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| 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 |
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| 17:17:2.0.1.1.33.1.1.1 | 17 | Commodity and Securities Exchanges | I | 190 | PART 190—BANKRUPTCY RULES | A | Subpart A—General Provisions | § 190.00 Statutory authority, organization, core concepts, scope, and construction. | CFTC | (a) Statutory authority. The Commission has adopted the regulations in this part pursuant to its authority under sections 8a(5) and 20 of the Act. Section 8a(5) provides general rulemaking authority to effectuate the provisions and accomplish the purposes of the Act. Section 20 provides that the Commission may, notwithstanding title 11 of the United States Code, adopt certain rules or regulations governing a proceeding involving a commodity broker that is a debtor under subchapter IV of chapter 7 of the Bankruptcy Code. Specifically, the Commission is authorized to adopt rules or regulations specifying: (1) That certain cash, securities, or other property, or commodity contracts, are to be included in or excluded from customer property or member property; (2) That certain cash, securities, or other property, or commodity contracts, are to be specifically identifiable to a particular customer in a particular capacity; (3) The method by which the business of the commodity broker is to be conducted or liquidated after the date of the filing of the petition under chapter 7 of the Bankruptcy Code, including the payment and allocation of margin with respect to commodity contracts not specifically identifiable to a particular customer pending their orderly liquidation; (4) Any persons to which customer property and commodity contracts may be transferred under section 766 of the Bankruptcy Code; and (5) How a customer's net equity is to be determined. (b) Organization. This part is organized into three subparts. This subpart contains general provisions applicable in all cases. Subpart B of this part contains provisions that apply when the debtor is a futures commission merchant (as that term is defined in the Act or Commission regulations). This includes acting as a foreign futures commission merchant, as defined in section 761(12) of the Bankruptcy Code, but excludes a person that is “notice-registered” as a futures commission merchant pursuant to section 4f(a)(2) of the Act. Subpart C contains provisions that… | |||||
| 17:17:2.0.1.1.33.1.1.2 | 17 | Commodity and Securities Exchanges | I | 190 | PART 190—BANKRUPTCY RULES | A | Subpart A—General Provisions | § 190.01 Definitions. | CFTC | For purposes of this part: Account class: (1) Means one or more of each of the following types of accounts maintained by a futures commission merchant or clearing organization (as applicable), each type of which must be recognized as a separate account class by the trustee: (i) Futures account means: (A) With respect to public customers, the same definition as set forth in § 1.3 of this chapter. (B) With respect to non-public customers: ( 1 ) With respect to a futures commission merchant, an account maintained on the books and records of the futures commission merchant for the purpose of accounting for a person's transactions in futures or options on futures contracts executed on or subject to the rules of a designated contract market registered under the Act (and related cash, securities, or other property); and ( 2 ) With respect to a clearing organization, an account maintained on the books and records of the clearing organization for the purpose of accounting for transactions in futures or options on futures contracts cleared or settled by the clearing organization for a member or a member's non-public customers (and related cash, securities, or other property). (ii) Foreign futures account means: (A) With respect to public customers: ( 1 ) With respect to a futures commission merchant, a 30.7 account, as such term is defined in § 30.1(g) of this chapter; and ( 2 ) With respect to a clearing organization, an account maintained on the books and records of the clearing organization for the purpose of accounting for transactions in futures or options on futures contracts executed on or subject to the rules of a foreign board of trade, cleared or settled by the clearing organization for a member that is a futures commission merchant (and related cash, securities or other property), on behalf of that member's 30.7 customers (as that latter term is defined in § 30.1(f) of this chapter). (B) With respect to non-public customers: ( 1 ) With respect to a futures commission merchant, an account maintai… | |||||
| 17:17:2.0.1.1.33.1.1.3 | 17 | Commodity and Securities Exchanges | I | 190 | PART 190—BANKRUPTCY RULES | A | Subpart A—General Provisions | § 190.02 General. | CFTC | (a) Request for exemption. (1) The trustee (or, in the case of an involuntary petition pursuant to section 303 of the Bankruptcy Code, any other person charged with the management of a commodity broker) may, for good cause shown, request from the Commission an exemption from the requirements of any procedural provision in this part, including an extension of any time limit prescribed by this part or an exemption subject to conditions, provided that the Commission shall not grant an extension for any time period established by the Bankruptcy Code. (2) A request pursuant to paragraph (a)(1) of this section— (i) May be made ex parte and by any means of communication, written or oral, provided that the trustee must confirm an oral request in writing within one business day and such confirmation must contain all the information required by paragraph (b)(3) of this section. The request or confirmation of an oral request must be given to the Commission as provided in paragraph (a) of this section. (ii) Must state the particular provision of this part with respect to which the exemption or extension is sought, the reason for the requested exemption or extension, the amount of time sought if the request is for an extension, and the reason why such exemption or extension would not be contrary to the purposes of the Bankruptcy Code and this part. (3) The Director of the Division of Clearing and Risk, or members of the Commission staff designated by the Director, shall grant, deny, or otherwise respond to a request, on the basis of the information provided in any such request and after consultation with the Director of the Market Participants Division or members of the Commission staff designated by the Director, unless exigent circumstances require immediate action precluding such prior consultation, and shall communicate that determination by the most appropriate means to the person making the request. (b) Delegation of authority to the Director of the Division of Clearing and Risk. (1) Until such time as the Co… | |||||
