange or a member of a national
securities association.'' See id.
    \6\ The CAT NMS Plan defines ``Central Repository'' as ``a
repository responsible for the receipt, consolidation, and retention
of all information reported to the CAT pursuant to SEC Rule 613 and
this Agreement.'' See id.
    \7\ The CAT NMS Plan defines ``SRO-Assigned Market Participant
Identifier'' as ``an identifier assigned to an Industry Member by a[
self-regulatory organization or ``SRO''] or an identifier used by a
Participant.'' See id.
    \8\ See id. at Section 6.4(d)(ii)(A)(2).
    \9\ See id. at Section 6.4(d)(ii)(B). See also Letter from Mike
Simon, CAT NMS Plan Operating Committee Chair, to Vanessa
Countryman, Secretary, Commission, dated June 5, 2020, available at
https://catnmsplan.com/sites/default/files/2020-06/06.05.20-Exemptive-Request-RE-TRF-Facility.pdf (``Participant Letter'').
---------------------------------------------------------------------------

    For the reasons set forth below, this Order grants the
Participants' request for exemptive relief from the above-described
provisions of the CAT NMS Plan, subject to certain conditions.

II. Description

    As described in the Participant Letter, FINRA's Trade Reporting
Facilities, FINRA's OTC Reporting Facility, and FINRA's Alternative
Display Facility (collectively, ``FINRA Facility'') already collect and
are required to report to the Central Repository, among other data, the
clearing number of the clearing broker and the cancelled trade
indicator in order to clear and publish trades (``FINRA Facility
Data'').\10\ The Participants propose an approach wherein the FINRA
Facility Data submitted to the Central Repository would be used as the
source for the clearing number of the clearing broker \11\ instead of
requiring Industry Members to record and report the SRO-Assigned Market
Participant Identifier of the clearing broker (if applicable) for
orders that are executed in whole or in part.\12\ Likewise, instead of
requiring Industry Members to record and report a cancelled trade
indicator for trades that are cancelled, FINRA Facility Data submitted
to the Central Repository would be the source of the cancelled trade
indicator.\13\
---------------------------------------------------------------------------

    \10\ See Participant Letter, at 2. FINRA Rules 6380A, 6380B,
6622, and 6282 require participants of a FINRA Facility to report
transactional data. See FINRA Rules, available at https://www.finra.org/rules-guidance/rulebooks/finra-rules.
    \11\ Although Section 6.4(d)(ii)(A)(2) of the CAT NMS Plan also
states that the Participants must require, through their Compliance
Rules, that Industry Members record and report the SRO-Assigned
Market Participant Identifier of the prime broker (if applicable)
for orders that are executed in whole or in part, the Participants
have not requested exemptive relief from that requirement.
    \12\ The Participants state that the clearing number of the
clearing broker is an SRO-Assigned Market Participant Identifier
under the CAT NMS Plan, because it is assigned by The Depository
Trust Company, which is an SRO under the Exchange Act. See
Participant Letter, at 3 n.10.
    \13\ See id. at 3.
---------------------------------------------------------------------------

    The Participants explain that FINRA Facility Data would still be
reported to the Central Repository in each instance currently required
under the CAT NMS Plan. Industry Members would continue to be required
to submit either a trade report or a trade cancellation with the
requisite information to a FINRA Facility, in accordance with existing
rules set by each Participant for its members.\14\ For cancelled
trades, Industry Members would continue to be required to submit a
trade cancellation to a FINRA Facility. The Compliance Rules would
further require Large Industry Members \15\ and Small Industry Members
that report to the Order Audit Trail System (``Small OATS Reporters'')
that are unable to submit a cancelled trade indicator to a FINRA
Facility to record and report directly to the Central Repository a
cancelled trade indicator, as well as a cancelled trade timestamp,
beginning on June 22, 2020.\16\ Similarly, for orders executed in part
or in whole, Industry Members would continue to be required to submit a
trade report with the clearing number of the clearing broker to a FINRA
Facility. The Compliance Rules would further require Large Industry
Members and Small OATS Reporters that are unable to submit the clearing
number of the clearing broker to a FINRA Facility to record and report
directly to the Central Repository the clearing number for the order,
as well as contra party

information, beginning on April 26, 2021.\17\
---------------------------------------------------------------------------

