76842 Federal Register / Vol. 77, No. 250 / Monday, December 31, 2012 / Rules and Regulations 

6 5 U.S.C. 553(d)(3). 

7Public Law 96–354, Sept. 19, 1980. 

8 5 U.S.C. 603(a), 604(a). 

interested parties that the January 1, 

2013 date would likely be extended. For 

these reasons, the OCC finds that prior 

notice and comment are unnecessary. 

III. Effective Date 

This interim final rule is effective on 

December 31, 2012. A final rule may be 

effective without 30 days advance 

publication in the Federal Register if an 

agency finds good cause and publishes 

such with the final rule.6 The purpose 

of a delayed effective date is to permit 

regulated entities to adjust their 

behavior before the final rule takes 

effect. As described above, national 

banks and savings associations are 

currently excepted from the lending 

limits rules for extensions of credit 

arising from derivative transactions or 

securities financing transactions until 

January 1, 2013. This final rule extends 

this exception through July 1, 2013 in 

order to provide national banks and 

savings associations with additional 

time to comply with these provisions. 

The rule makes no substantive changes 

to the lending limits rule. Because the 

current exception will expire less than 

30 days from the date of this rule’s 

publication, it is necessary to make this 

rule effective immediately. Not doing so 

would result in national banks and 

savings associations having to comply 

with these provisions for a limited 

amount of time before the July 1, 2013 

exception is effective. For these reasons, 

the OCC finds good cause to dispense 

with a delayed effective date. 

IV. Regulatory Analysis 

Regulatory Flexibility Act 

Pursuant to the Regulatory Flexibility 

Act (RFA),7 5 U.S.C. 603, an agency 

must prepare a regulatory flexibility 

analysis for all proposed and final rules 

that describe the impact of the rule on 

small entities, unless the head of an 

agency certifies that the rule will not 

have ‘‘a significant economic impact on 

a substantial number of small entities.’’ 

However, the RFA applies only to rules 

for which an agency publishes a general 

notice of proposed rulemaking pursuant 

to 5 U.S.C. 553(b).8 Pursuant to the APA 

at 5 U.S.C. 553(b)(B), general notice and 

an opportunity for public comment are 

not required prior to the issuance of a 

final rule when an agency, for good 

cause, finds that ‘‘notice and public 

procedure thereon are impracticable, 

unnecessary, or contrary to the public 

interest.’’ For the reasons discussed 

above, the OCC did not publish a notice 

of proposed rulemaking. Therefore, the 

RFA does not apply to this final rule. 

Unfunded Mandates Reform Act 

Section 202 of the Unfunded 

Mandates Reform Act of 1995, Public 

Law 104–4 (2 U.S.C. 1532) (Unfunded 

Mandates Act), requires that an agency 

prepare a budgetary impact statement 

before promulgating any rule likely to 

result in a Federal mandate that may 

result in the expenditure by state, local, 

and tribal governments, in the aggregate, 

or by the private sector, of $100 million 

or more in any one year. If a budgetary 

impact statement is required, § 205 of 

the Unfunded Mandates Act also 

requires an agency to identify and 

consider a reasonable number of 

regulatory alternatives before 

promulgating a rule. The OCC has 

determined that there is no Federal 

mandate imposed by this rulemaking 

that may result in the expenditure by 

state, local, and tribal governments, in 

the aggregate, or by the private sector, of 

$100 million or more in any one year. 

Accordingly, final rule is not subject to 

§ 202 of the Unfunded Mandates Act. 

Paperwork Reduction Act 

In accordance with the requirements 

of the Paperwork Reduction Act (PRA) 

of 1995 (44 U.S.C. 3501–3521), the OCC 

may not conduct or sponsor, and a 

respondent is not required to respond 

to, an information collection unless it 

displays a currently valid Office of 

Management and Budget (OMB) control 

number. This rule amends rules, which 

contain information collection 

requirements under the PRA, that have 

been previously approved by OMB 

under OMB Control No. 1557–0221. The 

amendments in this final rule do not 

introduce any new collections of 

information into the rules, nor do they 

amend the rules in a way that modifies 

the collection of information that OMB 

has previously approved for part 32. 

Therefore, no Paperwork Reduction Act 

submission to OMB is required. 

List of Subjects in 12 CFR Part 32 

National banks, Reporting and 

recordkeeping requirements. 

For the reasons set forth in the 

preamble, 12 CFR part 32 is amended as 

follows: 

PART 32—LENDING LIMITS 

■ 1. The authority citation for part 32 

continues to read as follows: 

Authority: 12 U.S.C. 1 et seq., 84, 93a, 

1462a, 1463, 1464(u), and 5412(b)(2)(B). 

§ 32.1 [Amended] 

■ 2. Section 32.1(d) is amended by 

removing ‘‘January 1, 2013’’ and adding 

in its place ‘‘July 1, 2013’’. 

Dated: December 21, 2012. 

Thomas J. Curry, 

Comptroller of the Currency. 

[FR Doc. 2012–31267 Filed 12–26–12; 11:15 am] 

BILLING CODE 4810–33–P 

DEPARTMENT OF TRANSPORTATION 

Federal Aviation Administration 

14 CFR Parts 34 and 45 

[Docket No.: FAA–2012–1333; Amendment 

Nos. 34–5 and 45–28] 

RIN 2120–AK15 

Exhaust Emissions Standards for New 

Aircraft Gas Turbine Engines and 

Identification Plate for Aircraft Engines 

AGENCY: Federal Aviation 

Administration (FAA), DOT. 

ACTION: Final rule; request for 

comments. 

SUMMARY: This action amends the 

emission standards for turbine engine 

powered airplanes to incorporate the 

standards promulgated by the United 

States Environmental Protection Agency 

(EPA) on June 18, 2012. This 

amendment fulfills the FAA’s 

requirements under the Clean Air Act 

Amendments of 1970 to issue 

regulations ensuring compliance with 

the EPA standards. This action revises 

the standards for oxides of nitrogen and 

test procedures for exhaust emissions 

based on International Civil Aviation 

Organization standards, and for the 

identification and marking requirements 

for engines. 

DATES: Effective December 31, 2012. 

Affected parties, however, are not 

required to comply with the information 

collection requirement in § 45.11 until 

the Office of Management and Budget 

(OMB) approves the collection and 

assigns a control number under the 

Paperwork Reduction Act of 1995. The 

FAA will publish in the Federal 

Register a notice of the control number 

assigned by the Office of Management 

and Budget (OMB) for this information 

collection requirement. 

The incorporation by reference of 

certain publications listed in the rule is 

approved by the Director of the Federal 

Register as of December 31, 2012. 

Submit comments on or before March 

1, 2013. 

ADDRESSES: You may send comments 

identified by Docket Number FAA– 


ebenthall on DSK5TPTVN1PROD with 
Federal Register / Vol. 77, No. 250 / Monday, December 31, 2012 / Rules and Regulations 76843 

2012–1333 using any of the following 

methods: 

• Federal eRulemaking Portal: Go to 

www.regulations.gov and follow the 

instructions for sending your comments 

electronically. 

• Mail: Send comments to Docket 

Operations, U.S. Department of 

Transportation, 1200 New Jersey 

Avenue SE., West Building Ground 

Floor, Room W12–140, Washington, DC 

20590. 

• Fax: Fax comments to Docket 

Operations at 202–493–2251. 

• Hand Delivery: Take comments to 

Docket Operations in Room W12–140 of 

the West Building Ground Floor at 1200 

New Jersey Avenue SE., Washington, 

DC, between 9 a.m. and 5 p.m., Monday 

through Friday, except Federal holiday. 

FOR FURTHER INFORMATION CONTACT: For 

technical questions concerning this 

action, contact Aimee Fisher, Emissions 

Division (AEE–300), Office of 

Environment and Energy, Federal 

Aviation Administration, 800 

Independence Avenue SW., 

Washington, DC 20591; telephone (202) 

267–7705; email Aimee.Fisher@faa.gov. 

For legal questions concerning this 

rule contact Karen Petronis, 

International Law, Legislation and 

Regulations Division (AGC–200), Office 

of the Chief Counsel, Federal Aviation 

Administration, 800 Independence 

Avenue SW., Washington, DC 20591; 

telephone (202) 267–3073, email 

Karen.Petronis@faa.gov. 

SUPPLEMENTARY INFORMATION: 

Good Cause for Immediate Adoption 

Section 553(b)(3)(B) of the 

Administrative Procedure Act (APA) (5 

U.S.C. 551 et seq.) authorizes agencies 

to dispense with notice and comment 

procedures for rules when the agency 

for ‘‘good cause’’ finds that those 

procedures are ‘‘impracticable, 

unnecessary, or contrary to the public 

interest.’’ Under this section, an agency, 

upon finding good cause, may issue a 

final rule without seeking comment 

prior to the rulemaking. 

In July 2011, the United States 

Environmental Protection Agency (EPA) 

proposed new aircraft engine emission 

standards for oxides of nitrogen (NOX), 

compliance flexibilities, and other 

regulatory requirements applicable to 

aircraft turbofan or turbojet engines with 

rated thrusts greater than 26.7 

kilonewtons (kN) (76 FR 45012, July 27, 

2011). The final rule adopting these 

proposals was published in the Federal 

Register on June 18, 2012 (77 FR 36342). 

The public had an opportunity to 

comment on the EPA’s proposed rule, 

and the comments received were 

addressed in the EPA’s final rule. 

Section 232 of the Clean Air Act 

Amendments of 1970 (CAA) (42 U.S.C. 

7572) directs the FAA to prescribe 

regulations to ensure compliance with 

the EPA’s aircraft emission standards. 

The FAA is amending 14 CFR parts 34 

and 45 to incorporate the changes 

promulgated by the EPA in the emission 

standards and the associated engine 

marking requirements. The FAA is not 

adopting any standards or requirements 

different from those promulgated by the 

EPA. Accordingly, the FAA finds that 

further public comment on these 

standards prior to promulgation is 

unnecessary, and that further delay in 

making the regulations consistent would 

be contrary to the public interest. 

Section 553(d)(3) of the 

Administrative Procedure Act requires 

that agencies publish a rule not less 

than 30 days before its effective date, 

except as otherwise provided by the 

agency for good cause found and 

published with the rule. 

This rule, as previously adopted by 

the EPA, contains a production cutoff 

date of December 31, 2012. In addition, 

it contains a new production marking 

requirement that is effective on aircraft 

engines produced after December 31. In 

order to give manufacturers the 

maximum amount of time to adjust their 

processes to these requirements, the 

FAA finds that good cause exists to 

make this rule effective in less than 30 

days. 

