Federal Register / Vol. 79, No. 159 / Monday, August 18, 2014 / Proposed Rules 48707 

DEPARTMENT OF TRANSPORTATION 

Federal Aviation Administration 

14 CFR Part 39 

[Docket No. FAA–2014–0577; Directorate 

Identifier 2013–SW–042–AD] 

RIN 2120–AA64 

Airworthiness Directives; Airbus 

Helicopters Deutschland GmbH 

(Previously Eurocopter Deutschland 

GmbH) (Airbus Helicopters) 

Helicopters 

AGENCY: Federal Aviation 

Administration (FAA), DOT. 

ACTION: Notice of proposed rulemaking 

(NPRM). 

SUMMARY: We propose to adopt a new 

airworthiness directive (AD) for Airbus 

Helicopters Model EC135P1, EC135T1, 

EC135P2, EC135T2, EC135P2+, 

EC135T2+, and MBB–BK 117 C–2 

helicopters. This proposed AD would 

require inspecting certain washers for 

movement and making appropriate 

repairs if the washers move. This 

proposed AD is prompted by play found 

between the Smart Electro Mechanical 

Actuator (SEMA) and the control rod 

during installation work on a helicopter. 

The proposed actions are intended to 

prevent loss of concerned control axis 

and subsequent loss of control of the 

helicopter. 

DATES: We must receive comments on 

this proposed AD by October 17, 2014. 

ADDRESSES: You may send comments by 

any of the following methods: 

• Federal eRulemaking Docket: Go to 

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

online instructions for sending your 

comments electronically. 

• Fax: 202–493–2251. 

• Mail: Send comments to the U.S. 

Department of Transportation, Docket 

Operations, M–30, West Building 

Ground Floor, Room W12–140, 1200 

New Jersey Avenue SE., Washington, 

DC 20590–0001. 

• Hand Delivery: Deliver to the 

‘‘Mail’’ address between 9 a.m. and 5 

p.m., Monday through Friday, except 

Federal holidays. 

Examining the AD Docket 

You may examine the AD docket on 

the Internet at http://

www.regulations.gov or in person at the 

Docket Operations Office between 9 

a.m. and 5 p.m., Monday through 

Friday, except Federal holidays. The AD 

docket contains this proposed AD, the 

European Aviation Safety Agency 

(EASA) AD, the economic evaluation, 

any comments received, and other 

information. The street address for the 

Docket Operations Office (telephone 

800–647–5527) is in the ADDRESSES

section. Comments will be available in 

the AD docket shortly after receipt. 

For service information identified in 

this proposed AD, contact Airbus 

Helicopters, Inc., 2701 N. Forum Drive, 

Grand Prairie, TX 75052; telephone 

(972) 641–0000 or (800) 232–0323; fax 

(972) 641–3775; or at http://

www.airbushelicopters.com/techpub. 

You may review the referenced service 

information at the FAA, Office of the 

Regional Counsel, Southwest Region, 

2601 Meacham Blvd., Room 663, Fort 

Worth, Texas 76137. 

FOR FURTHER INFORMATION CONTACT: Matt 

Wilbanks, Aviation Safety Engineer, 

Regulations and Policy Group, 

Rotorcraft Directorate, FAA, 2601 

Meacham Blvd., Fort Worth, Texas 

76137; telephone (817) 222–5110; email 

matt.wilbanks@faa.gov. 

SUPPLEMENTARY INFORMATION: 

Comments Invited 

We invite you to participate in this 

rulemaking by submitting written 

comments, data, or views. We also 

invite comments relating to the 

economic, environmental, energy, or 

federalism impacts that might result 

from adopting the proposals in this 

document. The most helpful comments 

reference a specific portion of the 

proposal, explain the reason for any 

recommended change, and include 

supporting data. To ensure the docket 

does not contain duplicate comments, 

commenters should send only one copy 

of written comments, or if comments are 

filed electronically, commenters should 

submit only one time. 

We will file in the docket all 

comments that we receive, as well as a 

report summarizing each substantive 

public contact with FAA personnel 

concerning this proposed rulemaking. 

Before acting on this proposal, we will 

consider all comments we receive on or 

before the closing date for comments. 

We will consider comments filed after 

the comment period has closed if it is 

possible to do so without incurring 

expense or delay. We may change this 

proposal in light of the comments we 

receive. 

Discussion 

EASA, which is the Technical Agent 

for the Member States of the European 

Union, issued EASA AD No. 2013–0176, 

dated August 7, 2013, to correct an 

unsafe condition for Eurocopter 

Deutschland GmbH Model EC 135 P1 

(CDS), EC 135 P1 (CPDS), EC 135 P2+, 

EC 135 P2 (CPDS), EC 135 T1 (CDS), EC 

135 T1 (CPDS), EC 135 T2+, EC 135 T2 

(CPDS), EC 635 P2+, EC 635 T1 (CPDS), 

EC 635 T2+, and MBB–BK 117 C–2 

helicopters. EASA advises that during 

installation work on a helicopter, it was 

discovered that it was not possible to 

install attachment hardware on a 

threaded blind borehole between the 

SEMA and the control rod without play. 