| 17:17:2.0.1.1.33.2.1.1 | 17 | Commodity and Securities Exchanges | I | 190 | PART 190—BANKRUPTCY RULES | B | Subpart B—Futures Commission Merchant as Debtor | § 190.03 Notices and proofs of claims. | CFTC | (a) Notices-means of providing —(1) To the Commission. Unless instructed otherwise by the Commission, all mandatory or discretionary notices to be given to the Commission under this subpart shall be directed by electronic mail to bankruptcyfilings@cftc.gov. For purposes of this subpart, notice to the Commission shall be deemed to be given only upon actual receipt. (2) To Customers. The trustee, after consultation with the Commission, and unless otherwise instructed by the Commission, will establish and follow procedures reasonably designed for giving adequate notice to customers under this subpart and for receiving claims or other notices from customers. Such procedures should include, absent good cause otherwise, the use of a prominent website as well as communication to customers' electronic addresses that are available in the debtor's books and records. (b) Notices to the Commission and designated self-regulatory organizations —(1) Of commencement of a proceeding. Each commodity broker that is a futures commission merchant and files a petition in bankruptcy shall as soon as practicable before, and in any event no later than, the time of such filing, notify the Commission and such commodity broker's designated self-regulatory organization of the anticipated or actual filing date, the court in which the proceeding will be or has been filed and, as soon as known, the docket number assigned to that proceeding. Each commodity broker that is a futures commission merchant and against which a bankruptcy petition is filed or with respect to which an application for a protective decree under SIPA is filed shall immediately upon the filing of such petition or application notify the Commission and such commodity broker's designated self-regulatory organization of the filing date, the court in which the proceeding has been filed, and, as soon as known, the docket number assigned to that proceeding. (2) Of transfers under section 764(b) of the Bankruptcy Code. As soon as possible, the trustee of a commodity b… | |||||
| 17:17:2.0.1.1.33.2.1.2 | 17 | Commodity and Securities Exchanges | I | 190 | PART 190—BANKRUPTCY RULES | B | Subpart B—Futures Commission Merchant as Debtor | § 190.04 Operation of the debtor's estate—customer property. | CFTC | (a) Transfers —(1) All cases. The trustee for a commodity broker shall promptly use its best efforts to effect a transfer in accordance with § 190.07(c) and (d) no later than the seventh calendar day after the order for relief of the open commodity contracts and property held by the commodity broker for or on behalf of its public customers. (2) Involuntary cases. A commodity broker against which an involuntary petition in bankruptcy is filed, or the trustee if a trustee has been appointed in such case, shall use its best efforts to effect a transfer in accordance with § 190.07(c) and (d) of all open commodity contracts and property held by the commodity broker for or on behalf of its public customers and such other property as the Commission in its discretion may authorize, on or before the seventh calendar day after the filing date, and immediately cease doing business; provided, however, that if the commodity broker demonstrates to the Commission within such period that it was in compliance with the segregation and financial requirements of this chapter on the filing date, and the Commission determines, in its sole discretion, that such transfer is neither appropriate nor in the public interest, the commodity broker may continue in business subject to applicable provisions of the Bankruptcy Code and of this chapter. (b) Treatment of open commodity contracts —(1) Payments by the trustee. Prior to the primary liquidation date, the trustee may make payments of initial margin and variation settlement to a clearing organization, commodity broker, foreign clearing organization, or foreign futures intermediary, carrying the account of the debtor, pending the transfer, or liquidation of any open commodity contracts, whether or not such contracts are specifically identifiable property of a particular customer, provided, that: (i) To the extent within the trustee's control, the trustee shall not make any payments on behalf of any commodity contract account on the books and records of the debtor that is in de… | |||||
| 17:17:2.0.1.1.33.2.1.3 | 17 | Commodity and Securities Exchanges | I | 190 | PART 190—BANKRUPTCY RULES | B | Subpart B—Futures Commission Merchant as Debtor | § 190.05 Operation of the debtor's estate—general. | CFTC | (a) Compliance with the Act and regulations in this chapter. Except as specifically provided otherwise in this part, the trustee shall use reasonable efforts to comply with all of the provisions of the Act and of the regulations in this chapter as if it were the debtor. (b) Computation of funded balance. The trustee shall use reasonable efforts to compute a funded balance for each customer account that contains open commodity contracts or other property as of the close of business each business day subsequent to the order for relief until the date all open commodity contracts and other property in such account have been transferred or liquidated, which shall be as accurate as reasonably practicable under the circumstances, including the reliability and availability of information. (c) Records —(1) Maintenance. Except as otherwise ordered by the court or as permitted by the Commission, records required under this chapter to be maintained by the debtor, including records of the computations required by this part, shall be maintained by the trustee until such time as the debtor's case is closed. (2) Accessibility. The records required to be maintained by paragraph (c)(1) of this section shall be available during business hours to the Commission and the U.S. Department of Justice. The trustee shall give the Commission and the U.S. Department of Justice access to all records of the debtor, including records required to be retained in accordance with § 1.31 of this chapter and all other records of the commodity broker, whether or not the Act or this chapter would require such records to be maintained by the commodity broker. (d) Customer statements. The trustee shall use all reasonable efforts to continue to issue account statements with respect to any customer for whose account open commodity contracts or other property is held that has not been liquidated or transferred. With respect to such accounts, the trustee must also issue an account statement reflecting any liquidation or transfer of open commod… | |||||
