cfr_sections
Data license: Public Domain (U.S. Government data) · Data source: Federal Register API & Regulations.gov API
369 rows where part_number = 11 sorted by section_id
This data as json, CSV (advanced)
Suggested facets: title_name, chapter, subchapter, part_name, subpart
| section_id ▼ | title_number | title_name | chapter | subchapter | part_number | part_name | subpart | subpart_name | section_number | section_heading | agency | authority | source_citation | amendment_citations | full_text |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 10:10:1.0.1.1.9.0.72.1 | 10 | Energy | I | 11 | PART 11—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL | § 11.1 Purpose. | NRC | This part establishes the requirements for special nuclear material access authorization, and the criteria and procedures for resolving questions concerning the eligibility of individuals to receive special nuclear material access authorization for conduct of certain activities, licensed or otherwise, which involve access to or control over special nuclear material. | |||||||
| 10:10:1.0.1.1.9.0.72.2 | 10 | Energy | I | 11 | PART 11—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL | § 11.3 Scope. | NRC | [45 FR 76970, Nov. 21, 1980, as amended at 64 FR 15645, Apr. 1, 1999] | (a) The requirements, criteria, and procedures of this part apply to the establishment of and eligibility for special nuclear material access authorization for employees, contractors, consultants of, and applicants for employment with licensees or contractors of the Nuclear Regulatory Commission. This employment, contract, service, or consultation may involve any duties or assignments within the criteria of § 11.11 or § 11.13 requiring access to, or control over, formula quantities of special nuclear material (as defined in part 73 of this chapter). (b) The requirements, criteria, and procedures of this part are in addition to and not in lieu of any requirements, criteria, or procedures for access to or control over classified special nuclear material. | ||||||
| 10:10:1.0.1.1.9.0.72.3 | 10 | Energy | I | 11 | PART 11—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL | § 11.5 Policy. | NRC | It is the policy of the Nuclear Regulatory Commission to carry out its authority to establish and administer, in a manner consistent with traditional American concepts of justice, a personnel security program in the interests of the common defense and security for the purpose of safeguarding special nuclear material and preventing sabotage which would endanger the public by exposure to radiation. To this end, the Commission has established criteria for determining eligibility for special nuclear material access authorization and will afford affected individuals the opportunity for administrative review of questions concerning their eligibility for special nuclear material access authorization. | |||||||
| 10:10:1.0.1.1.9.0.72.4 | 10 | Energy | I | 11 | PART 11—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL | § 11.7 Definitions. | NRC | [45 FR 76970, Nov. 21, 1980, as amended at 46 FR 58282, Dec. 1, 1981; 50 FR 39077, Sept. 27, 1985; 55 FR 11574, Mar. 29, 1990; 64 FR 15645, Apr. 1, 1999; 86 FR 43401, Aug. 9, 2021; 87 FR 45239, July 28, 2022] | As used in this part: Terms defined in parts 10, 25, 50, 70, 72, 73, and 95 of this chapter have the same meaning when used in this part. NRC-“R” special nuclear material access authorization means an administrative determination based upon a Tier 3 background investigation that an individual in the course of employment is eligible to work at a job falling within the criterion of § 11.11(a)(2). NRC-“U” special nuclear material access authorization means an administrative determination based upon a Tier 5 background investigation that an individual in the course of employment is eligible to work at a job falling within the criterion of § 11.11(a)(1) or § 11.13. Special nuclear material access authorization means an administrative determination that an individual (including a contractor or consultant) who is employed by or is an applicant for employment with an affected Commission contractor, licensee of the Commission, or contractor of a licensee of the Commission may work at a job which affords access to or control over special nuclear material and that permitting the individual to work at that job would not be inimical to the common defense and security. | ||||||
| 10:10:1.0.1.1.9.0.72.5 | 10 | Energy | I | 11 | PART 11—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL | § 11.8 Information collection requirements: OMB approval. | NRC | [62 FR 52185, Oct. 6, 1997, as amended at 87 FR 45240, July 28, 2022] | (a) The Nuclear Regulatory Commission has submitted the information collection requirements contained in this part to the Office of Management and Budget (OMB) for approval as required by the Paperwork Reduction Act (44 U.S.C. et seq. ). The NRC may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. OMB has approved the information collection requirements contained in this part under control number 3150-0062. (b) The approved information collection requirements contained in this part appear in §§ 11.9, 11.11, 11.13, 11.15, and 11.16. (c) In § 11.15, the Standard Form 86 (SF-86), “Electronic Questionnaire for Investigations Processing (e-QIP), SF-86—Questionnaire for National Security Positions,” is approved under control number 3206-0005. | ||||||
| 10:10:1.0.1.1.9.0.72.6 | 10 | Energy | I | 11 | PART 11—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL | § 11.9 Specific exemptions. | NRC | [45 FR 76970, Nov. 21, 1980, as amended at 53 FR 19245, May 27, 1988] | The Commission may, upon application of any interested party, grant an exemption from the requirements of this part. Exemptions will be granted only if they are authorized by law and will not constitute an undue risk to the common defense and security. Documentation related to the request, notification and processing of an exemption shall be maintained for three years beyond the period covered by the exemption. | ||||||
| 10:10:1.0.1.1.9.0.72.7 | 10 | Energy | I | 11 | PART 11—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL | § 11.10 Maintenance of records. | NRC | [53 FR 19245, May 27, 1988] | Each record required by this part must be legible throughout the retention period specified by each Commission regulation. The record may be the original or a reproduced copy or a microform provided that the copy or microform is authenticated by authorized personnel and that the microform is capable of producing a clear copy throughout the required retention period. The record may also be stored in electronic media with the capability for producing legible, accurate, and complete records during the required retention period. Records such as letters, drawing, specification, must include all pertinent information such as stamps, initials, and signatures etc. The licensee shall maintain adequate safeguards against tampering with and loss of records. | ||||||
| 10:10:1.0.1.1.9.0.73.10 | 10 | Energy | I | 11 | PART 11—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL | § 11.15 Application for special nuclear material access authorization. | NRC | [64 FR 15645, Apr. 1, 1999, as amended at 68 FR 62511, Nov. 5, 2003; 68 FR 65765, Nov. 21, 2003; 68 FR 58800, Oct. 10, 2003; 72 FR 27410, May 16, 2007; 74 FR 62680, Dec. 1, 2009; 77 FR 26152, May 3, 2012; 77 FR 46257, Aug. 3, 2012; 80 FR 74978, Dec. 1, 2015; 86 FR 43401, Aug. 9, 2021; 87 FR 45240, July 28, 2022] | (a)(1) Application for special nuclear material access authorization, renewal, or change in level must be filed by the licensee on behalf of the applicant with the Director, Division of Facilities and Security, Mail Stop T7-D57, either by mail addressed to the U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001; by hand delivery to the NRC's offices at 11555 Rockville Pike, Rockville, Maryland; or, where practicable, by electronic submission, for example, via Electronic Information Exchange, or CD-ROM. Electronic submissions must be made in a manner that enables the NRC to receive, read, authenticate, distribute, and archive the submission, and process and retrieve it a single page at a time. Detailed guidance on making electronic submissions can be obtained by visiting the NRC's Web site at http://www.nrc.gov/site-help/e-submittals.html; by e-mail to MSHD.Resource@nrc.gov; or by writing the Office of the Chief Information Officer, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The guidance discusses, among other topics, the formats the NRC can accept, the use of electronic signatures, and the treatment of nonpublic information. Applications for affected individuals employed on October 28, 1985, shall be submitted within 60 days of notification of Commission approval of the amended security plan. (2) Licensees who wish to secure NRC-U or NRC-R special nuclear material access authorizations for individuals in possession of an active NRC Q or L access authorization or other security clearance granted by another Federal agency based on an equivalent investigation shall submit a “Security Acknowledgment” (NRC Form 176) and a “Request for Access Authorization” (NRC Form 237). NRC will process these requests by verifying the data on an NRC-cleared individual, or by contacting the Federal agency that granted the clearance, requesting certification of the security clearance, and determining the investigative basis and level of the clearance. Licensees may directly request the Federal agency… | ||||||
| 10:10:1.0.1.1.9.0.73.11 | 10 | Energy | I | 11 | PART 11—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL | § 11.16 Cancellation of request for special nuclear material access authorization. | NRC | [64 FR 15647, Apr. 1, 1999, as amended at 87 FR 45241, July 28, 2022] | When a request for an individual's access authorization is withdrawn or canceled, the licensee shall notify the Chief, Personnel Security Branch, NRC Division of Facilities and Security immediately, by telephone, so that the investigation may be discontinued. The caller shall provide the full name and date of birth of the individual, the date of request, and the type of access authorization originally requested (“U” or “R”). The licensee shall promptly submit written confirmation of the telephone notification to the Personnel Security Branch, NRC Division of Facilities and Security. A portion of the fee for the “U” special nuclear material access authorization may be refunded depending upon the status of the Tier 5 investigation at the time of withdrawal or cancellation. | ||||||
| 10:10:1.0.1.1.9.0.73.8 | 10 | Energy | I | 11 | PART 11—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL | § 11.11 General requirements. | NRC | [45 FR 76970, Nov. 21, 1980, as amended at 46 FR 56599, Nov. 18, 1981; 50 FR 39077, Sept. 27, 1985] | (a) Each licensee who uses, processes, stores, transports, or delivers to a carrier for transport, formula quantities of special nuclear material (as defined in part 73 of this chapter) subject to the physical protection requirements of §§ 73.20, 73.25, 73.26, 73.45, and 73.46, and each person subject to the general licensing requirements of § 70.20a, shall identify at its facility or plant (excluding all non-power reactor facilities and storage of fuel incident thereto and facilities and plants in which the licensee possesses or uses only irradiated special nuclear material subject to the exemption of § 73.6(b)), describe, and if not already provided, provide to the Commission, by December 26, 1985 by amendment to its security plan: (1) All jobs in which an individual could steal or divert special nuclear material, or commit sabotage which would endanger the public by exposure to radiation, by working alone or in cooperation with an individual who does not possess an NRC-U special nuclear material access authorization, or by directing or coercing any individual to assist in the theft, diversion, or sabotage. Such jobs include but are not limited to: (i) All positions in the licensee's security force, (ii) Management positions with the authority to: (A) Direct the actions of members of the security force or alter security procedures, or (B) Direct routine movements of special nuclear material, or (C) Direct the routine status of vital equipment. (iii) All jobs which require unescorted access within onsite alarm stations. (iv) All jobs which require unescorted access 2 to special nuclear material or within vital areas. 2 This does not alter the requirement for methods to observe individuals within material access areas as stated in § 73.46(e)(9) of this chapter. (2) All jobs which require unescorted access within protected areas and which do not fall within the criterion of paragraph (a)(1) of this section. (b) After 365 days following Commission approval of the amended security plan submitted in… | ||||||
| 10:10:1.0.1.1.9.0.73.9 | 10 | Energy | I | 11 | PART 11—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL | § 11.13 Special requirements for transportation. | NRC | [50 FR 39078, Sept. 27, 1985, as amended at 53 FR 19245, May 27, 1988] | (a) All individuals who, after 365 days following approval of the amended security plan submitted in accordance with § 11.11(a), transport, arrange for transport, drive motor vehicles in road shipments of special nuclear material, pilot aircraft in air shipments of special nuclear material, act as monitors at transfer points, or escort road, rail, sea, or air shipments of special nuclear material subject to the appropriate physical protection requirements of §§ 73.20, 73.25, 73.26, or 73.27 of this chapter, or who are authorized to alter the scheduling and routing of such transport shall have NRC-U special nuclear material access authorization. Exceptions are provided for: (1) Any individual who is employed in such a job on October 28, 1985 and who is not yet in receipt of an NRC-U special nuclear material access authorization from the Commission, provided that a complete application has been submitted to and is pending before the NRC for processing for that employee in accordance with § 11.15 (a) and (b) or (2) Any individual in possession of an NRC-L or R access authorization or equivalent active Federal security clearance but not yet in receipt of the NRC-U special nuclear material access authorization, provided that a complete application has been submitted to and is pending before the NRC for processing for that employee in accordance with § 11.15 (a) or (b), or both. (b) Each licensee who, 365 days after Commission approval of the amended security plan submitted in accordance with § 11.11(a), transports or delivers to a carrier for transport special nuclear material subject to the physical protection requirement of §§ 73.20, 73.25, 73.26, or 73.27 of this chapter shall confirm and record prior to shipment the name and special nuclear material access authorization number of all individuals identified in paragraph (a) of this section assigned to the shipment. The licensee shall retain this record for three years after the last shipment is made. However, the licensee need not confirm and record the special … | ||||||
