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Rules and Regulations Federal Register

1

Vol. 67, No. 1

Wednesday, January 2, 2002

DEPARTMENT OF TRANSPORTATION 

Federal Aviation Administration 

14 CFR Part 39 

[Docket No. 2000–NE–47–AD; Amendment 

39–12564; AD 2001–25–11] 

RIN 2120–AA64 

Airworthiness Directives; Pratt and 

Whitney PW4000 Series Turbofan 

Engines

AGENCY: Federal Aviation 

Administration, DOT.

ACTION: Final rule; request for 

comments. 

SUMMARY: This amendment supersedes 

two airworthiness directives (AD’s), AD 

99–17–16 and AD 2001–15–12. Those 

AD’s both apply to Pratt and Whitney 

(PW) model PW4000 series turbofan 

engines. AD 99–17–16 generally 

requires that operators limit the number 

of PW4000 engines with potentially 

reduced stability margin to no more 

than one engine on each airplane, and 

requires initial and repetitive on-wing 

and test cell engine stability tests. It also 

establishes reporting requirements for 

stability testing data. AD 2001–15–12 

also limits the number of PW4000 

engines with potentially reduced 

stability on each airplane by applying 

rules based on airplane and engine 

configuration. In addition, AD 2001–15–

12 also requires that engines that exceed 

high pressure compressor (HPC) cyclic 

limits based on cycles-since-overhaul 

(CSO) are removed from service, limits 

the number of engines with the HPC 

cutback stator (CBS) configuration to 

one on each airplane, and establishes a 

minimum rebuild standard for engines 

that are returned to service. These AD’s 

were prompted by reports of surges 

during takeoff on airplanes equipped 

with PW4000 series turbofan engines. 

This amendment continues the 

limitation on the number of PW4000 

engines with potentially reduced 

stability on each airplane to no more 

than one, and introduces a new cool 

engine fuel spike test to allow engines 

to be returned to service after having 

exceeded cyclic limits or undergone 

work in the shop. This AD also 

continues the limitation on the number 

of engines with HPC CBS configuration 

to one on each airplane, places a cyclic 

limit on how long a CBS engine may 

remain in service, and establishes a 

minimum rebuild standard for engines 

that are returned to service. This 

amendment is prompted by further 

analyses of compressor surges in 

PW4000 engines, and continuing reports 

of surges in the PW4000 fleet. The 

actions specified by this AD are 

intended to prevent engine power losses 

due to HPC surge.

DATES: Effective January 17, 2002. The 

incorporation by reference of certain 

publications listed in the rule is 

approved by the Director of the Federal 

Register as of January 17, 2002. 

Comments for inclusion in the Rules 

Docket must be received on or before 

March 4, 2002.

ADDRESSES: Submit comments in 

triplicate to the Federal Aviation 

Administration (FAA), New England 

Region, Office of the Regional Counsel, 

Attention: Rules Docket No. 2000–NE–

47–AD, 12 New England Executive Park, 

Burlington, MA 01803–5299. Comments 

may be inspected at this location, by 

appointment, between 8:00 a.m. and 

4:30 p.m., Monday through Friday, 

except Federal holidays. Comments may 

also be sent via the Internet using the 

following address: 9-aneadcomment@faa.gov. Comments sent 

via the Internet must contain the docket 

number in the subject line. The service 

information referenced in this AD may 

be obtained from Pratt & Whitney, 400 

Main St., East Hartford, CT 06108, 

(860)565–6600, fax (860)565–4503. This 

information may be examined, by 

appointment, at the FAA, New England 

Region, Office of the Regional Counsel, 

12 New England Executive Park, 

Burlington, MA; or at the Office of the 

Federal Register, 800 North Capitol 

Street, NW., suite 700, Washington, DC.

FOR FURTHER INFORMATION CONTACT:

Peter White, Aerospace Engineer, 

Engine Certification Office, FAA, Engine 

and Propeller Directorate, 12 New 

England Executive Park, Burlington, MA 

01803–5299; telephone (781) 238–7128; 

fax (781) 238–7199.

SUPPLEMENTARY INFORMATION: Since 

1999, the FAA has noted a growing 

number of takeoff (T/O) surge events in 

Pratt and Whitney PW4000 series 

turbofan engines. These surges typically 

occur within 20 to 60 seconds after 

throttle advance to T/O power, a critical 

phase of flight. These events have 

resulted in numerous aborted T/O’s, inflight engine shutdowns, and diverted 

flights. To date, two events have 

occurred where two engines have 

surged at once, the latest in March 2001 

involving a twin-engine airplane on 

takeoff. 

The investigation into these surges 

revealed that these events are due to low 

stability resulting from open clearances 

in the aft stages of the high pressure 

compressor (HPC). The most open 

clearance condition in the aft stages of 

the HPC due to temperature differences 

between the compressor rotor and the 

compressor stator occurs about 20–60 

seconds after the throttle is advanced for 

T/O. A binding of the compressor 

flowpath and stator segments within the 

outer case may add to this normal 

thermal mismatch condition, resulting 

in uneven wear patterns and areas of 

increased locally open clearances. 

