Federal Register / Vol. 74, No. 196 / Tuesday, October 13, 2009 / Proposed Rules 52431 

subsequent final rule. Absent significant 

modifications to the proposed revisions 

requiring republication, the NRC will 

not initiate a second comment period on 

this action in the event the direct final 

rule is withdrawn. 

A significant adverse comment is a 

comment where the commenter 

explains why the rule would be 

inappropriate, including challenges to 

the rule’s underlying premise or 

approach, or would be ineffective or 

unacceptable without a change. A 

comment is adverse and significant if: 

1. The comment opposes the rule and 

provides a reason sufficient to require a 

substantive response in a notice-andcomment process. For example, a 

substantive response is required when: 

a. The comment causes the NRC staff 

to reevaluate (or reconsider) its position 

or conduct additional analysis; 

b. The comment raises an issue 

serious enough to warrant a substantive 

response to clarify or complete the 

record; or 

c. The comment raises a relevant issue 

that was not previously addressed or 

considered by the NRC staff. 

2. The comment proposes a change or 

an addition to the rule, and it is 

apparent that the rule would be 

ineffective or unacceptable without 

incorporation of the change or addition. 

3. The comment causes the NRC staff 

to make a change (other than editorial) 

to the rule, CoC, or TS. 

For additional procedural information 

and the regulatory analysis, see the 

direct final rule published in the Rules 

and Regulations section of this Federal 

Register. 

List of Subjects in 10 CFR Part 72 

Administrative practice and 

procedure, Hazardous waste, Nuclear 

materials, Occupational safety and 

health, Radiation protection, Reporting 

and recordkeeping requirements, 

Security measures, Spent fuel, 

Whistleblowing. 

For the reasons set out in the 

preamble and under the authority of the 

Atomic Energy Act of 1954, as amended; 

the Energy Reorganization Act of 1974, 

as amended; the Nuclear Waste Policy 

Act of 1982, as amended, and 5 U.S.C. 

553; the NRC is proposing to adopt the 

following amendments to 10 CFR part 

72. 

PART 72—LICENSING 

REQUIREMENTS FOR THE 

INDEPENDENT STORAGE OF SPENT 

NUCLEAR FUEL, HIGH-LEVEL 

RADIOACTIVE WASTE, AND 

REACTOR-RELATED GREATER THAN 

CLASS C WASTE 

1. The authority citation for part 72 

continues to read as follows: 

Authority: Secs. 51, 53, 57, 62, 63, 65, 69, 

81, 161, 182, 183, 184, 186, 187, 189, 68 Stat. 

929, 930, 932, 933, 934, 935, 948, 953, 954, 

955, as amended, sec. 234, 83 Stat. 444, as 

amended (42 U.S.C. 2071, 2073, 2077, 2092, 

2093, 2095, 2099, 2111, 2201, 2232, 2233, 

2234, 2236, 2237, 2238, 2282); sec. 274, Pub. 

L. 86–373, 73 Stat. 688, as amended (42 

U.S.C. 2021); sec. 201, as amended, 202, 206, 

88 Stat. 1242, as amended, 1244, 1246 (42 

U.S.C. 5841, 5842, 5846); Pub. L. 95–601, sec. 

10, 92 Stat. 2951 as amended by Pub. L. 102– 

486, sec. 7902, 106 Stat. 3123 (42 U.S.C. 

5851); sec. 102, Pub. L. 91–190, 83 Stat. 853 

(42 U.S.C. 4332); secs. 131, 132, 133, 135, 

137, 141, Pub. L. 97–425, 96 Stat. 2229, 2230, 

2232, 2241, sec. 148, Pub. L. 100–203, 101 

Stat. 1330–235 (42 U.S.C. 10151, 10152, 

10153, 10155, 10157, 10161, 10168); sec. 

1704, 112 Stat. 2750 (44 U.S.C. 3504 note); 

sec. 651(e), Pub. L. 109–58, 119 Stat. 806–10 

(42 U.S.C. 2014, 2021, 2021b, 2111). 

Section 72.44(g) also issued under secs. 

142(b) and 148(c), (d), Pub. L. 100–203, 101 

Stat. 1330–232, 1330–236 (42 U.S.C. 

10162(b), 10168(c),(d)). Section 72.46 also 

issued under sec. 189, 68 Stat. 955 (42 U.S.C. 

