section_id,title_number,title_name,chapter,subchapter,part_number,part_name,subpart,subpart_name,section_number,section_heading,agency,authority,source_citation,amendment_citations,full_text 10:10:2.0.1.1.22.0.135.1,10,Energy,I,,150,PART 150—EXEMPTIONS AND CONTINUED REGULATORY AUTHORITY IN AGREEMENT STATES AND IN OFFSHORE WATERS UNDER SECTION 274,,,,§ 150.1 Purpose.,NRC,,,"[46 FR 44151, Sept. 3, 1981]","The regulations in this part provide certain exemptions to persons in Agreement States from the licensing requirements contained in chapters 6, 7, and 8 of the Act and from the regulations of the Commission imposing requirements upon persons who receive, possess, use or transfer byproduct material, source, or special nuclear material in quantities not sufficient to form a critical mass; and to define activities in Agreement States and in offshore waters over which the regulatory authority of the Commission continues. The provisions of the Act, and regulations of the Commission apply to all persons in Agreement States and in offshore waters engaging in activities over which the regulatory authority of the Commission continues." 10:10:2.0.1.1.22.0.135.2,10,Energy,I,,150,PART 150—EXEMPTIONS AND CONTINUED REGULATORY AUTHORITY IN AGREEMENT STATES AND IN OFFSHORE WATERS UNDER SECTION 274,,,,§ 150.2 Scope.,NRC,,,"[63 FR 1901, Jan. 13, 1998, as amended at 80 FR 63419, Oct. 20, 2015]","The regulations in this part apply to all States that have entered into agreements with the Commission or the Atomic Energy Commission pursuant to subsection 274b of the Act. This part also gives notice to all persons who knowingly provide to any licensee, applicant for a license or certificate or quality assurance program approval, holder of a certificate or quality assurance program approval, contractor, or subcontractor, any components, equipment, materials, or other goods or services that relate to a licensee's, certificate holder's, quality assurance program approval holder's or applicant's activities subject to this part, that they may be individually subject to NRC enforcement action for violation of §§ 30.10, 40.10, 61.9b, 70.10, and 71.8." 10:10:2.0.1.1.22.0.135.3,10,Energy,I,,150,PART 150—EXEMPTIONS AND CONTINUED REGULATORY AUTHORITY IN AGREEMENT STATES AND IN OFFSHORE WATERS UNDER SECTION 274,,,,§ 150.3 Definitions.,NRC,,,"[27 FR 1352, Feb. 14, 1962, as amended at 31 FR 15145, Dec. 2, 1966; 40 FR 8794, Mar. 3, 1975; 44 FR 55327, Sept. 26, 1979; 45 FR 18906, Mar. 24, 1980; 46 FR 44152, Sept. 3, 1981; 57 FR 18394, Apr. 30, 1992; 68 FR 10365, Mar. 5, 2003; 72 FR 55934, Oct. 1, 2007; 73 FR 32464, June 9, 2008]","As used in this part: Act means the Atomic Energy Act of 1954 (68 Stat. 919) including any amendments thereto; Agreement State means any State with which the Commission or the Atomic Energy Commission has entered into an effective agreement under subsection 274b of the Act. Nonagreement State means any other State. Byproduct material means— (1) Any radioactive material (except special nuclear material) yielded in, or made radioactive by, exposure to the radiation incident to the process of producing or using special nuclear material; (2) The tailings or wastes produced by the extraction or concentration of uranium or thorium from ore processed primarily for its source material content, including discrete surface wastes resulting from uranium solution extraction processes. Underground ore bodies depleted by these solution extraction operations do not constitute “byproduct material” within this definition; (3)(i) Any discrete source of radium-226 that is produced, extracted, or converted after extraction, before, on, or after August 8, 2005, for use for a commercial, medical, or research activity; or (ii) Any material that— (A) Has been made radioactive by use of a particle accelerator; and (B) Is produced, extracted, or converted after extraction, before, on, or after August 8, 2005, for use for a commercial, medical, or research activity; and (4) Any discrete source of naturally occurring radioactive material, other than source material, that— (i) The Commission, in consultation with the Administrator of the Environmental Protection Agency, the Secretary of Energy, the Secretary of Homeland Security, and the head of any other appropriate Federal agency, determines would pose a threat similar to the threat posed by a discrete source of radium-226 to the public health and safety or the common defense and security; and (ii) Before, on, or after August 8, 2005, is extracted or converted after extraction for use in a commercial, medical, or research activity. Commission means the Nuclear Regulatory Commission or its duly authorized representatives; Discrete source means a radionuclide that has been processed so that its concentration within a material has been purposely increased for use for commercial, medical, or research activities. Foreign obligations means the commitments entered into by the U.S. Government under Atomic Energy Act (AEA) section 123 agreements for cooperation in the peaceful uses of atomic energy. Imports and exports of material or equipment pursuant to such agreements are subject to these commitments, which in some cases involve an exchange of information on imports, exports, retransfers with foreign governments, peaceful end-use assurances, and other conditions placed on the transfer of the material or equipment. The U.S. Government informs the licensee of obligations attached to material. Government agency means any executive department, commission, independent establishment, corporation, wholly or partly owned by the United States of America which is an instrumentality of the United States, or any board, bureau, division, service, office, officer, authority, administration, or other establishment in the executive branch of the Government. Offshore waters means that area of land and water, beyond Agreement States' Submerged Lands Act jurisdiction, on or above the U.S. Outer Continental Shelf. Person means: (1) Any individual, corporation, partnership, firm, association, trust, estate, public or private institution, group, agency, and State or any political subdivision of any political entity within a State, and any legal successor, representative, agent, or agency of the foregoing other than Government agencies; Production facility means: (1) Any equipment or device determined by rule of the Commission to be capable of the production of special nuclear material in such quantity as to be of significance to the common defense and security, or in such manner as to affect the health and safety of the public, including a uranium enrichment facility; or (2) Any important component part especially designed for such equipment or device as determined by the Commission. Reconciliation means the process of evaluating and comparing licensee reports required under this part to the projected material balances generated by the Nuclear Materials Management and Safeguards System. This process is considered complete when the licensee resolves any differences between the reported and projected balances, including those listed for foreign obligated materials. Source material means: (1) Uranium, thorium, or any other material which is determined by the Commission pursuant to the provisions of section 61 of the Act to be source material; or (2) Ores containing one or more of the foregoing materials, in such concentration as the Commission may by regulation determine from time to time; Special nuclear material means: (1) Plutonium, uranium 233, uranium enriched in the isotope 233 or in the isotope 235, and any other material which the Commission, pursuant to the provisions of section 51 of the Act, determines to be special nuclear material, but does not include source material; or (2) Any material artificially enriched by any of the foregoing but does not include source material; State means any State, the District of Columbia, Puerto Rico, and any territory or possession of the United States; and Utilization facility means: (1) Any equipment or device, except an atomic weapon, determined by rule of the Commission to be capable of making use of special nuclear material in such quantity as to be of significance to the common defense and security, or in such manner as to affect the health and safety of the public, or peculiarly adapted for making use of atomic energy in such quantity as to be of significance to the common defense and security, or in such manner as to affect the health and safety of the public; or (2) Any important component part especially designed for such equipment or device as determined by the Commission. Uranium enrichment facility means: (1) Any facility used for separating the isotopes of uranium or enriching uranium in the isotope 235, except laboratory scale facilities designed or used for experimental or analytical purposes only; or (2) Any equipment or device, or important component part especially designed for such equipment or device, capable of separating the isotopes of uranium or enriching uranium in the isotope 235." 10:10:2.0.1.1.22.0.135.4,10,Energy,I,,150,PART 150—EXEMPTIONS AND CONTINUED REGULATORY AUTHORITY IN AGREEMENT STATES AND IN OFFSHORE WATERS UNDER SECTION 274,,,,§ 150.4 Communications.,NRC,,,"[73 FR 5727, Jan. 31, 2008, as amended at 74 FR 62686, Dec. 1, 2009; 79 FR 75742, Dec. 19, 2014; 80 FR 74982, Dec. 1, 2015]","Except where otherwise specified in this part, all communications and reports concerning the regulations in this part should be sent by mail addressed: ATTN: Document Control Desk, Director, Office of Nuclear Material Safety and Safeguards, and sent either by mail to the U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001; by hand delivery to the NRC's offices at 11555 Rockville Pike, Rockville, Maryland; or, where practicable, by electronic submission, for example, via Electronic Information Exchange, or CD-ROM. Electronic submissions must be made in a manner that enables the NRC to receive, read, authenticate, distribute, and archive the submission, and process and retrieve it a single page at a time. Detailed guidance on making electronic submissions can be obtained by visiting the NRC's Web site at http://www.nrc.gov/site-help/e-submittals.html; by e-mail to MSHD.Resource@nrc.gov; or by writing the Office of Information Services, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The guidance discusses, among other topics, the formats the NRC can accept, the use of electronic signatures, and the treatment of nonpublic information." 10:10:2.0.1.1.22.0.135.5,10,Energy,I,,150,PART 150—EXEMPTIONS AND CONTINUED REGULATORY AUTHORITY IN AGREEMENT STATES AND IN OFFSHORE WATERS UNDER SECTION 274,,,,§ 150.5 Interpretations.,NRC,,,"[27 FR 1352, Feb. 14, 1962, as amended at 90 FR 55634, Dec. 3, 2025]","Except as specifically authorized by the Commission in writing, no interpretation of the meaning of the regulations in this part by an officer or employee of the Commission other than a written interpretation by the General Counsel will be recognized to be binding upon the Commission. This section shall cease to have effect on January 8, 2027, unless the NRC determines that the cessation deadline should be extended to a date not more than 5 years in the future after offering the public an opportunity to provide input on the costs and benefits of this section and considering that input. The NRC will publish a document in the Federal Register announcing its determination and revising or removing this section accordingly." 10:10:2.0.1.1.22.0.136.6,10,Energy,I,,150,PART 150—EXEMPTIONS AND CONTINUED REGULATORY AUTHORITY IN AGREEMENT STATES AND IN OFFSHORE WATERS UNDER SECTION 274,,,,§ 150.7 Persons in offshore waters not exempt.,NRC,,,"[46 FR 44152, Sept. 3, 1981]","Persons in offshore waters are not exempt from the Commission's licensing and regulatory requirements with respect to byproduct, source, and special nuclear materials." 10:10:2.0.1.1.22.0.136.7,10,Energy,I,,150,PART 150—EXEMPTIONS AND CONTINUED REGULATORY AUTHORITY IN AGREEMENT STATES AND IN OFFSHORE WATERS UNDER SECTION 274,,,,§ 150.8 Information collection requirements: OMB approval.,NRC,,,"[49 FR 19629, May 9, 1984, as amended at 62 FR 52190, Oct. 6, 1997; 73 FR 32464, June 9, 2008; 73 FR 78615, Dec. 23, 2008; 74 FR 1872, Jan. 14, 2009]","(a) The Nuclear Regulatory Commission has submitted the information collection requirements contained in this part to the Office of Management and Budget (OMB) for approval as required by the Paperwork Reduction Act (44 U.S.C. 3501 et seq. ). The NRC may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. OMB has approved the information collection requirements contained in this part under control number 3150-0032. (b) The approved information collection requirements contained in this part appear in §§ 150.16, 150.17, 150.17a, 150.19, 150.20, and 150.31. (c) This part contains information collection requirements in addition to those approved under the control number specified in paragraph (a) of this section. These information collection requirements and the control numbers under which they are approved are as follows: (1) In § 150.16, DOE/NRC FORM 741 and its computer-readable format are approved under control number 3150-0003. (2) In § 150.17, DOE/NRC Form 742 and its computer-readable format are approved under control number 3150-0004, and DOE/NRC Form 742C and its computer-readable format are approved under control number 3150-0058. (3) In § 150.17a, Form N-71 and associated forms are approved under OMB control number 3150-0056 and DOC/NRC Forms AP-1 or AP-A and associated forms are approved under OMB control number 0694-0135. (4) In § 150.20, NRC Form 241 is approved under control number 3150-0013." 10:10:2.0.1.1.22.0.137.8,10,Energy,I,,150,PART 150—EXEMPTIONS AND CONTINUED REGULATORY AUTHORITY IN AGREEMENT STATES AND IN OFFSHORE WATERS UNDER SECTION 274,,,,§ 150.10 Persons exempt.,NRC,,,"[37 FR 9208, May 6, 1972, as amended at 45 FR 50718, July 31, 1980; 75 FR 73946, Nov. 30, 2010]","Except as provided in §§ 150.15, 150.16, 150.17, 150.17a, and 150.19, any person in an Agreement State who manufactures, produces, receives, possesses, uses, or transfers byproduct material, source material, or special nuclear material in quantities not sufficient to form a critical mass is exempt from the requirements for a license contained in Chapters 6, 7, and 8 of the Act, regulations of the Commission imposing licensing requirements upon persons who manufacture, produce, receive, possess, use, or transfer such materials, and from regulations of the Commission applicable to licensees. The exemptions in this section do not apply to agencies of the Federal government as defined in § 150.3." 10:10:2.0.1.1.22.0.137.9,10,Energy,I,,150,PART 150—EXEMPTIONS AND CONTINUED REGULATORY AUTHORITY IN AGREEMENT STATES AND IN OFFSHORE WATERS UNDER SECTION 274,,,,§ 150.11 Critical mass.,NRC,,,"[27 FR 1352, Feb. 14, 1962, as amended at 30 FR 12069, Sept. 22, 1965]","(a) For the purposes of this part, special nuclear material in quantities not sufficient to form a critical mass means uranium enriched in the isotope U-235 in quantities not exceeding 350 grams of contained U-235; uranium-233 in quantities not exceeding 200 grams; plutonium in quantities not exceeding 200 grams; or any combination of them in accordance with the following formula: For each kind of special nuclear material, determine the ratio between the quantity of that special nuclear material and the quantity specified above for the same kind of special nuclear material. The sum of such ratios for all kinds of special nuclear materials in combination shall not exceed unity. For example, the following quantities in combination would not exceed the limitation and are within the formula, as follows: (175 (grams contained U-235 / 350) + (50 grams U-233) / 200) + (50 grams Pu / 200) = 1 (b) To determine whether the exemption granted in § 150.10 applies to the receipt, possession or use of special nuclear material at any particular plant or other authorized location of use, a person shall include in the quantity computed according to paragraph (a) of this section the total quantity of special nuclear material which he is authorized to receive, possess or use at the plant or other location of use at any one time." 10:10:2.0.1.1.22.0.138.10,10,Energy,I,,150,PART 150—EXEMPTIONS AND CONTINUED REGULATORY AUTHORITY IN AGREEMENT STATES AND IN OFFSHORE WATERS UNDER SECTION 274,,,,§ 150.14 Commission regulatory authority for physical protection.,NRC,,,"[44 FR 43285, July 24, 1979, as amended at 44 FR 68199, Nov. 28, 1979]","Persons in Agreement States possessing, using or transporting special nuclear material of low strategic significance in quantities greater than 15 grams of plutonium or uranium-233 or uranium-235 (enriched to 20 percent or more in the U-235 isotope) or any combination greater than 15 grams when computed by the equation grams = grams uranium-235 + grams plutonium + grams uranium-233 shall meet the physical protection requirements of § 73.67 of 10 CFR part 73." 10:10:2.0.1.1.22.0.138.11,10,Energy,I,,150,PART 150—EXEMPTIONS AND CONTINUED REGULATORY AUTHORITY IN AGREEMENT STATES AND IN OFFSHORE WATERS UNDER SECTION 274,,,,§ 150.15 Persons not exempt.,NRC,,,"[27 FR 1352, Feb. 14, 1962, as amended at 34 FR 7369, May 7, 1969; 53 FR 31683, Aug. 19, 1988; 66 FR 51843, Oct. 11, 2001; 73 FR 63582, Oct. 24, 2008; 79 FR 58672, Sept. 30, 2014; 87 FR 68032, Nov. 14, 2022]","(a) Persons in agreement States are not exempt from the Commission's licensing and regulatory requirements with respect to the following activities: (1) The construction and operation of any production or utilization facility. As used in this subparagraph, operation of a facility includes, but is not limited to (i) the storage and handling of radioactive wastes at the facility site by the person licensed to operate the facility, and (ii) the discharge of radioactive effluents from the facility site. (2) The export from or import into the United States of byproduct, source, or special nuclear material, or of any production or utilization facility. (3) The disposal into the ocean or sea of byproduct, source, or special nuclear waste materials, as defined in regulations or orders of the Commission. For purposes of this part, ocean or sea means any part of the territorial waters of the United States and any part of the international waters. (4) The transfer, storage or disposal of radioactive waste material resulting from the separation in a production facility of special nuclear material from irradiated nuclear reactor fuel. This subparagraph does not apply to the transfer, storage or disposal of contaminated equipment. (5) The disposal of such other byproduct, source, or special nuclear material as the Commission determines by regulation or order should, because of the hazards or potential hazards thereof, not be so disposed of without a license from the Commission. (6) The transfer of possession or control by the manufacturer, processor, or producer of any equipment, device, commodity, or other product containing source material or byproduct material whose subsequent possession, use, transfer, and disposal by all other persons are exempted from licensing and regulatory requirements of the Commission under Parts 30 and 40 of this chapter. (7) The storage of: (i) Spent fuel in an independent spent fuel storage installation (ISFSI) licensed under part 72 of this chapter, (ii) Spent fuel and high-level radioactive waste in a monitored retrievable storage installation (MRS) licensed under part 72 of this chapter, or (iii) Greater than Class C waste, as defined in part 72 of this chapter, in an ISFSI or an MRS licensed under part 72 of this chapter; the GTCC waste must originate in, or be used by, a facility licensed under part 50 or 52 of this chapter. (8) Greater than Class C waste, as defined in part 72 of this chapter, that originates in, or is used by, a facility licensed under part 50 or part 52 of this chapter and is licensed under part 30 and/or part 70 of this chapter. (9) The requirements for the protection of Safeguards information in § 73.21 of this chapter and the requirements in § 73.22 or § 73.23 of this chapter, as applicable. (b) Notwithstanding any exemptions provided in this part, the Commission may from time to time by rule, regulation, or order, require that the manufacturer, processor, or producer of any equipment, device, commodity, or other product containing source, byproduct, or special nuclear material shall not transfer possession or control of such product except pursuant to a license or an exemption from licensing issued by the Commission." 10:10:2.0.1.1.22.0.138.12,10,Energy,I,,150,PART 150—EXEMPTIONS AND CONTINUED REGULATORY AUTHORITY IN AGREEMENT STATES AND IN OFFSHORE WATERS UNDER SECTION 274,,,,§ 150.15a Continued Commission authority pertaining to byproduct material.,NRC,,,"[45 FR 65536, Oct. 3, 1980, as amended at 80 FR 74982, Dec. 1, 2015]","(a) Prior to the termination of any Agreement State license for byproduct material as defined in § 150.3(c)(2) of this part, or for any activity that results in the production of such material, the Commission shall have made a determination that all applicable standards and requirements pertaining to such material have been met. (b) After November 8, 1981, the Commission reserves the authority to establish minimum standards regarding reclamation, long term surveillance ( i.e. , continued site observation, monitoring and, where necessary, maintenance), and ownership of byproduct material as defined in § 150.3(c)(2) of this part and of land used as a disposal site for such material. Such reserved authority includes: (1) Authority to establish such terms and conditions as the Commission determines necessary to assure that, prior to termination of any license for byproduct material as defined in § 150.3(c)(2) of this part, or for any activity that results in the production of such material, the licensee shall comply with decontamination, decommissioning, and reclamation standards prescribed by the Commission; and with ownership requirements for such materials and its disposal site; (2) The authority to require that prior to termination of any license for byproduct material as defined in § 150.3(c)(2) of this part, or for any activity that results in the production of such material, that title to such byproduct material and its disposal site be transferred to the United States or the State in which such material and land is located, at the option of the State (provided such option is exercised prior to termination of the license); (3) The authority to permit use of the surface or subsurface estates, or both, of the land transferred to the United States or a State pursuant to paragraph (b)(2) of this section in a manner consistent with the provisions of the Uranium Mill Tailings Radiation Control Act of 1978, provided that the Commission determines that such use would not endanger the public health, safety, welfare, or the environment; (4) The authority to require, in the case of a license for any activity that produces such byproduct material (which license was in effect on November 8, 1981) transfer of land and material pursuant to paragraph (b)(2), of this section, taking into consideration the status of such material and land and interests therein, and the ability of the licensee to transfer title and custody thereof to the United States or a State. (5) The authority to require the Secretary of the Department of Energy, other Federal agency, or State, whichever has custody of such property and materials, to undertake such monitoring, maintenance and emergency measures as are necessary to protect the public health and safety and other actions at the Commission deems necessary to comply with the standards promulgated pursuant to the Uranium Mill Tailings Radiation Control Act of 1978; and (6) The authority to enter into arrangements as may be appropriate to assure Federal long term surveillance ( i.e. , continued site observation, monitoring, and where necessary, maintenance) of such disposal sites on land held in trust by the United States for any Indian Tribe or land owned by an Indian Tribe and subject to a restriction against alienation imposed by the United States." 10:10:2.0.1.1.22.0.139.13,10,Energy,I,,150,PART 150—EXEMPTIONS AND CONTINUED REGULATORY AUTHORITY IN AGREEMENT STATES AND IN OFFSHORE WATERS UNDER SECTION 274,,,,§ 150.16 Submission to Commission of nuclear material transaction reports.,NRC,,,"[39 FR 39559, Nov. 8, 1974, as amended at 41 FR 16447, Apr. 19, 1976; 52 FR 31613, Aug. 21, 1987; 59 FR 35622, July 13, 1994; 68 FR 58825, Oct. 10, 2003; 73 FR 5727, Jan. 31, 2008; 73 FR 32464, June 9, 2008; 79 FR 75742, Dec. 19, 2014; 84 FR 65646, Nov. 29, 2019]","(a)(1) Each person who transfers or receives special nuclear material in a quantity of one gram or more of contained uranium-235, uranium-233, or plutonium under an Agreement State license shall complete and submit in computer-readable format Nuclear Material Transaction Reports as specified in the instructions in NUREG/BR-0006 and NMMSS Report D-24, “Personal Computer Data Input for NRC Licensees.” In addition, each person who adjusts the inventory in any manner, other than for transfers and receipts, shall submit in computer-readable format Nuclear Material Transaction Reports as specified in the instructions in NUREG/BR-0006 and NMMSS Report D-24, “Personal Computer Data Input for NRC Licensees.” Each licensee who receives special nuclear material in a quantity of one gram or more of contained uranium-235, uranium-233, or plutonium from a foreign source, or who ships special nuclear material in a quantity of one gram or more of contained uranium-235, uranium-233, or plutonium to a foreign source, shall submit the licensee portion of this information as specified in the instructions in this part. The applicable foreign facility portion of the form must be completed and submitted for imports. The foreign facility portion of the form must be completed for exports only if a significant shipper-receiver difference as described in §§ 74.31, 74.43, or 74.59 of this part, as applicable, is identified. Each person who transfers the material shall submit a Nuclear Material Transaction Report in computer-readable format as specified in the instructions no later than the close of business the next working day. Each person who receives special nuclear material shall submit a Nuclear Material Transaction Report in the computer-readable format as specified in the instructions within ten (10) days after the special nuclear material is received. Copies of these instructions may be obtained either by writing to the U.S. Nuclear Regulatory Commission, Division of Fuel Management, Washington, DC 20555-0001, or by e-mail to RidsNmssFcss@nrc.gov. These prescribed computer-readable formats replace the DOE/NRC Form 741 which have been previously submitted in paper form. (2) Except as specified in §§ 150.17(d) and 150.17a, each person who, under an Agreement State specific license transfers, receives, or adjusts the inventory in any manner, of uranium or thorium source material with foreign obligations by one kilogram or more; imports or exports one kilogram or more of uranium or thorium source material; or uses one kilogram or more of any uranium or thorium source material in enrichment services, downblending uranium that has an initial enrichment of the U 235 isotope of 10 percent or more, or in the fabrication of mixed-oxide fuels, shall complete and submit in computer-readable format Nuclear Material Transaction Reports as specified in the instructions in NUREG/BR-0006 and NMMSS Report D-24, “Personal Computer Data Input for NRC Licensees.” Each person who, under an Agreement State specific license exports one kilogram or more of uranium or thorium source material shall complete in the format listed above the licensee's portion of the Nuclear Material Transaction Report unless there is indication of loss, theft, or diversion as discussed in § 40.64(c)(1) of this chapter is identified, in which case both the licensee's and the foreign facility's information shall be reported. For imports, the shipper's portion of the form must also be completed. Copies of the instructions may be obtained either by writing to the U.S. Nuclear Regulatory Commission, Division of Fuel Management, Washington, DC 20555-0001, or by e-mail to RidsNmssFcss@nrc.gov. Each licensee who transfers the material shall submit a Nuclear Material Transaction Report in computer-readable format as specified in the instructions no later than the close of business the next working day. Each licensee who receives the material shall submit a Nuclear Material Transaction Report in computer-readable format in accordance with instructions within ten (10) days after the material is received. The Commission's copy of the report must be submitted to the address specified in the instructions. These prescribed computer-readable forms replace the DOE/NRC Form 741 which have been previously submitted in paper form. (b)(1) Each person who, pursuant to an Agreement State License, possesses 1 gram or more of contained uranium-235, uranium-233, or plutonium shall report immediately to the Regional Administrator of the appropriate NRC Regional Office listed in appendix A of part 73 of this chapter, by telephone, any theft or other unlawful diversion of special nuclear material which the licensee is licensed to possess or any incident in which an attempt has been made, or is believed to have been made, to commit a theft or unlawful diversion of special nuclear material. (2) Within 15 days, the licensee shall follow the initial report with a written report that sets forth the details of the incident. The report must be sent by an appropriate method listed in § 150.4 to the Director, Office of Nuclear Material Safety and Safeguards, with a copy to the appropriate NRC Regional Office, shown in appendix A to part 73 of this chapter. (3) Subsequent to the submission of the written report required by this paragraph, each licensee shall promptly inform the Regional Administrator of the appropriate NRC Regional Office by means of a written report of any substantive additional information which becomes available to the licensee concerning an attempted or apparent theft or unlawful diversion of special nuclear material." 