    \14\ See id. at 6.
    \15\ For the purposes of this exemptive relief, the term ``Large
Industry Members'' shall mean all Industry Members other than Small
Industry Members. The CAT NMS Plan defines ``Small Industry Member''
as ``an Industry Member that qualifies as a small broker-dealer as
defined in SEC Rule 613.'' See CAT NMS Plan, supra note 3, at
Section 1.1. Small Industry Members that do not report to the Order
Audit Trail System are not scheduled to begin reporting to the
Central Repository until December 13, 2021, see Participant Letter,
at 6 n.19, but they would be subject to the same Compliance Rules
that would already be in place for Large Industry Members and Small
OATS Reporters.
    \16\ See Participant Letter, at 3, 6. If the cancellation is
rejected by the FINRA Facility and is not successfully re-entered by
the Industry Member, then the Industry Member would be required to
report to the Central Repository a cancelled trade indicator, as
well as a cancelled trade timestamp. If the cancellation is rejected
but successfully re-entered by the Industry Member, the Industry
Member would not be required to separately report the cancellation
to the Central Repository. See id. at 3 n.10.
    \17\ See id. at 6-7.
---------------------------------------------------------------------------

    In the Participant Letter, the Participants state that they would
require the Plan Processor \18\ to link FINRA Facility Data to Industry
Member execution reports submitted to the Central Repository beginning
on October 26, 2020.\19\ The Participants explain that the Compliance
Rules would require Industry Members to submit to the Central
Repository an execution report submitted to a FINRA Facility for the
corresponding trade report or trade cancellation, beginning on June 22,
2020.\20\ Industry Members would be required to report a unique trade
identifier, beginning on October 26, 2020, that would be used by the
Plan Processor to link the FINRA Facility Data, including the number of
the clearing broker and cancelled trade information, with the Industry
Member's execution report.\21\ Specifically, if an Industry Member
submits a trade report to a FINRA Facility pursuant to applicable
Participant rules and reports the corresponding execution to the
Central Repository, the Industry Member would also be required to
report to the Central Repository the unique trade identifier reported
by the Industry Member to such FINRA Facility for the trade.\22\
---------------------------------------------------------------------------

    \18\ The CAT NMS Plan defines ``Plan Processor'' as ``the
Initial Plan Processor or any other Person selected by the Operating
Committee pursuant to SEC Rule 613 and Sections 4.3(b)(i) and 6.1,
and with regard to the Initial Plan Processor, the Selection Plan,
to perform the CAT processing functions required by SEC Rule 613 and
set forth in this Agreement.'' See CAT NMS Plan, supra note 3, at
Section 1.1.
    \19\ See Participant Letter, at 6. The Company has entered into
an agreement with FINRA CAT LLC that obligates FINRA CAT LLC to act
as the Plan Processor and to perform the functions and duties
contemplated by the CAT NMS Plan. The Company may further obligate
the Plan Processor to perform the necessary linkage through this
agreement.
    \20\ See id. The Participants clarify that ``the unique trade
identifier for the OTC Reporting Facility and the Alternative
Display Facility would be the Compliance ID, for the FINRA/Nasdaq
Trade Reporting Facilities would be the Branch Sequence Number, and
for the FINRA/NYSE Trade Reporting Facility would be the FINRA
Compliance Number.'' See id.
    \21\ The Participants clarify that ``the unique trade identifier
for the OTC Reporting Facility and the Alternative Display Facility
would be the Compliance ID, for the FINRA/Nasdaq Trade Reporting
Facilities would be the Branch Sequence Number, and for the FINRA/
NYSE Trade Reporting Facility would be the FINRA Compliance
Number.'' See id.
    \22\ See id.
---------------------------------------------------------------------------