According to EASA, the loose 

attachment hardware was caused by an 

‘‘unfavourable adding of the tolerances’’ 

of the individual attachment hardware 

elements. EASA states that as a result, 

the screw pushed against the bottom of 

the threaded blind borehole on the 

SEMA, and no clamping force could be 

achieved on the screw head. EASA 

advises that this condition, if not 

detected and corrected, could lead to 

loss of the concerned control axis, 

possibly resulting in loss of helicopter 

control. For these reasons, EASA AD 

No. 2013–0176 requires a one-time 

inspection of the affected SEMA 

attachment hardware to detect improper 

connection and play and, depending on 

the findings, replacement of the affected 

hardware. 

Since the issuance of EASA AD No. 

2013–0176, Eurocopter Deutschland 

GmbH has changed its name to Airbus 

Helicopters Deutschland GmbH. 

FAA’s Determination 

These helicopters have been approved 

by the aviation authority of Germany 

and are approved for operation in the 

United States. Pursuant to our bilateral 

agreement with Germany, EASA, its 

technical representative, has notified us 

of the unsafe condition described in its 

AD. We are proposing this AD because 

we evaluated all known relevant 

information and determined that an 

unsafe condition is likely to exist or 

develop on other products of the same 

type design. 

Related Service Information 

Eurocopter reported in Alert Service 

Bulletins (ASBs) EC135–22A–015, 

Revision 1, dated January 28, 2013, and 

MBB BK117 C–2–22A–009, Revision 1, 

dated August 3, 2009, that it was 

discovered during the installation work 

on a helicopter that it was not possible 

to establish attachment hardware on a 

threaded blind borehole between the 

SEMA and the control rod without play. 

The ASBs state that ‘‘unfavourable 

adding of the tolerances’’ of the 

individual attachment hardware 

elements caused the screw to push 

against the bottom of the threaded blind 

borehole on the SEMA, preventing any 

clamping force on the screw head. The 

ASBs call for inspecting the SEMA 

attachment hardware connected to their 


tkelley on DSK3SPTVN1PROD with PROPOSALS
48708 Federal Register / Vol. 79, No. 159 / Monday, August 18, 2014 / Proposed Rules 

respective control rods for play and 

making the proper adjustments to 

eliminate any play. 

Proposed AD Requirements 

This proposed AD would require, 

within 50 hours time-in-service, 

inspecting whether the washers can be 

moved in the attachment hardware that 

connects the SEMA and the control rod 

of the longitudinal, lateral, and yaw 

actuators. For Model MBB BK117 C–2 

helicopters, this inspection is only for 

the hardware connecting the YawSEMA and the Yaw-SEMA control rod. 

If none of the washers can be moved, 

then no further action is needed. If a 

washer can be moved, then this 

proposed AD would require replacing 

the four screws, installing two 

additional washers, and torquetightening the screws to 5–6 Nm. 

Differences Between This Proposed AD 

and the EASA AD 

The EASA AD applies to Eurocopter 

Model EC635P2+, EC635T1 and 

EC635T2+ helicopters. The proposed 

AD does not apply to these model 

helicopters because they have no FAA 

type certificate. 

Costs of Compliance 

We estimate that this proposed AD 

would affect 385 helicopters of U.S. 

Registry and that labor costs average $85 

per work-hour. Based on these 

estimates, we expect the following costs: 

• Inspecting for movement of the 

washers would require 1.5 work hours 

for a labor cost of $128 per helicopter 

and $49,280 for the U.S. fleet. 

• Replacing the screws and related 

work would require an additional 0.5 

work-hours for a labor cost of $43. 

Screws would cost $4 each while 

washers would cost $10 each. We 

estimate the cost would be $79 per 

repair. 

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 proposed 

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, 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); 

3. Will not affect intrastate aviation in 

Alaska to the extent that it justifies 

making a regulatory distinction; and 

4. Will not have a significant 

economic impact, positive or negative, 

on a substantial number of small entities 

under the criteria of the Regulatory 

Flexibility Act. 

We prepared an economic evaluation 

of the estimated costs to comply with 

this proposed AD and placed it 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 airworthiness 

directive (AD): 

Airbus Helicopters Deutschland GmbH 

(Previously Eurocopter Deutschland 

GmbH) (Airbus Helicopters) Helicopters: 

Docket No. FAA–2014–0577; Directorate 

Identifier 2013–SW–042–AD. 