| 17:17:2.0.1.1.33.2.1.4 | 17 | Commodity and Securities Exchanges | I | 190 | PART 190—BANKRUPTCY RULES | B | Subpart B—Futures Commission Merchant as Debtor | § 190.06 Making and taking delivery under commodity contracts. | CFTC | (a) Deliveries —(1) General. The provisions of this paragraph (a) apply to commodity contracts that settle upon expiration or exercise by making or taking delivery of physical delivery property, if such commodity contracts are in a delivery position on the filing date, or the trustee is unable to liquidate such commodity contracts in accordance with § 190.04(c) to prevent them from moving into a delivery position, i.e., before the debtor or its customer incurs bilateral contractual obligations to make or take delivery under such commodity contracts. (2) Delivery made or taken on behalf of a customer outside of the administration of the debtor's estate. (i) The trustee shall use reasonable efforts to allow a customer to deliver physical delivery property that is held directly by the customer and not by the debtor (and thus not recorded in any commodity contract account of the customer) in settlement of a commodity contract, and to allow payment in exchange for such delivery, to occur outside the administration of the debtor's estate, when the rules of the exchange or other market listing the commodity contract, or the clearing organization or the foreign clearing organization clearing the commodity contract, as applicable, prescribe a process for delivery that allows the delivery to be fulfilled: (A) In the normal course directly by the customer; (B) By substitution of the customer for the commodity broker; or (C) Through agreement of the buyer and seller to alternative delivery procedures. (ii) Where a customer delivers physical delivery property in settlement of a commodity contract outside of the administration of the debtors' estate in accordance with paragraph (a)(2)(i) of this section, any property of such customer held at the debtor in connection with such contract must nonetheless be included in the net equity claim of that customer, and, as such, can only be distributed pro rata at the time of, and as part of, any distributions to customers made by the trustee. (3) Delivery as part of admini… | |||||
| 17:17:2.0.1.1.33.2.1.5 | 17 | Commodity and Securities Exchanges | I | 190 | PART 190—BANKRUPTCY RULES | B | Subpart B—Futures Commission Merchant as Debtor | § 190.07 Transfers. | CFTC | (a) Transfer rules. No clearing organization or self-regulatory organization may adopt, maintain in effect, or enforce rules that: (1) Are inconsistent with the provisions of this part; (2) Interfere with the acceptance by its members of transfers of commodity contracts, and the property margining or securing such contracts, from futures commission merchants that are required to transfer accounts pursuant to § 1.17(a)(4) of this chapter; or (3) Interfere with the acceptance by its members of transfers of commodity contracts, and the property margining or securing such contracts, from a futures commission merchant that is a debtor as defined in § 190.01, if such transfers have been approved by the Commission, provided, however, that this paragraph (a)(3) shall not— (i) Limit the exercise of any contractual right of a clearing organization or other registered entity to liquidate or transfer open commodity contracts; or (ii) Be interpreted to limit a clearing organization's ability adequately to manage risk. (b) Requirements for transferees. (1) It is the duty of each transferee to assure that it will not accept a transfer that would cause the transferee to be in violation of the minimum financial requirements set forth in this chapter. (2) Any transferee that accepts a transfer of open commodity contracts from the estate of the debtor— (i) Accepts the transfer subject to any loss that may arise in the event the transferee cannot recover from the customer any deficit balance that may arise related to the transferred open commodity contracts. (ii) If the commodity contracts were held for the account of a customer: (A) Must keep such commodity contracts open at least one business day after their receipt, unless the customer for whom the transfer is made fails to respond within a reasonable time to a margin call for the difference between the margin transferred with such commodity contracts and the margin which such transferee would require with respect to a similar set of commodity contracts held for t… | |||||
| 17:17:2.0.1.1.33.2.1.6 | 17 | Commodity and Securities Exchanges | I | 190 | PART 190—BANKRUPTCY RULES | B | Subpart B—Futures Commission Merchant as Debtor | § 190.08 Calculation of funded net equity. | CFTC | For purposes of this subpart, funded net equity shall be computed as follows: (a) Funded claim. The funded net equity claim of a customer shall be equal to the aggregate of the funded balances of such customer's net equity claim for each account class. (b) Net equity. Net equity means a customer's total customer claim of record against the estate of the debtor based on the customer property, including any commodity contracts, held by the debtor for or on behalf of such customer less any indebtedness of the customer to the debtor. Net equity shall be calculated as follows: (1) Step 1-equity determination. (i) Determine the equity balance of each commodity contract account of a customer by computing, with respect to such account, the sum of: (A) The ledger balance; (B) The open trade balance; and (C) The realizable market value, determined as of the close of the market on the last preceding market day, of any securities or other property held by or for the debtor from or for such account, plus accrued interest, if any. (ii) For the purposes of this paragraph (b)(1), the ledger balance of a customer account shall be calculated by: (A) Adding: ( 1 ) Cash deposited to purchase, margin, guarantee, secure, or settle a commodity contract; ( 2 ) Cash proceeds of liquidations of any securities or other property referred to in paragraph (b)(1)(i)(C) of this section; ( 3 ) Gains realized on trades; and ( 4 ) The face amount of any letter of credit received, acquired or held to margin, guarantee, secure, purchase or sell a commodity contract; and (B) Subtracting from the result: ( 1 ) Losses realized on trades; ( 2 ) Disbursements to or on behalf of the customer (including, for these purposes, transfers made pursuant to §§ 190.04(a) and 190.07); and ( 3 ) The normal costs attributable to the payment of commissions, brokerage, interest, taxes, storage, transaction fees, insurance, and other costs and charges lawfully incurred in connection with the purchase, sale, exercise, or liquidation of any commodity… | |||||