| 10:10:1.0.1.1.9.0.74.12 | 10 | Energy | I | 11 | PART 11—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL | § 11.21 Application of the criteria. | NRC | [45 FR 76970, Nov. 21, 1980, as amended at 47 FR 38683, Sept. 2, 1982; 64 FR 15647, Apr. 1, 1999] | (a) The decision to grant or deny special nuclear material access authorization is a comprehensive, common-sense judgment, made after consideration of all the relevant information, favorable or unfavorable, that to grant or deny special nuclear material access authorization is or is not inimical to the common defense and security and is or is not clearly consistent with the national interest. (b) To assist in making these determinations, on the basis of all the information in a particular case, there are set forth in § 10.11 of this chapter a number of specific types of derogatory information. These criteria are not exhaustive but contain the principal types of derogatory information which in the opinion of the Commission create a question as to the individual's eligibility for special nuclear material access authorization. These criteria are subject to continuing review and may be revised from time to time as experience and circumstances may make desirable. (c) When the reports of an investigation of an individual contain information reasonably falling within one or more of the classes of derogatory information listed in § 10.11, it creates a question as to the individual's eligibility for special nuclear material access authorization. In these cases, the application of the criteria must be made in light of and with specific regard to whether the existence of the information supports a reasonable belief that the granting of a special nuclear material access authorization would be inimical to the common defense and security. The Director, Division of Facilities and Security, may authorize the granting of a special nuclear material access authorization on the basis of the information in the case or may authorize the conduct of an interview with the individual and, on the basis of the interview and other investigation as the Director deems appropriate, may authorize the granting of a special nuclear material access authorization. Otherwise, a question concerning the eligibility of an individual for a special nucl… | ||||||
| 10:10:1.0.1.1.9.0.75.13 | 10 | Energy | I | 11 | PART 11—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL | § 11.30 Violations. | NRC | [57 FR 55070, Nov. 24, 1992] | (a) The Commission may obtain an injunction or other court order to prevent a violation of the provisions of— (1) The Atomic Energy Act of 1954, as amended; (2) Title II of the Energy Reorganization Act of 1974, as amended; or (3) A regulation or order issued pursuant to those Acts. (b) The Commission may obtain a court order for the payment of a civil penalty imposed under section 234 of the Atomic Energy Act: (1) For violations of— (i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of the Atomic Energy Act of 1954, as amended; (ii) Section 206 of the Energy Reorganization Act; (iii) Any rule, regulation, or order issued pursuant to the sections specified in paragraph (b)(1)(i) of this section; (iv) Any term, condition, or limitation of any license issued under the sections specified in paragraph (b)(1)(i) of this section. (2) For any violation for which a license may be revoked under section 186 of the Atomic Energy Act of 1954, as amended. | ||||||
| 10:10:1.0.1.1.9.0.75.14 | 10 | Energy | I | 11 | PART 11—CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL | § 11.32 Criminal penalties. | NRC | [57 FR 55070, Nov. 24, 1992] | (a) Section 223 of the Atomic Energy Act of 1954, as amended, provides for criminal sanctions for willful violation of, attempted violation of, or conspiracy to violate, any regulation issued under sections 161b, 161i, or 161o of the Act. For purposes of section 223, all regulations in part 11 are issued under one or more of sections 161b, 161i, or 161o, except for the sections listed in paragraph (b) of this section. (b) The regulations in part 11 that are not issued under sections 161b, 161i, or 161o for the purposes of section 223 are as follows: §§ 11.1, 11.3, 11.5, 11.7, 11.8, 11.9, 11.16, 11.21, 11.30, and 11.32. | ||||||
| 14:14:1.0.1.2.4.1.10.29 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.61 May I ask FAA to adopt, amend, or repeal a regulation, or grant relief from the requirements of a current regulation? | FAA | (a) Using a petition for rulemaking, you may ask FAA to add a new regulation to title 14 of the Code of Federal Regulations (14 CFR) or ask FAA to amend or repeal a current regulation in 14 CFR. (b) Using a petition for exemption, you may ask FAA to grant you relief from current regulations in 14 CFR. | ||||
| 14:14:1.0.1.2.4.1.10.30 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.63 How and to whom do I submit my petition for rulemaking or petition for exemption? | FAA | [Amdt. 11-50, 69 FR 22386, Apr. 26, 2004, as amended at 72 FR 68474, Dec. 5, 2007; Amdt. 11-55, 74 FR 202, Jan. 5, 2009; FAA-2016-6761, Amdt. No. 11-62, 83 FR 28534, June 20, 2016] | (a) To submit a petition for rulemaking or exemption— (1) By electronic submission, submit your petition for rulemaking or exemption to the FAA through the internet at http://www.regulations.gov, the Federal Docket Management System website. For additional instructions, you may visit http://www.faa.gov, and navigate to the Rulemaking home page. (2) By paper submission, send the original signed copy of your petition for rulemaking or exemption to this address: U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590. (b) Submit a petition for rulemaking or exemption from part 139 of this chapter— (1) To the appropriate FAA airport field office in whose area your airport is, or will be, established; and (2) To the U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590 or by electronic submission to this Internet address: http://www.regulations.gov. (c) The FAA may designate other means by which you can submit petitions in the future. (d) Submit your petition for exemption 120 days before you need the exemption to take effect. | |||
| 14:14:1.0.1.2.4.1.10.31 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.71 What information must I include in my petition for rulemaking? | FAA | (a) You must include the following information in your petition for rulemaking: (1) Your name and mailing address and, if you wish, other contact information such as a fax number, telephone number, or e-mail address. (2) An explanation of your proposed action and its purpose. (3) The language you propose for a new or amended rule, or the language you would remove from a current rule. (4) An explanation of why your proposed action would be in the public interest. (5) Information and arguments that support your proposed action, including relevant technical and scientific data available to you. (6) Any specific facts or circumstances that support or demonstrate the need for the action you propose. (b) In the process of considering your petition, we may ask that you provide information or data available to you about the following: (1) The costs and benefits of your proposed action to society in general, and identifiable groups within society in particular. (2) The regulatory burden of your proposed action on small businesses, small organizations, small governmental jurisdictions, and Indian tribes. (3) The recordkeeping and reporting burdens of your proposed action and whom the burdens would affect. (4) The effect of your proposed action on the quality of the natural and social environments. | ||||
| 14:14:1.0.1.2.4.1.10.32 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.73 How does FAA process petitions for rulemaking? | FAA | After we have determined the disposition of your petition, we will contact you in writing about our decision. The FAA may respond to your petition for rulemaking in one of the following ways: (a) If we determine that your petition justifies our taking the action you suggest, we may issue an NPRM or ANPRM. We will do so no later than 6 months after the date we receive your petition. In making our decision, we consider: (1) The immediacy of the safety or security concerns you raise; (2) The priority of other issues the FAA must deal with; and (3) The resources we have available to address these issues. (b) If we have issued an ANPRM or NPRM on the subject matter of your petition, we will consider your arguments for a rule change as a comment in connection with the rulemaking proceeding. We will not treat your petition as a separate action. (c) If we have begun a rulemaking project in the subject area of your petition, we will consider your comments and arguments for a rule change as part of that project. We will not treat your petition as a separate action. (d) If we have tasked ARAC to study the general subject area of your petition, we will ask ARAC to review and evaluate your proposed action. We will not treat your petition as a separate action. (e) If we determine that the issues you identify in your petition may have merit, but do not address an immediate safety concern or cannot be addressed because of other priorities and resource constraints, we may dismiss your petition. Your comments and arguments for a rule change will be placed in a database, which we will examine when we consider future rulemaking. | ||||
| 14:14:1.0.1.2.4.1.10.33 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.75 Does FAA invite public comment on petitions for rulemaking? | FAA | Generally, FAA does not invite public comment on petitions for rulemaking. | ||||
| 14:14:1.0.1.2.4.1.10.34 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.77 Is there any additional information I must include in my petition for designating airspace? | FAA | In petitions asking FAA to establish, amend, or repeal a designation of airspace, including special use airspace, you must include all the information specified by § 11.71 and also: (a) The location and a description of the airspace you want assigned or designated; (b) A complete description of the activity or use to be made of that airspace, including a detailed description of the type, volume, duration, time, and place of the operations to be conducted in the area; (c) A description of the air navigation, air traffic control, surveillance, and communication facilities available and to be provided if we grant the designation; and (d) The name and location of the agency, office, facility, or person who would have authority to permit the use of the airspace when it was not in use for the purpose to which you want it assigned. | ||||
| 14:14:1.0.1.2.4.1.10.35 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.81 What information must I include in my petition for an exemption? | FAA | You must include the following information in your petition for an exemption and submit it to FAA as soon as you know you need an exemption. (a) Your name and mailing address and, if you wish, other contact information such as a fax number, telephone number, or e-mail address; (b) The specific section or sections of 14 CFR from which you seek an exemption; (c) The extent of relief you seek, and the reason you seek the relief; (d) The reasons why granting your request would be in the public interest; that is, how it would benefit the public as a whole; (e) The reasons why granting the exemption would not adversely affect safety, or how the exemption would provide a level of safety at least equal to that provided by the rule from which you seek the exemption; (f) A summary we can publish in the Federal Register, stating: (1) The rule from which you seek the exemption; and (2) A brief description of the nature of the exemption you seek; (g) Any additional information, views or arguments available to support your request; and (h) If you want to exercise the privileges of your exemption outside the United States, the reason why you need to do so. | ||||
| 14:14:1.0.1.2.4.1.10.36 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.83 How can I operate under an exemption outside the United States? | FAA | If you want to be able to operate under your exemption outside the United States, you must request this when you petition for relief and give us the reason for this use. If you do not provide your reason or we determine that it does not justify this relief, we will limit your exemption to use within the United States. Before we extend your exemption for use outside the United States, we will verify that the exemption would be in compliance with the Standards of the International Civil Aviation Organization (ICAO). If it would not, but we still believe it would be in the public interest to allow you to do so, we will file a difference with ICAO. However, a foreign country still may not allow you to operate in that country without meeting the ICAO standard. | ||||
| 14:14:1.0.1.2.4.1.10.37 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.85 Does FAA invite public comment on petitions for exemption? | FAA | Yes, FAA publishes information about petitions for exemption in the Federal Register. The information includes— (a) The docket number of the petition; (b) The citation to the rule or rules from which the petitioner requested relief; (c) The name of the petitioner; (d) The petitioner's summary of the action requested and the reasons for requesting it; and (e) A request for comments to assist FAA in evaluating the petition. | ||||
| 14:14:1.0.1.2.4.1.10.38 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.87 Are there circumstances in which FAA may decide not to publish a summary of my petition for exemption? | FAA | The FAA may not publish a summary of your petition for exemption and request comments if you present or we find good cause why we should not delay action on your petition. The factors we consider in deciding not to request comment include: (a) Whether granting your petition would set a precedent. (b) Whether the relief requested is identical to exemptions granted previously. (c) Whether our delaying action on your petition would affect you adversely. (d) Whether you filed your petition in a timely manner. | ||||
| 14:14:1.0.1.2.4.1.10.39 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.89 How much time do I have to submit comments to FAA on a petition for exemption? | FAA | The FAA states the specific time allowed for comments in the Federal Register notice about the petition. We usually allow 20 days to comment on a petition for exemption. | ||||
| 14:14:1.0.1.2.4.1.10.40 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.91 How does FAA inform me of its decision on my petition for exemption? | FAA | [Doc. No. FAA-2005-22982, 71 FR 1485, Jan. 10, 2006] | The FAA will notify you in writing about its decision on your petition. A copy of this decision is also placed in the public docket. We will include the docket number associated with your petition in our letter to you. | |||
| 14:14:1.0.1.2.4.1.10.41 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.101 May I ask FAA to reconsider my petition for rulemaking or petition for exemption if it is denied? | FAA | Yes, you may petition FAA to reconsider your petition denial. You must submit your request to the address to which you sent your original petition, and FAA must receive it within 60 days after we issued the denial. For us to accept your petition, show the following: (a) That you have a significant additional fact and why you did not present it in your original petition; (b) That we made an important factual error in our denial of your original petition; or (c) That we did not correctly interpret a law, regulation, or precedent. | ||||