2239); sec. 134, Pub. L. 97–425, 96 Stat. 2230 

(42 U.S.C. 10154). Section 72.96(d) also 

issued under sec. 145(g), Pub. L. 100–203, 

101 Stat. 1330–235 (42 U.S.C. 10165(g)). 

Subpart J also issued under secs. 2(2), 2(15), 

2(19), 117(a), 141(h), Pub. L. 97–425, 96 Stat. 

2202, 2203, 2204, 2222, 2244 (42 U.S.C. 

10101, 10137(a), 10161(h)). Subparts K and L 

are also issued under sec. 133, 98 Stat. 2230 

(42 U.S.C. 10153) and sec. 218(a), 96 Stat. 

2252 (42 U.S.C. 10198). 

2. In § 72.214, Certificate of 

Compliance 1014 is revised to read as 

follows: 

§ 72.214 List of approved spent fuel 

storage casks. 

* * * * * 

Certificate Number: 1014. 

Initial Certificate Effective Date: May 31, 

2000. 

Amendment Number 1 Effective Date: 

July 15, 2002. 

Amendment Number 2 Effective Date: 

June 7, 2005. 

Amendment Number 3 Effective Date: 

May 29, 2007. 

Amendment Number 4 Effective Date: 

January 8, 2008. 

Amendment Number 5 Effective Date: 

July 14, 2008. 

Amendment Number 6 Effective Date: 

August 17, 2009 

Amendment Number 7 Effective Date: 

December 28, 2009. 

SAR Submitted by: Holtec International. 

SAR Title: Final Safety Analysis Report 

for the HI–STORM 100 Cask System. 

Docket Number: 72–1014. 

Certificate Expiration Date: May 31, 

2020. 

Model Number: HI–STORM 100 System. 

* * * * * 

Dated at Rockville, Maryland, this 24th day 

of September 2009. 

For the Nuclear Regulatory Commission. 

R.W. Borchardt, 

Executive Director for Operations. 

[FR Doc. E9–24562 Filed 10–9–09; 8:45 am] 

BILLING CODE 7590–01–P 

DEPARTMENT OF TRANSPORTATION 

Federal Aviation Administration 

14 CFR Part 39 

[Docket No. FAA–2009–0906; Directorate 

Identifier 2009–NM–075–AD] 

RIN 2120–AA64 

Airworthiness Directives; Boeing 

Model 747–100, 747–100B, 747–100B 

SUD, 747–200B, 747–200C, 747–200F, 

747–300, 747–400, 747–400D, 747– 

400F, 747SR, and 747SP Series 

Airplanes 

AGENCY: Federal Aviation 

Administration (FAA), DOT. 

ACTION: Notice of proposed rulemaking 

(NPRM). 

SUMMARY: We propose to adopt a new 

airworthiness directive (AD) for certain 

Boeing Model 747 series airplanes. This 

proposed AD would require replacing 

the power control relays for the main 

tank fuel boost pumps and jettison 

pumps, and the center tank scavenge 

pump, as applicable, with new relays 

having a ground fault interrupt (GFI) 

feature. The proposed AD also would 

require revising the maintenance 

program to incorporate Airworthiness 

Limitations (AWLs) No. 28–AWL–23 

(for Model 747–100, 747–100B, 747– 

100B SUD, 747–200B, 747–200C, 747– 

200F, 747–300, 747SP, and 747SR series 

airplanes), and Nos. 28–AWL–28 and 

28–AWL–29 (for Model 747–400, 747– 

400D, and 747–400F series airplanes). 

This proposed AD results from fuel 

system reviews conducted by the 

manufacturer. We are proposing this AD 

to prevent damage to the fuel pumps 

caused by electrical arcing that could 

introduce an ignition source in the fuel 

tank, which, in combination with 

flammable fuel vapors, could result in a 

fuel tank explosion and consequent loss 

of the airplane. 


CPrice-Sewell on DSKGBLS3C1PROD with PROPOSALS
52432 Federal Register / Vol. 74, No. 196 / Tuesday, October 13, 2009 / Proposed Rules 

DATES: We must receive comments on 

this proposed AD by November 27, 

2009. 

ADDRESSES: You may send comments by 

any of the following methods: 

• Federal eRulemaking Portal: Go to 

http://www.regulations.gov. Follow the 

instructions for submitting comments. 

• Fax: 202–493–2251. 