    The Participants state that there are four limited instances in
which an Industry Member would be unable to provide a link between the
execution reported to the Central Repository and the related FINRA
Facility trade report. The first scenario involves the circumstances in
which an Industry Member executes a trade between two desks or
departments involving proprietary accounts. Because there is no change
in beneficial ownership, no trade is reported to a FINRA Facility.\23\
The second scenario involves the circumstances in which an Industry
Member executes a trade and must report the trade via Form T instead of
to a FINRA Facility, such as where the security symbol is no longer
available or the firm's market participant identifier is no longer
active.\24\ The third scenario involves the circumstances in which a
trade is executed by a non-FINRA member firm that has no FINRA Facility
reporting obligation and was reported to the FINRA Facility by the
FINRA member counterparty.\25\ The fourth scenario involves the
circumstances in which an Industry Member is on the contra side of a
negotiated trade reported to a FINRA Facility via a Qualified Service
Representative Agreement or Automatic Give-up Agreement, such that the
trade was automatically submitted to a FINRA Facility without the
Industry Member taking any action on the trade.\26\ The Participants
represented to the Commission that these scenarios are rare and do not
involve a large number of trades. In these instances, the Participants
stated that the Compliance Rules would require an Industry Member to
record and report the relevant data directly to the Central Repository
by June 22, 2020 for cancelled trades and by April 26, 2021 for orders
executed in whole or in part.\27\
---------------------------------------------------------------------------

    \23\ See id. at 3. According to the Participants, these types of
trade represented approximately 0.3 percent of the trades captured
in FINRA's Order Audit Trail System in the fourth quarter of 2019.
See id. at 3-4.
    \24\ See id. at 4. According to the Participants, in 2019, there
were only 1,640 trades reported on Form T. See id.
    \25\ See id. The Participants do not provide statistics for this
scenario, but stated that it did not implicate a large number of
trades. See id.
    \26\ See id. According to the Participants, only 2 percent of
the executions in the fourth quarter of 2019 were negotiated trades
and only approximately 0.1 percent of executions were the above-
described type of negotiated trades. Id.
    \27\ See id. at 6-7. See also notes 14-17 and associated text
supra, for a discussion of the data that the Compliance Rules would
require an Industry Member to record and report to the Central
Repository.
---------------------------------------------------------------------------

    Noting the current difference in the timestamp granularity
requirements for Industry Member reporting to a FINRA Facility and
Industry Member reporting to the Central Repository,\28\ the
Participants further state that FINRA will seek to amend its FINRA
Facility rules and technical specifications to accept timestamps up to
the granularity required by the CAT NMS Plan and to implement such
changes by December 15, 2021 for FINRA's Trade Reporting Facilities and
FINRA's Alternative Display Facility and by December 15, 2022 for
FINRA's OTC Reporting Facility.\29\
---------------------------------------------------------------------------

    \28\ The CAT NMS Plan states that Participants shall, through
their Compliance Rules, require Industry Members to report
transaction data to the Central Repository in milliseconds or in
finer increments if Industry Members utilize such finer increments
in their order handling or execution systems. See CAT NMS Plan,
supra note 3, at Section 6.8(b); see also Securities Exchange Act
Release No. 88608 (April 8, 2020), 85 FR 20743 (April 14, 2020)
(granting time-limited exemptive relief allowing the Participants to
require Industry Members using timestamps finer than the minimum
required by the CAT NMS Plan to truncate such timestamps after the
nanosecond level). A FINRA Facility, by contrast, only collects data
using timestamps up to milliseconds. See Participant Letter, at 5.
    \29\ See Participant Letter, at 7.
---------------------------------------------------------------------------