Further investigation revealed common 

factors that can increase the likelihood 

for a single or multiple-engine surge 

event. These ‘‘common factors’’ have 

been identified as Engine Pressure Ratio 

(EPR), and ambient temperature and 

pressure. Pratt and Whitney (PW) has 

used this information to better 

understand the occurrence of the two 

dual surge events experienced to date in 

the PW4000 series fleet. 

Since 1999, the FAA has issued five 

AD’s that apply to the PW4000 series 

engines to address this surge condition. 

On August 12, 1999, the FAA issued AD 

99–17–16 (64 FR 45426, dated August 

20, 1999) to require that operators limit 

the number of PW4000 engines with 

potentially reduced stability margin to 

no more than one engine on each 

airplane, and require initial and 

repetitive on-wing and test cell engine 

stability tests. AD 99–17–16 also 

establishes reporting requirements for 

stability testing data. 

On October 19, 2000, the FAA issued 

AD 2000–22–01 (65 FR 63793, dated 

October 25, 2000), to limit the number 

of engines to one on each airplane with 

2 Federal Register / Vol. 67, No. 1 / Wednesday, January 2, 2002 / Rules and Regulations 

the HPC in a configuration known as the 

cut-back stator (CBS) configuration. AD 

2000–22–01 established cyclic limits for 

the removal of HPC’s in the CBS 

configuration and prohibited operators 

from using engines with HPC modules 

that incorporated the CBS configuration 

after the effective date of that AD. AD 

2000–22–01 was later superseded by AD 

2001–15–12. 

On April 13, 2001, the FAA issued 

emergency AD 2001–08–52 in response 

to the March 2001, dual-engine surge 

event. That emergency AD restricted the 

use of and, ultimately, required the 

removal of certain PW4000 engines 

identified by serial number. Those 

engines were all suspect of reduced 

stability, and, therefore, at higher risk of 

surges. Emergency AD 2001–08–52 was 

superseded by AD 2001–09–07. 

On April 20, 2001, the FAA issued 

AD 2001–09–07 (66 FR 21083, dated 

April 27, 2001), to supersede emergency 

AD 2001–08–52. AD 2001–09–07 made 

changes to the list of serial numbers 

identifying the affected engines, 

clarified the requirements of the 

emergency AD, and added engines with 

the HPC CBS configuration to the 

restrictions contained in the emergency 

AD to limit the number of PW4000 

engines to no more than one engine 

with potentially reduced stability on 

each airplane and removal of certain 

PW4000 engines before exceeding cyclic 

limits that are determined by airplane 

model and engine configuration. AD 

2001–09–07 was also superseded by AD 

2001–15–12. 

Finally, on July 17, 2001, the FAA 

issued AD 2001–15–12 (66 FR 38896, 

dated July 26, 2001) that superseded 

both AD 2000–22–01 and AD 2001–09–

07. AD 2001–15–12 was issued as an 

interim measure to maintain fleet safety 

while an improved stability screening 

test was created, which would allow 

improved discrimination of low-surge 

margin engines. AD 2001–15–12 

continued the limitation on the number 

of engines with the HPC CBS 

configuration and with potentially 

reduced stability on each airplane, but 

based those limitations on an evaluation 

by configuration, installation, thrust 

rating and other variables. That 

evaluation was used to create cyclic 

limits for each airplane and engine 

combination to maintain the risk of a 

multiple engine surge at an acceptable 

level. AD 2001–15–12 also introduced a 

minimum build standard for engines 

returned to service. Since AD 2001–15–

12 was issued, the FAA has received 

reports of 11 additional takeoff surges in 

the PW4000 fleet. This amendment 

supersedes AD 2001–15–12 and AD 99–

17–16. The FAA has continued to 

evaluate the PW4000 fleet surge data 

and improve its understanding of the 

PW4000 fleet’s engine surge behavior, 

and has determined that the 

requirements of currently effective AD’s 

are not sufficient to meet the original 

safety intent of those AD’s. An 

evaluation of the PW4000 fleet by 

configuration, installation, thrust rating 

and utilizing the ‘‘common factor’’

variables was performed to determine 

which subpopulations of engines are 

most prone to high power takeoff surges. 

As a result of this evaluation, cyclic 

limits were created for each airplane 

and engine combination to maintain the 

risk of multiple-engine surge risk at an 

acceptable level. An improved off-wing 

(test cell) stability margin verification 

test was developed to allow return to 

service of engines, which were removed 

for exceeding the cycles-since-overhaul 

threshold, or that have had flowpath 

work performed while in the shop. 