• 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: U.S. Department of 

Transportation, Docket Operations, M– 

30, West Building Ground Floor, Room 

W12–140, 1200 New Jersey Avenue, SE., 

Washington, DC 20590, 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, P.O. Box 3707, 

MC 2H–65, Seattle, Washington 98124– 

2207; telephone 206–544–5000, 

extension 1; fax 206–766–5680; e-mail 

me.boecom@boeing.com; 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 425–227– 

1221 or 425–227–1152. 

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 

(telephone 800–647–5527) is in the 

ADDRESSES section. Comments will be 

available in the AD docket shortly after 

receipt. 

FOR FURTHER INFORMATION CONTACT: 

Georgios Roussos, Aerospace Engineer, 

Systems and Equipment Branch, ANM– 

130S, FAA, Seattle Aircraft Certification 

Office, 1601 Lind Avenue SW., Renton, 

Washington 98057–3356; telephone 

(425) 917–6482; fax (425) 917–6590. 

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–2009–0906; Directorate Identifier 

2009–NM–075–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 

The FAA has examined the 

underlying safety issues involved in fuel 

tank explosions on several large 

transport airplanes, including the 

adequacy of existing regulations, the 

service history of airplanes subject to 

those regulations, and existing 

maintenance practices for fuel tank 

systems. As a result of those findings, 

we issued a regulation titled ‘‘Transport 

Airplane Fuel Tank System Design 

Review, Flammability Reduction and 

Maintenance and Inspection 

Requirements’’ (66 FR 23086, May 7, 

2001). In addition to new airworthiness 

standards for transport airplanes and 

new maintenance requirements, this 

rule included Special Federal Aviation 

Regulation No. 88 (‘‘SFAR 88,’’ 

Amendment 21–78, and subsequent 

Amendments 21–82 and 21–83). 

Among other actions, SFAR 88 

requires certain type design (i.e., type 

certificate (TC) and supplemental type 

certificate (STC)) holders to substantiate 

that their fuel tank systems can prevent 

ignition sources in the fuel tanks. This 

requirement applies to type design 

holders for large turbine-powered 

transport airplanes and for subsequent 

modifications to those airplanes. It 

requires them to perform design reviews 

and to develop design changes and 

maintenance procedures if their designs 

do not meet the new fuel tank safety 

standards. As explained in the preamble 

to the rule, we intended to adopt 

airworthiness directives to mandate any 

changes found necessary to address 

unsafe conditions identified as a result 

of these reviews. 

In evaluating these design reviews, we 

have established four criteria intended 

to define the unsafe conditions 

associated with fuel tank systems that 

require corrective actions. The 

percentage of operating time during 

which fuel tanks are exposed to 

flammable conditions is one of these 

criteria. The other three criteria address 

the failure types under evaluation: 

single failures, single failures in 

combination with a latent condition(s), 

and in-service failure experience. For all 

four criteria, the evaluations included 

consideration of previous actions taken 

that may mitigate the need for further 

action. 

We have determined that the actions 

identified in this AD are necessary to 

reduce the potential of ignition sources 

inside fuel tanks, which, in combination 

with flammable fuel vapors, could result 

in a fuel tank explosion and consequent 

loss of the airplane. 

As part of SFAR 88 analysis, Boeing 

determined that the power control 

relays for the main tank fuel boost 

pumps and jettison pumps and the 

center tank scavenge pump should be 

replaced with new relays having a 

ground fault interrupt (GFI) feature. The 

relays are located in the P414, P415, and 

P52 panels. The GFI feature is intended 

to protect the fuel pumps from damage 

caused from electrical arcing by 

removing electrical power from the 

pump if a ground fault is detected. 

Electrical arcing, if not prevented, could 

introduce an ignition source in the fuel 

tank, which, in combination with 

flammable fuel vapors, could result in a 

fuel tank explosion and consequent loss 

of the airplane. 

Relevant Service Information 

We have reviewed Boeing Alert 

Service Bulletin 747–28A2261, dated 

February 19, 2009. The service bulletin 

describes procedures for replacing the 

relays for the main tank fuel boost 

pumps and jettison pumps, and the 

center tank scavenge pump, as 

applicable, with new relays having a 

GFI feature. The replacement also 

includes reworking certain wiring and 

doing an operational test of the fuel 

boost pumps and new relays. 