10:10:2.0.1.1.22.0.139.14,10,Energy,I,,150,PART 150—EXEMPTIONS AND CONTINUED REGULATORY AUTHORITY IN AGREEMENT STATES AND IN OFFSHORE WATERS UNDER SECTION 274,,,,§ 150.17 Submission to Commission of nuclear material status reports.,NRC,,,"[35 FR 12196, July 30, 1970, as amended at 36 FR 10938, June 5, 1971; 41 FR 16448, Apr. 19, 1976; 49 FR 24708, June 15, 1984; 51 FR 9767, Mar. 21, 1986; 52 FR 31613, Aug. 21, 1987; 59 FR 35622, July 13, 1994; 60 FR 24553, May 9, 1995; 68 FR 10365, Mar. 5, 2003; 68 FR 58825, Oct. 10, 2003; 73 FR 32465, June 9, 2008; 74 FR 62686, Dec. 1, 2009; 75 FR 73946, Nov. 30, 2010; 79 FR 75742, Dec. 19, 2014; 84 FR 65646, Nov. 29, 2019]","(a) Except as specified in paragraph (d) of this section and § 150.17a, each person possessing, or who had possessed in the previous reporting period, at any one time and location, under an Agreement State license, special nuclear material in a quantity totaling one gram or more of contained uranium-235, uranium-233, or plutonium, shall complete and submit, in computer-readable format Material Balance Reports concerning special nuclear material that the licensee has received, produced, possessed, transferred, consumed, disposed of, or lost. This prescribed computer-readable report replaces the DOE/NRC Form 742 which has been previously submitted in paper form. The Physical Inventory Listing Report must be submitted with each Material Balance Report. This prescribed computer-readable report replaces the DOE/NRC Form 742C which has been previously submitted in paper form. Each licensee shall prepare and submit the reports described in this paragraph as specified in the instructions in NUREG/BR-0007 and NMMSS Report D-24 “Personal Computer Data Input for NRC Licensees.” Copies of these instructions may be obtained from the U.S. Nuclear Regulatory Commission, Division of Fuel Management, Washington, DC 20555-0001, or by e-mail to RidsNmssFcss@nrc.gov. Each person subject to this requirement shall submit a report no later than March 31 of each year. The Commission may, when good cause is shown, permit a licensee to submit Material Balance Reports and Physical Inventory Listing Reports at other times. Each licensee required to report material balance, and inventory information, as described in this part, shall resolve any discrepancies identified during the report review and reconciliation process within 30 calendar days of notification of a discrepancy identified by NRC. (b) Except as specified in paragraph (d) of this section and § 150.17a, each person possessing, or who had possessed in the previous reporting period, at any one time and location, under an Agreement State license: (1) One kilogram or more of uranium or thorium source material with foreign obligations, shall document holdings as of September 30 of each year and submit to the Commission within 30 days. Alternatively, these reports may be submitted with the licensee's material status reports on special nuclear material filed under part 72 or 74 of this chapter. This statement must be submitted to the address specified in the reporting instructions in NUREG/BR-0007, and include the Reporting Identification Symbol (RIS) assigned by the Commission. (2) One kilogram or more of uranium or thorium source material in the operation of enrichment services, downblending uranium that has an initial enrichment of the U 235 isotope of 10 percent or more, or in the fabrication of mixed-oxide fuels shall complete and submit, in computer-readable format, Material Balance and Physical Inventory Listing Reports concerning source material that the licensee has received, produced, possessed, transferred, consumed, disposed, or lost. Reports must be submitted for each Reporting Identification Symbol (RIS) account including all holding accounts. Each licensee shall prepare and submit these reports as specified in the instructions in NUREG/BR-0007 and NMMSS Report D-24, “Personal Computer Data Input for NRC Licensees.” These reports must document holdings as of September 30 of each year and submitted to the Commission within 30 days. Alternatively, these reports may be submitted with the licensee's material status reports on special nuclear material filed under part 72 or 74 of this chapter. Copies of the reporting instructions may be obtained by writing to the U.S. Nuclear Regulatory Commission, Division of Fuel Management, Washington, DC 20555-0001, or by e-mail to RidsNmssFcss@nrc.gov. Each licensee required to report material balance, and inventory information, as described in this part, shall resolve any discrepancies identified during the report review and reconciliation process within 30 calendar days of the notification of a discrepancy identified by the NRC. (c)(1) Except as specified in paragraph (d) of this section, each licensee who is authorized to possess uranium or thorium pursuant to a specific license shall notify the NRC Headquarters Operations Center by telephone, at the numbers listed in appendix A to part 73 of this chapter, of any incident in which an attempt has been made or is believed to have been made to commit a theft or unlawful diversion of more than 6.8 kilograms (kg) [15 pounds] of such material at any one time or more than 68 kg [150 pounds] of such material in any one calendar year. (2) The licensee shall notify the NRC as soon as possible, but within 4 hours, of discovery of any incident in which an attempt has been made or is believed to have been made to commit a theft or unlawful diversion of such material. (3) The initial notification shall be followed within a period of sixty (60) days by a written followup notification submitted in accordance with § 150.4. A copy of the written followup notification shall also be sent to the appropriate NRC Regional Office as shown in appendix A to part 73 of this chapter and to Director, Division of Security Policy, Office of Nuclear Security and Incident Response, U.S. Nuclear Regulatory Commission. (4) Subsequent to the submission of the written followup notification required by this paragraph, the licensee shall promptly update the written followup notification, in accordance with this paragraph, with any substantive additional information, which becomes available to the licensee, concerning an attempted or apparent theft or unlawful diversion of source material. (d) The reports described in paragraphs (a), (b), and (c) of this section are not required for: (1) Processed ores containing less than five (5) percent of uranium or thorium, or any combination of uranium and thorium, by dry weight; (2) Thorium contained in magnesium-thorium and tungsten-thorium alloys, if the thorium content in the alloys does not exceed 4 percent by weight; (3) Chemical catalysts containing uranium depleted in the U-235 isotope to 0.4 percent or less, if the uranium content of the catalyst does not exceed 15 percent by weight; or (4) Any source material contained in non-nuclear end use devices or components, including but not limited to permanently installed shielding, teletherapy, radiography, X-ray, accelerator devices, or munitions." 10:10:2.0.1.1.22.0.139.15,10,Energy,I,,150,PART 150—EXEMPTIONS AND CONTINUED REGULATORY AUTHORITY IN AGREEMENT STATES AND IN OFFSHORE WATERS UNDER SECTION 274,,,,§ 150.17a Compliance with requirements of US/IAEA Safeguards Agreement.,NRC,,,"[73 FR 78615, Dec. 23, 2008]","(a) For purposes of this section, the terms facility, location , and Eligible Facilities List have the meanings set forth in § 75.4 of this chapter. (b) Each person who, under an Agreement State license, is authorized to possess byproduct, source, or special nuclear material is subject to the provisions of Part 75 of this chapter and shall comply with its applicable provisions. However, regarding these persons, the Commission will issue orders under section 274m of the Act instead of making license amendments; and, to the extent Part 75 of this chapter refers to license amendments and license conditions, these references shall be deemed, for purposes of this paragraph, to refer to orders under section 274m of the Act. (c)(1) In response to a written request by the Commission, each applicant for an Agreement State license or certificate, and each recipient of an Agreement State license or certificate shall submit facility information, as described in § 75.10 of this chapter, on Form N-71 and associated forms, and site information on DOC/NRC Form AP-A and associated forms; (2) As required by the Additional Protocol, shall submit location information described in § 75.11 of this chapter on DOC/NRC Form AP-1 and associated forms; and (3) Shall permit verification thereof by the International Atomic Energy Agency (IAEA); and shall take other action as may be necessary to implement the US/IAEA Safeguards Agreement, as described in Part 75 of this chapter. (d) In response to a written request by the Commission, each applicant for an Agreement State license or certificate, and each recipient of an Agreement State license or certificate shall submit facility information, as described in § 75.10 of this chapter, on Form N-71 and associated forms, and site information on DOC/NRC Form AP-A and associated forms; shall submit location information described in § 75.11 of this chapter on DOC/NRC Form AP-1 or AP-A and associated forms; shall permit verification thereof by the International Atomic Energy Agency (IAEA); and shall take other action as may be necessary to implement the US/IAEA Safeguards Agreement, as described in part 75 of this chapter." 10:10:2.0.1.1.22.0.139.16,10,Energy,I,,150,PART 150—EXEMPTIONS AND CONTINUED REGULATORY AUTHORITY IN AGREEMENT STATES AND IN OFFSHORE WATERS UNDER SECTION 274,,,,§ 150.19 Submission to Commission of tritium reports.,NRC,,,"[37 FR 9208, May 6, 1972, as amended at 41 FR 16448, Apr. 19, 1976; 46 FR 55085, Nov. 6, 1981; 49 FR 24708, June 15, 1984; 52 FR 31613, Aug. 21, 1987; 68 FR 58825, Oct. 10, 2003; 73 FR 5727, Jan. 31, 2008; 79 FR 75742, Dec. 19, 2014]","(a)-(b) [Reserved] (c) Except as specified in paragraph (d) of this section, each person who, pursuant to an Agreement State license, is authorized to possess tritium shall report promptly to the appropriate NRC Regional Office as shown in appendix D of part 20 of this chapter by telephone and telegraph, mailgram, or facsimile any incident in which an attempt has been made or is believed to have been made to commit a theft or unlawful diversion of more than 10 curies of such material at any one time or 100 curies of such material in any one calendar year. The initial report must be followed within a period of fifteen days by a written report that sets forth the details of the incident and its consequences. The report must be submitted to the Director, Office of Nuclear material Safety and Safeguards, using an appropriate method listed in § 150.4, with a copy to the appropriate NRC Regional Office as shown in appendix A to part 73 of this chapter. Subsequent to the submission of the written report required by this paragraph, each person subject to the provisions of this paragraph shall promptly inform the appropriate NRC Regional Office by means of a written report of any substantive additional information, which becomes available to such person, concerning an attempted or apparent theft or unlawful diversion of tritium. (d) The reports described in this section are not required for tritium possessed pursuant to a general license issued pursuant to regulations of an Agreement State equivalent to part 31 of this chapter or for tritium in spent fuel." 10:10:2.0.1.1.22.0.140.17,10,Energy,I,,150,PART 150—EXEMPTIONS AND CONTINUED REGULATORY AUTHORITY IN AGREEMENT STATES AND IN OFFSHORE WATERS UNDER SECTION 274,,,,§ 150.20 Recognition of Agreement State licenses.,NRC,,,"[35 FR 7725, May 20, 1970]","(a)(1) Provided that the provisions of paragraph (b) of this section have been met, any person who holds a specific license from an Agreement State, where the licensee maintains an office for directing the licensed activity and retaining radiation safety records, is granted a general license to conduct the same activity in— (i) Non-Agreement States; (ii) Areas of Exclusive Federal jurisdiction within Agreement States; and (iii) Offshore waters. (2) The provisions of paragraph (a)(1) of this section do not apply if the specific Agreement State license limits the authorized activity to a specific installation or location. (b) Notwithstanding any provision to the contrary in any specific license issued by an Agreement State to a person engaging in activities in a non-Agreement State, in an area of exclusive Federal jurisdiction within an Agreement State, or in offshore waters under the general licenses provided in this section, the general licenses provided in this section are subject to all the provisions of the Act, now or hereafter in effect, and to all applicable rules, regulations, and orders of the Commission including the provisions of §§ 30.7(a) through (f), 30.9, 30.10, 30.34, 30.41, and 30.51 through 30.63 of this chapter; §§ 40.7(a) through (f), 40.9, 40.10, 40.41, 40.51, 40.61 through 40.63, 40.71, and 40.81 of this chapter; §§ 70.7(a) through (f), 70.9, 70.10, 70.32, 70.42, 70.52, 70.55, 70.56, 70.60 through 70.62 of this chapter; §§ 74.11, 74.15, and 74.19 of this chapter; and to the provisions of 10 CFR parts 19, 20 and 71 and subparts C through H of part 34, §§ 39.15 and 39.31 through 39.77 of this chapter. In addition, any person engaging in activities in non-Agreement States, in areas of exclusive Federal jurisdiction within Agreement States, or in offshore waters under the general licenses provided in this section: (1) Shall, at least 3 days before engaging in each activity for the first time in a calendar year, file a submittal containing an NRC Form 241, “Report of Proposed Activities in Non-Agreement States,” a copy of its Agreement State specific license, and the appropriate fee as prescribed in § 170.31 of this chapter with the Regional Administrator of the U.S. Nuclear Regulatory Commission Regional Office listed on the NRC Form 241 and in appendix D to part 20 of this chapter for the Region in which the Agreement State that issued the license is located. If a submittal cannot be filed 3 days before engaging in activities under reciprocity, because of an emergency or other reason, the Regional Administrator may waive the 3-day time requirement provided the licensee: (i) Informs the Region by telephone, facsimile, an NRC Form 241, or a letter of initial activities or revisions to the information submitted on the initial NRC Form 241; (ii) Receives oral or written authorization for the activity from the region; and (iii) Within 3 days after the notification, files an NRC Form 241, a copy of the Agreement State license, and the fee payment. (2) Shall file an amended NRC Form 241 or letter with the Regional Administrator to request approval for changes in work locations, radioactive material, or work activities different from the information contained on the initial NRC Form 241. (3) Shall not, in any non-Agreement State, in an area of exclusive Federal jurisdiction within an Agreement State, or in offshore waters, transfer or dispose of radioactive material possessed or used under the general licenses provided in this section, except by transfer to a person who is specifically licensed by the Commission to receive this material. (4) Shall not, under the general license concerning activities in non-Agreement States or in areas of exclusive Federal jurisdiction within Agreement States, possess or use radioactive materials, or engage in the activities authorized in paragraph (a) of this section, for more than 180 days in any calendar year, except that the general license in paragraph (a) of this section concerning activities in offshore waters authorizes that person to possess or use radioactive materials, or engage in the activities authorized, for an unlimited period of time. (5) Shall comply with all terms and conditions of the specific license issued by an Agreement State except such terms or conditions as are contrary to the requirements of this section." 10:10:2.0.1.1.22.0.140.18,10,Energy,I,,150,PART 150—EXEMPTIONS AND CONTINUED REGULATORY AUTHORITY IN AGREEMENT STATES AND IN OFFSHORE WATERS UNDER SECTION 274,,,,§ 150.21 Transportation of special nuclear material by aircraft.,NRC,,,"[38 FR 3039, Feb. 1, 1973]",Except as specifically approved by the Commission no shipment of special nuclear material in excess of 20 grams or 20 curies whichever is less of plutonium or uranium-233 shall be made by a licensee of an Agreement State in passenger aircraft. 10:10:2.0.1.1.22.0.141.19,10,Energy,I,,150,PART 150—EXEMPTIONS AND CONTINUED REGULATORY AUTHORITY IN AGREEMENT STATES AND IN OFFSHORE WATERS UNDER SECTION 274,,,,§ 150.30 Violations.,NRC,,,"[57 FR 55081, Nov. 24, 1992]","(a) The Commission may obtain an injunction or other court order to prevent a violation of the provisions of— (1) The Atomic Energy Act of 1954, as amended; (2) Title II of the Energy Reorganization Act of 1974, as amended; or (3) A regulation or order issued pursuant to those Acts. (b) The Commission may obtain a court order for the payment of a civil penalty imposed under section 234 of the Atomic Energy Act: (1) For violations of— (i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of the Atomic Energy Act of 1954, as amended; (ii) Section 206 of the Energy Reorganization Act; (iii) Any rule, regulation, or order issued pursuant to the sections specified in paragraph (b)(1)(i) of this section; (iv) Any term, condition, or limitation of any license issued under the sections specified in paragraph (b)(1)(i) of this section. (2) For any violation for which a license may be revoked under section 186 of the Atomic Energy Act of 1954, as amended." 10:10:2.0.1.1.22.0.141.20,10,Energy,I,,150,PART 150—EXEMPTIONS AND CONTINUED REGULATORY AUTHORITY IN AGREEMENT STATES AND IN OFFSHORE WATERS UNDER SECTION 274,,,,§ 150.31 Requirements for Agreement State regulation of byproduct material.,NRC,,,"[45 FR 65537, Oct. 3, 1980; 50 FR 41866, Oct. 16, 1985, as amended at 76 FR 56966, Sept. 15, 2011]","(a) Prior to November 8, 1981, in the licensing and regulation of byproduct material, as defined in § 150.3(c)(2) of this part, or of any activity which results in the production of such byproduct material, an Agreement State shall require compliance with the requirements in appendix A of 10 CFR part 40 of this chapter to the maximum extent practicable. (b) After November 8, 1981, in the licensing and regulation of byproduct material, as defined in § 150.3(c)(2) of this part, or of any activity which results in the production of such byproduct material, an Agreement State shall require: (1) Compliance with requirements in appendix A of 10 CFR part 40 of this chapter established by the Commission pertaining to ownership of such byproduct material and disposal sites for such material; and (2) Compliance with standards which shall be adopted by the Agreement State for the protection of the public health, safety, and the environment from hazards associated with such material which are equivalent, to the extent practicable, or more stringent than, standards in appendix A of 10 CFR part 40 of this chapter adopted and enforced by the Commission for the same purposes, including requirements and standards subsequently promulgated by the Commission and the Administrator of the Environmental Protection Agency pursuant to the Uranium Mill Tailing Radiation Control Act of 1978; and (3) Compliance with procedures which: (i) In the case of licenses, under State law include: (A) An opportunity, after public notice, for written comments and a public hearing, with a transcript; (B) An opportunity for cross examination; and (C) A written determination by the appropriate State official which is based upon findings included in such determination and upon the evidence presented during the public comment period and which is subject to judicial review; (ii) In the case of rulemaking, provide an opportunity for public participation through written comments or a public hearing and provide for judicial review of the rule; (iii) Require for each licensing action which has a significant impact on the human environment a written analysis by the appropriate State agency (which shall be available to the public before the commencement of any such proceedings) of the impact of such licensing action, including any activities conducted pursuant thereto, on the environment. Such analysis shall include: (A) An assessment of the radiological and nonradiological impacts to the public health of the activities to be conducted pursuant to such licenses; (B) An assessment of any impact on any waterway and groundwater resulting from such activities; (C) Consideration of alternatives, including alternative sites and engineering methods, to the activities to be conducted pursuant to such license; and (D) Consideration of the long term impacts, including decommissioning, decontamination, and reclamation impacts associated with activities to be conducted pursuant to such license, including the management of any byproduct material, as defined in § 150.3(c)(2) of this part; and (iv) Prohibit commencement of construction with respect to such material prior to complying with the provisions of paragraph (b)(3)(iii) of this section. As used in this paragraph: (A) The term commencement of construction means taking any action defined as “construction” or any other activity at the site of a facility subject to the regulations in this part that has a reasonable nexus to radiological health and safety. (B) The term construction means the installation of foundations, or in-place assembly, erection, fabrication, or testing for any structure, system, or component of a facility or activity subject to the regulations in this part that have a reasonable nexus to radiological safety or security. The term “construction” does not include: ( 1 ) Changes for temporary use of the land for public recreational purposes; ( 2 ) Site exploration, including necessary borings to determine foundation conditions or other preconstruction monitoring to establish background information related to the suitability of the site, the environmental impacts of construction or operation, or the protection of environmental values; ( 3 ) Preparation of the site for construction of the facility, including clearing of the site, grading, installation of drainage, erosion and other environmental mitigation measures, and construction of temporary roads and borrow areas; ( 4 ) Erection of fences and other access control measures that are not related to the safe use of or security of radiological materials subject to this part; ( 5 ) Excavation; ( 6 ) Erection of support buildings (e.g., construction equipment storage sheds, warehouse and shop facilities, utilities, concrete mixing plants, docking and unloading facilities, and office buildings) for use in connection with the construction of the facility; ( 7 ) Building of service facilities (e.g., paved roads, parking lots, railroad spurs, exterior utility and lighting systems, potable water systems, sanitary sewerage treatment facilities, and transmission lines); ( 8 ) Procurement or fabrication of components or portions of the proposed facility occurring at other than the final, in-place location at the facility; or ( 9 ) Taking any other action which has no reasonable nexus to radiological health and safety. (c) No Agreement State shall be required under paragraph (b) to conduct proceedings concerning any license or regulation which would duplicate proceedings conducted by the Commission. (d) In adopting requirements pursuant to paragraph (b)(2) of this section, the State may adopt alternatives (including, where appropriate, site-specific alternatives) to the requirements adopted and enforced by the Commission for the same purpose if, after notice and opportunity for public hearing, the Commission determines that the alternatives will achieve a level of stabilization and containment of the sites concerned, and a level of protection for public health, safety and the environment from radiological and nonradiological hazards associated with the sites, which is equivalent to, to the extent practicable, or more stringent than the level which would be achieved by standards and requirements adopted and enforced by the Commission for the same purpose and any final standards promulgated by the Administrator of the Environmental Protection Agency in accordance with section 275. Alternative State requirements may take into account local or regional conditions, including geology, topography, hydrology and meteorology." 10:10:2.0.1.1.22.0.141.21,10,Energy,I,,150,PART 150—EXEMPTIONS AND CONTINUED REGULATORY AUTHORITY IN AGREEMENT STATES AND IN OFFSHORE WATERS UNDER SECTION 274,,,,§ 150.32 Funds for reclamation or maintenance of byproduct material.,NRC,,,"[45 FR 65537, Oct. 3, 1980; 48 FR 40882, Sept. 12, 1983]","(a) The total amount of funds an Agreement State collects, pursuant to a license for byproduct material as defined in § 150.3(c)(2) of this part or for any activity that results in the production of such material, for reclamation or long term maintenance and monitoring of such material, shall after November 8, 1981, be transferred to the United States if title and custody of such material and its disposal site is transferred to the United States upon termination of such license. Such funds include, but are not limited to, sums collected for long term surveillance ( i.e. , continued site observation, monitoring and, where necessary, maintenance). Such funds do not however, include monies held as surety where no default has occurred and the reclamation or other bonded activity has been performed. (b) If an Agreement State requires such payments for reclamation or long term surveillance ( i.e. , continued site observation, monitoring and, where necessary, maintenance), the payments must, after November 8, 1981, be sufficient to ensure compliance with those standards established by the Commission pertaining to bonds, sureties, and financial arrangements to ensure adequate reclamation and long term management of such byproduct material and its disposal site." 10:10:2.0.1.1.22.0.141.22,10,Energy,I,,150,PART 150—EXEMPTIONS AND CONTINUED REGULATORY AUTHORITY IN AGREEMENT STATES AND IN OFFSHORE WATERS UNDER SECTION 274,,,,§ 150.33 Criminal penalties.,NRC,,,"[57 FR 55081, Nov. 24, 1992]","(a) Section 223 of the Atomic Energy Act of 1954, as amended, provides for criminal sanctions for willful violation of, attempted violation of, or conspiracy to violate, any regulation issued under sections 161b, 161i, or 161o of the Act. For purposes of section 223, all the regulations in part 150 are issued under one or more of sections 161b, 161i, or 161o, except for sections listed in paragraph (b) of this section. (b) The regulations in part 150 that are not issued under sections 161b, 161i, or 161o for the purposes of section 223 are as follows: §§ 150.1, 150.2, 150.3, 150.4, 150.5, 150.7, 150.8, 150.10, 150.11, 150.15, 150.15a, 150.30, 150.31, 150.32, and 150.33." 14:14:3.0.1.3.22.1.3.1,14,Aeronautics and Space,I,I,150,PART 150—AIRPORT NOISE COMPATIBILITY PLANNING,A,Subpart A—General Provisions,,§ 150.1 Scope and purpose.,FAA,,,,"This part prescribes the procedures, standards, and methodology governing the development, submission, and review of airport noise exposure maps and airport noise compatibility programs, including the process for evaluating and approving or disapproving those programs. It prescribes single systems for—(a) measuring noise at airports and surrounding areas that generally provides a highly reliable relationship between projected noise exposure and surveyed reaction of people to noise; and (b) determining exposure of individuals to noise that results from the operations of an airport. This part also identifies those land uses which are normally compatible with various levels of exposure to noise by individuals. It provides technical assistance to airport operators, in conjunction with other local, State, and Federal authorities, to prepare and execute appropriate noise compatibility planning and implementation programs." 14:14:3.0.1.3.22.1.3.2,14,Aeronautics and Space,I,I,150,PART 150—AIRPORT NOISE COMPATIBILITY PLANNING,A,Subpart A—General Provisions,,§ 150.3 Applicability.,FAA,,,"[Docket FAA-2004-19158, 69 FR 57625, Sept. 24, 2004]","This part applies to the airport noise compatibility planning activities of the operators of “public use airports,” including heliports, as that term is used in section 47501(2) as amended (49 U.S.C. 47501 et seq. ) and as defined in section 47102(17) of 49 U.S.C." 14:14:3.0.1.3.22.1.3.3,14,Aeronautics and Space,I,I,150,PART 150—AIRPORT NOISE COMPATIBILITY PLANNING,A,Subpart A—General Provisions,,§ 150.5 Limitations of this part.,FAA,,,"[Docket 18691, 49 FR 49269, Dec. 18, 1984, as amended by Amdt. 150-4, 69 FR 57625, Sept. 24, 2004]","(a) Pursuant to 49 U.S.C. 47501 et seq., this part provides for airport noise compatibility planning and land use programs necessary to the purposes of those provisions. No submittal of a map, or approval or disapproval, in whole or part, of any map or program submitted under this part is a determination concerning the acceptability or unacceptability of that land use under Federal, State, or local law. (b) Approval of a noise compatibility program under this part is neither a commitment by the FAA to financially assist in the implementation of the program, nor a determination that all measures covered by the program are eligible for grant-in-aid funding from the FAA. (c) Approval of a noise compatibility program under this part does not by itself constitute an FAA implementing action. A request for Federal action or approval to implement specific noise compatibility measures may be required, and an FAA decision on the request may require an environmental assessment of the proposed action, pursuant to the National Environmental Policy Act (42 U.S.C. 4332 et seq. ) and guidelines. (d) Acceptance of a noise exposure map does not constitute an FAA determination that any specific parcel of land lies within a particular noise contour. Responsibility for interpretation of the effects of noise contours upon subjacent land uses, including the relationship between noise contours and specific properties, rests with the sponsor or with other state or local government." 14:14:3.0.1.3.22.1.3.4,14,Aeronautics and Space,I,I,150,PART 150—AIRPORT NOISE COMPATIBILITY PLANNING,A,Subpart A—General Provisions,,§ 150.7 Definitions.,FAA,,,"[Docket 18691, 49 FR 49269, Dec. 18, 1984, as amended by Amdt. 150-1, 53 FR 8724, Mar. 16, 1988; 53 FR 9726, Mar. 24, 1988; Amdt. 150-2, 54 FR 39295, Sept. 25, 1989; Amdt. 150-4, 69 FR 57625, Sept. 24, 2004]","As used in this part, unless the context requires otherwise, the following terms have the following meanings. Airport means any public use airport, including heliports, as defined by the ASNA Act, including: (a) Any airport which is used or to be used for public purposes, under the control of a public agency, the landing area of which is publicly owned; (b) any privately owned reliever airport; and (c) any privately owned airport which is determined by the Secretary to enplane annually 2,500 or more passengers and receive scheduled passenger service of aircraft, which is used or to be used for public purposes. Airport noise compatibility program and program mean that program, and all revisions thereto, reflected in documents (and revised documents) developed in accordance with appendix B of this part, including the measures proposed or taken by the airport operator to reduce existing noncompatible land uses and to prevent the introduction of additional noncompatible land uses within the area. Airport Operator means, the operator of an airport as defined in the ASNA Act. ASNA Act means 49 U.S.C. 47501 et seq. Average sound level means the level, in decibels, of the mean-square, A-weighted sound pressure during a specified period, with reference to the square of the standard reference sound pressure of 20 micropascals. Compatible land use means the use of land that is identified under this part as normally compatible with the outdoor noise environment (or an adequately attenuated noise level reduction for any indoor activities involved) at the location because the yearly day-night average sound level is at or below that identified for that or similar use under appendix A (Table 1) of this part. Day-night average sound level (DNL) means the 24-hour average sound level, in decibels, for the period from midnight to midnight, obtained after the addition of ten decibels to sound levels for the periods between midnight and 7 a.m., and between 10 p.m., and midnight, local time. The symbol for DNL is L dn . Noise exposure map means a scaled, geographic depiction of an airport, its noise contours, and surrounding area developed in accordance with section A150.1 of Appendix A of this part, including the accompanying documentation setting forth the required descriptions of forecast aircraft operations at that airport during the fifth calendar year (or later) beginning after submission of the map, together with the ways, if any, those operations will affect the map (including noise contours and the forecast land uses). Noise level reduction (NLR) means the amount of noise level reduction in decibels achieved through incorporation of noise attenuation (between outdoor and indoor levels) in the design and construction of a structure. Noncompatible land use means the use of land that is identified under this part as normally not compatible with the outdoor noise environment (or an adequately attenuated noise reduction level for the indoor activities involved at the location) because the yearly day-night average sound level is above that identified for that or similar use under appendix A (Table 1) of this part. Regional Airports Division Manager means the Airports Division Manager having responsibility for the geographic area in which the airport in question is located. Restriction affecting flight procedures means any requirement, limitation, or other action affecting the operation of aircraft, in the air or on the ground. Sound exposure level means the level, in decibels, of the time integral of squared A-weighted sound pressure during a specified period or event, with reference to the square of the standard reference sound pressure of 20 micropascals and a duration of one second. Yearly day-night average sound level (YDNL) means the 365-day average, in decibels, day-night average sound level. The symbol for YDNL is also L dn ." 14:14:3.0.1.3.22.1.3.5,14,Aeronautics and Space,I,I,150,PART 150—AIRPORT NOISE COMPATIBILITY PLANNING,A,Subpart A—General Provisions,,§ 150.9 Designation of noise systems.,FAA,,,,"For purposes of this part, the following designations apply: (a) The noise at an airport and surrounding areas covered by a noise exposure map must be measured in A-weighted sound pressure level (L A ) in units of decibels (dBA) in accordance with the specifications and methods prescribed under appendix A of this part. (b) The exposure of individuals to noise resulting from the operation of an airport must be established in terms of yearly day-night average sound level (YDNL) calculated in accordance with the specifications and methods prescribed under appendix A of this part. (c) Uses of computer models to create noise contours must be in accordance with the criteria prescribed under appendix A of this part." 14:14:3.0.1.3.22.1.3.6,14,Aeronautics and Space,I,I,150,PART 150—AIRPORT NOISE COMPATIBILITY PLANNING,A,Subpart A—General Provisions,,§ 150.11 Identification of land uses.,FAA,,,,"For the purposes of this part, uses of land which are normally compatible or noncompatible with various noise exposure levels to individuals around airports must be identified in accordance with the criteria prescribed under appendix A of this part. Determination of land use must be based on professional planning criteria and procedures utilizing comprehensive, or master, land use planning, zoning, and building and site designing, as appropriate. If more than one current or future land use is permissible, determination of compatibility must be based on that use most adversely affected by noise." 