| 17:17:2.0.1.1.33.2.1.7 | 17 | Commodity and Securities Exchanges | I | 190 | PART 190—BANKRUPTCY RULES | B | Subpart B—Futures Commission Merchant as Debtor | § 190.09 Allocation of property and allowance of claims. | CFTC | The property of the debtor's estate must be allocated among account classes and between customer classes as provided in this section. (Property connected with certain cross-margining arrangements is subject to the provisions of framework 1 in appendix B to this part.) The property so allocated will constitute a separate estate of the customer class and the account class to which it is allocated, and will be designated by reference to such customer class and account class. (a) Scope of customer property. (1) Customer property includes the following: (i) All cash, securities, or other property or the proceeds of such cash, securities, or other property received, acquired, or held by or for the account of the debtor, from or for the account of a customer, including a non-public customer, which is: (A) Property received, acquired, or held to margin, guarantee, secure, purchase or sell a commodity contract; (B) Open commodity contracts; (C) Physical delivery property as that term is defined in paragraphs (1) through (3) in the definition of that term in § 190.01; (D) Cash delivery property, or other cash, securities, or other property received by the debtor as payment for a commodity to be delivered to fulfill a commodity contract from or for the commodity customer account of a customer; (E) Profits or contractual rights accruing to a customer as the result of a commodity contract; (F) Letters of credit, including any proceeds of a letter of credit drawn by the trustee, or substitute customer property posted by the customer, pursuant to § 190.04(d)(3); (G) Securities held in a portfolio margining account carried as a futures account or a cleared swaps customer account; or (H) Property hypothecated under § 1.30 of this chapter to the extent that the value of such property exceeds the proceeds of any loan of margin made with respect thereto; and (ii) All cash, securities, or other property which: (A) Is segregated for customers on the filing date; (B) Is a security owned by the debtor to the extent there … | |||||
| 17:17:2.0.1.1.33.2.1.8 | 17 | Commodity and Securities Exchanges | I | 190 | PART 190—BANKRUPTCY RULES | B | Subpart B—Futures Commission Merchant as Debtor | § 190.10 Current records during business as usual. | CFTC | A person that is a futures commission merchant is required to maintain current records relating to its customers' accounts, including copies of all account agreements and related account documentation, and “know your customer” materials, pursuant to §§ 1.31, 1.35, 1.36, and 1.37 of this chapter, which may be provided to another futures commission merchant to facilitate the transfer of open commodity contracts or other customer property held by such person for or on behalf of its customers to the other futures commission merchant, in the event an order for relief is entered with respect to such person. | |||||
| 17:17:2.0.1.1.33.3.1.1 | 17 | Commodity and Securities Exchanges | I | 190 | PART 190—BANKRUPTCY RULES | C | Subpart C—Clearing Organization as Debtor | § 190.11 Scope and purpose of this subpart. | CFTC | (a) This subpart applies to a proceeding commenced under subchapter IV of chapter 7 of the Bankruptcy Code in which the debtor is a clearing organization. (b) If the debtor clearing organization is organized outside the United States, and is subject to a foreign proceeding, as defined in 11 U.S.C. 101(23), in the jurisdiction in which it is organized, then only the following provisions of this part shall apply: (1) Subpart A. (2) Section 190.12. (3) Section 190.13, but only with respect to futures contracts and cleared swaps contracts cleared by FCM clearing members on behalf of their public customers and the property margining or securing such contracts. (4) Sections 190.17 and 190.18, but only with respect to claims of FCM clearing members on behalf of their public customers, as well as to property that is or should have been segregated for the benefit of FCM clearing members' public customers, or that has been recovered for the benefit of FCM clearing members' public customers. | |||||
| 17:17:2.0.1.1.33.3.1.2 | 17 | Commodity and Securities Exchanges | I | 190 | PART 190—BANKRUPTCY RULES | C | Subpart C—Clearing Organization as Debtor | § 190.12 Required reports and records. | CFTC | (a) Notices —(1) Means of providing —(i) To the Commission. Unless instructed otherwise by the Commission, all mandatory or discretionary notices to be given to the Commission under this subpart shall be directed by electronic mail to bankruptcyfilings@cftc.gov. For purposes of this subpart, notice to the Commission shall be deemed to be given only upon actual receipt. (ii) To members. The trustee, after consultation with the Commission, and unless otherwise instructed by the Commission, will establish and follow procedures reasonably designed for giving adequate notice to members under this subpart and for receiving claims or other notices from members. Such procedures should include, absent good cause otherwise, the use of a prominent website as well as communication to members' electronic addresses that are available in the debtor's books and records. (2) Of commencement of a proceeding. A debtor that files a petition in bankruptcy that is subject to this subpart shall, at or before the time of such filing, and a debtor against which such a petition is filed shall, as soon as possible, but in any event no later than three hours after the receipt of notice of such filing, notify the Commission of the filing date, the court in which the proceeding has been or will be filed, and, as soon as available, the docket number assigned to that proceeding by the court. (b) Reports and records to be provided to the trustee and the Commission within three hours. (1) As soon as practicable following the commencement of a proceeding that is subject to this subpart and in any event no later than three hours following the later of the commencement of such proceeding or the appointment of the trustee, the debtor shall provide to the trustee copies of each of the most recent reports that the debtor was required to file with the Commission under § 39.19(c) of this chapter, including copies of any reports required under § 39.19(c)(2), (3), and (4) of this chapter (including the most up-to-date version of any recovery… | |||||