Although AD 2001–15–12 was 

adopted without notice, the FAA 

invited comments on the rule. The FAA 

received one comment from an operator 

of PW4000 engines. The operator notes 

that the AD contains a requirement that 

engines which exceed the specified 

cyclic limits be removed from service 

within 50 cycles after the effective date 

of the AD and ‘‘thereafter.’’ The operator 

requests that the FAA clarify whether 

that initial grace period of 50 cycles is 

available to only engines that have 

exceeded the cyclic limits on the 

effective date of the AD or if the 50-

cycle grace period is also be available to 

engines that reach the cyclic limits after 

the effective date of the AD. This AD 

contains similar cyclic limits and a 

similar initial grace period. The FAA 

has changed the wording of the 

requirement to make clearer that the 

initial grace period applies only to those 

engines that would otherwise be 

required to be removed immediately 

upon the AD becoming effective. The 

FAA has determined that allowing those 

engines to operate for an additional 50 

cycles will not result in an unacceptable 

level of safety while mitigating some of 

the cost of an unscheduled engine 

removal. As engines approach the cyclic 

limits after the effective date of the AD, 

however, the FAA expects that 

operators will schedule engine removals 

so that no unscheduled removals will be 

necessary. 

FAA’s Determination of an Unsafe 

Condition and Required Actions 

Since the unsafe condition described 

is likely to exist or develop on other 

PW4000 series turbofan engines of the 

same type design, this AD is being 

issued to prevent engine power losses 

due to HPC surge events. This AD 

requires: 

• Limiting the number of engines 

with the HPC CBS configuration to one 

on each airplane prior to further flight 

after the effective date of this AD, and 

• Limiting the number of engines that 

exceed cyclic limits, based upon 

airplane and engine configuration, 

within 50, 100 or 200 CIS after the 

effective date of this AD, and 

• A minimum rebuild standard for 

engines that are returned to service. 

This AD also allows engines removed 

from service due to exceeded cyclic 

limit to be returned to service after 

either an HPC overhaul, or successfully 

completing a cool engine fuel spike 

stability evaluation. 

Interim Action 

The actions specified in this AD are 

considered interim action and further 

action is anticipated based on the 

continuing investigation of the HPC 

surges. This AD has been coordinated 

with the FAA Transport Airplanes 

Directorate. 

Immediate Adoption of This AD 

Since a situation exists that requires 

the immediate adoption of this 

regulation, it is found that notice and 

opportunity for prior public comment 

hereon are impracticable, and that good 

cause exists for making this amendment 

effective in less than 30 days. 

Comments Invited 

Although this action is in the form of 

a final rule that involves requirements 

affecting flight safety and, thus, was not 

preceded by notice and an opportunity 

for public comment, comments are 

invited on this rule. Interested persons 

are invited to comment on this rule by 

submitting such written data, views, or 

arguments as they may desire. 

Communications should identify the 

Rules Docket number and be submitted 

in triplicate to the address specified 

under the caption ADDRESSES. All 

communications received on or before 

the closing date for comments will be 

considered, and this rule may be 

amended in light of the comments 

received. Factual information that 

supports the commenter’s ideas and 

suggestions is extremely helpful in 

evaluating the effectiveness of the AD 

action and determining whether 

additional rulemaking action would be 

needed. 

Comments are specifically invited on 

the overall regulatory, economic, 

environmental, and energy aspects of 

the rule that might suggest a need to 

modify the rule. All comments 

submitted will be available, both before 

Federal Register / Vol. 67, No. 1 / Wednesday, January 2, 2002 / Rules and Regulations 3

and after the closing date for comments, 

in the Rules Docket for examination by 

interested persons. A report that 

summarizes each FAA-public contact 

concerned with the substance of this AD 

will be filed in the Rules Docket. 

Commenters wishing the FAA to 

acknowledge receipt of their comments 

submitted in response to this action 

must submit a self-addressed, stamped 

postcard on which the following 

statement is made: ‘‘Comments to 

Docket Number 2000–NE–47–AD.’’ The 

postcard will be date stamped and 

returned to the commenter. 

Regulatory Analysis 

This final rule does not have 

federalism implications, as defined in 

Executive Order 13132, because it 

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. 

Accordingly, the FAA has not consulted 

with state authorities prior to 

publication of this final rule. 

The FAA has determined that this 

regulation is an emergency regulation 

that must be issued immediately to 

correct an unsafe condition in airplanes, 

and is not a ‘‘significant regulatory 

action’’ under Executive Order 12866. It 

has been determined further that this 

action involves an emergency regulation 

under DOT Regulatory Policies and 

Procedures (44 FR 11034, February 26, 

1979). If it is determined that this 

emergency regulation otherwise would 

be significant under DOT Regulatory 

Policies and Procedures, a final 

regulatory evaluation will be prepared 

and placed in the Rules Docket. A copy 

of it, if filed, may be obtained from the 

Rules Docket at the location provided 

under the caption ADDRESSES.

List of Subjects in 14 CFR Part 39 

Air transportation, Airplanes, 

Aviation safety, Incorporation by 

reference, Safety.