14:14:3.0.1.3.22.1.3.7,14,Aeronautics and Space,I,I,150,PART 150—AIRPORT NOISE COMPATIBILITY PLANNING,A,Subpart A—General Provisions,,§ 150.13 Incorporations by reference.,FAA,,,"[Docket 18691, 49 FR 49269, Dec. 18, 1984, as amended by Amdt. 150-2, 54 FR 39295, Sept. 25, 1989; 69 FR 18803, Apr. 9, 2004; Amdt. 150-4, 69 FR 57625, Sept. 24, 2004; 72 FR 68475, Dec. 5, 2007]","(a) General. This part prescribes certain standards and procedures which are not set forth in full text in the rule. Those standards and procedures are hereby incorporated by reference and were approved for incorporation by reference by the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. (b) Changes to incorporated matter. Incorporated matter which is subject to subsequent change is incorporated by reference according to the specific reference and to the identification statement. Adoption of any subsequent change in incorporated matter that affects compliance with standards and procedures of this part will be made under 14 CFR part 11 and 1 CFR part 51. (c) Identification statement. The complete title or description which identifies each published matter incorporated by reference in this part is as follows: International Electrotechnical Commission (IEC) Publication No. 179, entitled “Precision Sound Level Meters,” dated 1973. International Electrotechnical Commission (IEC) Publication No. 179, entitled “Precision Sound Level Meters,” dated 1973. (d) Availability for purchase. Published material incorporated by reference in this part may be purchased at the price established by the publisher or distributor at the following mailing addresses. IEC publications: (1) The Bureau Central de la Commission Electrotechnique, Internationale, 1, rue de Varembe, Geneva, Switzerland. (2) American National Standards Institute, 1430 Broadway, New York, NY 10018. IEC publications: (1) The Bureau Central de la Commission Electrotechnique, Internationale, 1, rue de Varembe, Geneva, Switzerland. (2) American National Standards Institute, 1430 Broadway, New York, NY 10018. (e) Availability for inspection. A copy of each publication incorporated by reference in this part is available for public inspection at the following locations: (1) FAA Office of the Chief Counsel, Rules Docket, AGC-200, Federal Aviation Administration Headquarters Building, 800 Independence Avenue, SW., Washington, DC 20591. (2) The respective Regional Offices of the Federal Aviation Administration as follows. The most current mailing address, phone numbers, and States covered by each region are available on the FAA's Web site at http://www.faa.gov/arp/index.cfm?nav = hq. (i) New England Regional Office, 12 New England Executive Park, Burlington, Massachusetts 01803. (ii) Eastern Regional Office, Airports Division, 1 Aviation Plaza, Jamaica, NY 11434-4809. (iii) Southern Regional Office, Federal Aviation Administration, ATTN: ASO-600, P.O. Box 20636, Atlanta, GA 30320-0631. (iv) Great Lakes Regional Office, 2300 East Devon, Des Plaines, Illinois 60018. (v) Central Regional Office, Federal Aviation Administration, ACE-600, 901 Locust, Kansas City, MO 64106-2325. (vi) Southwest Regional Office, Federal Aviation Administration, 2601 Meacham Blvd., Fort Worth, TX 76137-4298. (vii) Northwest Mountain Regional Office, Federal Aviation Administration, Airports Division, 1601 Lind Avenue SW., Suite 315, Renton, WA 98055-4056. (viii) Western Pacific Regional Office, 15000 Aviation Boulevard, Hawthorne, California (P.O. Box 92007, Worldway Postal Center, Los Angeles) 90009. (ix) Alaskan Regional Office, 222 W. 7th Avenue #14, Anchorage, AK 9951. (3) 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." 14:14:3.0.1.3.22.2.3.1,14,Aeronautics and Space,I,I,150,PART 150—AIRPORT NOISE COMPATIBILITY PLANNING,B,Subpart B—Development of Noise Exposure Maps and Noise Compatibility Programs,,§ 150.21 Noise exposure maps and related descriptions.,FAA,,,"[Docket 18691, 49 FR 49269, Dec. 1, 1984; 50 FR 5063, Feb. 6, 1985; Amdt. 150-2, 54 FR 39295, Sept. 25, 1989; Amdt. 150-4, 69 FR 57626, Sept. 24, 2004]","(a) Each airport operator may after completion of the consultations and public procedure specified under paragraph (b) of this section submit to the Regional Airports Division Manager five copies of the noise exposure map (or revised map) which identifies each noncompatible land use in each area depicted on the map, as of the date of submission, and five copies of a map each with accompanying documentation setting forth— (1) The noise exposure based on forecast aircraft operations at the airport for a forecast period that is at least 5 years in the future, beginning after the date of submission (based on reasonable assumptions concerning future type and frequency of aircraft operations, number of nighttime operations, flight patterns, airport layout including any planned airport development, planned land use changes, and demographic changes in the surrounding areas); and (2) The nature and extent, if any, to which those forecast operations will affect the compatibility and land uses depicted on the map. (b) Each map, and related documentation submitted under this section must be developed and prepared in accordance with appendix A of this part, or an FAA approved equivalent, and in consultation with states, and public agencies and planning agencies whose area, or any portion of whose area, of jurisdiction is within the L dn 65 dB contour depicted on the map, FAA regional officials, and other Federal officials having local responsibility for land uses depicted on the map. This consultation must include regular aeronautical users of the airport. The airport operator shall certify that it has afforded interested persons adequate opportunity to submit their views, data, and comments concerning the correctness and adequacy of the draft noise exposure map and descriptions of forecast aircraft operations. Each map and revised map must be accompanied by documentation describing the consultation accomplished under this paragraph and the opportunities afforded the public to review and comment during the development of the map. One copy of all written comments received during consultation shall also be filed with the Regional Airports Division Manager. (c) The Regional Airports Division Manager acknowledges receipt of noise exposure maps and descriptions and indicates whether they are in compliance with the applicable requirements. The Regional Airports Division Manager publishes in the Federal Register a notice of compliance for each such noise exposure map and description, identifying the airport involved. Such notice includes information as to when and where the map and related documentation are available for public inspection. (d) The airport operator shall, in accordance with this section, promptly prepare and submit a revised noise exposure map. (1) If, after submission of a noise exposure map under paragraph (a) of this section, any change in the operation of the airport would create any “substantial, new noncompatible use” in any area depicted on the map beyond that which is forecast for a period of at least five years after the date of submission, the airport operator shall, in accordance with this section, promptly prepare and submit a revised noise exposure map. A change in the operation of an airport creates a substantial new noncompatible use if that change results in an increase in the yearly day-night average sound level of 1.5 dB or greater in either a land area which was formerly compatible but is thereby made noncompatible under Appendix A (Table 1), or in a land area which was previously determined to be noncompatible under that Table and whose noncompatibility is now significantly increased. (2) If, after submission of a noise exposure map under paragraph (a) of this section, any change in the operation of the airport would significantly reduce noise over existing noncompatible uses that is not reflected in either the existing conditions or forecast noise exposure map on file with the FAA, the airport operator shall, in accordance with this section, promptly prepare and submit a revised noise exposure map. A change in the operation of the airport creates a significant reduction in noise over existing noncompatible uses if that change results in a decrease in the yearly day-night average sound level of 1.5 dB or greater in a land area which was formerly noncompatible but is thereby made compatible under Appendix A (Table 1). (3) Such updating of the map shall include a reassessment of those areas excluded under section A150.101(e)(5) of Appendix A because of high ambient noise levels. (4) If the forecast map is based on assumptions involving recommendations in a noise compatibility program which are subsequently disapproved by the FAA, a revised map must be submitted if revised assumptions would create a substantial, new noncompatible use not indicated on the forecast map. Revised noise exposure maps are subject to the same requirements and procedures as initial submissions of noise exposure maps under this part. (e) Each map, or revised map, and description of consultation and opportunity for public comment, submitted to the FAA, must be certified as true and complete under penalty of 18 U.S.C. 1001. (f)(1) Title 49, section 47506 provides that no person who acquires property or an interest therein after the date of enactment of the Act in an area surrounding an airport with respect to which a noise exposure map has been submitted under section 47503 of the Act shall be entitled to recover damages with respect to the noise attributable to such airport if such person had actual or constructive knowledge of the existence of such noise exposure map unless, in addition to any other elements for recovery of damages, such person can show that— No person who acquires property or an interest therein after the date of enactment of the Act in an area surrounding an airport with respect to which a noise exposure map has been submitted under section 103 of the Act shall be entitled to recover damages with respect to the noise attributable to such airport if such person had actual or constructive knowledge of the existence of such noise exposure map unless, in addition to any other elements for recovery of damages, such person can show that— (i) A significant change in the type or frequency of aircraft operations at the airport; or (ii) A significant change in the airport layout; or (iii) A significant change in the flight patterns; or (iv) A significant increase in nighttime operations; occurred after the date of the acquisition of such property or interest therein and that the damages for which recovery is sought have resulted from any such change or increase.” No person who acquires property or an interest therein after the date of enactment of the Act in an area surrounding an airport with respect to which a noise exposure map has been submitted under section 103 of the Act shall be entitled to recover damages with respect to the noise attributable to such airport if such person had actual or constructive knowledge of the existence of such noise exposure map unless, in addition to any other elements for recovery of damages, such person can show that— (i) A significant change in the type or frequency of aircraft operations at the airport; or (ii) A significant change in the airport layout; or (iii) A significant change in the flight patterns; or (iv) A significant increase in nighttime operations; occurred after the date of the acquisition of such property or interest therein and that the damages for which recovery is sought have resulted from any such change or increase.” (f)(2) Title 49 section 47506(b) further provides: That for this purpose, “constructive knowledge” shall be imputed, at a minimum, to any person who acquires property or an interest therein in an area surrounding an airport after the date of enactment of the Act if— (i) Prior to the date of such acquisition, notice of the existence of a noise exposure map for such area was published at least three times in a newspaper of general circulation in the county in which such property is located; or (ii) A copy of such noise exposure map is furnished to such person at the time of such acquisition. That for this purpose, “constructive knowledge” shall be imputed, at a minimum, to any person who acquires property or an interest therein in an area surrounding an airport after the date of enactment of the Act if— (i) Prior to the date of such acquisition, notice of the existence of a noise exposure map for such area was published at least three times in a newspaper of general circulation in the county in which such property is located; or (ii) A copy of such noise exposure map is furnished to such person at the time of such acquisition. (g) For this purpose, the term significant in paragraph (f) of this section means that change or increase in one or more of the four factors which results in a “substantial new noncompatible use” as defined in § 150.21(d), affecting the property in issue. Responsibility for applying or interpreting this provision with respect to specific properties rests with local government." 14:14:3.0.1.3.22.2.3.2,14,Aeronautics and Space,I,I,150,PART 150—AIRPORT NOISE COMPATIBILITY PLANNING,B,Subpart B—Development of Noise Exposure Maps and Noise Compatibility Programs,,§ 150.23 Noise compatibility programs.,FAA,,,"[Docket 18691, 49 FR 49269, Dec. 18, 1984; 50 FR 5063, Feb. 6, 1985; Amdt. 150-2, 54 FR 39295, Sept. 25, 1989; Amdt. 150-4, 69 FR 57626, Sept. 24, 2004]","(a) Any airport operator who has submitted an acceptable noise exposure map under § 150.21 may, after FAA notice of acceptability and other consultation and public procedure specified under paragraphs (b) and (c) of this section, as applicable, submit to the Regional Airports Division Manager five copies of a noise compatibility program. (b) An airport operator may submit the noise compatibility program at the same time as the noise exposure map. In this case, the Regional Airports Division Manager will not begin the statutory 180-day review period (for the program) until after FAA reviews the noise exposure map and finds that it and its supporting documentation are in compliance with the applicable requirements. (c) Each noise compatibility program must be developed and prepared in accordance with appendix B of this part, or an FAA approved equivalent, and in consultation with FAA regional officials, the officials of the state and of any public agencies and planning agencies whose area, or any portion or whose area, of jurisdiction within the L dn 65 dB noise contours is depicted on the noise exposure map, and other Federal officials having local responsibility of land uses depicted on the map. Consultation with FAA regional officials shall include, to the extent practicable, informal agreement from FAA on proposed new or modified flight procedures. For air carrier airports, consultation must include any air carriers and, to the extent practicable, other aircraft operators using the airport. For other airports, consultation must include, to the extent practicable, aircraft operators using the airport. (d) Prior to and during the development of a program, and prior to submission of the resulting draft program to the FAA, the airport operator shall afford adequate opportunity for the active and direct participation of the States, public agencies and planning agencies in the areas surrounding the airport, aeronautical users of the airport, the airport operator, and the general public to submit their views, data, and comments on the formulation and adequacy of that program. Prior to submitting the program to the FAA, the airport operator shall also provide notice and the opportunity for a public hearing. (e) Each noise compatibility program submitted to the FAA must consist of at least the following: (1) A copy of the noise exposure map and its supporting documentation as found in compliance with the applicable requirements by the FAA, per § 150.21(c). (2) A description and analysis of the alternative measures considered by the airport operator in developing the program, together with a discussion of why each rejected measure was not included in the program. (3) Program measures proposed to reduce or eliminate present and future noncompatible land uses and a description of the relative contribution of each of the proposed measures to the overall effectiveness of the program. (4) A description of public participation and the consultation with officials of public agencies and planning agencies in areas surrounding the airport, FAA regional officials and other Federal officials having local responsibility for land uses depicted on the map, any air carriers and other users of the airport. (5) The actual or anticipated effect of the program on reducing noise exposure to individuals and noncompatible land uses and preventing the introduction of additional noncompatible uses within the area covered by the noise exposure map. The effects must be based on expressed assumptions concerning the type and frequency of aircraft operations, number of nighttime operations, flight patterns, airport layout including planned airport development, planned land use changes, and demographic changes within the L dn 65 dB noise contours. (6) A description of how the proposed future actions may change any noise control or compatibility plans or actions previously adopted by the airport proprietor. (7) A summary of the comments at any public hearing on the program and a copy of all written material submitted to the operator under paragraphs (c) and (d) of this section, together with the operator's response and disposition of those comments and materials to demonstrate the program is feasible and reasonably consistent with obtaining the objectives of airport noise compatibility planning under this part. (8) The period covered by the program, the schedule for implementation of the program, the persons responsible for implementation of each measure in the program, and, for each measure, documentation supporting the feasibility of implementation, including any essential governmental actions, costs, and anticipated sources of funding, that will demonstrate that the program is reasonably consistent with achieving the goals of airport noise compatibility planning under this part. (9) Provision for revising the program if made necessary by revision of the noise exposure map." 14:14:3.0.1.3.22.3.3.1,14,Aeronautics and Space,I,I,150,PART 150—AIRPORT NOISE COMPATIBILITY PLANNING,C,Subpart C—Evaluations and Determinations of Effects of Noise Compatibility Programs,,§ 150.31 Preliminary review: Acknowledgments.,FAA,,,"[Docket 18691, 49 FR 49269, Dec. 18, 1984, as amended by Amdt. 150-2, 54 FR 39295, Sept. 25, 1989]","(a) Upon receipt of a noise compatibility program submitted under § 150.23, the Regional Airports Division Manager acknowledges to the airport operator receipt of the program and conducts a preliminary review of the submission. (b) If, based on the preliminary review, the Regional Airports Division Manager finds that the submission does not conform to the requirements of this part, he disapproves and returns the unacceptable program to the airport operator for reconsideration and development of a program in accordance with this part. (c) If, based on the preliminary review, the Regional Airports Division Manager finds that the program conforms to the requirements of this part, the Regional Airports Division Manager publishes in the Federal Register a notice of receipt of the program for comment which indicates the following: (1) The airport covered by the program, and the date of receipt. (2) The availability of the program for examination in the offices of the Regional Airports Division Manager and the airport operator. (3) That comments on the program are invited and, will be considered by the FAA. (d) The date of signature of the published notice of receipt starts the 180-day approval period for the program." 14:14:3.0.1.3.22.3.3.2,14,Aeronautics and Space,I,I,150,PART 150—AIRPORT NOISE COMPATIBILITY PLANNING,C,Subpart C—Evaluations and Determinations of Effects of Noise Compatibility Programs,,§ 150.33 Evaluation of programs.,FAA,,,"[Docket 18691, 49 FR 49269, Dec. 18, 1984, as amended by Amdt. 150-2, 54 FR 39295, Sept. 25, 1989]","(a) The FAA conducts an evaluation of each noise compatibility program and, based on that evaluation, either approves or disapproves the program. The evaluation includes consideration of proposed measures to determine whether they— (1) May create an undue burden on interstate or foreign commerce (including unjust discrimination); (2) Are reasonably consistent with obtaining the goal of reducing existing noncompatible land uses and preventing the introduction of additional noncompatible land uses; and (3) Include the use of new or modified flight procedures to control the operation of aircraft for purposes of noise control, or affect flight procedures in any way. (b) The evaluation may also include an evaluation of those proposed measures to determine whether they may adversely affect the exercise of the authority and responsibilities of the Administrator under the Federal Aviation Act of 1958, as amended. (c) To the extent considered necessary, the FAA may— (1) Confer with the airport operator and other persons known to have information and views material to the evaluation; (2) Explore the objectives of the program and the measures, and any alternative measures, for achieving the objectives. (3) Examine the program for developing a range of alternatives that would eliminate the reasons, if any, for disapproving the program. (4) Convene an informal meeting with the airport operator and other persons involved in developing or implementing the program for the purposes of gathering all facts relevant to the determination of approval or disapproval of the program and of discussing any needs to accommodate or modify the program as submitted. (d) If requested by the FAA, the airport operator shall furnish all information needed to complete FAA's review under (c). (e) An airport operator may, at any time before approval or disapproval of a program, withdraw or revise the program. If the airport operator withdraws or revises the program or indicates to the Regional Airports Division Manager, in writing, the intention to revise the program, the Regional Airports Division Manager terminates the evaluation and notifies the airport operator of that action. That termination cancels the 180-day review period. The FAA does not evaluate a second program for any airport until any previously submitted program has been withdrawn or a determination on it is issued. A new evaluation is commenced upon receipt of a revised program, and a new 180-day approval period is begun, unless the Regional Airports Division Manager finds that the modification made, in light of the overall revised program, can be integrated into the unmodified portions of the revised program without exceeding the original 180-day approval period or causing undue expense to the government." 14:14:3.0.1.3.22.3.3.3,14,Aeronautics and Space,I,I,150,PART 150—AIRPORT NOISE COMPATIBILITY PLANNING,C,Subpart C—Evaluations and Determinations of Effects of Noise Compatibility Programs,,§ 150.35 Determinations; publications; effectivity.,FAA,,,"[Docket 18691, 49 FR 49269, Dec. 18, 1984, as amended by Amdt. 150-2, 54 FR 39295, Sept. 25, 1989; Amdt. 150-4, 69 FR 57626, Sept. 24, 2004]","(a) The FAA issues a determination approving or disapproving each airport noise compatibility program (and revised program). Portions of a program may be individually approved or disapproved. No conditional approvals will be issued. A determination on a program acceptable under this part is issued within 180 days after the program is received under § 150.23 of this part or it may be considered approved, except that this time period may be exceeded for any portion of a program relating to the use of flight procedures for noise control purposes. A determination on portions of a program covered by the exceptions to the 180-day review period for approval will be issued within a reasonable time after receipt of the program. Determinations relating to the use of any flight procedure for noise control purposes may be issued either in connection with the determination on other portions of the program or separately. Except as provided by this paragraph, no approval of any noise compatibility program, or any portion of a program, may be implied in the absence of the FAA's express approval. (b) The Administrator approves programs under this part, if— (1) It is found that the program measures to be implemented would not create an undue burden on interstate or foreign commerce (including any unjust discrimination) and are reasonably consistent with achieving the goals of reducing existing noncompatible land uses around the airport and of preventing the introduction of additional noncompatible land uses; (2) The program provides for revision if made necessary by the revision of the noise map; and (3) Those aspects of programs relating to the use of flight procedures for noise control can be implemented within the period covered by the program and without— (i) Reducing the level of aviation safety provided; (ii) Derogating the requisite level of protection for aircraft, their occupants and persons and property on the ground; (iii) Adversely affecting the efficient use and management of the Navigable Airspace and Air Traffic Control Systems; or (iv) Adversely affecting any other powers and responsibilities of the Administrator prescribed by law or any other program, standard, or requirement established in accordance with law. (c) When a determination is issued, the Regional Airports Division Manager notifies the airport operator and publishes a notice of approval or disapproval in the Federal Register identifying the nature and extent of the determination. (d) Approvals issued under this part for a program or portion thereof become effective as specified therein and may be withdrawn when one of the following occurs: (1) The program or portion thereof is required to be revised under this part or under its own terms, and is not so revised; (2) If a revision has been submitted for approval, a determination is issued on the revised program or portion thereof, that is inconsistent with the prior approval. (3) A term or condition of the program, or portion thereof, or its approval is violated by the responsible government body. (4) A flight procedure or other FAA action upon which the approved program or portion thereof is dependent is subsequently disapproved, significantly altered, or rescinded by the FAA. (5) The airport operator requests rescission of the approval. (6) Impacts on flight procedures, air traffic management, or air commerce occur which could not be foreseen at the time of approval. A determination may be sooner rescinded or modified for cause with at least 30 days written notice to the airport operator of the FAA's intention to rescind or modify the determination for the reasons stated in the notice. The airport operator may, during the 30-day period, submit to the Regional Airports Division Manager for consideration any reasons and circumstances why the determination should not be rescinded or modified on the basis stated in the notice of intent. Thereafter, the FAA either rescinds or modifies the determination consistent with the notice or withdraws the notice of intent and terminates the action. (e) Determinations may contain conditions which must be satisfied prior to implementation of any portion of the program relating to flight procedures affecting airport or aircraft operations. (f) Noise exposure maps for current and forecast year map conditions that are submitted and approved with noise compatibility programs are considered to be the new FAA accepted noise exposure maps for purposes of part 150." 