| 14:14:1.0.1.2.4.1.10.42 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.103 What exemption relief may be available to federal, state, and local governments when operating aircraft that are not public aircraft? | FAA | [68 FR 25488, May 13, 2003] | The Federal Aviation Administration may grant a federal, state, or local government an exemption from part A of subtitle VII of title 49 United States Code, and any regulation issued under that authority that is applicable to an aircraft as a result of the Independent Safety Board Act Amendments of 1994, Public Law 103-411, if— (a) The Administrator finds that granting the exemption is necessary to prevent an undue economic burden on the unit of government; and (b) The Administrator certifies that the aviation safety program of the unit of government is effective and appropriate to ensure safe operations of the type of aircraft operated by the unit of government. | |||
| 14:14:1.0.1.2.4.1.6.1 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.1 To what does this part apply? | FAA | This part applies to the issuance, amendment, and repeal of any regulation for which FAA (“we”) follows public rulemaking procedures under the Administrative Procedure Act (“APA”) (5 U.S.C. 553). | ||||
| 14:14:1.0.1.2.4.1.6.10 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.19 What is a special condition? | FAA | A special condition is a regulation that applies to a particular aircraft design. The FAA issues special conditions when we find that the airworthiness regulations for an aircraft, aircraft engine, or propeller design do not contain adequate or appropriate safety standards, because of a novel or unusual design feature. | ||||
| 14:14:1.0.1.2.4.1.6.2 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.3 What is an advance notice of proposed rulemaking? | FAA | An advance notice of proposed rulemaking (ANPRM) tells the public that FAA is considering an area for rulemaking and requests written comments on the appropriate scope of the rulemaking or on specific topics. An advance notice of proposed rulemaking may or may not include the text of potential changes to a regulation. | ||||
| 14:14:1.0.1.2.4.1.6.3 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.5 What is a notice of proposed rulemaking? | FAA | A notice of proposed rulemaking (NPRM) proposes FAA's specific regulatory changes for public comment and contains supporting information. It includes proposed regulatory text. | ||||
| 14:14:1.0.1.2.4.1.6.4 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.7 What is a supplemental notice of proposed rulemaking? | FAA | On occasion, FAA may decide that it needs more information on an issue, or that we should take a different approach than we proposed. Also, we may want to follow a commenter's suggestion that goes beyond the scope of the original proposed rule. In these cases, FAA may issue a supplemental notice of proposed rulemaking (SNPRM) to give the public an opportunity to comment further or to give us more information. | ||||
| 14:14:1.0.1.2.4.1.6.5 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.9 What is a final rule? | FAA | A final rule sets out new or revised requirements and their effective date. It also may remove requirements. When preceded by an NPRM, a final rule will also identify significant substantive issues raised by commenters in response to the NPRM and will give the agency's response. | ||||
| 14:14:1.0.1.2.4.1.6.6 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.11 What is a final rule with request for comments? | FAA | A final rule with request for comment is a rule that the FAA issues in final (with an effective date) that invites public comment on the rule. We usually do this when we have not first issued an ANPRM or NPRM, because we have found that doing so would be impracticable, unnecessary, or contrary to the public interest. We give our reasons for our determination in the preamble. The comment period often ends after the effective date of the rule. A final rule not preceded by an ANPRM or NPRM is commonly called an “immediately adopted final rule.” We invite comments on these rules only if we think that we will receive useful information. For example, we would not invite comments when we are just making an editorial clarification or correction. | ||||
| 14:14:1.0.1.2.4.1.6.7 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.13 What is a direct final rule? | FAA | [Docket No. FAA-1999-6622, 65 FR 50863, Aug. 21, 2000, as amended at 84 FR 71717, Dec. 27, 2019] | A direct final rule is a type of final rule with request for comments. Our reason for issuing a direct final rule without an NPRM is that we would not expect to receive any adverse comments, and so an NPRM is unnecessary. However, to be certain that we are correct, we set the comment period to end before the effective date. If we receive an adverse comment, we will either publish a document withdrawing the direct final rule before it becomes effective and may issue an NPRM, or proceed by any other means permitted under the Administrative Procedure Act, 5 U.S.C. 551 et seq., consistent with procedures at 49 CFR 5.13(l). | |||
| 14:14:1.0.1.2.4.1.6.8 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.15 What is a petition for exemption? | FAA | [FAA-2016-6761, Amdt. No. 11-62, 83 FR 28534, June 20, 2016] | A petition for exemption is a request to the FAA by an individual or entity asking for relief from the requirements of a current regulation. For petitions for waiver of commercial space transportation regulations, see part 404 of this title. | |||
| 14:14:1.0.1.2.4.1.6.9 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.17 What is a petition for rulemaking? | FAA | A petition for rulemaking is a request to FAA by an individual or entity asking the FAA to adopt, amend, or repeal a regulation. | ||||
| 14:14:1.0.1.2.4.1.7.11 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.21 What are the most common kinds of rulemaking actions for which FAA follows the Administrative Procedure Act? | FAA | FAA follows the Administrative Procedure Act (APA) procedures for these common types of rules: (a) Rules found in the Code of Federal Regulations; (b) Airworthiness directives issued under part 39 of this chapter; and (c) Airspace Designations issued under various parts of this chapter. | ||||
| 14:14:1.0.1.2.4.1.7.12 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.23 Does FAA follow the same procedures in issuing all types of rules? | FAA | Yes, in general, FAA follows the same procedures for all rule types. There are some differences as to which FAA official has authority to issue each type, and where you send petitions for FAA to adopt, amend, or repeal each type. Assume that the procedures in this subpart apply to all rules, except where we specify otherwise. | ||||
| 14:14:1.0.1.2.4.1.7.13 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.25 How does FAA issue rules? | FAA | [Doc. No. 1999-6622, 65 FR 50863, Aug. 21, 2000, as amended at 72 FR 68474, Dec. 5, 2007] | (a) The FAA uses APA rulemaking procedures to adopt, amend, or repeal regulations. To propose or adopt a new regulation, or to change a current regulation, FAA will issue one or more of the following documents. We publish these rulemaking documents in the Federal Register unless we name and personally serve a copy of a rule on every person subject to it. We also make all documents available to the public by posting them in the Federal Docket Management System at http://www.regulations.gov. (1) An advance notice of proposed rulemaking (ANPRM). (2) A notice of proposed rulemaking (NPRM). (3) A supplemental notice of proposed rulemaking (SNPRM). (4) A final rule. (5) A final rule with request for comments. (6) A direct final rule. (b) Each of the rulemaking documents in paragraph (a) of this section generally contains the following information: (1) The topic involved in the rulemaking document. (2) FAA's legal authority for issuing the rulemaking document. (3) How interested persons may participate in the rulemaking proceeding (for example, by filing written comments or making oral presentations at a public meeting). (4) Whom to call if you have questions about the rulemaking document. (5) The date, time, and place of any public meetings FAA will hold to discuss the rulemaking document. (6) The docket number and regulation identifier number (RIN) for the rulemaking proceeding. | |||
| 14:14:1.0.1.2.4.1.7.14 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.27 Are there other ways FAA collects specific rulemaking recommendations before we issue an NPRM? | FAA | Yes, the FAA obtains advice and recommendations from rulemaking advisory committees. One of these committees is the Aviation Rulemaking Advisory Committee (ARAC), which is a formal standing committee comprised of representatives of aviation associations and industry, consumer groups, and interested individuals. In conducting its activities, ARAC complies with the Federal Advisory Committee Act and the direction of FAA. We task ARAC with providing us with recommended rulemaking actions dealing with specific areas and problems. If we accept an ARAC recommendation to change an FAA rule, we ordinarily publish an NPRM using the procedures in this part. The FAA may establish other rulemaking advisory committees as needed to focus on specific issues for a limited period of time. | ||||
| 14:14:1.0.1.2.4.1.7.15 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.29 May FAA change its regulations without first issuing an ANPRM or NPRM? | FAA | The FAA normally adds or changes a regulation by issuing a final rule after an NPRM. However, FAA may adopt, amend, or repeal regulations without first issuing an ANPRM or NPRM in the following situations: (a) We may issue a final rule without first requesting public comment if, for good cause, we find that an NPRM is impracticable, unnecessary, or contrary to the public interest. We place that finding and a brief statement of the reasons for it in the final rule. For example, we may issue a final rule in response to a safety emergency. (b) If an NPRM would be unnecessary because we do not expect to receive adverse comment, we may issue a direct final rule. | ||||
| 14:14:1.0.1.2.4.1.7.16 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.31 How does FAA process direct final rules? | FAA | [Docket No. FAA-1999-6622, 65 FR 50863, Aug. 21, 2000, as amended at 84 FR 71717, Dec. 27, 2019] | (a) A direct final rule will take effect on a specified date unless FAA receives an adverse comment within the comment period—generally 60 days after the direct final rule is published in the Federal Register. An adverse comment explains why a rule would be inappropriate, or would be ineffective or unacceptable without a change. It may challenge the rule's underlying premise or approach. Under the direct final rule process, we do not consider the following types of comments to be adverse: (1) A comment recommending another rule change, in addition to the change in the direct final rule at issue. We consider the comment adverse, however, if the commenter states why the direct final rule would be ineffective without the change. (2) A frivolous or insubstantial comment. (b) If FAA has not received an adverse comment, we will publish a confirmation document in the Federal Register, generally within 15 days after the comment period closes. The confirmation document tells the public the effective date of the rule. (c) If we receive an adverse comment, we will advise the public by publishing a document in the Federal Register before the effective date of the direct final rule. This document may withdraw the direct final rule in whole or in part. If we withdraw a direct final rule because of an adverse comment, we may incorporate the commenter's recommendation into another direct final rule or may publish a notice of proposed rulemaking. | |||
| 14:14:1.0.1.2.4.1.7.17 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.33 How can I track FAA's rulemaking activities? | FAA | [Doc. No. 1999-6622, 65 FR 50863, Aug. 21, 2000, as amended at 72 FR 68474, Dec. 5, 2007] | The best ways to track FAA's rulemaking activities are with the docket number or the regulation identifier number. (a) Docket ID. We assign a docket ID to each rulemaking document proceeding. Each rulemaking document FAA issues in a particular rulemaking proceeding, as well as public comments on the proceeding, will display the same docket ID. This ID allows you to search the Federal Docket Management System (FDMS) for information on most rulemaking proceedings. You can view and copy docket materials during regular business hours at the U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590. Or you can view and download docketed materials through the Internet at http://www.regulations.gov. If you can't find the material in the electronic docket, contact the person listed under FOR FURTHER INFORMATION CONTACT in the document you are interested in. (b) Regulation identifier number. DOT publishes a semiannual agenda of all current and projected DOT rulemakings, reviews of existing regulations, and completed actions. This semiannual agenda appears in the Unified Agenda of Federal Regulations, published in the Federal Register in April and October of each year. The semiannual agenda tells the public about DOT's—including FAA's—regulatory activities. DOT assigns a regulation identifier number (RIN) to each individual rulemaking proceeding in the semiannual agenda. This number appears on all rulemaking documents published in the Federal Register and makes it easy for you to track those rulemaking proceedings in both the Federal Register and the semiannual regulatory agenda. | |||
| 14:14:1.0.1.2.4.1.7.18 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.35 Does FAA include sensitive security information and proprietary information in the Federal Docket Management System (FDMS)? | FAA | [Doc. No. 1999-6622, 65 FR 50863, Aug. 21, 2000, as amended at 72 FR 68474, Dec. 5, 2007] | (a) Sensitive security information. You should not submit sensitive security information to the rulemaking docket, unless you are invited to do so in our request for comments. If we ask for this information, we will tell you in the specific document how to submit this information, and we will provide a separate non-public docket for it. For all proposed rule changes involving civil aviation security, we review comments as we receive them, before they are placed in the docket. If we find that a comment contains sensitive security information, we remove that information before placing the comment in the general docket. (b) Proprietary information. When we are aware of proprietary information filed with a comment, we do not place it in the docket. We hold it in a separate file to which the public does not have access, and place a note in the docket that we have received it. If we receive a request to examine or copy this information, we treat it as any other request under the Freedom of Information Act (5 U.S.C. 552). We process such a request under the DOT procedures found in 49 CFR part 7. | |||
| 14:14:1.0.1.2.4.1.7.19 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.37 Where can I find information about an Airworthiness Directive, an airspace designation, or a petition handled in a region? | FAA | The FAA includes most documents concerning Airworthiness Directives, airspace designations, or petitions handled in a region in the electronic docket. If the information isn't in the docket, contact the person listed under FOR FURTHER INFORMATION CONTACT in the Federal Register document about the action. | ||||