Authority for This Rulemaking 

The FAA’s authority to issue rules on 

aviation safety is found in Title 49 of the 

United States Code. 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. This 

rulemaking is promulgated under the 

authority described in Subtitle VII, Part 

A, Subpart III. Under Section 232 of the 

CAA (42 U.S.C. 7571), the FAA is 

directed to prescribe regulations to 

ensure compliance with the standards 

prescribed by the EPA under § 7571, 

including making such standards 

applicable in the issuance, amendment, 

modification, suspension, or revocation 

of any certificate authorized by part A 

of subtitle VII of title 49. These 

regulations are within the scope of that 

authority, as the FAA is adopting the 

standards promulgated by the EPA and 

making them applicable to aircraft 

engine type certificates issued under the 

FAA’s Title 49 authority. 

Comments Invited 

For the reasons noted above, the FAA 

is adopting this final rule without prior 

notice and public comment. The 

Regulatory Policies and Procedures of 

the Department of Transportation (DOT) 

(44 FR 1134; February 26, 1979) provide 

that, to the maximum extent possible, 

operating administrations for the DOT 

should provide an opportunity for 

public comment on regulations issued 

without prior notice. 

The FAA invites interested persons to 

participate in this rulemaking by 

submitting written comments, data, or 

views. The agency also invites 

comments relating to the economic, 

environmental, energy, or federalism 

impacts that might result from adopting 

the changes. The most helpful 

comments reference a specific portion of 

this rule, explain the reason for any 

recommended change, and include 

supporting data. To ensure the docket 

does not contain duplicate comments, 

please send only one copy of written 

comments, or if you are filing comments 

electronically, please submit your 

comments only one time. 

The FAA will file in the docket all 

comments we receive, as well as a 

report summarizing each substantive 

public contact with FAA personnel 

concerning this rulemaking. Once the 

comment period closes, the FAA will 

review and dispose of the comments 

filed in the rulemaking docket. Because 

this is a final rule, the FAA will publish 

a disposition of comments in the 

Federal Register. Based on the 

comments received, the FAA will state 

whether it has decided that (i) no action 

is necessary other than publishing the 

disposition of comments in the Federal 

Register, or (ii) the FAA should prepare 

a revised final rule. 

Privacy: We will post all comments 

we receive, without change to 

www.regulations.gov, including any 

personal information you provide. 

Using the search function of our docket 

Web site, anyone can find and read the 

comments received into any of our 

dockets, including the name of the 

individual sending the comment (or 

signing the comment for an association, 

business, labor union, etc.). You may 

review DOT’s complete Privacy Act 

Statement in the Federal Register 

published on April 11, 2000 (65 FR 

19477–78) or you may visit 

DocketsInfo.dot.gov. 

Docket: To read background 

documents or comments received, go to 

regulations.gov at any time or to Docket 

Operations in Room W12–140 of the 

West Building Ground Floor at 1200 

New Jersey Avenue SE., Washington, 

DC, between 9 a.m. and 5 p.m., Monday 

through Friday, except Federal holidays. 


ebenthall on DSK5TPTVN1PROD with 
76844 Federal Register / Vol. 77, No. 250 / Monday, December 31, 2012 / Rules and Regulations 

Proprietary or Confidential Business 

Information 

Do not file in the docket information 

that you consider to be proprietary or 

confidential business information. Send 

or deliver this information directly to 

the person identified in the FOR FURTHER

INFORMATION CONTACT section of this 

document. Mark the information that is 

considered proprietary or confidential. 

If the information is on a disk or CD 

ROM, mark the outside of the disk or CD 

ROM and also identify electronically 

within the disk or CD ROM the specific 

information that is proprietary or 

confidential. 

Under § 11.35(b), when the FAA is 

aware of proprietary information filed 

with a comment, the agency does not 

place it in the docket. The FAA holds 

it in a separate file to which the public 

does not have access, and the agency 

places a note in the docket that it has 

received it. If the FAA receives a request 

to examine or copy this information, the 

FAA treats it as any other request under 

the Freedom of Information Act, 5 

U.S.C. 552. The FAA processes such a 

request under the DOT procedures 

found in 49 CFR part 7. 

Availability of Rulemaking Documents 

You can get an electronic copy of 

rulemaking documents using the 

Internet by: 

(1) Searching the Federal 

eRulemaking portal at http:// 

www.regulations.gov; 

(2) Visiting the FAA’s Regulations and 

Policies Web page at http:// 

www.faa.gov/regulations_policies/; or 

(3) Accessing the Government 

Printing Office’s Web page at http:// 

www.gpo.gov/fdsys/browse/ 

collection.action?collectionCode=FR. 

You can also get a copy by sending a 

request to the Federal Aviation 

Administration, Office of Rulemaking, 

ARM–1, 800 Independence Avenue 

SW., Washington, DC 20591, or by 

calling (202) 267–9680. Make sure to 

identify the docket and amendment 

numbers of this rulemaking. 

I. Background 

Section 231(a)(2)(A) of the CAA (42 

U.S.C. 7571) directs the Administrator 

of the EPA to propose aircraft emission 

standards applicable to the emission of 

any air pollutant from classes of aircraft 

engines which in the EPA 

Administrator’s judgment causes or 

contributes to air pollution that may 

reasonably be anticipated to endanger 

public health or welfare. These emission 

standards have been promulgated by the 

EPA in 40 CFR part 87. 

Section 232 of the CAA (42 U.S.C. 

7572) then directs the FAA to prescribe 

regulations to ensure compliance with 

the EPA’s standards. The FAA has 

promulgated these emission standards 

in 14 CFR part 34, and the engine 

marking requirements in part 45. 

The EPA initially regulated gaseous 

exhaust emissions, smoke and fuel 

venting from aircraft in 1973, with 

occasional revision. Since the EPA’s 

adoption of the initial regulations, the 

FAA has taken subsequent action to 

ensure that the regulations in 14 CFR 

are kept current with the EPA’s 

standards. This final rule continues the 

revisions to the regulations in 14 CFR. 

On July 27, 2011, the EPA proposed 

new aircraft engine emission standards 

for NOX, compliance flexibilities, and 

other regulatory requirements for 

aircraft turbofan or turbojet engines with 

rated thrusts greater than 26.7 

kilonewtons (kN) (76 FR 45012). The 

EPA also proposed adopting the gas 

turbine engine test procedures of ICAO. 

The final rule adopting these proposals 

was published on June 18, 2012 (77 FR 

36342), and was effective July 18, 2012. 

II. Summary of the Costs and Benefits of 

the Final Rule 

Department of Transportation Order 

DOT 2100.5 prescribes policies and 

procedures for simplification, analysis, 

and review of regulations. If the 

expected cost impact is so minimal that 

a proposed or final rule does not 

warrant a full evaluation, this order 

permits that a statement to that effect 

and the basis for it to be included in the 

preamble if a full regulatory evaluation 

of the cost and benefits is not prepared. 

Such a determination has been made for 

this final rule. 

III. Discussion of This Final Rule 

1. New Naming Convention 

The EPA has adopted a new naming 

convention, ‘‘tier,’’ in 40 CFR part 87. 

The tier numbers distinguish levels of 

increased stringency in the NOX

emission standards. This convention is 

consistent with the numeric identifier 

that the Committee on Aviation 

Environmental Protection (CAEP) of 

ICAO uses to differentiate the CAEP 

work cycles that produce new 

standards. For example, the standards 

that correspond to CAEP’s sixth meeting 

(CAEP/6) are identified by the EPA as 

Tier 6, while the standards that 

correspond to CAEP/8 are called Tier 8. 

The naming convention is also being 

applied to previously effective less 

stringent standards, i.e., Tier 0, Tier 2, 

and Tier 4. None of the previous 

standards have been changed, only the 

tier designation has been added in the 

regulations for comparison and 

consistency. The following table 

identifies the various CAEP cycles and 

corresponding tier naming convention. 

The tier designation departs from the 

previous FAA practice that described 

aircraft engine emission standards as 

amendments. The new designation is a 

valuable tool that provides a consistent 

reference to individual standards. The 

FAA is adopting this naming 

convention in the emission standards 

contained in this final rule; the 

designations appear in §§ 34.21 and 

34.23. 

TABLE 1—NAMING CONVENTIONS COMPARISON

CAEP meeting no. and Annex 

16 amendment 

Date CAEP adopted, effective, and applicable FAA part 34 amendments 14 CFR part 34 rule promulgation 40 CFR part 

87 tier 

CAEP/1 Annex 16 Vol II, 

Amendment 1.

03/4/1988, 07/31/1998, 11/17/ 

1988.

1. NPRM cancel SFAR 27 

and add FAR 34–1;.

1. 08/10/1990 ......................... Tier 0. 

2. 14 CFR Part 34 Amendment 2.2. 09/10/1990 .........................

CAEP/2 Annex 16 Vol II, 

Amendment 2.

03/24/1993, 07/26/1993, 11/ 

11/1993.

14 CFR Part 34 Amendment 

3.

3/3/1999 .................................. Tier 2. 

CAEP/4 Annex 16 Vol II, 

Amendment 4.

02/26/1999, 07/19/1999, 11/4/ 

1999.

14 CFR Part 34 Amendment 

4.

4/29/2009 ................................ Tier 4. 

CAEP/6 Annex 16 Vol II, 

Amendment 5.

02/23/2005, 07/11/2005, 11/ 

24/2005.

14 CFR Part 34 Amendment 

5.

TBD (40 CFR Part 87 Effective July 18, 2012).Tier 6. 

CAEP/8 Annex 16 Vol II, 

Amendment 7.

03/4/2011, 07/18/2011, 11/17/ 

2011.

Tier 8. 

Note: The NOX standards were not amended during CAEP/3, CAEP/5, and CAEP/7 meetings and are not included in the tier designations. 


ebenthall on DSK5TPTVN1PROD with 
Federal Register / Vol. 77, No. 250 / Monday, December 31, 2012 / Rules and Regulations 76845 

2. Changes to Part 34 

This final rule adopts the same 

emissions standards in part 34 as the 

EPA promulgated for 40 CFR part 87. 

Any differences between the appearance 

of the regulations is the result of 

different regulatory formats between the 

two titles. No difference in the 

standards or the meaning of any term is 

implied nor should any difference be 

presumed. In the event that a 

substantive difference is identified, the 

regulation in 40 CFR part 87 is 

considered controlling and will be 

enforced. 

