{"database": "openregs", "table": "cfr_sections", "is_view": false, "human_description_en": "where part_number = 45 sorted by section_id", "rows": [["14:14:1.0.1.3.25.1.283.1", 14, "Aeronautics and Space", "I", "C", "45", "PART 45\u2014IDENTIFICATION AND REGISTRATION MARKING", "A", "Subpart A\u2014General", "", "\u00a7 45.1 Applicability.", "FAA", "", "", "[Doc. No. 2047, 29 FR 3223, Mar. 11, 1964, as amended by Amdt. 45-3, 32 FR 188, Jan. 10, 1967; Amdt. 45-26, 74 FR 53394, Oct. 16, 2009; Doc. No. FAA-2015-7396, Amdt. 45-30, 80 FR 78645, Dec. 16, 2015]", "This part prescribes the requirements for\u2014\n\n(a) Marking products and articles manufactured under\u2014\n\n(1) A type certificate;\n\n(2) A production approval as defined under part 21 of this chapter; and\n\n(3) The provisions of an agreement between the United States and another country or jurisdiction for the acceptance of products and articles; and\n\n(b) Nationality and registration marking of aircraft registered in the United States in accordance with part 47."], ["14:14:1.0.1.3.25.2.283.1", 14, "Aeronautics and Space", "I", "C", "45", "PART 45\u2014IDENTIFICATION AND REGISTRATION MARKING", "B", "Subpart B\u2014Marking of Products and Articles", "", "\u00a7 45.10 Marking.", "FAA", "", "", "[Doc. No. FAA-2006-25877, Amdt. 45-26, 74 FR 53394, Oct. 16, 2009]", "No person may mark a product or article in accordance with this subpart unless\u2014\n\n(a) That person produced the product or article \u2014\n\n(1) Under part 21, subpart F, G, K, or O of this chapter; or\n\n(2) For export to the United States under the provisions of an agreement between the United States and another country or jurisdiction for the acceptance of products and articles; and\n\n(b) That product or article conforms to its approved design, and is in a condition for safe operation; and, for a TSO article; that TSO article meets the applicable performance standards."], ["14:14:1.0.1.3.25.2.283.2", 14, "Aeronautics and Space", "I", "C", "45", "PART 45\u2014IDENTIFICATION AND REGISTRATION MARKING", "B", "Subpart B\u2014Marking of Products and Articles", "", "\u00a7 45.11 Marking of products.", "FAA", "", "", "[Amdt. 45-26, 74 FR 53394, Oct. 16, 2009, as amended by Amdt. 45-27, 76 FR 7486, Feb. 10, 2011; Doc. No. FAA-2013-0933, Amdt. 21-98, 80 FR 59031, Oct. 1, 2015, as amended by Amdt. 21-98A, 80 FR 59031, Dec. 17, 2015]", "(a)  Aircraft.  A manufacturer of aircraft covered under \u00a7 21.182 of this chapter must mark each aircraft by attaching a fireproof identification plate that\u2014\n\n(1) Includes the information specified in \u00a7 45.13 using an approved method of fireproof marking;\n\n(2) Must be secured in such a manner that it will not likely be defaced or removed during normal service, or lost or destroyed in an accident; and\n\n(3) Except as provided in paragraphs (d) through (h) of this section, must be secured to the aircraft fuselage exterior so that it is legible to a person on the ground, and must be either adjacent to and aft of the rear-most entrance door or on the fuselage surface near the tail surfaces.\n\n(b)  Aircraft engines.  A manufacturer of an aircraft engine produced under a type certificate or production certificate must mark each engine by attaching a fireproof identification plate. Such plate\u2014\n\n(1) Must include the information specified in \u00a7 45.13 using an approved method of fireproof marking;\n\n(2) Must be affixed to the engine at an accessible location; and\n\n(3) Must be secured in such a manner that it will not likely be defaced or removed during normal service, or lost or destroyed in an accident.\n\n(c)  Propellers and propeller blades and hubs.  Each person who produces a propeller, propeller blade, or propeller hub under a type certificate or production certificate must mark each product or part. Except for a fixed-pitch wooden propeller, the marking must be accomplished using an approved fireproof method. The marking must\u2014\n\n(1) Be placed on a non-critical surface;\n\n(2) Contain the information specified in \u00a7 45.13;\n\n(3) Not likely be defaced or removed during normal service; and\n\n(4) Not likely be lost or destroyed in an accident.\n\n(d)  Manned free balloons.  A manufacturer of manned free balloons must mark each balloon by attaching the identification plate described in paragraph (a) of this section. The plate must be secured to the balloon envelope and must be located, if practicable, where it is legible to the operator when the balloon is inflated. In addition, the basket and heater assembly must be permanently and legibly marked with the manufacturer's name, part number (or equivalent), and serial number (or equivalent).\n\n(e)  Aircraft manufactured before March 7, 1988.  The owner or operator of an aircraft manufactured before March 7, 1988 must mark the aircraft by attaching the identification plate required by paragraph (a) of this section. The plate must be secured at an accessible exterior or interior location near an entrance, if the model designation and builder's serial number are also displayed on the exterior of the aircraft fuselage. The model designation and builder's serial number must be\u2014\n\n(1) Legible to a person on the ground,\n\n(2) Located either adjacent to and aft of the rear-most entrance door or on the fuselage near the tail surfaces, and\n\n(3) Displayed in such a manner that they are not likely to be defaced or removed during normal service.\n\n(f) For powered parachutes and weight-shift-control aircraft, the identification plate required by paragraph (a) of this section must be secured to the exterior of the aircraft fuselage so that it is legible to a person on the ground.\n\n(g) The identification plate described in paragraph (a) of this section may be secured to the aircraft at an accessible location near an entrance for\u2014\n\n(1) Aircraft produced for\u2014\n\n(i) Operations under part 121 of this chapter,\n\n(ii) Commuter operations (as defined in \u00a7 110.2 of this chapter), or\n\n(iii) Export.\n\n(2) Aircraft operating under part 121 of this chapter and under an FAA-approved continuous airworthiness maintenance program; or\n\n(3) Aircraft operating in commuter air carrier operations (as defined in \u00a7 110.2 of this chapter) under an FAA-approved continuous airworthiness maintenance program.\n\n(h)  Gliders.  Paragraphs (a)(3) and (e) of this section do not apply to gliders."], ["14:14:1.0.1.3.25.2.283.3", 14, "Aeronautics and Space", "I", "C", "45", "PART 45\u2014IDENTIFICATION AND REGISTRATION MARKING", "B", "Subpart B\u2014Marking of Products and Articles", "", "\u00a7 45.13 Identification data.", "FAA", "", "", "[Amdt. 45-3, 32 FR 188, Jan. 10, 1967, as amended by Amdt. 45-10, 44 FR 45379, Aug. 2, 1979; Amdt. 45-12, 45 FR 60183, Sept. 11, 1980; Amdt. 45-20, 55 FR 32861, Aug. 10, 1990; 55 FR 37287, Sept. 10, 1990; Amdt. 45-26, 74 FR 53395, Oct. 16, 2009; Amdt. 45-28, 77 FR 76854, Dec. 31, 2012]", "(a) The identification required by \u00a7 45.11 (a) through (c) must include the following information:\n\n(1) Builder's name.\n\n(2) Model designation.\n\n(3) Builder's serial number.\n\n(4) Type certificate number, if any.\n\n(5) Production certificate number, if any.\n\n(6) For aircraft engines, the established rating.\n\n(7) On or after January 1, 1984, for aircraft engines specified in part 34 of this chapter, the date of manufacture as defined in \u00a7 34.1 of this chapter, and a designation, approved by the FAA, that indicates compliance with the applicable exhaust emission provisions of part 34 of this chapter and 40 CFR part 87. Approved designations include COMPLY, EXEMPT, and NON-US, as appropriate. After December 31, 2012, approved designations also include EXEMPT NEW, and EXCEPTED SPARE, as appropriate.\n\n(i) The designation COMPLY indicates that the engine is in compliance with all of the applicable exhaust emissions provisions of part 34. For any engine with a rated thrust in excess of 26.7 kilonewtons (6000 pounds) which is not used or intended for use in commercial operations and which is in compliance with the applicable provisions of part 34, but does not comply with the hydrocarbon emissions standard of \u00a7 34.21(d), the statement \u201cMay not be used as a commercial aircraft engine\u201d must be noted in the permanent powerplant record that accompanies the engine at the time of manufacture of the engine.\n\n(ii) The designation EXEMPT indicates that the engine has been granted an exemption pursuant to the applicable provision of \u00a7 34.7 (a)(1), (a)(4), (b), (c), or (d), and an indication of the type of exemption and the reason for the grant must be noted in the permanent powerplant record that accompanies the engine from the time of manufacture of the engine.\n\n(iii) The designation NON-US indicates that the engine has been granted an exemption pursuant to \u00a7 34.7(a)(1), and the notation \u201cThis aircraft may not be operated within the United States\u201d, or an equivalent notation approved by the FAA, must be inserted in the aircraft logbook, or alternate equivalent document, at the time of installation of the engine.\n\n(iv) The designation EXEMPT NEW indicates that the engine has been granted an exemption pursuant to the applicable provision of \u00a7 34.7(h) of this chapter; the designation must be noted in the permanent powerplant record that accompanies the engine from the time of its manufacture.\n\n(v) The designation EXCEPTED SPARE indicates that the engine has been excepted pursuant to the applicable provision of \u00a7 34.9(b) of this chapter; the designation must be noted in the permanent powerplant record that accompanies the engine from the time of its manufacture.\n\n(8) Any other information the FAA finds appropriate.\n\n(b) Except as provided in paragraph (d)(1) of this section, no person may remove, change, or place identification information required by paragraph (a) of this section, on any aircraft, aircraft engine, propeller, propeller blade, or propeller hub, without the approval of the FAA.\n\n(c) Except as provided in paragraph (d)(2) of this section, no person may remove or install any identification plate required by \u00a7 45.11, without the approval of the FAA.\n\n(d) Persons performing work under the provisions of Part 43 of this chapter may, in accordance with methods, techniques, and practices acceptable to the FAA\u2014\n\n(1) Remove, change, or place the identification information required by paragraph (a) of this section on any aircraft, aircraft engine, propeller, propeller blade, or propeller hub; or\n\n(2) Remove an identification plate required by \u00a7 45.11 when necessary during maintenance operations.\n\n(e) No person may install an identification plate removed in accordance with paragraph (d)(2) of this section on any aircraft, aircraft engine, propeller, propeller blade, or propeller hub other than the one from which it was removed."], ["14:14:1.0.1.3.25.2.283.4", 14, "Aeronautics and Space", "I", "C", "45", "PART 45\u2014IDENTIFICATION AND REGISTRATION MARKING", "B", "Subpart B\u2014Marking of Products and Articles", "", "\u00a7 45.15 Marking requirements for PMA articles, TSO articles, and Critical parts.", "FAA", "", "", "[Doc. No. FAA-2006-25877, 74 FR 53395, Oct. 16, 2009]", "(a)  PMA articles.  The manufacturer of a PMA article must permanently and legibly mark\u2014\n\n(1) Each PMA article, with the PMA holder's name, trademark, symbol, or other FAA approved identification and part number; and\n\n(2) The letters \u201cFAA-PMA\u201d.\n\n(b)  TSO articles.  The manufacturer of a TSO article must permanently and legibly mark \u2014\n\n(1) Each TSO article with the TSO holder's name, trademark, symbol, or other FAA approved identification and part number; and\n\n(2) Each TSO article, unless otherwise specified in the applicable TSO, with the TSO number and letter of designation, all markings specifically required by the applicable TSO, and the serial number or the date of manufacture of the article or both.\n\n(c)  Critical parts.  Each person who manufactures a part for which a replacement time, inspection interval, or related procedure is specified in the Airworthiness Limitations section of a manufacturer's maintenance manual or Instructions for Continued Airworthiness must permanently and legibly mark that part with a serial number (or equivalent) unique to that part in addition to the other applicable requirements of this section.\n\n(d) If the FAA finds a part or article is too small or otherwise impractical to mark with any of the information required by this part, the manufacturer must attach that information to the part or its container."], ["14:14:1.0.1.3.25.2.283.5", 14, "Aeronautics and Space", "I", "C", "45", "PART 45\u2014IDENTIFICATION AND REGISTRATION MARKING", "B", "Subpart B\u2014Marking of Products and Articles", "", "\u00a7 45.16 Marking of life-limited parts.", "FAA", "", "", "[Doc. No. FAA-200-8017, 67 FR 2110, Jan. 15, 2002, as amended by Amdt. 45-26, 74 FR 53395, Oct. 16, 2009]", "When requested by a person required to comply with \u00a7 43.10 of this chapter, the holder of a type certificate or design approval for a life-limited part must provide marking instructions, or must state that the part cannot be practicably marked without compromising its integrity."], ["14:14:1.0.1.3.25.3.283.1", 14, "Aeronautics and Space", "I", "C", "45", "PART 45\u2014IDENTIFICATION AND REGISTRATION MARKING", "C", "Subpart C\u2014Nationality and Registration Marks", "", "\u00a7 45.21 General.", "FAA", "", "", "[Doc. No. 8093, Amdt. 45-5, 33 FR 450, Jan. 12, 1968, as amended by Amdt. 45-17, 52 FR 34102, Sept. 9, 1987]", "(a) Except as provided in \u00a7 45.22, no person may operate a U.S.-registered aircraft unless that aircraft displays nationality and registration marks in accordance with the requirements of this section and \u00a7\u00a7 45.23 through 45.33.\n\n(b) Unless otherwise authorized by the FAA, no person may place on any aircraft a design, mark, or symbol that modifies or confuses the nationality and registration marks.\n\n(c) Aircraft nationality and registration marks must\u2014\n\n(1) Except as provided in paragraph (d) of this section, be painted on the aircraft or affixed by any other means insuring a similar degree of permanence;\n\n(2) Have no ornamentation;\n\n(3) Contrast in color with the background; and\n\n(4) Be legible.\n\n(d) The aircraft nationality and registration marks may be affixed to an aircraft with readily removable material if\u2014\n\n(1) It is intended for immediate delivery to a foreign purchaser;\n\n(2) It is bearing a temporary registration number; or\n\n(3) It is marked temporarily to meet the requirements of \u00a7 45.22(c)(1) or \u00a7 45.29(h) of this part, or both."], ["14:14:1.0.1.3.25.3.283.2", 14, "Aeronautics and Space", "I", "C", "45", "PART 45\u2014IDENTIFICATION AND REGISTRATION MARKING", "C", "Subpart C\u2014Nationality and Registration Marks", "", "\u00a7 45.22 Exhibition, antique, and other aircraft: Special rules.", "FAA", "", "", "[Doc. No. 8093, Amdt. 45-5, 33 FR 450, Jan. 12, 1968, as amended by Amdt. 45-13, 46 FR 48603, Oct. 1, 1981; Amdt. 45-19, 54 FR 39291, Sept. 25, 1989; Amdt. 45-18, 54 FR 34330, Aug. 18, 1989; Amdt. 45-21, 56 FR 65653, Dec. 17, 1991; Amdt. 45-22, 66 FR 21066, Apr. 27, 2001; Doc. No. FAA-2018-0119, Amdt. 45-31, 83 FR 9170, Mar. 5, 2018]", "(a) When display of aircraft nationality and registration marks in accordance with \u00a7\u00a7 45.21 and 45.23 through 45.33 would be inconsistent with exhibition of that aircraft, a U.S.-registered aircraft may be operated without displaying those marks anywhere on the aircraft if:\n\n(1) It is operated for the purpose of exhibition, including a motion picture or television production, or an airshow;\n\n(2) Except for practice and test fights necessary for exhibition purposes, it is operated only at the location of the exhibition, between the exhibition locations, and between those locations and the base of operations of the aircraft; and\n\n(3) For each flight in the United States:\n\n(i) It is operated with the prior approval of the responsible Flight Standards office, in the case of a flight within the lateral boundaries of the surface areas of Class B, Class C, Class D, or Class E airspace designated for the takeoff airport, or within 4.4 nautical miles of that airport if it is within Class G airspace; or\n\n(ii) It is operated under a flight plan filed under either \u00a7 91.153 or \u00a7 91.169 of this chapter describing the marks it displays, in the case of any other flight.\n\n(b) A small U.S.-registered aircraft built at least 30 years ago or a U.S.-registered aircraft for which an experimental certificate has been issued under \u00a7 21.191(d) or 21.191(g) for operation as an exhibition aircraft or as an amateur-built aircraft and which has the same external configuration as an aircraft built at least 30 years ago may be operated without displaying marks in accordance with \u00a7\u00a7 45.21 and 45.23 through 45.33 if:\n\n(1) It displays in accordance with \u00a7 45.21(c) marks at least 2 inches high on each side of the fuselage or vertical tail surface consisting of the Roman capital letter \u201cN\u201d followed by:\n\n(i) The U.S. registration number of the aircraft; or\n\n(ii) The symbol appropriate to the airworthiness certificate of the aircraft (\u201cC\u201d, standard; \u201cR\u201d, restricted; \u201cL\u201d, limited; or \u201cX\u201d, experimental) followed by the U.S. registration number of the aircraft; and\n\n(2) It displays no other mark that begins with the letter \u201cN\u201d anywhere on the aircraft, unless it is the same mark that is displayed under paragraph (b)(1) of this section.\n\n(c) No person may operate an aircraft under paragraph (a) or (b) of this section\u2014\n\n(1) In an ADIZ or DEWIZ described in Part 99 of this chapter unless it temporarily bears marks in accordance with \u00a7\u00a7 45.21 and 45.23 through 45.33;\n\n(2) In a foreign country unless that country consents to that operation; or\n\n(3) In any operation conducted under Part 121, 133, 135, or 137 of this chapter.\n\n(d) If, due to the configuration of an aircraft, it is impossible for a person to mark it in accordance with \u00a7\u00a7 45.21 and 45.23 through 45.33, he may apply to the FAA for a different marking procedure."], ["14:14:1.0.1.3.25.3.283.3", 14, "Aeronautics and Space", "I", "C", "45", "PART 45\u2014IDENTIFICATION AND REGISTRATION MARKING", "C", "Subpart C\u2014Nationality and Registration Marks", "", "\u00a7 45.23 Display of marks; general.", "FAA", "", "", "[Doc. No. 8093, Amdt. 45-5, 33 FR 450, Jan. 12, 1968, as amended by Amdt. 45-9, 42 FR 41102, Aug. 15, 1977; Amdt. 45-24, 69 FR 44863, July 27, 2004; Amdt. 45-32, 90 FR 35211, July 24, 2025]", "(a) Each operator of an aircraft must display on that aircraft marks consisting of the Roman capital letter \u201cN\u201d (denoting United States registration) followed by the registration number of the aircraft. Each suffix letter used in the marks displayed must also be a Roman capital letter.\n\n(b) Except for unmanned aircraft, when marks include only the Roman capital letter \u201cN\u201d and the registration number is displayed on limited, restricted, experimental, or provisionally certificated aircraft, the operator must also display on that aircraft near each entrance to the cabin, cockpit, or pilot station, in letters not less than 2 inches nor more than 6 inches high, the words \u201climited,\u201d \u201crestricted,\u201d \u201cexperimental,\u201d or \u201cprovisional,\u201d as applicable."], ["14:14:1.0.1.3.25.3.283.4", 14, "Aeronautics and Space", "I", "C", "45", "PART 45\u2014IDENTIFICATION AND REGISTRATION MARKING", "C", "Subpart C\u2014Nationality and Registration Marks", "", "\u00a7 45.25 Location of marks on fixed-wing aircraft.", "FAA", "", "", "[Amdt. 45-9, 42 FR 41102, Aug. 15, 1977]", "(a) The operator of a fixed-wing aircraft must display the required marks on either the vertical tail surfaces or the sides of the fuselage, except as provided in \u00a7 45.29(f).\n\n(b) The marks required by paragraph (a) of this section must be displayed as follows:\n\n(1) If displayed on the vertical tail surfaces, horizontally on both surfaces, horizontally on both surfaces of a single vertical tail or on the outer surfaces of a multivertical tail. However, on aircraft on which marks at least 3 inches high may be displayed in accordance with \u00a7 45.29(b)(1), the marks may be displayed vertically on the vertical tail surfaces.\n\n(2) If displayed on the fuselage surfaces, horizontally on both sides of the fuselage between the trailing edge of the wing and the leading edge of the horizontal stabilizer. However, if engine pods or other appurtenances are located in this area and are an integral part of the fuselage side surfaces, the operator may place the marks on those pods or appurtenances."], ["14:14:1.0.1.3.25.3.283.5", 14, "Aeronautics and Space", "I", "C", "45", "PART 45\u2014IDENTIFICATION AND REGISTRATION MARKING", "C", "Subpart C\u2014Nationality and Registration Marks", "", "\u00a7 45.27 Location of marks; nonfixed-wing aircraft.", "FAA", "", "", "[Doc. No. 2047, 29 FR 3223, Mar. 11, 1964, as amended by Amdt. 45-15, 48 FR 11392, Mar. 17, 1983; Amdt. 45-24, 69 FR 44863, July 27, 2004; Amdt. 45-25, 72 FR 52469, Sept. 14, 2007]", "(a)  Rotorcraft.  Each operator of a rotorcraft must display on that rotorcraft horizontally on both surfaces of the cabin, fuselage, boom, or tail the marks required by \u00a7 45.23.\n\n(b)  Airships.  Each operator of an airship must display on that airship the marks required by \u00a7 45.23, horizontally on\u2014\n\n(1) The upper surface of the right horizontal stabilizer and on the under surface of the left horizontal stabilizer with the top of the marks toward the leading edge of each stabilizer; and\n\n(2) Each side of the bottom half of the vertical stabilizer.\n\n(c)  Spherical balloons.  Each operator of a spherical balloon must display the marks required by \u00a7 45.23 in two places diametrically opposite and near the maximum horizontal circumference of that balloon.\n\n(d)  Nonspherical balloons.  Each operator of a nonspherical balloon must display the marks required by \u00a7 45.23 on each side of the balloon near its maximum cross section and immediately above either the rigging band or the points of attachment of the basket or cabin suspension cables.\n\n(e)  Powered parachutes and weight-shift-control aircraft.  Each operator of a powered parachute or a weight-shift-control aircraft must display the marks required by \u00a7\u00a7 45.23 and 45.29(b)(2) of this part. The marks must be displayed in two diametrically opposite positions on the fuselage, a structural member, or a component of the aircraft and must be visible from the side of the aircraft."], ["14:14:1.0.1.3.25.3.283.6", 14, "Aeronautics and Space", "I", "C", "45", "PART 45\u2014IDENTIFICATION AND REGISTRATION MARKING", "C", "Subpart C\u2014Nationality and Registration Marks", "", "\u00a7 45.29 Size of marks.", "FAA", "", "", "[Doc. No. 2047, 29 FR 3223, Mar. 11, 1964, as amended by Amdt. 45-2, 31 FR 9863, July 21, 1966; Amdt. 45-9, 42 FR 41102, Aug. 15, 1977; Amdt. 45-13, 46 FR 48604, Oct. 1, 1981; Amdt. 45-15, 48 FR 11392, Mar. 17, 1983; Amdt. 45-17, 52 FR 34102, Sept. 9, 1987; 52 FR 36566, Sept. 30, 1987; Amdt. 45-24, 69 FR 44863, July 27, 2004; Amdt. 45-25, 72 FR 52469, Sept. 14, 2007; Amdt. 45-32, 90 FR 35211, July 24, 2025]", "(a) Except as provided in paragraph (f) of this section, each operator of an aircraft must display marks on the aircraft meeting the size requirements of this section.\n\n(b)  Height.  Except as provided in paragraph (h) of this part, the nationality and registration marks must be of equal height and on\u2014\n\n(1) Fixed-wing aircraft, must be at least 12 inches high, except that:\n\n(i) An aircraft displaying marks at least 2 inches high before November 1, 1981 and an aircraft manufactured after November 2, 1981, but before January 1, 1983, may display those marks until the aircraft is repainted or the marks are repainted, restored, or changed;\n\n(ii) Marks at least 3 inches high may be displayed on a glider;\n\n(iii) Marks at least 3 inches high may be displayed on an aircraft for which the FAA has issued an experimental airworthiness certificate under \u00a7 21.191(d), (g), (i), (k), or (l) of this chapter to operate as an exhibition aircraft, an amateur-built aircraft, or a former or kit-built light-sport category aircraft when the maximum cruising speed of the aircraft does not exceed 180 knots CAS; and\n\n(iv) Marks may be displayed on an exhibition, antique, or other aircraft in accordance with \u00a7 45.22.\n\n(2) Airships, spherical balloons, nonspherical balloons, powered parachutes, and weight-shift-control aircraft must be at least 3 inches high; and\n\n(3) Rotorcraft, must be at least 12 inches high, except that rotorcraft displaying before April 18, 1983, marks required by \u00a7 45.29(b)(3) in effect on April 17, 1983, and rotorcraft manufactured on or after April 18, 1983, but before December 31, 1983, may display those marks until the aircraft is repainted or the marks are repainted, restored, or changed.\n\n(c)  Width.  