| 14:14:1.0.1.2.4.1.7.20 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.38 What public comment procedures does the FAA follow for Special Conditions? | FAA | Even though the Administrative Procedure Act does not require notice and comment for rules of particular applicability, FAA does publish proposed special conditions for comment. In the following circumstances we may not invite comment before we issue a special condition. If we don't, we will invite comment when we publish the final special condition. (a) The FAA considers prior notice to be impracticable if issuing a design approval would significantly delay delivery of the affected aircraft. We consider such a delay to be contrary to the public interest. (b) The FAA considers prior notice to be unnecessary if we have provided previous opportunities to comment on substantially identical proposed special conditions, and we are satisfied that new comments are unlikely. | ||||
| 14:14:1.0.1.2.4.1.7.21 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.39 How may I participate in FAA's rulemaking process? | FAA | You may participate in FAA's rulemaking process by doing any of the following: (a) File written comments on any rulemaking document that asks for comments, including an ANPRM, NPRM, SNPRM, a final rule with request for comments, or a direct final rule. Follow the directions for commenting found in each rulemaking document. (b) Ask that we hold a public meeting on any rulemaking, and participate in any public meeting that we hold. (c) File a petition for rulemaking that asks us to adopt, amend, or repeal a regulation. | ||||
| 14:14:1.0.1.2.4.1.7.22 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.40 Can I get more information about a rulemaking? | FAA | [Docket No. FAA-1999-6622, 65 FR 50863, Aug. 21, 2000, as amended at 84 FR 71717, Dec. 27, 2019] | You can contact the person listed under FOR FURTHER INFORMATION CONTACT in the preamble of a rule. That person can explain the meaning and intent of a proposed rule, the technical aspects of a document, the terminology in a document, and can tell you our published schedule for the rulemaking process. We cannot give you information that is not already available to other members of the public. The Department of Transportation policy regarding public contacts during rulemaking appears at 49 CFR 5.19. | |||
| 14:14:1.0.1.2.4.1.8.23 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.41 Who may file comments? | FAA | Anyone may file written comments about proposals and final rules that request public comments. | ||||
| 14:14:1.0.1.2.4.1.8.24 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.43 What information must I put in my written comments? | FAA | (a) Your written comments must be in English and must contain the following: (1) The docket number of the rulemaking document you are commenting on, clearly set out at the beginning of your comments. (2) Your name and mailing address, and, if you wish, other contact information, such as a fax number, telephone number, or e-mail address. (3) Your information, views, or arguments, following the instructions for participation in the rulemaking document on which you are commenting. (b) You should also include all material relevant to any statement of fact or argument in your comments, to the extent that the material is available to you and reasonable for you to submit. Include a copy of the title page of the document. Whether or not you submit a copy of the material to which you refer, you should indicate specific places in the material that support your position. | ||||
| 14:14:1.0.1.2.4.1.8.25 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.45 Where and when do I file my comments? | FAA | [Doc. No. 1999-6622, 65 FR 50863, Aug. 21, 2000, as amended at 72 FR 68474, Dec. 5, 2007] | (a) Send your comments to the location specified in the rulemaking document on which you are commenting. If you are asked to send your comments to the Federal Document Management System, you may send them in either of the following ways: (1) By mail to: U.S. Department of Transportation, Docket Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590. (2) Through the Internet to http://www.regulations.gov. (3) In any other manner designated by FAA. (b) Make sure that your comments reach us by the deadline set out in the rulemaking document on which you are commenting. We will consider late-filed comments to the extent possible only if they do not significantly delay the rulemaking process. (c) We may reject your paper or electronic comments if they are frivolous, abusive, or repetitious. We may reject comments you file electronically if you do not follow the electronic filing instructions at the Federal Docket Management System Web site. | |||
| 14:14:1.0.1.2.4.1.8.26 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.47 May I ask for more time to file my comments? | FAA | Yes, if FAA grants your request for more time to file comments, we grant all persons the same amount of time. We will notify the public of the extension by a document in the Federal Register. If FAA denies your request, we will notify you of the denial. To ask for more time, you must file a written or electronic request for extension at least 10 days before the end of the comment period. Your letter or message must— (a) Show the docket number of the rule at the top of the first page; (b) State, at the beginning, that you are requesting an extension of the comment period; (c) Show that you have good cause for the extension and that an extension is in the public interest; (d) Be sent to the address specified for comments in the rulemaking document on which you are commenting. | ||||
| 14:14:1.0.1.2.4.1.9.27 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.51 May I request that FAA hold a public meeting on a rulemaking action? | FAA | Yes, you may request that we hold a public meeting. FAA holds a public meeting when we need more than written comments to make a fully informed decision. Submit your written request to the address specified in the rulemaking document on which you are commenting. Specify at the top of your letter or message that you are requesting that the agency hold a public meeting. Submit your request no later than 30 days after our rulemaking notice. If we find good cause for a meeting, we will notify you and publish a notice of the meeting in the Federal Register. | ||||
| 14:14:1.0.1.2.4.1.9.28 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | A | Subpart A—Rulemaking Procedures | § 11.53 What takes place at a public meeting? | FAA | A public meeting is a non-adversarial, fact-finding proceeding conducted by an FAA representative. Public meetings are announced in the Federal Register. We invite interested persons to attend and to present their views to the agency on specific issues. There are no formal pleadings and no adverse parties, and any regulation issued afterward is not necessarily based exclusively on the record of the meeting. | ||||
| 14:14:1.0.1.2.4.2.11.1 | 14 | Aeronautics and Space | I | B | 11 | PART 11—GENERAL RULEMAKING PROCEDURES | B | Subpart B—Paperwork Reduction Act Control Numbers | § 11.201 Office of Management and Budget (OMB) control numbers assigned under the Paperwork Reduction Act. | FAA | [Doc. No. 1999-6622, 65 FR 50863, Aug. 21, 2000, as amended by Amdt. 11-47, 67 FR 9553, Mar. 1, 2002; Amdt. 11-49, 68 FR 61321, Oct. 27, 2003; Amdt. 11-49, 68 FR 70132, Dec. 17, 2003; 70 FR 40163, July 12, 2005; 71 FR 63426, Oct. 30, 2006; 72 FR 59599, Oct. 22, 2007; Amdt. 11-56, 79 FR 12937, Mar. 7, 2014; Amdt. 11-57, 80 FR 58586, Sept. 30, 2015; Doc. FAA-2015-7396, Amdt. 11-58, 80 FR 79255, Dec. 21, 2015; Doc. FAA-2011-1136, Amdt. 11-59, 81 FR 13969, Mar. 16, 2016; Doc. FAA-2014-0554, Amdt. 11-60, 81 FR 33117, May 24, 2016; 81 FR 38573, June 14, 2016; Doc. FAA-2016-9064, Amdt. 11-61, 81 FR 59129, Aug. 29, 2016; FAA-2018-1087, Amdt. 11-64, 86 FR 4381, Jan. 15, 2021; Docket No. FAA-2019-1100, Amdt. 11-63, 86 FR 4503, Jan. 15, 2021; FAA-2020-0246, Amdt. 11-65, 86 FR 31060, June 10, 2021; FAA-2018-1051, Amdt. 13-40A, 87 FR 61233, Oct. 11, 2022; FAA-2023-2250, Amdt. 11-66, 89 FR 67849, Aug. 22, 2024; FAA-2023-0825; Amdt. No. 11-67, 89 FR 80049, Oct. 1, 2024; FAA-2023-1351; Amdt. No. 11-68, 89 FR 80339, Oct. 2, 2024; FAA-2024-2580; Amdt. No. 11-70, 89 FR 90577, Nov. 18, 2024; 90 FR 215, Jan. 3, 2025; FAA-2023-1275, Amdt. No. 11-69, 89 FR 92483, Nov. 21, 2024] | (a) The Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) requires FAA to get approval from OMB for our information collection activities, and to list a record of those approvals in the Federal Register. This subpart lists the control numbers OMB assigned to FAA's information collection activities. (b) The table listing OMB control numbers assigned to FAA's information collection activities follows: | |||
| 15:15:1.1.1.1.16.0.1.1 | 15 | Commerce and Foreign Trade | 11 | PART 11—UNIFORM RELOCATION ASSISTANCE AND REAL PROPERTY ACQUISITION FOR FEDERAL AND FEDERALLY ASSISTED PROGRAMS | § 11.1 Uniform relocation and real property acquisition. | DOC | [52 FR 48018, Dec. 17, 1987 and 54 FR 8912, 8913, Mar. 2, 1989] | Regulations and procedures for complying with the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (Pub. L. 91-646, 84 Stat. 1894, 42 U.S.C. 4601), as amended by the Surface Transportation and Uniform Relocation Assistance Act of 1987 (Title IV of Pub. L. 100-17, 101 Stat. 246-255, 42 U.S.C. 4601 note) are set forth in 49 CFR Part 24. | |||||||
| 17:17:1.0.1.1.10.0.7.1 | 17 | Commodity and Securities Exchanges | I | 11 | PART 11—RULES RELATING TO INVESTIGATIONS | § 11.1 Scope and applicability of rules. | CFTC | [63 FR 5233, Feb. 2, 1998] | The rules of this part apply to investigatory proceedings conducted by the Commission or its staff pursuant to sections 6(c) and 8 and 12(f) of the Commodity Exchange Act, as amended, 7 U.S.C. 9 and 15 and 12 and 16(f) (Supp. IV, 1974), to determine whether there have been violations of that Act, or the rules, regulations or orders adopted thereunder, or, in accordance with the provisions of section 12(f) of the Act, whether there have been violations of the laws, rules or regulations relating to futures or options matters administered or enforced by a foreign futures authority, or whether an application for designation or registration under the Act should be denied. Except as otherwise specified herein, the rules will apply to the conduct of investigation whether or not the Commission has authorized the use of subpoenas in the particular matter to compel the production of evidence. | ||||||
| 17:17:1.0.1.1.10.0.7.2 | 17 | Commodity and Securities Exchanges | I | 11 | PART 11—RULES RELATING TO INVESTIGATIONS | § 11.2 Authority to conduct investigations. | CFTC | [41 FR 29799, July 19, 1976, as amended at 43 FR 55348, Nov. 28, 1978; 60 FR 54802, Oct. 26, 1995; 61 FR 1709, Jan. 23, 1996; 62 FR 17702, Apr. 11, 1997; 63 FR 5233, Feb. 2, 1998; 67 FR 62352, Oct. 7, 2002; 78 FR 22419, Apr. 16, 2013; 82 FR 28767, June 26, 2017; 89 FR 71808, Sept. 4, 2024] | (a) The Director of the Division of Enforcement and members of the Commission staff acting pursuant to his authority and under his direction may conduct such investigations as he deems appropriate to determine whether any persons have violated, are violating, or are about to violate the provisions of the Commodity Exchange Act, as amended, or the rules, regulations or orders adopted by the Commission pursuant to that Act, or, in accordance with the provisions of section 12(f) of the Act, whether any persons have violated, are violating or are about to violate the laws, rules or regulations relating to futures or options matters administered or enforced by a foreign futures authority, or whether an applicant for registration or designation meets the requisite statutory criteria. For this purpose, the Director may obtain evidence through voluntary statements and submissions, through exercise of inspection powers over boards of trade, reporting traders, and persons required by law to register with the Commission, or when authorized by order of the Commission, through the issuance of subpoenas. The Director shall report to the Commission the results of his investigations and recommend to the Commission such enforcement action as he deems appropriate. (b) The Commission hereby delegates, until the Commission orders otherwise, to its Regional Directors and to the Director, the Deputy Directors, the Program Coordinator, the Chief Counsel, the Associate Directors, and the Deputy Regional Counsel of the Division of Enforcement the authority to grant to any employee of the Division of Enforcement all or a portion of the authority which the Commission, by order, has authorized specified employees of the Commission to perform in connection with a Commission investigation conducted by the Division of Enforcement. With the approval of the Executive Director, the Director of the Division of Enforcement may also grant such authority to any Commission employee under the direction of the Executive Director. | ||||||
| 17:17:1.0.1.1.10.0.7.3 | 17 | Commodity and Securities Exchanges | I | 11 | PART 11—RULES RELATING TO INVESTIGATIONS | § 11.3 Confidentiality of investigations. | CFTC | All information and documents obtained during the course of an investigation, whether or not obtained pursuant to subpoena, and all investigative proceedings shall be treated as non-public by the Commission and its staff except to the extent that (a) the Commission directs or authorizes the public disclosure of the investigation; (b) the information or documents are made a matter of public record during the course of an adjudicatory proceeding; or (c) disclosure is required by the Freedom of Information Act, 5 U.S.C. 552, and the rules adopted by the Commission thereunder, 17 CFR part 145. Procedures by which persons submitting information to the Commission during the course of an investigation may specifically seek confidential treatment of information for purposes of Freedom of Information Act disclosure are set forth in 17 CFR 145.9. A request for confidential treatment of information for purposes of the Freedom of Information Act shall not, however, prevent disclosure for law enforcement purposes or when disclosure is otherwise found appropriate in the public interest and permitted by law. | |||||||