(a) Applicability 

This AD applies to Airbus Helicopters 

Model EC135P1, EC135T1, EC135P2, 

EC135T2, EC135P2+, EC135T2+, and MBB– 

BK 117 C–2 helicopters, certificated in any 

category. 

(b) Unsafe Condition 

This AD defines the unsafe condition as 

loose attachment hardware between the 

Smart Electro Mechanical Actuator (SEMA) 

and a control rod. This condition could result 

in loss of the control axis and subsequent 

loss of control of the helicopter. 

(c) Comments Due Date 

We must receive comments by October 17, 

2014. 

(d) Compliance 

You are responsible for performing each 

action required by this AD within the 

specified compliance time unless it has 

already been accomplished prior to that time. 

(e) Required Actions 

(1) Within 50 hours time in service (TIS), 

for Model EC135P1, EC135T1, EC135P2, 

EC135T2, EC135P2+, and EC135T2+ 

helicopters, do the following: 

(i) Using Figure 1 and Figure 2 of 

Eurocopter Alert Service Bulletin EC135– 

22A–015, Revision 1, dated January 28, 2013 

(ASB EC135–22A–015) as reference, inspect 

the attachment hardware between the SEMA 

and the longitudinal actuator control rod to 

determine whether any of the washers can be 

moved. 

(A) If no washer can be moved, no further 

action is needed. 

(B) If a washer can be moved, replace the 

four screws and install two additional 

washers, part number (P/N) EN2139–05016, 

to connect the SEMA with the control rod. 

Torque-tighten each screw to 5–6 Nm. 

(ii) Using Figure 1 and Figure 2 of ASB 

EC135–22A–015 as reference, inspect the 

attachment hardware between the SEMA and 

the lateral actuator control rod to determine 

whether any of the washers can be moved. 

(A) If no washer can be moved, no further 

action is needed. 

(B) If a washer can be moved, replace the 

four screws and install two additional 

washers, P/N EN2139–05016, to connect the 

SEMA with the control rod. Torque-tighten 

each screw to 5–6 Nm. 

(iii) Using Figure 1, Figure 3, and Figure 

4 of ASB EC135–22A–015 as reference, 

inspect the attachment hardware between the 

SEMA and the yaw actuator control rod to 

determine whether any of the washers can be 

moved. 

(A) If no washer can be moved, no further 

action is needed. 

(B) If a washer can be moved, replace the 

four screws and install two additional 

washers, P/N EN2139–05016, to connect the 

SEMA with the control rod. Torque-tighten 

each screw to 5–6 Nm. 

(2) Within 50 hours TIS, for Model MBB 

BK117 C–2 helicopters, using Figure 1 of 

Eurocopter Alert Service Bulletin MBB 

BK117 C–2–22A–009, Revision 1, dated 

August 3, 2009, as reference, inspect the 

attachment hardware between the YawSEMA and the Yaw-SEMA control rod to 

determine whether any of the washers can be 

moved. 

(i) If no washer can be moved, no further 

action is needed. 

(ii) If a washer can be moved, replace the 

four screws and install two additional 


tkelley on DSK3SPTVN1PROD with PROPOSALS
Federal Register / Vol. 79, No. 159 / Monday, August 18, 2014 / Proposed Rules 48709 

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’’). 

2 482 F.3d 481 (D.C. Cir. 2007). In the FPA 

Decision, handed down on March 30, 2007, the 

Court of Appeals for the DC Circuit vacated (subject 

to a subsequent stay until October 1, 2007) rule 

202(a)(11)–1 under the Advisers Act. Rule 

202(a)(11)–1 provided, among other things, that feebased brokerage accounts were not advisory 

accounts and were thus not subject to the Advisers 

Act. For further discussion of fee-based brokerage 

accounts, see 2007 Principal Trade Rule Release, 

Section I. 

3See 2007 Principal Trade Rule Release at nn.19– 

20 and Section VI.C. 

4As a consequence of the FPA Decision, brokerdealers offering fee-based brokerage accounts with 

an advisory component became subject to the 

Advisers Act with respect to those accounts, and 

the client relationship became fully subject to the 

Advisers Act. These broker-dealers—to the extent 

they wanted to continue to offer fee-based accounts 

and met the requirements for registration—had to: 

Register as investment advisers, if they had not 

done so already; act as fiduciaries with respect to 

those clients; disclose all material conflicts of 

interest; and otherwise fully comply with the 

Advisers Act, including the restrictions on 

principal trading contained in section 206(3) of the 

Act. See 2007 Principal Trade Rule Release, Section 

I. 

5See Temporary Rule Regarding Principal Trades 

with Certain Advisory Clients, Investment Advisers 

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

Continued 

washers, P/N EN2139–05016, to connect the 

SEMA with the control rod. Torque-tighten 

each screw to 5–6 Nm and apply 

polyurethane lacquer onto the attachment 

hardware. 