Adoption of the Amendment

■ Accordingly, pursuant to the authority 

delegated to me by the Administrator, 

the Federal Aviation Administration 

amends part 39 of the Federal Aviation 

Regulations (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. Section 39.13 is amended by 

removing Amendment 39–12346 (66 FR 

38896, dated July 26, 2001) and 

Amendment 39–11263 (64 FR 11263, 

dated August 20, 1999), and by adding a 

new airworthiness directive (AD), 

Amendment 39–12564, to read as 

follows:

2001–25–11 Pratt and Whitney: 

Amendment 39–12564. Docket No. 

2000–NE–47–AD. Supersedes 

Amendment 39–12346, and Amendment 

39–11263.

Applicability: This airworthiness directive 

(AD) is applicable to Pratt and Whitney (PW) 

model PW4050, PW4052, PW4056, PW4060, 

PW4060A, PW4060C, PW4062, PW4152, 

PW4156, PW4156A, PW4158, PW4160, 

PW4460, PW4462, and PW4650 turbofan 

engines. These engines are installed on, but 

not limited to, certain models of Airbus 

Industrie A300, Airbus Industrie A310, 

Boeing 747, Boeing 767, and McDonnell 

Douglas MD–11 series airplanes.

Note 1: This AD applies to each engine 

identified in the preceding applicability 

provision, regardless of whether it has been 

modified, altered, or repaired in the area 

subject to the requirements of this AD. For 

engines that have been modified, altered, or 

repaired so that the performance of the 

requirements of this AD is affected, the 

owner/operator must request approval for an 

alternative method of compliance in 

accordance with paragraph (o) of this AD. 

The request should include an assessment of 

the effect of the modification, alteration, or 

repair on the unsafe condition addressed by 

this AD; and, if the unsafe condition has not 

been eliminated, the request should include 

specific proposed actions to address it.

Compliance: Compliance with this AD is 

required as indicated, unless already done. 

To prevent engine power losses due to high 

pressure compressor (HPC) surge, do the 

following: 

(a) When complying with this AD, 

determine the configuration and category of 

each engine on each airplane as follows: 

(1) Use the following table 1 to determine 

the configuration of the engine:

TABLE 1.—ENGINE CONFIGURATION LISTING

Configuration Configuration

designator Description 

(i) Phase 1 without high pressure turbine (HPT) 1st turbine 

vane cut back (1TVCB).

A Engines that did not incorporate the Phase 3 configuration at 

the time they were originally manufactured, or have not 

been converted to Phase 3 configuration; and have not incorporated HPT 1TVCB using any revision of SB PW4ENG 

72–514. 

(ii) Phase 1 with 1TVCB .............................................................. B Same as configuration (1) except that HPT 1TVCB has been 

incorporated using any revision of SB PW4ENG 72–514. 

(iii) Phase 3, 2nd Run ................................................................. C Engines that incorporated the Phase 3 configuration at the 

time they were originally manufactured, or have been converted to the Phase 3 configuration during service; and that 

have had at least one HPC overhaul since new. 

(iv) Phase 3, 1st Run .................................................................. D Same as configuration (3) except that that the engine has not 

had an HPC overhaul since new. 

(v) HPC Cutback Stator Configuration Engines .......................... E Engines that currently incorporate any revision of SB’s 

PW4ENG72–706, PW4ENG72–704, or PW4ENG72–711 

(vi) Engines that have passed Testing-21 .................................. F Engines which have successfully passed Testing-21 performed in accordance with paragraph (h)(1) of this AD. 

Once an engine has passed a Testing-21, it will remain a 

Configuration F engine until the HPC is overhauled, or is replaced with a new or overhauled HPC. 

4 Federal Register / Vol. 67, No. 1 / Wednesday, January 2, 2002 / Rules and Regulations 

(2) Use the following Table 2 to determine the category of Airbus engines:

TABLE 2.—AIRBUS AIRPLANE ENGINE CATEGORY LISTING

Engine model Category Engine serial number (SN) 

(i) PW4156, PW4156A, and PW4158 engines.1 717201, 717205, 717702, 717703, 717710, 717752, 717788, 717798, 717799, 

724023, 724026, 724027, 724033, 724034, 724036, 724037, 724040, 724041, 

724044, 724045, 724048, 724049, 724050, 724051, 724052, 724055, 724056, 

724059, 724061, 724062, 724063, 724065, 724067, 724073, 724074, 724075, 

724079, 724088, 724089, 724090, 724091, 724094, 724095, 724551, 724552, 

724555, 724556, 724557, 724558, 724561, 724562, 724563, 724564, 724567, 

724568, 724569, 724570, 724571, 724572, 724573, 724574, 724575, 724576, 

724577, 724578, 724640, 724806, 724807, 724808, 724809, 724811, 724820, 

724821, 724827, 724833, 724835, 724836, 724840, 724841, 724848, 724849, 

724855, 724857, 724858, 724861, 724862, 724865, 724866, 724868, 724909, 

724910, 724913, 724914, 724924, 724925, 724926, 724927, 727912, 728519, 

728520, 728521, 728522, 728523, 728524, 728525, 728526, 728527, 728528, 

728534, 728535, 728536, 728537, 728538, 728539, 728540, 728541, 728542, 

728543, 728544, 728545, 728546, 728547, 728548, 728549, 728550, 728551, 

728552, 728553, 728554, 728557, 728558, 728559, 728560, 728561, 728562, 

728563, 728564. 