| 17:17:1.0.1.1.10.0.7.4 | 17 | Commodity and Securities Exchanges | I | 11 | PART 11—RULES RELATING TO INVESTIGATIONS | § 11.4 Subpoenas. | CFTC | [41 FR 29799, July 19, 1976, as amended at 67 FR 37322, May 29, 2002] | (a) Issuance of subpoenas. The Commission or any member of the Commission or of its staff who, by order of the Commission, has been authorized to issue subpoenas in the course of a particular investigation may issue a subpoena directing the person named therein to appear before a designated person at a specified time and place to testify or to produce documentary evidence, or both, relating to any matter under investigation. (b) Authorization to issue subpoenas. An order of the Commission authorizing one or more members of the Commission or of its staff to issue subpoenas in the course of a particular investigation shall include: (1) A general description of the scope of the investigation; (2) The authority under which the investigation is being conducted; and (3) A designation of the members of the Commission or of its staff authorized by the Commission to issue subpoenas. (c) Service. Service of subpoenas issued for investigative purposes shall be effected in the following manner: (1) Service upon a natural person. Delivery of a copy of a subpoena to a natural person may be effected by (i) Handing it to the person; (ii) Leaving it at his office with the person in charge thereof or, if there is no one in charge, by leaving it in a conspicuous place therein; (iii) Leaving it at his dwelling place or usual place of abode with some person of suitable age and discretion then residing therein; (iv) Mailing it by registered or certified mail to him at his last known address; or (v) Any other method whereby actual notice is given to him. (2) Service upon other persons. When the person to be served is not a natural person, delivery of a copy of the subpoena may be effected by (i) handing it to a registered agent for service, or to any officer, director, or agent in charge of any office of such person; (ii) mailing it by registered or certified mail to any such representative at his last known address; or (iii) any other method whereby actual notice is given to any such representative. (d) Witness… | ||||||
| 17:17:1.0.1.1.10.0.7.5 | 17 | Commodity and Securities Exchanges | I | 11 | PART 11—RULES RELATING TO INVESTIGATIONS | § 11.5 Transcripts. | CFTC | Transcripts of testimony taken in the course of an investigative proceeding shall be recorded solely by an official reporter or other person or by other means authorized by the Commission or by a member of the Commission or its staff conducting the investigation for the Commission. | |||||||
| 17:17:1.0.1.1.10.0.7.6 | 17 | Commodity and Securities Exchanges | I | 11 | PART 11—RULES RELATING TO INVESTIGATIONS | § 11.6 Oath; false statements. | CFTC | (a) Oath. At the discretion of the member of the Commission or staff member conducting the investigation, testimony of a witness may be taken under oath. (b) Penalties for false statements and other false information. Any person making false statements under oath during the course of a Commission investigation is subject to the criminal penalties for perjury in 18 U.S.C. 1621. Any person who knowingly and willfully makes false or fraudulent statements, whether under oath or otherwise, or who falsifies, conceals or covers up a material fact, or submits any false writing or document, knowing it to contain false, fictitious or fraudulent information, is subject to the criminal penalties set forth in 18 U.S.C. 1001. | |||||||
| 17:17:1.0.1.1.10.0.7.7 | 17 | Commodity and Securities Exchanges | I | 11 | PART 11—RULES RELATING TO INVESTIGATIONS | § 11.7 Rights of witnesses. | CFTC | [41 FR 29799, July 19, 1976, as amended at 61 FR 1709, Jan. 23, 1996; 89 FR 71808, Sept. 4, 2024] | (a) Orders authorizing issuance of subpoenas. Any person upon whom a subpoena has been served compelling him to furnish documentary evidence or testimony in an investigation shall, upon his request, be permitted to examine a copy of the Commission's order pursuant to which the subpoena has been issued. However, a copy of the order shall not be furnished for his retention except with the express approval of either the Director, a Deputy Director, the Principal Deputy Director, the Chief Counsel, an Associate Director, or a Deputy Regional Counsel of the Division of Enforcement; approval shall not be given unless it has been shown by the person seeking to retain a copy that his retention of a copy would be consistent both with the protection of privacy of persons involved in the investigation and with the unimpeded conduct of the investigation. (b) Copies of testimony or data. A person compelled to submit data or evidence in the course of an investigatory proceeding shall be entitled to retain or, upon payment of appropriate fees as set forth in the Schedule of Fees for records services, 17 CFR part 145b, procure a copy or transcript thereof, except that the witness may for good cause be limited to inspection of the official transcript of his testimony. (c) Right to counsel. A person compelled to appear, or who appears in person by request or permission of the Commission or its staff during an investigation, may be accompanied, represented, and advised by counsel. Subject to the provisions of § 11.8(b) of this part, he may be represented by any attorney-at-law who is admitted to practice before the highest court in any State or territory or the District of Columbia, who has not been suspended or disbarred from appearance and practice before the Commission in accordance with the provisions of part 14 of this title, and who has not been excluded from further participation in the particular investigatory proceeding for good cause established in accordance with paragraph (c)(2) of this section. (1) The right t… | ||||||
| 17:17:1.0.1.1.10.0.7.8 | 17 | Commodity and Securities Exchanges | I | 11 | PART 11—RULES RELATING TO INVESTIGATIONS | § 11.8 Sequestration. | CFTC | (a) Sequestration of witnesses. All witnesses and potential witnesses shall be sequestered and prohibited from being present during the examination of any other witness unless otherwise permitted in the discretion of the person conducting the investigation. (b) Sequestration of counsel. When a reasonable basis exists to believe that an investigation may be obstructed or impeded, directly or indirectly, by an attorney's representation of more than one witness during the course of an investigation, the member of the Commission or of the Commission's staff conducting the investigation may prohibit that attorney from being present during the testimony of any witness other than the witness in whose behalf counsel first appeared in the investigatory proceeding. To the extent practicable, consistent with the integrity of the investigation, the attorney will be advised of the reasons for his having been sequestered. | |||||||
| 21:21:1.0.1.1.8.1.98.1 | 21 | Food and Drugs | I | A | 11 | PART 11—ELECTRONIC RECORDS; ELECTRONIC SIGNATURES | A | Subpart A—General Provisions | § 11.1 Scope. | FDA | [62 FR 13464, Mar. 20, 1997, as amended at 69 FR 71655, Dec. 9, 2004; 79 FR 71253, 71291, Dec. 1, 2014; 80 FR 56144, 56336, Sept. 17, 2015; 80 FR 74352, 74547, 74667, Nov. 27, 2015; 81 FR 20170, Apr. 6, 2016; 81 FR 34218, May 27, 2016; 86 FR 68830, Dec. 3, 2021] | (a) The regulations in this part set forth the criteria under which the agency considers electronic records, electronic signatures, and handwritten signatures executed to electronic records to be trustworthy, reliable, and generally equivalent to paper records and handwritten signatures executed on paper. (b) This part applies to records in electronic form that are created, modified, maintained, archived, retrieved, or transmitted, under any records requirements set forth in agency regulations. This part also applies to electronic records submitted to the agency under requirements of the Federal Food, Drug, and Cosmetic Act and the Public Health Service Act, even if such records are not specifically identified in agency regulations. However, this part does not apply to paper records that are, or have been, transmitted by electronic means. (c) Where electronic signatures and their associated electronic records meet the requirements of this part, the agency will consider the electronic signatures to be equivalent to full handwritten signatures, initials, and other general signings as required by agency regulations, unless specifically excepted by regulation(s) effective on or after August 20, 1997. (d) Electronic records that meet the requirements of this part may be used in lieu of paper records, in accordance with § 11.2, unless paper records are specifically required. (e) Computer systems (including hardware and software), controls, and attendant documentation maintained under this part shall be readily available for, and subject to, FDA inspection. (f) This part does not apply to records required to be established or maintained by §§ 1.326 through 1.368 of this chapter. Records that satisfy the requirements of part 1, subpart J of this chapter, but that also are required under other applicable statutory provisions or regulations, remain subject to this part. (g) This part does not apply to electronic signatures obtained under § 101.11(d) of this chapter. (h) This part does not apply to electronic signatu… | |||
| 21:21:1.0.1.1.8.1.98.2 | 21 | Food and Drugs | I | A | 11 | PART 11—ELECTRONIC RECORDS; ELECTRONIC SIGNATURES | A | Subpart A—General Provisions | § 11.2 Implementation. | FDA | (a) For records required to be maintained but not submitted to the agency, persons may use electronic records in lieu of paper records or electronic signatures in lieu of traditional signatures, in whole or in part, provided that the requirements of this part are met. (b) For records submitted to the agency, persons may use electronic records in lieu of paper records or electronic signatures in lieu of traditional signatures, in whole or in part, provided that: (1) The requirements of this part are met; and (2) The document or parts of a document to be submitted have been identified in public docket No. 92S-0251 as being the type of submission the agency accepts in electronic form. This docket will identify specifically what types of documents or parts of documents are acceptable for submission in electronic form without paper records and the agency receiving unit(s) (e.g., specific center, office, division, branch) to which such submissions may be made. Documents to agency receiving unit(s) not specified in the public docket will not be considered as official if they are submitted in electronic form; paper forms of such documents will be considered as official and must accompany any electronic records. Persons are expected to consult with the intended agency receiving unit for details on how (e.g., method of transmission, media, file formats, and technical protocols) and whether to proceed with the electronic submission. | ||||
| 21:21:1.0.1.1.8.1.98.3 | 21 | Food and Drugs | I | A | 11 | PART 11—ELECTRONIC RECORDS; ELECTRONIC SIGNATURES | A | Subpart A—General Provisions | § 11.3 Definitions. | FDA | (a) The definitions and interpretations of terms contained in section 201 of the act apply to those terms when used in this part. (b) The following definitions of terms also apply to this part: (1) Act means the Federal Food, Drug, and Cosmetic Act (secs. 201-903 (21 U.S.C. 321-393)). (2) Agency means the Food and Drug Administration. (3) Biometrics means a method of verifying an individual's identity based on measurement of the individual's physical feature(s) or repeatable action(s) where those features and/or actions are both unique to that individual and measurable. (4) Closed system means an environment in which system access is controlled by persons who are responsible for the content of electronic records that are on the system. (5) Digital signature means an electronic signature based upon cryptographic methods of originator authentication, computed by using a set of rules and a set of parameters such that the identity of the signer and the integrity of the data can be verified. (6) Electronic record means any combination of text, graphics, data, audio, pictorial, or other information representation in digital form that is created, modified, maintained, archived, retrieved, or distributed by a computer system. (7) Electronic signature means a computer data compilation of any symbol or series of symbols executed, adopted, or authorized by an individual to be the legally binding equivalent of the individual's handwritten signature. (8) Handwritten signature means the scripted name or legal mark of an individual handwritten by that individual and executed or adopted with the present intention to authenticate a writing in a permanent form. The act of signing with a writing or marking instrument such as a pen or stylus is preserved. The scripted name or legal mark, while conventionally applied to paper, may also be applied to other devices that capture the name or mark. (9) Open system means an environment in which system access is not controlled by persons who are responsible for t… | ||||
| 21:21:1.0.1.1.8.2.98.1 | 21 | Food and Drugs | I | A | 11 | PART 11—ELECTRONIC RECORDS; ELECTRONIC SIGNATURES | B | Subpart B—Electronic Records | § 11.10 Controls for closed systems. | FDA | Persons who use closed systems to create, modify, maintain, or transmit electronic records shall employ procedures and controls designed to ensure the authenticity, integrity, and, when appropriate, the confidentiality of electronic records, and to ensure that the signer cannot readily repudiate the signed record as not genuine. Such procedures and controls shall include the following: (a) Validation of systems to ensure accuracy, reliability, consistent intended performance, and the ability to discern invalid or altered records. (b) The ability to generate accurate and complete copies of records in both human readable and electronic form suitable for inspection, review, and copying by the agency. Persons should contact the agency if there are any questions regarding the ability of the agency to perform such review and copying of the electronic records. (c) Protection of records to enable their accurate and ready retrieval throughout the records retention period. (d) Limiting system access to authorized individuals. (e) Use of secure, computer-generated, time-stamped audit trails to independently record the date and time of operator entries and actions that create, modify, or delete electronic records. Record changes shall not obscure previously recorded information. Such audit trail documentation shall be retained for a period at least as long as that required for the subject electronic records and shall be available for agency review and copying. (f) Use of operational system checks to enforce permitted sequencing of steps and events, as appropriate. (g) Use of authority checks to ensure that only authorized individuals can use the system, electronically sign a record, access the operation or computer system input or output device, alter a record, or perform the operation at hand. (h) Use of device (e.g., terminal) checks to determine, as appropriate, the validity of the source of data input or operational instruction. (i) Determination that persons who develop, maintain, or use electronic record/elect… | ||||
| 21:21:1.0.1.1.8.2.98.2 | 21 | Food and Drugs | I | A | 11 | PART 11—ELECTRONIC RECORDS; ELECTRONIC SIGNATURES | B | Subpart B—Electronic Records | § 11.30 Controls for open systems. | FDA | Persons who use open systems to create, modify, maintain, or transmit electronic records shall employ procedures and controls designed to ensure the authenticity, integrity, and, as appropriate, the confidentiality of electronic records from the point of their creation to the point of their receipt. Such procedures and controls shall include those identified in § 11.10, as appropriate, and additional measures such as document encryption and use of appropriate digital signature standards to ensure, as necessary under the circumstances, record authenticity, integrity, and confidentiality. | ||||