17:17:2.0.1.1.22.0.1.1,17,Commodity and Securities Exchanges,I,,150,,,,,§ 150.1 Definitions.,CFTC,,,"[86 FR 3463, Jan. 14, 2021]","As used in this part— Bona fide hedging transaction or position means a transaction or position in commodity derivative contracts in a physical commodity, where: (1) Such transaction or position: (i) Represents a substitute for transactions made or to be made, or positions taken or to be taken, at a later time in a physical marketing channel; (ii) Is economically appropriate to the reduction of price risks in the conduct and management of a commercial enterprise; and (iii) Arises from the potential change in the value of— (A) Assets which a person owns, produces, manufactures, processes, or merchandises or anticipates owning, producing, manufacturing, processing, or merchandising; (B) Liabilities which a person owes or anticipates incurring; or (C) Services that a person provides or purchases, or anticipates providing or purchasing; or (2) Such transaction or position qualifies as a: (i) Pass-through swap and pass-through swap offset pair. Paired positions of a pass-through swap and a pass-through swap offset, where: (A) The pass-through swap is a swap position entered into by one person for which the swap would qualify as a bona fide hedging transaction or position pursuant to paragraph (1) of this definition (the bona fide hedging swap counterparty) that is opposite another person (the pass-through swap counterparty); (B) The pass-through swap offset: ( 1 ) Is a futures contract position, option on a futures contract position, or swap position entered into by the pass-through swap counterparty; and ( 2 ) Reduces the pass-through swap counterparty's price risks attendant to the pass-through swap; and (C) With respect to the pass-through swap offset, the pass-through swap counterparty receives from the bona fide hedging swap counterparty a written representation that the pass-through swap qualifies as a bona fide hedging transaction or position pursuant to paragraph (1) of this definition, and the pass-through swap counterparty may rely in good faith on such written representation, unless the pass-through swap counterparty has information that would cause a reasonable person to question the accuracy of the representation; or (ii) Offset of a bona fide hedger's qualifying swap position. A futures contract position, option on a futures contract position, or swap position entered into by a bona fide hedging swap counterparty that reduces price risks attendant to a previously-entered-into swap position that qualified as a bona fide hedging transaction or position at the time it was entered into for that counterparty pursuant to paragraph (1) of this definition. Commodity derivative contract means any futures contract, option on a futures contract, or swap in a commodity (other than a security futures product as defined in section 1a(45) of the Act). Core referenced futures contract means a futures contract that is listed in § 150.2(d). Economically equivalent swap means, with respect to a particular referenced contract, any swap that has identical material contractual specifications, terms, and conditions to such referenced contract. (1) Other than as provided in paragraph (2) of this definition, for the purpose of determining whether a swap is an economically equivalent swap with respect to a particular referenced contract, the swap shall not be deemed to lack identical material contractual specifications, terms, and conditions due to different lot size specifications or notional amounts, delivery dates diverging by less than one calendar day, or different post-trade risk management arrangements. (2) With respect to any natural gas referenced contract, for the purpose of determining whether a swap is an economically equivalent swap to such referenced contract, the swap shall not be deemed to lack identical material contractual specifications, terms, and conditions due to different lot size specifications or notional amounts, delivery dates diverging by less than two calendar days, or different post-trade risk management arrangements. (3) With respect to any referenced contract or class of referenced contracts, the Commission may make a determination that any swap or class of swaps satisfies, or does not satisfy, this economically equivalent swap definition. Eligible affiliate means an entity with respect to which another person: (1) Directly or indirectly holds either: (i) A majority of the equity securities of such entity, or (ii) The right to receive upon dissolution of, or the contribution of, a majority of the capital of such entity; (2) Reports its financial statements on a consolidated basis under Generally Accepted Accounting Principles or International Financial Reporting Standards, and such consolidated financial statements include the financial results of such entity; and (3) Is required to aggregate the positions of such entity under § 150.4 and does not claim an exemption from aggregation for such entity. Eligible entity means a commodity pool operator; the operator of a trading vehicle which is excluded, or which itself has qualified for exclusion from the definition of the term “pool” or “commodity pool operator,” respectively, under § 4.5 of this chapter; the limited partner, limited member or shareholder in a commodity pool the operator of which is exempt from registration under § 4.13 of this chapter; a commodity trading advisor; a bank or trust company; a savings association; an insurance company; or the separately organized affiliates of any of the above entities: (1) Which authorizes an independent account controller independently to control all trading decisions with respect to the eligible entity's client positions and accounts that the independent account controller holds directly or indirectly, or on the eligible entity's behalf, but without the eligible entity's day-to-day direction; and (2) Which maintains: (i) Only such minimum control over the independent account controller as is consistent with its fiduciary responsibilities to the managed positions and accounts, and necessary to fulfill its duty to supervise diligently the trading done on its behalf; or (ii) If a limited partner, limited member or shareholder of a commodity pool the operator of which is exempt from registration under § 4.13 of this chapter, only such limited control as is consistent with its status. Entity means a “person” as defined in section 1a of the Act. Excluded commodity means an “excluded commodity” as defined in section 1a of the Act. Futures-equivalent means: (1)(i) An option contract, whether an option on a futures contract or an option that is a swap, which has been: (A) Adjusted by an economically reasonable and analytically supported exposure to price changes of the underlying referenced contract that has been computed for that option contract as of the previous day's close or the current day's close or computed contemporaneously during the trading day, and (B) Converted to an economically equivalent amount of an open position in the underlying referenced contract. (ii) An entity is allowed one business day to liquidate an amount of the position that is in excess of speculative position limits without being considered in violation of the speculative position limits if such excess position results from: (A) A position that exceeds speculative position limits as a result of an option contract assignment; or (B) A position that includes an option contract that exceeds speculative position limits when the applicable option contract is adjusted by an economically reasonable and analytically supported exposure to price changes of the underlying referenced contract as of that business day's close of trading, as long as the applicable option contract does not exceed such speculative position limits when evaluated using the previous business day's exposure to the underlying referenced contract. This paragraph (B) shall not apply if such day would be the last trading day of the spot month for the corresponding core referenced futures contract. (2) A futures contract which has been converted to an economically equivalent amount of an open position in a core referenced futures contract; and (3) A swap which has been converted to an economically equivalent amount of an open position in a core referenced futures contract. Independent account controller means a person: (1) Who specifically is authorized by an eligible entity, as defined in this section, independently to control trading decisions on behalf of, but without the day-to-day direction of, the eligible entity; (2) Over whose trading the eligible entity maintains only such minimum control as is consistent with its fiduciary responsibilities for managed positions and accounts to fulfill its duty to supervise diligently the trading done on its behalf or as is consistent with such other legal rights or obligations which may be incumbent upon the eligible entity to fulfill; (3) Who trades independently of the eligible entity and of any other independent account controller trading for the eligible entity; (4) Who has no knowledge of trading decisions by any other independent account controller; and (5) Who is: (i) Registered as a futures commission merchant, an introducing broker, a commodity trading advisor, or an associated person of any such registrant, or (ii) A general partner, managing member or manager of a commodity pool the operator of which is excluded from registration under § 4.5(a)(4) of this chapter or § 4.13 of this chapter, provided that such general partner, managing member or manager complies with the requirements of § 150.4(c). Long position means, on a futures-equivalent basis, a long call option, a short put option, a long underlying futures contract, or a swap position that is equivalent to a long futures contract. Physical commodity means any agricultural commodity as that term is defined in § 1.3 of this chapter or any exempt commodity as that term is defined in section 1a of the Act. Position accountability means any bylaw, rule, regulation, or resolution that: (1) Is submitted to the Commission pursuant to part 40 of this chapter in lieu of, or along with, a speculative position limit, and (2) Requires an entity whose position exceeds the accountability level to consent to: (i) Provide information about its position to the designated contract market or swap execution facility; and (ii) Halt increasing further its position or reduce its position in an orderly manner, in each case as requested by the designated contract market or swap execution facility. Pre-enactment swap means any swap entered into prior to enactment of the Dodd-Frank Act of 2010 (July 21, 2010), the terms of which have not expired as of the date of enactment of that Act. Pre-existing position means any position in a commodity derivative contract acquired in good faith prior to the effective date of any bylaw, rule, regulation, or resolution that specifies a speculative position limit level or a subsequent change to that level. Referenced contract means: (1) A core referenced futures contract listed in § 150.2(d) or, on a futures-equivalent basis with respect to a particular core referenced futures contract, a futures contract or an option on a futures contract, including a spread, that is either: (i) Directly or indirectly linked, including being partially or fully settled on, or priced at a fixed differential to, the price of that particular core referenced futures contract; or (ii) Directly or indirectly linked, including being partially or fully settled on, or priced at a fixed differential to, the price of the same commodity underlying that particular core referenced futures contract for delivery at the same location or locations as specified in that particular core referenced futures contract; or (2) On a futures-equivalent basis, an economically equivalent swap. (3) The definition of referenced contract does not include a location basis contract, a commodity index contract, any guarantee of a swap, a trade option that meets the requirements of § 32.3 of this chapter, any outright price reporting agency index contract, or any monthly average pricing contract. Short position means, on a futures-equivalent basis, a short call option, a long put option, a short underlying futures contract, or a swap position that is equivalent to a short futures contract. Speculative position limit means the maximum position, either net long or net short, in a commodity derivative contract that may be held or controlled by one person absent an exemption, whether such limits are adopted for: (1) Combined positions in all commodity derivative contracts in a particular commodity, including the spot month futures contract and all single month futures contracts (the spot month and all single month futures contracts, cumulatively, “all-months-combined”); (2) Positions in a single month of commodity derivative contracts in a particular commodity other than the spot month futures contract (“single month”); or (3) Positions in the spot month of commodity derivative contacts in a particular commodity. Such a limit may be established under Federal regulations or rules of a designated contract market or swap execution facility. For referenced contracts other than core referenced futures contracts, single month means the same period as that of the relevant core referenced futures contract. Spot month means: (1) For physical-delivery core referenced futures contracts, the period of time beginning at the earlier of: (i) The close of business on the trading day preceding the first day on which delivery notices can be issued by the clearing organization of a contract market or (ii) The close of business on the trading day preceding the third-to-last trading day and ending when the contract expires, except as follows: (A) For the ICE Futures U.S. Sugar No. 11 (SB) core referenced futures contract, the spot month means the period of time beginning at the opening of trading on the second business day following the expiration of the regular option contract traded on the expiring futures contract and ending when the contract expires; (B) For the ICE Futures U.S. Sugar No. 16 (SF) core referenced futures contract, the spot month means the period of time beginning on the third-to-last trading day of the contract month and ending when the contract expires; and (C) For the Chicago Mercantile Exchange Live Cattle (LC) core referenced futures contract, the spot month means the period of time beginning at the close of trading on the first business day following the first Friday of the contract month and ending when the contract expires; and (2) For referenced contracts other than core referenced futures contracts, the spot month means the same period as that of the relevant core referenced futures contract. Spread transaction means an intra-market spread, inter-market spread, intra-commodity spread, or inter-commodity spread, including a calendar spread, quality differential spread, processing spread, product or by-product differential spread, or futures-option spread. Swap means “swap” as that term is defined in section 1a of the Act and as further defined in § 1.3 of this chapter. Swap dealer means “swap dealer” as that term is defined in section 1a of the Act and as further defined in § 1.3 of this chapter. Transition period swap means a swap entered into during the period commencing on the day of the enactment of the Dodd-Frank Act of 2010 (July 21, 2010), and ending 60 days after the publication in the Federal Register of final amendments to this part implementing section 737 of the Dodd-Frank Act of 2010, the terms of which have not expired as of 60 days after the publication date." 17:17:2.0.1.1.22.0.1.2,17,Commodity and Securities Exchanges,I,,150,,,,,§ 150.2 Federal speculative position limits.,CFTC,,,"[86 FR 3465, Jan. 14, 2021]","(a) Spot month speculative position limits. For physical-delivery referenced contracts and, separately, for cash-settled referenced contracts, no person may hold or control positions in the spot month, net long or net short, in excess of the levels specified by the Commission. (b) Single month and all-months-combined speculative position limits. For any referenced contract, no person may hold or control positions in a single month or in all-months-combined (including the spot month), net long or net short, in excess of the levels specified by the Commission. (c) Relevant contract month. For purposes of this part, for referenced contracts other than core referenced futures contracts, the spot month and any single month shall be the same as those of the relevant core referenced futures contract. (d) Core referenced futures contracts. Federal speculative position limits apply to referenced contracts based on the following core referenced futures contracts: (e) Establishment of speculative position limit levels. The levels of Federal speculative position limits are fixed by the Commission at the levels listed in appendix E to this part. (f) Designated contract market estimates of deliverable supply. Each designated contract market listing a core referenced futures contract shall supply to the Commission an estimated spot month deliverable supply upon request by the Commission, and may supply such estimates to the Commission at any other time. Each estimate shall be accompanied by a description of the methodology used to derive the estimate and any statistical data supporting the estimate, and shall be submitted using the format and procedures approved in writing by the Commission. A designated contract market should use the guidance regarding deliverable supply in appendix C to part 38 of this chapter. (g) Pre-existing positions —(1) Pre-existing positions in a spot month. A spot month speculative position limit established under this section shall apply to pre-existing positions, other than pre-enactment swaps and transition period swaps. (2) Pre-existing positions in a non-spot month. A single month or all-months-combined speculative position limit established under this section shall apply to pre-existing positions, other than pre-enactment swaps and transition period swaps. (h) Positions on foreign boards of trade. The speculative position limits established under this section shall apply to a person's combined positions in referenced contracts, including positions executed on, or pursuant to the rules of, a foreign board of trade, pursuant to section 4a(a)(6) of the Act, provided that: (1) Such referenced contracts settle against any price (including the daily or final settlement price) of one or more contracts listed for trading on a designated contract market or swap execution facility that is a trading facility; and (2) The foreign board of trade makes available such referenced contracts to its members or other participants located in the United States through direct access to its electronic trading and order matching system. (i) Anti-evasion provision. For the purposes of applying the speculative position limits in this section, if used to willfully circumvent or evade speculative position limits: (1) A commodity index contract, monthly average pricing contract, outright price reporting agency index contract, and/or a location basis contract shall be considered to be a referenced contract; (2) A bona fide hedging transaction or position recognition or spread exemption shall no longer apply; and (3) A swap shall be considered to be an economically equivalent swap. (j) Delegation of authority to the Director of the Division of Market Oversight. (1) The Commission hereby delegates, until it orders otherwise, to the Director of the Division of Market Oversight or such other employee or employees as the Director may designate from time to time, the authority in paragraph (f) of this section to request estimated spot month deliverable supply from a designated contract market and to provide the format and procedures for submitting such estimates. (2) The Director of the Division of Market Oversight may submit to the Commission for its consideration any matter which has been delegated in this section. (3) Nothing in this section prohibits the Commission, at its election, from exercising the authority delegated in this section. (k) Eligible affiliates and aggregation. For purposes of this part, if an eligible affiliate meets the conditions for any exemption from aggregation under § 150.4, the eligible affiliate may choose to utilize that exemption, or it may opt to be aggregated with its affiliated entities." 17:17:2.0.1.1.22.0.1.3,17,Commodity and Securities Exchanges,I,,150,,,,,§ 150.3 Exemptions.,CFTC,,,"[86 FR 3468, Jan. 14, 2021]","(a) Positions which may exceed limits. A person may exceed the speculative position limits set forth in § 150.2 to the extent that all applicable requirements in this part are met, provided that such person's transactions or positions each satisfy one of the following: (1) Bona fide hedging transactions or positions. Positions that comply with the bona fide hedging transaction or position definition in § 150.1, and are: (i) Enumerated in appendix A to this part; or (ii) Approved as non-enumerated bona fide hedging transactions or positions in accordance with paragraph (b)(4) of this section or § 150.9. (2) Spread transactions. Transactions that: (i) Meet the spread transaction definition in § 150.1; or (ii) Do not meet the spread transaction definition in § 150.1, but have been approved by the Commission pursuant to paragraph (b)(4) of this section. (3) Financial distress positions. Positions of a person, or a related person or persons, under financial distress circumstances, when exempted by the Commission from any of the requirements of this part in response to a specific request made pursuant to § 140.99(a)(1) of this chapter, where financial distress circumstances include, but are not limited to, situations involving the potential default or bankruptcy of a customer of the requesting person or persons, an affiliate of the requesting person or persons, or a potential acquisition target of the requesting person or persons. (4) Conditional spot month limit exemption positions in natural gas. Spot month positions in natural gas cash-settled referenced contracts that exceed the spot month speculative position limit set forth in § 150.2, provided that: (i) Such positions do not exceed the futures-equivalent of 10,000 NYMEX Henry Hub Natural Gas core referenced futures contracts per designated contract market that lists a cash-settled referenced contract in natural gas; (ii) Such positions do not exceed the futures-equivalent of 10,000 NYMEX Henry Hub Natural Gas core referenced futures contracts in economically equivalent swaps in natural gas; and (iii) The person holding or controlling such positions does not hold or control positions in spot month physical-delivery referenced contracts in natural gas. (5) Pre-enactment and transition period swaps exemption. The speculative position limits set forth in § 150.2 shall not apply to positions acquired in good faith in any pre-enactment swap or any transition period swap, provided however that a person may net such positions with post-effective date commodity derivative contracts for the purpose of complying with any non-spot month speculative position limit. (b) Application for relief. Any person with a position in a referenced contract seeking recognition of such position as a bona fide hedging transaction or position in accordance with paragraph (a)(1)(ii) of this section, or seeking an exemption for a spread position in accordance with paragraphs (a)(2)(ii) of this section, in each case for purposes of Federal speculative position limits set forth in § 150.2, may apply to the Commission in accordance with this section. (1) Required information. The application shall include the following information: (i) With respect to an application for recognition of a bona fide hedging transaction or position: (A) A description of the position in the commodity derivative contract for which the application is submitted, including but not necessarily limited to, the name of the underlying commodity and the derivative position size; (B) An explanation of the hedging strategy, including a statement that the position complies with the requirements of section 4a(c)(2) of the Act and the definition of bona fide hedging transaction or position in § 150.1, and information to demonstrate why the position satisfies such requirements and definition; (C) A statement concerning the maximum size of all gross positions in commodity derivative contracts for which the application is submitted; (D) A description of the applicant's activity in the cash markets and swaps markets for the commodity underlying the position for which the application is submitted, including, but not necessarily limited to, information regarding the offsetting cash positions; and (E) Any other information that may help the Commission determine whether the position satisfies the requirements of section 4a(c)(2) of the Act and the definition of bona fide hedging transaction or position in § 150.1. (ii) With respect to an application for a spread exemption: (A) A description of the spread position for which the application is submitted; (B) A statement concerning the maximum size of all gross positions in commodity derivative contracts for which the application is submitted; and (C) Any other information that may help the Commission determine whether the position is consistent with section 4a(a)(3)(B) of the Act. (2) Additional information. If the Commission determines that it requires additional information in order to determine whether to recognize a position as a bona fide hedging transaction or position or to grant a spread exemption, the Commission shall: (i) Notify the applicant of any supplemental information required; and (ii) Provide the applicant with ten business days in which to provide the Commission with any supplemental information. (3) Timing of application. (i) Except as provided in paragraph (b)(3)(ii) of this section, a person seeking relief in accordance with this section must apply to the Commission and receive a notice of approval of such application prior to the date that the position for which the application was submitted would be in excess of the applicable Federal speculative position limit set forth in § 150.2; (ii) Due to demonstrated sudden or unforeseen increases in its bona fide hedging needs, a person may apply for recognition of a bona fide hedging transaction or position within five business days after the person established the position that exceeded the applicable Federal speculative position limit. (A) Any application filed pursuant to paragraph (b)(3)(ii) of this section must include an explanation of the circumstances warranting the sudden or unforeseen increases in bona fide hedging needs. (B) If an application filed pursuant to paragraph (b)(3)(ii) of this section is denied, the person must bring its position within the Federal speculative position limits within a commercially reasonable time, as determined by the Commission in consultation with the applicant and the applicable designated contract market or swap execution facility. (C) If an application filed pursuant to paragraph (b)(3)(ii) of this section is denied, the Commission will not pursue an enforcement action for a position limits violation for the person holding the position during the period of the Commission's review nor once the Commission has issued its determination so long as the application was submitted in good faith and the person brings its position within the Federal speculative position limits within a commercially reasonable time in accordance with paragraph (b)(3)(ii)(B) of this section. (4) Commission determination. After a review of any application submitted under paragraph (b) of this section and any supplemental information provided by the applicant, the Commission will determine, with respect to the transaction or position for which the application is submitted, whether to recognize all or a specified portion of such transaction or position as a bona fide hedging transaction or position or whether to exempt all or a specified portion of such spread transaction, as applicable. The Commission shall notify the applicant of its determination, and an applicant may exceed Federal speculative position limits set forth in § 150.2, or in the case of applications filed pursuant to paragraph (b)(3)(ii) of this section, the applicant may rely upon the Commission's determination, upon receiving a notice of approval. (5) Renewal of application. With respect to any application approved by the Commission pursuant to this section, a person shall renew such application if there are any material changes to the information provided in the original application pursuant to paragraph (b)(1) of this section or upon request by the Commission. (6) Commission revocation or modification. If the Commission determines, at any time, that a recognized bona fide hedging transaction or position is no longer consistent with section 4a(c)(2) of the Act or the definition of bona fide hedging transaction or position in § 150.1, or that a spread exemption is no longer consistent with section 4a(a)(3)(B) of the Act, the Commission shall: (i) Notify the person holding such position; (ii) Provide an opportunity for the applicant to respond to such notification; and (iii) Issue a determination to revoke or modify the bona fide hedge recognition or spread exemption for purposes of Federal speculative position limits and, as applicable, require the person to reduce the derivative position within a commercially reasonable time, as determined by the Commission in consultation with the applicant and the applicable designated contract market or swap execution facility, or otherwise come into compliance. This notification shall briefly specify the nature of the issues raised and the specific provisions of the Act or the Commission's regulations with which the position or application is, or appears to be, inconsistent. (c) Previously-granted risk management exemptions. To the extent that exemptions previously granted under § 1.47 of this chapter or by a designated contract market or a swap execution facility are for the risk management of positions in financial instruments, including but not limited to index funds, such exemptions shall no longer apply as of January 1, 2023. (d) Recordkeeping. (1) Persons who avail themselves of exemptions under this section shall keep and maintain complete books and records concerning all details of each of their exemptions, including relevant information about related cash, forward, futures contracts, option on futures contracts, and swap positions and transactions (including anticipated requirements, production, merchandising activities, royalties, contracts for services, cash commodity products and by-products, cross-commodity hedges, and records of bona fide hedging swap counterparties) as applicable, and shall make such books and records available to the Commission upon request under paragraph (e) of this section. (2) Any person that relies on a written representation received from another person that a swap qualifies as a pass-through swap under paragraph (2) of the definition of bona fide hedging transaction or position in § 150.1 shall keep and make available to the Commission upon request the relevant books and records of such written representation, including any books and records that the person intends to use to demonstrate that the pass-through swap is a bona fide hedging transaction or position, for a period of at least two years following the expiration of the swap. (3) All books and records required to be kept pursuant to this section shall be kept in accordance with the requirements of § 1.31 of this chapter. (e) Call for information. Upon call by the Commission, the Director of the Division of Enforcement, or the Director's delegate, any person claiming an exemption from speculative position limits under this section shall provide to the Commission such information as specified in the call relating to: the positions owned or controlled by that person; trading done pursuant to the claimed exemption; the commodity derivative contracts or cash-market positions which support the claimed exemption; and the relevant business relationships supporting a claimed exemption. (f) Aggregation of accounts. Entities required to aggregate accounts or positions under § 150.4 shall be considered the same person for the purpose of determining whether they are eligible for an exemption under paragraphs (a)(1) through (4) of this section with respect to such aggregated account or position. (g) Delegation of authority to the Director of the Division of Market Oversight. (1) The Commission hereby delegates, until it orders otherwise, to the Director of the Division of Market Oversight, or such other employee or employees as the Director may designate from time to time: (i) The authority in paragraph (a)(3) of this section to provide exemptions in circumstances of financial distress; (ii) The authority in paragraph (b)(2) of this section to request additional information with respect to a request for a bona fide hedging transaction or position recognition or spread exemption; (iii) The authority in paragraph (b)(3)(ii)(B) of this section to, if applicable, determine a commercially reasonable amount of time required for a person to bring its position within the Federal speculative position limits; (iv) The authority in paragraph (b)(4) of this section to determine whether to recognize a position as a bona fide hedging transaction or position or to grant a spread exemption; and (v) The authority in paragraph (b)(2) or (5) of this section to request that a person submit updated materials or renew their request with the Commission. (2) The Director of the Division of Market Oversight may submit to the Commission for its consideration any matter which has been delegated in this section. (3) Nothing in this section prohibits the Commission, at its election, from exercising the authority delegated in this section." 