(f) Alternative Methods of Compliance 

(AMOCs) 

(1) The Manager, Safety Management 

Group, FAA, may approve AMOCs for this 

AD. Send your proposal to: Matt Wilbanks, 

Aviation Safety Engineer, Regulations and 

Policy Group, Rotorcraft Directorate, FAA, 

2601 Meacham Blvd., Fort Worth, Texas 

76137; telephone (817) 222–5110; email 

matt.wilbanks@faa.gov. 

(2) For operations conducted under a 14 

CFR part 119 operating certificate or under 

14 CFR part 91, subpart K, we suggest that 

you notify your principal inspector, or 

lacking a principal inspector, the manager of 

the local flight standards district office or 

certificate holding district office before 

operating any aircraft complying with this 

AD through an AMOC. 

(g) Additional Information 

The subject of this AD is addressed in the 

European Aviation Safety Agency (EASA) AD 

No. 2013–0176, dated August 7, 2013. You 

may view the EASA AD on the Internet at 

http://www.regulations.gov in Docket No. 

FAA–2014–0577. 

(i) Subject 

Joint Aircraft Service Component (JASC) 

Code: 2213, Flight Controller. 

Issued in Fort Worth, Texas, on August 8, 

2014. 

Lance T. Gant, 

Acting Directorate Manager, Rotorcraft 

Directorate, Aircraft Certification Service. 

[FR Doc. 2014–19524 Filed 8–15–14; 8:45 am] 

BILLING CODE 4910–13–P 

SECURITIES AND EXCHANGE 

COMMISSION 

17 CFR Part 275 

[Release No. IA–3893; File No. S7–23–07] 

RIN 3235–AL56 

Temporary Rule Regarding Principal 

Trades With Certain Advisory Clients 

AGENCY: Securities and Exchange 

Commission. 

ACTION: Proposed rule. 

SUMMARY: The Securities and Exchange 

Commission is proposing to amend rule 

206(3)–3T under the Investment 

Advisers Act of 1940, a temporary rule 

that establishes an alternative means for 

investment advisers that 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 would 

extend the date on which rule 206(3)– 

3T will sunset from December 31, 2014 

to December 31, 2016. 

DATES: Comments must be received on 

or before September 17, 2014. 

ADDRESSES: Comments may be 

submitted by any of the following 

methods: 

Electronic Comments 

• Use the Commission’s Internet 

comment form (http://www.sec.gov/

rules/proposed.shtml); or 

• Send an email to rule-comments@

sec.gov. Please include File Number S7– 

23–07 on the subject line; or 

• Use the Federal eRulemaking Portal 

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

instructions for submitting comments. 

Paper Comments 

• Send paper comments to Secretary, 

Securities and Exchange Commission, 

100 F Street NE., Washington, DC 

20549–1090. 

All submissions should refer to File 

Number S7–23–07. This file number 

should be included on the subject line 

if email is used. To help us process and 

review your comments more efficiently, 

please use only one method. The 

Commission will post all comments on 

the Commission’s Internet Web site 

(http://www.sec.gov/rules/

proposed.shtml). Comments are also 

available for Web site viewing and 

printing in the Commission’s Public 

Reference Room, 100 F Street NE., 

Washington, DC 20549, on official 

business days between the hours of 

10:00 a.m. and 3:00 p.m. All comments 

received will be posted without change; 

we do not edit personal identifying 

information from submissions. You 

should submit only information that 

you wish to make available publicly. 

FOR FURTHER INFORMATION CONTACT: 

Melissa S. Gainor, Senior Counsel, 

Sarah A. Buescher, Branch Chief, or 

Daniel S. Kahl, Assistant Director, at 

(202) 551–6787 or IArules@sec.gov, 

Investment Adviser Regulation Office, 

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 

proposing 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 would extend 

the date on which the rule will sunset 

from December 31, 2014 to December 

31, 2016. 

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 The purpose of the 

rule was to permit broker-dealers to sell 

to their advisory clients, in the wake of 

Financial Planning Association v. SEC 

(the ‘‘FPA Decision’’),2 certain securities 

held in the proprietary accounts of their 

firms that might not be available on an 

agency basis—or might be available on 

an agency basis only on less attractive 

terms 3—while protecting clients from 

conflicts of interest as a result of such 

transactions.4

As initially adopted on an interim 

final basis, rule 206(3)–3T was set to 

sunset on December 31, 2009. In 

December 2009, however, we adopted 

rule 206(3)–3T as a final rule in the 

same form in which it was adopted on 

an interim final basis in 2007, except 

that we extended the rule’s sunset date 

by one year to December 31, 2010.5 We 


tkelley on DSK3SPTVN1PROD with PROPOSALS