(ii) PW4158 engines .................................... 2 717704, 724001, 724002, 724004, 724005, 724006, 724007, 724008, 724009,

724010, 724011, 724019, 724020, 724031, 724035, 724038, 724039, 724042, 

724043, 724047, 724068, 724069, 724071, 724076, 724077, 724080, 724085, 

724086, 724087, 724092, 724093, 724096, 724097, 724801, 724802, 724803, 

724804, 724805, 724813, 724814, 724819, 724823, 724824, 724825, 724826, 

724828, 724831, 724832, 724843, 724846, 724847, 724851, 724852, 724853, 

724854, 724859, 724860, 724863, 724864, 724867, 724869, 724870, 724871, 

724872, 724873, 724874, 724875, 724876, 724880, 724881, 724882, 724883, 

724884, 724885, 724886, 724887, 724888, 724889, 724890, 724892, 724893, 

724894, 724895, 724896, 724897, 724898, 724899, 724900, 724932, 727315, 

727436, 728501, 728502, 728503, 728504, 728505, 728506, 728507, 728508, 

728509, 728510, 728511, 728515, 728518, 728531, 728532, 728533. 

(iii) PW4156, PW4156A, and PW4158. ...... 3 All others not listed by SN in this Table. 

Engines Used on Boeing Airplanes 

(b) Except as provided in paragraph (g) of 

this AD, within 50 airplane cycles after the 

effective date of this AD, limit the number of 

engines that exceed the engine cycles-sincenew (CSN), engine cycles-since-overhaul 

(CSO), or engine cycles since passing 

Testing-21 (CST) limits listed in the 

following Table 3, to: 

(1) No more than one engine per airplane 

for dual-engine airplanes. 

(2) No more than two engines per airplane 

for three-engine airplanes. 

(3) No more than three engines per airplane 

for four-engine airplanes:

TABLE 3.—ENGINE STAGGER LIMITS FOR BOEING AIRPLANES

Configuration 

designator B747–PW4056 B767–PW4052 B767–PW4056 

B767–PW4060/

PW4060A/PW4060C/

PW4062 

MD–11 PW4460/

PW4462 

A ...................... 1,400 CSN or CSO ..... 3,000 CSN or CSO ..... 1,600 CSN or CSO ..... 900 CSN or CSO ........ 800 CSN or CSO. 

B ...................... 2,100 CSN or CSO ..... 4,400 CSN or CSO ..... 2,800 CSN or CSO ..... 2,000 CSN or CSO ..... 1,200 CSN or CSO. 

C ...................... 2,100 CSN or CSO ..... 4,400 CSN or CSO ..... 2,800 CSN or CSO ..... 2,000 CSN or CSO ..... 1,300 CSN or CSO. 

D ...................... 2,600 CSN or CSO ..... 4,400 CSN or CSO ..... 3,000 CSN or CSO ..... 2,200 CSN or CSO ..... 2,000 CSN or CSO. 

E ...................... 750 CSN or CSO ........ 750 CSN or CSO ........ 750 CSN or CSO ........ 750 CSN or CSO ........ 750 CSN or CSO. 

F ...................... 800 CST ...................... 800 CST ...................... 800 CST ...................... 800 CST ...................... 800 CST. 

(c) Except as provided in paragraph (g) of 

this AD, within 100 airplane cycles after the 

effective date of this AD, limit the number of 

engines that exceed the CSN, CSO, or CST 

limits listed in Table 3, to: 

(1) No more than one engine per airplane 

for three-engine airplanes. 

(2) No more than two engines per airplane 

for four-engine airplanes. 

(d) Within 200 airplane cycles after the 

effective date of this AD, limit the number of 

engines that, exceed the CSN, CSO, or CST 

limits listed in Table 3, to no more than one 

engine per airplane for four-engine airplanes. 

(e) Thereafter, ensure that no more than 

one engine per airplane exceeds the CSN, 

CSO, or CST limit listed in Table 3. 