Characters must be two-thirds as wide as they are high, except the number \u201c1\u201d, which must be one-sixth as wide as it is high, and the letters \u201cM\u201d and \u201cW\u201d which may be as wide as they are high.\n\n(d)  Thickness.  Characters must be formed by solid lines one-sixth as thick as the character is high.\n\n(e)  Spacing.  The space between each character may not be less than one-fourth of the character width.\n\n(f) If either one of the surfaces authorized for displaying required marks under \u00a7 45.25 is large enough for display of marks meeting the size requirements of this section and the other is not, full size marks must be placed on the larger surface. If neither surface is large enough for full-size marks, marks as large as practicable must be displayed on the larger of the two surfaces. If no surface authorized to be marked by \u00a7 45.27 is large enough for full-size marks, marks as large as practicable must be placed on the largest of the authorized surfaces. However, powered parachutes and weight-shift-control aircraft must display marks at least 3 inches high.\n\n(g)  Uniformity.  The marks required by this part for fixed-wing aircraft must have the same height, width, thickness, and spacing on both sides of the aircraft.\n\n(h) After March 7, 1988, each operator of an aircraft penetrating an ADIZ or DEWIZ must display on that aircraft temporary or permanent nationality and registration marks at least 12 inches high."], ["14:14:1.0.1.3.25.3.283.7", 14, "Aeronautics and Space", "I", "C", "45", "PART 45\u2014IDENTIFICATION AND REGISTRATION MARKING", "C", "Subpart C\u2014Nationality and Registration Marks", "", "\u00a7 45.31 Marking of export aircraft.", "FAA", "", "", "", "A person who manufactures an aircraft in the United States for delivery outside thereof may display on that aircraft any marks required by the State of registry of the aircraft. However, no person may operate an aircraft so marked within the United States, except for test and demonstration flights for a limited period of time, or while in necessary transit to the purchaser."], ["14:14:1.0.1.3.25.3.283.8", 14, "Aeronautics and Space", "I", "C", "45", "PART 45\u2014IDENTIFICATION AND REGISTRATION MARKING", "C", "Subpart C\u2014Nationality and Registration Marks", "", "\u00a7 45.33 Sale of aircraft; removal of marks.", "FAA", "", "", "[Amdt. 45-11, 44 FR 61938, Oct. 29, 1979]", "When an aircraft that is registered in the United States is sold, the holder of the Certificate of Aircraft Registration must remove, before its delivery to the purchaser, all United States marks from the aircraft, unless the purchaser is\u2014\n\n(a) A citizen of the United States;\n\n(b) An individual citizen of a foreign country who is lawfully admitted for permanent residence in the United States; or\n\n(c) When the aircraft is to be based and primarily used in the United States, a corporation (other than a corporation which is a citizen of the United States) lawfully organized and doing business under the laws of the United States or any State thereof."], ["17:17:2.0.1.1.5.0.1.1", 17, "Commodity and Securities Exchanges", "I", "", "45", "PART 45\u2014SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS", "", "", "", "\u00a7 45.1 Definitions.", "CFTC", "", "", "[85 FR 75559, Nov. 25, 2020, as amended at 85 FR 75654, Nov. 25, 2020]", "(a) As used in this part:\n\nAllocation  means the process by which an agent, having facilitated a single swap transaction on behalf of several clients, allocates a portion of the executed swap to the clients.\n\nAs soon as technologically practicable  means as soon as possible, taking into consideration the prevalence, implementation, and use of technology by comparable market participants.\n\nAsset class  means a broad category of commodities, including, without limitation, any \u201cexcluded commodity\u201d as defined in section 1a(19) of the Act, with common characteristics underlying a swap. The asset classes include interest rate, foreign exchange, credit, equity, other commodity, and such other asset classes as may be determined by the Commission.\n\nBusiness day  means the twenty-four-hour day, on all days except Saturdays, Sundays, and legal holidays, in the location of the swap execution facility, designated contract market, or reporting counterparty reporting data for the swap.\n\nBusiness hours  means consecutive hours during one or more consecutive business days.\n\nClearing swap  means a swap created pursuant to the rules of a derivatives clearing organization that has a derivatives clearing organization as a counterparty, including any swap that replaces an original swap that was extinguished upon acceptance of such original swap by the derivatives clearing organization for clearing.\n\nCollateral data  means the data elements necessary to report information about the money, securities, or other property posted or received by a swap counterparty to margin, guarantee, or secure a swap, as specified in appendix 1 to this part.\n\nDerivatives clearing organization  means a derivatives clearing organization, as defined by \u00a7 1.3 of this chapter, that is registered with the Commission.\n\nElectronic reporting  (\u201creport electronically\u201d) means the reporting of data normalized in data elements as required by the data standard or standards used by the swap data repository to which the data is reported. Except where specifically otherwise provided in this chapter, electronic reporting does not include submission of an image of a document or text file.\n\nExecution  means an agreement by the parties, by any method, to the terms of a swap that legally binds the parties to such swap terms under applicable law.\n\nExecution date  means the date of execution of a particular swap. The execution date for a clearing swap that replaces an original swap is the date on which the original swap has been accepted for clearing.\n\nFinancial entity  has the meaning set forth in CEA section 2(h)(7)(C).\n\nGlobal Legal Entity Identifier System  means the system established and overseen by the Legal Entity Identifier Regulatory Oversight Committee for the unique identification of legal entities and individuals.\n\nLegal entity identifier  or  LEI  means a unique code assigned to swap counterparties and entities in accordance with the standards set by the Global Legal Entity Identifier System.\n\nLegal Entity Identifier Regulatory Oversight Committee  means the group charged with the oversight of the Global Legal Entity Identifier System that was established by the Finance Ministers and the Central Bank Governors of the Group of Twenty nations and the Financial Stability Board, under the Charter of the Regulatory Oversight Committee for the Global Legal Entity Identifier System dated November 5, 2012, or any successor thereof.\n\nLife-cycle event  means any event that would result in a change to required swap creation data previously reported to a swap data repository in connection with a swap. Examples of such events include, without limitation, a counterparty change resulting from an assignment or novation; a partial or full termination of the swap; a change to the end date for the swap; a change in the cash flows or rates originally reported; availability of a legal entity identifier for a swap counterparty previously identified by some other identifier; or a corporate action affecting a security or securities on which the swap is based (e.g., a merger, dividend, stock split, or bankruptcy).\n\nLife-cycle-event data  means all of the data elements necessary to fully report any life cycle event.\n\nMixed swap  has the meaning set forth in CEA section 1a(47)(D), and refers to an instrument that is in part a swap subject to the jurisdiction of the Commission, and in part a security-based swap subject to the jurisdiction of the Securities and Exchange Commission.\n\nMulti-asset swap  means a swap that does not have one easily identifiable primary underlying notional item, but instead involves multiple underlying notional items within the Commission's jurisdiction that belong to different asset classes.\n\nNon-SD/MSP/DCO counterparty  means a swap counterparty that is not a swap dealer, major swap participant, or derivatives clearing organization.\n\nNon-SD/MSP/DCO reporting counterparty  means a reporting counterparty that is not a swap dealer, major swap participant, or derivatives clearing organization.\n\nNovation  means the process by which a party to a swap legally transfers all or part of its rights, liabilities, duties, and obligations under the swap to a new legal party other than the counterparty to the swap under applicable law.\n\nOff-facility swap  means any swap transaction that is not executed on or pursuant to the rules of a swap execution facility or designated contract market.\n\nOpen swap  means an executed swap transaction that has not reached maturity or expiration, and has not been fully exercised, closed out, or terminated.\n\nOriginal swap  means a swap that has been accepted for clearing by a derivatives clearing organization.\n\nReporting counterparty  means the counterparty required to report swap data pursuant to this part, selected as provided in \u00a7 45.8.\n\nRequired swap continuation data  means all of the data elements that must be reported during the existence of a swap to ensure that all swap data concerning the swap in the swap data repository remains current and accurate, and includes all changes to the required swap creation data occurring during the existence of the swap. For this purpose, required swap continuation data includes:\n\n(i) All life-cycle-event data for the swap; and\n\n(ii) All swap valuation, margin, and collateral data for the swap.\n\nRequired swap creation data  means all data for a swap required to be reported pursuant to \u00a7 45.3 for the swap data elements in appendix 1 to this part.\n\nSwap  means any swap, as defined by \u00a7 1.3 of this chapter, as well as any foreign exchange forward, as defined by section 1a(24) of the Act, or foreign exchange swap, as defined by section 1a(25) of the Act.\n\nSwap data  means the specific data elements in appendix 1 to this part required to be reported to a swap data repository pursuant to this part or made available to the Commission pursuant to part 49 of this chapter, as applicable.\n\nSwap data validation procedures  means procedures established by a swap data repository pursuant to \u00a7 49.10 of this chapter to accept, validate, and process swap data reported to the swap data repository pursuant to part 45 of this chapter.\n\nSwap execution facility  means a trading system or platform that is a swap execution facility as defined in CEA section 1a(50) and in \u00a7 1.3 of this chapter and that is registered with the Commission pursuant to CEA section 5h and part 37 of this chapter.\n\nSwap transaction and pricing data  means all data elements for a swap in appendix A to part 43 of this chapter that are required to be reported or publicly disseminated pursuant to part 43 of this chapter.\n\nUnique transaction identifier  means a unique alphanumeric identifier with a maximum length of 52 characters constructed solely from the upper-case alphabetic characters A to Z or the digits 0 to 9, inclusive in both cases, generated for each swap pursuant to \u00a7 45.5.\n\nValuation data  means the data elements necessary to report information about the daily mark of the transaction, pursuant to section 4s(h)(3)(B)(iii) of the Act, and to \u00a7 23.431 of this chapter, if applicable, as specified in appendix 1 to this part.\n\n(b)  Other defined terms.  Terms not defined in this part have the meanings assigned to the terms in \u00a7 1.3 of this chapter."], ["17:17:2.0.1.1.5.0.1.10", 17, "Commodity and Securities Exchanges", "I", "", "45", "PART 45\u2014SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS", "", "", "", "\u00a7 45.10 Reporting to a single swap data repository.", "CFTC", "", "", "[85 FR 75564, Nov. 25, 2020]", "All swap transaction and pricing data and swap data for a given swap shall be reported to a single swap data repository, which shall be the swap data repository to which the first report of such data is made, unless the reporting counterparty changes the swap data repository to which such data is reported pursuant to paragraph (d) of this section.\n\n(a)  Swaps executed on or pursuant to the rules of a swap execution facility or designated contract market.  To ensure that all swap transaction and pricing data and swap data for a swap executed on or pursuant to the rules of a swap execution facility or designated contract market is reported to a single swap data repository:\n\n(1) The swap execution facility or designated contract market shall report all swap transaction and pricing data and required swap creation data for a swap to a single swap data repository. As soon as technologically practicable after execution of the swap, the swap execution facility or designated contract market shall transmit to both counterparties to the swap, and to the derivatives clearing organization, if any, that will clear the swap, the identity of the swap data repository to which such data is reported.\n\n(2) Thereafter, all swap transaction and pricing data, required swap creation data, and required swap continuation data for the swap shall be reported to that same swap data repository, unless the reporting counterparty changes the swap data repository to which such data is reported pursuant to paragraph (d) of this section.\n\n(b)  Off-facility swaps that are not clearing swaps.  To ensure that all swap transaction and pricing data and swap data for an off-facility swap that is not a clearing swap is reported to a single swap data repository:\n\n(1) The reporting counterparty shall report all swap transaction and pricing data and required swap creation data to a single swap data repository. As soon as technologically practicable after execution, the reporting counterparty shall transmit to the other counterparty to the swap, and to the derivatives clearing organization, if any, that will clear the swap, the identity of the swap data repository to which such data is reported.\n\n(2) Thereafter, all swap transaction and pricing data, required swap creation data, and required swap continuation data for the swap shall be reported to the same swap data repository, unless the reporting counterparty changes the swap data repository to which such data is reported pursuant to paragraph (d) of this section.\n\n(c)  Clearing swaps.  To ensure that all swap transaction and pricing data and swap data for a given clearing swap, including clearing swaps that replace a particular original swap or that are created upon execution of the same transaction and that do not replace an original swap, is reported to a single swap data repository:\n\n(1) The derivatives clearing organization that is a counterparty to such clearing swap shall report all swap transaction and pricing data and required swap creation data for that clearing swap to a single swap data repository. As soon as technologically practicable after acceptance of an original swap for clearing, or execution of a clearing swap that does not replace an original swap, the derivatives clearing organization shall transmit to the counterparty to each clearing swap the identity of the swap data repository to which such data is reported.\n\n(2) Thereafter, all swap transaction and pricing data, required swap creation data and required swap continuation data for that clearing swap shall be reported by the derivatives clearing organization to the same swap data repository to which swap data has been reported pursuant to paragraph (c)(1) of this section, unless the reporting counterparty changes the swap data repository to which such data is reported pursuant to paragraph (d) of this section.\n\n(3) For clearing swaps that replace a particular original swap, and for equal and opposite clearing swaps that are created upon execution of the same transaction and that do not replace an original swap, the derivatives clearing organization shall report all swap transaction and pricing data, required swap creation data, and required swap continuation data for such clearing swaps to a single swap data repository.\n\n(d)  Change of swap data repository for swap transaction and pricing data and swap data reporting.  A reporting counterparty may change the swap data repository to which swap transaction and pricing data and swap data is reported as set forth in this paragraph.\n\n(1)  Notifications.  At least five business days prior to changing the swap data repository to which the reporting counterparty reports swap transaction and pricing data and swap data for a swap, the reporting counterparty shall provide notice of such change to the other counterparty to the swap, the swap data repository to which swap transaction and pricing data and swap data is currently reported, and the swap data repository to which swap transaction and pricing data and swap data will be reported going forward. Such notification shall include the unique transaction identifier of the swap and the date on which the reporting counterparty will begin reporting such swap transaction and pricing data and swap data to a different swap data repository.\n\n(2)  Procedure.  After providing the notifications required in paragraph (d)(1) of this section, the reporting counterparty shall follow paragraphs (d)(2)(i) through (iii) of this section to complete the change of swap data repository.\n\n(i) The reporting counterparty shall report the change of swap data repository to the swap data repository to which the reporting counterparty is currently reporting swap transaction and pricing data and swap data as a life cycle event for such swap pursuant to \u00a7 45.4.\n\n(ii) On the same day that the reporting counterparty reports required swap continuation data as required by paragraph (d)(2)(i) of this section, the reporting counterparty shall also report the change of swap data repository to the swap data repository to which swap transaction and pricing data and swap data will be reported going forward as a life cycle event for such swap pursuant to \u00a7 45.4. The required swap continuation data report shall identify the swap using the same unique transaction identifier used to identify the swap at the previous swap data repository.\n\n(iii) Thereafter, all swap transaction and pricing data, required swap creation data, and required swap continuation data for the swap shall be reported to the same swap data repository, unless the reporting counterparty for the swap makes another change to the swap data repository to which such data is reported pursuant to paragraph (d) of this section."], ["17:17:2.0.1.1.5.0.1.11", 17, "Commodity and Securities Exchanges", "I", "", "45", "PART 45\u2014SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS", "", "", "", "\u00a7 45.11 Data reporting for swaps in a swap asset class not accepted by any swap data repository.", "CFTC", "", "", "[85 FR 75565, Nov. 25, 2020]", "(a) Should there be a swap asset class for which no swap data repository currently accepts swap data, each swap execution facility, designated contract market, derivatives clearing organization, or reporting counterparty required by this part to report any required swap creation data or required swap continuation data with respect to a swap in that asset class must report that same data to the Commission.\n\n(b) Data subject to this section shall be reported at times announced by the Commission and in an electronic file in a format acceptable to the Commission."], ["17:17:2.0.1.1.5.0.1.12", 17, "Commodity and Securities Exchanges", "I", "", "45", "PART 45\u2014SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS", "", "", "", "\u00a7 45.12 [Reserved]", "CFTC", "", "", "", ""], ["17:17:2.0.1.1.5.0.1.13", 17, "Commodity and Securities Exchanges", "I", "", "45", "PART 45\u2014SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS", "", "", "", "\u00a7 45.13 Required data standards.", "CFTC", "", "", "[85 FR 75565, Nov. 25, 2020]", "(a)  Data reported to swap data repositories.  (1) In reporting required swap creation data and required swap continuation data to a swap data repository, each reporting counterparty, swap execution facility, designated contract market, and derivatives clearing organization shall report the swap data elements in appendix 1 to this part in the form and manner provided in the technical specifications published by the Commission pursuant to \u00a7 45.15.\n\n(2) In reporting required swap creation data and required swap continuation data to a swap data repository, each reporting counterparty, swap execution facility, designated contract market, and derivatives clearing organization making such report shall satisfy the swap data validation procedures of the swap data repository.\n\n(3) In reporting swap data to a swap data repository as required by this part, each reporting counterparty, swap execution facility, designated contract market, and derivatives clearing organization shall use the facilities, methods, or data standards provided or required by the swap data repository to which the entity or counterparty reports the data.\n\n(b)  Data validation acceptance message.  (1) For each required swap creation data or required swap continuation data report submitted to a swap data repository, a swap data repository shall notify the reporting counterparty, swap execution facility, designated contract market, derivatives clearing organization, or third-party service provider submitting the report whether the report satisfied the swap data validation procedures of the swap data repository. The swap data repository shall provide such notification as soon as technologically practicable after accepting the required swap creation data or required swap continuation data report. A swap data repository may satisfy the requirements of this paragraph by transmitting data validation acceptance messages as required by \u00a7 49.10 of this chapter.\n\n(2) If a required swap creation data or required swap continuation data report to a swap data repository does not satisfy the data validation procedures of the swap data repository, the reporting counterparty, swap execution facility, designated contract market, or derivatives clearing organization required to submit the report has not yet satisfied its obligation to report required swap creation or continuation data in the manner provided by paragraph (a) of this section within the timelines set forth in \u00a7\u00a7 45.3 and 45.4. The reporting counterparty, swap execution facility, designated contract market, or derivatives clearing organization has not satisfied its obligation until it submits the required swap data report in the manner provided by paragraph (a) of this section, which includes the requirement to satisfy the data validation procedures of the swap data repository, within the applicable time deadline set forth in \u00a7\u00a7 45.3 and 45.4."], ["17:17:2.0.1.1.5.0.1.14", 17, "Commodity and Securities Exchanges", "I", "", "45", "PART 45\u2014SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS", "", "", "", "\u00a7 45.14 Correcting errors in swap data and verification of swap data accuracy.", "CFTC", "", "", "[85 FR 75654, Nov. 25, 2020]", "(a)  Correction of errors \u2014(1)  Swap execution facilities, designated contract markets, and reporting counterparties.  Any swap execution facility, designated contract market, or reporting counterparty that by any means becomes aware of any error relating to swap data that it was required to report under this part shall correct the error. To correct an error, the swap execution facility, designated contract market, or reporting counterparty shall submit complete and accurate swap data to the swap data repository that maintains the swap data for the relevant swap, or completely and accurately report swap data for a swap that was not previously reported to a swap data repository as required under this part, as applicable. Except as otherwise provided in this section, the requirement to correct any error applies regardless of the state of the swap that is the subject of the swap data, including a swap that has terminated, matured, or otherwise is no longer considered to be an open swap.\n\n(i)  Timing requirement for correcting errors.  The swap execution facility, designated contract market, or reporting counterparty shall correct any error as soon as technologically practicable after discovery of the error. In all cases, errors shall be corrected within seven business days after discovery. Any error that a reporting counterparty discovers or could have discovered during the verification process required under paragraph (b) of this section is considered discovered for the purposes of this section as of the moment the reporting counterparty began the verification process during which the error was first discovered or discoverable.\n\n(ii)  Notification of failure to timely correct.  