| 17:17:2.0.1.1.33.3.1.3 | 17 | Commodity and Securities Exchanges | I | 190 | PART 190—BANKRUPTCY RULES | C | Subpart C—Clearing Organization as Debtor | § 190.13 Prohibition on avoidance of transfers. | CFTC | The following transfers are approved and may not be avoided under sections 544, 546, 547, 548, 549, or 724(a) of the Bankruptcy Code: (a) Pre-relief transfers. Any transfer of open commodity contracts and the property margining or securing such contracts made to another clearing organization that was approved by the Commission, either before or after such transfer, and was made prior to entry of the order for relief; and (b) Post-relief transfers. Any transfers of open commodity contracts and the property margining or securing such contracts made to another clearing organization on or before the seventh calendar day after the entry of the order for relief, that was made with the approval of the Commission, either before or after such transfer. | |||||
| 17:17:2.0.1.1.33.3.1.4 | 17 | Commodity and Securities Exchanges | I | 190 | PART 190—BANKRUPTCY RULES | C | Subpart C—Clearing Organization as Debtor | § 190.14 Operation of the estate of the debtor subsequent to the filing date. | CFTC | (a) Proofs of claim. The trustee may, in its discretion based upon the facts and circumstances of the case, instruct each customer to file a proof of claim containing such information as is deemed appropriate by the trustee, and seek a court order establishing a bar date for the filing of such proofs of claim. (b) Operation of the derivatives clearing organization. Subsequent to the order for relief, the derivatives clearing organization shall cease making calls for variation settlement or initial margin. (c) Liquidation. (1) The trustee shall liquidate all open commodity contracts that have not been terminated, liquidated, or transferred no later than seven calendar days after entry of the order for relief. Such liquidation of open commodity contracts shall be conducted in accordance with the rules and procedures of the debtor, to the extent applicable and practicable. (2) In lieu of liquidating securities held by the debtor and making distributions in the form of cash, the trustee may, in its reasonable discretion, make distributions in the form of securities that are equivalent ( i.e., securities of the same class and series of an issuer) to the securities originally delivered to the debtor by a clearing member or such clearing member's customer. (d) Computation of funded balance. The trustee shall use reasonable efforts to compute a funded balance for each customer account immediately prior to any distribution of property within the account, which shall be as accurate as reasonably practicable under the circumstances, including the reliability and availability of information. | |||||
| 17:17:2.0.1.1.33.3.1.5 | 17 | Commodity and Securities Exchanges | I | 190 | PART 190—BANKRUPTCY RULES | C | Subpart C—Clearing Organization as Debtor | § 190.15 Recovery and wind-down plans; default rules and procedures. | CFTC | (a) Prohibition on avoidance of actions taken pursuant to recovery and wind-down plans. Subject to the provisions of section 766 of the Bankruptcy Code and §§ 190.13 and 190.18, the trustee shall not avoid or prohibit any action taken by a debtor subject to this subpart that was reasonably within the scope of and was provided for in any recovery and wind-down plans maintained by the debtor and filed with the Commission pursuant to § 39.39 of this chapter. (b) Implementation of debtor's default rules and procedures. In administering a proceeding under this subpart, the trustee shall implement, in consultation with the Commission, the default rules and procedures maintained by the debtor under § 39.16 and, as applicable, § 39.35 of this chapter and any termination, close-out and liquidation provisions included in the rules of the debtor, subject to the reasonable discretion of the trustee and to the extent that implementation of such default rules and procedures is practicable. (c) Implementation of recovery and wind-down plans. In administering a proceeding under this subpart, the trustee shall, in consultation with the Commission, take actions in accordance with any recovery and wind-down plans maintained by the debtor and filed with the Commission pursuant to § 39.39 of this chapter, to the extent reasonable and practicable, and consistent with the protection of customers. | |||||
| 17:17:2.0.1.1.33.3.1.6 | 17 | Commodity and Securities Exchanges | I | 190 | PART 190—BANKRUPTCY RULES | C | Subpart C—Clearing Organization as Debtor | § 190.16 Delivery. | CFTC | (a) General. In the event that a commodity contract, cleared by the derivatives clearing organization, that settles upon expiration or exercise by making or taking delivery of physical delivery property, has moved into delivery position prior to the date and time of the order for relief, or moves into delivery position after that date and time, but before being terminated, liquidated, or transferred, then, in either such event, the trustee must use reasonable efforts to facilitate and cooperate with the completion of delivery on behalf of the clearing member or the clearing member's customer in a manner consistent with § 190.06(a) and the pro rata distribution principle addressed in § 190.00(c)(5). (b) Special provisions for delivery accounts. (1) Consistent with the separation of the physical delivery property account class and the cash delivery account class set forth in § 190.06(b), the trustee shall treat— (i) Physical delivery property held in delivery accounts as of the filing date, along with the proceeds from