Engines Used on Airbus Airplanes 

(f) For engines installed on Airbus 

airplanes, do the following: 

(1) Within 50 airplane cycles after the 

effective date of this AD, limit the number of 

engines that exceed, the CSN, CSO, or CST 

limits listed in the following Table 4, to no 

more than one engine per airplane:

Federal Register / Vol. 67, No. 1 / Wednesday, January 2, 2002 / Rules and Regulations 5

TABLE 4.—ENGINE STAGGER LIMITS FOR AIRBUS AIRPLANES

Configuration 

designator 

A310 PW4156 and 

PW4156A and A300 

PW4158 Category 1 

A300 PW4158 Category 2 

A310 PW4156 and 

PW4156A and A300 

PW4158 Category 3 

A310 PW4152 

A ........................ 900 CSN or CSO ............. 1,850 CSN or CSO .......... 500 CSN or CSO ............. 1,050 CSN or CSO 

B ........................ 2,200 CSN or CSO .......... 4,400 CSN or CSO .......... 1,600 CSN or CSO .......... 4,000 CSN or CSO 

C ....................... 2,200 CSN or CSO .......... 4,400 CSN or CSO .......... 1,600 CSN or CSO .......... 4,000 CSN or CSO 

D ....................... 4,400 CSN or CSO .......... 4,400 CSN or CSO .......... 4,400 CSN or CSO .......... 4,400 CSN or CSO 

E ........................ 750 CSN or CSO ............. 750 CSN or CSO ............. 750 CSN or CSO ............. 750 CSN or CSO 

F ........................ 800 CST ........................... 800 CST ........................... 800 CST ........................... 800 CST 

(2) Thereafter, ensure that no more than 

one engine per airplane, that exceeds the 

CSN, CSO, or CST limit listed in Table 4. 

Configuration E Engines 

(g) For all configuration E engines, do the 

following: 

(1) Before further flight, limit the number 

of engines with configuration E from Table 1 

of this AD to one on each airplane. 

(2) Remove all engines with configuration 

E from service before accumulating 1,300 

CSN or cycles-since-conversion to 

configuration E, whichever is later. 

Stability Testing Requirement 

(h) Engines removed from service in 

accordance with paragraphs (b), (c), (d) or (f) 

of this AD may be returned to service under 

the following conditions: 

(l) After passing a cool-engine fuel spike 

stability test (Testing-21) that has been done 

in accordance with one of the following 

PW4000 Engine Manual (EM) Temporary 

Revisions (TR’s) as applicable, except for 

engines configured with Configuration E, or 

engines that have experienced a Group 3 

takeoff surge: 

(i) PW4000 PW EM 50A443, Temporary 

Revision No. 71–0026, dated November 14, 

2001. 

(ii) PW EM 50A822, Temporary Revision 

No. 71–0018, dated November 14, 2001. 

(iii) PW EM 50A605, Temporary Revision 

No. 71–0035, dated November 14, 2001. 

(iv) Engines tested before the effective date 

in accordance with PW IEN 96KC973D, dated 

October 12, 2001, meets the requirements of 

Testing-21, or 

(2) The HPC was replaced with an HPC 

that is new from production with no time in 

service, or 

(3) An engine whose HPC has been 

overhauled, or replaced with an overhauled 

HPC. 

Minimum Build Standard 

(i) For any engine that undergoes an HPC 

overhaul after the effective date of this AD, 

do the following: 

(1) Inspect the HPC mid-hook and rearhook of the HPC inner case for wear in 

accordance with PW4000 Clean, Inspect and 

Repair (CIR) Manual PN 51A357, Section 72–

35–68 Inspection/Check–04, Indexes 8–11, 

revised September 15, 2001. If the HPC rear 

hook is worn beyond serviceable limits, 

replace the HPC inner case rear hook with an 

improved durability hook in accordance with 

PW SB PW4ENG72–714, issued June 27, 

2000. If the HPC inner case mid hook is worn 

beyond serviceable limits, repair the HPC 

inner case mid hook in accordance with any 

revision of PW4000 CIR PN 51A357 Section 

72–35–68, Repair–16, issued June 15, 1996. 

(2) After the effective date of this AD, any 

engine that undergoes an HPC overhaul may 

not be returned to service unless it meets the 

build standard of the following PW SB’s: 

PW4ENG 72–484, PW4ENG 72–486, 

PW4ENG 72–514, and PW4ENG 72–575. 

Engines that incorporate the Phase 3 

configuration already meet the build 

standard defined by PW SB PW4ENG 72–

514. 

(j) After the effective date of this AD, any 

engine that undergoes separation of the HPC 

and HPT modules must not be installed on 

an airplane unless it meets the build standard 

of PW SB PW4ENG 72–514. Engines that 

incorporate the Phase 3 configuration already 

meet the build standard defined by PW SB 

PW4ENG 72–514. 

(k) After the effective date of this AD, 

Testing-21 must be performed in accordance 

with paragraph (h) of this AD, before an 

engine can be returned to service after having 

undergone maintenance in the shop, except 

under any of the following conditions; 

(1) The HPC was overhauled, or replaced 

with an overhauled HPC, or 

(2) The HPC was replaced with an HPC 

that is new from production with no time in 

service, or 

(3) The shop visit did not result in the 

separation of a major engine flange, with the 

exception of the ‘‘A’’ flange or ‘‘T’’ flange. 