The FAA is not changing any of its 

procedures for exemption requests 

submitted under part 34. The FAA 

intends to continue to work together 

with the EPA to jointly consider all 

exemption requests as we have in the 

past. 

In this document we are revising 

paragraph 34.7(b) to add an additional 

sentence limiting the applicability to the 

requirements of § 34.21 (maintaining the 

current scope after § 34.23 is added). 

3. NOX Standards for Newly Certificated 

Engines 

Table 2 below summarizes the NOX

standards for newly certificated engines 

that are adopted in this final rule, in 

§ 34.23. The regulation establishes two 

levels of increasingly stringent NOX

emission standards for gas turbofan 

engines with maximum rated thrusts 

greater than 26.7 kN. The standard 

applicable to a particular engine is 

based on its type certification date. 

Newly certificated aircraft engines are 

those that receive a new type certificate 

after the effective date of the applicable 

standard. The two new standards are: 

a. Tier 6/CAEP 6 NOX Standards 

The first set of standards is equivalent 

to the NOX limits established at the 

CAEP/6 meeting. This level was 

originally adopted by ICAO and became 

internationally applicable after 

December 31, 2007. Engine 

manufacturers have been producing 

engines that meet Tier 6 standards even 

though the standard and the marking 

designation had not yet been adopted in 

the United States. 

Overall, Tier 6 represents an 

approximate 12 percent reduction in 

NOX emissions from Tier 4, 

§ 34.21(d)(1)(vi). Tier 4 standards were 

adopted by ICAO in 2005 with an 

implementation date in 2008. The Tier 

6 standard is incorporated in § 34.23(a). 

Under the EPA rule, the Tier 6 

standard was effective for engines 

produced on and after July 18, 2012, 

unless otherwise covered by an 

exception or exemption. These 

exceptions include: 

1. The production of Tier 4 engines 

introduced before July 18, 2012, 

(including their derivatives) through 

December 31, 2012 (§ 34.23(c) and 40 

CFR § 87.23(d)(1)); and 

2. Up to six engines per manufacturer 

produced on and after July 18, 2012 and 

before August 31, 2013 (§ 34.9(b) and 40 

CFR § 87.23(d)(3)). This exception is 

described more fully in section 4 below. 

Exemptions to the standards of part 

34 must be filed under the regulatory 

exemption process discussed in § 34.7 

and part 11. 

b. Tier 8/CAEP 8 NOX Standards 

The second set of new standards is 

equivalent to the CAEP/8 NOX limits 

that were recommended at the February 

2010 CAEP/8 meeting and applicable as 

ICAO standards and recommended 

practices in November 2011. These Tier 

8 standards will be mandatory in the 

United States for engines for which the 

first individual production model is 

manufactured after December 31, 2013. 

Overall, Tier 8 represents an 

approximate 15 percent reduction in 

NOX emissions from Tier 6. The Tier 8 

standard is incorporated in § 34.23(b). 

TABLE 2—TIER 6 AND TIER 8 STANDARDS FOR NOX

Tier Date Class Rated pressure 

ratio—rPR 

Rated output 

rO (kN) 

NOX

(g/kN) 

Tier 6 ........ Manufactured on and after July 

18, 2012 and for which the 

first individual production 

model is manufactured on or 

before December 31, 2013 

(subject to regulatory exceptions).

TF, T3, T8 ... rPR ≤ 30 .................... 26.7 < rO < 89.0 ....... 38.5486 + 1.6823 (rPR) ¥ 

0.2453 (rO) ¥ (0.00308 

(rPR) (rO)) 

rO > 89.0 ................... 16.72 + 1.4080 (rPR) 

30 < rPR < 82.6 ........ 26.7 < rO ≤ 89.0 ........ 46.1600 + 1.4286 (rPR) ¥ 

0.5303 (rO) + (0.00642 (rPR) 

(rO)) 

rO > 89.0 ................... ¥1.04 + 2.0 (rPR) 

rPR ≥ 82.6 ................. All .............................. 32 + 1.6 (rPR) 

Tier 8 ........ First individual production 

model manufactured after 

December 31, 2013.

TF, T3, T8 ... rPR ≤ 30 .................... 26.7 < rO < 89.0 ....... 40.052 + 1.5681 (rPR) ¥ 

0.3615 (rO) ¥ (0.0018 (rPR) 

(rO)) 

rO > 89.0 ................... 7.88 + 1.4080 (rPR) 

30 < rPR < 104.7 ...... 26.7 < rO < 89.0 ....... 41.9435 + 1.505 (rPR) ¥ 

0.5823 (rO) + (0.005562 

(rPR) (rO)) 

rO > 89.0 ................... ¥9.88 + 2.0 (rPR) 

rPR ≥ 104.7 ............... All .............................. 32 + 1.6 (rPR) 


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76846 Federal Register / Vol. 77, No. 250 / Monday, December 31, 2012 / Rules and Regulations 

4. Standards for Engines Manufactured 

On and After July 18, 2012 

This final rule applies to engines that 

are to be manufactured on and after July 

18, 2012, the effective date for Tier 6 

standards in the United States. 

However, Tier 4 engines introduced 

before July 18, 2012 (and their 

derivatives) may continue to be 

produced through December 31, 2012 

without further action by the 

manufacturer. In addition, § 34.9(b) 

incorporates an exception that allows 

each engine manufacturer to produce up 

to six Tier 4 compliant engines with a 

date of manufacture on and after July 

18, 2012 and before August 31, 2013 

that do not meet the Tier 6 standards 

without further action by the 

manufacturer. Engines produced under 

this exception are required to meet Tier 

4 standards. 

The primary purpose of allowing 

limited continued production of Tier 4 

engines is to provide for an orderly 

transition to Tier 6 standards as Tier 4 

engines reach the end of their 

production cycles. 

5. Spare Engines 

This final rule allows for the 

production of a ‘‘spare’’ engine that is 

newly produced but meets the Tier 4 

emission standard under which it was 

certificated rather than a more stringent 

standard that may be in place at the 

time of production. A spare engine may 

be produced as a replacement for an 

engine in service, whether installed 

temporarily during a repair or for 

permanent use. A spare engine may not 

be installed on a new aircraft. A spare 

engine may have different emission 

levels for individual pollutants than the 

engine being replaced, as long as the 

spare remains in overall compliance 

with the levels required for the original 

engine’s type certificate. 

The standard is incorporated in 

§ 34.9(a). Spare engines must be marked 

in accordance with § 45.13(a)(7)(v). 

6. Standards for Supersonic Aircraft 

Turbine Engines 

This final rule contains carbon 

monoxide (CO) and NOX emission 

standards for turbine engines that are 

used to propel aircraft at sustained 

supersonic speeds (i.e., supersonic 

aircraft). While emission standards for 

these aircraft were originally adopted by 

ICAO in the 1980s, the original U.S. 

adoption of emission standards for 

supersonic aircraft did not include CO 

or NOX. The absence of U.S. standards 

for these pollutants has no practical 

effect because supersonic aircraft are not 

allowed to fly over the continental U.S. 

and no supersonic engines have been 

certificated since the Olympus 593 Mk. 

610–14–28 installed on the Concorde. 

This certification has since been 

surrendered and the engines are no 

longer in production. We are adopting 

CO and NOX standards that will apply 

to future engine designs used on 

supersonic aircraft and for 

harmonization with ICAO standards. 

TABLE 3—GASEOUS EMISSION STANDARDS FOR SUPERSONIC ENGINES

Class Rated output 

rO1 (kN) 

NOX

(g/kN) 

CO 

(g/kN) 

TSS ................................................................... All ...................................................................... 36 + 2.42 (rPR) ......... 4,550 (rPR) ¥1.03

1 rO is the rated output with afterburning applied. 

7. Test Procedures 

The amended test procedures adopted 

in § 34.60 are based on ICAO Annex 16, 

Volume II. The amendments to Annex 

16 Volume II include clarifications and 

add flexibilities for engine 

manufacturers. They are: 

• Standardizing the terminology 

relating to engine thrust/power. 

• Clarifying the need to correct 

measured results to standard reference 

day and reference engine conditions. 

• Allowing a certificating authority to 

approve the use of test fuels other than 

those specified during certification 

testing. 

• Allowing materials other than 

stainless steel in the sample collection 

equipment. 

• Clarifying the appropriate value of 

fuel flow to be used at each LTO test 

point. 

• Clarifying exhaust nozzle 

terminology for exhaust emissions 

sampling. 

• Allowing an equivalent procedure 

for gaseous emission and smoke 

measurement if approved by the 

certificating authority. 

Many manufacturers are already 

voluntarily complying with these 

changes. The U.S. adoption of these test 

procedure amendments is unlikely to 

require new action by manufacturers. To 

accomplish the above changes, we have 

revised § 34.60 and removed §§ 34.61 

through 34.64, and 34.71. This action 

eliminates subpart H of part 34, and we 

have removed cross references to 

subpart H in the affected sections where 

they appear. 

8. Definitions 

In promulgating the new standards, 

the EPA adopted several new 

definitions for terms in its regulations. 

The FAA is including seven of these 

definitions in § 34.1 to avoid any 

uncertainty about their meaning and 

application. These definitions are 

consistent with CAEP/8 usage, and the 

common understanding of these terms 

as used by industry. The terms and 

definitions have the same scope and 

meaning as they have in 40 CFR part 87. 

Since the regulation includes the terms 

and their definitions, they are not being 

repeated here. 

9. Derivative Engines 

Often manufacturers will make 

changes to a type certificated engine 

that is in production while keeping the 

same basic engine core and combustor 

design. In some cases, these 

modifications may affect emissions. We 

are adopting the term ‘‘derivative engine 

for emissions certification purposes’’ to 

distinguish an engine model for which 

the emission characteristics vary from 

the original type certificated engine 

design, but remain within the criteria 

specified in § 34.48. 

The FAA has adopted the EPA’s rule 

text in § 34.48 that uses the phrase 

‘‘similar in design to a previously 

certificated (original) engine for 

purposes of compliance’’ with the 

emissions standards. The FAA 

understands the ‘‘original’’ to be a 

previously type certificated engine for 

which there is test data. That test data 

will be used in determining whether the 

new engine may be considered a 

derivative using the criteria in § 34.48. 