If the swap execution facility, designated contract market, or reporting counterparty will, for any reason, fail to timely correct an error, the swap execution facility, designated contract market, or reporting counterparty shall notify the Director of the Division of Market Oversight, or such other employee or employees of the Commission as the Director may designate from time to time. The notification shall be in the form and manner, and according to the instructions, specified by the Director of the Division of Market Oversight, or such other employee or employees of the Commission as the Director may designate from time to time. Unless otherwise instructed by the Director of the Division of Market Oversight, or such other employee or employees of the Commission as the Director may designate from time to time, the notification shall include an initial assessment of the scope of the error or errors that were discovered, and shall include any initial remediation plan for correcting the error or errors, if an initial remediation plan exists. This notification shall be made within 12 hours of the swap execution facility's, designated contract market's, or reporting counterparty's determination that it will fail to timely correct the error.\n\n(iii)  Form and manner for error correction.  In order to satisfy the requirements of this section, a swap execution facility, designated contract market, or reporting counterparty shall conform to a swap data repository's policies and procedures created pursuant to \u00a7 49.10 of this chapter for correction of errors.\n\n(2)  Non-reporting counterparties.  Any non-reporting counterparty that by any means becomes aware of any error in the swap data for a swap to which it is the non-reporting counterparty, shall notify the reporting counterparty for the swap of the error as soon as technologically practicable after discovery, but not later than three business days following discovery of the error. If the non-reporting counterparty does not know the identity of the reporting counterparty, the non-reporting counterparty shall notify the swap execution facility or designated contract market where the swap was executed of the error as soon as technologically practicable after discovery, but no later than three business days following the discovery. Such notice from the non-reporting counterparty to the swap execution facility, designated contract market, or reporting counterparty constitutes discovery under this section.\n\n(3)  Exception.  The requirements to correct errors set forth in paragraph (a) of this section only apply to errors in swap data relating to swaps for which the record retention period under \u00a7 45.2 has not expired as of the time the error is discovered. Errors in swap data relating to swaps for which the record retention periods under \u00a7 45.2 have expired at the time that the errors are discovered are not subject to the requirements to correct errors set forth in paragraph (a) of this section.\n\n(b)  Verification that swap data is complete and accurate.  Each reporting counterparty shall verify that there are no errors in the swap data for all open swaps that the reporting counterparty reported, or was required to report, to a swap data repository under the requirements of this part, in accordance with this paragraph (b).\n\n(1)  Method of verification.  Each reporting counterparty shall utilize the mechanism for verification that each swap data repository to which the reporting counterparty reports swap data adopts under \u00a7 49.11 of this chapter. Each reporting counterparty shall utilize the relevant mechanism(s) to compare all swap data for each open swap for which it serves as the reporting counterparty maintained by the relevant swap data repository or repositories with all swap data contained in the reporting counterparty's internal books and records for each swap, to verify that there are no errors in the relevant swap data maintained by the swap data repository. Notwithstanding the foregoing, a reporting counterparty is not required to verify the accuracy and completeness of any swap data to which the reporting counterparty is not permitted access under the Act or Commission regulations, including, but not limited to, \u00a7 49.17 of this chapter.\n\n(2)  Verification policies and procedures.  In performing verification as required by this paragraph, each reporting counterparty shall conform to each relevant swap data repository's verification policies and procedures created pursuant to \u00a7 49.11 of this chapter. If a reporting counterparty utilizes a third-party service provider to perform verification, the reporting counterparty shall conform to each relevant swap data repository's third-party service provider verification policies and procedures created pursuant to \u00a7 49.11 of this chapter and shall require the third-party service provider to conform to the same policies and procedures while performing verification on behalf of the reporting counterparty.\n\n(3)  Correcting errors.  Any and all errors discovered during the verification process shall be corrected in accordance with paragraph (a)(1) of this section.\n\n(4)  Frequency.  Each reporting counterparty shall perform verification at a minimum:\n\n(i) If the reporting counterparty is a swap dealer, major swap participant, or derivatives clearing organization, once every thirty calendar days; or\n\n(ii) If the reporting counterparty is not a swap dealer, major swap participant, or a derivatives clearing organization, once every calendar quarter, provided that there are at least two calendar months between verifications.\n\n(5)  Verification log.  Each reporting counterparty shall keep a log of each verification that it performs. For each verification, the log shall include all errors discovered during the verification, and the corrections performed under paragraph (a) of this section. This requirement is in addition to any other applicable reporting counterparty recordkeeping requirement.\n\n(c)  Error defined \u2014(1)  Errors.  For the purposes of this part, there is an error when swap data is not completely and accurately reported. This includes, but is not limited to, the following circumstances:\n\n(i) Any of the swap data for a swap reported to a swap data repository is incorrect or any of the swap data that is maintained by a swap data repository differs from any of the relevant swap data contained in the books and records of a party to the swap.\n\n(ii) Any of the swap data for a swap that is required to be reported to a swap data repository or to be maintained by a swap data repository is not reported to a swap data repository or is not maintained by the swap data repository as required by this part.\n\n(iii) None of the swap data for a swap that is required to be reported to a swap data repository or to be maintained by a swap data repository is reported to a swap data repository or is maintained by a swap data repository.\n\n(iv) Any of the swap data for a swap that is no longer an open swap is maintained by the swap data repository as if the swap is still an open swap.\n\n(2)  Presumption.  For the purposes of this section, there is a presumption that an error exists if the swap data that is maintained and disseminated by an SDR for a swap is not complete and accurate. This includes, but is not limited to, the swap data that the SDR makes available to the reporting counterparty for verification under \u00a7 49.11 of this chapter."], ["17:17:2.0.1.1.5.0.1.15", 17, "Commodity and Securities Exchanges", "I", "", "45", "PART 45\u2014SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS", "", "", "", "\u00a7 45.15 Delegation of authority.", "CFTC", "", "", "[85 FR 75565, Nov. 25, 2020]", "(a)  Delegation of authority to the chief information officer.  The Commission hereby delegates to its chief information officer, until the Commission orders otherwise, the authority set forth in paragraph (a) of this section, to be exercised by the chief information officer or by such other employee or employees of the Commission as may be designated from time to time by the chief information officer. The chief information officer may submit to the Commission for its consideration any matter which has been delegated in this paragraph. Nothing in this paragraph prohibits the Commission, at its election, from exercising the authority delegated in this paragraph. The authority delegated to the chief information officer by this paragraph (a) shall include:\n\n(1) The authority to determine the manner, format, coding structure, and electronic data transmission standards and procedures acceptable to the Commission for the purposes of \u00a7 45.11;\n\n(2) The authority to determine whether the Commission may permit or require use by swap execution facilities, designated contract markets, derivatives clearing organizations, or reporting counterparties in reporting pursuant to \u00a7 45.11 of one or more particular data standards (such as FIX, FpML, ISO 20022, or some other standard), to accommodate the needs of different communities of users;\n\n(3) The dates and times at which required swap creation data or required swap continuation data shall be reported pursuant to \u00a7 45.11; and\n\n(4) The chief information officer shall publish from time to time in the  Federal Register  and on the website of the Commission the format, data schema, electronic data transmission methods and procedures, and dates and times for reporting acceptable to the Commission with respect to swap data reporting pursuant to \u00a7 45.11.\n\n(b)  Delegation of authority to the Director of the Division of Market Oversight.  The Commission hereby delegates to the Director of the Division of Market Oversight, until the Commission orders otherwise, the authority set forth in \u00a7 45.13(a)(1), to be exercised by the Director of the Division of Market Oversight or by such other employee or employees of the Commission as may be designated from time to time by the Director of the Division of Market Oversight. The Director of the Division of Market Oversight may submit to the Commission for its consideration any matter which has been delegated pursuant to this paragraph. Nothing in this paragraph prohibits the Commission, at its election, from exercising the authority delegated in this paragraph. The authority delegated to the Director of the Division of Market Oversight by this paragraph (b) shall include:\n\n(1) The authority to publish the technical specifications providing the form and manner for reporting the swap data elements in appendix 1 to this part to swap data repositories as provided in \u00a7 45.13(a)(1);\n\n(2) The authority to determine whether the Commission may permit or require use by swap execution facilities, designated contract markets, derivatives clearing organizations, or reporting counterparties in reporting pursuant to \u00a7 45.13(a)(1) of one or more particular data standards (such as FIX, FpML, ISO 20022, or some other standard), to accommodate the needs of different communities of users;\n\n(3) The dates and times at which required swap creation data or required swap continuation data shall be reported pursuant to \u00a7 45.13(a)(1); and\n\n(4) The Director of the Division of Market Oversight shall publish from time to time in the  Federal Register  and on the website of the Commission the technical specifications for swap data reporting pursuant to \u00a7 45.13(a)(1)."], ["17:17:2.0.1.1.5.0.1.2", 17, "Commodity and Securities Exchanges", "I", "", "45", "PART 45\u2014SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS", "", "", "", "\u00a7 45.2 Swap recordkeeping.", "CFTC", "", "", "[77 FR 2197, Jan. 13, 2012, as amended at 85 FR 75560, 75654, Nov. 25, 2020]", "(a)  Recordkeeping by swap execution facilities, designated contract markets, derivatives clearing organizations, swap dealers, and major swap participants.  Each swap execution facility, designated contract market, derivatives clearing organization, swap dealer, and major swap participant shall keep full, complete, and systematic records, together with all pertinent data and memoranda, of all activities relating to the business of such entity or person with respect to swaps, as prescribed by the Commission. Such records shall include, without limitation, the following:\n\n(1) For swap execution facilities, all records required by part 37 of this chapter.\n\n(2) For designated contract markets, all records required by part 38 of this chapter.\n\n(3) For derivatives clearing organizations, all records required by part 39 of this chapter.\n\n(4) For swap dealers and major swap participants, all records required by part 23 of this chapter, and all records demonstrating that they are entitled, with respect to any swap, to elect the clearing requirement exception pursuant to CEA section 2(h)(7).\n\n(b)  Recordkeeping by non-SD/MSP/DCO counterparties.  All non-SD/MSP/DCO counterparties shall keep full, complete, and systematic records, together with all pertinent data and memoranda, with respect to each swap in which they are a counterparty, including, without limitation, all records demonstrating that they are entitled, with respect to any swap, to electany clearing requirement exception or exemption pursuant to section 2(h)(7) of the Act or part 50 of this chapter.\n\n(c)  Record retention.  All records required to be kept pursuant to this section shall be retained with respect to each swap throughout the life of the swap and for a period of at least five years following the final termination of the swap.\n\n(d)  Retention form.  Records required to be kept pursuant to this section must be kept as required by paragraph (d)(1) or (2) of this section, as applicable.\n\n(1) Records required to be kept by swap execution facilities, designated contract markets, derivatives clearing organizations, swap dealers, or major swap participants may be kept in electronic form, or kept in paper form if originally created and exclusively maintained in paper form, so long as they are retrievable, and information in them is reportable, as required by this section.\n\n(2) Records required to be kept by non-SD/MSP/DCO counterparties may be kept in either electronic or paper form, so long as they are retrievable, and information in them is reportable, as required by this section.\n\n(e)  Record retrievability.  Records required to be kept by swap execution facilities, designated contract markets, derivatives clearing organizations, or swap counterparties pursuant to this section shall be retrievable as provided in paragraphs (e)(1) and (2) of this section, as applicable.\n\n(1) Each record required by this section or any other section of the CEA to be kept by a swap execution facility, designated contract market, derivatives clearing organization, swap dealer, or major swap participant shall be readily accessible via real time electronic access by the registrant throughout the life of the swap and for two years following the final termination of the swap, and shall be retrievable by the registrant within three business days through the remainder of the period following final termination of the swap during which it is required to be kept.\n\n(2) Each record required by this section or any other section of the CEA to be kept by a non-SD/MSP/DCO counterparty shall be retrievable by that counterparty within five business days throughout the period during which it is required to be kept.\n\n(f)-(g) [Reserved]\n\n(h)  Record inspection.  All records required to be kept pursuant to this section by any registrant or its affiliates or by any non-SD/MSP/DCO counterparty shall be open to inspection upon request by any representative of the Commission, the United States Department of Justice, or the Securities and Exchange Commission, or by any representative of a prudential regulator as authorized by the Commission. Copies of all such records shall be provided, at the expense of the entity or person required to keep the record, to any representative of the Commission upon request. Copies of records required to be kept by any registrant shall be provided either by electronic means, in hard copy, or both, as requested by the Commission, with the sole exception that copies of records originally created and exclusively maintained in paper form may be provided in hard copy only. Copies of records required to be kept by any non-SD/MSP/DCO counterparty that is not a Commission registrant shall be provided in the form, whether electronic or paper, in which the records are kept."], ["17:17:2.0.1.1.5.0.1.3", 17, "Commodity and Securities Exchanges", "I", "", "45", "PART 45\u2014SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS", "", "", "", "\u00a7 45.3 Swap data reporting: Creation data.", "CFTC", "", "", "[85 FR 75561, Nov. 25, 2020]", "(a)  Swaps executed on or pursuant to the rules of a swap execution facility or designated contract market.  For each swap executed on or pursuant to the rules of a swap execution facility or designated contract market, the swap execution facility or designated contract market shall report required swap creation data electronically to a swap data repository in the manner provided in \u00a7 45.13(a) not later than the end of the next business day following the execution date.\n\n(b)  Off-facility swaps.  For each off-facility swap, the reporting counterparty shall report required swap creation data electronically to a swap data repository as provided by paragraph (b)(1) or (2) of this section, as applicable.\n\n(1) If the reporting counterparty is a swap dealer, major swap participant, or derivatives clearing organization, the reporting counterparty shall report required swap creation data electronically to a swap data repository in the manner provided in \u00a7 45.13(a) not later than the end of the next business day following the execution date.\n\n(2) If the reporting counterparty is a non-SD/MSP/DCO counterparty, the reporting counterparty shall report required swap creation data electronically to a swap data repository in the manner provided in \u00a7 45.13(a) not later than the end of the second business day following the execution date.\n\n(c)  Allocations.  For swaps involving allocation, required swap creation data shall be reported electronically to a single swap data repository as follows.\n\n(1)  Initial swap between reporting counterparty and agent.  The initial swap transaction between the reporting counterparty and the agent shall be reported as required by paragraph (a) or (b) of this section, as applicable. A unique transaction identifier for the initial swap transaction shall be created as provided in \u00a7 45.5.\n\n(2)  Post-allocation swaps \u2014(i)  Duties of the agent.  In accordance with this section, the agent shall inform the reporting counterparty of the identities of the reporting counterparty's actual counterparties resulting from allocation, as soon as technologically practicable after execution, but no later than eight business hours after execution.\n\n(ii)  Duties of the reporting counterparty.  The reporting counterparty shall report required swap creation data, as required by paragraph (b) of this section, for each swap resulting from allocation to the same swap data repository to which the initial swap transaction is reported. The reporting counterparty shall create a unique transaction identifier for each such swap as required in \u00a7 45.5.\n\n(d)  Multi-asset swaps.  For each multi-asset swap, required swap creation data and required swap continuation data shall be reported to a single swap data repository that accepts swaps in the asset class treated as the primary asset class involved in the swap by the swap execution facility, designated contract market, or reporting counterparty reporting required swap creation data pursuant to this section.\n\n(e)  Mixed swaps.  (1) For each mixed swap, required swap creation data and required swap continuation data shall be reported to a swap data repository and to a security-based swap data repository registered with the Securities and Exchange Commission. This requirement may be satisfied by reporting the mixed swap to a swap data repository or security-based swap data repository registered with both Commissions.\n\n(2) The registered entity or reporting counterparty reporting required swap creation data pursuant to this section shall ensure that the same unique transaction identifier is recorded for the swap in both the swap data repository and the security-based swap data repository.\n\n(f)  Choice of swap data repository.  The entity with the obligation to choose the swap data repository to which all required swap creation data for the swap is reported shall be the entity that is required to make the first report of all data pursuant to this section, as follows:\n\n(1) For swaps executed on or pursuant to the rules of a swap execution facility or designated contract market, the swap execution facility or designated contract market shall choose the swap data repository;\n\n(2) For all other swaps, the reporting counterparty, as determined in \u00a7 45.8, shall choose the swap data repository."], ["17:17:2.0.1.1.5.0.1.4", 17, "Commodity and Securities Exchanges", "I", "", "45", "PART 45\u2014SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS", "", "", "", "\u00a7 45.4 Swap data reporting: Continuation data.", "CFTC", "", "", "[85 FR 75561, Nov. 25, 2020]", "(a)  Continuation data reporting method generally.  For each swap, regardless of asset class, reporting counterparties and derivatives clearing organizations required to report required swap continuation data shall report life-cycle-event data for the swap electronically to a swap data repository in the manner provided in \u00a7 45.13(a) within the applicable deadlines set forth in this section.\n\n(b)  Continuation data reporting for original swaps.  For each original swap, the derivatives clearing organization shall report required swap continuation data, including terminations, electronically to the swap data repository to which the swap that was accepted for clearing was reported pursuant to \u00a7 45.3 in the manner provided in \u00a7 45.13(a) and in this section, and such required swap continuation data shall be accepted and recorded by such swap data repository as provided in \u00a7 49.10 of this chapter.\n\n(1) The derivatives clearing organization that accepted the swap for clearing shall report all life-cycle-event data electronically to a swap data repository in the manner provided in \u00a7 45.13(a) not later than the end of the next business day following the day that any life cycle event occurs with respect to the swap.\n\n(2) In addition to all other required swap continuation data, life-cycle-event data shall include all of the following:\n\n(i) The legal entity identifier of the swap data repository to which all required swap creation data for each clearing swap was reported by the derivatives clearing organization pursuant to \u00a7 45.3(b);\n\n(ii) The unique transaction identifier of the original swap that was replaced by the clearing swaps; and\n\n(iii) The unique transaction identifier of each clearing swap that replaces a particular original swap.\n\n(c)  Continuation data reporting for swaps other than original swaps.  For each swap that is not an original swap, including clearing swaps and swaps not cleared by a derivatives clearing organization, the reporting counterparty shall report all required swap continuation data electronically to a swap data repository in the manner provided in \u00a7 45.13(a) as provided in this paragraph (c).\n\n(1)  Life-cycle-event data reporting.  (i) If the reporting counterparty is a swap dealer, major swap participant, or derivatives clearing organization, the reporting counterparty shall report life-cycle-event data electronically to a swap data repository in the manner provided in \u00a7 45.13(a) not later than the end of the next business day following the day that any life cycle event occurred, with the sole exception that life-cycle-event data relating to a corporate event of the non-reporting counterparty shall be reported in the manner provided in \u00a7 45.13(a) not later than the end of the second business day following the day that such corporate event occurred.\n\n(ii) If the reporting counterparty is a non-SD/MSP/DCO counterparty, the reporting counterparty shall report life-cycle-event data electronically to a swap data repository in the manner provided in \u00a7 45.13(a) not later than the end of the second business day following the day that any life cycle event occurred.\n\n(2)  Valuation, margin, and collateral data reporting.  (i) If the reporting counterparty is a swap dealer, major swap participant, or derivatives clearing organization, swap valuation data shall be reported electronically to a swap data repository in the manner provided in \u00a7 45.13(b) each business day.\n\n(ii) If the reporting counterparty is a swap dealer or major swap participant, collateral data shall be reported electronically to a swap data repository in the manner provided in \u00a7 45.13(b) each business day."], ["17:17:2.0.1.1.5.0.1.5", 17, "Commodity and Securities Exchanges", "I", "", "45", "PART 45\u2014SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS", "", "", "", "\u00a7 45.5 Unique transaction identifiers.", "CFTC", "", "", "[81 FR 41775, June 27, 2016, as amended at 85 FR 75562, Nov. 25, 2020]", "Each swap shall be identified in all recordkeeping and all swap data reporting pursuant to this part by the use of a unique transaction identifier, which shall be created, transmitted, and used for each swap as provided in paragraphs (a) through (h) of this section.