any subsequent sale of such physical delivery property in accordance with § 190.06(a)(3) to fulfill a clearing member's or its customer's delivery obligation or any other subsequent sale of such property, as part of the physical delivery account class; and (ii) Cash delivery property in delivery accounts as of the filing date, along with any physical delivery property for which delivery is subsequently taken on behalf of a clearing member or its customer in accordance with § 190.06(a)(3), as part of the separate cash delivery account class. (2) If the debtor holds any cash or property in the form of cash equivalents in an account with a bank or other person under a name or in a manner that clearly indicates that the account holds property for the purpose of making payment for taking physical delivery, or receiving payment for making physical delivery, of a commodity under any commodity contracts, such property shall (subject to § 190.19) be considered customer property in the cash delivery ac… | |||||
| 17:17:2.0.1.1.33.3.1.7 | 17 | Commodity and Securities Exchanges | I | 190 | PART 190—BANKRUPTCY RULES | C | Subpart C—Clearing Organization as Debtor | § 190.17 Calculation of net equity. | CFTC | (a) Net equity-separate capacities and calculations. (1) If a member of the clearing organization clears trades in commodity contracts through a commodity contract account carried by the debtor as a customer account for the benefit of the clearing member's public customers and separately through a house account, the clearing member shall be treated as having customer claims against the debtor in separate capacities with respect to the customer account and house account at the clearing organization, and by account class. A member shall be treated as part of the public customer class with respect to claims based on any commodity customer accounts carried as “customer accounts” by the clearing organization for the benefit of the member's public customers, and as part of the non-public customer class with respect to claims based on its house account. (2) Net equity shall be calculated separately for each separate customer capacity in which the clearing member has a claim against the debtor, i.e., separately by the member's customer account and house account and by account class. (b) Net equity—application of debtor's loss allocation rules and procedures. (1)(i) The calculation of a clearing member's net equity claim shall include the full application of the debtor's loss allocation rules and procedures, including the default rules and procedures referred to in § 39.16 and, if applicable, § 39.35 of this chapter. (ii) The calculation in paragraph (b)(1)(i) of this section will include, with respect to the clearing member's house account, any assessments or similar loss allocation arrangements provided for under those rules and procedures that were not called for before the filing date, or, if called for, have not been paid. Such loss allocation arrangements shall be applied to the extent necessary to address losses arising from default by clearing members. (2) Appropriate adjustments shall be made to the net equity claims of the clearing members that are so entitled under the following circumstances: Where t… | |||||
| 17:17:2.0.1.1.33.3.1.8 | 17 | Commodity and Securities Exchanges | I | 190 | PART 190—BANKRUPTCY RULES | C | Subpart C—Clearing Organization as Debtor | § 190.18 Treatment of property. | CFTC | (a) General. The property of the debtor's estate must be allocated between member property and customer property other than member property as provided in this section to satisfy claims of clearing members, as customers of the debtor. The property so allocated will constitute a separate estate of the customer class ( i.e., member property, and customer property other than member property) and the account class to which it is allocated, and will be designated by reference to such customer class and account class. (b) Scope of customer property. Customer property is the property available for distribution within the relevant account class in respect of claims by clearing members, as customers of the clearing organization, based on customer accounts carried by the debtor for the benefit of such members' public customers or, considered separately, such members' house accounts. (1) Customer property includes the following: (i) All cash, securities, or other property, or the proceeds of such cash, securities, or other property, that is received, acquired, or held by or for the account of the debtor, from or for any commodity contract account of a clearing member carried by the debtor, which is: (A) Property received, acquired, or held, in order to margin, guarantee, secure, purchase, or sell a commodity contract; (B) Open commodity contracts; (C) Physical delivery property as that term is defined in paragraphs (1) through (3) of the definition of that term in § 190.01; (D) Cash, securities or other property received by the debtor as payment for a commodity to be delivered to fulfill a commodity contract from or for the commodity customer account of a clearing member or a customer of a clearing member; (E) Profits or contractual rights accruing as a result of a commodity contract; (F) Letters of credit, including any proceeds of a letter of credit drawn upon by the trustee, or substitute customer property posted by a clearing member or a customer of a clearing member, pursuant to § 190.04(d)(3); or (G) Se… | |||||
| 17:17:2.0.1.1.33.3.1.9 | 17 | Commodity and Securities Exchanges | I | 190 | PART 190—BANKRUPTCY RULES | C | Subpart C—Clearing Organization as Debtor | § 190.19 Support of daily settlement. | CFTC | (a) Notwithstanding any other provision of this part, funds received (whether from clearing members' house or customer accounts) by a debtor clearing organization as part of the daily settlement required pursuant to § 39.14 of this chapter shall, upon and after an order for relief, be included as customer property that is reserved for and traceable to, and promptly shall be distributed to, members entitled to payments of such funds with respect to such members' house and customer accounts as part of that same daily settlement. Such funds when received, other than deposits of initial margin described in § 39.14(a)(1)(iii) of this chapter, shall be considered member property and, separately, customer property other than member property, in proportion to the ratio of total gains in member accounts with net gains, and