To qualify as a derivative engine for 

emissions certification purposes, an 

engine must comply with the emission 

standards associated with the original 

type certificated engine. The derivative 

engine must have the same or similar 

emission characteristics as the original 

type certificated engine; the original 

engine must be listed on a U.S. type 

certificate issued under part 33. The 

FAA will make the following 

determinations regarding derivatives: 


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Federal Register / Vol. 77, No. 250 / Monday, December 31, 2012 / Rules and Regulations 76847 

• Whether the emission 

characteristics of the modified design 

are significantly different from the 

original type certificated engine’s 

emissions such that a demonstration of 

compliance with more recent emission 

standards is necessary; 

• Whether the changes are minor 

relative to the original type certificated 

engine’s emissions, such that it may be 

considered a derivative version of the 

original type certificated engine model 

with no emissions changes; 

• Whether iterative changes made 

over time resulted in a cumulative 

change that reaches the point at which 

a new demonstration of compliance is 

warranted. 

In the past, these determinations were 

made for turbofan engines by an 

engineering evaluation that was 

performed by the engine manufacturer 

and then reviewed by the FAA. The 

definition of ‘‘derivative engines for 

emissions certification purposes,’’ along 

with the criteria for making this 

determination, will provide engine 

manufacturers and the FAA with more 

certainty regarding emission standard 

requirements for future modifications 

made to certificated models. The FAA 

will continue its existing practices for 

determining derivatives for part 33 

engine certification, expanding those 

practices to make ‘‘derivative engines 

for emissions certification’’ 

determinations under the criteria 

promulgated by the EPA and adopted 

here into § 34.48. 

If a derivative engine is sufficiently 

similar to its original type certificated 

engine so as to meet the criteria 

established in § 34.48, the manufacturer 

may demonstrate certification 

compliance and continue production of 

the engine model to the same extent as 

allowed for the original engine model. 

However, if a derivative engine is 

determined to be significantly different 

than the original type certificated 

engine, the manufacturer would be 

required to demonstrate compliance 

with the most recent emission 

standards. This determination will be 

made using numerical criteria 

consistent with ICAO provisions. An 

engine model may be considered a 

derivative only if: 

1. It is a modification of an engine 

that received a U.S. type certificate; 

2. The engine was certificated under 

14 CFR part 33; and 

3. One of the following conditions is 

met: 

• If the FAA determines that a safety 

issue exists that requires an engine 

modification; or 

• If emissions from the derivative 

engines are equivalent to or lower than 

the original type certificated engine. 

This final rule provides that an engine 

manufacturer may show emissions 

equivalency by demonstrating that the 

difference between emission rates of a 

derivative engine and the original type 

certificated engine are within the 

following allowable ranges (unless 

otherwise adjusted using good 

engineering judgment as determined by 

the FAA): 

• ± 3.0 g/kN for NOX, 

• ± 1.0 g/kN for HC, 

• ± 5.0 g/kN for CO, and 

• ± 2.0 SN for smoke. 

This final rule also provides that an 

engine model whose characteristic level 

is at least 5 percent below all applicable 

standards would be allowed to 

demonstrate equivalency by engineering 

analysis. In all other cases, the 

manufacturer is required to test the new 

engine model to show emission 

equivalency. 

10. Abbreviations 

Similar to the new terms being 

defined in § 34.1, certain abbreviations 

have been added or corrected in § 34.2. 

No separate discussion of them is 

included here. We are amending the text 

of §§ 34.10(a) and (b), 34.21(b) and (d), 

and 34.31(b) to include the correct 

notation of these abbreviations. 

11. Miscellaneous 

In § 34.21(b) of the current regulation, 

there is a printing error. The formula for 

smoke number should have included 

‘‘¥0.274’’ as a superscript notation. 

Instead, it was printed in regular size 

text, implying a very different 

mathematical calculation. Since all 

other instances of the notation in 

paragraphs (d) and (e) of that section are 

correct, we are not aware that there has 

been any misunderstanding from this 

printing error, but we are correcting it 

here. 

The FAA is revising §§ 34.3(c) and 

(d), General requirements, to eliminate 

the use of the term Federal Aviation 

Regulation and its abbreviation, FAR. 

Neither term is correct. As regulations 

are amended, the FAA is removing these 

terms. 

In addition, the FAA is revising 

§ 34.3(d) to remove the reference to 40 

CFR 87.1(c) and replacing it with a 

reference to 40 CFR 87.1 as the EPA 

regulation no longer uses subparagraph 

designations in that section. 

12. Part 45—Identification Data 

The new emission standards require 

the addition of new designations to 

identify the status of engines at 

manufacture. Section 45.13(a)(7) is 

being added to include the new 

designations EXEMPT NEW and 

EXCEPTED SPARE. Engines are already 

required to carry certain production 

markings, and this amendment merely 

adds the two new designations adopted 

in this final rule. The use of these new 

terms is required under §§ 34.7(h) and 

34.9(a)(6). 

IV. Regulatory Notices and Analyses 

A. Paperwork Reduction Act 

The Paperwork Reduction Act of 1995 

(44 U.S.C. 3507(d)) requires that the 

FAA consider the impact of paperwork 

and other information collection 

burdens imposed on the public. 

According to the 1995 amendments to 

the Paperwork Reduction Act (5 CFR 

1320.8(b)(2)(vi)), an agency may not 

collect or sponsor the collection of 

information, nor may it impose an 

information collection requirement 

unless it displays a currently valid 

Office of Management and Budget 

(OMB) control number. 

This action contains an existing 

collection in use without an OMB 

control number. As required by the 

Paperwork Reduction Act of 1995 (44 

U.S.C. 3507(d)), the FAA has submitted 

these information collection 

amendments to OMB for its review. 

Summary: Under § 45.11, 

manufacturers of engines are required to 

mark each engine produced under a 

type certificate or production certificate 

by attaching a fireproof identification 

plate that contains the information 

specified in § 45.13. As part of the 

information required, § 45.13(a)(7) states 

that one of three designations (comply, 

exempt and non U.S.) that indicates 

compliance with the applicable exhaust 

emission provisions of part 34 and 40 

CFR part 87 must be included. Under 

this final rule, the number of possible 

designations is being increased to five 

(comply, exempt, non U.S., excepted 

spare and exempt new), with the new 

designations having been adopted from 

the determinations made at ICAO 

CAEP/8. 

Use: The information will be used by 

purchasers, owners, operators and FAA 

inspectors, periodically, to confirm that 

an engine meets the exhaust emission 

provisions of part 34 and 40 CFR part 

87. 

Respondents (including number of): 

There are currently 10 engine 

manufacturers that will be impacted by 

this requirement. 

Frequency: This is a one time burden 

for each engine. The information 

required will be stamped on the 


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76848 Federal Register / Vol. 77, No. 250 / Monday, December 31, 2012 / Rules and Regulations 

identification plate at the time of 

manufacture. 

Annual Burden Estimate: We estimate 

that approximately 1,200 engines will 

be manufactured each year by 10 engine 

manufacturers and that stamping each 

identification plate will require 5 

minutes. The annual burden is 

estimated to be 100 hours. We estimate 

that it will take 5 minutes to label each 

engine for an average cost of $3.75 for 

labor and materials for each engine. The 

total annual cost to respondents is 

estimated to be $4,500. 

The agency is soliciting comments 

to— 

(1) Evaluate whether the proposed 

information requirement is necessary for 

the proper performance of the functions 

of the agency, including whether the 

information will have practical utility; 

(2) Evaluate the accuracy of the 

agency’s estimate of the burden; 

(3) Enhance the quality, utility, and 

clarity of the information to be 

collected; and 

(4) Minimize the burden of collecting 

information on those who are to 

respond, including by using appropriate 

automated, electronic, mechanical, or 

other technological collection 

techniques or other forms of information 

technology. 

Individuals and organizations may 

send comments on the information 

collection requirement to the address 

listed in the ADDRESSES section at the 

beginning of this preamble by March 1, 

2013. Comments also should be 

submitted to the Office of Management 

and Budget, Office of Information and 

Regulatory Affairs, Attention: Desk 

Officer for FAA, New Executive 

Building, Room 10202, 725 17th Street 

NW., Washington, DC 20503. 

B. Regulatory Evaluation 

Changes to Federal regulations must 

undergo several economic analyses. 

First, Executive Order 12866 and 

Executive Order 13563 direct that each 

Federal agency shall propose or adopt a 

regulation only upon a reasoned 

determination that the benefits of the 

intended regulation justify its costs. 

Second, the Regulatory Flexibility Act 

of 1980 (Pub. L. 96–354) requires 

agencies to analyze the economic 

impact of regulatory changes on small 

entities. Third, the Trade Agreements 

Act (Pub. L. 96–39) prohibits agencies 

from setting standards that create 

unnecessary obstacles to the foreign 

commerce of the United States. In 

developing U.S. standards, the Trade 

Act requires agencies to consider 

international standards and, where 

appropriate, that they be the basis of 

U.S. standards. Fourth, the Unfunded 

Mandates Reform Act of 1995 (Pub. L. 

104–4) requires agencies to prepare a 

written assessment of the costs, benefits, 

and other effects of proposed or final 

rules that include a Federal mandate 

likely to result in the expenditure by 

State, local, or tribal governments, in the 

aggregate, or by the private sector, of 

$100 million or more annually (adjusted 

for inflation with base year of 1995). 

This portion of the preamble 

summarizes the FAA’s analysis of the 

economic impacts of this final rule. 

Department of Transportation Order 

DOT 2100.5 prescribes policies and 

procedures for simplification, analysis, 

and review of regulations. If the 

expected cost impact is so minimal that 

a proposed or final rule does not 

warrant a full evaluation, this order 

permits that a statement to that effect 

and the basis for it to be included in the 

preamble if a full regulatory evaluation 

of the cost and benefits is not prepared. 

Such a determination has been made for 

this final rule. The reasoning for this 

determination follows: 

Rulemaking actions by the FAA 

usually trigger a full regulatory 

evaluation of the potential monetary 

costs that would be imposed and 

benefits generated (including separate 

analyses for regulatory flexibility, 

international trade impact, and 

unfunded mandates). However, this 

regulation brings the regulations in 14 

CFR into conformity with the existing 

EPA regulations. A full regulatory 

evaluation is unwarranted because the 

FAA is not imposing any new standards 

on the aviation industry for engine 

emissions or test procedures. The EPA 

concluded (77 FR 36342, 36386, June 

18, 2012) that its rule would impose 

minimal costs to manufacturers because 

the affected engines are designed for 

and marketed internationally, and thus 

are already being manufactured using 

the ICAO standards adopted in this rule. 

The FAA has made one addition to 

the standards adopted by the EPA. 