17:17:2.0.1.1.22.0.1.4,17,Commodity and Securities Exchanges,I,,150,,,,,§ 150.4 Aggregation of positions.,CFTC,,,"[81 FR 91490, Dec. 16, 2016, as amended at 82 FR 28770, June 26, 2017; 89 FR 71819, Sept. 4, 2024]","(a) Positions to be aggregated —(1) Trading control or 10 percent or greater ownership or equity interest. For the purpose of applying the position limits set forth in § 150.2, unless an exemption set forth in paragraph (b) of this section applies, all positions in accounts for which any person, by power of attorney or otherwise, directly or indirectly controls trading or holds a 10 percent or greater ownership or equity interest must be aggregated with the positions held and trading done by such person. For the purpose of determining the positions in accounts for which any person controls trading or holds a 10 percent or greater ownership or equity interest, positions or ownership or equity interests held by, and trading done or controlled by, two or more persons acting pursuant to an expressed or implied agreement or understanding shall be treated the same as if the positions or ownership or equity interests were held by, or the trading were done or controlled by, a single person. (2) Substantially identical trading. Notwithstanding the provisions of paragraph (b) of this section, for the purpose of applying the position limits set forth in § 150.2, any person that, by power of attorney or otherwise, holds or controls the trading of positions in more than one account or pool with substantially identical trading strategies, must aggregate all such positions (determined pro rata) with all other positions held and trading done by such person and the positions in accounts which the person must aggregate pursuant to paragraph (a)(1) of this section. (b) Exemptions from aggregation. For the purpose of applying the position limits set forth in § 150.2, and notwithstanding the provisions of paragraph (a)(1) of this section, but subject to the provisions of paragraph (a)(2) of this section, the aggregation requirements of this section shall not apply in the circumstances set forth in this paragraph (b). (1) Exemption for ownership by limited partners, shareholders or other pool participants. Any person that is a limited partner, limited member, shareholder or other similar type of pool participant holding positions in which the person by power of attorney or otherwise directly or indirectly has a 10 percent or greater ownership or equity interest in a pooled account or positions need not aggregate the accounts or positions of the pool with any other accounts or positions such person is required to aggregate, except that such person must aggregate the pooled account or positions with all other accounts or positions owned or controlled by such person if such person: (i) Is the commodity pool operator of the pooled account; (ii) Is a principal or affiliate of the operator of the pooled account, unless: (A) The pool operator has, and enforces, written procedures to preclude the person from having knowledge of, gaining access to, or receiving data about the trading or positions of the pool; (B) The person does not have direct, day-to-day supervisory authority or control over the pool's trading decisions; (C) The person, if a principal of the operator of the pooled account, maintains only such minimum control over the commodity pool operator as is consistent with its responsibilities as a principal and necessary to fulfill its duty to supervise the trading activities of the commodity pool; and (D) The pool operator has complied with the requirements of paragraph (c) of this section on behalf of the person or class of persons; or (iii) Has, by power of attorney or otherwise directly or indirectly, a 25 percent or greater ownership or equity interest in a commodity pool, the operator of which is exempt from registration under § 4.13 of this chapter. (2) Exemption for certain ownership of greater than 10 percent in an owned entity. Any person with an ownership or equity interest in an owned entity of 10 percent or greater (other than an interest in a pooled account subject to paragraph (b)(1) of this section), need not aggregate the accounts or positions of the owned entity with any other accounts or positions such person is required to aggregate, provided that: (i) Such person, including any entity that such person must aggregate, and the owned entity (to the extent that such person is aware or should be aware of the activities and practices of the aggregated entity or the owned entity): (A) Do not have knowledge of the trading decisions of the other; (B) Trade pursuant to separately developed and independent trading systems; (C) Have and enforce written procedures to preclude each from having knowledge of, gaining access to, or receiving data about, trades of the other. Such procedures must include security arrangements, including separate physical locations, which would maintain the independence of their activities; (D) Do not share employees that control the trading decisions of either; and (E) Do not have risk management systems that permit the sharing of its trades or its trading strategy with employees that control the trading decisions of the other; and (ii) Such person complies with the requirements of paragraph (c) of this section. (3) Exemption for accounts held by futures commission merchants. A futures commission merchant or any affiliate of a futures commission merchant need not aggregate positions it holds in a discretionary account, or in an account which is part of, or participates in, or receives trading advice from a customer trading program of a futures commission merchant or any of the officers, partners, or employees of such futures commission merchant or of its affiliates, if: (i) A person other than the futures commission merchant or the affiliate directs trading in such an account; (ii) The futures commission merchant or the affiliate maintains only such minimum control over the trading in such an account as is necessary to fulfill its duty to supervise diligently trading in the account; (iii) Each trading decision of the discretionary account or the customer trading program is determined independently of all trading decisions in other accounts which the futures commission merchant or the affiliate holds, has a financial interest of 10 percent or more in, or controls; and (iv) The futures commission merchant or the affiliate has complied with the requirements of paragraph (c) of this section. (4) Exemption for accounts carried by an independent account controller. An eligible entity need not aggregate its positions with the eligible entity's client positions or accounts carried by an authorized independent account controller, as defined in § 150.1(e), except for the spot month in physical-delivery commodity contracts, provided that the eligible entity has complied with the requirements of paragraph (c) of this section, and that the overall positions held or controlled by such independent account controller may not exceed the limits specified in § 150.2. (i) Additional requirements for exemption of affiliated entities. If the independent account controller is affiliated with the eligible entity or another independent account controller, each of the affiliated entities must: (A) Have, and enforce, written procedures to preclude the affiliated entities from having knowledge of, gaining access to, or receiving data about, trades of the other. Such procedures must include security arrangements, including separate physical locations, which would maintain the independence of their activities; provided, however, that such procedures may provide for the disclosure of information which is reasonably necessary for an eligible entity to maintain the level of control consistent with its fiduciary responsibilities to the managed positions and accounts and necessary to fulfill its duty to supervise diligently the trading done on its behalf; (B) Trade such accounts pursuant to separately developed and independent trading systems; (C) Market such trading systems separately; and (D) Solicit funds for such trading by separate disclosure documents that meet the standards of § 4.24 or § 4.34 of this chapter, as applicable, where such disclosure documents are required under part 4 of this chapter. (ii) [Reserved] (5) Exemption for underwriting. A person need not aggregate the positions or accounts of an owned entity if the ownership or equity interest is based on the ownership of securities constituting the whole or a part of an unsold allotment to or subscription by such person as a participant in the distribution of such securities by the issuer or by or through an underwriter. (6) Exemption for broker-dealer activity. A broker-dealer registered with the Securities and Exchange Commission, or similarly registered with a foreign regulatory authority, need not aggregate the positions or accounts of an owned entity if the ownership or equity interest is based on the ownership of securities acquired in the normal course of business as a dealer, provided that such person does not have actual knowledge of the trading decisions of the owned entity. (7) Exemption for information sharing restriction. A person need not aggregate the positions or accounts of an owned entity if the sharing of information associated with such aggregation (such as, only by way of example, information reflecting the transactions and positions of a such person and the owned entity) creates a reasonable risk that either person could violate state or federal law or the law of a foreign jurisdiction, or regulations adopted thereunder, provided that such person does not have actual knowledge of information associated with such aggregation, and provided further that such person has filed a prior notice pursuant to paragraph (c) of this section and included with such notice a written memorandum of law explaining in detail the basis for the conclusion that the sharing of information creates a reasonable risk that either person could violate state or federal law or the law of a foreign jurisdiction, or regulations adopted thereunder. However, the exemption in this paragraph shall not apply where the law or regulation serves as a means to evade the aggregation of accounts or positions. All documents submitted pursuant to this paragraph shall be in English, or if not, accompanied by an official English translation. (8) Exemption for affiliated entities. After a person has filed a notice under paragraph (c) of this section, another person need not file a separate notice identifying any position or account identified in such notice filing, provided that: (i) Such other person has an ownership or equity interest of 10 percent or greater in the person that filed the notice, or the person that filed the notice has an ownership or equity interest of 10 percent or greater in such other person, or an ownership or equity interest of 10 percent or greater is held in such other person by a third person who holds an ownership or equity interest of 10 percent or greater in the person that has filed the notice (in any such case, the ownership or equity interest may be held directly or indirectly); (ii) Such other person complies with the conditions applicable to the exemption specified in such notice filing, other than the filing requirements; and (iii) Such other person does not otherwise control trading of any account or position identified in such notice filing. (iv) Upon call by the Commission, any person relying on the exemption in this paragraph (b)(8) shall provide to the Commission such information concerning the person's claim for exemption. Upon notice and opportunity for the affected person to respond, the Commission may amend, suspend, terminate, or otherwise modify a person's aggregation exemption for failure to comply with the provisions of this section. (c) Notice filing for exemption. (1) Persons seeking an aggregation exemption under paragraph (b)(1)(ii), (b)(2), (b)(3), (b)(4), or (b)(7) of this section shall file a notice with the Commission, which shall be effective upon submission of the notice (or earlier, as provided in paragraph (c)(2) of this section), and shall include: (i) A description of the relevant circumstances that warrant disaggregation; and (ii) A statement of a senior officer of the entity certifying that the conditions set forth in the applicable aggregation exemption provision have been met. (2) If a person newly acquires an ownership or equity interest in an owned entity of 10 percent or greater and is eligible for the aggregation exemption under paragraph (b)(2) of this section, the person may elect that a notice filed under this paragraph (c) shall be effective as of the date of such acquisition if such notice is filed no later than 60 days after such acquisition. (3) Upon call by the Commission, any person claiming an aggregation exemption under this section shall provide such information demonstrating that the person meets the requirements of the exemption, as is requested by the Commission. Upon notice and opportunity for the affected person to respond, the Commission may amend, suspend, terminate, or otherwise modify a person's aggregation exemption for failure to comply with the provisions of this section. (4) In the event of a material change to the information provided in any notice filed under this paragraph (c), an updated or amended notice shall promptly be filed detailing the material change. (5) Any notice filed under this paragraph (c) shall be submitted in the form and manner provided for in paragraph (d) of this section. (6) If a person is eligible for an aggregation exemption under paragraph (b)(1)(ii), (b)(2), (b)(3), (b)(4), or (b)(7) of this section, a failure to timely file a notice under this paragraph (c) shall not constitute a violation of paragraph (a)(1) of this section or any position limit set forth in § 150.2 if such notice is filed no later than five business days after the person is aware, or should be aware, that such notice has not been timely filed. (d) Form and manner of reporting and submitting information or filings. Unless otherwise instructed by the Commission or its designees, any person submitting reports under this section shall submit the corresponding required filings and any other information required under this part to the Commission using the format, coding structure, and electronic data transmission procedures approved in writing by the Commission. Unless otherwise provided in this section, the notice shall be effective upon filing. When the reporting entity discovers errors or omissions to past reports, the entity shall so notify the Commission and file corrected information in a form and manner and at a time as may be instructed by the Commission or its designee. (e) Delegation of authority. (1) The Commission hereby delegates, until it orders otherwise, to the Director of the Division of Enforcement, or such other employee or employees as the Director may designate, the authority: (i) In paragraph (b)(8)(iv) of this section to call for additional information from a person claiming the exemption in paragraph (b)(8) of this section. (ii) In paragraph (c)(3) of this section to call for additional information from a person claiming an aggregation exemption under this section. (2) The Commission hereby delegates, until it orders otherwise, to the Director of the Division of Data, with the concurrence of the Director of the Division of Enforcement, or such other employee or employees as the Directors each may designate, the authority in paragraph (d) of this section to provide instructions or determine the format, coding structure, and electronic data transmission procedures for submitting data records and any other information required under this part. (3) The Directors of the Division of Enforcement and the Division of Data may submit to the Commission for its consideration any matter which has been delegated in this section. (4) Nothing in this section prohibits the Commission, at its election, from exercising the authority delegated in this section." 17:17:2.0.1.1.22.0.1.5,17,Commodity and Securities Exchanges,I,,150,,,,,§ 150.5 Exchange-set speculative position limits and exemptions therefrom.,CFTC,,,"[86 FR 3470, Jan. 14, 2021]","(a) Requirements for exchange-set limits on commodity derivative contracts subject to Federal speculative position limits set forth in § 150.2 —(1) Exchange-set limits. For any commodity derivative contract that is subject to a Federal speculative position limit under § 150.2, a designated contract market or swap execution facility that is a trading facility shall set a speculative position limit no higher than the level specified in § 150.2. (2) Exemptions to exchange-set limits. A designated contract market or swap execution facility that is a trading facility may grant exemptions from any speculative position limits it sets under paragraph (a)(1) of this section in accordance with the following: (i) Exemption levels. An exemption that conforms to an exemption the Commission identified in: (A) Sections 150.3(a)(1)(i), (a)(2)(i), (a)(4) and (a)(5) may be granted at a level that exceeds the level of the applicable Federal limit in § 150.2; (B) Sections 150.3(a)(1)(ii) and (a)(2)(ii) may be granted at a level that exceeds the level of the applicable Federal limit in § 150.2, provided the exemption is first approved in accordance with § 150.3(b) or 150.9, as applicable; (C) Section 150.3(a)(3) may be granted at a level that exceeds the level of the applicable Federal limit in § 150.2, provided that, a division of the Commission has first approved such exemption pursuant to a request submitted under § 140.99(a)(1) of this chapter; and (D) An exemption of the type that does not conform to any of the exemptions identified in § 150.3(a) must be granted at a level that does not exceed the applicable Federal limit in § 150.2 and that complies with paragraph (a)(2)(ii)(G) of this section, unless the Commission has first approved such exemption pursuant to § 150.3(b) or pursuant to a request submitted under § 140.99(a)(1). (ii) Application for exemption from exchange-set limits. With respect to a designated contract market or swap execution facility that is a trading facility that elects to grant exemptions under paragraph (a)(2)(i) of this section: (A) Except as provided in paragraph (a)(2)(ii)(B) of this section, the designated contract market or swap execution facility shall require an entity to file an application requesting such exemption in advance of the date that such position would be in excess of the limits then in effect. Such application shall include any information needed to enable the designated contract market or swap execution facility and the Commission to determine whether the facts and circumstances demonstrate that the designated contract market or swap execution facility may grant an exemption. Any application for a bona fide hedging transaction or position shall include a description of the applicant's activity in the cash markets and swaps markets for the commodity underlying the position for which the application is submitted, including, but not limited to, information regarding the offsetting cash positions. (B) The designated contract market or swap execution facility may adopt rules that allow a person, due to demonstrated sudden or unforeseen increases in its bona fide hedging needs, to file an application to request a recognition of a bona fide hedging transaction or position within five business days after the person established the position that exceeded the applicable exchange-set speculative position limit. (C) The designated contract market or swap execution facility must require that any application filed pursuant to paragraph (a)(2)(ii)(B) of this section include an explanation of the circumstances warranting the sudden or unforeseen increases in bona fide hedging needs. (D) If an application filed pursuant to paragraph (a)(2)(ii)(B) of this section is denied, the applicant must bring its position within the designated contract market or swap execution facility's speculative position limits within a commercially reasonable time as determined by the designated contract market or swap execution facility. (E) The Commission will not pursue an enforcement action for a position limits violation for the person holding the position during the period of the designated contract market or swap execution facility's review nor once the designated contract market or swap execution facility has issued its determination, so long as the application was submitted in good faith and the applicant brings its position within the designated contract market or swap execution facility's speculative position limits within a commercially reasonable time as determined by the designated contract market or swap execution facility. (F) The designated contract market or swap execution facility shall require, for any such exemption granted, that the entity re-apply for the exemption at least annually; (G) The designated contract market or swap execution facility: ( 1 ) May, in accordance with the designated contract market or swap execution facility's rules, deny any such application, or limit, condition, or revoke any such exemption, at any time after providing notice to the applicant, and ( 2 ) Shall consider whether the requested exemption would result in positions that would not be in accord with sound commercial practices in the relevant commodity derivative market and/or that would exceed an amount that may be established and liquidated in an orderly fashion in that market; and (H) Notwithstanding paragraph (a)(2)(ii)(G) of this section, the designated contract market or swap execution facility may grant exemptions, subject to terms, conditions, or limitations, that require a person to exit any referenced contract positions in excess of position limits during the lesser of the last five days of trading or the time period for the spot month in such physical-delivery contract, or to otherwise limit the size of such position during that time period. Designated contract markets and swap execution facilities may refer to paragraph (b) of appendix B or appendix G to part 150, for guidance regarding the foregoing, as applicable. (3) Exchange-set limits on pre-existing positions —(i) Pre-existing positions in a spot month. A designated contract market or swap execution facility that is a trading facility shall require compliance with spot month exchange-set speculative position limits for pre-existing positions in commodity derivative contracts other than pre-enactment swaps and transition period swaps. (ii) Pre-existing positions in a non-spot month. A single month or all-months-combined speculative position limit established under paragraph (a)(1) of this section shall apply to any pre-existing positions in commodity derivative contracts, other than pre-enactment swaps and transition period swaps. (4) Monthly reports detailing the disposition of each exemption application. (i) For commodity derivative contracts subject to Federal speculative position limits, the designated contract market or swap execution facility shall submit to the Commission a report each month showing the disposition of any exemption application, including the recognition of any position as a bona fide hedging transaction or position, the exemption of any spread transaction or other position, the renewal, revocation, or modification of a previously granted recognition or exemption, and the rejection of any application, as well as the following details for each application: (A) The date of disposition; (B) The effective date of the disposition; (C) The expiration date of any recognition or exemption; (D) Any unique identifier(s) the designated contract market or swap execution facility may assign to track the application, or the specific type of recognition or exemption; (E) If the application is for an enumerated bona fide hedging transaction or position, the name of the enumerated bona fide hedging transaction or position listed in appendix A to this part; (F) If the application is for a spread transaction listed in the spread transaction definition in § 150.1, the name of the spread transaction as it is listed in § 150.1; (G) The identity of the applicant; (H) The listed commodity derivative contract or position(s) to which the application pertains; (I) The underlying cash commodity; (J) The maximum size of the commodity derivative position that is recognized by the designated contract market or swap execution facility as a bona fide hedging transaction or position, specified by contract month and by the type of limit as spot month, single month, or all-months-combined, as applicable; (K) Any size limitations or conditions established for a spread exemption or other exemption; and (L) For a bona fide hedging transaction or position, a concise summary of the applicant's activity in the cash markets and swaps markets for the commodity underlying the commodity derivative position for which the application was submitted. (ii) The designated contract market or swap execution facility shall submit to the Commission the information required by paragraph (a)(4)(i) of this section: (A) As specified by the Commission on the Forms and Submissions page at www.cftc.gov ; and (B) Using the format, coding structure, and electronic data transmission procedures approved in writing by the Commission. (b) Requirements for exchange-set limits on commodity derivative contracts in a physical commodity that are not subject to the limits set forth in § 150.2 —(1) Exchange-set spot-month limits. For any physical commodity derivative contract that is not subject to a Federal speculative position limit under § 150.2, a designated contract market or swap execution facility that is a trading facility shall set a speculative position limit as follows: (i) Spot month speculative position limit levels. For any commodity derivative contract subject to paragraph (b) of this section, a designated contract market or swap execution facility that is a trading facility shall establish speculative position limits for the spot month no greater than 25 percent of the estimated spot month deliverable supply, calculated separately for each month to be listed. (ii) Additional sources for compliance. Alternatively, a designated contract market or swap execution facility that is a trading facility may submit rules to the Commission establishing spot month speculative position limits other than as provided in paragraph (b)(1)(i) of this section, provided that each limit is set at a level that is necessary and appropriate to reduce the potential threat of market manipulation or price distortion of the contract's or the underlying commodity's price or index. (2) Exchange-set limits or accountability outside of the spot month —(i) Non-spot month speculative position limit or accountability levels. For any commodity derivative contract subject to paragraph (b) of this section, a designated contract market or swap execution facility that is a trading facility shall adopt either speculative position limits or position accountability outside of the spot month at a level that is necessary and appropriate to reduce the potential threat of market manipulation or price distortion of the contract's or the underlying commodity's price or index. (ii) Additional sources for compliance. A designated contract market or swap execution facility that is a trading facility may refer to the non-exclusive acceptable practices in paragraph (b) of appendix F of this part to demonstrate to the Commission compliance with the requirements of paragraph (b)(2)(i) of this section. (3) Look-alike contracts. For any newly listed commodity derivative contract subject to paragraph (b) of this section that is substantially the same as an existing contract listed on a designated contract market or swap execution facility that is a trading facility, the designated contract market or swap execution facility that is a trading facility listing such newly listed contract shall adopt spot month, individual month, and all-months-combined speculative position limits comparable to those of the existing contract. Alternatively, if such designated contract market or swap execution facility seeks to adopt speculative position limits that are not comparable to those of the existing contract, such designated contract market or swap execution facility shall demonstrate to the Commission how the levels comply with paragraphs (b)(1) and/or (b)(2) of this section. (4) Exemptions to exchange-set limits. A designated contract market or swap execution facility that is a trading facility may grant exemptions from any speculative position limits it sets under paragraph (b)(1) or (2) of this section in accordance with the following: (i) An entity seeking an exemption shall be required to apply to the designated contract market or swap execution facility for any such exemption from its speculative position limit rules; and (ii) A designated contract market or swap execution facility that is a trading facility may deny any such application, or limit, condition, or revoke any such exemption, at any time after providing notice to the applicant. Such designated contract market or swap execution facility shall consider whether the requested exemption would result in positions that would not be in accord with sound commercial practices in the relevant commodity derivative market and/or would exceed an amount that may be established and liquidated in an orderly fashion in that market. (c) Requirements for security futures products. For security futures products, speculative position limits and position accountability requirements are specified in § 41.25 of this chapter. (d) Rules on aggregation. For commodity derivative contracts in a physical commodity, a designated contract market or swap execution facility that is a trading facility shall have aggregation rules that conform to § 150.4. (e) Requirements for submissions to the Commission. In order for a designated contract market or swap execution facility that is a trading facility to adopt speculative position limits and/or position accountability pursuant to paragraph (a) or (b) of this section and/or to elect to offer exemptions from any such levels pursuant to such paragraphs, the designated contract market or swap execution facility shall submit to the Commission pursuant to part 40 of this chapter rules establishing such levels and/or exemptions. To the extent that a designated contract market or swap execution facility adopts speculative position limit levels, such part 40 submission shall also include the methodology by which such levels are calculated. The designated contract market or swap execution facility shall review such speculative position limit levels regularly for compliance with this section and update such speculative position limit levels as needed. (f) Delegation of authority to the Director of the Division of Market Oversight —(1) Commission delegations. The Commission hereby delegates, until it orders otherwise, to the Director of the Division of Market Oversight, or such other employee or employees as the Director may designate from time to time, the authority in paragraph (a)(4)(ii) of this section to provide instructions regarding the submission to the Commission of information required to be reported, pursuant to paragraph (a)(4)(i) of this section, by a designated contract market or swap execution facility, to specify the manner for submitting such information on the Forms and Submissions page at www.cftc.gov , and to determine the format, coding structure, and electronic data transmission procedures for submitting such information. (2) Commission consideration of delegated matter. The Director of the Division of Market Oversight may submit to the Commission for its consideration any matter which has been delegated in this section. (3) Commission authority. Nothing in this section prohibits the Commission, at its election, from exercising the authority delegated in this section." 17:17:2.0.1.1.22.0.1.6,17,Commodity and Securities Exchanges,I,,150,,,,,§ 150.6 Scope.,CFTC,,,"[86 FR 3472, Jan. 14, 2021]","This part shall only be construed as having an effect on speculative position limits set by the Commission or by a designated contract market or swap execution facility, including any associated recordkeeping and reporting regulations in this chapter. Nothing in this part shall be construed to relieve any designated contract market, swap execution facility, or its governing board from responsibility under section 5(d)(4) of the Act to prevent manipulation and corners. Further, nothing in this part shall be construed to affect any other provisions of the Act or Commission regulations, including, but not limited to, those relating to actual or attempted manipulation, corners, squeezes, fraudulent or deceptive conduct, or to prohibited transactions." 17:17:2.0.1.1.22.0.1.7,17,Commodity and Securities Exchanges,I,,150,,,,,§ 150.7 [Reserved],CFTC,,,, 17:17:2.0.1.1.22.0.1.8,17,Commodity and Securities Exchanges,I,,150,,,,,§ 150.8 Severability.,CFTC,,,"[86 FR 3472, Jan. 14, 2021]","If any provision of this part, or the application thereof to any person or circumstances, is held invalid, such invalidity shall not affect the validity of other provisions or the application of such provision to other persons or circumstances that can be given effect without the invalid provision or application." 