\n\n(a)  Swaps executed on or pursuant to the rules of a swap execution facility or designated contract market.  For each swap executed on or pursuant to the rules of a swap execution facility or designated contract market, the swap execution facility or designated contract market shall create and transmit a unique transaction identifier as provided in paragraphs (a)(1) and (2) of this section.\n\n(1)  Creation.  The swap execution facility or designated contract market shall generate and assign a unique transaction identifier at, or as soon as technologically practicable following, the time of execution of the swap, and prior to the reporting of required swap creation data. The unique transaction identifier shall consist of a single data element with a maximum length of 52 characters that contains two components:\n\n(i) The legal entity identifier of the swap execution facility or designated contract market; and\n\n(ii) An alphanumeric code generated and assigned to that swap by the automated systems of the swap execution facility or designated contract market, which shall be unique with respect to all such codes generated and assigned by that swap execution facility or designated contract market.\n\n(2)  Transmission.  The swap execution facility or designated contract market shall transmit the unique transaction identifier electronically as follows:\n\n(i) To the swap data repository to which the swap execution facility or designated contract market reports required swap creation data for the swap, as part of that report;\n\n(ii) To each counterparty to the swap, as soon as technologically practicable after execution of the swap;\n\n(iii) To the derivatives clearing organization, if any, to which the swap is submitted for clearing, as part of the required swap creation data transmitted to the derivatives clearing organization for clearing purposes.\n\n(b)  Off-facility swaps with a financial entity reporting counterparty.  For each off-facility swap where the reporting counterparty is a financial entity, the reporting counterparty shall create and transmit a unique transaction identifier as provided in paragraphs (b)(1) and (2) of this section.\n\n(1)  Creation.  The reporting counterparty shall generate and assign a unique transaction identifier as soon as technologically practicable after execution of the swap and prior to both the reporting of required swap creation data and the transmission of swap data to a derivatives clearing organization if the swap is to be cleared. The unique transaction identifier shall consist of a single data element with a maximum length of 52 characters that contains two components:\n\n(i) The legal entity identifier of the reporting counterparty; and\n\n(ii) An alphanumeric code generated and assigned to that swap by the automated systems of the reporting counterparty, which shall be unique with respect to all such codes generated and assigned by that reporting counterparty.\n\n(2)  Transmission.  The reporting counterparty shall transmit the unique transaction identifier electronically as follows:\n\n(i) To the swap data repository to which the reporting counterparty reports required swap creation data for the swap, as part of that report;\n\n(ii) To the non-reporting counterparty to the swap, no later than the applicable deadline in \u00a7 45.3(b) for reporting required swap creation data; and\n\n(iii) To the derivatives clearing organization, if any, to which the swap is submitted for clearing, as part of the required swap creation data transmitted to the derivatives clearing organization for clearing purposes.\n\n(c)  Off-facility swaps with a non-SD/MSP/DCO reporting counterparty that is not a financial entity.  For each off-facility swap for which the reporting counterparty is a non-SD/MSP/DCO counterparty that is not a financial entity, the reporting counterparty shall either: Create and transmit a unique transaction identifier as provided in paragraphs (b)(1) and (2) of this section; or request that the swap data repository to which required swap creation data will be reported create and transmit a unique transaction identifier as provided in paragraphs (c)(1) and (2) of this section.\n\n(1)  Creation.  The swap data repository shall generate and assign a unique transaction identifier as soon as technologically practicable following receipt of the request from the reporting counterparty. The unique transaction identifier shall consist of a single data element with a maximum length of 52 characters that contains two components:\n\n(i) The legal entity identifier of the swap data repository; and\n\n(ii) An alphanumeric code generated and assigned to that swap by the automated systems of the swap data repository, which shall be unique with respect to all such codes generated and assigned by that swap data repository.\n\n(2)  Transmission.  The swap data repository shall transmit the unique transaction identifier electronically as follows:\n\n(i) To the counterparties to the swap, as soon as technologically practicable following creation of the unique transaction identifier; and\n\n(ii) To the derivatives clearing organization, if any, to which the swap is submitted for clearing, as soon as technologically practicable following creation of the unique transaction identifier.\n\n(d)  Off-facility swaps with a derivatives clearing organization reporting counterparty.  For each off-facility swap where the reporting counterparty is a derivatives clearing organization, the reporting counterparty shall create and transmit a unique transaction identifier as provided in paragraphs (d)(1) and (2) of this section.\n\n(1)  Creation.  The derivatives clearing organization shall generate and assign a unique transaction identifier upon, or as soon as technologically practicable after, acceptance of an original swap by the derivatives clearing organization for clearing or execution of a clearing swap that does not replace an original swap, and prior to the reporting of required swap creation data for the clearing swap. The unique transaction identifier shall consist of a single data element with a maximum length of 52 characters that contains two components:\n\n(i) The legal entity identifier of the derivatives clearing organization; and\n\n(ii) An alphanumeric code generated and assigned to that clearing swap by the automated systems of the derivatives clearing organization, which shall be unique with respect to all such codes generated and assigned by that derivatives clearing organization.\n\n(2)  Transmission.  The derivatives clearing organization shall transmit the unique transaction identifier electronically as follows:\n\n(i) To the swap data repository to which the derivatives clearing organization reports required swap creation data for the clearing swap, as part of that report; and\n\n(ii) To its counterparty to the clearing swap, as soon as technologically practicable after acceptance of a swap by the derivatives clearing organization for clearing or execution of a clearing swap that does not replace an original swap.\n\n(e)  Allocations.  For swaps involving allocation, unique transaction identifiers shall be created and transmitted as follows.\n\n(1)  Initial swap between reporting counterparty and agent.  The unique transaction identifier for the initial swap transaction between the reporting counterparty and the agent shall be created as required by paragraphs (a) through (d) of this section, as applicable, and shall be transmitted as follows:\n\n(i) If the unique transaction identifier is created by a swap execution facility or designated contract market, the swap execution facility or designated contract market must include the unique transaction identifier in its swap creation data report to the swap data repository, and must transmit the unique identifier to the reporting counterparty and to the agent.\n\n(ii) If the unique transaction identifier is created by the reporting counterparty, the reporting counterparty must include the unique transaction identifier in its swap creation data report to the swap data repository, and must transmit the unique identifier to the agent.\n\n(2)  Post-allocation swaps.  The reporting counterparty must create a unique transaction identifier for each of the individual swaps resulting from allocation, as soon as technologically practicable after it is informed by the agent of the identities of its actual counterparties, and must transmit each such unique transaction identifier to:\n\n(i) The non-reporting counterparty for the swap in question.\n\n(ii) The agent; and\n\n(iii) The derivatives clearing organization, if any, to which the swap is submitted for clearing, as part of the required swap creation data transmitted to the derivatives clearing organization for clearing purposes.\n\n(f)  Use.  Each registered entity and swap counterparty shall include the unique transaction identifier for a swap in all of its records and all of its swap data reporting concerning that swap, from the time it creates or receives the unique transaction identifier as provided in this section, throughout the existence of the swap and for as long as any records are required by the Act or Commission regulations to be kept concerning the swap, regardless of any life cycle events concerning the swap, including, without limitation, any changes with respect to the counterparties to the swap.\n\n(g)  Third-party service provider.  If a registered entity or reporting counterparty required by this part to report required swap creation data or required swap continuation data contracts with a third-party service provider to facilitate reporting pursuant to \u00a7 45.9, the registered entity or reporting counterparty shall ensure that such third-party service provider creates and transmits the unique transaction identifier as otherwise required for such category of swap by paragraphs (a) through (e) of this section. The unique transaction identifier shall consist of a single data element with a maximum length of 52 characters that contains two components:\n\n(1) The legal entity identifier of the third-party service provider; and\n\n(2) An alphanumeric code generated and assigned to that swap by the automated systems of the third-party service provider, which shall be unique with respect to all such codes generated and assigned by that third-party service provider.\n\n(h)  Cross-jurisdictional swaps.  Notwithstanding the provisions of paragraphs (a) through (g) of this section, if a swap is also reportable to one or more other jurisdictions with a regulatory reporting deadline earlier than the deadline set forth in \u00a7 45.3 or in part 43 of this chapter, the same unique transaction identifier generated according to the rules of the jurisdiction with the earliest regulatory reporting deadline shall be transmitted pursuant to paragraphs (a) through (g) of this section and used in all recordkeeping and all swap data reporting pursuant to this part."], ["17:17:2.0.1.1.5.0.1.6", 17, "Commodity and Securities Exchanges", "I", "", "45", "PART 45\u2014SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS", "", "", "", "\u00a7 45.6 Legal entity identifiers.", "CFTC", "", "", "[85 FR 75563, Nov. 25, 2020]", "Each swap execution facility, designated contract market, derivatives clearing organization, swap data repository, entity reporting pursuant to \u00a7 45.9, and counterparty to any swap that is eligible to receive a legal entity identifier shall obtain, maintain, and be identified in all recordkeeping and all swap data reporting pursuant to this part by a single legal entity identifier as specified in this section.\n\n(a)  Definitions.  As used in this section:\n\nLocal operating unit  means an entity authorized under the standards of the Global Legal Entity Identifier System to issue legal entity identifiers.\n\nReference data  means all identification and relationship information, as set forth in the standards of the Global Legal Entity Identifier System, of the legal entity or individual to which a legal entity identifier is assigned.\n\nSelf-registration  means submission by a legal entity or individual of its own reference data.\n\nThird-party registration  means submission of reference data for a legal entity or individual that is or may become a swap counterparty, made by an entity or organization other than the legal entity or individual identified by the submitted reference data. Examples of third-party registration include, without limitation, submission by a swap dealer or major swap participant of reference data for its swap counterparties, and submission by a national numbering agency, national registration agency, or data service provider of reference data concerning legal entities or individuals with respect to which the agency or service provider maintains information.\n\n(b)  International standard for the legal entity identifier.  The legal entity identifier used in all recordkeeping and all swap data reporting required by this part shall be issued under, and shall conform to, ISO Standard 17442, Legal Entity Identifier (LEI), issued by the International Organization for Standardization.\n\n(c)  Reference data reporting.  Reference data for each swap execution facility, designated contract market, derivatives clearing organization, swap data repository, entity reporting pursuant to \u00a7 45.9, and counterparty to any swap shall be reported, by self-registration, third-party registration, or both, to a local operating unit in accordance with the standards set by the Global Legal Entity Identifier System. All subsequent changes and corrections to reference data previously reported shall be reported, by self-registration, third-party registration, or both, to a local operating unit as soon as technologically practicable following occurrence of any such change or discovery of the need for a correction.\n\n(d)  Use of the legal entity identifier.  (1) Each swap execution facility, designated contract market, derivatives clearing organization, swap data repository, entity reporting pursuant to \u00a7 45.9, and swap counterparty shall use legal entity identifiers to identify itself and swap counterparties in all recordkeeping and all swap data reporting pursuant to this part. If a swap counterparty is not eligible to receive a legal entity identifier as determined by the Global Legal Entity Identifier System, such counterparty shall be identified in all recordkeeping and all swap data reporting pursuant to this part with an alternate identifier as prescribed by the Commission pursuant to \u00a7 45.13(a) of this chapter.\n\n(2) Each swap dealer, major swap participant, swap execution facility, designated contract market, derivatives clearing organization, and swap data repository shall maintain and renew its legal identity identifier in accordance with the standards set by the Global Legal Entity Identifier System.\n\n(3) Each financial entity reporting counterparty executing a swap with a counterparty that is eligible to receive a legal entity identifier, but has not been assigned a legal entity identifier, shall, prior to reporting any required swap creation data for such swap, use best efforts to cause a legal entity identifier to be assigned to the counterparty. If these efforts do not result in a legal entity identifier being assigned to the counterparty prior to the reporting of required swap creation data, the financial entity reporting counterparty shall promptly provide the identity and contact information of the counterparty to the Commission.\n\n(4) For swaps previously reported pursuant to this part using substitute counterparty identifiers assigned by a swap data repository prior to Commission designation of a legal entity identifier system, each swap data repository shall map the legal entity identifiers for the counterparties to the substitute counterparty identifiers in the record for each such swap."], ["17:17:2.0.1.1.5.0.1.7", 17, "Commodity and Securities Exchanges", "I", "", "45", "PART 45\u2014SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS", "", "", "", "\u00a7 45.7 Unique product identifiers.", "CFTC", "", "", "[77 FR 2197, Jan. 13, 2012, as amended at 85 FR 75563, Nov. 25, 2020]", "Each swap shall be identified in all recordkeeping and all swap data reporting pursuant to this part by means of a unique product identifier and product classification system as specified in this section. Each swap sufficiently standardized to receive a unique product identifier shall be identified by a unique product identifier. Each swap not sufficiently standardized for this purpose shall be identified by its description using the product classification system.\n\n(a)  Requirements for the unique product identifier and product classification system.  The unique product identifier and product classification system shall identify and describe the swap asset class and the sub-type within that asset class to which the swap belongs, and the underlying product for the swap, with sufficient distinctiveness and specificity to enable the Commission and other financial regulators to fulfill their regulatory responsibilities and to assist in real time reporting of swaps as provided in the Act and part 43 of this chapter. The level of distinctiveness and specificity which the unique product identifier will provide shall be determined separately for each swap asset class.\n\n(b)  Designation of the unique product identifier and product classification system.  (1) The Commission shall determine when a unique product identifier and product classification system that is acceptable to the Commission and satisfies the requirements set forth in this section is available for use in compliance with this section.\n\n(2) When the Commission determines that such a unique product identifier and product classification system is available, the Commission shall designate the unique product identifier and product classification system to be used in recordkeeping and swap data reporting pursuant to this part, by means of a Commission order that is published in the  Federal Register  and on the Web site of the Commission, as soon as practicable after such determination is made. The order shall include notice of this designation, the contact information of the issuer of such unique product identifiers, and information concerning the procedure and requirements for obtaining unique product identifiers and using the product classification system.\n\n(c)  Use of the unique product identifier and product classification system by registered entities and swap counterparties.  (1) When a unique product identifier and product classification system has been designated by the Commission pursuant to paragraph (b) of this section, each registered entity and swap counterparty shall use the unique product identifier and product classification system in all recordkeeping and swap data reporting pursuant to this part.\n\n(2) Before a unique product identifier and product classification system has been designated by the Commission, each registered entity and swap counterparty shall use the internal product identifier or product description used by the swap data repository to which a swap is reported in all recordkeeping and swap data reporting pursuant to this part."], ["17:17:2.0.1.1.5.0.1.8", 17, "Commodity and Securities Exchanges", "I", "", "45", "PART 45\u2014SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS", "", "", "", "\u00a7 45.8 Determination of which counterparty shall report.", "CFTC", "", "", "[81 FR 41777, June 27, 2016, as amended at 85 FR 75563, Nov. 25, 2020]", "The determination of which counterparty is the reporting counterparty for each swap shall be made as provided in this section.\n\n(a) If only one counterparty is a swap dealer, the swap dealer shall be the reporting counterparty.\n\n(b) If neither counterparty is a swap dealer, and only one counterparty is a major swap participant, the major swap participant shall be the reporting counterparty.\n\n(c) If both counterparties are non-SD/MSP/DCO counterparties, and only one counterparty is a financial entity as defined in CEA section 2(h)(7)(C), the counterparty that is a financial entity shall be the reporting counterparty.\n\n(d) If both counterparties are swap dealers, or both counterparties are major swap participants, or both counterparties are non-SD/MSP/DCO counterparties that are financial entities as defined in CEA section 2(h)(7)(C), or both counterparties are non-SD/MSP/DCO counterparties and neither counterparty is a financial entity as defined in CEA section 2(h)(7)(C):\n\n(1) For a swap executed on or pursuant to the rules of a swap execution facility or designated contract market, the counterparties shall agree which counterparty shall be the reporting counterparty.\n\n(2) For an off-facility swap, the counterparties shall agree as one term of their swap which counterparty shall be the reporting counterparty.\n\n(e) Notwithstanding the provisions of paragraphs (a) through (d) of this section, if both counterparties to a swap are non-SD/MSP/DCO counterparties and only one counterparty is a U.S. person, that counterparty shall be the reporting counterparty.\n\n(f) Notwithstanding the provisions of paragraphs (a) through (e) of this section, if neither counterparty to a swap is a U.S. person, but the swap is executed on or pursuant to the rules of a swap execution facility or designated contract market or otherwise executed in the United States, or is cleared by a derivatives clearing organization:\n\n(1) For such a swap executed on or pursuant to the rules of a swap execution facility or designated contract market, the counterparties shall agree which counterparty shall be the reporting counterparty.\n\n(2) For an off-facility swap, the counterparties shall agree as one term of their swap which counterparty shall be the reporting counterparty.\n\n(g) If a reporting counterparty selected pursuant to paragraphs (a) through (f) of this section ceases to be a counterparty to a swap due to an assignment or novation, the reporting counterparty for reporting of required swap continuation data following the assignment or novation shall be selected from the two current counterparties as provided in paragraphs (g)(1) through (4) of this section.\n\n(1) If only one counterparty is a swap dealer, the swap dealer shall be the reporting counterparty and shall fulfill all counterparty reporting obligations.\n\n(2) If neither counterparty is a swap dealer, and only one counterparty is a major swap participant, the major swap participant shall be the reporting counterparty and shall fulfill all counterparty reporting obligations.\n\n(3) If both counterparties are non-SD/MSP/DCO counterparties, and only one counterparty is a U.S. person, that counterparty shall be the reporting counterparty and shall fulfill all counterparty reporting obligations.\n\n(4) In all other cases, the counterparty that replaced the previous reporting counterparty by reason of the assignment or novation shall be the reporting counterparty, unless otherwise agreed by the counterparties.\n\n(h) For all swaps executed on or pursuant to the rules of a swap execution facility or designated contract market, the rules of the swap execution facility or designated contract market must require each swap counterparty to provide sufficient information to the swap execution facility or designated contract market to enable the swap execution facility or designated contract market to report all required swap creation data as provided in this part.\n\n(1) To comply with paragraph (h) of this section, the rules of the swap execution facility or designated contract market must require each market participant placing an order with respect to any swap traded on the swap execution facility or designated contract market to include in the order, without limitation:\n\n(i) The legal entity identifier of the market participant placing the order.\n\n(ii) A yes/no indication of whether the market participant is a swap dealer with respect to the product with respect to which the order is placed.\n\n(iii) A yes/no indication of whether the market participant is a major swap participant with respect to the product with respect to which the order is placed.\n\n(iv) A yes/no indication of whether the market participant is a financial entity as defined in CEA section 2(h)(7)(C).\n\n(v) A yes/no indication of whether the market participant is a U.S. person.\n\n(vi) If applicable, an indication that the market participant will elect an exception to, or an exemption from, the clearing requirement under part 50 of this chapter for any swap resulting from the order.\n\n(vii) If the swap will be allocated:\n\n(A) An indication that the swap will be allocated.\n\n(B) The legal entity identifier of the agent.\n\n(C) An indication of whether the swap is a post-allocation swap.\n\n(D) If the swap is a post-allocation swap, the unique transaction identifier of the initial swap transaction between the reporting counterparty and the agent.\n\n(2) To comply with paragraph (h) of this section, the swap execution facility or designated contract market must use the information obtained pursuant to paragraph (h)(1) of this section to identify the counterparty that is the reporting counterparty pursuant to the CEA and this section.