We have also reviewed the following 

documents, which include a repetitive 

inspection (test) to verify continued 

functionality of the GFI relays: 

• For Model 747–400, 747–400D, and 

747–400F series airplanes: Subsection 

D, ‘‘AIRWORTHINESS LIMITATIONS— 

FUEL SYSTEMS,’’ of Boeing 747–400 

Maintenance Planning Data (MPD) 

Document, Document D621U400–9, 

Section 9, Revision April 2008. 

Subsection D of Revision April 2008 of 

the MPD includes new airworthiness 

limitations (AWLs) 28–AWL–28 and 

28–AWL–29. (These AWLs were first 

introduced in Revision October 2007 of 

the MPD document.) Incorporating these 

AWLs are an optional action in AD 

2008–10–06, Amendment 39–15512 (73 

FR 25990, May 8, 2008). 


CPrice-Sewell on DSKGBLS3C1PROD with PROPOSALS
Federal Register / Vol. 74, No. 196 / Tuesday, October 13, 2009 / Proposed Rules 52433 

• For Model 747–100, 747–100B, 

747–100B SUD, 747–200B, 747–200C, 

747–200F, 747–300, 747SP, and 747SR 

series airplanes: Subsection D, 

‘‘AIRWORTHINESS LIMITATIONS— 

SYSTEMS,’’ of Boeing 747–100/200/ 

300/SP Airworthiness Limitations 

(AWLs) and Certification Maintenance 

Requirements (CMRs), Document D6– 

13747–CMR, Revision March 2008. 

Subsection D of Revision March 2008 of 

the AWLs includes new airworthiness 

limitation AWL 28–AWL–23. (This 

AWL was first introduced in Revision 

September 2007 of the AWLs/CMRs 

document.) Incorporating this AWL is 

an optional action in AD 2008–10–07, 

Amendment 39–15513 (73 FR 25977, 

May 8, 2008). 

FAA’s Determination and Requirements 

of This Proposed AD 

We are proposing this AD because we 

evaluated all relevant information and 

determined the unsafe condition 

described previously is likely to exist or 

develop in other products of the same 

type design. This proposed AD would 

require accomplishing the actions 

specified in the service information 

described previously. 

Costs of Compliance 

We estimate that this proposed AD 

would affect 258 airplanes of U.S. 

registry. The following table provides 

the estimated costs for U.S. operators to 

comply with this proposed AD. 

TABLE—ESTIMATED COSTS

Action Work hours Average labor 

rate per hour Parts Cost per product 

Number of 

U.S.-registered 

airplanes 

Fleet cost 

Replacement .................... 10 to 14 1 ..... $80 $16,800 to 

$36,200 1.

$17,600 to 

$37,320 1.

258 $4,540,800 to 

$9,628,560 1. 

Revision of Airworthiness 

Limitations section.

1 .................. $80 None ................... $80 ..................... 258 $20,640. 

1 Depending on airplane configuration. 

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 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 this 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), 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. 

You can find our regulatory 

evaluation and the estimated costs of 

compliance in the AD Docket. 

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. 

§ 39.13 [Amended] 

■ 2. The FAA amends § 39.13 by adding 

the following new AD: 

Boeing: Docket No. FAA–2009–0906; 

Directorate Identifier 2009–NM–075–AD. 

Comments Due Date 

(a) We must receive comments by 

November 27, 2009. 

Affected ADs 

(b) None. 

Applicability 

(c) This AD applies to Model 747–100, 

747–100B, 747–100B SUD, 747–200B, 747– 

200C, 747–200F, 747–300, 747–400, 747– 

400D, 747–400F, 747SR, and 747SP series 

airplanes, certificated in any category; as 

identified in Boeing Alert Service Bulletin 

747–28A2261, dated February 19, 2009. 

Note 1: This AD requires a revision to a 

certain operator maintenance document to 

include new inspections. Compliance with 

these inspections is required by 14 CFR 43.16 

and 91.403(c). For airplanes that have been 

previously modified, altered, or repaired in 

the areas addressed by these limitations, the 

operator may not be able to accomplish the 

actions described in the revisions. In this 

situation, to comply with 14 CFR 43.16 and 

91.403(c), the operator must request approval 

for an alternative method of compliance 

according to paragraph (j) of this AD. The 

request should include a description of 

changes to the required inspections that will 

ensure the continued operational safety of 

the airplane. 