17:17:2.0.1.1.22.0.1.9,17,Commodity and Securities Exchanges,I,,150,,,,,§ 150.9 Process for recognizing non-enumerated bona fide hedging transactions or positions with respect to Federal speculative position limits.,CFTC,,,"[86 FR 3472, Jan. 14, 2021]","For purposes of Federal speculative position limits, a person with a position in a referenced contract seeking recognition of such position as a non-enumerated bona fide hedging transaction or position, in accordance with § 150.3(a)(1)(ii), shall apply to the Commission, pursuant to § 150.3(b), or apply to a designated contract market or swap execution facility in accordance with this section. If such person submits an application to a designated contract market or swap execution facility in accordance with this section, and the designated contract market or swap execution facility, with respect to its own speculative position limits established pursuant to § 150.5(a), recognizes the person's position as a non-enumerated bona fide hedging transaction or position, then the person may also exceed the applicable Federal speculative position limit for such position in accordance with paragraph (e) of this section. The designated contract market or swap execution facility may approve such applications only if the designated contract market or swap execution facility complies with the conditions set forth in paragraphs (a) through (e) of this section. (a) Approval of rules. The designated contract market or swap execution facility must maintain rules that establish application processes and conditions for recognizing bona fide hedging transactions or positions consistent with the requirements of this section, and must seek approval of such rules from the Commission pursuant to § 40.5 of this chapter. (b) Prerequisites for a designated contract market or swap execution facility to recognize a bona fide hedging transaction or position in accordance with this section. (1) The designated contract market or swap execution facility lists the applicable referenced contract for trading; (2) The position meets the definition of bona fide hedging transaction or position in section 4a(c)(2) of the Act and the definition of bona fide hedging transaction or position in § 150.1; and (3) The designated contract market or swap execution facility does not recognize as a bona fide hedging transaction or position any position involving a commodity index contract and one or more referenced contracts, including exemptions known as risk management exemptions. (c) Application process. The designated contract market or swap execution facility's application process meets the following conditions: (1) Required application information. The designated contract market or swap execution facility requires the applicant to provide, and can obtain from the applicant, all information needed to enable the designated contract market or swap execution facility and the Commission to determine whether the facts and circumstances demonstrate that the designated contract market or swap execution facility may recognize a position as a bona fide hedging transaction or position, including the following: (i) A description of the position in the commodity derivative contract for which the application is submitted, including but not limited to, the name of the underlying commodity and the derivative position size; (ii) An explanation of the hedging strategy, including a statement that the position complies with the requirements of section 4a(c)(2) of the Act and the definition of bona fide hedging transaction or position in § 150.1, and information to demonstrate why the position satisfies such requirements and definition; (iii) A statement concerning the maximum size of all gross positions in commodity derivative contracts for which the application is submitted; (iv) A description of the applicant's activity in the cash markets and the swaps markets for the commodity underlying the position for which the application is submitted, including, but not limited to, information regarding the offsetting cash positions; and (v) Any other information the designated contract market or swap execution facility requires, in its discretion, to determine that the position complies with paragraph (b)(2) of this section, as applicable. (2) Timing of application. (i) Except as provided in paragraph (c)(2)(ii) of this section, the designated contract market or swap execution facility requires the applicant to submit an application and receive a notice of approval of such application from the designated contract market or swap execution facility prior to the date that the position for which such application was submitted would be in excess of the applicable Federal speculative position limits. (ii) A designated contract market or swap execution facility may adopt rules that allow a person, due to demonstrated sudden or unforeseen increases in its bona fide hedging needs, to file an application with the designated contract market or swap execution facility to request a recognition of a bona fide hedging transaction or position within five business days after the person established the position that exceeded the applicable Federal speculative position limit. (A) The designated contract market or swap execution facility must require that any application filed pursuant to paragraph (c)(2)(ii) of this section include an explanation of the circumstances warranting the sudden or unforeseen increases in bona fide hedging needs. (B) If an application filed pursuant to paragraph (c)(2)(ii) of this section is denied by the designated contract market, swap execution facility, or Commission, the applicant must bring its position within the applicable Federal speculative position limits within a commercially reasonable time as determined by the Commission in consultation with the applicant and the applicable designated contract market or swap execution facility. (C) The Commission will not pursue an enforcement action for a position limits violation for the person holding the position during the period of the designated contract market, swap execution facility, or Commission's review nor once a determination has been issued, so long as the application was submitted in good faith and the person complies with paragraph (c)(2)(ii)(B) of this section. (3) Renewal of applications. The designated contract market or swap execution facility requires each applicant to reapply with the designated contract market or swap execution facility to maintain such recognition at least on an annual basis by updating the initial application, and to receive a notice of extension of the original approval from the designated contract market or swap execution facility to continue relying on such recognition for purposes of Federal speculative position limits. If the facts and circumstances underlying a renewal application are materially different than the initial application, the designated contract market or swap execution facility is required to treat such application as a new request submitted through the § 150.9 process and subject to the Commission's 10/2-day review process in paragraph (e) of this section. (4) Exchange revocation authority. The designated contract market or swap execution facility retains its authority to limit, condition, or revoke, at any time after providing notice to the applicant, any bona fide hedging transaction or position recognition for purposes of the designated contract market or swap execution facility's speculative position limits established under § 150.5(a), for any reason as determined in the discretion of the designated contract market or swap execution facility, including if the designated contract market or swap execution facility determines that the position no longer meets the conditions set forth in paragraph (b) of this section, as applicable. (d) Recordkeeping. (1) The designated contract market or swap execution facility keeps full, complete, and systematic records, which include all pertinent data and memoranda, of all activities relating to the processing of such applications and the disposition thereof. Such records include: (i) Records of the designated contract market's or swap execution facility's recognition of any derivative position as a bona fide hedging transaction or position, revocation or modification of any such recognition, or the rejection of an application; (ii) All information and documents submitted by an applicant in connection with its application, including documentation and information that is submitted after the disposition of the application, and any withdrawal, supplementation, or update of any application; (iii) Records of oral and written communications between the designated contract market or swap execution facility and the applicant in connection with such application; and (iv) All information and documents in connection with the designated contract market or swap execution facility's analysis of, and action(s) taken with respect to, such application. (2) All books and records required to be kept pursuant to this section shall be kept in accordance with the requirements of § 1.31 of this chapter. (e) Process for a person to exceed Federal speculative position limits on a referenced contract —(1) Notification to the Commission. The designated contract market or swap execution facility must submit to the Commission a notification of each initial determination to recognize a bona fide hedging transaction or position in accordance with this section, concurrently with the notice of such determination the designated contract market or swap execution facility provides to the applicant. (2) Notification requirements. The notification in paragraph (e)(1) of this section shall include, at a minimum, the following information: (i) Name of the applicant; (ii) Brief description of the bona fide hedging transaction or position being recognized; (iii) Name of the contract(s) relevant to the recognition; (iv) The maximum size of the position that may exceed Federal speculative position limits; (v) The effective date and expiration date of the recognition; (vi) An indication regarding whether the position may be maintained during the last five days of trading during the spot month, or the time period for the spot month; and (vii) A copy of the application and any supporting materials. (3) Exceeding Federal speculative position limits on referenced contracts. A person may exceed Federal speculative position limits on a referenced contract after the designated contract market or swap execution facility issues the notification required pursuant to paragraph (e)(1) of this section, unless the Commission notifies the designated contract market or swap execution facility and the applicant otherwise, pursuant to paragraph (e)(5) or (6) of this section, before the ten business day period expires. (4) Exceeding Federal speculative position limits on referenced contracts due to sudden or unforeseen circumstances. If a person files an application for a recognition of a bona fide hedging transaction or position in accordance with paragraph (c)(2)(ii) of this section, then such person may rely on the designated contract market or swap execution facility's determination to grant such recognition for purposes of Federal speculative position limits two business days after the designated contract market or swap execution facility issues the notification required pursuant to paragraph (e)(1) of this section, unless the Commission notifies the designated contract market or swap execution facility and the applicant otherwise, pursuant to paragraph (e)(5) or (6) of this section, before the two business day period expires. (5) Commission stay of pending applications and requests for additional information. The Commission may stay an application that requires additional time to analyze, and/or may request additional information to determine whether the position for which the application is submitted meets the conditions set forth in paragraph (b) of this section. The Commission shall notify the applicable designated contract market or swap execution facility and the applicant of a Commission determination to stay the application and/or request any supplemental information, and shall provide an opportunity for the applicant to respond. The Commission will have an additional 45 days from the date of the stay notification to conduct the review and issue a determination with respect to the application. If the Commission stays an application and the applicant has not yet exceeded Federal speculative position limits, then the applicant may not exceed Federal speculative position limits unless the Commission approves the application. If the Commission stays an application and the applicant has already exceeded Federal speculative position limits, then the applicant may continue to maintain the position unless the Commission notifies the designated contract market or swap execution facility and the applicant otherwise, pursuant to paragraph (e)(6) of this section. (6) Commission determination for pending applications. If, during the Commission's ten or two business day review period in paragraphs (e)(3) and (4) of this section, the Commission determines that a position for which the application is submitted does not meet the conditions set forth in paragraph (b) of this section, the Commission shall: (i) Notify the designated contract market or swap execution facility and the applicant within ten or two business days, as applicable, after the designated contract market or swap execution facility issues the notification required pursuant to paragraph (e)(1) of this section; (ii) Provide an opportunity for the applicant to respond to such notification; (iii) Issue a determination to deny the application, or limit or condition the application approval for purposes of Federal speculative position limits and, as applicable, require the person to reduce the derivatives position within a commercially reasonable time, as determined by the Commission in consultation with the applicant and the applicable designated contract market or swap execution facility, or otherwise come into compliance; and (iv) The Commission will not pursue an enforcement action for a position limits violation for the person holding the position during the period of the Commission's review nor once the Commission has issued its determination, so long as the application was submitted in good faith and the person complies with any requirement to reduce the position pursuant to paragraph (e)(6)(iii) of this section, as applicable. (f) Commission revocation of applications previously approved. (1) If a designated contract market or a swap execution facility limits, conditions, or revokes any recognition of a bona fide hedging transaction or position for purposes of the respective designated contract market's or swap execution facility's speculative position limits established under § 150.5(a), then such recognition will also be deemed limited, conditioned, or revoked for purposes of Federal speculative position limits. (2) If the Commission determines, at any time, that a position that has been recognized as a bona fide hedging transaction or position for purposes of Federal speculative position limits is no longer consistent with section 4a(c)(2) of the Act or the definition of bona fide hedging transaction or position in § 150.1, the following applies: (i) The Commission shall notify the person holding the position and the relevant designated contract market or swap execution facility. After providing such person and such designated contract market or swap execution facility an opportunity to respond, the Commission may, in its discretion, limit, condition, or revoke its determination for purposes of Federal speculative position limits and require the person to reduce the derivatives position within a commercially reasonable time as determined by the Commission in consultation with such person and such designated contract market or swap execution facility, or otherwise come into compliance; (ii) The Commission shall include in its notification a brief explanation of the nature of the issues raised and the specific provisions of the Act or the Commission's regulations with which the position or application is, or appears to be, inconsistent; and (iii) The Commission will not pursue an enforcement action for a position limits violation for the person holding the position during the period of the Commission's review, nor once the Commission has issued its determination, provided the person submitted the application in good faith and reduces the position within a commercially reasonable time, as determined by the Commission in consultation with such person and the relevant designated contract market or swap execution facility, or otherwise comes into compliance. (g) Delegation of authority to the Director of the Division of Market Oversight —(1) Commission delegations. The Commission hereby delegates, until it orders otherwise, to the Director of the Division of Market Oversight, or such other employee or employees as the Director may designate from time to time, the authority to request additional information, pursuant to paragraph (e)(5) of this section, from the applicable designated contract market or swap execution facility and applicant. (2) Commission consideration of delegated matter. The Director of the Division of Market Oversight may submit to the Commission for its consideration any matter which has been delegated in this section. (3) Commission authority. Nothing in this section prohibits the Commission, at its election, from exercising the authority delegated in this section." 21:21:2.0.1.1.32.2.1.1,21,Food and Drugs,I,B,150,"PART 150—FRUIT BUTTERS, JELLIES, PRESERVES, AND RELATED PRODUCTS",B,"Subpart B—Requirements for Specific Standardized Fruit Butters, Jellies, Preserves, and Related Products",,§ 150.110 Fruit butter.,FDA,,,"[42 FR 14445, Mar. 15, 1977, as amended at 47 FR 11831, Mar. 19, 1982; 49 FR 10101, Mar. 19, 1984; 54 FR 24895, June 12, 1989; 58 FR 2882, Jan. 6, 1993; 63 FR 14035, Mar. 24, 1998]","(a) The fruit butters for which definitions and standards of identity are prescribed by this section are the smooth, semisolid foods each of which is made from a mixture of one or a permitted combination of the optional fruit ingredients specified in paragraph (b) of this section and one or any combination of the optional ingredients specified in paragraph (c) of this section, which meets the specifications in paragraph (d) of this section, and which is labeled in accordance with paragraph (e) of this section. Such mixture is concentrated with or without heat. The volatile flavoring materials or essence from such mixture may be captured during concentration, separately concentrated, and added back to any such mixture, together with any concentrated essence accompanying any optional fruit ingredient. (b)(1) Each of the optional fruit ingredients referred to in paragraph (a) of this section is prepared by cooking one of the following fresh, frozen, canned, and/or dried (evaporated) mature fruits, with or without added water, and screening out skins, seeds, pits, and cores: Factor Referred to in Paragraph (d)(2) of This Section (2) The permitted combinations are of two, three, four, and five of the fruit ingredients specified in paragraph (b)(1) of this section; the weight of each is not less than one-fifth of the weight of the combination. Each such fruit ingredient in any such combination is an optional ingredient. (c) The following safe and suitable optional ingredients may be used: (1) Nutritive carbohydrate sweeteners. (2) Spice. (3) Flavoring (other than artificial flavoring). (4) Salt. (5) Acidifying agents. (6) Fruit juice or diluted fruit juice or concentrated fruit juice, in a quantity not less than one-half the weight of the optional fruit ingredient. (7) Preservatives. (8) Antifoaming agents except those derived from animal fats. (9) Pectin, in a quantity which reasonably compensates for deficiency, if any, of the natural pectin content of the fruit ingredient. (d) For the purposes of this section: (1) The mixture referred to in paragraph (a) of this section shall contain not less than five parts by weight of the fruit ingredient as measured in accordance with paragraph (d)(2) of this section to each two parts by weight of nutritive carbohydrate sweetener as measured in accordance with paragraph (d)(4) of this section. (2) Any requirement with respect to the weight of any optional fruit ingredient, whether concentrated, unconcentrated, or diluted, means the weight determined by the following method: (i) Determine the percent of soluble solids in the optional fruit ingredient by the method for soluble solids referred to in paragraph (d)(3) of this section; (ii) multiply the percent so found by the weight of such fruit ingredient; (iii) divide the result by 100; (iv) subtract from the quotient the weight of any nutritive sweetener solids or other added solids; and (v) multiply the remainder by the factor for such ingredient prescribed in paragraph (b)(1) of this section. The result is the weight of the optional fruit ingredient. (3) The soluble solids content of the finished fruit butter is not less than 43 percent, as determined by the method prescribed in “Official Methods of Analysis of the Association of Official Analytical Chemists” (AOAC), 13th Ed. (1980), section 22.024, under “Soluble Solids by Refractometer in Fresh and Canned Fruits, Fruit Jellies, Marmalades, and Preserves—Official Final Action,” which is incorporated by reference, except that no correction is made for water-insoluble solids. Copies may be obtained from the AOAC INTERNATIONAL, 481 North Frederick Ave., suite 500, Gaithersburg, MD 20877, or may be examined 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. (4) The weight of any nutritive carbohydrate sweetener means the weight of the solids of such ingredient. (5) The weight of fruit juice or diluted fruit juice or concentrated fruit juice (optional ingredient, paragraph (c)(6)) from a fruit specified in paragraph (b)(1) of this section is the weight of such juice, as determined by the method prescribed in paragraph (d)(2) of this section, except that the percent of soluble solids is determined by the method prescribed in the AOAC, 13th Ed. (1980), section 31.011, under “Solids by Means of Refractometer—Official Final Action,” which is incorporated by reference; the weight of diluted concentrated juice from any other fruits is the original weight of the juice before it was diluted or concentrated. The availability of this incorporation by reference is given in paragraph (d)(3) of this section. (e)(1) Label declaration. Each of the ingredients used in the food shall be declared on the label as required by the applicable sections of parts 101 and 130 of this chapter, except that: (i) In case the fruit butter is made from a single fruit ingredient, the name is “Butter”, preceded by the name where by such fruit is designated in paragraph (b)(1) of this section. (ii) In case the fruit butter is made from a combination of two, three, four, or five fruit ingredients, the name is “Butter”, preceded by the words “Mixed fruit” or by the names whereby such fruits are designated in paragraph (b)(1) of this section, in the order of predominance, if any, of the weight of such fruit ingredients in the combination. (2) Each of the optional ingredients specified in paragraphs (b) and (c) of this section shall be declared on the label as required by the applicable sections of part 101 of this chapter, except that: (i) Other than in the case of dried (evaporated) fruit the name(s) of the fruit or fruits used may be declared without specifying the particular form of the fruit or fruits used. When the optional fruit ingredient is prepared in whole or in part from dried fruit, the label shall bear the words “prepared from” or “prepared in part from”, as the case may be, followed by the word “evaporated” or “dried”, followed by the name whereby such fruit is designated in paragraph (c) of this section. When two or more such optional fruit ingredients are used, such names, each preceded by the word “evaporated” or “dried”, shall appear in the order of predominance, if any, of the weight of such ingredients in the combination. (ii) [Reserved]" 21:21:2.0.1.1.32.2.1.2,21,Food and Drugs,I,B,150,"PART 150—FRUIT BUTTERS, JELLIES, PRESERVES, AND RELATED PRODUCTS",B,"Subpart B—Requirements for Specific Standardized Fruit Butters, Jellies, Preserves, and Related Products",,§ 150.140 Fruit jelly.,FDA,,,"[42 FR 14445, Mar. 15, 1977, as amended at 47 FR 11831, Mar. 19, 1982; 49 FR 10101, Mar. 19, 1984; 54 FR 24895, June 12, 1989; 58 FR 2882, Jan. 6, 1993; 63 FR 14035, Mar. 24, 1998]","(a) The jellies for which definitions and standards of identity are prescribed by this section are the jelled foods each of which is made from a mixture of one or a permitted combination of the fruit juice ingredients specified in paragraph (b) of this section and one or any combination of the optional ingredients specified in paragraph (c) of this section, which meets the specifications in paragraph (d) of this section and which is labeled in accordance with paragraph (e) of this section. Such mixture is concentrated with or without heat. The volatile flavoring materials or essence from such mixture may be captured during concentration, separately concentrated, and added back to any such mixture, together with any concentrated essence accompanying any optional fruit ingredient. (b)(1) Each of the fruit juice ingredients referred to in paragraph (a) of this section is the filtered or strained liquid extracted with or without the application of heat and with or without the addition of water, from one of the following mature, properly prepared fruits which are fresh, frozen and/or canned: Factor Referred to in Paragraph (d)(2) of This Section (2) The permitted combinations are of two, three, four, or five of the fruit juice ingredients specified in paragraph (b)(1) of this section, the weight of each is not less than one-fifth of the weight of the combination. Each such fruit juice ingredient in any such combination is an optional ingredient. (c) The following safe and suitable optional ingredients may be used: (1) Nutritive carbohydrate sweeteners. (2) Spice. (3) Acidifying agents. (4) Pectin, in a quantity which reasonably compensates for deficiency, if any, of the natural pectin content of the fruit juice ingredient. (5) Buffering agents. (6) Preservatives. (7) Antifoaming agents except those derived from animal fats. (8) Mint flavoring and artificial green coloring, in case the fruit juice ingredient or combination of fruit juice ingredients is extracted from apple, crabapple, pineapple, or two or all of such fruits. (9) Cinnamon flavoring, other than artificial flavoring, and artificial red coloring in case the fruit juice ingredient or combination of fruit juice ingredients is extracted from apple or crabapple or both such fruits. (d) For the purposes of this section: (1) The mixture referred to in paragraph (a) of this section shall contain not less than 45 parts by weight of the fruit juice ingredients as measured in accordance with paragraph (d)(2) of this section to each 55 parts by weight of saccharine ingredient as measured in accordance with paragraph (d)(4) of this section. (2) Any requirement with respect to the weight of any fruit juice ingredient, whether prepared from concentrated, unconcentrated, or diluted fruit juice means the weight determined by the following method: (i) Determine the percent of soluble solids in such fruit juice ingredient by the method for soluble solids referred to in paragraph (d)(3) of this section; (ii) multiply the percent so found by the weight of such fruit juice ingredient; (iii) divide the result by 100; (iv) subtract from the quotient the weight of any added saccharine ingredient solids or other added solids; and (v) multiply the remainder by the factor for such fruit juice ingredient prescribed in paragraph (b) of this section. The result is the weight of the fruit juice ingredient. (3) The soluble-solids content of the finished jelly is not less than 65 percent, as determined by the method prescribed in “Official Methods of Analysis of the Association of Official Analytical Chemists,” 13th Ed. (1980), section 31.011, under “Solids by Means of Refractometer—Official Final Action,” which is incorporated by reference. Copies may be obtained from the AOAC INTERNATIONAL, 481 North Frederick Ave., suite 500, Gaithersburg, MD 20877, or may be examined 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. (4) The weight of any optional saccharine ingredient means the weight of the solids of such ingredient. (e)(1) The name of each jelly for which a definition and standard of identity is prescribed by this section is as follows: (i) In case the jelly is made with a single fruit juice ingredient, the name is “Jelly”, preceded or followed by the name or synonym whereby the fruit from which such fruit juice ingredient was extracted is designated in paragraph (b) of this section. (ii) In case the jelly is made with a combination of two, three, four, or five fruit juice ingredients, the name is “Jelly”, preceded or followed by the words “Mixed fruit” or by the names or synonyms whereby the fruits from which the fruit juice ingredients were extracted are designated in paragraph (b) of this section, in the order of predominance, if any, of the weights of any such fruit juice ingredients in the combination. (2) Label declaration. Each of the ingredients used in the food shall be declared on the label as required by the applicable sections of parts 101 and 130 of this chapter, except that: (i) The name(s) of the fruit or fruits used may be declared without specifying the particular form of the fruit or fruits used. (ii) When the optional ingredients listed in paragraphs (c) (3), (4), and (5) of this section are declared on the label, the declaration may be followed by the statement “Used as needed” on all jellies to which they are customarily, but not always, added to compensate for natural variations in the fruit juice ingredients used." 21:21:2.0.1.1.32.2.1.3,21,Food and Drugs,I,B,150,"PART 150—FRUIT BUTTERS, JELLIES, PRESERVES, AND RELATED PRODUCTS",B,"Subpart B—Requirements for Specific Standardized Fruit Butters, Jellies, Preserves, and Related Products",,§ 150.160 Fruit preserves and jams.,FDA,,,"[42 FR 14445, Mar. 15, 1977, as amended at 47 FR 11831, Mar. 19, 1982; 49 FR 10101, Mar. 19, 1984; 54 FR 24895, June 12, 1989; 58 FR 2882, Jan. 6, 1993; 63 FR 14035, Mar. 24, 1998]","(a) The preserves or jams for which definitions and standards of identity are prescribed by this section are the viscous or semi-solid foods, each of which is made from a mixture composed of one or a permitted combination of the fruit ingredients specified in paragraph (b) of this section and one or any combination of the optional ingredients specified in paragraph (c) of this section which meets the specifications in paragraph (d) of this section, and which is labeled in accordance with paragraph (e) of this section. Such mixture, with or without added water, is concentrated with or without heat. The volatile flavoring material from such mixture may be captured during concentration, separately concentrated, and added back to any such mixture, together with any concentrated essence accompanying any optional fruit ingredient. (b)(1) The fruit ingredients referred to in paragraph (a) of this section are the following mature, properly prepared fruits which are fresh, concentrated, frozen and/or canned: Group I Blackberry (other than dewberry), Black raspberry, Blueberry, Boysenberry, Cherry, Crabapple, Dewberry (other than boysenberry, loganberry, and youngberry) Elderberry, Grape, Grapefruit, Huckleberry, Loganberry, Orange, Pineapple, Raspberry, red raspberry, Rhubarb, Strawberry, Tangerine, Tomato, Yellow tomato, Youngberry Blackberry (other than dewberry), Black raspberry, Blueberry, Boysenberry, Cherry, Crabapple, Dewberry (other than boysenberry, loganberry, and youngberry) Elderberry, Grape, Grapefruit, Huckleberry, Loganberry, Orange, Pineapple, Raspberry, red raspberry, Rhubarb, Strawberry, Tangerine, Tomato, Yellow tomato, Youngberry Group II Apricot, Cranberry, Damson, damson plum, Fig, Gooseberry, Greengage, greengage plum, Guava, Nectarine, Peach, Pear, Plum (other than greengage plum and damson plum), Quince, Red currant, currant (other than black currant) Apricot, Cranberry, Damson, damson plum, Fig, Gooseberry, Greengage, greengage plum, Guava, Nectarine, Peach, Pear, Plum (other than greengage plum and damson plum), Quince, Red currant, currant (other than black currant) (2) The following combinations of fruit ingredients may be used: (i) Any combination of two, three, four, or five of such fruits in which the weight of each is not less than one-fifth of the weight of the combination; except that the weight of pineapple may be not less than one-tenth of the weight of the combination. (ii) Any combination of apple and one, two, three, or four of such fruits in which the weight of each is not less than one-fifth and the weight of apple is not more than one-half of the weight of the combination; except that the weight of pineapple may be not less than one-tenth of the weight of the combination. In any combination of two, three, four, or five fruits, each such fruit is an optional ingredient. For the purposes of this section the word “fruit” includes the vegetables specified in this paragraph. (c) The following safe and suitable optional ingredients may be used: (1) Nutritive carbohydrate sweeteners. (2) Spice. (3) Acidifying agents. (4) Pectin, in a quantity which reasonably compensates for deficiency, if any, of the natural pectin content of the fruit ingredient. (5) Buffering agents. (6) Preservatives. (7) Antifoaming agents, except those derived from animal fat. (d) For the purposes of this section: (1) The mixture referred to in paragraph (a) of this section shall be composed of not less than: (i) In the case of a fruit ingredient consisting of a Group I fruit or a permitted combination exclusively of Group I fruits, 47 parts by weight of the fruit ingredient to each 55 parts by weight of the saccharine ingredient; and (ii) in all other cases, 45 parts by weight of the fruit ingredient to each 55 parts by weight of the saccharine ingredient. The weight of the fruit ingredient shall be determined in accordance with paragraph (d)(2) of this section, and the weight of the saccharine ingredient shall be determined in accordance with paragraph (d)(5) of this section. (2) Any requirement with respect to the weight of any fruit, combination of fruits, or fruit ingredient means: (i) The weight of fruit exclusive of the weight of any sugar, water, or other substance added for any processing or packing or canning, or otherwise added to such fruit. (ii) In the case of fruit prepared by the removal, in whole or in part, of pits, seeds, skins, cores, or other parts; the weight of such fruit, exclusive of the weight of all such substances removed therefrom. (iii) In the cases of apricots, cherries, grapes, nectarines, peaches, and all varieties of plums, whether or not pits and seeds are removed therefrom; the weight of such fruit, exclusive of the weight of such pits and seeds. (iv) In the case of concentrated fruit, the weight of the properly prepared fresh fruit used to produce such concentrated fruit. (3) The term concentrated fruit means a concentrate made from the properly prepared edible portion of mature fresh or frozen fruits by removal of moisture with or without the use of heat or vacuum, but not to the point of drying. Such concentrate is canned or frozen without the addition of sugar or other sweetening agents and is identified to show or permit the calculation of the weight of the properly prepared fresh fruit used to produce any given quantity of such concentrate. The volatile flavoring material or essence from such fruits may be captured during concentration and separately concentrated for subsequent addition to the concentrated fruit either directly or during manufacture of the preserve or jam, in the original proportions present in the fruit. (4) The weight of any optional saccharine ingredient means the weight of the solids of such ingredient. (5) The soluble-solids content of the finished jam or preserve is not less than 65 percent, as determined by the method prescribed in “Official Methods of Analysis of the Association of Official Analytical Chemists,” 13th Ed. (1980), section 22.024, under “Soluble Solids by Refractometer in Fresh and Canned Fruits, Jellies, Marmalades, and Preserves—Official Final Action,” which is incorporated by reference, except that no correction is made for water-insoluble solids. Copies may be obtained from the AOAC INTERNATIONAL, 481 North Frederick Ave., suite 500, Gaithersburg, MD 20877, or may be examined 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. (e)(1) The name of each preserve or jam for which a definition and standard of identity is prescribed by this section is as follows: (i) If the fruit ingredient is a single fruit, the name is “Preserve” or “Jam”, preceded or followed by the name or synonym whereby such fruit is designated in paragraph (b) of this section. (ii) If the fruit ingredient is a combination of two, three, four, or five fruits, the name is “Preserve” or “Jam”, preceded or followed by the words “Mixed fruit” or by the names or synonyms whereby such fruits are designated in paragraph (b) of this section, in the order of predominance, if any, of the weights of such fruits in the combination. (2) Label declaration. Each of the ingredients used in the food shall be declared on the label as required by the applicable sections of parts 101 and 130 of this chapter, except that: (i) The name(s) of the fruit or fruits used may be declared without specifying the particular form of the fruit or fruits used. (ii) When the optional ingredients listed in paragraphs (c) (3), (4), and (5) of this section are declared on the label, the declaration may be followed by the statement “used as needed” on all preserves or jams to which they are customarily, but not always, added to compensate for natural variations in the fruit ingredients used." 33:33:2.0.1.4.18.1.120.1,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,A,Subpart A—General,,§ 150.1 What does this part do?,USCG,,,,This part provides requirements for the operation of deepwater ports. 