Previously, each affected engine had to 

be marked pursuant to 14 CFR part 45 

as falling under one of three engine 

categories. The rule now requires that 

each affected engine has to be marked 

as falling under one of five engine 

categories. As all affected engines had to 

be marked under the previous rule, 

increasing the number of categories 

from three to five will not change the 

number of engines that need to be 

marked. The EPA rule required these 

markings be effective, but the 

requirement that controls engine 

marking exists only in 14 CFR part 45. 

Accordingly, the FAA is simply 

implementing the EPA requirement. The 

FAA has, therefore, determined that this 

final rule is not a ‘‘significant regulatory 

action’’ as defined in section 3(f) of 

Executive Order 12866, and is not 

‘‘significant’’ as defined in DOT’s 

Regulatory Policies and Procedures. 

C. Regulatory Flexibility Determination 

The Regulatory Flexibility Act of 1980 

(Pub. L. 96–354) (RFA) establishes ‘‘as a 

principle of regulatory issuance that 

agencies shall endeavor, consistent with 

the objectives of the rule and of 

applicable statutes, to fit regulatory and 

informational requirements to the scale 

of the businesses, organizations, and 

governmental jurisdictions subject to 

regulation.’’ To achieve this principle, 

agencies are required to solicit and 

consider flexible regulatory proposals 

and to explain the rationale for their 

actions to assure that such proposals are 

given serious consideration.’’ The RFA 

covers a wide-range of small entities, 

including small businesses, not-forprofit organizations, and small 

governmental jurisdictions. 

Agencies must perform a review to 

determine whether a rule will have a 

significant economic impact on a 

substantial number of small entities. If 

the agency determines that it will, the 

agency must prepare a regulatory 

flexibility analysis as described in the 

RFA. 

However, if an agency determines that 

a rule is not expected to have a 

significant economic impact on a 

substantial number of small entities, 

section 605(b) of the RFA provides that 

the head of the agency may so certify 

and a regulatory flexibility analysis is 

not required. The certification must 

include a statement providing the 

factual basis for this determination, and 

the reasoning should be clear. 

This final rule revises the emission 

standards for turbine engine airplanes, 

the test procedures for gaseous 

emissions, and the different engine 

categories for marking purposes. Other 

than the FAA marking requirement that 

involves minimal cost changes to engine 

manufacturers, all of the costs 

associated with this rule have been 

addressed by the EPA in its rulemaking. 

The EPA determined that its rule would 

impose minimal costs to manufacturers 

because the affected engines are 

designed for and marketed 

internationally, and thus are already 

being manufactured using the ICAO 

standards adopted in the EPA rule. 

Thus, this rule has a minimal economic 

impact. 

Therefore, as the FAA Acting 

Administrator, I certify that this rule 

will not have a significant economic 

impact on a substantial number of small 

entities. 


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1This incorporation by reference was approved 

by the Director of the Federal Register in 

accordance with 5 U.S.C. 552(a) and 1 CFR part 51. 

This document can be obtained from the ICAO, 

Document Sales Unit, 999 University Street, 

Montreal, Quebec H3C 5H7, Canada, phone +1 514– 

954–8022, or www.icao.int or sales@icao.int. Copies 

can be reviewed at the FAA New England Regional 

Office, 12 New England Executive Park, Burlington, 

Massachusetts, 781–238–7101, or at the National 

Archives and Records Administration (NARA). For 

information on the availability of this material at 

NARA, call 202–741–6030, or go to: http:// 

www.archives.gov/federal_register/ 

code_of_federal_regulations/ibr_locations.html. 

D. International Trade Impact 

Assessment 

The Trade Agreements Act of 1979 

(Pub. L. 96–39), as amended by the 

Uruguay Round Agreements Act (Pub. 

L. 103–465), prohibits Federal agencies 

from establishing standards or engaging 

in related activities that create 

unnecessary obstacles to the foreign 

commerce of the United States. 

Pursuant to these Acts, the 

establishment of standards is not 

considered an unnecessary obstacle to 

the foreign commerce of the United 

States, so long as the standard has a 

legitimate domestic objective, such as 

the protection of safety, and does not 

operate in a manner that excludes 

imports that meet this objective. The 

statute also requires consideration of 

international standards and, where 

appropriate, that they be the basis for 

U.S. standards. The FAA has assessed 

the potential effect of this final rule and 

determined that it is in accord with the 

Trade Agreements Act, as the rule uses 

the ICAO international standards as the 

basis for the U.S. regulation. 

E. Unfunded Mandates Assessment 

Title II of the Unfunded Mandates 

Reform Act of 1995 (Pub. L. 104–4) 

requires each Federal agency to prepare 

a written statement assessing the effects 

of any Federal mandate in a proposed or 

final agency rule that may result in an 

expenditure of $100 million or more (in 

1995 dollars) in any one year by State, 

local, and tribal governments, in the 

aggregate, or by the private sector; such 

a mandate is deemed to be a ‘‘significant 

regulatory action.’’ The FAA currently 

uses an inflation-adjusted value of 

$143.1 million in lieu of $100 million. 

This final rule does not contain such a 

mandate; therefore, the requirements of 

Title II of the Act do not apply. 

F. International Compatibility and 

Cooperation 

(1) In keeping with U.S. obligations 

under the Convention on International 

Civil Aviation, it is FAA policy to 

conform to International Civil Aviation 

Organization (ICAO) Standards and 

Recommended Practices to the 

maximum extent practicable. The FAA 

has reviewed the corresponding ICAO 

Standards and Recommended Practices 

and has identified no differences with 

these regulations. 

(2) Executive Order 13609, Promoting 

International Regulatory Cooperation, 

promotes international regulatory 

cooperation to meet shared challenges 

involving health, safety, labor, security, 

environmental, and other issues and to 

reduce, eliminate, or prevent 

unnecessary differences in regulatory 

requirements. The FAA has analyzed 

this action under the policies and 

agency responsibilities of Executive 

Order 13609, and has determined that 

this action would have no effect on 

international regulatory cooperation. 

G. Environmental Analysis 

In accordance with FAA Order 

1050.1E, the FAA has determined that 

this action is categorically excluded 

from environmental review under 

section 103(2)(c) of the National 

Environmental Policy Act (NEPA). This 

action is categorically excluded under 

FAA Order 1050.1E, Chapter 3, 

paragraph 312a, which covers ‘‘all FAA 

actions to ensure compliance with EPA 

aircraft emission standards.’’ This rule 

amends the emission standards for 

turbine engine powered airplanes and 

certain marking requirements for 

engines, to incorporate the standards 

adopted by EPA based on the ICAO 

standards for gaseous emissions of NOX. 

Executive Order Determinations 

Executive Order 13132, Federalism 

The FAA has analyzed this final rule 

under the principles and criteria of 

Executive Order 13132, Federalism. We 

determined that this action will not 

have a substantial direct effect on the 

States, or the relationship between the 

national government and the States, or 

on the distribution of power and 

responsibilities among the various 

levels of government. Therefore, we 

determined that this final rule does not 

have federalism implications. 

Executive Order 13211, Regulations 

that Significantly Affect Energy Supply, 

Distribution, or Use 

The FAA has analyzed this final rule 

under Executive Order 13211, Actions 

Concerning Regulations that 

Significantly Affect Energy Supply, 

Distribution, or Use, 66 FR 28355 (May 

18, 2001). We have determined that it is 

not a ‘‘significant energy action’’ under 

the executive order because it is not a 

‘‘significant regulatory action’’ under 

Executive Order 12866, and it is not 

likely to have a significant adverse effect 

on the supply, distribution, or use of 

energy. 

List of Subjects 

14 CFR Part 34 

Air pollution control, Aircraft, 

Incorporation by reference. 

14 CFR Part 45 

Aircraft, marking, identification data. 

The Amendments 

In consideration of the foregoing, the 

Federal Aviation Administration 

amends Chapter I of Title 14 Code of 

Federal Regulations as follows: 

PART 34—FUEL VENTING AND 

EXHAUST EMISSION REQUIREMENTS 

FOR TURBINE ENGINE POWERED 

AIRPLANES 

■ 1. The authority citation for part 34 is 

revised to read as follows: 

Authority: 42 U.S.C 4321 et seq., 7572l 49 

U.S.C. 106(g), 40113, 44701–44702, 44704, 

44714 

Subpart A—[Amended] 

■ 2. In § 34.1, add in alphabetical order, 

the definitions for the terms 

‘‘Characteristic level’’, ‘‘Derivative 

engine for emissions certification 

purposes’’, ‘‘Excepted’’, ‘‘Exempt’’, 

‘‘Introduction date’’, and ‘‘Tier’’, and 

revise the definitions of ‘‘Commercial 

aircraft engine’’, ‘‘Rated output (rO),’’ 

and ‘‘Rated pressure ratio (rPR)’’ to read 

as follows: 

§ 34.1 Definitions. 

* * * * * 

Characteristic level has the meaning 

given in Appendix 6 of ICAO Annex 16 

as of July 2008. The characteristic level 

is a calculated emission level for each 

pollutant based on a statistical 

assessment of measured emissions from 

multiple tests.1

* * * * * 

Commercial aircraft engine means 

any aircraft engine used or intended for 

use by an ‘‘air carrier’’ (including those 

engaged in ‘‘intrastate air 

transportation’’) or a ‘‘commercial 

operator’’ (including those engaged in 

‘‘intrastate air transportation’’) as these 

terms are defined in Title 49 of the 

United States Code and Title 14 of the 

Code of Federal Regulations. 

* * * * * 

Derivative engine for emissions 

certification purposes means an engine 

that has the same or similar emissions 

characteristics as an engine covered by 

a U.S. type certificate issued under 14 


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CFR part 33. These characteristics are 

specified in § 34.48. 

* * * * * 

Excepted, as used in § 34.9, means an 

engine that may be produced and sold 

that does not meet otherwise applicable 

standards. Excepted engines must 

conform to regulatory conditions 

specified for an exception in § 34.9. 

Excepted engines are subject to the 

standards of this part even though they 

are not required to comply with the 

otherwise applicable requirements. 

Engines excepted with respect to certain 

standards must comply with other 

standards from which they are not 

specifically excepted. 

Exempt means an engine that does not 

meet certain applicable standards but 

may be produced and sold under the 

terms allowed by a grant of exemption 

issued pursuant to § 34.7 of this part 

and part 11 of this chapter. Exempted 

engines must conform to regulatory 

conditions specified in the exemption as 

well as other applicable regulations. 