(l) When a thrust rating change has been 

made by using the Electronic Engine Control 

(EEC) programming plug, or an installation 

change has been made, during an HPC 

overhaul period, use the lowest cyclic limit 

associated with any configuration used 

during that overhaul period. 

(m) For engines that experience a surge, do 

the following: 

(1) For engines that experience a Group 3 

takeoff surge, remove the engine from service 

and perform an HPC overhaul. 

(2) For engines that experience a surge at 

Engine Pressure Ratios (EPR’s) greater than 

1.25, remove the engine from service within 

25 cycles and perform Testing-21. 

Definitions 

(n) For the purposes of this AD, the 

following definitions apply: 

(1) An HPC overhaul is defined as 

restoration of the HPC stages 5 through 15 

blade tip clearances to the limits specified in 

the applicable fits and clearances section of 

the engine manual. 

(2) A Phase 3 engine is identified by a (-

3) suffix after the engine model number on 

the data plate if incorporated at original 

manufacture, or a ‘‘CN’’ suffix after the 

engine serial number if the engine was 

converted using PW SB’s PW4ENG 72–490, 

PW4ENG 72–504, or PW4ENG 72–572 after 

original manufacture. 

(3) A Group 3 takeoff surge is defined as 

the occurrence of any of the following engine 

symptoms during takeoff operation (either at 

reduced, derated or full rated takeoff power 

setting) after takeoff power set, which can be 

attributed to no specific and correctable fault 

condition after following aircraft level surgeduring-forward-thrust troubleshooting 

procedures: 

(i) Engine noises, including rumblings and 

loud ‘‘bang(s).’’

(ii) Unstable engine parameters (EPR, N1, 

N2, and fuel flow) at a fixed thrust setting. 

(iii) Exhaust gas temperature (EGT) 

increase. 

(iv) Flames from the inlet, the exhaust, or 

both. 

Alternative Methods of Compliance 

(o) An alternative method of compliance or 

adjustment of the compliance time that 

provides an acceptable level of safety may be 

used if approved by the Manager, Engine 

Certification Office (ECO). Operators must 

submit their requests through an appropriate 

FAA Principal Maintenance Inspector, who 

may add comments and then send it to the 

Manager, ECO.

Note 2: Information concerning the 

existence of approved alternative methods of 

compliance with this airworthiness directive, 

if any, may be obtained from the ECO.

Special Flight Permits 

(p) Special flight permits may be issued in 

accordance with §§ 21.197 and 21.199 of the 

Federal Aviation Regulations (14 CFR 21.197 

and 21.199) to operate the airplane to a 

location where the requirements of this AD 

can be done. 

Testing-21 Reports 

(q) Report the results of the cool engine 

fuel spike stability assessment tests (Testing21) to the ANE–142 Branch Manager, Engine 

Certification Office, 12 New England 

Executive Park, Burlington, MA 01803–5299, 

or by electronic mail to 9-ane-surge-adreporting@faa.gov. The following data must 

be reported: 

(1) Engine serial number. 

(2) Engine configuration designation per 

Table 1. 

(3) Date of the cool engine fuel spike 

stability test. 

6 Federal Register / Vol. 67, No. 1 / Wednesday, January 2, 2002 / Rules and Regulations 

1 15 U.S.C. 78bb(e).

2 Investment Advisers Act Release No. 1469 

(February 14, 1995), 60 FR 9750 (February 21, 

1995). In this release, the Commission stated, ‘‘[t]he 

safe harbor does not encompass soft dollar 

arrangements under which research services are 

acquired as a result of principal transactions,’’

adopting a position originally outlined in a 1990 

staff letter, authorized by the Commission, to the 

Department of Labor. See Letter re: Section 28(e) of 

the Securities Exchange Act of 1934 (July 25, 1990). 

See also Investment Company Act Release No. 

20472 (August 11, 1994), 59 FR 42187 (August 17, 

1994).

3See Letter from Hardwick Simmons, Chief 

Executive Officer, The Nasdaq Stock Market, Inc. to 

Harvey L. Pitt, Chairman, Commission, dated 

September 7, 2001.

4See Exchange Act Release Nos. 41208 (March 

24, 1999), 64 FR 15386 (March 31, 1999) (File No. 

SR–NASD–98–59); 41606 (July 8, 1999), 64 FR 

38226 (July 15, 1999) (File No. SR–NASD–98–08); 

43303 (September 19, 2000), 65 FR 57853 

(September 26, 2000) (File No. SR–NASD–00–52). 

These filing amended NASD Rules 4632 (the trade 

reporting rule for Nasdaq National Market 

securities), 4642 (the trade reporting rule for Nasdaq 

SmallCap Market securities), and 6420 (the trade 

reporting rule for eligible securities).

(4) HPC Serial Number, and HPC time and 

cycles since new and since compressor 

overhaul at the time of the test. 

(5) Results of the test (Pass/Fail). 