total gains in clearing members' customer accounts with net gains, respectively. Deposits of initial margin described in § 39.14(a)(1)(iii) of this chapter shall be considered member property and, separately, customer property other than member property, to the extent deposited on behalf of, respectively, clearing members' house accounts and customer accounts. (b) To the extent there is a shortfall in funds received pursuant to paragraph (a) of this section: (1) Such funds shall be supplemented with the property described in paragraphs (b)(1)(i) through (iv) of this section, as applicable, to the extent necessary to meet the shortfall, in accordance with the derivatives clearing organization's default rules and procedures adopted pursuant to § 39.16 and, as applicable, § 39.35 of this chapter, and (with respect to paragraph (b)(1)(ii) of this section) any recovery and wind-down plans maintained pursuant to § 39.39 of this chapter and submitted pursuant to § 39.19 of this chapter. Such funds shall be included as member property and customer property other than member property in the proportion described in paragraph (a) of this section, and shall be distributed promptly to members' house accounts and m… | |||||
| 21:21:3.0.1.1.17.2.1.1 | 21 | Food and Drugs | I | B | 190 | PART 190—DIETARY SUPPLEMENTS | B | Subpart B—New Dietary Ingredient Notification | § 190.6 Requirement for premarket notification. | FDA | [62 FR 49891, Sept. 23, 1997, as amended at 66 FR 17359, Mar. 30, 2001, 81 FR 49897, July 29, 2016; 88 FR 17725, Mar. 24, 2023] | (a) At least 75 days before introducing or delivering for introduction into interstate commerce a dietary supplement that contains a new dietary ingredient that has not been present in the food supply as an article used for food in a form in which the food has not been chemically altered, the manufacturer or distributor of that supplement, or of the new dietary ingredient, shall submit to the Office of Dietary Supplement Programs (HFS-810), Center for Food Safety and Applied Nutrition, Food and Drug Administration, 5001 Campus Dr., College Park, MD 20740, information including any citation to published articles that is the basis on which the manufacturer or distributor has concluded that a dietary supplement containing such dietary ingredient will reasonably be expected to be safe. An original and two copies of this notification shall be submitted. (b) The notification required by paragraph (a) of this section shall include: (1) The name and complete address of the manufacturer or distributor of the dietary supplement that contains a new dietary ingredient, or of the new dietary ingredient; (2) The name of the new dietary ingredient that is the subject of the premarket notification, including the Latin binomial name (including the author) of any herb or other botanical; (3) A description of the dietary supplement or dietary supplements that contain the new dietary ingredient including: (i) The level of the new dietary ingredient in the dietary supplement; and (ii) The conditions of use recommended or suggested in the labeling of the dietary supplement, or if no conditions of use are recommended or suggested in the labeling of the dietary supplement, the ordinary conditions of use of the supplement; (4) The history of use or other evidence of safety establishing that the dietary ingredient, when used under the conditions recommended or suggested in the labeling of the dietary supplement, will reasonably be expected to be safe, including any citation to published articles or other evidence that is the basis … | |||
| 40:40:27.0.1.1.1.1.1.1 | 40 | Protection of Environment | I | F | 190 | PART 190—ENVIRONMENTAL RADIATION PROTECTION STANDARDS FOR NUCLEAR POWER OPERATIONS | A | Subpart A—General Provisions | § 190.01 Applicability. | EPA | The provisions of this part apply to radiation doses received by members of the public in the general environment and to radioactive materials introduced into the general environment as the result of operations which are part of a nuclear fuel cycle. | ||||
| 40:40:27.0.1.1.1.1.1.2 | 40 | Protection of Environment | I | F | 190 | PART 190—ENVIRONMENTAL RADIATION PROTECTION STANDARDS FOR NUCLEAR POWER OPERATIONS | A | Subpart A—General Provisions | § 190.02 Definitions. | EPA | (a) Nuclear fuel cycle means the operations defined to be associated with the production of electrical power for public use by any fuel cycle through utilization of nuclear energy. (b) Uranium fuel cycle means the operations of milling of uranium ore, chemical conversion of uranium, isotopic enrichment of uranium, fabrication of uranium fuel, generation of electricity by a light-water-cooled nuclear power plant using uranium fuel, and reprocessing of spent uranium fuel, to the extent that these directly support the production of electrical power for public use utilizing nuclear energy, but excludes mining operations, operations at waste disposal sites, transportation of any radioactive material in support of these operations, and the reuse of recovered non-uranium special nuclear and by-product materials from the cycle. (c) General environment means the total terrestrial, atmospheric and aquatic environments outside sites upon which any operation which is part of a nuclear fuel cycle is conducted. (d) Site means the area contained within the boundary of a location under the control of persons possessing or using radioactive material on which is conducted one or more operations covered by this part. (e) Radiation means any or all of the following: Alpha, beta, gamma, or X-rays; neutrons; and high-energy electrons, protons, or other atomic particles; but not sound or radio waves, nor visible, infrared, or ultraviolet light. (f) Radioactive material means any material which spontaneously emits radiation. (g) Curie (Ci) means that quantity of radioactive material producing 37 billion nuclear transformations per second. (One millicurie (mCi) = 0.001 Ci.) (h) Dose equivalent means the product of absorbed dose and appropriate factors to account for differences in biological effectiveness due to the quality of radiation and its spatial distribution in the body. The unit of dose equivalent is the “rem.” (One millirem (mrem)= 0.001 rem.) (i) Organ means any human organ exclusive of the dermis, the… | ||||