Subject 

(d) Air Transport Association (ATA) of 

America Code 28: Fuel. 

Unsafe Condition 

(e) This AD results from fuel system 

reviews conducted by the manufacturer. The 

Federal Aviation Administration is issuing 

this AD to prevent damage to the fuel pumps 

caused by electrical arcing that could 

introduce an ignition source in the fuel tank 

which, in combination with flammable fuel 

vapors, could result in a fuel tank explosion 

and consequent loss of the airplane. 

Compliance 

(f) You are responsible for having the 

actions required by this AD performed within 

the compliance times specified, unless the 

actions have already been done. 


CPrice-Sewell on DSKGBLS3C1PROD with PROPOSALS
52434 Federal Register / Vol. 74, No. 196 / Tuesday, October 13, 2009 / Proposed Rules 

1The Act is codified at 7 U.S.C. 1 et seq. (2009), 

and section 4f(b) of the Act is codified at 7 U.S.C. 

6f(b). The Commission’s regulations cited in this 

proposed rulemaking may be found at 17 CFR Ch. 

1 (2009). 

2For simplicity, references in this Federal 

Register release to IBs in connection with financial 

reporting and notice requirements are intended to 

refer to IBs that are not operating pursuant to a 

guarantee agreement. 

Replacement 

(g) Within 60 months after the effective 

date of this AD: Replace the power control 

relays for the main tank fuel boost pumps 

and jettison pumps, and the center tank 

scavenge pump, as applicable, with new 

relays having a ground fault interrupt feature, 

in accordance with the Accomplishment 

Instructions of Boeing Alert Service Bulletin 

747–28A2261, dated February 19, 2009. 

Maintenance Program Revision 

(h) Concurrently with the actions required 

by paragraph (g) of this AD: Revise the 

maintenance program by incorporating the 

applicable information in paragraphs (h)(1) 

and (h)(2) of this AD. The inspection interval 

for AWLs 28–AWL–23, 28–AWL–28, and 28– 

AWL–29 starts on the date the replacement 

required by paragraph (g) of this AD is done. 

(1) For Model 747–400, 747–400D, and 

747–400F series airplanes: Incorporate new 

airworthiness limitations 28–AWL–28 and 

28–AWL–29 of Subsection D, 

‘‘AIRWORTHINESS LIMITATIONS—FUEL 

SYSTEMS,’’ of Boeing 747–400 Maintenance 

Planning Data (MPD) Document, Document 

D621U400–9, Section 9, Revision April 2008. 

(These AWLs were first introduced in 

Revision October 2007 of the MPD 

document.) 

(2) For Model 747–100, 747–100B, 747– 

100B SUD, 747–200B, 747–200C, 747–200F, 

747–300, 747SP, and 747SR series airplanes: 

Incorporate new airworthiness limitation 28– 

AWL–23 of Subsection D, 

‘‘AIRWORTHINESS LIMITATIONS— 

SYSTEMS,’’ of Boeing 747–100/200/300/SP 

Airworthiness Limitations (AWLs) and 

Certification Maintenance Requirements 

(CMRs), Document D6–13747–CMR, Revision 

March 2008. (This AWL was first introduced 

in Revision September 2007 of the AWLs/ 

CMRs document.) 

No Alternative Inspection or Inspection 

Intervals 

(i) After accomplishing the action required 

by paragraph (h) of this AD, no alternative 

inspections or inspection intervals may be 

used, unless the inspections or intervals are 

approved as an alternative method of 

compliance (AMOC) in accordance with the 

procedures specified in paragraph (j) of this 

AD. 

Alternative Methods of Compliance 

(AMOCs) 

(j)(1) The Manager, Seattle 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. Send information to Attn: 

Georgios Roussos, Aerospace Engineer, 

Systems and Equipment Branch, ANM–130S, 

FAA, Seattle Aircraft Certification Office, 

1601 Lind Avenue SW., Renton, Washington 

98057–3356; telephone (425) 917–6482; fax 

(425) 917–6590. Or, e-mail information to 9- 

ANM-Seattle-ACO-AMOC-Requests@faa.gov. 

(2) To request a different method of 

compliance or a different compliance time 

for this AD, follow the procedures in 14 CFR 

39.19. Before using any approved AMOC on 

any airplane to which the AMOC applies, 

notify your principal maintenance inspector 

(PMI) or principal avionics inspector (PAI), 

as appropriate, or lacking a principal 

inspector, your local Flight Standards District 

Office. The AMOC approval letter must 

specifically reference this AD. 