III. Request for Relief

    The Participants request that the Commission grant each Participant
exemptive relief from Section 6.4(d)(ii)(A)(2) and (B) of the CAT NMS
Plan, which state that the Participants must require, through their
Compliance Rules, that Industry Members record and report to the
Central Repository the SRO-Assigned Market Participant Identifier of
the clearing broker, if applicable, for orders that are executed in
whole or in part, and a cancelled trade indicator for trades that are
cancelled, when such data is reported by FINRA to the Central
Repository as part of the FINRA Facility Data and subject to the above-
described conditions.\30\
---------------------------------------------------------------------------

    \30\ See Participant Letter, at 5-7. See notes 14-22, 27-29 and
associated text supra for a discussion of these conditions.
---------------------------------------------------------------------------

    Once the alternative approach described above is fully implemented,
the Participants believe that the FINRA Facility Data would be an
equivalent and more reliable source for the clearing and cancellation
data required by the CAT NMS Plan than similar data provided separately
by each Industry Member.\31\ The FINRA Facility Data is already used
for clearing and publishing trades.\32\ Inadvertent errors reported to
a FINRA Facility may also result in a trade break.\33\ In addition, the
Participants state that their proposed alternative approach would avoid
burdening Industry Members with the cost and effort of reporting data
regarding clearing brokers and cancelled

trades pursuant to two reporting regimes.\34\
---------------------------------------------------------------------------

    \31\ See Participant Letter, at 5.
    \32\ See id.
    \33\ See id. at 2 n.9.
    \34\ See id. at 5.
---------------------------------------------------------------------------

IV. Discussion

    Section 36 of the Exchange Act grants the Commission the authority,
with certain limitations, to ``conditionally or unconditionally exempt
any person, security, or transaction . . . from any provision or
provisions of [the Exchange Act] or of any rule or regulation
thereunder, to the extent that such exemption is necessary or
appropriate in the public interest, and is consistent with the
protection of investors.'' \35\ Rule 608(e) of Regulation NMS under the
Exchange Act authorizes the Commission to exempt, either
unconditionally or on specified terms and conditions, any self-
regulatory organization, member thereof, or specified security, from
the provisions of the rule if the Commission determines that such
exemption is consistent with the public interest, the protection of
investors, the maintenance of fair and orderly markets and the removal
of impediments to, and perfection of the mechanisms of, a national
market system.\36\
---------------------------------------------------------------------------

    \35\ 15 U.S.C. 78mm(a)(1).
    \36\ 17 CFR 242.608(e).
---------------------------------------------------------------------------

    The Commission believes that, pursuant to Section 36 of the
Exchange Act, exemptive relief is appropriate in the public interest
and consistent with the protection of investors, and that, pursuant to
Rule 608(e) under the Exchange Act, exemptive relief is consistent with
the public interest, the protection of investors, the maintenance of
fair and orderly markets and the removal of impediments to, and the
perfection of the mechanisms of, a national market system. Relying on
FINRA Facility Data in lieu of requiring Industry Members to report the
SRO-Assigned Market Participant Identifier of the clearing broker, if
applicable, and a cancelled trade indicator will be more efficient and
more cost-effective for Industry Members, because this proposed
alternative approach will avoid burdening Industry Members with
reporting data regarding clearing brokers and cancelled trades pursuant
to two reporting regimes. Moreover, once the alternative approach is
fully implemented, FINRA Facility Data provided to the CAT would be
equivalent to the data required by Sections 6.4(d)(ii)(A)(2) and (B).
    The Commission believes that the conditions proposed by the
Participants in their request for exemptive relief are also
appropriate, including the condition that FINRA will continue to report
FINRA Facility Data to the Central Repository, the condition that the
Participants will require the Plan Processor to link FINRA Facility
Data to Industry Member execution reports submitted to the Central
Repository, conditions specifying that the Participants' Compliance
Rules will require Industry Members to report directly to the Central
Repository if they do not submit the required information to a FINRA
Facility or are unable to provide a link between the execution reported
to the Central Repository and the corresponding FINRA Facility trade
report or trade cancellation, and the condition that FINRA would seek
to amend its FINRA Facility rules and technical specifications to
permit each FINRA Facility to accept timestamps up to the granularity
required by the CAT NMS Plan.\37\ The Commission believes that such
conditions will help to ensure the collection of relevant and
equivalent data regarding cancelled trades and clearing brokers.
---------------------------------------------------------------------------