33:33:2.0.1.4.18.1.120.10,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,A,Subpart A—General,,§ 150.45 Emergency deviation from this subchapter or the operations manual.,USCG,,,"[USCG-1998-3884, 71 FR 57651, Sept. 29, 2006, as amended by USCG-2013-0397, 78 FR 39181, July 1, 2013]","In an emergency, any person may deviate from any requirement in this subchapter, or any procedure in the operations manual, to ensure the safety of life, property, or the environment. Each deviation must be reported to the Sector Commander, or MSU Commander, with COTP and OCMI authority, at the earliest possible time." 33:33:2.0.1.4.18.1.120.11,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,A,Subpart A—General,,§ 150.50 What are the requirements for a facility spill response plan?,USCG,,,"[USCG-1998-3884, 71 FR 57651, Sept. 29, 2006, as amended by USCG-2013-0397, 78 FR 39181, July 1, 2013]","(a) Each deepwater port which meets the applicability requirements of part 154 subpart F of this chapter must have a facility response plan that is approved by the Sector Commander, or MSU Commander, with COTP and OCMI authority. (b) Each natural gas deepwater port must have a natural gas facility emergency plan that meets part 127, subpart B of this chapter. (c) The response plan must be submitted to the Sector Commander, or MSU Commander, with COTP and OCMI authority, in writing, not less than 60 days before the deepwater port begins operation." 33:33:2.0.1.4.18.1.120.2,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,A,Subpart A—General,,§ 150.5 Definitions.,USCG,,,,See § 148.5 of this chapter for the definition of certain terms used in this part. 33:33:2.0.1.4.18.1.120.3,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,A,Subpart A—General,,§ 150.10 What are the general requirements for operations manuals?,USCG,,,"[USCG-1998-3884, 71 FR 57651, Sept. 29, 2006, as amended by USCG-2013-0397, 78 FR 39180, July 1, 2013]","(a) Each deepwater port must have an operations manual that addresses policies and procedures for normal and emergency operations conducted at the deepwater port. The operations manual must, at a minimum, include the requirements outlined in § 150.15 of this part. (b) The operations manual is reviewed and approved by the Commandant (CG-5P), who may consult with the local Sector Commander, or MSU Commander, with COTP and OCMI authority, as meeting the requirements of the Act and this subchapter. The original manual is approved as part of the application process in part 148 of this chapter. (c) The Sector Commander, or MSU Commander, with COTP and OCMI authority may approve subsequent changes to the operations manual, provided the Commandant (CG-5P) is notified and consulted regarding any significant modifications. (d) The manual must be readily available on the deepwater port for use by personnel. (e) The licensee must ensure that all personnel are trained and follow the procedures in the manual while at the deepwater port." 33:33:2.0.1.4.18.1.120.4,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,A,Subpart A—General,,§ 150.15 What must the operations manual include?,USCG,,,"[USCG-1998-3884, 71 FR 57651, Sept. 29, 2006, as amended by USCG-2013-0397, 78 FR 39180, July 1, 2013]","The operations manual required by § 150.10 of this part must identify the deepwater port and include the information required in this section. (a) General information. A description of the geographic location of the deepwater port. (b) A physical description of the deepwater port. (c) Engineering and construction information, including all defined codes and standards used for the deepwater port structure and systems. The operator must include schematics of all applicable systems. Schematics must show the location of valves, gauges, system working pressure, relief settings, monitoring systems, and other pertinent information. (d) Communications system. A description of a comprehensive communications plan, including: (1) Dedicated frequencies; (2) Communication alerts and notices between the deepwater port and arriving and departing vessels; and (3) Mandatory time intervals or communication schedules for maintaining a live radio watch, and monitoring frequencies for communication with vessels and aircraft. (e) Facility plan. A layout plan for the mooring areas, navigation aids, cargo transfer locations, and control stations. (f) The hours of operation. (g) The size, type, number, and simultaneous operations of tankers that the deepwater port can handle. (h) Calculations, with supporting data or other documentation, to show that the charted water depth at each proposed mooring location is sufficient to provide at least a net under keel clearance of 5 feet, at the mean low water condition. (i) Tanker navigation procedures. The procedures for tanker navigation, including the information required in paragraphs (i)(1) through (i)(9) of this section. (1) The operating limits, maneuvering capability, draft, net under keel clearance, tonnage, length, and breadth of the tanker that will be accommodated at each designated mooring. (2) The speed limits proposed for tankers in the safety zone and area to be avoided around the deepwater port. (3) Any special navigation or communication equipment that may be required for operating in the safety zone and area to be avoided. (4) The measures for routing vessels, including a description of the radar navigation system to be used in operation of the deepwater port: (i) Type of radar; (ii) Characteristics of the radar; (iii) Antenna location; (iv) Procedures for surveillance of vessels approaching, departing, navigating, and transiting the safety zone and area to be avoided; (v) Advisories to each tanker underway in the safety zone regarding the vessel's position, deepwater port conditions, and status of adjacent vessel traffic; (vi) Notices that must be made, as outlined in § 150.325 of this part, by the tanker master regarding the vessel's characteristics and status; and (vii) Rules for navigating, mooring, and anchoring in a safety zone, area to be avoided, and anchorage area. (5) Any mooring equipment needed to make up to the single point mooring (SPM). (6) The procedures for clearing tankers, support vessels, and other vessels and aircraft during emergency and routine conditions. (7) Weather limits for tankers, including a detailed description of how to forecast the wind, wave, and current conditions for: (i) Shutdown of cargo transfer operations; (ii) Departure of the tanker from the mooring; (iii) Prohibition on mooring at the deepwater port or SPM; and (iv) Shutdown of all deepwater port operations and evacuation of the deepwater port. (8) Any special illumination requirements for vessel arrival, discharge, and departure operations. (9) Any special watchstanding requirements for vessel transiting, mooring, or anchoring. (j) Personnel. The duties, title, qualifications, and training of all deepwater port personnel responsible for managing and carrying out the following deepwater port activities and functions: (1) Vessel traffic management; (2) Cargo transfer operations; (3) Safety and fire protection; (4) Maintenance and repair operations; (5) Emergency procedures; and (6) Deepwater port security. (k) The personnel assigned to supervisory positions must be designated, in writing, by the licensee and have the appropriate experience and training to satisfactorily perform their duties. The Commandant (CG-5P) will review and approve the qualifications for all proposed supervisory positions. (l) Cargo transfer procedures. The procedures for cargo transfer must comply with the applicable requirements of parts 154 and 156 for oil, and subpart B (Operations) to part 127 for natural gas, respectively, of this chapter, including the requirements specified in paragraphs (l)(1) through (l)(10) of this section. (1) The requirements for oil transfers in accordance with subpart A to part 156 of this chapter regarding: (i) Pre-transfer conference; (ii) Inspection of transfer site and equipment such as hoses, connectors, closure devices, monitoring devices, and containment; (iii) Connecting and disconnecting transfer equipment, including a floating hose string for a single point mooring (SPM); (iv) Preparation of the Declaration of Inspection; and (v) Supervision by a person in charge. (2) The requirements for natural gas transfers in accordance with subpart B to part 127 of this chapter regarding: (i) Pre-transfer conference; (ii) Inspection of transfer site and equipment such as hoses, connectors, closure devices, leak monitoring devices, and containment; (iii) Connecting and disconnecting of transfer equipment, including to a floating hose string for a SPM; (iv) Line purging to test for leaks and to prepare for cool-down or heat-up phases as appropriate; (v) Preparation of the Declaration of Inspection; and (vi) Supervision by a deepwater port person in charge. (3) The shipping name of, and Material Safety Data Sheet on, any product transferred. (4) The duties, title, qualifications, and training of personnel of the deepwater port designated as the person in charge and responsible for managing cargo transfers, including ballasting operations if applicable to the deepwater port, in accordance with subpart D of part 154 for oil, and subpart B (Operations) of part 127 for natural gas, respectively, of this chapter. (5) Minimum requirements for watch personnel on board the vessel during transfer operations, such as personnel necessary for checking mooring gear, monitoring communications, and maintaining propulsion and steering on standby. (6) The start up and completion of pumping. (7) Emergency shutdown. (8) The maximum relief valve settings, the maximum available working pressure, and hydraulic shock to the system without relief valves, or both. (9) Equipment necessary to discharge cargo to the port complex without harm to the environment or to persons involved in the cargo transfer, including piping, adapters, bolted flanges, and quick-disconnect coupling. (10) A description of the method used to water and de-water the single point mooring hoses when required. (m) Unusual arrangements that may be applicable, including: (1) A list and description of any extraordinary equipment or assistance available to vessels with inadequate pumping capacity, small cargoes, small diameter piping, or inadequate crane capacity; and (2) A description of special storage or delivery arrangements for unusual cargoes; for example, cool-down requirements for transfer system components prior to transfer of liquefied natural gas. (n) Maintenance procedures. A maintenance program to document service and repair of key equipment such as: (1) Cargo transfer equipment; (2) Firefighting and fire protection equipment; (3) Facility support services, such as generators, evaporators, etc.; (4) Safety equipment; and (5) Cranes. (o) A waste management plan comparable to § 151.57 of this chapter. (p) Occupational health and safety training procedures. Policy and procedures to address occupational health and safety requirements outlined in §§ 150.600 to 150.632 of this part, including: (1) Employee training in safety and hazard awareness, and proper use of personnel protective equipment; (2) Physical safety measures in the workplace, such as housekeeping and illumination of walking and working areas; (3) Fall arrest; (4) Personnel transfer nets; (5) Hazard communication (right-to-know); (6) Permissible exposure limits; (7) Machine guarding; (8) Electrical safety; (9) Lockout/tagout; (10) Crane safety; (11) Sling usage; (12) Hearing conservation; (13) Hot work; (14) Warning signs; (15) Confined space safety; and (16) Initial and periodic training and certification to be documented for each deepwater port employee and for visitors, where appropriate; for example, safety orientation training. (q) Emergency notification procedures. Emergency internal and external notification procedures: (1) Names and numbers of key deepwater port personnel; (2) Names and numbers of law enforcement and response agencies; (3) Names and numbers of persons in charge of any Outer Continental Shelf facility that, due to close proximity, could be affected by an incident at the deepwater port. (r) Quantity, type, location, and use of safety and fire protection equipment, including the fire plan. (s) Aerial operations such as helicopter landing pad procedures. (t) Deepwater port response procedures for: (1) Fire; (2) Reportable product spill; (3) Personnel injury, including confined space rescue; and (4) Terrorist activity, as described in the deepwater port security plan. (u) Emergency evacuation procedures comparable to § 146.140(d) of this chapter. (v) Designation of and assignment of deepwater port personnel to response teams for specific contingencies. (w) Individual and team training for incident response, in accordance with 46 CFR 109.213, to cover: (1) Care and use of equipment; (2) Emergency drills and response, to include: (i) Type; (ii) Frequency, which must be at least annually; and (iii) Documentation, including records, reports and dissemination of “lessons learned”. (3) Documentation of the following minimum training requirements for response team members: (i) Marine firefighting training; (ii) First aid/CPR; (iii) Water survival; (iv) Spill response and clean up; (v) Identification of at least one employee trained and certified at the basic level as an emergency medical technician; and (vi) Identification of at least two employees trained and certified as offshore competent persons in prevention of inadvertent entry into hazardous confined spaces. (x) Security procedures. Deepwater port operators must develop a deepwater port security plan comparable to those required by 33 CFR part 106. The plan must address at least: (1) Access controls for goods and materials and access controls for personnel that require positive and verifiable identification; (2) Monitoring and alerting of vessels that approach or enter the deepwater port's security zone; (3) Risk identification and procedures for detecting and deterring terrorist or subversive activity, such as security lighting and remotely-alarmed restricted areas; (4) Internal and external notification and response requirements in the event of a perceived threat or an attack on the deepwater port; (5) Designation of the deepwater port security officer; (6) Required security training and drills for all personnel; and (7) The scalability of actions and procedures for the various levels of threat. (y) Special operations procedures. Include procedures for any special operations, such as: (1) Evacuation and re-manning; (2) Refueling; (3) Diving; (4) Support vessel operations; (5) Providing logistical services; and (6) Contingency response for events that could affect nearby existing Outer Continental Shelf oil and gas facilities, such as explosions, fires, or product spills. (z) Recordkeeping of maintenance procedures, tests, and emergency drills outlined elsewhere in the operations manual. (aa) Environmental procedures. A program for maintaining compliance with license conditions and applicable environmental laws, by periodic monitoring of the environmental effects of the port and its operations, including: (1) Air and water monitoring in accordance with applicable Federal and State law; (2) A routine re-examination, not less than once every 5 years, of the physical, chemical, and biological factors contained in the deepwater port's environmental impact analysis and baseline study submitted with the license application; and (3) A risk management plan, addressing the potential for an uncontrolled release; or provision for more detailed studies following any uncontrolled release or other unusual event that adversely affects the environment." 33:33:2.0.1.4.18.1.120.5,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,A,Subpart A—General,,§ 150.20 How many copies of the operations manual must be given to the Coast Guard?,USCG,,,"[USCG-1998-3884, 71 FR 57651, Sept. 29, 2006, as amended by USCG-2013-0397, 78 FR 39181, July 1, 2013]","The draft operations manual must be included with the application, and the number of copies is governed by § 148.115 of this chapter. At least five copies of the final operations manual, and of any subsequent amendment, must be submitted to the Commandant (CG-5P). Additional copies may be required to meet the needs of other agencies." 33:33:2.0.1.4.18.1.120.6,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,A,Subpart A—General,,§ 150.25 Amending the operations manual.,USCG,,,"[USCG-1998-3884, 71 FR 57651, Sept. 29, 2006, as amended by USCG-2013-0397, 78 FR 39181, July 1, 2013]","(a) Whenever the cognizant Sector Commander, or MSU Commander, with COTP and OCMI authority finds that the operations manual does not meet the requirements of this part, the COTP notifies the licensee, in writing, of the inadequacies in the manual. (b) Within 45 days after the notice under paragraph (a) of this section is sent, the licensee must submit written proposed amendments to eliminate the inadequacies. (c) The cognizant Sector Commander, or MSU Commander, with COTP and OCMI authority reviews the amendments and makes a determination as to the adequacy of the amendments and notifies the licensee of the determination. (d) If the Sector Commander, or MSU Commander, with COTP and OCMI authority decides that an amendment is necessary, the amendment goes into effect 60 days after the Sector Commander, or MSU Commander, with COTP and OCMI authority notifies the licensee of the amendment. (e) The licensee may petition the Commandant (CG-5P), via the appropriate district office, to review the decision of the Sector Commander, or MSU Commander, with COTP and OCMI authority. In this case, the effective date of the amendment is delayed pending the Commandant's decision. Petitions must be made in writing and presented to the Sector Commander, or MSU Commander, with COTP and OCMI authority to forward to the Commandant (CG-5P). (f) If the Sector Commander, or MSU Commander, with COTP and OCMI authority finds that a particular situation requires immediate action to prevent a spill or discharge, or to protect the safety of life and property, the he or she may issue an amendment effective on the date that the licensee receives it. The Sector Commander, or MSU Commander, with COTP and OCMI authority must include a brief statement of the reasons for the immediate amendment. The licensee may petition the District Commander for review, but the petition does not delay the effective date of the amendment." 33:33:2.0.1.4.18.1.120.7,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,A,Subpart A—General,,§ 150.30 Proposing an amendment to the operations manual.,USCG,,,"[USCG-1998-3884, 71 FR 57651, Sept. 29, 2006, as amended by USCG-2013-0397, 78 FR 39181, July 1, 2013]","(a) The licensee may propose an amendment to the operations manual: (1) By submitting to the Sector Commander, or to the MSU Commander, with COTP and OCMI authority, in writing, the amendment and reasons for the amendments not less than 30 days before the requested effective date of the amendment; or (2) If the amendment is needed immediately, by submitting the amendment, and reasons why the amendment is needed immediately, to the Sector Commander, or MSU Commander, with COTP and OCMI authority in writing. (b) The Sector Commander, or MSU Commander, with COTP and OCMI authority must respond to a proposed amendment by notifying the licensee, in writing, before the requested date of the amendment whether the request is approved. If the request is disapproved, the Sector Commander, or MSU Commander, with COTP and OCMI authority must include the reasons for disapproval in the notice. If the request is for an immediate amendment, the Sector Commander, or MSU Commander, with COTP and OCMI authority must respond as soon as possible." 33:33:2.0.1.4.18.1.120.8,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,A,Subpart A—General,,§ 150.35 How may an Adjacent Coastal State request an amendment to the deepwater port operations manual?,USCG,,,"[USCG-2013-0397, 78 FR 39181, July 1, 2013]","(a) An Adjacent Coastal State connected by pipeline to the deepwater port may petition the cognizant Sector Commander, or MSU Commander, with COTP and OCMI authority to amend the operations manual. The petition must include sufficient information to allow the Sector Commander, or MSU Commander, with COTP and OCMI authority to reach a decision concerning the proposed amendment. (b) After the Sector Commander, or MSU Commander, with COTP and OCMI authority receives a petition, the Sector Commander, or MSU Commander, with COTP and OCMI authority requests comments from the licensee. (c) After reviewing the petition and comments, and considering the costs and benefits involved, the Sector Commander, or MSU Commander, with COTP and OCMI authority may approve the petition if the proposed amendment will provide equivalent or improved protection and safety. The Adjacent Coastal State may petition the Commandant (CG-5P) to review the decision. Petitions must be made in writing and presented to the Sector Commander, or MSU Commander, with COTP and OCMI authority for forwarding to the Commandant (CG-5P) via the District Commander." 33:33:2.0.1.4.18.1.120.9,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,A,Subpart A—General,,§ 150.40 Deviating from the operations manual.,USCG,,,,"If, because of a particular situation, the licensee needs to deviate from the operations manual, the licensee must submit a written request to the Captain of the Port (COTP) explaining why the deviation is necessary and what alternative is proposed. If the COTP determines that the deviation would ensure equivalent or greater protection and safety, the COTP authorizes the deviation and notifies the licensee in writing." 33:33:2.0.1.4.18.10.151.1,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,J,"Subpart J—Safety Zones, No Anchoring Areas, and Areas To Be Avoided",,§ 150.900 What does this subpart do?,USCG,,,,"(a) This subpart provides requirements for the establishment, restrictions, and location of safety zones, no anchoring areas (NAAs), and areas to be avoided (ATBAs) around deepwater ports. (b) Subpart D of this part, concerning vessel navigation and activities permitted and prohibited at deepwater ports, applies to safety zones, NAAs, ATBAs, and their adjacent waters; and supplements the International Regulations for Preventing Collisions at Sea. (c) Recommended shipping safety fairways associated with deepwater ports are described in part 166 of this chapter." 33:33:2.0.1.4.18.10.151.2,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,J,"Subpart J—Safety Zones, No Anchoring Areas, and Areas To Be Avoided",,"§ 150.905 Why are safety zones, no anchoring areas, and areas to be avoided established?",USCG,,,"[USCG-1998-3884, 71 FR 57651, Sept. 29, 2006, as amended by USCG-2013-0397, 78 FR 39183, July 1, 2013]","(a) Safety zones, no anchoring areas (NAAs) and areas to be avoided (ATBAs) under this subchapter are established to promote safety of life and property, marine environmental protection, and navigational safety at deepwater ports and adjacent waters. (b) Safety zones are the only federally regulated navigation areas. They accomplish these objectives by preventing or controlling specific activities, limiting access by vessels or persons, and by protecting the living resources of the sea from harmful agents. (c) The NAAs and ATBAs are established via the International Maritime Organization (IMO). An NAA, specifically established to protect vessels in transit and sub-surface deepwater port components, will be mandatory. An ATBA will be a recommendatory routing measure. (d) The sizes of restricted areas will be the minimum size needed to ensure safety, while at the same time considering potential impacts on other activities, including recreational boating, fishing, and Outer Continental Shelf activity." 33:33:2.0.1.4.18.10.151.3,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,J,"Subpart J—Safety Zones, No Anchoring Areas, and Areas To Be Avoided",,"§ 150.910 What installations, structures, or activities are prohibited in a safety zone?",USCG,,,,"No installations, structures, or activities that are incompatible with or that present an unacceptable risk to safety of the deepwater port's operations or activity are allowed in the safety zone of a deepwater port." 33:33:2.0.1.4.18.10.151.4,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,J,"Subpart J—Safety Zones, No Anchoring Areas, and Areas To Be Avoided",,"§ 150.915 How are safety zones, no anchoring areas, and areas to be avoided established and modified?",USCG,,,"[USCG-1998-3884, 71 FR 57651, Sept. 29, 2006, as amended by USCG-2013-0397, 78 FR 39183, July 1, 2013]","(a) Safety zones are developed and designated during the application process for a deepwater port license, and may be established or modified through rulemaking. Rulemakings will afford prior public notice and comment, except when there is good cause not to do so, for example due to an imminent threat to the safety of life and property. (b) Before a safety zone, no anchoring area (NAA), or area to be avoided (ATBA) is established, all factors detrimental to safety are considered, including but not limited to: (1) The scope and degree of the risk or hazard involved; (2) Vessel traffic characteristics and trends, including traffic volume, the sizes and types of vessels involved, potential interference with the flow of commercial traffic, the presence of any unusual cargoes, and other similar factors; (3) Port and waterway configurations and variations in local conditions of geography, climate and other similar factors; (4) The need for granting exemptions for the installation and use of equipment or devices for use with vessel traffic services for certain classes of small vessels, such as self-propelled fishing vessels and recreational vessels; (5) The proximity of fishing grounds, oil and gas drilling and production operations, or other potential or actual conflicting activity; (6) Environmental factors; (7) Economic impact and effects; (8) Existing vessel traffic services; and (9) Local practices and customs, including voluntary arrangements and agreements within the maritime community. (c) The Executive Branch, acting through the Secretary of State and Commandant (CG-5P) proposes NAAs and ATBAs for deepwater ports to the International Maritime Organization (IMO) for approval. The ATBAs will be implemented after IMO approval is granted and announced in an IMO Circular, and after publication of a notice in the Federal Register." 33:33:2.0.1.4.18.10.151.5,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,J,"Subpart J—Safety Zones, No Anchoring Areas, and Areas To Be Avoided",,§ 150.920 How can I find notice of new or proposed safety zones?,USCG,,,"[USCG-1998-3884, 71 FR 57651, Sept. 29, 2006, as amended by USCG-2013-0397, 78 FR 39183, July 1, 2013]","In addition to documents published in the Federal Register under § 150.915 of this part, the District Commander may provide public notice of new or proposed safety zones by Broadcast Notices to Mariners, Notices to Mariners, Local Notices to Mariners, newspapers, broadcast stations, or other means." 33:33:2.0.1.4.18.10.151.6,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,J,"Subpart J—Safety Zones, No Anchoring Areas, and Areas To Be Avoided",,"§ 150.925 How long may a safety zone, no anchoring area, or area to be avoided remain in place?",USCG,,,,"A safety zone, no anchoring area, or area to be avoided may go into effect as early as initial delivery of construction equipment and materials to the deepwater port site, and may remain in place until the deepwater port is removed." 33:33:2.0.1.4.18.10.151.7,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,J,"Subpart J—Safety Zones, No Anchoring Areas, and Areas To Be Avoided",,§ 150.930 What datum is used for the geographic coordinates in this subpart?,USCG,,,"[USCG-2007-27887, 72 FR 45903, Aug. 16, 2007]",The geographic coordinates used in this subpart have been revised to enable plotting using the North American Datum of 1983 (NAD 83) and no longer require the use of any further conversion factors for correction. 