Issued in Renton, Washington, on 

September 25, 2009. 

Ali Bahrami, 

Manager, Transport Airplane Directorate, 

Aircraft Certification Service. 

[FR Doc. E9–24490 Filed 10–9–09; 8:45 am] 

BILLING CODE 4910–13–P 

COMMODITY FUTURES TRADING 

COMMISSION 

17 CFR Part 1 

RIN 3038–AB87 

Electronic Filing of Financial Reports 

and Notices 

AGENCY: Commodity Futures Trading 

Commission. 

ACTION: Proposed rule. 

SUMMARY: The Commodity Futures 

Trading Commission (‘‘Commission’’ or 

‘‘CFTC’’) is proposing to amend certain 

of its regulations in connection with 

electronic filing of financial reports and 

other notices (‘‘Proposal’’). The Proposal 

would broaden the language in the 

Commission’s regulations applicable to 

electronic filings of financial reports to 

clarify that, to the extent a futures 

commission merchant (‘‘FCM’’) submits 

a Form 1–FR to the Commission 

electronically, it may do so using any 

user authentication procedures 

established or approved by the 

Commission. The Proposal also would 

permit registrants to electronically 

submit filings in addition to financial 

reports, including an election to use a 

non-calendar fiscal year, requests for 

extensions of time to file uncertified 

financial reports and ‘‘early warning’’ 

notices required under Commission 

regulations. In connection with the 

filing of financial reports, the 

Commission also is proposing to 

specify, consistent with other 

requirements and existing practice, that 

a statement of income and loss is 

included as a required part of the noncertified 1–FR filings for FCMs and 

introducing brokers (‘‘IBs’’). The 

Commission also is proposing to require 

more immediate, but less prescriptive, 

documentation regarding a firm’s capital 

condition when a firm falls below its 

required minimum adjusted net capital. 

Finally, the Commission is proposing 

several other minor amendments to 

correct certain outdated references and 

to make other clarifications to existing 

regulations. 

DATES: Comments must be received on 

or before November 12, 2009. 

ADDRESSES: You may submit comments, 

identified by RIN 3038–AB87, by any of 

the following methods: 

• Federal eRulemaking Portal: http:// 

www.regulations.gov/search/index.jsp. 

Follow the instructions for submitting 

comments. 

• E-mail: secretary@cftc.gov. Include 

‘‘Electronic Filing Amendments’’ in the 

subject line of the message. 

• Fax: (202) 418–5521. 

• Mail: Send to David Stawick, 

Secretary, Commodity Futures Trading 

Commission, 1155 21st Street, NW., 

Washington, DC 20581. 

• Courier: Same as Mail above. 

All comments received will be posted 

without change to http://www.cftc.gov, 

including any personal information 

provided. 

FOR FURTHER INFORMATION CONTACT: 

Thelma Diaz, Associate Director, 

Division of Clearing and Intermediary 

Oversight, 1155 21st Street, NW., 

Washington, DC 20581. Telephone 

number: 202–418–5137; facsimile 

number: 202–418–5547; and electronic 

mail: tdiaz@cftc.gov, or Lawrence T. 

Eckert, Special Counsel, Division of 

Clearing and Intermediary Oversight, 

140 Broadway, New York, New York 

10005. Telephone number (646) 746– 

9704; and electronic mail: 

leckert@cftc.gov. 

SUPPLEMENTARY INFORMATION: 

I. Background 

Section 4f(b) of the Commodity 

Exchange Act, as amended (the ‘‘Act’’) 

authorizes the Commission to impose by 

regulation minimum financial and 

related reporting requirements on 

futures commission merchants 

(‘‘FCMs’’) and introducing brokers 

(‘‘IBs’’).1 Commission Regulation 1.10 

sets forth the financial reporting 

requirements for FCMs and IBs.2 This 

regulation includes a requirement for 

FCMs and IBs to file annual financial 

statements that have been certified by 

an independent public accountant in 

accordance with Regulation 1.16. 

Regulation 1.10 also requires generally 

that FCMs file with the Commission 

non-certified Form 1–FR–FCM financial 

reports each month and that IBs file 

non-certified Form 1–FR–IB financial 


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