| 21:21:1.0.1.1.8.2.98.3 | 21 | Food and Drugs | I | A | 11 | PART 11—ELECTRONIC RECORDS; ELECTRONIC SIGNATURES | B | Subpart B—Electronic Records | § 11.50 Signature manifestations. | FDA | (a) Signed electronic records shall contain information associated with the signing that clearly indicates all of the following: (1) The printed name of the signer; (2) The date and time when the signature was executed; and (3) The meaning (such as review, approval, responsibility, or authorship) associated with the signature. (b) The items identified in paragraphs (a)(1), (a)(2), and (a)(3) of this section shall be subject to the same controls as for electronic records and shall be included as part of any human readable form of the electronic record (such as electronic display or printout). | ||||
| 21:21:1.0.1.1.8.2.98.4 | 21 | Food and Drugs | I | A | 11 | PART 11—ELECTRONIC RECORDS; ELECTRONIC SIGNATURES | B | Subpart B—Electronic Records | § 11.70 Signature/record linking. | FDA | Electronic signatures and handwritten signatures executed to electronic records shall be linked to their respective electronic records to ensure that the signatures cannot be excised, copied, or otherwise transferred to falsify an electronic record by ordinary means. | ||||
| 21:21:1.0.1.1.8.3.98.1 | 21 | Food and Drugs | I | A | 11 | PART 11—ELECTRONIC RECORDS; ELECTRONIC SIGNATURES | C | Subpart C—Electronic Signatures | § 11.100 General requirements. | FDA | [62 FR 13464, Mar. 20, 1997, as amended at 88 FR 13018, Mar. 2, 2023] | (a) Each electronic signature shall be unique to one individual and shall not be reused by, or reassigned to, anyone else. (b) Before an organization establishes, assigns, certifies, or otherwise sanctions an individual's electronic signature, or any element of such electronic signature, the organization shall verify the identity of the individual. (c) Persons using electronic signatures shall, prior to or at the time of such use, certify to the agency that the electronic signatures in their system, used on or after August 20, 1997, are intended to be the legally binding equivalent of traditional handwritten signatures. (1) The certification shall be signed with a traditional handwritten signature and submitted in electronic or paper form. Information on where to submit the certification can be found on FDA's web page on Letters of Non-Repudiation Agreement. (2) Persons using electronic signatures shall, upon agency request, provide additional certification or testimony that a specific electronic signature is the legally binding equivalent of the signer's handwritten signature. | |||
| 21:21:1.0.1.1.8.3.98.2 | 21 | Food and Drugs | I | A | 11 | PART 11—ELECTRONIC RECORDS; ELECTRONIC SIGNATURES | C | Subpart C—Electronic Signatures | § 11.200 Electronic signature components and controls. | FDA | (a) Electronic signatures that are not based upon biometrics shall: (1) Employ at least two distinct identification components such as an identification code and password. (i) When an individual executes a series of signings during a single, continuous period of controlled system access, the first signing shall be executed using all electronic signature components; subsequent signings shall be executed using at least one electronic signature component that is only executable by, and designed to be used only by, the individual. (ii) When an individual executes one or more signings not performed during a single, continuous period of controlled system access, each signing shall be executed using all of the electronic signature components. (2) Be used only by their genuine owners; and (3) Be administered and executed to ensure that attempted use of an individual's electronic signature by anyone other than its genuine owner requires collaboration of two or more individuals. (b) Electronic signatures based upon biometrics shall be designed to ensure that they cannot be used by anyone other than their genuine owners. | ||||
| 21:21:1.0.1.1.8.3.98.3 | 21 | Food and Drugs | I | A | 11 | PART 11—ELECTRONIC RECORDS; ELECTRONIC SIGNATURES | C | Subpart C—Electronic Signatures | § 11.300 Controls for identification codes/passwords. | FDA | Persons who use electronic signatures based upon use of identification codes in combination with passwords shall employ controls to ensure their security and integrity. Such controls shall include: (a) Maintaining the uniqueness of each combined identification code and password, such that no two individuals have the same combination of identification code and password. (b) Ensuring that identification code and password issuances are periodically checked, recalled, or revised (e.g., to cover such events as password aging). (c) Following loss management procedures to electronically deauthorize lost, stolen, missing, or otherwise potentially compromised tokens, cards, and other devices that bear or generate identification code or password information, and to issue temporary or permanent replacements using suitable, rigorous controls. (d) Use of transaction safeguards to prevent unauthorized use of passwords and/or identification codes, and to detect and report in an immediate and urgent manner any attempts at their unauthorized use to the system security unit, and, as appropriate, to organizational management. (e) Initial and periodic testing of devices, such as tokens or cards, that bear or generate identification code or password information to ensure that they function properly and have not been altered in an unauthorized manner. | ||||
| 28:28:1.0.1.1.12.1.4.1 | 28 | Judicial Administration | I | 11 | PART 11—DEBT COLLECTION | A | Subpart A—Retention of Private Counsel for Debt Collection | § 11.1 Delegation of authority. | DOJ | [Order No. 1201-87, 52 FR 24449, July 1, 1987, as amended by AG Order 3689-2016, 81 FR 43943, July 6, 2016] | The Assistant Attorney General for Administration shall exercise the full authority of the Attorney General to develop and administer the Department of Justice program for debt collection by private counsel. This authority shall include, but is not limited to, the authority to set policies and procedures for the program, and to enter into contracts for the retention of private counsel. The Assistant Attorney General for Administration can in turn delegate authority regarding debt collection to subordinate officials as appropriate. Existing delegations of authority with respect to settlement determinations on disputed claims shall remain in force. See generally, 28 CFR 0.160 et seq. | ||||
| 28:28:1.0.1.1.12.1.4.2 | 28 | Judicial Administration | I | 11 | PART 11—DEBT COLLECTION | A | Subpart A—Retention of Private Counsel for Debt Collection | § 11.2 Private counsel debt collection program. | DOJ | [Order No. 1201-87, 52 FR 24449, July 1, 1987, as amended by AG Order 3689-2016, 81 FR 43943, July 6, 2016] | The Assistant Attorney General for Administration, in consultation with the Executive Office for United States Attorneys, shall designate the districts that will participate in the program. U.S. Attorneys in the districts chosen for the program, shall direct the full cooperation and assistance of their respective offices in implementing the program. Among other things, the U.S. Attorneys shall designate an Assistant U.S. Attorney to serve as the Contracting Officer's Representative (COR) on the contracts with private debt collection lawyers in their respective districts. The CORs will be responsible for assisting the contracting officer by supervising the work of the private counsel in their respective districts and providing necessary approvals with respect to the initiation or settlement of lawsuits or similar matters. | ||||
| 28:28:1.0.1.1.12.1.4.3 | 28 | Judicial Administration | I | 11 | PART 11—DEBT COLLECTION | A | Subpart A—Retention of Private Counsel for Debt Collection | § 11.3 Compliance with existing laws. | DOJ | [Order No. 1201-87, 52 FR 24449, July 1, 1987, as amended by AG Order 3689-2016, 81 FR 43944, July 6, 2016] | The procurement of the services of private attorneys for debt collection shall be accomplished in accordance with the competitive procurement procedures mandated by Federal law, and set forth in 41 U.S.C. 3307. Best efforts shall be made to encourage extensive participation by law firms owned and controlled by socially and economically disadvantaged individuals and law firms that are qualified HUBZone small business concerns in the competition for award of these contracts in the program districts. Such efforts shall include, at minimum, publication of the requirement for these services in FedBizOpps and in a selection of pertinent legal publications likely to reach socially and economically disadvantaged firms, as well as sending written notice of the requirements to bar associations that have a significant socially and economically disadvantaged membership in the program districts. These special recruitment efforts will not authorize or permit preferential consideration to any bidders in selection for award of these contracts. The Department's Office of Small and Disadvantaged Business Utilization shall also make its resources available to assist in encouraging broad participation in this competition. | ||||
| 28:28:1.0.1.1.12.2.4.1 | 28 | Judicial Administration | I | 11 | PART 11—DEBT COLLECTION | B | Subpart B—Administration of Debt Collection | § 11.4 Purpose and scope. | DOJ | [Order No. 1625-92, 57 FR 44107, Sept. 24, 1992, as amended by Order No. 3089-2009, 74 FR 35117, July 20, 2009; AG Order 3689-2016, 81 FR 43944, July 6, 2016] | (a) Purpose. The purpose of this subpart is to implement 5 U.S.C. 5514 and 31 U.S.C. 3716, which authorize the collection by salary or administrative offset of debts owed by persons, organizations, or entities to the federal government. This subpart is consistent with the Office of Personnel Management (OPM) regulations on salary offset, codified at 5 CFR part 550, subpart K, and with regulations on administrative offset contained within the Federal Claims Collection Standards (FCCS), 31 CFR part 901. (b) Scope. (1) This subpart establishes Departmental procedures for the collection of certain debts owed the government. (2) This subpart applies to collections by the Department from: (i) Federal employees who are indebted to the Department; (ii) Employees of the Department who are indebted to other agencies; and (iii) Other persons, organizations, or entities that are indebted to the Department. (3) This subpart does not apply: (i) To debts or claims arising under the Internal Revenue Code of 1986 (26 U.S.C. 1 et seq. ), the Social Security Act (42 U.S.C. 301 et seq. ), or the tariff laws of the United States; (ii) To a situation to which the Contract Disputes Act (41 U.S.C. 601 et seq. ) applies; or (iii) In the case where collection of a debt is explicitly provided for or prohibited by another statute. The provisions of § 11.8 of this subpart do not apply to salary offset to recover travel advances under 5 U.S.C. 5705 or employee training expenses under 5 U.S.C. 4108. (4) Nothing in this subpart precludes the compromise, suspension, or termination of collection actions where appropriate under the FCCS. (5) This subpart does not govern debt collection procedures implemented by other agencies. | ||||
| 28:28:1.0.1.1.12.2.4.2 | 28 | Judicial Administration | I | 11 | PART 11—DEBT COLLECTION | B | Subpart B—Administration of Debt Collection | § 11.5 Delegation of authority. | DOJ | [Order No. 1625-92, 57 FR 44107, Sept. 24, 1992, as amended by Order No. 3089-2009, 74 FR 35117, July 20, 2009] | Authority to conduct the following activities is hereby delegated to heads of Department organizations with respect to debts arising in their respective organizations: (a) Initiate and effectuate the administrative collection process. (b) Accept or reject compromise offers and suspend or terminate collection actions where the claim does not exceed $100,000 or such higher amount as the Attorney General may from time to time prescribe, exclusive of interest, administrative costs, and penalties as provided herein, as set forth in 31 U.S.C. 3711(a)(2). (c) Report to consumer reporting agencies certain data pertaining to delinquent debts. (d) Use offset procedures to effectuate collection. (e) Take any other action necessary to facilitate and augment collection in accordance with the policies contained herein and as otherwise provided by law. | ||||
| 28:28:1.0.1.1.12.2.4.3 | 28 | Judicial Administration | I | 11 | PART 11—DEBT COLLECTION | B | Subpart B—Administration of Debt Collection | § 11.6 Definitions. | DOJ | [Order No. 1625-92, 57 FR 44107, Sept. 24, 1992, as amended by Order No. 2650-2003, 68 FR 4928, Jan. 31, 2003; Order No. 3089-2009, 74 FR 35117, July 20, 2009] | Except where the context clearly indicates otherwise or where the term is otherwise defined elsewhere in this subpart, the following definitions shall apply to this subpart. (a) Agency means: (1) An executive agency as defined by 5 U.S.C. 105; (2) A military department as defined by 5 U.S.C. 102; (3) The United States Postal Service and the Postal Rate Commission; (4) An agency of the judicial branch, including a court as defined by 28 U.S.C. 610, the District Court for the Northern Mariana Islands, and the Judicial Panel on Multidistrict Litigation; (5) An agency of the legislative branch, including the U.S. Senate and the U.S. House of Representatives; and (6) Other entities that are establishments of the federal government. (b) Bureau means the Bureau of Prisons, the Drug Enforcement Administration, the Federal Bureau of Investigation (FBI), the Bureau of Alcohol, Tobacco, Firearms, and Explosives (ATF), Federal Prison Industries, the Office of Justice Programs, and the United States Marshals Service (USMS). (c) Certification means a written statement received by a paying agency from a creditor agency that requests the paying agency to offset the salary of an employee and specifies that appropriate procedural protections have been afforded the employee. (d) Components means the bureaus, offices, boards, and divisions of the Department. (e) Compromise means the forgiveness of a debt in accordance with 31 U.S.C. 3711(a)(2) and Departmental order. (f) Creditor agency means an agency of the federal government to which the debt is owed. (g) Department or Justice Department means the Department of Justice and its components. (h) Disposable pay means that part of current basic pay, special pay, incentive pay, retired pay, retainer pay, and, in the case of an employee not entitled to basic pay, other authorized pay, remaining after the deduction of any amount required by law to be withheld. The Department shall allow the following deductions in determining the amount of disposable pay t… | ||||
| 28:28:1.0.1.1.12.2.4.4 | 28 | Judicial Administration | I | 11 | PART 11—DEBT COLLECTION | B | Subpart B—Administration of Debt Collection | § 11.7 Salary adjustments. | DOJ | [Order No. 3089-2009, 74 FR 35117, July 20, 2009] | The following debts shall not be subject to the salary offset procedures of § 11.8: (a) Any adjustment to pay arising out of an employee's election of coverage or a change in coverage under a Federal benefits program requiring periodic deductions from pay, if the amount to be recovered was accumulated over 4 pay periods or less; (b) A routine intra-agency adjustment of pay that is made to correct an overpayment of pay attributable to clerical or administrative errors or delays in processing pay documents, if the overpayment occurred within the 4 pay periods preceding the adjustment and, at the time of such adjustment, or as soon thereafter as practical, the individual is provided written notice of the nature and the amount of the adjustment and point of contact for contesting such adjustment; or (c) Any adjustment to collect a debt amounting to $50 or less, if, at the time of such adjustment, or as soon thereafter as practical, the individual is provided written notice of the nature and the amount of the adjustment and a point of contact for contesting such adjustment. | ||||