Exempted engines are subject to the 

standards of this part even though they 

are not required to comply with the 

otherwise applicable requirements. 

Engines exempted with respect to 

certain standards must comply with 

other standards as a condition of the 

exemption. 

* * * * * 

Introduction date means the date of 

manufacture of the first individual 

production engine of a given engine 

model or engine type certificate family 

to be certificated. Neither test engines 

nor engines not placed into service 

affect this date. 

* * * * * 

Rated output (rO) means the 

maximum power/thrust available for 

takeoff at standard day conditions as 

approved for the engine by the Federal 

Aviation Administration, including 

reheat contribution where applicable, 

but excluding any contribution due to 

water injection, expressed in kilowatts 

or kilonewtons (as applicable), rounded 

to at least three significant figures. 

Rated pressure ratio (rPR) means the 

ratio between the combustor inlet 

pressure and the engine inlet pressure 

achieved by an engine operation at rated 

output, rounded to at least three 

significant figures. 

* * * * * 

Tier, as used in this part, is a 

designation related to the NOX emission 

standard for the engine as specified in 

§ 34.21 or § 34.23 of this part (e.g., Tier 

0). 

■ 3. In § 34.2, remove the abbreviation 

for the term ‘‘W Watt(s)’’ and add the 

abbreviations for the terms ‘‘Carbon 

dioxide’’, ‘‘Gram(s)’’, ‘‘Kilonewton(s)’’, 

‘‘Kilowatt(s)’’, and ‘‘Pound(s)’’ to read as 

follows: 

§ 34.2 Abbreviations. 

* * * * * 

CO2 Carbon dioxide 

* * * * * 

g Gram(s) 

* * * * * 

kN Kilonewton(s) 

kW Kilowatt(s) 

lb Pound(s) 

* * * * * 

■ 4. In § 34.3, revise paragraphs (c) and 

(d) to read as follows: 

§ 34.3 General requirements. 

* * * * * 

(c) U.S. airplanes. This part applies to 

civil airplanes that are powered by 

aircraft gas turbine engines of the 

classes specified herein and that have 

U.S. standard airworthiness certificates. 

(d) Foreign airplanes. Pursuant to the 

definition of ‘‘aircraft’’ in 40 CFR 87.1, 

this regulation applies to civil airplanes 

that are powered by aircraft gas turbine 

engines of the classes specified herein 

and that have foreign airworthiness 

certificates that are equivalent to U.S. 

standard airworthiness certificates. This 

regulation applies only to those foreign 

civil airplanes that, if registered in the 

United States, would be required by 

applicable regulations to have a U.S. 

standard airworthiness certificate in 

order to conduct the operations 

intended for the airplane. Pursuant to 40 

CFR 87.3(c), this regulation does not 

apply where it would be inconsistent 

with an obligation assumed by the 

United States to a foreign country in a 

treaty, convention, or agreement. 

■ 5. In § 34.7, amend paragraph (b) by 

adding a sentence at the end of the 

paragraph and by revising paragraph (d) 

to read as follows: 

§ 34.7 Exemptions. 

* * * * * 

(b) * * * This exemption is limited to 

the requirements of § 34.21 only. 

* * * * * 

(d) Applicants seeking exemption 

from other emissions standards of this 

part and 40 CFR part 87. Applicants 

must request exemption from both the 

FAA and the EPA, even where the 

underlying regulatory requirements are 

the same. The FAA and EPA will jointly 

consider such exemption requests, and 

will assure consistency in the respective 

agency determinations. 

* * * * * 

■ 6. Add § 34.9 to read as follows: 

§ 34.9 Exceptions. 

(a) Spare engines. Certain engines that 

meet the following description are 

excepted: 

(1) This exception allows production 

of an engine for installation on an inservice aircraft. A spare engine may not 

be installed on a new aircraft. 

(2) Each spare engine must be 

identical to a sub-model previously 

certificated to meet all applicable 

requirements. 

(3) A spare engine may be used only 

when the emissions of the spare do not 

exceed the certification requirements of 

the original engine, for all regulated 

pollutants. 

(4) No separate approval is required to 

produce spare engines. 

(5) The record for each engine 

excepted under this paragraph (c) must 

indicate that the engine was produced 

as an excepted spare engine. 

(6) Engines produced under this 

exception must be labeled ‘‘EXCEPTED 

SPARE’’ in accordance with § 45.13 of 

this chapter. 

(b) On and after July 18, 2012, and 

before August 31, 2013, a manufacturer 

may produce up to six Tier 4 compliant 

engines that meet the NOX standards of 

paragraph (d)(1)(vi) of this section rather 

than § 34.23(a)(2). No separate approval 

is required to produce these engines. 

Engines produced under this exception 

are to be labeled ‘‘COMPLY’’ in 

accordance with § 45.13 of this chapter. 

Subpart B—Engine Fuel Venting 

Emissions (New and In-Use Aircraft 

Gas Turbine Engines) 

■ 7. Revise § 34.10 to read as follows: 

§ 34.10 Applicability. 

(a) The provisions of this subpart are 

applicable to all new aircraft gas turbine 

engines of classes T3, T8, TSS, and TF 

equal to or greater than 36 kN (8,090 lb) 

rated output, manufactured on or after 

January 1, 1974, and to all in-use aircraft 

gas turbine engines of classes T3, T8, 

TSS, and TF equal to or greater than 36 

kN (8,090 lb) rated output manufactured 

after February 1, 1974. 

(b) The provisions of this subpart are 

also applicable to all new aircraft gas 

turbine engines of class TF less than 36 

kN (8,090 lb) rated output and class TP 

manufactured on or after January 1, 

1975, and to all in-use aircraft gas 

turbine engines of class TF less than 36 

kN (8,090 lb) rated output and class TP 

manufactured after January 1, 1975. 


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Federal Register / Vol. 77, No. 250 / Monday, December 31, 2012 / Rules and Regulations 76851 

Subpart C—Exhaust Emissions (New 

Aircraft Gas Turbine Engines) 

■ 8. In § 34.21, revise paragraphs (b), 

(d), (e), and (f), and add paragraph (g) to 

read as follows: 

§ 34.21 Standards for exhaust emission. 

* * * * * 

(b) Exhaust emissions of smoke from 

each new aircraft gas turbine engine of 

class TF and of rated output of 129 kN 

(29,000 lb) thrust or greater, 

manufactured on or after January 1, 

1976, shall not exceed 

SN = 83.6 (rO) ¥0.274 (rO is in kN). 

* * * * * 

(d) Gaseous exhaust emissions from 

each new aircraft gas turbine engine 

shall not exceed: 

(1) For Classes TF, T3, T8 engines 

greater than 26.7 kN (6,000 lb) rated 

output: 

(i) Engines manufactured on or after 

January 1, 1984: 

Hydrocarbons: 19.6 g/kN rO. 

(ii) Engines manufactured on or after 

July 7, 1997: 

Carbon Monoxide: 118 g/kN rO. 

(iii) Engines of a type or model of 

which the date of manufacture of the 

first individual production model was 

on or before December 31, 1995, and for 

which the date of manufacture of the 

individual engine was on or before 

December 31, 1999 (Tier 2): 

Oxides of Nitrogen: (40+2(rPR)) g/kN 

rO. 

(iv) Engines of a type or model of 

which the date of manufacture of the 

first individual production model was 

after December 31, 1995, or for which 

the date of manufacture of the 

individual engine was after December 

31, 1999 (Tier 2): 

Oxides of Nitrogen: (32+1.6(rPR)) g/kN 

rO. 

(v) The emission standards prescribed 

in paragraphs (d)(1)(iii) and (iv) of this 

section apply as prescribed beginning 

July 7, 1997. 

(vi) The emission standards of this 

paragraph apply as prescribed after 

December 18, 2005. For engines of a 

type or model of which the first 

individual production model was 

manufactured after December 31, 2003 

(Tier 4): 

(A) That have a rated pressure ratio of 

30 or less and a maximum rated output 

greater than 89 kN: 

Oxides of Nitrogen: (19 + 1.6(rPR)) g/kN 

rO. 

(B) That have a rated pressure ratio of 

30 or less and a maximum rated output 

greater than 26.7 kN but not greater than 

89 kN: 

Oxides of Nitrogen: (37.572 + 1.6(rPR) 

¥ 0.2087(rO)) g/kN rO. 

(C) That have a rated pressure ratio 

greater than 30 but less than 62.5, and 

a maximum rated output greater than 89 

kN: 

Oxides of Nitrogen: (7 + 2(rPR)) g/kN 

rO. 

(D) That have a rated pressure ratio 

greater than 30 but less than 62.5, and 

a maximum rated output greater than 

26.7 kN but not greater than 89 kN: 

Oxides of Nitrogen: (42.71 + 1.4286(rPR) 

¥ 0.4013(rO) + 0.00642(rPR × rO)) 

g/kN rO. 

(E) That have a rated pressure ratio of 

62.5 or more: 

Oxides of Nitrogen: (32 + 1.6(rPR)) g/kN 

rO. 

(2) For Class TSS Engines 

manufactured on or after January 1, 

1984: 

Hydrocarbons: 140 (0.92)rPR g/kN rO. 

(e) Smoke exhaust emissions from 

each gas turbine engine of the classes 

specified below shall not exceed: 

(1) For Class TF of rated output less 

than 26.7 kN (6,000 lb) manufactured on 

or after August 9, 1985: 

SN = 83.6(rO) ¥0.274 (rO is in kN) not to 

exceed a maximum of SN = 50. 

(2) For Classes T3, T8, TSS, and TF 

of rated output equal to or greater than 

26.7 kN (6,000 lb) manufactured on or 

after January 1, 1984: 

SN = 83.6(rO) ¥0.274 (rO is in kN) not to 

exceed a maximum of SN = 50. 

(3) For Class TP of rated output equal 

to or greater than 1,000 kW 

manufactured on or after January 1, 

1984: 

SN = 187(rO) ¥0.168 (rO is in kW). 

(f) The standards set forth in 

paragraphs (a), (b), (c), (d), and (e) of 

this section refer to a composite gaseous 

emission sample representing the 

operation cycles and exhaust smoke 

emission emitted during operation of 

the engine as specified in the applicable 

sections of subpart G of this part, and 

measured and calculated in accordance 

with the procedures set forth in subpart 

G. 

(g) Where a gaseous emission 

standard is specified by a formula, 

calculate and round the standard to 

three significant figures or to the nearest 

0.1 g/kN (for standards at or above 100 

g/kN). Where a smoke standard is 

specified by a formula, calculate and 

round the standard to the nearest 0.1 

SN. Engines comply with an applicable 

standard if the testing results show that 

the engine type certificate family’s 

characteristic level does not exceed the 

numerical level of that standard, as 

described in § 34.60. 