\n\n(i)  Clearing swaps.  Notwithstanding the provisions of paragraphs (a) through (h) of this section, if the swap is a clearing swap, the derivatives clearing organization that is a counterparty to such swap shall be the reporting counterparty and shall fulfill all reporting counterparty obligations for such swap."], ["17:17:2.0.1.1.5.0.1.9", 17, "Commodity and Securities Exchanges", "I", "", "45", "PART 45\u2014SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS", "", "", "", "\u00a7 45.9 Third-party facilitation of data reporting.", "CFTC", "", "", "[77 FR 2197, Jan. 13, 2012, as amended at 85 FR 75564, Nov. 25, 2020]", "Registered entities and reporting counterparties required by this part to report required swap creation data or required swap continuation data, while remaining fully responsible for reporting as required by this part, may contract with third-party service providers to facilitate reporting."], ["28:28:2.0.1.1.3.0.1.1", 28, "Judicial Administration", "I", "", "45", "PART 45\u2014EMPLOYEE RESPONSIBILITIES", "", "", "", "\u00a7 45.1 Cross-reference to ethical standards and financial disclosure regulations.", "DOJ", "", "", "[61 FR 59815, Nov. 25, 1996]", "Employees of the Department of Justice are subject to the executive branch-wide Standards of Ethical Conduct at 5 CFR part 2635, the Department of Justice regulations at 5 CFR part 3801 which supplement the executive branch-wide standards, the executive branch-wide financial disclosure regulations at 5 CFR part 2634 and the executive branch-wide employee responsibilities and conduct regulations at 5 CFR part 735."], ["28:28:2.0.1.1.3.0.1.2", 28, "Judicial Administration", "I", "", "45", "PART 45\u2014EMPLOYEE RESPONSIBILITIES", "", "", "", "\u00a7 45.2 Disqualification arising from personal or political relationship.", "DOJ", "", "", "[Order No. 993-83, 48 FR 2319, Jan. 19, 1983. Redesignated at 61 FR 59815, Nov. 25, 1996]", "(a) Unless authorized under paragraph (b) of this section, no employee shall participate in a criminal investigation or prosecution if he has a personal or political relationship with:\n\n(1) Any person or organization substantially involved in the conduct that is the subject of the investigation or prosecution; or\n\n(2) Any person or organization which he knows has a specific and substantial interest that would be directly affected by the outcome of the investigation or prosecution.\n\n(b) An employee assigned to or otherwise participating in a criminal investigation or prosecution who believes that his participation may be prohibited by paragraph (a) of this section shall report the matter and all attendant facts and circumstances to his supervisor at the level of section chief or the equivalent or higher. If the supervisor determines that a personal or political relationship exists between the employee and a person or organization described in paragraph (a) of this section, he shall relieve the employee from participation unless he determines further, in writing, after full consideration of all the facts and circumstances, that:\n\n(1) The relationship will not have the effect of rendering the employee's service less than fully impartial and professional; and\n\n(2) The employee's participation would not create an appearance of a conflict of interest likely to affect the public perception of the integrity of the investigation or prosecution.\n\n(c) For the purposes of this section:\n\n(1)  Political relationship  means a close identification with an elected official, a candidate (whether or not successful) for elective, public office, a political party, or a campaign organization, arising from service as a principal adviser thereto or a principal official thereof; and\n\n(2)  Personal relationship  means a close and substantial connection of the type normally viewed as likely to induce partiality. An employee is presumed to have a personal relationship with his father, mother, brother, sister, child and spouse. Whether relationships (including friendships) of an employee to other persons or organizations are \u201cpersonal\u201d must be judged on an individual basis with due regard given to the subjective opinion of the employee.\n\n(d) This section pertains to agency management and is not intended to create rights enforceable by private individuals or organizations."], ["28:28:2.0.1.1.3.0.1.3", 28, "Judicial Administration", "I", "", "45", "PART 45\u2014EMPLOYEE RESPONSIBILITIES", "", "", "", "\u00a7 45.3 Disciplinary proceedings under 18 U.S.C. 207(j).", "DOJ", "", "", "[Order No. 889-80, 45 FR 31717, May 14, 1980. Redesignated at 61 FR 59815, Nov. 25, 1996, and further redesignated at 62 FR 23943, May 2, 1997]", "(a) Upon a determination by the Assistant Attorney General in charge of the Criminal Division (Assistant Attorney General), after investigation, that there is reasonable cause to believe that a former officer or employee, including a former special Government employee, of the Department of Justice (former departmental employee) has violated 18 U.S.C. 207 (a), (b) or (c), the Assistant Attorney General shall cause a copy of written charges of the violation(s) to be served upon such individual, either personally or by registered mail. The charges shall be accompanied by a notice to the former departmental employee to show cause within a specified time of not less than 30 days after receipt of the notice why he or she should not be prohibited from engaging in representational activities in relation to matters pending in the Department of Justice, as authorized by 18 U.S.C. 207(j), or subjected to other appropriate disciplinary action under that statute. The notice to show cause shall include:\n\n(1) A statement of allegations, and their basis, sufficiently detailed to enable the former departmental employee to prepare an adequate defense,\n\n(2) Notification of the right to a hearing, and\n\n(3) An explanation of the method by which a hearing may be requested.\n\n(b) If a former departmental employee who submits an answer to the notice to show cause does not request a hearing or if the Assistant Attorney General does not receive an answer within five days after the expiration of the time prescribed by the notice, the Assistant Attorney General shall forward the record, including the report(s) of investigation, to the Attorney General. In the case of a failure to answer, such failure shall constitute a waiver of defense.\n\n(c) Upon receipt of a former departmental employee's request for a hearing, the Assistant Attorney General shall notify him or her of the time and place thereof, giving due regard both to such person's need for an adequate period to prepare a suitable defense and an expeditious resolution of allegations that may be damaging to his or her reputation.\n\n(d) The presiding officer at the hearing and any related proceedings shall be a federal administrative law judge or other federal official with comparable duties. He shall insure that the former departmental employee has, among others, the rights:\n\n(1) To self-representation or representation by counsel,\n\n(2) To introduce and examine witnesses and submit physical evidence,\n\n(3) To confront and cross-examine adverse witnesses,\n\n(4) To present oral argument, and\n\n(5) To a transcript or recording of the proceedings, upon request.\n\n(e) The Assistant Attorney General shall designate one or more officers or employees of the Department of Justice to present the evidence against the former departmental employee and perform other functions incident to the proceedings.\n\n(f) A decision adverse to the former departmental employee must be sustained by substantial evidence that he violated 18 U.S.C. 207 (a), (b) or (c).\n\n(g) The presiding officer shall issue an initial decision based exclusively on the transcript of testimony and exhibits, together with all papers and requests filed in the proceeding, and shall set forth in the decision findings and conclusions, supported by reasons, on the material issues of fact and law presented on the record.\n\n(h) Within 30 days after issuance of the initial decision, either party may appeal to the Attorney General, who in that event shall issue the final decision based on the record of the proceedings or those portions thereof cited by the parties to limit the issues. If the final decision modifies or reverses the initial decision, the Attorney General shall specify the findings of fact and conclusions of law that vary from those of the presiding officer.\n\n(i) If a former departmental employee fails to appeal from an adverse initial decision within the prescribed period of time, the presiding officer shall forward the record of the proceedings to the Attorney General.\n\n(j) In the case of a former departmental employee who filed an answer to the notice to show cause but did not request a hearing, the Attorney General shall make the final decision on the record submitted to him by the Assistant Attorney General pursuant to subsection (b) of this section.\n\n(k) The Attorney General, in a case where:\n\n(1) The defense has been waived,\n\n(2) The former departmental employee has failed to appeal from an adverse initial decision, or\n\n(3) The Attorney General has issued a final decision that the former departmental employee violated 18 U.S.C. 207 (a), (b) or (c),\n\nmay issue an order:\n\n(i) Prohibiting the former departmental employee from making, on behalf of any other person (except the United States), any informal or formal appearance before, or, with the intent to influence, any oral or written communication to, the Department of Justice on a pending matter of business for a period not to exceed five years, or\n\n(ii) Prescribing other appropriate disciplinary action.\n\n(l) An order issued under either paragraph (k)(3) (i) or (ii) of this section may be supplemented by a directive to officers and employees of the Department of Justice not to engage in conduct in relation to the former departmental employee that would contravene such order."], ["28:28:2.0.1.1.3.0.1.4", 28, "Judicial Administration", "I", "", "45", "PART 45\u2014EMPLOYEE RESPONSIBILITIES", "", "", "", "\u00a7 45.4 Personal use of Government property.", "DOJ", "", "", "[62 FR 23943, May 2, 1997]", "(a) Employees may use Government property only for official business or as authorized by the Government. See 5 CFR 2635.101(b)(9), 2635.704(a). The following uses of Government office and library equipment and facilities are hereby authorized:\n\n(1) Personal uses that involve only negligible expense (such as electricity, ink, small amounts of paper, and ordinary wear and tear); and\n\n(2) Limited personal telephone/fax calls to locations within the office's commuting area, or that are charged to non-Government accounts.\n\n(b) The foregoing authorization does not override any statutes, rules, or regulations governing the use of specific types of Government property (e.g. internal Departmental policies governing the use of electronic mail; and 41 CFR (FPMR) 101-35.201, governing the authorized use of long-distance telephone services), and may be revoked or limited at any time by any supervisor or component for any business reason.\n\n(c) In using Government property, employees should be mindful of their responsibility to protect and conserve such property and to use official time in an honest effort to perform official duties. See 5 CFR 2635.101(b)(9), 2635.704(a), 2635.705(a)."], ["28:28:2.0.1.1.3.0.1.5", 28, "Judicial Administration", "I", "", "45", "PART 45\u2014EMPLOYEE RESPONSIBILITIES", "", "", "", "\u00a7 45.10 Procedures to promote compliance with crime victims' rights obligations.", "DOJ", "", "", "[70 FR 69653, Nov. 17, 2005]", "(a)  Definitions.  The following definitions shall apply with respect to this section, which implements the provisions of the Justice for All Act that relate to protection of the rights of crime victims.  See  18 U.S.C. 3771.\n\nCrime victim  means a person directly and proximately harmed as a result of the commission of a Federal offense or an offense in the District of Columbia. In the case of a crime victim who is under 18 years of age, incompetent, incapacitated, or deceased, the legal guardians of the crime victim or the representatives of the crime victim's estate, family members, or any other persons appointed as suitable by the court, may assume the crime victim's rights, but in no event shall the defendant be named as such guardian or representative.\n\nCrime victims' rights  means those rights provided in 18 U.S.C. 3771.\n\nEmployee of the Department of Justice  means an attorney, investigator, law enforcement officer, or other personnel employed by any division or office of the Department of Justice whose regular course of duties includes direct interaction with crime victims, not including a contractor.\n\nOffice of the Department of Justice  means a component of the Department of Justice whose employees directly interact with crime victims in the regular course of their duties.\n\n(b) The Attorney General shall designate an official within the Executive Office for United States Attorneys (EOUSA) to receive and investigate complaints alleging the failure of Department of Justice employees to provide rights to crime victims under 18 U.S.C. 3771. The official shall be called the Department of Justice Victims' Rights Ombudsman (VRO). The VRO shall then designate, in consultation with each office of the Department of Justice, an official in each office to serve as the initial point of contact (POC) for complainants.\n\n(c)  Complaint process.  (1) Complaints must be submitted in writing to the POC of the relevant office or offices of the Department of Justice. If a complaint alleges a violation that would create a conflict of interest for the POC to investigate, the complaint shall be forwarded by the POC immediately to the VRO.\n\n(2) Complaints shall contain, to the extent known to, or reasonably available to, the victim, the following information:\n\n(i) The name and personal contact information of the crime victim who allegedly was denied one or more crime victims' rights;\n\n(ii) The name and contact information of the Department of Justice employee who is the subject of the complaint, or other identifying information if the complainant is not able to provide the name and contact information;\n\n(iii) The district court case number;\n\n(iv) The name of the defendant in the case;\n\n(v) The right or rights listed in 18 U.S.C. 3771 that the Department of Justice employee is alleged to have violated; and\n\n(vi) Specific information regarding the circumstances of the alleged violation sufficient to enable the POC to conduct an investigation, including, but not limited to: The date of the alleged violation; an explanation of how the alleged violation occurred; whether the complainant notified the Department of Justice employee of the alleged violation; how and when such notification was provided to the Department of Justice employee; and actions taken by the Department of Justice employee in response to the notification.\n\n(3) Complaints must be submitted within 60 days of the victim's knowledge of a violation, but not more than one year after the actual violation.\n\n(4)(i) In response to a complaint that provides the information required under paragraph (c)(2) of this section and that contains specific and credible information that demonstrates that one or more crime victims' rights listed in 18 U.S.C. 3771 may have been violated by a Department of Justice employee or office, the POC shall investigate the allegation(s) in the complaint within a reasonable period of time.\n\n(ii) The POC shall report the results of the investigation to the VRO.\n\n(5) Upon receipt of the POC's report of the investigation, the VRO shall determine whether to close the complaint without further action, whether further investigation is warranted, or whether action in accordance with paragraphs (d) or (e) of this section is necessary.\n\n(6) Where the VRO concludes that further investigation is warranted, he may conduct such further investigation. Upon conclusion of the investigation, the VRO may close the complaint if he determines that no further action is warranted or may take action under paragraph (d) or (e) of this section.\n\n(7) The VRO shall be the final arbiter of the complaint.\n\n(8) A complainant may not seek judicial review of the VRO's determination regarding the complaint.\n\n(9) To the extent permissible in accordance with the Privacy Act and other relevant statutes and regulations regarding release of information by the Federal government, the VRO, in his discretion, may notify the complainant of the result of the investigation.\n\n(10) The POC and the VRO shall refer to the Office of the Inspector General and to the Office of Professional Responsibility any matters that fall under those offices' respective jurisdictions that come to light in an investigation.\n\n(d) If the VRO finds that an employee or office of the Department of Justice has failed to provide a victim with a right to which the victim is entitled under 18 U.S.C. 3771, but not in a willful or wanton manner, he shall require such employee or office of the Department of Justice to undergo training on victims' rights.\n\n(e)  Disciplinary procedures.  (1) If, based on the investigation, the VRO determines that a Department of Justice employee has wantonly or willfully failed to provide the complainant with a right listed in 18 U.S.C. 3771, the VRO shall recommend, in conformity with laws and regulations regarding employee discipline, a range of disciplinary sanctions to the head of the office of the Department of Justice in which the employee is located, or to the official who has been designated by Department of Justice regulations and procedures to take action on disciplinary matters for that office. The head of that office of the Department of Justice, or the other official designated by Department of Justice regulations and procedures to take action on disciplinary matters for that office, shall be the final decision-maker regarding the disciplinary sanction to be imposed, in accordance with applicable laws and regulations.\n\n(2) Disciplinary sanctions available under paragraph (e)(1) of this section include all sanctions provided under the Department of Justice Human Resources Order, 1200.1."], ["28:28:2.0.1.1.3.0.1.6", 28, "Judicial Administration", "I", "", "45", "PART 45\u2014EMPLOYEE RESPONSIBILITIES", "", "", "", "\u00a7 45.11 Reporting to the Office of the Inspector General.", "DOJ", "", "", "[Order No. 2835-2006, 71 FR 54414, Sept. 15, 2006]", "Department of Justice employees have a duty to, and shall, report to the Department of Justice Office of the Inspector General, or to their supervisor or their component's internal affairs office for referral to the Office of the Inspector General:\n\n(a) Any allegation of waste, fraud, or abuse in a Department program or activity;\n\n(b) Any allegation of criminal or serious administrative misconduct on the part of a Department employee (except those allegations of misconduct that are required to be reported to the Department of Justice Office of Professional Responsibility pursuant to \u00a7 45.12); and\n\n(c) Any investigation of allegations of criminal misconduct against any Department employee."], ["28:28:2.0.1.1.3.0.1.7", 28, "Judicial Administration", "I", "", "45", "PART 45\u2014EMPLOYEE RESPONSIBILITIES", "", "", "", "\u00a7 45.12 Reporting to the Department of Justice Office of Professional Responsibility.", "DOJ", "", "", "[Order No. 2835-2006, 71 FR 54414, Sept. 15, 2006]", "Department employees have a duty to, and shall, report to the Department of Justice Office of Professional Responsibility (DOJ-OPR), or to their supervisor, or their component's internal affairs office for referral to DOJ-OPR, any allegations of misconduct by a Department attorney that relate to the exercise of the attorney's authority to investigate, litigate or provide legal advice, as well as allegations of misconduct by law enforcement personnel when such allegations are related to allegations of attorney misconduct within the jurisdiction of DOJ-OPR."], ["28:28:2.0.1.1.3.0.1.8", 28, "Judicial Administration", "I", "", "45", "PART 45\u2014EMPLOYEE RESPONSIBILITIES", "", "", "", "\u00a7 45.13 Duty to cooperate in an official investigation.", "DOJ", "", "", "[Order No. 2835-2006, 71 FR 54414, Sept. 15, 2006]", "Department employees have a duty to, and shall, cooperate fully with the Office of the Inspector General and Office of Professional Responsibility, and shall respond to questions posed during the course of an investigation upon being informed that their statement will not be used to incriminate them in a criminal proceeding. Refusal to cooperate could lead to disciplinary action."], ["33:33:1.0.1.2.17.0.1.1", 33, "Navigation and Navigable Waters", "I", "B", "45", "PART 45\u2014ENLISTMENT OF PERSONNEL", "", "", "", "\u00a7 45.1 Enlistment of personnel.", "USCG", "", "", "[CGD 82-087, 50 FR 13318, Apr. 4, 1985, as amended by CGD 96-026, 61 FR 33663, June 28, 1996; USCG-2003-14505, 68 FR 9535, Feb. 28, 2003]", "(a) The Coast Guard is a military service which operates within the Department of Homeland Security. All personnel enlisted in the Coast Guard are subject to the Uniform Code of Military Justice.\n\n(b) Any person desiring to enlist in the Coast Guard should apply at a Coast Guard Recruiting Office, or direct inquiries to, Coast Guard Recruiting Center, 4200 Wilson Boulevard, Suite 450, Arlington, VA 22203. Enlistments in the Coast Guard shall be for general service and enlisted persons may be transferred as necessary from one unit to another. Original enlistments will be made only at regular recruiting offices unless otherwise directed by the Commandant. An original enlistment is the enlistment of an individual who has not had previous service in the Regular Coast Guard. In processing an application for enlistment, the Coast Guard will determine the mental, moral and physical fitness of the applicant through reference to local police files, character references, employers, school authorities and physical and mental examinations. Concealment of any fact, circumstance or condition existing prior to enlistment which would render the applicant ineligible for enlistment may subject the applicant to criminal penalties under the Uniform Code of Military Justice and/or administrative separation from the Coast Guard."], ["33:33:1.0.1.2.17.0.1.2", 33, "Navigation and Navigable Waters", "I", "B", "45", "PART 45\u2014ENLISTMENT OF PERSONNEL", "", "", "", "\u00a7 45.2 Records of enlistment of former service members.", "USCG", "", "", "[CGD 82-087, 50 FR 13318, Apr. 4, 1985, as amended by CGD 96-026, 61 FR 33663, June 28, 1996]", "Former members who have any questions about their service or who need information regarding their service should contact the nearest Coast Guard Recruiting Office or Coast Guard Recruiting Center, 4200 Wilson Boulevard, Suite 450, Arlington, VA 20203."], ["38:38:2.0.1.1.15.1.360.1", 38, "Pensions, Bonuses, and Veterans' Relief", "I", "", "45", "PART 45\u2014NEW RESTRICTIONS ON LOBBYING", "A", "Subpart A\u2014General", "", "\u00a7 45.100 Conditions on use of funds.", "VA", "", "", "", "(a) No appropriated funds may be expended by the recipient of a Federal contract, grant, loan, or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any of the following covered Federal actions: the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.\n\n(b) Each person who requests or receives from an agency a Federal contract, grant, loan, or cooperative agreement shall file with that agency a certification, set forth in appendix A, that the person has not made, and will not make, any payment prohibited by paragraph (a) of this section.\n\n(c) Each person who requests or receives from an agency a Federal contract, grant, loan, or a cooperative agreement shall file with that agency a disclosure form, set forth in appendix B, if such person has made or has agreed to make any payment using nonappropriated funds (to include profits from any covered Federal action), which would be prohibited under paragraph (a) of this section if paid for with appropriated funds.\n\n(d) Each person who requests or receives from an agency a commitment providing for the United States to insure or guarantee a loan shall file with that agency a statement, set forth in appendix A, whether that person has made or has agreed to make any payment to influence or attempt to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with that loan insurance or guarantee.\n\n(e) Each person who requests or receives from an agency a commitment providing for the United States to insure or guarantee a loan shall file with that agency a disclosure form, set forth in appendix B, if that person has made or has agreed to make any payment to influence or attempt to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with that loan insurance or guarantee."], ["38:38:2.0.1.1.15.1.360.2", 38, "Pensions, Bonuses, and Veterans' Relief", "I", "", "45", "PART 45\u2014NEW RESTRICTIONS ON LOBBYING", "A", "Subpart A\u2014General", "", "\u00a7 45.105 Definitions.", "VA", "", "", "", "For purposes of this part:\n\n(a)  Agency,  as defined in 5 U.S.C. 552(f), includes Federal executive departments and agencies as well as independent regulatory commissions and Government corporations, as defined in 31 U.S.C. 9101(1).