| 28:28:1.0.1.1.12.2.4.5 | 28 | Judicial Administration | I | 11 | PART 11—DEBT COLLECTION | B | Subpart B—Administration of Debt Collection | § 11.8 Salary offset. | DOJ | [Order No. 1625-92, 57 FR 44107, Sept. 24, 1992, as amended by Order No. 3089-2009, 74 FR 35117, July 20, 2009] | (a) Notice requirements before offset. Deductions under the authority of 5 U.S.C. 5514 will not be made unless the creditor agency provides the employee with a written Notice of Intent to Offset a minimum of 30 calendar days before salary offset is initiated. The Notice of Intent shall state: (1) That the organization head has reviewed the records relating to the claim and has determined that a debt is owed, including the amount of the debt and the facts giving rise to the debt; (2) The organization head's intention to collect the debt by means of deduction from the employee's current disposable pay account until the debt and all accumulated interest is paid in full; (3) A repayment schedule that includes the amount, frequency, proposed beginning date, and duration of the intended deductions; (4) The opportunity for the employee to propose an alternative written schedule for the voluntary repayment of the debt, in lieu of offset, on terms acceptable to the Department. The employee shall include a justification in the request for the alternative schedule. The schedule shall be agreed to and signed by both the employee and the organization head; (5) An explanation of the Department's policy concerning interest, penalties, and administrative costs, including a statement that such assessments must be made unless excused in accordance with the Federal Claims Collection Standards; (6) The employee's right to inspect and copy all records of the Department pertaining to the debt claimed or to receive copies of such records if the debtor is unable personally to inspect the records, due to geographical or other constraints; (7) The name, address, and telephone number of an officer or employee of the Department to whom requests for access to Department records relating to the debt must be sent; (8) The employee's right to a hearing conducted by an impartial hearing official (an administrative law judge or other hearing official not under the supervision or control of the Attorney General) with respect to the exist… | ||||
| 28:28:1.0.1.1.12.2.4.6 | 28 | Judicial Administration | I | 11 | PART 11—DEBT COLLECTION | B | Subpart B—Administration of Debt Collection | § 11.9 Administrative offset. | DOJ | (a) Collection. The organization head may collect a claim pursuant to 31 U.S.C. 3716 from a person, organization, or entity other than an agency of the United States Government by administrative offset of monies other than salaries payable by the government. Collection by administrative offset shall be undertaken where the claim is certain in amount, where offset is feasible and desirable and not otherwise prohibited, where the applicable statute of limitations has not expired, and where the offset is in the best interest of the United States. (b) Withholding of payment. Prior to the completion of the procedures described in paragraph (c) of this section, the Department may withhold a payment to be made to a debtor, if: (1) Failure to withhold payment would substantially prejudice the Department's ability to collect the debt; and (2) The time before the payment is to be made does not reasonably permit completion of the procedures described in paragraph (c) of this section. Such prior withholding shall be followed promptly by the completion of the procedures described in paragraph (c) of this section. (c) Debtor's rights. Unless the procedures described in paragraph (b) of this section are used, prior to collecting any claim by administrative offset, the organization head shall provide the debtor with the following: (1) Written notification of the nature and amount of the claim, the intention of the organization head to collect the claim through administrative offset, and a statement of the rights of the debtor under this paragraph; (2) An opportunity to inspect and copy the records of the Department with respect to the claim; (3) An opportunity to have the Department's determination of indebtedness reviewed by the organization head. Any request for review by the debtor shall be in writing and be submitted to the Department within 30 days of the date of the notice of the offset. The organization head may waive the time limit for requesting review for good cause shown by the debtor; and (4) An opportu… | |||||
| 28:28:1.0.1.1.12.3.4.1 | 28 | Judicial Administration | I | 11 | PART 11—DEBT COLLECTION | C | Subpart C—Collection of Debts by Administrative and Tax Refund Offset | § 11.10 Scope. | DOJ | [AG Order 3689-2016, 81 FR 43944, July 6, 2016] | (a) The provisions of 31 U.S.C. 3716 allow the head of an agency to collect a debt through administrative offset. The provisions of 31 U.S.C. 3716 and 3720A authorize the Secretary of the Treasury, acting through the Bureau of the Fiscal Service (BFS) and other Federal disbursing officials, to offset certain payments to collect delinquent debts owed to the United States. This subpart authorizes the collection of debts owed to the United States by persons, organizations, and other entities by offsetting Federal and certain state payments due to the debtor. It allows for collection of debts that are past due and legally enforceable through offset, regardless of whether the debts have been reduced to judgment. (b) Nothing in this subpart precludes the Department from pursuing other debt collection procedures to collect a debt that has been submitted to the Department of the Treasury under this subpart. The Department may use such debt collection procedures separately or in conjunction with the offset procedures of this subpart. | ||||
| 28:28:1.0.1.1.12.3.4.2 | 28 | Judicial Administration | I | 11 | PART 11—DEBT COLLECTION | C | Subpart C—Collection of Debts by Administrative and Tax Refund Offset | § 11.11 Definitions. | DOJ | [Order No. 1792-93, 58 FR 51223, Oct. 1, 1993, as amended by AG Order 3689-2016, 81 FR 43944, July 6, 2016] | (a) Debt. Debt means any amount of funds or property that an appropriate official of the Federal Government or a court of competent jurisdiction determines is owed to the United States, including any amounts owed to the United States for the benefit of a third party, by a person, organization, or entity other than another Federal agency. For purposes of this section, the term debt does not include debts arising under the Internal Revenue Code of 1986 (26 U.S.C. 1 et seq. ), the tariff laws of the United States, or the Social Security Act (42 U.S.C. 301 et seq. ), except that “delinquent amounts” as defined in sections 204(f) and 1631(b)(4) of such Act (42 U.S.C. 404(f) and 1383(b)(4)(A), respectively) are included in the term debt, as are “administrative offset[s]” collectible pursuant to 31 U.S.C. 3716(c). Debts that have been referred to the Department of Justice by other agencies for collection are included in this definition. (b) Past due. A past due debt means a debt that has not been paid or otherwise resolved by the date specified in the initial demand for payment, or in an applicable agreement or other instrument (including a post-delinquency repayment agreement), unless other payment arrangements satisfactory to the Department have been made. Judgment debts remain past due until paid in full. (c) Notice. Notice means the information sent to the debtor pursuant to § 11.12(b). The date of the notice is the date shown on the notice letter as its date of issuance. (d) Dispute. A dispute is a written statement supported by documentation or other evidence that all or part of an alleged debt is not past due or legally enforceable, that the amount is not the amount currently owed, that the outstanding debt has been satisfied, or, in the case of a debt reduced to judgment, that the judgment has been satisfied or stayed. (e) Legally enforceable. Legally enforceable means that there has been a final agency or court determination that the debt, in the amount stated, is due, and there are no legal bar… | ||||
| 28:28:1.0.1.1.12.3.4.3 | 28 | Judicial Administration | I | 11 | PART 11—DEBT COLLECTION | C | Subpart C—Collection of Debts by Administrative and Tax Refund Offset | § 11.12 Centralized offset. | DOJ | [Order No. 1792-93, 58 FR 51223, Oct. 1, 1993, as amended by AG Order 3689-2016, 81 FR 43944, July 6, 2016] | (a) The Department must refer any legally enforceable debt more than 120 days past-due to BFS for administrative offset under 31 U.S.C. 3716(c)(6). The Department must refer any past-due, legally enforceable debt to BFS for tax refund offset purposes pursuant to 31 U.S.C. 3720A(a) at least once a year. Before referring debts for offset, the Department must certify to BFS compliance with the provisions of 31 U.S.C. 3716(a) and 3720A(b). There is no time limit on when a debt can be collected by offset. (b) The Department will provide the debtor with written notice of its intent to offset before initiating the offset. Notice will be mailed to the debtor at the current address of the debtor, as determined from information obtained from the IRS pursuant to 26 U.S.C. 6103(m)(2), (4), (5) or from information regarding the debt maintained by the Department of Justice. The notice sent to the debtor will state the amount of the debt and inform the debtor that: (1) The debt is past due; (2) The Department intends to refer the debt to BFS for offset purposes; (3) Before the debt is referred to BFS for offset purposes, the debtor has 60 days from the date of notice to present evidence that all or part of the debt is not past due, that the amount is not the amount currently owed, that the outstanding debt has been satisfied, or, if the debt is a judgment debt, that the debt has been satisfied, or that collection action on the debt has been stayed. (c) If the debtor neither pays the amount due nor presents evidence that the amount is not past due or is satisfied or that collection action is stayed, the Department will refer the debt to BFS for offset purposes. (d) A debtor may request a review by the Department if the debtor believes that all or part of the debt is not past due or is not legally enforceable, or, in the case of a judgment debt, that the debt has been stayed or the amount satisfied, as follows: (1) The debtor must send a written request for review to the address provided in the notice. (2) The request mus… | ||||
| 28:28:1.0.1.1.12.3.4.4 | 28 | Judicial Administration | I | 11 | PART 11—DEBT COLLECTION | C | Subpart C—Collection of Debts by Administrative and Tax Refund Offset | § 11.13 Non-centralized offset. | DOJ | [AG Order 3689-2016, 81 FR 43944, July 6, 2016] | (a) When offset under § 11.12 of this part is not available or appropriate, the Department may collect past-due, legally enforceable debts through non-centralized administrative offset. See 31 CFR 901.3(c). In these cases, the Department may offset a payment internally or make an offset request directly to a Federal payment agency. (b) At least 30 days before offsetting a payment internally or requesting a Federal payment agency to offset a payment, the Department will send notice to the debtor in accordance with the requirements of 31 U.S.C. 3716(a). When referring a debt for offset under this paragraph (b), the Department will certify, in writing, that the debt is valid, delinquent, legally enforceable, and that there are no legal bars to collection by offset. In addition, the Department will certify its compliance with these regulations concerning administrative offset. See 31 CFR 901.3(c)(2)(ii). | ||||
| 28:28:1.0.1.1.12.4.4.1 | 28 | Judicial Administration | I | 11 | PART 11—DEBT COLLECTION | D | Subpart D—Administrative Wage Garnishment | § 11.21 Administrative wage garnishment. | DOJ | (a) Purpose. In accordance with the Department of the Treasury government-wide regulation at 31 CFR 285.11, this section provides procedures for the Department of Justice (Department) to collect money from a debtor's disposable pay by means of administrative wage garnishment to satisfy delinquent nontax debt owed to the United States through operation of Department programs. (b) Scope. (1) This section shall apply notwithstanding any provision of State law. (2) Nothing in this section precludes the compromise of a debt or the suspension or termination of collection action in accordance with applicable law. See, for example, the Federal Claims Collection Standards (FCCS), 31 CFR parts 900-904. (3) The receipt of payments pursuant to this section does not preclude the Department from pursuing other debt collection remedies, including the offset of Federal payments to satisfy delinquent nontax debt owed to the United States. The Department may pursue such debt collection remedies separately or in conjunction with administrative wage garnishment. (4) This section does not apply to the collection of delinquent nontax debt owed to the United States from the wages of Federal employees from their Federal employment. Federal pay is subject to the Federal salary offset procedures set forth in 5 U.S.C. 5514 and other applicable laws. (5) Nothing in this section requires the Department to duplicate notices or administrative proceedings required by contract or other laws or regulations. (c) Definitions. As used in this section the following definitions shall apply: Agency means the Department of Justice. Business day means Monday through Friday. For purposes of computation, the last day of the period will be included unless it is a Federal legal holiday. Day means calendar day. For purposes of computation, the last day of the period will be included unless it is a Saturday, a Sunday, or a Federal legal holiday. Debt or claim means any amount of money, funds or property that an appropriate official of the… | |||||
| 29:29:1.1.1.1.12.1.27.1 | 29 | Labor | 11 | PART 11—DEPARTMENT OF LABOR NATIONAL ENVIRONMENTAL POLICY ACT (NEPA) COMPLIANCE PROCEDURES | A | Subpart A—General Provisions | § 11.1 Purpose and scope. | DOL | (a) The National Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4321 et seq. ) directs that, “to the fullest extent possible, * * * the policies, regulations and public laws of the United States shall be interpreted and administered in accordance with the policies set forth” in the Act for the preservation of the environment. As a means for achieving this objective, Executive Order 11991 of May 24, 1977 (amending E.O. 11514 of March 5, 1970) directed the Council on Environmental Quality (CEQ) to issue uniform regulations for implementation of NEPA by all Federal agencies. These regulations were published in final form on November 29, 1978 (43 FR 55978) as 40 CFR parts 1500-1508. The CEQ's NEPA regulations require that each Federal agency adopt implementing procedures to supplement their regulations (40 CFR 1507.3). Accordingly, the purpose of this part is to prescribe procedures to be followed by Department of Labor agencies when such agencies are contemplating actions which may be subject to the requirements of NEPA. These regulations do not replace 40 CFR parts 1500-1508; rather they are to be read together with, and as a supplement to, the CEQ's regulations. (b) It is the responsibility of each agency to comply with the policies set forth in NEPA to the fullest extent possible and consistent with its statutory authority. Each agency shall comply with all applicable requirements of this part except where compliance would be inconsistent with other statutory requirements. However, no trivial violation of, or noncompliance with, these procedures shall give rise to an independent cause of action (cf. 40 CFR 1500.3 and 1507.3(b)). | ||||||