    \37\ See notes 14-22, 27-29 and associated text supra for a
discussion of these conditions. The Participants have an obligation
to enforce Industry Member compliance with their own rules,
including the Compliance Rules and FINRA's rules relating to its
trade reporting facilities. See, e.g., note 10 supra.
---------------------------------------------------------------------------

    The Commission also believes that the phased implementation of the
Participants' alternative approach is appropriate. Although some
elements of the Participants' alternative approach will not be fully
implemented until 2021 or 2022, including direct reporting by Industry
Members of clearing numbers and contra party information in certain
circumstances, the Participants have indicated that these elements
would only affect a limited or de minimis amount of data.\38\ The
Commission therefore believes that granting the requested exemptive
relief according to the timeline proposed by the Participants is
unlikely to have a significant impact on regulators' short-term ability
to use the transactional data reported to the Central Repository.
Moreover, the Commission believes that granting exemptive relief
according to the timeline proposed by the Participants will
simultaneously provide Industry Members with immediate relief from
incurring duplicative costs and encourage progress towards full
implementation of the alternative approach on a reasonable and feasible
schedule.
---------------------------------------------------------------------------

    \38\ See, e.g., notes 23-26 and associated text supra.
---------------------------------------------------------------------------

    To the extent that the Participants are availing themselves of
exemptive relief from a CAT NMS Plan requirement, such requirement
shall not be included in the requirements for a Financial
Accountability Milestone, provided that the conditions of the exemption
are satisfied.\39\
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    \39\ See Securities Exchange Act Release No. 88890 (May 15,
2020), 85 FR 31322, 31335 (May 22, 2020). If the Participants do not
meet the conditions set forth herein, on the schedule set forth
herein, their ability to recover fees from Industry Members could be
impacted pursuant to the terms of Section 11.6 of the CAT NMS Plan.
See CAT NMS Plan, supra note 3, at Section 11.6 (effective June 22,
2020). Specifically, linkage of execution reports submitted to the
Central Repository by Industry Members to corresponding FINRA trade
reports and Industry Member reporting of unique trade identifiers,
scheduled to begin on October 26, 2020, along with any related
changes to the Compliance Rules, will now be relevant to the Full
Implementation of Core Equity Reporting milestone (Period 2), which
must be satisfied no later than December 31, 2020. Functionality
enabling Industry Members to report clearing numbers and contra
party information directly to the Central Repository, scheduled to
begin on April 26, 2021 for Large Industry Members and Small OATS
Reporters, along with any related changes to the Compliance Rules
and FINRA's Trade Reporting Facilities and FINRA's Alternative
Display Facility acceptance of timestamps up to the granularity
required by the CAT NMS Plan, scheduled to begin by December 15,
2021, will now be relevant to the Full Availability and Regulatory
Utilization of Transactional Database Functionality milestone
(Period 3), which must be satisfied no later than December 31, 2021.
FINRA's OTC Reporting Facility acceptance of timestamps up to the
granularity required by the CAT NMS Plan, scheduled to begin by
December 15, 2022, will now be relevant to the Full Implementation
of CAT NMS Plan Requirements milestone (Period 4), which must be
satisfied no later than December 30, 2022.
---------------------------------------------------------------------------

    Accordingly, it is hereby ordered, pursuant to Section 36(a)(1) of
the Exchange Act \40\ and Rule 608(e) under the Exchange Act,\41\ that
the Commission grants the Participants' request for exemptive relief,
as set forth in the Participant Letter, from the requirements in
Section 6.4(d)(ii)(A)(2) and (B) of the CAT NMS Plan, subject to the
conditions described by the Participants and in this Order.
---------------------------------------------------------------------------

    \40\ 15 U.S.C. 78mm(a)(1).
    \41\ 17 CFR 242.608(e).