■ 9. Add § 34.23 to read as follows: 

§ 34.23 Exhaust Emission Standards for 

Engines Manufactured On and After July 18, 

2012. 

The standards of this section apply to 

aircraft engines manufactured on and 

after July 18, 2012, unless otherwise 

exempted or excepted. Where a gaseous 

emission standard is specified by a 

formula, calculate and round the 

standard to three significant figures or to 

the nearest 0.1 g/kN (for standards at or 

above 100 g/kN). Where a smoke 

standard is specified by a formula, 

calculate and round the standard to the 

nearest 0.1 SN. Engines comply with an 

applicable standard if the testing results 

show that the engine type certificate 

family’s characteristic level does not 

exceed the numerical level of that 

standard, as described in § 34.60. 

(a) Gaseous exhaust emissions from 

each new aircraft gas turbine engine 

shall not exceed: 

(1) For Classes TF, T3 and T8 of rated 

output less than 26.7 kN (6,000 lb) 

manufactured on and after July 18, 

2012: 

SN = 83.6(rO) ¥0.274 or 50.0, whichever 

is smaller 

(2) Except as provided in §§ 34.9(b) 

and 34.21(c), for Classes TF, T3 and T8 

engines manufactured on and after July 

18, 2012, and for which the first 

individual production model was 

manufactured on or before December 31, 

2013 (Tier 6): 

TIER 6 OXIDES OF NITROGEN EMISSION STANDARDS FOR SUBSONIC ENGINES

Class Rated pressure ratio—rPR Rated output rO (kN) NOX (g/kN) 

TF, T3, T8 ........ rPR ≤ 30 ................................. 26.7 < rO < 89.0 ..................... 38.5486 + 1.6823 (rPR) ¥ 0.2453 (rO) ¥ (0.00308 (rPR) 

(rO)) 

rO > 89.0 ................................ 16.72 + 1.4080 (rPR) 


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76852 Federal Register / Vol. 77, No. 250 / Monday, December 31, 2012 / Rules and Regulations 

TIER 6 OXIDES OF NITROGEN EMISSION STANDARDS FOR SUBSONIC ENGINES—Continued 

Class Rated pressure ratio—rPR Rated output rO (kN) NOX (g/kN) 

30 < rPR < 82.6 ..................... 26.7 < rO ≤ 89.0 ..................... 46.1600 + 1.4286 (rPR) ¥ 0.5303 (rO) + (0.00642 (rPR) 

(rO)) 

rO > 89.0 ................................ ¥1.04 + 2.0 (rPR) 

rPR ≥ 82.6 .............................. All ............................................ 32 + 1.6 (rPR) 

(3) Engines exempted from paragraph 

(a)(2) of this section produced on or 

before December 31, 2016 must be 

labeled ‘‘EXEMPT NEW’’ in accordance 

with § 45.13 of this chapter. No 

exemptions to the requirements of 

paragraph (a)(2) of this section will be 

granted after December 31, 2016. 

(4) For Class TSS Engines 

manufactured on and after July 18, 

2012: 

GASEOUS EMISSION STANDARDS FOR SUPERSONIC ENGINES

Class Rated output 

rO 1 (kN) 

NOX

(g/kN) 

CO 

(g/kN) 

TSS ................................................................... All ...................................................................... 36 + 2.42 (rPR) ......... 4,550 (rPR) ¥1.03

1 rO is the rated output with afterburning applied. 

(b) Gaseous exhaust emissions from 

each new aircraft gas turbine engine 

shall not exceed: 

(1) For Classes TF, T3 and T8 engines 

of a type or model of which the first 

individual production model was 

manufactured after December 31, 2013 

(Tier 8): 

TIER 8 OXIDES OF NITROGEN EMISSION STANDARDS FOR SUBSONIC ENGINES

Class Rated pressure ratio—rPR Rated output 

rO (kN) 

NOx 

(g/kN) 

TF, T3, T8 ........ rPR ≤ 30 ................................. 26.7 < rO < 89.0 ..................... 40.052 + 1.5681 (rPR) ¥ 0.3615 (rO) ¥ (0.0018 (rPR) (rO)) 

rO > 89.0 ................................ 7.88 + 1.4080 (rPR) 

30 < rPR < 104.7 ................... 26.7 < rO < 89.0 ..................... 41.9435 + 1.505 (rPR) ¥ 0.5823 (rO) + (0.005562 (rPR) 

(rO)) 

rO > 89.0 ................................ ¥9.88 + 2.0 (rPR) 

rPR ≥ 104.7 ............................ All ............................................ 32 + 1.6 (rPR) 

(c) Engines (including engines that are 

determined to be derivative engines for 

the purposes of emission certification) 

type certificated with characteristic 

levels at or below the NOX standards of 

§ 34.21(d)(1)(vi) of this part (as 

applicable based on rated output and 

rated pressure ratio) and introduced 

before July 18, 2012, may be produced 

through December 31, 2012, without 

meeting the NOX standard of paragraph 

(a)(2) of this section. 

■ 10. In § 34.31, revise paragraphs (b) 

and (c) to read as follows: 

§ 34.31 Standards for exhaust emissions. 

* * * * * 

(b) Exhaust emissions of smoke from 

each in-use aircraft gas turbine engine of 

Class TF and of rated output of 129 kN 

(29,000 lb) thrust or greater, beginning 

January l, 1976, shall not exceed 

SN=83.6(rO) ¥0.274 (rO is in kN). 

(c) The standards set forth in 

paragraphs (a) and (b) of this section 

refer to exhaust smoke emission emitted 

during operation of the engine as 

specified in the applicable sections of 

subpart G of this part, and measured 

and calculated in accordance with the 

procedures set forth in subpart G. 

Subpart E—Certification Provisions 

■ 11. Add § 34.48 to read as follows: 

§ 34.48 Derivative engines for emissions 

certification purposes. 

(a) General. A derivative engine for 

emissions certification purposes is an 

engine configuration that is determined 

to be similar in design to a previously 

certificated (original) engine for 

purposes of compliance with exhaust 

emissions standards (gaseous and 

smoke). A type certificate holder may 

request from the FAA a determination 

that an engine configuration is 

considered a derivative engine for 

emissions certification purposes. To be 

considered a derivative engine for 

emission purposes under this part, the 

configuration must have been derived 

from the original engine that was 

certificated to the requirements of part 

33 of this chapter and one of the 

following: 

(1) The FAA has determined that a 

safety issue exists that requires an 

engine modification. 

(2) Emissions from the derivative 

engines are determined to be similar. In 

general, this means the emissions must 

meet the criteria specified in paragraph 

(b) of this section. The FAA may amend 

the criteria of paragraph (b) in unusual 

circumstances, for individual cases, 

consistent with good engineering 

judgment. 

(3) All of the regulated emissions from 

the derivative engine are lower than the 

original engine. 


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Federal Register / Vol. 77, No. 250 / Monday, December 31, 2012 / Rules and Regulations 76853 

(b) Emissions similarity. (1) The type 

certificate holder must demonstrate that 

the proposed derivative engine model’s 

emissions meet the applicable standards 

and differ from the original model’s 

emission rates only within the following 

ranges: 

(i) ± 3.0 g/kN for NOX. 

(ii) ± 1.0 g/kN for HC. 

(iii) ± 5.0 g/kN for CO. 

(iv) ± 2.0 SN for smoke. 

(2) If the characteristic level of the 

original certificated engine model (or 

any other sub-models within the 

emission type certificate family tested 

for certification) before modification is 

at or above 95% of the applicable 

standard for any pollutant, an applicant 

must measure the proposed derivative 

engine model’s emissions for all 

pollutants to demonstrate that the 

derivative engine’s resulting 

characteristic levels will not exceed the 

applicable emission standards. If the 

characteristic levels of the originally 

certificated engine model (and all other 

sub-models within the emission type 

certificate family tested for certification) 

are below 95% of the applicable 

standard for each pollutant, the 

applicant may use engineering analysis 

consistent with good engineering 

judgment to demonstrate that the 

derivative engine will not exceed the 

applicable emission standards. The 

engineering analysis must address all 

modifications from the original engine, 

including those approved for previous 

derivative engines. 

(c) Continued production allowance. 

Derivative engines for emissions 

certification purposes may continue to 

be produced after the applicability date 

for new emissions standards when the 

engines conform to the specifications of 

this section. 

(d) Non-derivative engines. If the FAA 

determines that an engine model does 

not meet the requirements for a 

derivative engine for emissions 

certification purposes, the type 

certificate holder is required to 

demonstrate that the engine complies 

with the emissions standards applicable 

to a new engine type. 

Subpart G—Test Procedures for 

Engine Exhaust Gaseous Emissions 

(Aircraft and Aircraft Gas Turbine 

Engines) 

■ 12. Revise § 34.60 to read as follows: 

§ 34.60 Introduction. 

(a) Use the equipment and procedures 

specified in Appendix 3, Appendix 5, 

and Appendix 6 of ICAO Annex 16, as 

applicable, to demonstrate whether 

engines meet the applicable gaseous 

emission standards specified in subpart 

C of this part. Measure the emissions of 

all regulated gaseous pollutants. Use the 

equipment and procedures specified in 

Appendix 2 and Appendix 6 of ICAO 

Annex 16 to determine whether engines 

meet the applicable smoke standard 

specified in subpart C of this part. The 

compliance demonstration consists of 

establishing a mean value from testing 

the specified number of engines, then 

calculating a ‘‘characteristic level’’ by 

applying a set of statistical factors that 

take into account the number of engines 

tested. Round each characteristic level 

to the same number of decimal places as 

the corresponding emission standard. 

For turboprop engines, use the 

procedures specified for turbofan 

engines, consistent with good 

engineering judgment. 

(b) Use a test fuel that meets the 

specifications described in Appendix 4 

of ICAO Annex 16. The test fuel must 

not have additives whose purpose is to 

suppress smoke, such as organometallic 

compounds. 

(c) Prepare test engines by including 

accessories that are available with 

production engines if they can 

reasonably be expected to influence 

emissions. The test engine may not 

extract shaft power or bleed service air 

to provide power to auxiliary gearboxmounted components required to drive 

aircraft systems. 

(d) Test engines must reach a steady 

operating temperature before the start of 

emission measurements. 