| 29:29:1.1.1.1.12.1.27.2 | 29 | Labor | 11 | PART 11—DEPARTMENT OF LABOR NATIONAL ENVIRONMENTAL POLICY ACT (NEPA) COMPLIANCE PROCEDURES | A | Subpart A—General Provisions | § 11.2 Applicability. | DOL | [45 FR 51188, Aug. 1, 1980, as amended at 72 FR 37098, July 9, 2007] | Although all Department of Labor agencies are subject to NEPA, only three of its agencies routinely propose or consider actions which may require the preparation of environment assessments or environmental impact statements. These are the Occupational Safety and Health Administration (OSHA), which acts pursuant to the Occupational Safety and Health Act of 1970 (29 U.S.C. 651, et seq. ); the Mine Safety and Health Administration (MSHA), which acts pursuant to the Federal Mine Safety and Health Act of 1977 (30 U.S.C. 801, et seq. ); and the Office of Job Corps which purchases and leases land and constructs Job Corps centers pursuant to the Workforce Investment Act of 1998 (29 U.S.C. 2801, et seq. ). Therefore, these procedures have been designed primarily with the duties and rulemaking processes of these agencies in mind. If and when other Department of Labor agencies propose actions requiring environmental impact analyses, they shall use these procedures, to the extent that they are applicable, in performing such analyses. | |||||
| 29:29:1.1.1.1.12.1.27.3 | 29 | Labor | 11 | PART 11—DEPARTMENT OF LABOR NATIONAL ENVIRONMENTAL POLICY ACT (NEPA) COMPLIANCE PROCEDURES | A | Subpart A—General Provisions | § 11.3 Responsible agency officials. | DOL | [45 FR 51188, Aug. 1, 1980, as amended at 71 FR 16665, Apr. 3, 2006] | (a) The Assistant Secretary for Policy shall be responsible for the following: (1) Overall review of Department of Labor agency compliance with the requirements of NEPA, the CEQ's regulations and these Departmental procedures; (2) Maintaining contacts with CEQ and the Environmental Protection Agency (EPA) as the Departmental NEPA liaison; and (3) Preparing and coordinating Departmental comments in response to environmental impact statements prepared by other Federal agencies which have been submitted to the Department for review, as required by 40 CFR 1503.2. (b) Assistant Secretaries of Labor and other officials of equivalent rank or responsibility (hereinafter “agency heads”) shall be responsible for their agencies' compliance with NEPA. (1) These responsibilities shall include the following: (i) Assuring that the agencies under their control observe the requirements of 40 CFR 1507.2 on compliance capability; (ii) Preparing environmental impact assessments and statements in accordance with the requirements of these regulations and 40 CFR parts 1501 and 1502, and advising private applicants, or other non-Federal entities, of the possible need for information foreseeably required for later Federal action pursuant to 40 CFR 1501.2(d); (iii) Assuring public participation in the NEPA process in accordance with 40 CFR parts 1503 and 1506; (iv) Commenting on environmental impact statements prepared by other agencies, when their agencies have jurisdiction by law or special expertise with respect to any environmental impacts connected with a proposed action, as required by 40 CFR part 1503; (v) Assuring that environmental documents prepared by their agencies accompany proposed actions through existing agency review processes, and that, along with other relevant materials, and consistent with 40 CFR 1505.1(e), the full range of alternatives discussed in these documents are considered in the planning of agency actions and in the making of decisions and that the alternatives considered are encompassed by those di… | |||||
| 29:29:1.1.1.1.12.2.27.1 | 29 | Labor | 11 | PART 11—DEPARTMENT OF LABOR NATIONAL ENVIRONMENTAL POLICY ACT (NEPA) COMPLIANCE PROCEDURES | B | Subpart B—Administrative Procedures | § 11.10 Identification of agency actions. | DOL | [45 FR 51188, Aug. 1, 1980, as amended at 72 FR 37098, July 9, 2007] | Pursuant to the CEQ definition of “major Federal action” (40 CFR 1508.18) and 40 CFR 1507.3(b)(2), the following paragraphs identify and classify Department of Labor actions which: normally will not require preparation of an environmental document (i.e. an environmental assessment or an environmental impact statement); or usually will require preparation of an environmental document. (a) OSHA/MSHA actions. Actions of the Occupational Safety and Health Administration (OSHA) and the Mine Safety and Health Administration (MSHA) are classified as follows: (1) Categorically excluded actions. OSHA/MSHA actions listed in the following Table will normally qualify for categorical exclusion from NEPA requirements: i.e., such actions do not require preparation of either an environmental assessment or an environmental impact statement, because they do not have a significant impact on the quality of the human environment. Classification as a categorical exclusion, however, does not prohibit OSHA or MSHA from preparing an environmental assessment or environmental impact statement on any of the following actions when OSHA or MSHA determines it to be appropriate. Also, in extraordinary circumstances where a normally excluded action is found to have a potentially significant environmental effect, OSHA or MSHA shall prepare an environmental assessment and/or an environmental impact statement as required. OSHA/MSHA Categorical Exclusions (2) Actions requiring environmental assessment. Several classes of OSHA/MSHA actions normally require the preparation of an environmental assessment prior to determining whether either a finding of no significant impact or an environmental impact statement must be prepared. (However, OSHA or MSHA may proceed to prepare an environmental impact statement, without first preparing an environmental assessment, if it determines such action to be appropriate or necessary, as provided by 40 CFR 1501.3(a)). Actions in this classification include: (i) Promulgation, modification or revocation of a … | |||||
| 29:29:1.1.1.1.12.2.27.2 | 29 | Labor | 11 | PART 11—DEPARTMENT OF LABOR NATIONAL ENVIRONMENTAL POLICY ACT (NEPA) COMPLIANCE PROCEDURES | B | Subpart B—Administrative Procedures | § 11.11 Development of environmental analyses and documents. | DOL | (a) Potential environmental effects of agency actions shall begin to be examined at the time a topic for potential action is submitted to the agency staff for research, proposal development, or other consideration. During this stage the agency shall determine whether the type of action which may be proposed may be categorically excluded from NEPA environmental analysis requirements pursuant to § 11.10. If the type of action being considered is not categorically excluded, or is an extraordinary case of a normally excluded action which may have significant environmental impacts, development of the information needed to make an environmental assessment shall begin. Actions described in § 11.10(b) shall be submitted to the Assistant Secretary for Administration and Management at this point, pursuant to applicable Departmental procedures, for appropriate review, including a determination with respect to whether or not the action is located in or near a floodplain or wetlands area in connection with the requirements of Executive Orders 11988 and 11990. (b) When information gathered during the early stages of proposal development indicates that preparation of an environmental impact statement will be required, the agency shall begin preparation of such a document by initiating the scoping process in accordance with 40 CFR 1501.7. However, if the information is not clearly indicative of the need for preparation of an environmental impact statement, an environmental assessment shall be prepared. (c) Agencies are encouraged, in developing environmental assessments, to explore all factors which it may become necessary to examine should it be determined that preparation of an environmental impact statement is necessary, even though some of those factors, such as economic and social effects, “are not intended by themselves to require preparation of an environmental impact statement” (40 CFR 1508.14). Thus in making environmental assessments of real property actions described in § 11.10(b), agencies are encouraged to conside… | ||||||
| 29:29:1.1.1.1.12.2.27.3 | 29 | Labor | 11 | PART 11—DEPARTMENT OF LABOR NATIONAL ENVIRONMENTAL POLICY ACT (NEPA) COMPLIANCE PROCEDURES | B | Subpart B—Administrative Procedures | § 11.12 Content and format of environmental documents. | DOL | (a) An environmental assessment may be prepared in any format considered effective by the agency involved. When such a document is prepared in connection with a proposed action, it must be made readily available to the public either by placement into the public record (with public notice provided in accordance with 40 CFR part 1506) or by publication in the Federal Register. The preamble to the Federal Register notice of proposed rulemaking may be considered the environmental assessment provided that the document contains the elements required by 40 CFR 1508.9(b). (b) A finding of no significant impact (40 CFR 1508.13) may be prepared in any format considered to be effective or necessary by the agency involved in the proposed action. (c) The finding of no significant impact, and the environmental assessment on which it was based, as well as any comments received in response to these documents shall be included in the public record of the proposed action. (d) Department of Labor agencies shall comply with the format requirements for environmental impact statements as set forth at 40 CFR 1502.10, except when an agency determines that there is a compelling reason to do otherwise, such as more effective communication or reduced duplication of effort and paperwork (40 CFR 1506.4). For example, in OSHA/MSHA informal rulemaking proceedings, environmental documents may be combined with the Federal Register notice of proposed or final rulemaking. Filing and circulation of the combined preamble/environmental document shall be in accordance with the requirements of 40 CFR 1506.9. (e) The final environmental impact statement shall contain any changes in information or supplemental information received since the filing and circulation of the draft environmental impact statement, as well as a summary, or copies of the substantive comments received in response to the draft environmental impact statement. If such changes and comments are minor, an agency may circulate only the changes and comments, including responses … | ||||||
| 29:29:1.1.1.1.12.2.27.4 | 29 | Labor | 11 | PART 11—DEPARTMENT OF LABOR NATIONAL ENVIRONMENTAL POLICY ACT (NEPA) COMPLIANCE PROCEDURES | B | Subpart B—Administrative Procedures | § 11.13 Public participation. | DOL | (a) When an agency has determined that preparation of an environmental impact statement is required, the agency shall publish a notice of intent to prepare an environmental impact statement in the Federal Register and shall invite public participation in the agency's scoping process as required by 40 CFR 1501.7. (b) When the draft environmental impact statement has been prepared and filed with the EPA pursuant to § 11.11(f), comments on the document shall be solicited from appropriate Federal, State and local agencies, Indian tribes, and other persons or organizations who may be interested or affected, as required by 40 CFR 1503.1. (c) In the case of an action with effects primarily of local concern, agencies shall consider the use of clearinghouses, newspapers and other public media likely to generate local participation in the agency process as ways of supplementing the notices otherwise specified in this part. The use of such public media does not, however, require or authorized the use of paid advertising. | ||||||
| 29:29:1.1.1.1.12.2.27.5 | 29 | Labor | 11 | PART 11—DEPARTMENT OF LABOR NATIONAL ENVIRONMENTAL POLICY ACT (NEPA) COMPLIANCE PROCEDURES | B | Subpart B—Administrative Procedures | § 11.14 Legislation. | DOL | Notwithstanding any provisions of this part, environmental assessments or impact statements prepared in connection with requests for new legislation or modification of existing statutes shall be handled in accordance with applicable OMB and Department of Labor procedures on the preparation and submission of legislative proposals and the requirements of 40 CFR 1506.8. | ||||||
| 38:38:1.0.1.1.13.0.150.1 | 38 | Pensions, Bonuses, and Veterans' Relief | I | 11 | PART 11—LOANS BY BANKS ON AND PAYMENT OF ADJUSTED SERVICE CERTIFICATES | § 11.75 Certificates. | VA | Adjusted service certificates are dated as of the 1st day of the month in which the applications were filed, but no certificates are dated prior to January 1, 1925. Loans on the security of such certificates may be made at any time after the date of the certificate. The fact that a certificate is stamped or marked “duplicate” does not destroy its value as security for a loan. | |||||||
| 38:38:1.0.1.1.13.0.150.2 | 38 | Pensions, Bonuses, and Veterans' Relief | I | 11 | PART 11—LOANS BY BANKS ON AND PAYMENT OF ADJUSTED SERVICE CERTIFICATES | § 11.76 To whom loan may be made. | VA | Only the veteran named in the certificate can lawfully obtain a loan on his adjusted service certificate and neither the beneficiary nor any other person than the veteran has any rights in this respect. The person to whom the loan is made must be known to the lending bank to be the veteran named in the certificate securing such note. The consent of the beneficiary is not required, the act providing that a loan on the security of the certificate may be made “with or without the consent of the beneficiary thereof.” Loans may be made to veterans adjudged incompetent only through the guardians of such veterans and pursuant to specific order of the court having jurisdiction. Certified copy of court order must be submitted if note be presented for redemption by the Department of Veterans Affairs. |
Advanced export
JSON shape: default, array, newline-delimited, object
CREATE TABLE cfr_sections (
section_id TEXT PRIMARY KEY,
title_number INTEGER,
title_name TEXT,
chapter TEXT,
subchapter TEXT,
part_number TEXT,
part_name TEXT,
subpart TEXT,
subpart_name TEXT,
section_number TEXT,
section_heading TEXT,
agency TEXT,
authority TEXT,
source_citation TEXT,
amendment_citations TEXT,
full_text TEXT
);
CREATE INDEX idx_cfr_title ON cfr_sections(title_number);
CREATE INDEX idx_cfr_part ON cfr_sections(part_number);
CREATE INDEX idx_cfr_agency ON cfr_sections(agency);