\n\n(b)  Covered Federal action  means any of the following Federal actions:\n\n(1) The awarding of any Federal contract;\n\n(2) The making of any Federal grant;\n\n(3) The making of any Federal loan;\n\n(4) The entering into of any cooperative agreement; and,\n\n(5) The extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.\n\nCovered Federal action does not include receiving from an agency a commitment providing for the United States to insure or guarantee a loan. Loan guarantees and loan insurance are addressed independently within this part.\n\n(c)  Federal contract  means an acquisition contract awarded by an agency, including those subject to the Federal Acquisition Regulation (FAR), and any other acquisition contract for real or personal property or services not subject to the FAR.\n\n(d)  Federal cooperative agreement  means a cooperative agreement entered into by an agency.\n\n(e)  Federal grant  means an award of financial assistance in the form of money, or property in lieu of money, by the Federal Government or a direct appropriation made by law to any person. The term does not include technical assistance which provides services instead of money, or other assistance in the form of revenue sharing, loans, loan guarantees, loan insurance, interest subsidies, insurance, or direct United States cash assistance to an individual.\n\n(f)  Federal loan  means a loan made by an agency. The term does not include loan guarantee or loan insurance.\n\n(g)  Indian tribe  and  tribal organization  have the meaning provided in section 4 of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450B). Alaskan Natives are included under the definitions of Indian tribes in that Act.\n\n(h)  Influencing or attempting to influence  means making, with the intent to influence, any communication to or appearance before an officer or employee or any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any covered Federal action.\n\n(i)  Loan guarantee  and  loan insurance  means an agency's guarantee or insurance of a loan made by a person.\n\n(j)  Local government  means a unit of government in a State and, if chartered, established, or otherwise recognized by a State for the performance of a governmental duty, including a local public authority, a special district, an intrastate district, a council of governments, a sponsor group representative organization, and any other instrumentality of a local government.\n\n(k)  Officer or employee of an agency  includes the following individuals who are employed by an agency:\n\n(1) An individual who is appointed to a position in the Government under title 5, U.S.C., including a position under a temporary appointment;\n\n(2) A member of the uniformed services as defined in section 101(3), title 37, U.S.C.;\n\n(3) A special Government employee as defined in section 202, title 18, U.S.C.; and,\n\n(4) An individual who is a member of a Federal advisory committee, as defined by the Federal Advisory Committee Act, title 5, U.S.C., appendix 2.\n\n(l)  Person  means an individual, corporation, company, association, authority, firm, partnership, society, State, and local government, regardless of whether such entity is operated for profit or not for profit. This term excludes an Indian tribe, tribal organization, or any other Indian organization with respect to expenditures specifically permitted by other Federal law.\n\n(m)  Reasonable compensation  means, with respect to a regularly employed officer or employee of any person, compensation that is consistent with the normal compensation for such officer or employee for work that is not furnished to, not funded by, or not furnished in cooperation with the Federal Government.\n\n(n)  Reasonable payment  means, with respect to professional and other technical services, a payment in an amount that is consistent with the amount normally paid for such services in the private sector.\n\n(o)  Recipient  includes all contractors, subcontractors at any tier, and subgrantees at any tier of the recipient of funds received in connection with a Federal contract, grant, loan, or cooperative agreement. The term excludes an Indian tribe, tribal organization, or any other Indian organization with respect to expenditures specifically permitted by other Federal law.\n\n(p)  Regularly employed  means, with respect to an officer or employee of a person requesting or receiving a Federal contract, grant, loan, or cooperative agreement or a commitment providing for the United States to insure or guarantee a loan, an officer or employee who is employed by such person for at least 130 working days within one year immediately preceding the date of the submission that initiates agency consideration of such person for receipt of such contract, grant, loan, cooperative agreement, loan insurance commitment, or loan guarantee commitment. An officer or employee who is employed by such person for less than 130 working days within one year immediately preceding the date of the submission that initiates agency consideration of such person shall be considered to be regularly employed as soon as he or she is employed by such person for 130 working days.\n\n(q)  State  means a State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, a territory or possession of the United States, an agency or instrumentality of a State, and a multi-State, regional, or interstate entity having governmental duties and powers."], ["38:38:2.0.1.1.15.1.360.3", 38, "Pensions, Bonuses, and Veterans' Relief", "I", "", "45", "PART 45\u2014NEW RESTRICTIONS ON LOBBYING", "A", "Subpart A\u2014General", "", "\u00a7 45.110 Certification and disclosure.", "VA", "", "", "", "(a) Each person shall file a certification, and a disclosure form, if required, with each submission that initiates agency consideration of such person for:\n\n(1) Award of a Federal contract, grant, or cooperative agreement exceeding $100,000; or\n\n(2) An award of a Federal loan or a commitment providing for the United States to insure or guarantee a loan exceeding $150,000.\n\n(b) Each person shall file a certification, and a disclosure form, if required, upon receipt by such person of:\n\n(1) A Federal contract, grant, or cooperative agreement exceeding $100,000; or\n\n(2) A Federal loan or a commitment providing for the United States to insure or guarantee a loan exceeding $150,000,\n\nUnless such person previously filed a certification, and a disclosure form, if required, under paragraph (a) of this section.\n\n(c) Each person shall file a disclosure form at the end of each calendar quarter in which there occurs any event that requires disclosure or that materially affects the accuracy of the information contained in any disclosure form previously filed by such person under paragraphs (a) or (b) of this section. An event that materially affects the accuracy of the information reported includes:\n\n(1) A cumulative increase of $25,000 or more in the amount paid or expected to be paid for influencing or attempting to influence a covered Federal action; or\n\n(2) A change in the person(s) or individual(s) influencing or attempting to influence a covered Federal action; or,\n\n(3) A change in the officer(s), employee(s), or Member(s) contacted to influence or attempt to influence a covered Federal action.\n\n(d) Any person who requests or receives from a person referred to in paragraphs (a) or (b) of this section:\n\n(1) A subcontract exceeding $100,000 at any tier under a Federal contract;\n\n(2) A subgrant, contract, or subcontract exceeding $100,000 at any tier under a Federal grant;\n\n(3) A contract or subcontract exceeding $100,000 at any tier under a Federal loan exceeding $150,000; or,\n\n(4) A contract or subcontract exceeding $100,000 at any tier under a Federal cooperative agreement,\n\nShall file a certification, and a disclosure form, if required, to the next tier above.\n\n(e) All disclosure forms, but not certifications, shall be forwarded from tier to tier until received by the person referred to in paragraphs (a) or (b) of this section. That person shall forward all disclosure forms to the agency.\n\n(f) Any certification or disclosure form filed under paragraph (e) of this section shall be treated as a material representation of fact upon which all receiving tiers shall rely. All liability arising from an erroneous representation shall be borne solely by the tier filing that representation and shall not be shared by any tier to which the erroneous representation is forwarded. Submitting an erroneous certification or disclosure constitutes a failure to file the required certification or disclosure, respectively. If a person fails to file a required certification or disclosure, the United States may pursue all available remedies, including those authorized by section 1352, title 31, U.S.C.\n\n(g) For awards and commitments in process prior to December 23, 1989, but not made before that date, certifications shall be required at award or commitment, covering activities occurring between December 23, 1989, and the date of award or commitment. However, for awards and commitments in process prior to the December 23, 1989 effective date of these provisions, but not made before December 23, 1989, disclosure forms shall not be required at time of award or commitment but shall be filed within 30 days.\n\n(h) No reporting is required for an activity paid for with appropriated funds if that activity is allowable under either Subpart B or C."], ["38:38:2.0.1.1.15.2.360.1", 38, "Pensions, Bonuses, and Veterans' Relief", "I", "", "45", "PART 45\u2014NEW RESTRICTIONS ON LOBBYING", "B", "Subpart B\u2014Activities by Own Employees", "", "\u00a7 45.200 Agency and legislative liaison.", "VA", "", "", "", "(a) The prohibition on the use of appropriated funds, in \u00a7 45.100(a), does not apply in the case of a payment of reasonable compensation made to an officer or employee of a person requesting or receiving a Federal contract, grant, loan, or cooperative agreement if the payment is for agency and legislative liaison activities not directly related to a covered Federal action.\n\n(b) For purposes of paragraph (a) of this section, providing any information specifically requested by an agency or Congress is allowable at any time.\n\n(c) For purposes of paragraph (a) of this section, the following agency and legislative liaison activities are allowable at any time only where they are not related to a specific solicitation for any covered Federal action:\n\n(1) Discussing with an agency (including individual demonstrations) the qualities and characteristics of the person's products or services, conditions or terms of sale, and service capabilities; and,\n\n(2) Technical discussions and other activities regarding the application or adaptation of the person's products or services for an agency's use.\n\n(d) For purposes of paragraph (a) of this section, the following agencies and legislative liaison activities are allowable only where they are prior to formal solicitation of any covered Federal action:\n\n(1) Providing any information not specifically requested but necessary for an agency to make an informed decision about initiation of a covered Federal action;\n\n(2) Technical discussions regarding the preparation of an unsolicited proposal prior to its official submission; and,\n\n(3) Capability presentations by persons seeking awards from an agency pursuant to the provisions of the Small Business Act, as amended by Pub. L. 95-507 and other subsequent amendments.\n\n(e) Only those activities expressly authorized by this section are allowable under this section."], ["38:38:2.0.1.1.15.2.360.2", 38, "Pensions, Bonuses, and Veterans' Relief", "I", "", "45", "PART 45\u2014NEW RESTRICTIONS ON LOBBYING", "B", "Subpart B\u2014Activities by Own Employees", "", "\u00a7 45.205 Professional and technical services.", "VA", "", "", "", "(a) The prohibition on the use of appropriated funds, in \u00a7 45.100(a), does not apply in the case of a payment of reasonable compensation made to an officer or employee of a person requesting or receiving a Federal contract, grant, loan, or cooperative agreement or an extension, continuation, renewal, amendment, or modification of a Federal contract, grant, loan, or cooperative agreement if payment is for professional or technical services rendered directly in the preparation, submission, or negotiation of any bid, proposal, or application for that Federal contract, grant, loan, or cooperative agreement or for meeting requirements imposed by or pursuant to law as a condition for receiving that Federal contract, grant, loan, or cooperative agreement.\n\n(b) For purposes of paragraph (a) of this section, \u201cprofessional and technical services\u201d shall be limited to advice and analysis directly applying any professional or technical discipline. For example, drafting of a legal document accompanying a bid or proposal by a lawyer is allowable. Similarly, technical advice provided by an engineer on the performance or operational capability of a piece of equipment rendered directly in the negotiation of a contract is allowable. However, communications with the intent to influence made by a professional (such as a licensed lawyer) or a technical person (such as a licensed accountant) are not allowable under this section unless they provide advice and analysis directly applying their professional or technical expertise and unless the advice or analysis is rendered directly and solely in the preparation, submission or negotiation of a covered Federal action. Thus, for example, communications with the intent to influence made by a lawyer that do not provide legal advice or analysis directly and solely related to the legal aspects of his or her client's proposal, but generally advocate one proposal over another are not allowable under this section because the lawyer is not providing professional legal services. Similarly, communications with the intent to influence made by an engineer providing an engineering analysis prior to the preparation or submission of a bid or proposal are not allowable under this section since the engineer is providing technical services but not directly in the preparation, submission or negotiation of a covered Federal action.\n\n(c) Requirements imposed by or pursuant to law as a condition for receiving a covered Federal award include those required by law or regulation, or reasonably expected to be required by law or regulation, and any other requirements in the actual award documents.\n\n(d) Only those services expressly authorized by this section are allowable under this section."], ["38:38:2.0.1.1.15.2.360.3", 38, "Pensions, Bonuses, and Veterans' Relief", "I", "", "45", "PART 45\u2014NEW RESTRICTIONS ON LOBBYING", "B", "Subpart B\u2014Activities by Own Employees", "", "\u00a7 45.210 Reporting.", "VA", "", "", "", "No reporting is required with respect to payments of reasonable compensation made to regularly employed officers or employees of a person."], ["38:38:2.0.1.1.15.3.360.1", 38, "Pensions, Bonuses, and Veterans' Relief", "I", "", "45", "PART 45\u2014NEW RESTRICTIONS ON LOBBYING", "C", "Subpart C\u2014Activities by Other Than Own Employees", "", "\u00a7 45.300 Professional and technical services.", "VA", "", "", "", "(a) The prohibition on the use of appropriated funds, in \u00a7 45.100(a), does not apply in the case of any reasonable payment to a person, other than an officer or employee of a person requesting or receiving a covered Federal action, if the payment is for professional or technical services rendered directly in the preparation, submission, or negotiation of any bid, proposal, or application for that Federal contract, grant, loan, or cooperative agreement or for meeting requirements imposed by or pursuant to law as a condition for receiving that Federal contract, grant, loan, or cooperative agreement.\n\n(b) The reporting requirements in \u00a7 45.110(a) and (b) regarding filing a disclosure form by each person, if required, shall not apply with respect to professional or technical services rendered directly in the preparation, submission, or negotiation of any commitment providing for the United States to insure or guarantee a loan.\n\n(c) For purposes of paragraph (a) of this section, \u201cprofessional and technical services\u201d shall be limited to advice and analysis directly applying any professional or technical discipline. For example, drafting or a legal document accompanying a bid or proposal by a lawyer is allowable. Similarly, technical advice provided by an engineer on the performance or operational capability of a piece of equipment rendered directly in the negotiation of a contract is allowable. However, communications with the intent to influence made by a professional (such as a licensed lawyer) or a technical person (such as a licensed accountant) are not allowable under this section unless they provide advice and analysis directly applying their professional or technical expertise and unless the advice or analysis is rendered directly and solely in the preparation, submission or negotiation of a covered Federal action. Thus, for example, communications with the intent to influence made by a lawyer that do not provide legal advice or analysis directly and solely related to the legal aspects of his or her client's proposal, but generally advocate one proposal over another are not allowable under this section because the lawyer is not providing professional legal services. Similarly, communications with the intent to influence made by an engineer providing an engineering analysis prior to the preparation or submission of a bid or proposal are not allowable under this section since the engineer is providing technical services but not directly in the preparation, submission or negotiation of a covered Federal action.\n\n(d) Requirements imposed by or pursuant to law as a condition for receiving a covered Federal award include those required by law or regulation, or reasonably expected to be required by law or regulation, and any other requirements in the actual award documents.\n\n(e) Persons other than officers or employees of a person requesting or receiving a covered Federal action include consultants and trade associations.\n\n(f) Only those services expressly authorized by this section are allowable under this section."], ["38:38:2.0.1.1.15.4.360.1", 38, "Pensions, Bonuses, and Veterans' Relief", "I", "", "45", "PART 45\u2014NEW RESTRICTIONS ON LOBBYING", "D", "Subpart D\u2014Penalties and Enforcement", "", "\u00a7 45.400 Penalties.", "VA", "", "", "", "(a) Any person who makes an expenditure prohibited herein shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such expenditure.\n\n(b) Any person who fails to file or amend the disclosure form (see appendix B) to be filed or amended if required herein, shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.\n\n(c) A filing or amended filing on or after the date on which an administrative action for the imposition of a civil penalty is commenced does not prevent the imposition of such civil penalty for a failure occurring before that date. An administrative action is commenced with respect to a failure when an investigating official determines in writing to commence an investigation of an allegation of such failure.\n\n(d) In determining whether to impose a civil penalty, and the amount of any such penalty, by reason of a violation by any person, the agency shall consider the nature, circumstances, extent, and gravity of the violation, the effect on the ability of such person to continue in business, any prior violations by such person, the degree of culpability of such person, the ability of the person to pay the penalty, and such other matters as may be appropriate.\n\n(e) First offenders under paragraphs (a) or (b) of this section shall be subject to a civil penalty of $10,000, absent aggravating circumstances. Second and subsequent offenses by persons shall be subject to an appropriate civil penalty between $10,000 and $100,000, as determined by the agency head or his or her designee.\n\n(f) An imposition of a civil penalty under this section does not prevent the United States from seeking any other remedy that may apply to the same conduct that is the basis for the imposition of such civil penalty."], ["38:38:2.0.1.1.15.4.360.2", 38, "Pensions, Bonuses, and Veterans' Relief", "I", "", "45", "PART 45\u2014NEW RESTRICTIONS ON LOBBYING", "D", "Subpart D\u2014Penalties and Enforcement", "", "\u00a7 45.405 Penalty procedures.", "VA", "", "", "", "Agencies shall impose and collect civil penalties pursuant to the provisions of the Program Fraud and Civil Remedies Act, 31 U.S.C. sections 3803 (except subsection (c)), 3804, 3805, 3806, 3807, 3808, and 3812, insofar as these provisions are not inconsistent with the requirements herein."], ["38:38:2.0.1.1.15.4.360.3", 38, "Pensions, Bonuses, and Veterans' Relief", "I", "", "45", "PART 45\u2014NEW RESTRICTIONS ON LOBBYING", "D", "Subpart D\u2014Penalties and Enforcement", "", "\u00a7 45.410 Enforcement.", "VA", "", "", "", "The head of each agency shall take such actions as are necessary to ensure that the provisions herein are vigorously implemented and enforced in that agency."], ["38:38:2.0.1.1.15.5.360.1", 38, "Pensions, Bonuses, and Veterans' Relief", "I", "", "45", "PART 45\u2014NEW RESTRICTIONS ON LOBBYING", "E", "Subpart E\u2014Exemptions", "", "\u00a7 45.500 Secretary of Defense.", "VA", "", "", "", "(a) The Secretary of Defense may exempt, on a case-by-case basis, a covered Federal action from the prohibition whenever the Secretary determines, in writing, that such an exemption is in the national interest. The Secretary shall transmit a copy of each such written exemption to Congress immediately after making such a determination.\n\n(b) The Department of Defense may issue supplemental regulations to implement paragraph (a) of this section."], ["38:38:2.0.1.1.15.6.360.1", 38, "Pensions, Bonuses, and Veterans' Relief", "I", "", "45", "PART 45\u2014NEW RESTRICTIONS ON LOBBYING", "F", "Subpart F\u2014Agency Reports", "", "\u00a7 45.600 Semi-annual compilation.", "VA", "", "", "", "(a) The head of each agency shall collect and compile the disclosure reports (see appendix B) and, on May 31 and November 30 of each year, submit to the Secretary of the Senate and the Clerk of the House of Representatives a report containing a compilation of the information contained in the disclosure reports received during the six-month period ending on March 31 or September 30, respectively, of that year.\n\n(b) The report, including the compilation, shall be available for public inspection 30 days after receipt of the report by the Secretary and the Clerk.\n\n(c) Information that involves intelligence matters shall be reported only to the Select Committee on Intelligence of the Senate, the Permanent Select Committee on Intelligence of the House of Representatives, and the Committees on Appropriations of the Senate and the House of Representatives in accordance with procedures agreed to by such committees. Such information shall not be available for public inspection.\n\n(d) Information that is classified under Executive Order 12356 or any successor order shall be reported only to the Committee on Foreign Relations of the Senate and the Committee on Foreign Affairs of the House of Representatives or the Committees on Armed Services of the Senate and the House of Representatives (whichever such committees have jurisdiction of matters involving such information) and to the Committees on Appropriations of the Senate and the House of Representatives in accordance with procedures agreed to by such committees. Such information shall not be available for public inspection.\n\n(e) The first semi-annual compilation shall be submitted on May 31, 1990, and shall contain a compilation of the disclosure reports received from December 23, 1989 to March 31, 1990.\n\n(f) Major agencies, designated by the Office of Management and Budget (OMB), are required to provide machine-readable compilations to the Secretary of the Senate and the Clerk of the House of Representatives no later than with the compilations due on May 31, 1991. OMB shall provide detailed specifications in a memorandum to these agencies.\n\n(g) Non-major agencies are requested to provide machine-readable compilations to the Secretary of the Senate and the Clerk of the House of Representatives.\n\n(h) Agencies shall keep the originals of all disclosure reports in the official files of the agency."], ["38:38:2.0.1.1.15.6.360.2", 38, "Pensions, Bonuses, and Veterans' Relief", "I", "", "45", "PART 45\u2014NEW RESTRICTIONS ON LOBBYING", "F", "Subpart F\u2014Agency Reports", "", "\u00a7 45.605 Inspector General report.", "VA", "", "", "", "(a) The Inspector General, or other official as specified in paragraph (b) of this section, of each agency shall prepare and submit to Congress each year, commencing with submission of the President's Budget in 1991, an evaluation of the compliance of that agency with, and the effectiveness of, the requirements herein. The evaluation may include any recommended changes that may be necessary to strengthen or improve the requirements.