(e) In consultation with the EPA, the 

FAA may approve alternative 

procedures for measuring emissions, 

including testing and sampling 

methods, analytical techniques, and 

equipment specifications that differ 

from those specified in this part. 

Manufacturers and operators may 

request approval of alternative 

procedures by written request with 

supporting justification to the FAA 

Aircraft Certification Office and to the 

Designated EPA Program Officer. To be 

approved, one of the following 

conditions must be met: 

(1) The engine cannot be tested using 

the specified procedures; or 

(2) The alternative procedure is 

shown to be equivalent to, or more 

accurate or precise than, the specified 

procedure. 

(f) The following landing and takeoff 

(LTO) cycles apply for emissions testing 

and for calculating weighted LTO 

values: 

LTO TEST CYCLES AND TIME IN MODE

Mode 

Class 

TP TF, T3, T8 TSS 

TIM (min) % of rO TIM (min) % of rO TIM (min) % of rO 

Taxi/idle ............................................................................ 26.0 7 26.0 7 26.0 5.8 

Takeoff ............................................................................. 0.5 100 0.7 100 1.2 100 

Climbout ........................................................................... 2.5 90 2.2 85 2.0 65 

Descent ............................................................................ NA NA NA NA 1.2 15 

Approach .......................................................................... 4.5 30 4.0 30 2.3 34 

(g) Engines comply with an applicable 

standard if the testing results show that 

the engine type certificate family’s 

characteristic level does not exceed the 

numerical level of that standard, as 

described in the applicable appendix of 

Annex 16. 

(h) The system and procedure for 

sampling and measurement of gaseous 

emissions shall be as specified by in 

Appendices 2, 3, 4, 5 and 6 to the 

International Civil Aviation 

Organization (ICAO) Annex 16, 

Environmental Protection, Volume II, 

Aircraft Engine Emissions, Third 

Edition, July 2008. This incorporation 

by reference was approved by the 

Director of the Federal Register in 

accordance with 5 U.S.C. 552(a) and 1 

CFR part 51. This document can be 

obtained from the ICAO, Document 

Sales Unit, 999 University Street, 

Montreal, Quebec H3C 5H7, Canada, 

phone +1 514–954–8022, or 

www.icao.int or sales@icao.int. Copies 

can be reviewed at the FAA New 

England Regional Office, 12 New 


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76854 Federal Register / Vol. 77, No. 250 / Monday, December 31, 2012 / Rules and Regulations 

1Rule 206(3)–3T [17 CFR 275.206(3)–3T]. All 

references to rule 206(3)–3T and the various 

sections thereof in this release are to 17 CFR 

275.206(3)–3T and its corresponding sections. See 

also Temporary Rule Regarding Principal Trades 

with Certain Advisory Clients, Investment Advisers 

Act Release No. 2653 (Sep. 24, 2007) [72 FR 55022 

(Sep. 28, 2007)] (‘‘2007 Principal Trade Rule 

Release’’). 

2See Temporary Rule Regarding Principal Trades 

with Certain Advisory Clients, Investment Advisers 

Act Release No. 2965 (Dec. 23, 2009) [74 FR 69009 

(Dec. 30, 2009)] (‘‘2009 Extension Release’’); 

Temporary Rule Regarding Principal Trades with 

Certain Advisory Clients, Investment Advisers Act 

Release No. 2965A (Dec. 31, 2009) [75 FR 742 (Jan. 

6, 2010)] (making a technical correction to the 2009 

Extension Release). 

3See Temporary Rule Regarding Principal Trades 

with Certain Advisory Clients, Investment Advisers 

Act Release No. 3118 (Dec. 1, 2010) [75 FR 75650 

(Dec. 6, 2010)] (proposing a two-year extension of 

rule 206(3)–3T’s sunset date) (‘‘2010 Extension 

Proposing Release’’); Temporary Rule Regarding 

Principal Trades with Certain Advisory Clients, 

Investment Advisers Act Release No. 3128 (Dec. 28, 

2010) [75 FR 82236 (Dec. 30, 2010)] (‘‘2010 

Extension Release’’). 

England Executive Park, Burlington, 

Massachusetts, 781–238–7101, or at the 

National Archives and Records 

Administration (NARA). For 

information on the availability of this 

material at NARA, call 202–741–6030, 

or go to: http://www.archives.gov/

federal_register/code_of_federal_

regulations/ibr_locations.html. 

§§ 34.61–34.64 [Reserved] 

■ 13. Remove and reserve §§ 34.61– 

34.64. 

§ 34.71 [Reserved] 

■ 14. Remove and reserve § 34.71. 

Subpart H—[Removed] 

■ 15. Remove subpart H, consisting of 

§§ 34.80 through 34.89. 

PART 45—IDENTIFICATION AND 

REGISTRATION MARKING 

■ 16. The authority citation for part 45 

continues to read as follows: 

Authority: 49 U.S.C. 106(g), 40103, 40113– 

40114, 44101–44105, 44107–44111, 44504, 

44701, 44708–44709, 44711–44713, 44725, 

45302–45303, 46104, 46304, 46306, 47122. 

Subpart B—Identification of Aircraft 

and Related Products 

■ 17. In § 45.13, revise paragraph (a)(7) 

introductory text and add paragraphs 

(a)(7)(iv) and (a)(7)(v) to read as follows: 

§ 45.13 Identification data. 

(a) * * * 

(7) On or after January 1, 1984, for 

aircraft engines specified in part 34 of 

this chapter, the date of manufacture as 

defined in § 34.1 of this chapter, and a 

designation, approved by the FAA, that 

indicates compliance with the 

applicable exhaust emission provisions 

of part 34 of this chapter and 40 CFR 

part 87. Approved designations include 

COMPLY, EXEMPT, and NON–US, as 

appropriate. After December 31, 2012, 

approved designations also include 

EXEMPT NEW, and EXCEPTED SPARE, 

as appropriate. 

* * * * * 

(iv) The designation EXEMPT NEW 

indicates that the engine has been 

granted an exemption pursuant to the 

applicable provision of § 34.7(h) of this 

chapter; the designation must be noted 

in the permanent powerplant record 

that accompanies the engine from the 

time of its manufacture. 

(v) The designation EXCEPTED 

SPARE indicates that the engine has 

been excepted pursuant to the 

applicable provision of § 34.9(b) of this 

chapter; the designation must be noted 

in the permanent powerplant record 

that accompanies the engine from the 

time of its manufacture. 

* * * * * 

Issued in Washington, DC, on December 

14, 2012. 

Michael P. Huerta, 

Acting Administrator. 

[FR Doc. 2012–31109 Filed 12–28–12; 8:45 am] 

BILLING CODE 4910–13–P 

SECURITIES AND EXCHANGE 

COMMISSION 

17 CFR Part 275 

[Release No. IA–3522; File No. S7–23–07] 

RIN 3235–AL28 

Temporary Rule Regarding Principal 

Trades With Certain Advisory Clients 

AGENCY: Securities and Exchange 

Commission. 

ACTION: Final rule. 

SUMMARY: The Securities and Exchange 

Commission is amending rule 206(3)–3T 

under the Investment Advisers Act of 

1940, a temporary rule that establishes 

an alternative means for investment 

advisers who are registered with the 

Commission as broker-dealers to meet 

the requirements of section 206(3) of the 

Investment Advisers Act when they act 

in a principal capacity in transactions 

with certain of their advisory clients. 

The amendment extends the date on 

which rule 206(3)–3T will sunset from 

December 31, 2012 to December 31, 

2014. 

DATES: The amendments in this 

document are effective December 28, 

2012 and the expiration date for 17 CFR 

275.206(3)–3T is extended to December 

31, 2014. 

FOR FURTHER INFORMATION CONTACT: 

Melissa S. Gainor, Attorney-Adviser, 

Vanessa M. Meeks, Attorney-Adviser, 

Sarah A. Buescher, Branch Chief, or 

Daniel S. Kahl, Assistant Director, at 

(202) 551–6787 or IArules@sec.gov, 

Office of Investment Adviser 

Regulation, Division of Investment 

Management, U.S. Securities and 

Exchange Commission, 100 F Street NE., 

Washington, DC 20549–8549. 

SUPPLEMENTARY INFORMATION: The 

Securities and Exchange Commission is 

adopting an amendment to temporary 

rule 206(3)–3T [17 CFR 275.206(3)–3T] 

under the Investment Advisers Act of 

1940 [15 U.S.C. 80b] that extends the 

date on which the rule will sunset from 

December 31, 2012 to December 31, 

2014. Note that previous related releases 

used RIN 3235–AJ96. (See Temporary 

Rule Regarding Principal Trades with 

Certain Advisory Clients, Investment 

Advisers Act Release No. 2653 (Sep. 24, 

2007) [72 FR 55022 (Sep. 28, 2007)]; 

Temporary Rule Regarding Principal 

Trades with Certain Advisory Clients, 

Investment Advisers Act Release No. 

2965 (Dec. 23, 2009) [74 FR 69009 (Dec. 

30, 2009)]; Temporary Rule Regarding 

Principal Trades with Certain Advisory 

Clients, Investment Advisers Act 

Release No. 2965A (Dec. 31, 2009) [75 

FR 742 (Jan. 6, 2010)]; Temporary Rule 

Regarding Principal Trades with Certain 

Advisory Clients, Investment Advisers 

Act Release No. 3118 (Dec. 1, 2010) [75 

FR 75650 (Dec. 6, 2010)]; Temporary 

Rule Regarding Principal Trades with 

Certain Advisory Clients, Investment 

Advisers Act Release No. 3128 (Dec. 28, 

2010) [75 FR 82236 (Dec. 30, 2010)]; 

Temporary Rule Regarding Principal 

Trades with Certain Advisory Clients, 

Investment Advisers Act Release No. 

3483 (October 9, 2012), [77 FR 62185 

(October 12, 2012)].) 

I. Background 

On September 24, 2007, we adopted, 

on an interim final basis, rule 206(3)– 

3T, a temporary rule under the 

Investment Advisers Act of 1940 (the 

‘‘Advisers Act’’) that provides an 

alternative means for investment 

advisers that are registered with us as 

broker-dealers to meet the requirements 

of section 206(3) of the Advisers Act 

when they act in a principal capacity in 

transactions with certain of their 

advisory clients.1 In December 2009, we 

extended the rule’s sunset date by one 

year to December 31, 2010.2 In 

December 2010, we further extended the 

rule’s sunset date by two years to 

December 31, 2012.3 We deferred final 

action on rule 206(3)–3T at that time in 


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