    By the Commission.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-12998 Filed 6-16-20; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 80, Number 212 (Tuesday, November 3, 2015)]
[Notices]
[Pages 67764-67766]
[FR Doc No: 2015-27953]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2015-N-3921]

Health Canada and United States Food and Drug Administration
Joint Public Consultation on International Conference on Harmonisation
of Technical Requirements for Registration of Pharmaceuticals for Human
Use; Public Webinar; Request for Comments

AGENCY:  Food and Drug Administration, HHS.

ACTION:  Notice of public webinar; request for comments.

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SUMMARY: The Food and Drug Administration (FDA or Agency) is announcing
a regional public webinar entitled ``Health Canada and U.S. Food and
Drug Administration Joint Public Consultation on International
Conference on Harmonisation of Technical Requirements for Registration
of Pharmaceuticals for Human Use (ICH).'' The goal of this webinar is
to provide information and receive comments on the ICH, as well as the
upcoming ICH meetings in Jacksonville, FL, in December 2015. The topics
to be discussed are the topics for discussion at the forthcoming ICH
Management Steering Meeting. The purpose of the webinar is to solicit
public input prior to the next Steering Committee and Expert Working
Group meetings in Jacksonville, FL, scheduled for December 5 to 10,
2015, at which the discussion of the topics underway and ICH reforms
will continue.

DATES:  The public webinar will be held on November 12, 2015, from 1
p.m. to 4 p.m., Eastern Standard Time. Registration to attend the
webinar and requests for online presentations must be received by
November 6, 2015. See the SUPPLEMENTARY INFORMATION section for
information on how to register for the webinar. Interested persons may
submit either electronic or written comments to the public docket (see
ADDRESSES) by December 12, 2015.

ADDRESSES:  You may submit comments as follows:

Electronic Submissions

    Submit electronic comments in the following way:
     Federal eRulemaking Portal: http://www.regulations.gov.
Follow the instructions for submitting comments. Comments submitted
electronically, including attachments, to http://www.regulations.gov
will be posted to the docket unchanged. Because your

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

Written/Paper Submissions

    Submit written/paper submissions as follows:
     Mail/Hand delivery/Courier (for written/paper
submissions): Division of Dockets Management (HFA-305), Food and Drug
Administration, 5630 Fishers Lane, Rm. 1061, Rockville, MD 20852.
     For written/paper comments submitted to the Division of
Dockets Management, FDA will post your comment, as well as any
attachments, except for information submitted, marked and identified,
as confidential, if submitted as detailed in ``Instructions.''
    Instructions: All submissions received must include the Docket No.
FDA-2015-N-3921 for ``Health Canada and U.S. Food and Drug
Administration Joint Public Consultation on International Conference on
Harmonisation of Technical Requirements for Registration of
Pharmaceuticals for Human Use; Public Webinar.'' Received comments will
be placed in the docket and, except for those submitted as
``Confidential Submissions,'' publicly viewable at http://www.regulations.gov or at the Division of Dockets Management between 9
a.m. and 4 p.m., Monday through Friday.
     Confidential Submissions--To submit a comment with
confidential information that you do not wish to be made publicly
available, submit your comments only as a written/paper submission. You
should submit two copies total. One copy will include the information
you claim to be confidential with a heading or cover note that states
``THIS DOCUMENT CONTAINS CONFIDENTIAL INFORMATION.'' The Agency will
review this copy, including the claimed confidential information, in
its consideration of comments. The second copy, which will have the
claimed confidential information redacted/blacked out, will be
available for public viewing and posted on http://www.regulations.gov.
Submit both copies to the Division of Dockets Management. If you do not
wish your name and contact information to be made publicly available,
you can provide this information on the cover sheet and not in the body
of your comments and you must identify this information as
``confidential.'' Any information marked as ``confidential'' will not
be disclosed except in accordance with 21 CFR 10.20 and other
applicable disclosure law. For more information about FDA's posting of
comments to public dockets, see 80 FR 56469, September 18, 2015, or
access the information at: http://www.fda.gov/regulatoryinformation/dockets/default.htm.
    Docket: For access to the docket to read background documents or
the electronic and written/paper comments received, go to http://www.regulations.gov and insert the docket number, found in brackets in
the heading of this document, into the ``Search'' box and follow the
prompts and/or go to the Division of Dockets Management, 5630 Fishers
Lane, Rm. 1061, Rockville, MD 20852.