\n\n(b) In the case of an agency that does not have an Inspector General, the agency official comparable to an Inspector General shall prepare and submit the annual report, or, if there is no such comparable official, the head of the agency shall prepare and submit the annual report.\n\n(c) The annual report shall be submitted at the same time the agency submits its annual budget justifications to Congress.\n\n(d) The annual report shall include the following: All alleged violations relating to the agency's covered Federal actions during the year covered by the report, the actions taken by the head of the agency in the year covered by the report with respect to those alleged violations and alleged violations in previous years, and the amounts of civil penalties imposed by the agency in the year covered by the report."], ["40:40:1.0.1.2.33.0.157.1", 40, "Protection of Environment", "I", "B", "45", "PART 45\u2014TRAINING ASSISTANCE", "", "", "", "\u00a7 45.100 Purpose and scope.", "EPA", "", "", "[79 FR 76062, Dec. 19, 2014]", "This part establishes the policies and procedures for the award of training assistance by the Environmental Protection Agency (EPA). The provisions of this part supplement EPA's general grant regulations and procedures 2 CFR parts 200 and 1500."], ["40:40:1.0.1.2.33.0.157.10", 40, "Protection of Environment", "I", "B", "45", "PART 45\u2014TRAINING ASSISTANCE", "", "", "", "\u00a7 45.145 Allocability and allowability of costs.", "EPA", "", "", "[49 FR 41004, Oct. 18, 1984, as amended at 79 FR 76062, Dec. 19, 2014]", "(a) Allocability and allowability of costs will be determined in accordance with 2 CFR part 200, subpart E.\n\n(b) Costs incurred for the purchase of land or the construction of buildings are not allowable."], ["40:40:1.0.1.2.33.0.157.11", 40, "Protection of Environment", "I", "B", "45", "PART 45\u2014TRAINING ASSISTANCE", "", "", "", "\u00a7 45.150 Reports.", "EPA", "", "", "[87 FR 30402, May 19, 2022]", "(a) Recipients must submit the reports required in 2 CFR 200.328 and 200.329.\n\n(b) A draft of the final project report is required 90 days before the end of the project period. The recipient shall prepare the final projects report in accordance with the project officer's instructions and submit the final project report within 120 days after the end of the project period as provided in 2 CFR 200.344."], ["40:40:1.0.1.2.33.0.157.12", 40, "Protection of Environment", "I", "B", "45", "PART 45\u2014TRAINING ASSISTANCE", "", "", "", "\u00a7 45.155 Continuation assistance.", "EPA", "", "", "", "To be eligible for continuation assistance, the recipient must:\n\n(a) Demonstrate satisfactory performance during all previous budget periods;\n\n(b) Include in the application a detailed progress report showing the progress achieved and explain special problems or delays, a budget for the new budget period, and a detailed work plan for the new budget period; and\n\n(c) Submit a preliminary financial statement for the current budget period that includes estimates of the amount the recipient expects to spend by the end of the current budget period and the amount of any uncommitted funds which the recipient proposes to carry over beyond the term of the current budget period."], ["40:40:1.0.1.2.33.0.157.2", 40, "Protection of Environment", "I", "B", "45", "PART 45\u2014TRAINING ASSISTANCE", "", "", "", "\u00a7 45.105 Authority.", "EPA", "", "", "", "The EPA is authorized to award training assistance under the following statutes:\n\n(a) Section 103 of the Clean Air Act, as amended (42 U.S.C. 7403);\n\n(b) Sections 104(g), 109, and 111 of the Clean Water Act, as amended (33 U.S.C. 1254(g), 1259, and 1261);\n\n(c) Sections 7007 and 8001 of the Solid Waste Disposal Act, as amended (42 U.S.C. 6977 and 6981);\n\n(d) Section 1442 of the Safe Drinking Water Act, as amended (42 U.S.C. 300j-1)."], ["40:40:1.0.1.2.33.0.157.3", 40, "Protection of Environment", "I", "B", "45", "PART 45\u2014TRAINING ASSISTANCE", "", "", "", "\u00a7 45.110 Objectives.", "EPA", "", "", "", "Assistance agreements are awarded under this part to support students through traineeships for occupational and professional training, and to develop career-oriented personnel qualified to work in occupations involving environmental protection and pollution abatement and control. Training assistance is available to:\n\n(a) Assist in developing, expanding, planning, implementing, and improving environmental training;\n\n(b) Increase the number of trained pollution control and abatement personnel;\n\n(c) Upgrade the level of occupational and professional training among State and local environmental control personnel;\n\n(d) Train people to train others in occupations involving pollution abatement and control; and\n\n(e) Bring new people into the environmental control field."], ["40:40:1.0.1.2.33.0.157.4", 40, "Protection of Environment", "I", "B", "45", "PART 45\u2014TRAINING ASSISTANCE", "", "", "", "\u00a7 45.115 Definitions.", "EPA", "", "", "[49 FR 41004, Oct. 18, 1984, as amended at 79 FR 76062, Dec. 19, 2014]", "The following definitions supplement the definitions in 2 CFR part 200, subpart A.\n\nStipend.  Supplemental financial assistance, other than tuition and fees, paid directly to the trainee by the recipient organization.\n\nTrainee.  A student selected by the recipient organization who receives support to meet the objectives in \u00a7 45.110."], ["40:40:1.0.1.2.33.0.157.5", 40, "Protection of Environment", "I", "B", "45", "PART 45\u2014TRAINING ASSISTANCE", "", "", "", "\u00a7 45.120 Applicant eligibility.", "EPA", "", "", "", "Institutions, organizations, and individuals are eligible for EPA training awards as follows:\n\n(a)  Clean Air Act.  Section 103(b)\u2014Air pollution control agencies, public and nonprofit private agencies, institutions, organizations, and individuals. No award may be made under this Act to any private, profitmaking organization.\n\n(b)  Clean Water Act.  (1) Section 104(b)(3)\u2014State water pollution control agencies, interstate agencies, other public or nonprofit private agencies, institutions, organizations, and individuals. No award may be made to any private, profitmaking organization.\n\n(2) Section 104(g)(3)(A)\u2014Public or private agencies and institutions, and individuals.\n\n(3) Sections 104(g)(1) and 104(g)(3)(C)\u2014State and interstate agencies, municipalities, educational institutions and other organizations and individuals.\n\n(4) Sections 109, 110, and 111\u2014Institutions of higher education, or combinations of such institutions.\n\n(c)  Solid Waste Disposal Act.  (1) Section 8001(a)\u2014Public or private authorities, agencies, and institutions and individuals. No award may be made to any private, profitmaking organization.\n\n(2) Section 7007(a)\u2014State or interstate agencies, municipalities, educational institutions, and other organizations.\n\n(d)  Safe Drinking Water Act.  Sections 1442(b) and 1442(d)\u2014Public agencies, educational institutions, and other organizations. No awards may be made to profitmaking agencies or institutions."], ["40:40:1.0.1.2.33.0.157.6", 40, "Protection of Environment", "I", "B", "45", "PART 45\u2014TRAINING ASSISTANCE", "", "", "", "\u00a7 45.125 Application requirements.", "EPA", "", "", "", "Applicants must submit their requests for assistance on EPA Form 5700-12, \u201cApplication for Federal Assistance.\u201d Applicants must submit the original and two copies of the application to EPA. If the assistance agreement is to be awarded by EPA Headquarters, the applicant must send the application to the Environmental Protection Agency, Grants Administration Division, (3903R), 1200 Pennsylvania Ave., NW., Washington, DC 20460. If the assistance agreement is to be awarded by an EPA Regional Office, the applicant must send the application to the appropriate Regional Office."], ["40:40:1.0.1.2.33.0.157.7", 40, "Protection of Environment", "I", "B", "45", "PART 45\u2014TRAINING ASSISTANCE", "", "", "", "\u00a7 45.130 Evaluation of applications.", "EPA", "", "", "[49 FR 41004, Oct. 18, 1984, as amended at 79 FR 76062, Dec. 19, 2014; 87 FR 30402, May 19, 2022]", "(a) Consistent with 2 CFR 200.205, the appropriate EPA program office staff will review training applications in accordance with the following criteria:\n\n(1) Relevance of proposal to Agency objectives, priorities, achievement of national goals and technical merit;\n\n(2) Competency of the proposed staff in relation to the type of project proposed;\n\n(3) Feasibility of the proposal;\n\n(4) Adequacy of the applicant's resources available for the project;\n\n(5) Amount of funds necessary for the completion of the project;\n\n(b) In addition, awards under section 104(g)(1) of the Clean Water Act, are subject to the following criteria:\n\n(1) Assessment of need for training in a State or municipality based on problems with existing wastewater treatment plants, such as violation of discharge permit conditions, and faulty or improper operation or maintenance.\n\n(2) Need for operating training based on the number of wastewater treatment construction grants in the State."], ["40:40:1.0.1.2.33.0.157.8", 40, "Protection of Environment", "I", "B", "45", "PART 45\u2014TRAINING ASSISTANCE", "", "", "", "\u00a7 45.135 Supplemental conditions.", "EPA", "", "", "", "Training awards are subject to the following conditions:\n\n(a) Trainees must be citizens of the United States, its territories, or possessions, or lawfully admitted to the United States for permanent residence.\n\n(b) Recipients shall not require the performance of personal services by individuals receiving training as a condition for assistance.\n\n(c) Trainees are entitled to the normal student holidays observed by an academic institution, or the holiday and vacation schedule applicable to all trainees at a nonacademic institution.\n\n(d) Training awards may include a provision to pay stipends to trainees. Stipends must be paid under section 111 of the Clean Water Act consistent with prevailing practices under comparable federally supported programs.\n\n(e) Training awards under section 111 of the Clean Water Act are subject to the following conditions:\n\n(1) Recipients must obtain the following agreement in writing from persons awarded scholarships for undergraduate study of the operation and maintenance of treatment works:\n\nI agree to enter and remain in an occupation involving the design, operation, or maintenance of wastewater treatment works for a period of two years after the satisfactory completion of my studies under this program. I understand that if I fail to perform this obligation I may be required to repay the amount of my scholarship.\n\nI agree to enter and remain in an occupation involving the design, operation, or maintenance of wastewater treatment works for a period of two years after the satisfactory completion of my studies under this program. I understand that if I fail to perform this obligation I may be required to repay the amount of my scholarship.\n\n(2) Recipients must take such action as may be reasonably required to enforce the condition in paragraph (e)(1) of this section. Recipients shall credit or pay EPA for any repayments."], ["40:40:1.0.1.2.33.0.157.9", 40, "Protection of Environment", "I", "B", "45", "PART 45\u2014TRAINING ASSISTANCE", "", "", "", "\u00a7 45.140 Budget and project period.", "EPA", "", "", "[87 FR 30402, May 19, 2022]", "The budget and project periods for training awards will be specified in the terms of the awards as provided by 2 CFR 200.211."], ["46:46:2.0.1.1.5.1.1.1", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "A", "Subpart A\u2014General", "", "\u00a7 45.1 Purpose.", "USCG", "", "", "[CGD 73-49R, 38 FR 12290, May 10, 1973, as amended by USCG-1998-4442, 63 FR 52190, Sept. 30, 1998]", "This part prescribes requirements for assignment of freeboards, issuance of loadline certificates, and marking of loadlines for service on the Great Lakes of North America."], ["46:46:2.0.1.1.5.1.1.2", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "A", "Subpart A\u2014General", "", "\u00a7 45.3 Definitions.", "USCG", "", "", "[CGD 73-49R, 38 FR 12290, May 10, 1973, as amended by USCG-2014-0688, 79 FR 58280, Sept. 29, 2014]", "As used in this part:\n\n(a)  Length  ( L ) means 96 percent of the total length on a waterline at 85 percent of the least moulded depth measured from the top of the keel or the length from the foreside of the stem to the axis of the rudder stock on that waterline, if that is greater. In ships designed with a rake of keel the waterline on which this length is measured must be parallel to the designed waterline.\n\n(b)  Perpendiculars  means the forward and after perpendiculars at the forward and after ends of the length (L). The forward perpendicular coincides with the foreside of the stem on the waterline on which the length is measured.\n\n(c)  Amidships  means the middle of the length (L).\n\n(d)  Breadth  unless expressly provided otherwise, means the maximum breadth of the ship, measured amidships to the moulded line of the frame in a ship with a metal shell and to the outer surface of the hull in a ship with a shell of any other material.\n\n(e)  Moulded Depth  means the vertical distance measured amidships from the top of the keel to the top of the freeboard deck beam at side except that\u2014\n\n(1) In vessels of other than metal construction, the distance is measured from the lower edge of the keel rabbet;\n\n(2) Where the form at the lower part of the midship section is of a hollow character, or where thick garboards are fitted, the distance is measured from the point where the line of the flat of the bottom continued inwards cuts the side of the keel;\n\n(3) In ships having rounded gunwales, this distance is measured to the point of intersection of the moulded lines of the deck and side, the lines extending as though the gunwale were of angular design; and\n\n(4) Where the freeboard deck is stepped and the raised part of the deck extends over the point at which the moulded depth is to be determined, the distance is measured to a line of reference extending from the lower part of the deck along a line parallel with the raised part.\n\n(f)  Depth for Freeboard  ( D ) means\u2014\n\n(1) Moulded depth amidships plus the thickness of the stringer plate with no allowance for sheathing; and\n\n(2) In a vessel having a rounded gunwale with a radius greater than 4 percent of the breadth (B) or having topsides of unusual form, the depth for freeboard (D) of a vessel having a midship section with vertical topsides and with the same round of beam and area of topside section equal to that provided by the actual midship section.\n\n(g)  Freeboard  means the distance measured vertically downwards amidships from the upper edge of the deck line to the upper edge of the related load line.\n\n(h)  Freeboard Deck  means, normally, the uppermost complete deck exposed to weather and sea that has permanent means of closing all openings in the weather part thereof and below which all openings in the sides of the ship are fitted with permanent means of watertight closings except that\u2014\n\n(1) In a ship having a discontinuous freeboard deck, the lowest line of the exposed deck and the continuation of that line parallel to the upper part of the deck is the freeboard deck.\n\n(2) At the option of the owner and subject to the approval of the Commandant a lower deck may be designated as the freeboard deck, if it is a complete and permanent deck continuous in a fore and aft direction at least between the machinery space and peak bulkheads and continuous athwartships;\n\n(3) When this lower deck is stepped the lowest line of the deck and the continuation of that line parallel to the upper part of the deck is taken as the freeboard deck.\n\n(i)  Superstructure  means a deck structure on the freeboard deck, extending from side to side of the ship or with the side plating not being inboard of the shell plating more than 4 percent of the breadth (B). A raised quarterdeck is a superstructure.\n\n(j)  Enclosed superstructure  means a superstructure with enclosing bulkheads.\n\n(k)  Height  of a superstructure means the least vertical height measured at side from the top of the superstructure deck beams to the top of the freeboard deck beams.\n\n(l)  Length of a superstructure  ( S ) means the mean length of the part of the superstructure which extends to the sides of the vessel and lies within the length (L).\n\n(m)  Flush deck ship  means a ship that has no superstructure on the freeboard deck.\n\n(n)  Weathertight  means that in any sea conditions water will not penetrate into the ship.\n\n(o)  Watertight  means designed to withstand a static head of water.\n\n(p)  Exposed positions  means exposed to weather and sea.\n\n(q)  Intact bulkhead  with respect to superstructure means a bulkhead with no openings.\n\n(r)  Steel  means steel and materials with which structures can be made equivalent to steel with respect to such parameters as yield strength, total deflection, flexural life, or resistance to galvanic or stress corrosion."], ["46:46:2.0.1.1.5.1.1.3", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "A", "Subpart A\u2014General", "", "\u00a7 45.5 Seasonal application of load lines.", "USCG", "", "", "", "For the purposes of the law and regulations prohibiting submergence of load lines (46 U.S.C. 88c; 46 CFR 42.07-10), the fresh water and salt water load lines marked under this part apply during the following seasons:\n\n(a) Summer load lines apply April 16 through April 30 and September 16 through September 30.\n\n(b) Except for hopper dredges operating at working freeboards in accordance with subpart C of part 44 of this chapter, the Assigning Authority may not allow for lesser freeboards.\n\n(c) Intermediate load lines apply October 1 through October 31 and April 1 through April 15.\n\n(d) Winter load lines apply November 1 through March 31."], ["46:46:2.0.1.1.5.1.1.4", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "A", "Subpart A\u2014General", "", "\u00a7 45.9 Seasonal application of load lines for vessels not marked under this part.", "USCG", "", "", "[CGD 73-49R, 38 FR 12290, May 10, 1973, as amended by CGD 76-080, 54 FR 36977, Sept. 6, 1989]", "(a) For the purposes of the law and regulations prohibiting submergence of load lines (46 U.S.C. 88c; 46 CFR 42.07-10) the marks assigned to vessels holding international load line certificates apply during the following seasons:\n\n(1) Vessels assigned freeboards as new vessels under the International Load Line Convention, 1966\u2014\n\n(i) Winter\u2014November 1 through March 31.\n\n(ii) Summer\u2014April 1 through April 30 and October 1 through October 31.\n\n(iii) Tropical\u2014May 1 through September 30;\n\n(2) Vessels assigned freeboards as existing vessels under the International Load Line Convention, 1966\u2014\n\n(i) Winter\u2014November 1 through March 31;\n\n(ii) Summer\u2014April 1 through April 30 and October 1 through October 31;\n\n(iii) Tropical\u2014September 16 through September 30;\n\n(iv) Tropical Fresh\u2014May 1 through September 15.\n\n(b) Except for hopper dredges operating at working freeboards in accordance with subpart C of part 44 of this chapter, the Assigning Authority may not allow for lesser freeboards."], ["46:46:2.0.1.1.5.1.1.5", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "A", "Subpart A\u2014General", "", "\u00a7 45.11 Issue of load line certificate.", "USCG", "", "", "", "(a) A vessel 79 feet in length and more, and 150 gross tons or over, the keel of which is laid or which has reached a similar stage of construction after April 14, 1973, must meet the requirements of this part.\n\n(b) Except as prescribed in paragraph (a) of this section, any vessel that meets the requirements in subparts C and D of this part and the survey requirements in \u00a7\u00a7 42.09-15 through 42.09-50 of this subchapter is entitled to assignment of freeboards and issue of a load line certificate under this part by the Commandant or his authorized representative.\n\n(c) A vessel, the keel of which was laid or was at a similar stage of construction before April 14, 1973, that meets the requirements of this part that were in effect before April 14, 1973, and the survey requirements in \u00a7\u00a7 42.09-15 through 42.09-50 of this subchapter is entitled to the assignment of freeboards calculated under the provisions of this part in effect before April 14, 1973, and to a load line certificate issued under this part by the Commandant or his authorized representative."], ["46:46:2.0.1.1.5.1.1.6", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "A", "Subpart A\u2014General", "", "\u00a7 45.13 Form of certificate.", "USCG", "", "", "", "The form of a load line certificate issued under this part is specified in appendix A to this part."], ["46:46:2.0.1.1.5.1.1.7", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "A", "Subpart A\u2014General", "", "\u00a7 45.15 Exemptions.", "USCG", "", "", "[CGD 73-49R, 38 FR 12290, May 10, 1973, as amended by CGD 84-058, 50 FR 19533, May 9, 1985; USCG-1998-4623, 67 FR 19690, Apr. 23, 2002]", "(a) The Commandant may exempt a ship from any of the requirements in this part if the chairman of the board of Steamship Inspections, Department of Transport, Canada, and the Commandant agree that the sheltered nature or the condition of that voyage make it unreasonable or impracticable to apply requirements of this part.\n\n(b) The Commandant may exempt a vessel that embodies features of a novel kind from any of the requirements of this part if those requirements might seriously impede research into the development of such features and their incorporation in ships. Any such vessel must comply with the safety requirements that, in the opinion of the Commandant, are adequate for the service for which the vessel is intended and will insure the overall safety of the vessel. If the Commandant grants an exemption pursuant to this paragraph he communicates the details of the exemption and the reasons therefor to the chairman of the board of Steamship Inspections.\n\n(c) A vessel that is not normally engaged on voyages to which this part applies but that, in exceptional circumstances, is required to undertake a single such voyage between two specific ports may be exempted by the Commandant from any of the requirements of this part, if the ship complies with safety requirements that, in the opinion of the Commandant are adequate for the voyage that is to be undertaken by the vessel.\n\n(d) Unmanned dry cargo river barges carrying non-hazardous cargoes on certain routes on Lake Michigan may be exempted from load line requirements in accordance with the conditions specified in subpart E of this part."], ["46:46:2.0.1.1.5.2.1.1", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "B", "Subpart B\u2014Load Line Marks", "", "\u00a7 45.31 Deck line.", "USCG", "", "", "", "(a) Each vessel must be marked with a deck line on the outer surface of the shell on each side of the vessel with the upper edge of the line passing through the point where the upper surface of the freeboard deck intersects the outer surface of the shell or if the summer freeboard is correspondingly adjusted under \u00a7 45.57, the deck line may be placed above or below the freeboard deck. Figure 1 illustrates the deck line markings.\n\n(b) Each deck line must be at least 12-inches long and 1-inch wide."], ["46:46:2.0.1.1.5.2.1.2", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "B", "Subpart B\u2014Load Line Marks", "", "\u00a7 45.33 Diamond.", "USCG", "", "", "", "(a) Each vessel must be marked with the diamond mark described in figure 2 of \u00a7 45.35 amidships below the upper edge of the deck line on each side with the center of the loadline mark at a distance below the deck line equal to the summer freeboard assigned under this part.\n\n(b) The width of each line in the loadline mark must be 1 inch."], ["46:46:2.0.1.1.5.2.1.3", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "B", "Subpart B\u2014Load Line Marks", "", "\u00a7 45.35 Seasonal load lines.", "USCG", "", "", "", "Each vessel must have the summer (S), midsummer (MS), intermediate (I), and winter (W) loadlines for fresh water freeboards calculated under \u00a7\u00a7 45.71 through 45.75 marked in accordance with \u00a7 45.39."], ["46:46:2.0.1.1.5.2.1.4", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "B", "Subpart B\u2014Load Line Marks", "", "\u00a7 45.37 Salt water load lines.", "USCG", "", "", "", "Each vessel that operates in the salt water of the St. Lawrence River must\u2014\n\n(a) Be marked with the summer (S), midsummer (MS), intermediate (I) and winter (W) load line marks under \u00a7 45.77 for salt water; and\n\n(b) Be marked with the letters \u201cFW\u201d above the fresh water marks and the letters \u201cSW\u201d above the salt water marks as described in figure 2."], ["46:46:2.0.1.1.5.2.1.5", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "B", "Subpart B\u2014Load Line Marks", "", "\u00a7 45.39 Marking.", "USCG", "", "", "", "(a) The diamond, lines, and letters must be painted in white or yellow on a dark ground or in black on a light ground and permanently marked on the sides of the vessel.