Documents That Have Been Incorporated by 

Reference 

(r) The inspection shall be done in 

accordance with the following Pratt & 

Whitney service bulletin (SB), Internal 

Engineering Notice (IEN), Temporary 

Revisions (TR’s), Clean, Inspection, and 

Repair Manual (CIR) repair procedures:

Document No. Pages Revision Date 

PW SB PW4ENG72–714 ................................................................... 1–2 .............. 1 .................................................. November 8, 2001. 

3 .................. Original ........................................ June 27, 2000. 

4 .................. 1 .................................................. November 8, 2001

5–12 ............ Original ........................................ June 27, 2000. 

Total pages: 12. 

PW IEN 96KC973D ............................................................................ All ................ Original ........................................ October 12, 2001. 

Total pages: 19. 

PW TR 71–0026 ................................................................................. All ................ Original ........................................ November 14, 2001. 

Total pages: 24. 

PW TR 71–0018 ................................................................................. All ................ Original ........................................ November 14, 2001. 

Total pages: 24. 

PW TR 71–0035 ................................................................................. All ................ Original ........................................ November 14, 2001. 

Total pages: 24. 

PW CIR 51A357, Section 72–35–68, Inspection/Check–04, Indexes 

8–11.

All ................ Original ........................................ September 15, 2001. 

Total pages: 5. 

PW CIR 51A357, Section 72–35–68, Repair 16 ................................ All ................ Original ........................................ June 15, 1996. 

Total pages: 1. 

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. Copies may be obtained 

from Pratt & Whitney, 400 Main St., East 

Hartford, CT 06108, (860)565–6600, fax 

(860)565–4503. Copies may be inspected at 

the FAA, New England Region, Office of the 

Regional Counsel, 12 New England Executive 

Park, Burlington, MA; or at the Office of the 

Federal Register, 800 North Capitol Street, 

NW, suite 700, Washington, DC. 

Effective Date 

(s) This amendment becomes effective on 

January 17, 2002.

Issued in Burlington, Massachusetts, on 

December 12, 2001. 

Robert G. Mann, 

Acting Manager, Engine and Propeller 

Directorate, Aircraft Certification Service.

[FR Doc. 01–31296 Filed 12–31–01; 8:45 am] 

BILLING CODE 4910–13–P

SECURITIES AND EXCHANGE 

COMMISSION 

17 CFR Part 241 

[Release No. 34–45194] 

Commission Guidance on the Scope of 

Section 28(e) of the Exchange Act

AGENCY: Securities and Exchange 

Commission.

ACTION: Interpretation.

SUMMARY: We are publishing 

interpretive guidance on the application 

of Section 28(e) of the Securities 

Exchange Act of 1934 (‘‘Exchange Act’’). 

This section provides a safe harbor to 

money managers who use the 

commission dollars of their advised 

accounts to obtain research and 

brokerage services. The guidance we are 

publishing today clarifies that the term 

‘‘commission’’ for purposes of the 

Section 28(e) safe harbor encompasses, 

among other things, certain transaction 

costs, even if not denominated a 

‘‘commission.’’

EFFECTIVE DATE: The guidance is 

effective on January 2, 2002.

FOR FURTHER INFORMATION CONTACT:

Catherine McGuire, Chief Counsel; 

Joseph Corcoran, Special Counsel, (202) 

942–0073, Office of the Chief Counsel, 

Division of Market Regulation, 

Securities and Exchange Commission, 

450 Fifth Street, NW, Washington, DC 

20549–1001.

SUPPLEMENTARY INFORMATION: 

I. Background 

If money managers use commission 

dollars of their advised accounts to 

obtain research and brokerage services, 

Section 28(e) prevents them from being 

held to have breached a fiduciary duty, 

provided the conditions of the section 

are met.1 Previously, the Commission 

interpreted Section 28(e) to be available 

only for research and brokerage services 

obtained in relation to commissions 

paid to a broker-dealer acting in an 

‘‘agency’’ capacity.2 That interpretation 

prevented money managers from relying 

on the safe harbor for research and 

brokerage services obtained in relation 

to fees charged by market makers when 

they executed transactions in a 

‘‘principal’’ capacity.

The Nasdaq Stock Market, Inc. 

(‘‘Nasdaq’’) asked us to reconsider this 

interpretation of Section 28(e). In 

particular, Nasdaq urged us to interpret 

the Section 28(e) safe harbor to apply 

not just to research and brokerage 

services obtained in relation to 

commissions on agency transactions, 

but also to such services obtained in 

relation to fully and separately 

disclosed fees on certain riskless 

principal transactions effected by 

National Association of Securities 

Dealers, Inc. (‘‘NASD’’) members and 

reported under certain NASD trade 

reporting rules.3 In Nasdaq’s view, the 

recent amendments to its trade reporting 

rules for certain riskless principal 

transactions support a modification of 

the Commission’s interpretation of 

Section 28(e).4