FOR FURTHER INFORMATION CONTACT:  Amanda Roache, Food and Drug
Administration, Center for Drug Evaluation and Research, Office of
Strategic Programs, 10903 New Hampshire Ave., Bldg. 51, Rm. 1128,
Silver Spring, MD 20993,<PHONE_NUMBER>, email:
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. Background

    The ICH was established in 1990 as a joint regulatory/industry
project to improve, through harmonization, the efficiency of the
process for developing and registering new medicinal products in
Europe, Japan, and the United States without compromising the
regulatory obligations of safety and effectiveness. In recent years,
many important initiatives have been undertaken by regulatory
authorities and industry associations to promote international
harmonization of regulatory requirements. FDA has participated in many
meetings designed to enhance harmonization and is committed to seeking
scientifically based harmonized technical procedures for pharmaceutical
development. One of the goals of harmonization is to identify and then
reduce differences in technical requirements for medical product
development among regulatory Agencies. ICH was organized to provide an
opportunity for harmonization initiatives to be developed with input
from both regulatory and industry representatives. Members of the ICH
Steering Committee include the European Union; the European Federation
of Pharmaceutical Industries Associations; the Japanese Ministry of
Health, Labor, and Welfare; the Japanese Pharmaceutical Manufacturers
Association; FDA; the Pharmaceutical Research and Manufacturers of
America; Health Canada; Swissmedic; and the World Health Organization
(as an Observer). The ICH process has achieved significant
harmonization of the technical requirements for the approval of
pharmaceuticals for human use in the ICH regions over the past two
decades. The current ICH process and structure can be found at the
following Web site: http://www.ich.org. (FDA has verified the Web site
addresses as of the date this document publishes in the Federal
Register, but Web sites are subject to change over time.)

II. Webinar Attendance and Participation

A. Registration

    If you wish to attend the webinar, submit a request in writing via
email to<EMAIL_ADDRESS>by November 6, 2015. Registrations
may be limited, so early registration is recommended. Registration is
free and will be on a first-come, first-served basis. However, the
number of participants from each organization may be limited based on
space limitations. Registrants will receive confirmation once they have
been accepted. If you need special accommodations because of a
disability, please contact Amanda Roache (see FOR FURTHER INFORMATION
CONTACT) at least 7 days before the webinar.

B. Requests for Online Presentations

    Interested persons may present data, information, or views orally
or in writing on issues pending at the public webinar. Online
presentations made by the public will be scheduled between
approximately 3:30 p.m. and 4 p.m. Time allotted for online
presentations may be limited to 5 minutes. Those desiring to make
online presentations should notify Amanda Roache (see FOR FURTHER
INFORMATION CONTACT) by November 6, 2015, and submit a brief statement
of the general nature of the evidence or arguments they wish to
present; the names and addresses, telephone number, fax, and email of
proposed participants; and an

indication of the approximate time requested to make their
presentation. The agenda for the public webinar will be made available
on the Internet at http://www.fda.gov/Drugs/NewsEvents/ucm466461.htm.

III. Transcripts

    Please be advised that as soon as a webinar transcript is
available, FDA will post it at http://www.fda.gov/Drugs/NewsEvents/ucm466461.htm.

    Dated: October 29, 2015.
Leslie Kux,
Associate Commissioner for Policy.
 [FR Doc. 2015-27953 Filed 11-2-15; 8:45 am]
 BILLING CODE 4164-01-P