33:33:2.0.1.4.18.10.151.8,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,J,"Subpart J—Safety Zones, No Anchoring Areas, and Areas To Be Avoided",,§ 150.940 Safety zones for specific deepwater ports.,USCG,,,"[USCG-2007-27887, 72 FR 45903, Aug. 16, 2007, as amended by USCG-2007-0087, 73 FR 34194, June 17, 2008; USCG-2009-0589, 75 FR 51376, Aug. 20, 2010; USCG-2013-0397, 78 FR 39183, July 1, 2013; USCG-2015-0433, 80 FR 44281, July 27, 2015]","(a) Louisiana Offshore Oil Port (LOOP). (1) The location of the safety zone for LOOP is as described in Table 150.940(A) of this section: Table 150.940(A)—Safety Zone for LOOP, Gulf of America (2) The areas to be avoided within the safety zone are: (i) The area encompassed within a circle having a 600 meter radius around the deepwater port's pumping platform complex and centered at 28°53′07″ N, 90°01′30″ W. (ii) The six areas encompassed within a circle having a 500 meter radius around each single point mooring (SPM) deepwater at the port and centered at: (3) The anchorage area within the safety zone is an area enclosed by the rhumb lines joining points at: (b) Northeast Gateway Deepwater Port (NEGDWP) —(1) Location. The safety zones for the NEGDWP consist of circular zones, each with a 500-meter radius and centered on each of the deepwater port's two submerged turret loading (STL) buoys. STL Buoy “A” is centered at the following coordinates: 42°23′38″ N, 070°35′31″ W. STL Buoy “B” is centered at the following coordinates: 42°23′56″ N, 070°37′00″ W. Each safety zone is located approximately 13 miles south-southeast of the City of Gloucester, Massachusetts, in Federal waters. (2) No anchoring areas. Two mandatory no anchoring areas for NEGDWP are established for all waters within circles of 1,000-meter radii centered on the submerged turret loading buoy positions set forth in paragraph (b)(1) of this section. (3) Area to be avoided. An area to be avoided (ATBA) for NEGDWP is as described in Table 150.940(B): Table 150.940(B)—ATBA for NEGDWP (4) Regulations. (i) In accordance with the general regulations set forth in 33 CFR 165.23 and elsewhere in this part, no person or vessel may enter the waters within the boundaries of the safety zones described in paragraph (b)(1) of this section unless previously authorized by the Captain of the Port (COTP) Boston, or his/her authorized representative. (ii) Notwithstanding paragraph (b)(4)(i) of this section, tankers and support vessels, as defined in 33 CFR 148.5, operating in the vicinity of NEGDWP are authorized to enter and move within such zones in the normal course of their operations following the requirements set forth in 33 CFR 150.340 and 150.345, respectively. (iii) All other vessel operators desiring to enter, operate or conduct diving operations within a safety zone described in paragraph (b)(1) of this section must contact the COTP, or the COTP's authorized representative, to obtain permission by contacting the Sector Boston Command Center at 617-223-5761 or via VHF-FM Channel 16 (156.8 MHZ). Vessel operators given permission to enter, operate, or conduct diving operations in a safety zone must comply with all directions given to them by the COTP or the COTP's authorized representative. (iv) No vessel, other than a support vessel or tanker calling on NEGDWP may anchor in the area described in paragraph (b)(2) of this section. (c) Neptune Deepwater Port (Neptune) —(1) Location. The safety zones for Neptune consist of circular zones, each with a 500-meter radius and centered on each of Neptune's two submerged turret loading (STL) buoys. STL Buoy “A” is centered at the following coordinates: Latitude 42°29′12.3″ N, Longitude 070°36′29.7″ W; and STL Buoy “B”: Latitude 42°27′20.5″ N, Longitude 070°36′07.3″ W. Each safety zone encompasses, within the respective 500-meter circles, the primary components of Neptune, including a submerged turret loading buoy and a pipeline end manifold. Each safety zone is located approximately eight nautical miles south-southeast of Gloucester, Massachusetts, in Federal waters. (2) No anchoring areas. Two mandatory no anchoring areas for Neptune are established for all waters within circles of 1,000-meter radii centered on the submerged turret loading buoy positions set forth in paragraph (c)(1) of this section. (3) Area to be avoided. An area to be avoided (ATBA) for Neptune is as described in Table 150.940(C): Table 150.940(C)—ATBA for Neptune (4) Regulations. (i) In accordance with the general regulations set forth in 33 CFR 165.23 and elsewhere in this part, no person or vessel may enter the waters within the boundaries of the safety zones described in paragraph (c)(1) of this section unless previously authorized by the Captain of the Port (COTP) Boston, or the COTP's authorized representative. (ii) Notwithstanding paragraph (c)(4)(i) of this section, liquefied natural gas carriers (LNGCs) and support vessels, as defined in 33 CFR 148.5, calling on Neptune, are authorized to enter and move within such zones in the normal course of their operations following the requirements set forth in 33 CFR 150.340 and 150.345, respectively. (iii) All other vessel operators desiring to enter, operate or conduct diving operations within a safety zone described in paragraph (c)(1) of this section must contact the COTP or the COTP's authorized representative to obtain permission by contacting the Sector Boston Command Center at 617-223-5761 or via VHF-FM Channel 16 (156.8 MHZ). Vessel operators given permission to enter or operate in a safety zone must comply with all directions given to them by the COTP or the COTP's authorized representative. (iv) No vessel, other than an LNGC or support vessel calling on Neptune, may anchor in the area described in paragraph (c)(2) of this section." 33:33:2.0.1.4.18.2.120.1,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,B,Subpart B—Inspections,,§ 150.100 What are the requirements for inspecting deepwater ports?,USCG,,,"[USCG-1998-3884, 71 FR 57651, Sept. 29, 2006, as amended by USCG-2013-0397, 78 FR 39182, July 1, 2013]","Under the direction of the Sector Commander, or to the MSU Commander, with COTP and OCMI authority, marine inspectors may inspect deepwater ports to determine whether the requirements of this subchapter are met. A marine inspector may conduct an inspection, with or without advance notice, at any time the Sector Commander or MSU Commander deems necessary." 33:33:2.0.1.4.18.2.120.2,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,B,Subpart B—Inspections,,§ 150.105 What are the requirements for annual self-inspection?,USCG,,,"[USCG-1998-3884, 71 FR 57651, Sept. 29, 2006, as amended by USCG-2013-0397, 78 FR 39182, July 1, 2013]","(a) The owner or operator of each manned deepwater port must ensure that the deepwater port is regularly inspected to determine whether the facility is in compliance with the requirements of this subchapter. The inspection must be at intervals of no more than 12 months. The inspection may be conducted up to 2 months after its due date, but will be valid for only the 12 months following that due date. (b) The owner or operator must record and submit the results of the annual self-inspection to the Sector Commander, or to the MSU Commander, with COTP and OCMI authority within 30 days of completing the inspection. The report must include a description of any failure, and the scope of repairs made to components or equipment, in accordance with the requirements in subpart I of this part, other than primary lifesaving, firefighting, or transfer equipment, which are inspected and repaired in accordance with subpart F. (c) Prior to the initiation of a self-inspection plan, and before commencement of operations, the owner or operator must submit a proposal describing the self-inspection plan to the Sector Commander, or MSU Commander, with COTP and OCMI authority for acceptance. The plan must address all applicable requirements outlined in parts 149 and 150 of this subchapter." 33:33:2.0.1.4.18.2.120.3,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,B,Subpart B—Inspections,,§ 150.110 What are the notification requirements upon receipt of classification society certifications?,USCG,,,"[USCG-1998-3884, 71 FR 57651, Sept. 29, 2006, as amended by USCG-2013-0397, 78 FR 39182, July 1, 2013]","The licensee must notify the Sector Commander, or MSU Commander, with COTP and OCMI duties, in writing, upon receipt of a classification society certification, interim class certificate, or single point mooring classification certificate." 33:33:2.0.1.4.18.3.120.1,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,C,Subpart C—Personnel,,§ 150.200 Who must ensure that deepwater port personnel are qualified?,USCG,,,"[USCG-1998-3884, 71 FR 57651, Sept. 29, 2006, as amended by USCG-2013-0397, 78 FR 39182, July 1, 2013]",The licensee must ensure that the individual filling a position meets the qualifications for that position as outlined in the operations manual. 33:33:2.0.1.4.18.3.120.2,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,C,Subpart C—Personnel,,§ 150.205 What are the language requirements for deepwater port personnel?,USCG,,,"[USCG-1998-3884, 71 FR 57651, Sept. 29, 2006, as amended by USCG-2013-0397, 78 FR 39182, July 1, 2013]","Only persons who read, write, and speak English may occupy the essential management positions outlined in the operations manual." 33:33:2.0.1.4.18.3.120.3,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,C,Subpart C—Personnel,,§ 150.210 What are the restrictions on serving in more than one position?,USCG,,,,No person may serve in more than one of the essential management positions outlined in the operations manual at any one time. 33:33:2.0.1.4.18.3.120.4,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,C,Subpart C—Personnel,,§ 150.225 What training and instruction are required?,USCG,,,,Personnel must receive training and instruction commensurate with the position they hold. Procedures for documenting employee training must be outlined in the operations manual. 33:33:2.0.1.4.18.4.120.1,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,D,Subpart D—Vessel Navigation,,§ 150.300 What does this subpart do?,USCG,,,,"This subpart supplements the International Regulations for Prevention of Collisions at Sea, 1972 (72 COLREGS) described in subchapter D of this chapter, and prescribes requirements that: (a) Apply to the navigation of all vessels at or near a deepwater port; and (b) Apply to all vessels while in a safety zone, area to be avoided, or no anchoring area." 33:33:2.0.1.4.18.4.120.10,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,D,Subpart D—Vessel Navigation,,§ 150.355 How are other vessels cleared to move within the safety zone?,USCG,,,,"(a) Clearance by a manned deepwater port's person in charge of vessel operations is required before a vessel, other than a tanker or support vessel, enters the safety zone. (b) The port's person in charge of vessel operations may clear a vessel under paragraph (a) of this section only if its entry into the safety zone would not: (1) Interfere with the purpose of the deepwater port; (2) Endanger the safety of life, property, or environment; or (3) Be prohibited by regulation. (c) At an unmanned deepwater port, such as a submerged turret landing (STL) system, paragraphs (a) and (b) of this section apply once a tanker connects to the STL buoy." 33:33:2.0.1.4.18.4.120.11,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,D,Subpart D—Vessel Navigation,,§ 150.380 Under what circumstances may vessels operate within the safety zone or area to be avoided?,USCG,,,"[USCG-1998-3884, 71 FR 57651, Sept. 29, 2006, as amended by USCG-2013-0397, 78 FR 39182, July 1, 2013]","(a) Table 150.380(a) of this section lists both the areas within a safety zone where a vessel may operate and the clearance needed for that location. Table 150.380( a )—Regulated Activities of Vessels at Deepwater Ports 1 Areas to be avoided are in subpart J of this part. 2 Not part of Port Installation. Key to regulated activities for Table 150.380(a): C—Movement of the vessel is permitted when cleared by the person in charge of vessel operations. D—Movement is not restricted, but recommended transit speed not to exceed 10 knots. Communication with the person in charge of vessel operations. F—Only in an emergency. Anchoring will be avoided in a no anchoring area except in the case of immediate danger to the ship or persons on board. N—Not permitted. P—Transit is permitted when the vessel is not in the immediate area of a tanker, and when cleared by the vessel traffic supervisor. R—Permitted only if determined that operation does not create unacceptable risk to personnel safety and security and operation. For transiting foreign-flag vessels, the requirement for clearance to enter the area to be avoided and no anchoring area is advisory in nature, but mandatory for an anchorage area established within 12 nautical miles. (b) If the activity is not listed in table 150.380(a) of this section, or otherwise provided for in this subpart, the Sector Commander's, or MSU Commander's, with COTP and OCMI authority permission is required before operating in the safety zone or regulated navigation area." 33:33:2.0.1.4.18.4.120.12,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,D,Subpart D—Vessel Navigation,,§ 150.385 What is required in an emergency?,USCG,,,,"In an emergency, for the protection of life or property, a vessel may deviate from a vessel movement requirement in this subpart without clearance from a manned deepwater port's person in charge of vessel operations if the master advises the port person in charge of the reasons for the deviation at the earliest possible moment." 33:33:2.0.1.4.18.4.120.2,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,D,Subpart D—Vessel Navigation,,§ 150.305 How does this subpart apply to unmanned deepwater ports?,USCG,,,"[USCG-2013-0397, 78 FR 39182, July 1, 2013]","The master of any tanker calling at an unmanned deepwater port is responsible for the safe navigation of the vessel to and from the deepwater port, and for the required notifications in § 150.325 of this part. Once the tanker is connected to the unmanned deepwater port, the master must maintain radar surveillance in compliance with the requirements of § 150.310 of this part." 33:33:2.0.1.4.18.4.120.3,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,D,Subpart D—Vessel Navigation,,§ 150.310 When is radar surveillance required?,USCG,,,"[USCG-1998-3884, 71 FR 57651, Sept. 29, 2006, as amended by USCG-2013-0397, 78 FR 39182, July 1, 2013]","A manned deepwater port's person in charge of vessel operations must maintain radar surveillance of the safety zone or area to be avoided when: (a) A tanker is proceeding to the safety zone after submitting the report required in § 150.325 in this part; (b) A tanker or support vessel is underway in the safety zone or area to be avoided; (c) A vessel other than a tanker or support vessel is about to enter or is underway in the safety zone or area to be avoided; or (d) As described in the deepwater port security plan." 33:33:2.0.1.4.18.4.120.4,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,D,Subpart D—Vessel Navigation,,§ 150.320 What advisories are given to tankers?,USCG,,,,"A manned deepwater port's person in charge of vessel operations must advise the master of each tanker underway in the safety zone or area to be avoided of the following: (a) At intervals not exceeding 10 minutes, the vessel's position by range and bearing from the pumping platform complex; and (b) The position and the estimated course and speed, if moving, of all other vessels that may interfere with the movement of the tanker within the safety zone or area to be avoided." 33:33:2.0.1.4.18.4.120.5,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,D,Subpart D—Vessel Navigation,,§ 150.325 What is the first notice required before a tanker enters the safety zone or area to be avoided?,USCG,,,"[USCG-1998-3884, 71 FR 57651, Sept. 29, 2006, as amended by USCG-2013-0397, 78 FR 39182, July 1, 2013]","(a) The owner, master, agent, or person in charge of a tanker bound for a manned deepwater port must comply with the notice of arrival requirements in subpart C of part 160 of this chapter. (b) The owner, master, agent, or person in charge of a tanker bound for a manned deepwater port must report the pertinent information required in § 150.15(i)(4)(vi) of this part for the vessel, including: (1) The name, gross tonnage, and draft of the tanker; (2) The type and amount of cargo in the tanker; (3) The location of the tanker at the time of the report; (4) Any conditions on the tanker that may impair its navigation, such as fire, or malfunctioning propulsion, steering, navigational, or radiotelephone equipment. The testing requirements in § 164.25 of this chapter are applicable to vessels arriving at a deepwater port; (5) Any leaks, structural damage, or machinery malfunctions that may impair cargo transfer operations or cause a product discharge; and (6) The operational condition of the equipment listed under § 164.35 of this chapter on the tanker. (c) If the estimated time of arrival changes by more than 6 hours from the last reported time, the National Vessel Movement Center (NVMC) and the port's person in charge of vessel operations must be notified of the correction as soon as the change is known. (d) If the information reported in paragraphs (b)(4) or (b)(5) of this section changes at any time before the tanker enters the safety zone or area to be avoided at the deepwater port, or while the tanker is in the safety zone or area to be avoided, the master of the tanker must report the changes to the NVMC and port's person in charge of vessel operations as soon as possible." 33:33:2.0.1.4.18.4.120.6,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,D,Subpart D—Vessel Navigation,,§ 150.330 What is the second notice required before a tanker enters the safety zone or area to be avoided?,USCG,,,,"When a tanker bound for a manned deepwater port is 20 miles from entering the port's safety zone or area to be avoided, the master of the tanker must notify the port's person in charge of vessel operations of the tanker's name and location." 33:33:2.0.1.4.18.4.120.7,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,D,Subpart D—Vessel Navigation,,§ 150.340 What are the rules of navigation for tankers in the safety zone or area to be avoided?,USCG,,,"[USCG-1998-3884, 71 FR 57651, Sept. 29, 2006, as amended by USCG-2013-0397, 78 FR 39182, July 1, 2013]","(a) A tanker must enter or depart the port's safety zone or area to be avoided in accordance with the navigation procedures in the port's approved operations manual as described in § 150.15(i) of this part. (b) A tanker must not anchor in the safety zone or area to be avoided, except in a designated anchorage area. (c) A tanker may not enter a safety zone or area to be avoided in which another tanker is present, unless it has been cleared by the person in charge of the port and no other tankers are underway. (d) A tanker must not operate, anchor, or moor in any area of the safety zone or area to be avoided in which the net under keel clearance would be less than 5 feet." 33:33:2.0.1.4.18.4.120.8,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,D,Subpart D—Vessel Navigation,,§ 150.345 How are support vessels cleared to move within the safety zone or area to be avoided?,USCG,,,,All movements of support vessels within a manned deepwater port's safety zone or area to be avoided must be cleared in advance by the port's person in charge of vessel operations. 33:33:2.0.1.4.18.4.120.9,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,D,Subpart D—Vessel Navigation,,§ 150.350 What are the rules of navigation for support vessels in the safety zone or area to be avoided?,USCG,,,,"A support vessel must not anchor in the safety zone or area to be avoided, except: (a) In an anchorage area; or (b) For vessel maintenance, which, in the case of a manned deepwater port, must be cleared by the port's person in charge of vessel operations." 33:33:2.0.1.4.18.5.120.1,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,E,Subpart E—Cargo Transfer Operations,,§ 150.400 What does this subpart do?,USCG,,,,This subpart prescribes rules that apply to the transfer of oil or natural gas at a deepwater port. 33:33:2.0.1.4.18.5.120.2,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,E,Subpart E—Cargo Transfer Operations,,§ 150.405 How must a cargo transfer system be tested and inspected?,USCG,,,,"(a) No person may transfer oil or natural gas through a cargo transfer system (CTS) at a deepwater port unless it has been inspected and tested according to this section. (b) The single point mooring (SPM)-CTS must be maintained as required by the design standards used to comply with § 149.650 of this chapter. (c) If the manufacturer's maximum pressure rating for any cargo transfer hose in a SPM-CTS has been exceeded, unless it was exceeded for testing required by this section, the hose must be: (1) Removed; (2) Hydrostatically tested to 1.5 times its maximum working pressure for oil, or 1.1 times its maximum working pressure for natural gas; and (3) Visually examined externally and internally for evidence of: (i) Leakage; (ii) Loose covers; (iii) Kinks; (iv) Bulges; (v) Soft spots; and (vi) Gouges, cuts, or slashes that penetrate the hose reinforcement. (d) Each submarine hose used in cargo transfer operations in an SPM-CTS must have been removed from its coupling, surfaced, and examined as described in paragraphs (c)(2) and (c)(3) of this section, within the preceding 2 years for oil, or 15 months for natural gas; and (e) Before resuming cargo transfer operations, each submarine hose in an SPM-CTS must be visually examined in place as described in paragraph (c)(3) of this section after cargo transfer operations are shut down due to sea conditions at the deepwater port." 33:33:2.0.1.4.18.5.120.3,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,E,Subpart E—Cargo Transfer Operations,,§ 150.420 What actions must be taken when cargo transfer equipment is defective?,USCG,,,,"When any piece of equipment involved in oil or natural gas transfer equipment is defective: (a) The piece of equipment must be replaced or repaired before making any further cargo transfers; and (b) The repaired or replaced piece must meet or exceed its original specifications. Repairs must be conducted in accordance with the port's maintenance program outlined in the operations manual, and that program must provide for the repair of natural gas transfer hoses in accordance with § 127.405 of this chapter." 33:33:2.0.1.4.18.5.120.4,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,E,Subpart E—Cargo Transfer Operations,,§ 150.425 What are the requirements for transferring cargo?,USCG,,,"[USCG-1998-3884, 71 FR 57651, Sept. 29, 2006, as amended by USCG-2013-0397, 78 FR 39182, July 1, 2013]","Cargo transfer procedures must be outlined in the deepwater port operations manual and must provide: (a) Oil transfer procedures that accord with § 156.120 of this chapter; and (b) Natural gas transfer procedures that accord with §§ 127.315, 127.317 and 127.319 of this chapter." 33:33:2.0.1.4.18.5.120.5,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,E,Subpart E—Cargo Transfer Operations,,§ 150.430 What are the requirements for a declaration of inspection?,USCG,,,,"(a) No person may transfer cargo from a tanker to a manned deepwater port unless a declaration of inspection complying with § 156.150(c) for oil, or § 127.317 for natural gas, of this chapter has been filled out and signed by the vessel's officer in charge of cargo transfer and the person in charge (PIC) of cargo transfer for the deepwater port. (b) Before signing a declaration of inspection, the vessel's officer in charge of cargo transfer must inspect the tanker, and the PIC of cargo transfer for the deepwater port must inspect the deepwater port. They must indicate, by initialing each item on the declaration of inspection form, that the tanker and deepwater port comply with § 156.150 for oil, or § 127.317 for natural gas, of this chapter." 33:33:2.0.1.4.18.5.120.6,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,E,Subpart E—Cargo Transfer Operations,,§ 150.435 When are cargo transfers not allowed?,USCG,,,"[USCG-1998-3884, 71 FR 57651, Sept. 29, 2006, as amended by USCG-2013-0397, 78 FR 39182, July 1, 2013]","No person may transfer cargo at a deepwater port: (a) When the person in charge (PIC) of cargo transfer is not on duty at the deepwater port; (b) During an electrical storm in the deepwater port's vicinity; (c) During a fire at the port, at the onshore receiving terminal, or aboard a vessel berthed at the port, unless the PIC of cargo transfer determines that a cargo transfer should be resumed as a safety measure; (d) When a leak develops so that a sufficient quantity of product accumulates in the cargo containment underneath the manifold or piping; (e) When there are not enough personnel nor equipment at the port dedicated to containand remove the discharge or perform the emergency response functions as required in the port's response plan under part 154 for oil, or emergency plan under part 127 for natural gas, of this chapter; (f) Whenever the emergency shutdown system should have activated but failed to; (g) By lighterage, except in bunkering operations, unless otherwise authorized by the Sector Commander, or MSU Commander, with COTP and OCMI authority ; (h) When the weather at the port does not meet the minimum operating conditions for cargo transfers as defined in the port's operations manual; or (i) When prescribed by the deepwater port security plan under heightened security conditions at the deepwater port or its adjacent areas, or on vessels calling on or serving the deepwater port." 33:33:2.0.1.4.18.5.120.7,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,E,Subpart E—Cargo Transfer Operations,,"§ 150.440 How may the Sector Commander, or MSU Commander, with COTP and OCMI authority order suspension of cargo transfers?",USCG,,,"[USCG-1998-3884, 71 FR 57651, Sept. 29, 2006, as amended by USCG-2013-0397, 78 FR 39182, July 1, 2013]","(a) In case of emergency, the Sector Commander, or MSU Commander, with COTP and OCMI authority may order the suspension of cargo transfers at a deepwater port to prevent the discharge, or threat of discharge, of oil or natural gas, or to protect the safety of life and property. (b) An order of suspension may be made effective immediately. (c) The order of suspension must state the reasons for the suspension. (d) The licensee may petition the District Commander to reconsider the order of suspension. The petition must be in writing, unless the order of suspension takes effect immediately, in which case the petition may be made by any means, but the petition does not delay the effective date of the suspension. The decision of the District Commander is considered a final agency action." 33:33:2.0.1.4.18.5.120.8,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,E,Subpart E—Cargo Transfer Operations,,§ 150.445 When is oil in a single point mooring-oil transfer system (SPM-OTS) displaced with water?,USCG,,,"[USCG-1998-3884, 71 FR 57651, Sept. 29, 2006, as amended by USCG-2013-0397, 78 FR 39182, July 1, 2013]","(a) The oil in an SPM-OTS must be displaced with water, and the valve at the pipeline end manifold must be closed whenever: (1) A storm warning forecasts weather conditions that will exceed the design operating criteria listed in the operations manual for the SPM-OTS; (2) A vessel is about to depart the SPM because of storm conditions; or (3) The SPM is not scheduled for use in an oil transfer operation within the next 7 days. (b) The requirement in paragraph (a) of this section is waived if port officials can demonstrate to the Sector Commander, or MSU Commander, with COTP and OCMI authority that a satisfactory alternative means of safely securing all cargo transfer hoses can be implemented in the event of severe weather conditions." 33:33:2.0.1.4.18.6.120.1,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,F,Subpart F—Emergency and Specialty Equipment,,§ 150.500 What does this subpart do?,USCG,,,,"This subpart concerns requirements for maintenance, repair, and operational testing of emergency and specialty equipment at a deepwater port." 33:33:2.0.1.4.18.6.120.2,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,F,Subpart F—Emergency and Specialty Equipment,,§ 150.501 How must emergency equipment be maintained and repaired?,USCG,,,"[USCG-1998-3884, 71 FR 57651, Sept. 29, 2006, as amended by USCG-2013-0397, 78 FR 39182, July 1, 2013]","All lifesaving, firefighting, and other emergency equipment at a deepwater port, including additional equipment not required to be on board the deepwater port, must be maintained in good working order and repaired according to the deepwater port's planned maintenance program and the requirements outlined in this subpart." 33:33:2.0.1.4.18.6.121.3,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,F,Subpart F—Emergency and Specialty Equipment,,§ 150.502 What are the maintenance and repair requirements for lifesaving equipment?,USCG,,,"[USCG-1998-3884, 71 FR 57651, Sept. 29, 2006, as amended by USCG-2013-0397, 78 FR 39182, July 1, 2013]","(a) Each deepwater port must have on board, or in the operator's principal office in the case of an unmanned port, the manufacturer's instructions for performing onboard maintenance and repair of the port's lifesaving equipment. The instructions must include the following for each item of equipment, as applicable: (1) Instructions for maintenance and repair; (2) A checklist for use when carrying out the monthly inspections required under § 150.513 of this part; (3) A schedule of periodic maintenance; (4) A diagram of lubrication points with the recommended lubricants; (5) A list of replaceable parts; (6) A list of spare parts sources; and (7) A log for records of inspections and maintenance. (b) In lieu of the manufacturer's instructions required under paragraph (a) of this section, the deepwater port may have its own onboard planned maintenance program for maintenance and repair that is equivalent to the procedures recommended by the equipment manufacturer. (c) The deepwater port must designate a person in charge of ensuring that maintenance and repair is carried out in accordance with the instructions required in paragraph (a) of this section. (d) If deficiencies in the maintenance or condition of lifesaving equipment are identified, the Sector Commander, or MSU Commander, with COTP and OCMI authority may review the instructions under paragraph (a) of this section and require appropriate changes to the instructions or operations to provide for adequate maintenance and readiness of the equipment. (e) When lifeboats, rescue boats, and liferafts are not fully operational because of ongoing maintenance or repairs, there must be a sufficient number of fully operational lifeboats and liferafts available for use to accommodate all persons on the deepwater port. (f) Except in an emergency, repairs or alterations affecting the performance of lifesaving equipment must not be made without notifying the Sector Commander, or MSU Commander, with COTP and OCMI authority in advance. The person in charge must report emergency repairs or alterations to lifesaving equipment to the Sector Commander, or MSU Commander, with COTP and OCMI authority, as soon as practicable. (g) The person in charge must ensure that spare parts and repair equipment are provided for each lifesaving appliance and component subject to excessive wear or consumption." 33:33:2.0.1.4.18.6.122.4,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,F,Subpart F—Emergency and Specialty Equipment,,§ 150.503 What are the time interval requirements for maintenance on survival craft falls?,USCG,,,,"(a) Each fall used in a launching device for survival craft or rescue boats must be turned end-for-end at intervals of not more than 30 months. (b) Each fall must be replaced by a new fall when deteriorated, or at intervals of not more than 5 years, whichever is earlier. (c) A fall that cannot be turned end-for-end under paragraph (a) of this section must be carefully inspected between 24 and 30 months after its installation. If the inspection shows that the fall is faultless, the fall may be continued in service up to 4 years after its installation. It must be replaced by a new fall 4 years after installation." 33:33:2.0.1.4.18.6.122.5,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,F,Subpart F—Emergency and Specialty Equipment,,§ 150.504 When must the operator service and examine lifeboat and rescue boat launching appliances?,USCG,,,,"(a) The operator must service launching appliances for lifeboats and rescue boats at intervals recommended in the manufacturer's instructions under § 150.502(a), or according to the deepwater port's planned maintenance program under § 150.502(b). (b) The operator must thoroughly examine launching appliances for lifeboats and rescue boats at intervals of not more than 5 years. Upon completion of the examination, the operator must subject the winch brakes of the launching appliance to a dynamic test." 33:33:2.0.1.4.18.6.122.6,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,F,Subpart F—Emergency and Specialty Equipment,,§ 150.505 When must the operator service and examine lifeboat and rescue boat release gear?,USCG,,,,"(a) The operator must service lifeboat and rescue boat release gear at intervals recommended in the manufacturer's instructions under § 150.502(a), or according to the deepwater port's planned maintenance program under § 150.502(b). (b) The operator must subject lifeboat and rescue boat release gear to a thorough examination at each annual self-certification inspection by personnel trained in examining the gear." 33:33:2.0.1.4.18.6.123.7,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,F,Subpart F—Emergency and Specialty Equipment,,§ 150.506 When must the operator service inflatable lifesaving appliances and marine evacuation systems?,USCG,,,,"(a) The operator must service each inflatable lifejacket, hybrid inflatable lifejacket, and marine evacuation system at 1-year intervals after its initial packing. The operator may delay the servicing for up to 5 months to meet the next scheduled inspection of the deepwater port. (b) The operator must service each inflatable liferaft no later than the month and year on its servicing sticker under 46 CFR 160.151-57(m)(3)(ii), except that the operator may delay servicing by up to 5 months to meet the next scheduled inspection of the deepwater port. The operator must also service each inflatable liferaft: (1) Whenever the container of the raft is damaged; or (2) Whenever the container straps or seals are broken." 33:33:2.0.1.4.18.6.123.8,33,Navigation and Navigable Waters,I,NN,150,PART 150—DEEPWATER PORTS: OPERATIONS,F,Subpart F—Emergency and Specialty Equipment,,§ 150.507 How must the operator service inflatable lifesaving appliances?,USCG,,,,"(a) The operator must service each inflatable liferaft according to 46 CFR subpart 160.151. (b) The operator must service each inflatable lifejacket according to 46 CFR subpart 160.176. (c) The operator must service each hybrid inflatable lifejacket according to the owner's manual and the procedures in 46 CFR subpart 160.077."