\n\n(b) The upper edge of the line that passes through the center of the diamond must indicate summer freeboard assigned under \u00a7 45.53.\n\n(c) Unless otherwise authorized the seasonal load lines must be horizontal lines extending forward of, and at right angles to, a vertical line marked at a distance 26 inches forward of the vertical centerline of the diamond as described in figure 2.\n\n(d) The salt water load lines must be horizontal lines extending abaft the vertical line required by paragraph (b) of this section as described in figure 2.\n\n(e) The upper edge of each seasonal and salt water load line mark must indicate the minimum freeboard for that mark.\n\n(f) When two freeboards assigned under this part differ by 2 inches or less, the line for the lesser freeboard must be omitted and the line for the greater freeboard must be identified with the seasonal letters for both freeboards.\n\n(g) Seasonal freeboards that are limited by a summer freeboard assigned under \u00a7 45.53(c) must not be marked but the identifying letter must be marked adjacent to the summer mark.\n\n(h) The identity of the authority that assigns the freeboard must be indicated alongside the load line diamond above the horizontal line that passes through the center of the diamond with two initials approximately 4\n 1/2  inches high and 3 inches wide."], ["46:46:2.0.1.1.5.3.1.1", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "C", "Subpart C\u2014Freeboards", "", "\u00a7 45.51 Types of ships.", "USCG", "", "", "", "(a) For the purpose of this subpart, a type A vessel has\u2014\n\n(1) No cargo ports or similar sideshell openings below the freeboard deck;\n\n(2) Only small freeboard deck openings fitted with watertight gasketed hatch covers of steel;\n\n(3) No dimension of a freeboard deck cargo opening greater than 6 feet and the total area not exceeding 18 ft\n 2 ; and\n\n(4) No more than two freeboard deck cargo openings to a single cargo space.\n\n(b) For the purposes of this subpart a type B vessel is a vessel that does not meet the requirements in paragraph (a) of this section."], ["46:46:2.0.1.1.5.3.1.10", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "C", "Subpart C\u2014Freeboards", "", "\u00a7 45.67 Sheer measurement.", "USCG", "", "", "", "(a) The sheer is measured from the freeboard deck at side to a line of reference drawn parallel to the keel through the sheer line at amidships;\n\n(b) In ships designed with a rake of keel or designed to trim by the stern, the sheer must be measured in reference to a line drawn through the sheer line at amidships parallel to the design load waterline.\n\n(c) In flush deck ships and in ships with detached superstructures, the sheer must be measured at the freeboard deck.\n\n(d) In ships with a step or break in the topsides, the sheer must be measured from the equivalent depth amidships.\n\n(e) In vessels with a superstructure of standard height that extends over the whole length of the freeboard deck, the sheer must be measured on the superstructure deck. Where the height of superstructure exceeds the standard, the least difference (Z) between the actual and standard heights must be added to each end ordinate. Similarly, the intermediate ordinates at distance of \n 1/6   L  and \n 1/3   L  from each perpendicular must be increased by 0.444 Z and 0.111 Z respectively."], ["46:46:2.0.1.1.5.3.1.11", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "C", "Subpart C\u2014Freeboards", "", "\u00a7 45.69 Correction for bow height.", "USCG", "", "", "", "(a) The minimum summer freeboard of all manned vessels must be increased by the same amount in inches as any deficiency which may be shown by the following formulas:\n\n(1) For vessels having a length of not less than 79 feet and not greater than 550 feet,\n\n0.593  L  (1.0- L /1640) inches\u2014actual bow height\n\n0.593  L  (1.0- L /1640) inches\u2014actual bow height\n\n(2) For vessels having a length greater than 550 feet,\n\n(341.6\u20140.227 L) inches\u2014actual bow height\n\n(341.6\u20140.227 L) inches\u2014actual bow height\n\n(b) Where the bow height is obtained by sheer, the sheer must extend for at least 15 percent of the length of the vessel measured from the forward perpendicular.\n\n(c) Where the bow height is obtained by a superstructure, the superstructure must be enclosed and extend from the stem to a point at least 0.06  L  abaft the forward perpendicular.\n\n(d) Vessels which, to suit exceptional operational requirements, cannot meet the requirements of paragraph (c) of this section may be given special consideration by the Commandant.\n\n(e) The bow height is defined as the vertical distance at the forward perpendicular between the waterline corresponding to the assigned summer freeboard at the designed trim and the top of the exposed deck at side."], ["46:46:2.0.1.1.5.3.1.12", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "C", "Subpart C\u2014Freeboards", "", "\u00a7 45.71 Midsummer freeboard.", "USCG", "", "", "", "The minimum midsummer freeboard (fms) in inches is obtained by the formula:\n\nfms  =  f ( s ) \u2212 0.3Ts\n\nwhere: \n \n f ( s ) = summer freeboard in inches \n \n Ts = distance in feet between top of keel and the summer load line.\n\nwhere:\n\nf ( s ) = summer freeboard in inches\n\nTs = distance in feet between top of keel and the summer load line."], ["46:46:2.0.1.1.5.3.1.13", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "C", "Subpart C\u2014Freeboards", "", "\u00a7 45.73 Winter freeboard.", "USCG", "", "", "", "The minimum winter freeboard (fw) in inches is obtained by the formula:\n\nfw = f ( s ) +  T  s (200)/ L\n\nwhere: \n \n L = length L in feet but not less than 400 feet.\n\nwhere:\n\nL = length L in feet but not less than 400 feet."], ["46:46:2.0.1.1.5.3.1.14", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "C", "Subpart C\u2014Freeboards", "", "\u00a7 45.75 Intermediate freeboard.", "USCG", "", "", "", "The minimum intermediate freeboard (f I ) in inches is obtained by the formula:\n\nf I = f ( s ) +  T  s(100)/ L\n\nwhere:\n \n L = length L in feet but not less than 400 feet.\n\nwhere:\n\nL = length L in feet but not less than 400 feet."], ["46:46:2.0.1.1.5.3.1.15", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "C", "Subpart C\u2014Freeboards", "", "\u00a7 45.77 Salt water freeboard.", "USCG", "", "", "", "(a) The salt water addition in inches to freeboard applicable to each fresh water mark is obtained by the formula:\n\nAddition=\u0394/41T\n\nwhere:\n \n \u0394 = displacement in fresh water, in tons of 2,240 pounds, at the summer load waterline. \n \n T = tons per inch immersion, of 2,240 pounds, in fresh water at the summer load waterline.\n\nwhere:\n\n\u0394 = displacement in fresh water, in tons of 2,240 pounds, at the summer load waterline.\n\nT = tons per inch immersion, of 2,240 pounds, in fresh water at the summer load waterline.\n\n(b) When the displacement at the summer load waterline cannot be certified, the addition in inches to the minimum freeboard in fresh water may be obtained by multiplying 0.25 by the summer draught in feet measured from the top of the keel to the center of the load line diamond."], ["46:46:2.0.1.1.5.3.1.2", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "C", "Subpart C\u2014Freeboards", "", "\u00a7 45.53 Summer freeboard.", "USCG", "", "", "", "(a) Except as required in paragraph (c) of this section, the minimum freeboard in summer for a type A vessel is F in the following formula modified by the corrections in this subpart:\n\nF (inches) = 10.2 \u00d7  P 1  \u00d7  D\n\nwhere  P 1  is defined in \u00a7 45.55 and  D  is the depth for freeboard in feet.\n\nwhere  P 1  is defined in \u00a7 45.55 and  D  is the depth for freeboard in feet.\n\n(b) Except as required in paragraph (c) of this section, the minimum freeboard in summer for a type B vessel is F in the formula modified by the corrections in this subpart:\n\nF (inches) = 12 \u00d7  P 1  \u00d7  D\n\nwhere  P 1  is defined by \u00a7 45.55 and  D  is the depth for freeboard in feet.\n\nwhere  P 1  is defined by \u00a7 45.55 and  D  is the depth for freeboard in feet.\n\n(c) Seasonal freeboards assigned under \u00a7\u00a7 45.71 through 45.75 must be calculated on the basis of the summer freeboard calculated under paragraph (a) or (b) of this section.\n\n(d) If a minimum freeboard is required for a vessel under this part which is greater than that required by paragraph (a) or (b) of this section because of scantling or subdivision requirements, the summer freeboard and the seasonal freeboards assigned under this subpart must be no less than that minimum freeboard, except the midsummer seasonal freeboard may be calculated on the basis of the summer freeboard assigned under this paragraph.\n\n(e) If a greater than the calculated minimum freeboard is requested by the applicant for the load line certificate, that greater freeboard may be assigned as the summer freeboard and\u2014\n\n(1) The intermediate and winter seasonal freeboards assigned must be calculated under paragraph (a) or (b) of this section; and\n\n(2) The midsummer seasonal freeboard must be calculated on the basis of the summer freeboard assigned under this paragraph."], ["46:46:2.0.1.1.5.3.1.3", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "C", "Subpart C\u2014Freeboards", "", "\u00a7 45.55 Freeboard coefficient.", "USCG", "", "", "", "(a) For ships less than 350 feet in length ( L ), the freeboard coefficient is  P 1  in the formula:\n\nP 1 = P  +  A [( L / D )-( L / D s )]\n\nwhere  P  is a factor, which is a function of the length from table 1 and \u201cA\u201d is a coefficient, which is a function of length (L), from table 2;  L / D  is the ratio of the length ( L ) to the depth for freeboard ( D );  L / D s  is the ratio of the length ( L ) to a standard depth ( D s ) from table 3. \n \n D  is not to be used as less than that which will give a ration of  L  to  D  that is: \n \n (a) More than 15 when  L  = 400 feet or less, or \n \n (b) More than 21 when  L  = 700 feet or more, with the ratio for intermediate lengths being calculated proportionately.\n\nwhere  P  is a factor, which is a function of the length from table 1 and \u201cA\u201d is a coefficient, which is a function of length (L), from table 2;  L / D  is the ratio of the length ( L ) to the depth for freeboard ( D );  L / D s  is the ratio of the length ( L ) to a standard depth ( D s ) from table 3.\n\nD  is not to be used as less than that which will give a ration of  L  to  D  that is:\n\n(a) More than 15 when  L  = 400 feet or less, or\n\n(b) More than 21 when  L  = 700 feet or more, with the ratio for intermediate lengths being calculated proportionately.\n\n(b) For ships 350 feet or more in length ( L),  the coefficient \u201cA\u201d is zero and the formula is:\n\nP 1 = P\n\nwhere  P  is a factor, which is a function of length from table (1).\n\nwhere  P  is a factor, which is a function of length from table (1)."], ["46:46:2.0.1.1.5.3.1.4", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "C", "Subpart C\u2014Freeboards", "", "\u00a7 45.57 Correction: Position of deckline.", "USCG", "", "", "", "(a) Where the depth to the upper edge of the deckline is greater or less than D, the difference between the depths must be added to or deducted from the freeboard.\n\n(b) When the Commandant or the approved assigning authority approves a location for the deckline that is above or below the freeboard deck, the minimum summer freeboard must be corrected by\u2014\n\n(1) Adding the difference between the depth and D if the depth is greater than D; and\n\n(2) Subtracting the difference between the depth and D, if the depth is less than D.\n\n(c) Except for the adjustment allowed in paragraph (b) of this section, no freeboard of less than 2 in. may be assigned."], ["46:46:2.0.1.1.5.3.1.5", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "C", "Subpart C\u2014Freeboards", "", "\u00a7 45.58 Correction: Short superstructure.", "USCG", "", "", "", "The minimum freeboard in summer for a type B vessel that is 79 ft. or more but less than 500 ft. in length and has enclosed superstructures with an effective length of 25 percent or less of the length of the vessel must be increased by\u2014\n\n0.03 (500\u2014L) (0.25\u2014E/L) inches\n\nwhere: \n \n (L) = length of vessel in feet; \n \n (E) = effective length of superstructure in feet as defined in \u00a7 45.59.\n\nwhere:\n\n(L) = length of vessel in feet;\n\n(E) = effective length of superstructure in feet as defined in \u00a7 45.59."], ["46:46:2.0.1.1.5.3.1.6", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "C", "Subpart C\u2014Freeboards", "", "\u00a7 45.59 Definitions for superstructure corrections.", "USCG", "", "", "", "For the purpose of \u00a7\u00a7 45.58 through 45.61\u2014\n\n(a) The standard height of a superstructure ( H s ) other than a raised quarter deck and the standard height of a trunk ( H s ) is determined by the formula:\n\nH s =[6.0 + ( L /300)] ft\n\n(b) The length of superstructure ( S)  is the length of those parts of the superstructure which extends to the sides of the vessel and that lie within the length ( L ).\n\n(c) The effective length ( E ) of a trunk is its length in the ratio of its mean breadth to  B.\n\n(d) The effective length ( E ) of an enclosed superstructure of standard height or greater is its length \u201c S \u201d.\n\n(e) Where the height of an enclosed superstructure or trunk is less than the standard height ( H s ),the effective length ( E ) is its length reduced in the ratio of its height to  H s .\n\n(f) The effective length ( E ) of a raised quarter deck of \n 2/3   H s  or greater that has no openings in the front bulkhead is its length up to a maximum of 0.6 L.\n\n(g) The effective length ( E ) of a raised quarter deck of less than \n 2/3   H s  or that does not have an intact front bulkhead is its length reduced by the ratio of its height to  H s .\n\nTable 12(1)\n\ntables of p values\n\nTable 12(2)\n\nvalues of \u201ca\u201d for use in the expression\n\nTable 12(3)\n\nvalues of l/ds\n\n(h) Superstructures which are not enclosed have no effective length.\n\n(i) When a lower deck is designated as the freeboard deck, that part of the hull which extends above the freeboard deck is treated as a superstructure so far as concerns the application of the conditions of assignment and the calculation of freeboard.\n\n(j) A bridge or poop is enclosed only when access is provided whereby the crew may reach accommodations, machinery, or other working spaces inside the superstructure by alternative means that are available at all times when bulkhead openings are closed."], ["46:46:2.0.1.1.5.3.1.7", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "C", "Subpart C\u2014Freeboards", "", "\u00a7 45.61 Correction for superstructures and trunks.", "USCG", "", "", "", "(a) Where the effective length  E  of superstructures and trunks that meet the requirements of subpart D of this part is 1.0 L,  the minimum summer freeboard may be corrected by subtracting \n 1/2 H s .\n\n(b) Where the effective length of superstructures and trunks is less than 1.0 L  the minimum summer freeboard may be corrected by subtracting a percentage of one-half of the standard superstructure height ( H s ) determined by the formula:\n\nPercentage = ( E /2 L ) (1 +  E / L ) \u00d7 100\n\n(c) To be eligible for the correction a trunk must\u2014\n\n(1) Be at least as strong and as stiff as a superstructure;\n\n(2) Have no opening in the freeboard deck in way of the trunk, except small access openings;\n\n(3) Have hatchway coamings and covers that meet \u00a7\u00a7 45.143 through 45.147;\n\n(4) Provide a permanent working platform fore and aft with guardrails;\n\n(5) Provide fore and aft access between detached trunks and superstructures by permanent gangways;\n\n(6) Be at least 60 percent of the breadth of the ship in way of the trunk; and\n\n(7) Be at least 0.6  L  in length, if no superstructure, is provided."], ["46:46:2.0.1.1.5.3.1.8", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "C", "Subpart C\u2014Freeboards", "", "\u00a7 45.63 Correction for sheer.", "USCG", "", "", "", "(a) The minimum summer freeboard must be increased by the deficiency, or may be decreased by the excess as limited by \u00a7 45.65, of sheer calculated from table 4, multiplied by:\n\n0.75\u2014( S /2 L )\n\nwhere  S  is the total length of enclosed superstructures. Trunks are not included.\n\nwhere  S  is the total length of enclosed superstructures. Trunks are not included."], ["46:46:2.0.1.1.5.3.1.9", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "C", "Subpart C\u2014Freeboards", "", "\u00a7 45.65 Excess sheer limitations.", "USCG", "", "", "", "The decrease in freeboard allowed in \u00a7 45.63 is limited as follows:\n\nSheer Calculation\u2014Table 4\n\n1  L in Standard Sheer = L or 500 whichever is less.\n\nSheer Summation\n\n(a) In vessels having no enclosed superstructure from 0.1  L  abaft amidships to 0.1  L  forward of amidships, no decrease is allowed.\n\n(b) In vessels having enclosed superstructures amidships less than 0.1  L  before and abaft amidships, the decrease must be reduced by linear interpolation.\n\n(c) If excess sheer exists in the forward half, and the after half is at least 75 percent of standard sheer, the full decrease is allowed. If the after sheer is between 50 percent and 75 percent of standard sheer an intermediate decrease, determined by linear interpolation, is allowed for the excess sheer forward. If the after sheer is 50 percent of standard or less, no decrease is allowed for the excess sheer forward.\n\n(d) Where an enclosed poop or forecastle is of standard height with greater sheer than that of the freeboard deck, or is greater than standard height, an addition to the sheer of the freeboard deck may be made using the following formula:\n\nS= vL \u2032/3 L\n\nWhere\n \n s  = sheer credit, to be deducted from the deficiency or added to the excess of sheer. \n \n v  = difference between actual and standard height of superstructure at the end ordinate. \n \n L \u2032 = mean enclosed length of poop or forecastle up to a maximum length of 0.5  L.\n\nWhere\n\ns  = sheer credit, to be deducted from the deficiency or added to the excess of sheer.\n\nv  = difference between actual and standard height of superstructure at the end ordinate.\n\nL \u2032 = mean enclosed length of poop or forecastle up to a maximum length of 0.5  L.\n\nThe superstructure deck must not be less than standard height above this curve at any point. This curve must be used in determining the sheer profile for forward and after halves of the vessel.\n\n(e) The maximum decreased for excess sheer must be no more than 1\n 1/2  inches per 100 feet of length.\n\n(f) Where the deck of an enclosed superstructure has at least the same sheer as the exposed freeboard deck, the sheer of the enclosed portion of the freeboard deck cannot be taken into account."], ["46:46:2.0.1.1.5.4.1.1", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "D", "Subpart D\u2014Conditions of Assignment", "", "\u00a7 45.101 Purpose.", "USCG", "", "", "", "This subpart prescribes conditions that a vessel must meet to be eligible for assignment of a loadline under this part."], ["46:46:2.0.1.1.5.4.1.10", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "D", "Subpart D\u2014Conditions of Assignment", "", "\u00a7 45.119 Freeing port area: Changes from standard sheer.", "USCG", "", "", "", "The freeing port area required by \u00a7 45.117(b) must be multiplied by the factor in the following table 5 if the sheer differs from the standard sheer defined in \u00a7 45.63. table 4.\n\nTable 5\n\nFreeing port area: Sheer correction."], ["46:46:2.0.1.1.5.4.1.11", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "D", "Subpart D\u2014Conditions of Assignment", "", "\u00a7 45.121 Freeing port area: Changes for trunks and side coamings.", "USCG", "", "", "", "If a vessel has a trunk and does not meet the requirements of \u00a7 45.61 or has continuous or substantially continuous hatchway side coamings between detached superstructures, the minimum area of the freeing port openings must be obtained from the following table:\n\nThe area of freeing ports at intermediate breadths must be obtained by linear interpolation."], ["46:46:2.0.1.1.5.4.1.12", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "D", "Subpart D\u2014Conditions of Assignment", "", "\u00a7 45.123 Freeing port area: Changes for bulwark height.", "USCG", "", "", "", "(a) For the purposes of freeing port area only, bulwark height is considered standard at 24 in for ships 240 ft in length and less; and 48 in for ships 480 ft in length or greater. The standard bulwark height for ships of intermediate length is obtained by direct interpolation.\n\n(b) If the bulwark is more than standard height, the area required by \u00a7 45.117 must be increased by 0.04 square feet per foot (ft\n 2 /ft) of length of well for each foot difference in height.\n\n(c) For ships greater than 480 ft in length that have an average bulwark height less than 3 ft, the area required by \u00a7 45.117 may be decreased by 0.04 ft\n 2 /ft of length for each foot difference in height."], ["46:46:2.0.1.1.5.4.1.13", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "D", "Subpart D\u2014Conditions of Assignment", "", "\u00a7 45.125 Crew passageways.", "USCG", "", "", "", "The vessel must have means for protection of the crew from boarding seas such as life lines, gangways, and underdeck passages to facilitate passing between their quarters and machinery spaces and other spaces essential to the operation of the ship."], ["46:46:2.0.1.1.5.4.1.14", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "D", "Subpart D\u2014Conditions of Assignment", "", "\u00a7 45.127 Position of structures, openings, and fittings.", "USCG", "", "", "", "For the purposes of this part\u2014\n\n(a)  Position 1  means in an exposed position on\u2014\n\n(1) The freeboard deck or a raised quarter deck;\n\n(2) A superstructure deck or a trunk deck and forward of a point \n 1/4   L  from the forward perpendicular; or\n\n(3) A trunk deck whose height is less than  H s .\n\n(b)  Position 2  means\u2014\n\n(1) On a superstructure deck aft of a point \n 1/4   L  abaft the forward perpendicular; or\n\n(2) On a superstructure and trunk combination, that is  H s  or more n height, aft or a point \n 1/4   L  abaft the forward perpendicular."], ["46:46:2.0.1.1.5.4.1.15", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "D", "Subpart D\u2014Conditions of Assignment", "", "\u00a7 45.129 Hull fittings: General.", "USCG", "", "", "", "Hull fittings must be securely mounted in the hull so as to avoid increases in hull stresses and must be protected from local damage caused by movement of equipment or cargo."], ["46:46:2.0.1.1.5.4.1.16", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "D", "Subpart D\u2014Conditions of Assignment", "", "\u00a7 45.131 Ventilators.", "USCG", "", "", "", "(a) Ventilators passing through superstructures other than enclosed superstructures must have coamings of steel or equivalent material at the freeboard deck.\n\n(b) Ventilators in position 1 must have coamings at least 30 in. above the deck and ventilators in position 2 must have coamings at least 24 in. above the deck. The Commandant or the assigning authority may also require coamings in other exposed positions.\n\n(c) Ventilators in position 1 or 2 to spaces below freeboard decks or decks of enclosed superstructures or trunks must have coamings of steel permanently connected to the deck and any ventilator coaming that is more than 36 in. high must be specially supported.\n\n(d) Except as provided in paragraph (e) of this section ventilator openings must have weathertight closing appliances that are permanently attached or, where approved by the Commandant or the assigning authority conveniently stowed near the ventilators to which they are to be fitted.\n\n(e) Ventilators in position 1, the coamings of which extend to more than 12.5 ft above the deck, and in position 2, the coamings of which extend to more than 6 ft above the deck, need not have closing appliances unless specifically required by the Commandant."], ["46:46:2.0.1.1.5.4.1.17", 46, "Shipping", "I", "E", "45", "PART 45\u2014GREAT LAKES LOAD LINES", "D", "Subpart D\u2014Conditions of Assignment", "", "\u00a7 45.133 Air pipes.", "USCG", "", "", "", "(a) Where an air pipe to any tank extends above the freeboard or superstructure deck\u2014\n\n(1) The exposed part of the air pipe must be made of steel and of sufficient thickness to avoid breaking from impact of boarding seas.\n\n(2) The air pipe must have a permanently attached means of closing its opening; and\n\n(3) The height from the deck to any point where water may obtain access below deck must be at least 30 in above the freeboard deck, 24 in above raised quarter decks, and 12 in above other superstructure decks.\n\n(b) If the height required in paragraph (a) of this section interferes with working the ship, the Commandant may approve a lower height after considering the closing arrangements."]], "truncated": false, "filtered_table_rows_count": 134, "expanded_columns": [], "expandable_columns": [], "columns": ["section_id", "title_number", "title_name", "chapter", 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