| 40:40:27.0.1.1.1.2.1.1 | 40 | Protection of Environment | I | F | 190 | PART 190—ENVIRONMENTAL RADIATION PROTECTION STANDARDS FOR NUCLEAR POWER OPERATIONS | B | Subpart B—Environmental Standards for the Uranium Fuel Cycle | § 190.10 Standards for normal operations. | EPA | Operations covered by this subpart shall be conducted in such a manner as to provide reasonable assurance that: (a) The annual dose equivalent does not exceed 25 millirems to the whole body, 75 millirems to the thyroid, and 25 millirems to any other organ of any member of the public as the result of exposures to planned discharges of radioactive materials, radon and its daughters excepted, to the general environment from uranium fuel cycle operations and to radiation from these operations. (b) The total quantity of radioactive materials entering the general environment from the entire uranium fuel cycle, per gigawatt-year of electrical energy produced by the fuel cycle, contains less than 50,000 curies of krypton-85, 5 millicuries of iodine-129, and 0.5 millicuries combined of plutonium-239 and other alpha-emitting transuranic radionuclides with half-lives greater than one year. | ||||
| 40:40:27.0.1.1.1.2.1.2 | 40 | Protection of Environment | I | F | 190 | PART 190—ENVIRONMENTAL RADIATION PROTECTION STANDARDS FOR NUCLEAR POWER OPERATIONS | B | Subpart B—Environmental Standards for the Uranium Fuel Cycle | § 190.11 Variances for unusual operations. | EPA | The standards specified in § 190.10 may be exceeded if: (a) The regulatory agency has granted a variance based upon its determination that a temporary and unusual operating condition exists and continued operation is in the public interest, and (b) Information is promptly made a matter of public record delineating the nature of unusual operating conditions, the degree to which this operation is expected to result in levels in excess of the standards, the basis of the variance, and the schedule for achieving conformance with the standards. | ||||
| 40:40:27.0.1.1.1.2.1.3 | 40 | Protection of Environment | I | F | 190 | PART 190—ENVIRONMENTAL RADIATION PROTECTION STANDARDS FOR NUCLEAR POWER OPERATIONS | B | Subpart B—Environmental Standards for the Uranium Fuel Cycle | § 190.12 Effective date. | EPA | (a) The standards in § 190.10(a) shall be effective December 1, 1979, except that for doses arising from operations associated with the milling of uranium ore the effective date shall be December 1, 1980. (b) The standards in § 190.10(b) shall be effective December 1, 1979, except that the standards for krypton-85 and iodine-129 shall be effective January 1, 1983, for any such radioactive materials generated by the fission process after these dates. | ||||
| 46:46:7.0.1.4.24.1.63.1 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.00 | Subpart 190.00—General Provisions | § 190.00-1 Preemptive effect. | USCG | The regulations in this part have preemptive effect over State or local regulations in the same field. | ||||
| 46:46:7.0.1.4.24.10.63.1 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.25 | Subpart 190.25—Rails and Guards | § 190.25-1 Application. | USCG | [CGFR 69-72, 34 FR 17503, Oct. 29, 1969] | (a) The provisions of this subpart with the exception of § 190.25-90, apply to all vessels contracted for on or after July 1, 1969. (b) Vessels contracted for prior to July 1, 1969 shall meet the requirements of § 190.25-90. | |||
| 46:46:7.0.1.4.24.10.63.2 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.25 | Subpart 190.25—Rails and Guards | § 190.25-5 Where rails required. | USCG | [CGFR 69-72, 34 FR 17503, Oct. 29, 1969] | (a) All vessels shall have efficient guard rails or bulwarks on decks and bridges. The height of rails or bulwarks shall be at least 39 1/2 inches from the deck. At exposed peripheries of the freeboard and superstructure decks, the rails shall be in at least three courses, including the top. The opening below the lowest course shall not be more than 9 inches. The courses shall not be more than 15 inches apart. In the case of ships with rounded gunwales the guard rail supports shall be placed in the flat of the deck. On other decks and bridges the rails shall be in at least two courses, including the top, approximately evenly spaced. If it can be shown to the satisfaction of the Officer in Charge, Marine Inspection, that the installation of rails of such height will be unreasonable and impracticable, having regard to the business of the vessel, rails of a lesser height or in some cases grab rails may be accepted and inboard rails may be eliminated if the deck is not generally accessible. (b) Where it can be shown to the satisfaction of the Commandant that a vessel is engaged exclusively in voyages of a sheltered nature, the provisions of paragraph (a) of this section may be relaxed. | |||
| 46:46:7.0.1.4.24.10.63.3 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.25 | Subpart 190.25—Rails and Guards | § 190.25-10 Storm rails. | USCG | (a) On vessels in ocean and coastwise service, suitable storm rails shall be installed in all passageways and at the deckhouse sides where persons on board might have normal access. Storm rails shall be installed on both sides of passageways which are 6 feet or more in width. | ||||
| 46:46:7.0.1.4.24.10.63.4 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.25 | Subpart 190.25—Rails and Guards | § 190.25-15 Guards in dangerous places. | USCG | (a) Suitable hand covers, guards, or rails shall be installed in way of all exposed and dangerous places such as gears, machinery, etc. | ||||
| 46:46:7.0.1.4.24.10.63.5 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.25 | Subpart 190.25—Rails and Guards | § 190.25-90 Vessels contracted for prior to July 1, 1969. | USCG | [CGFR 67-83, 33 FR 1125, Jan. 27, 1968, as amended by CGFR 69-72, 34 FR 17503, Oct. 29, 1969] | (a) Existing structures, arrangements, materials, and facilities previously approved will be considered satisfactory so long as they are maintained in good condition to the satisfaction of the Officer in Charge, Marine Inspection. Minor repairs and alterations may be made to the same standards as the original construction: Provided, That in no case will a greater departure from the standards of §§ 190.25-5 through 190.25-15 be permitted than presently exists. | |||
| 46:46:7.0.1.4.24.2.63.1 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.01 | Subpart 190.01—Hull Structure | § 190.01-1 Application. | USCG | (a) The provisions of this subpart, with the exception of § 190.01-90, shall apply to all vessels contracted for on or after March 1, 1968. (b) Vessels contracted for prior to March 1, 1968, shall meet the requirements of § 190.01-90. | ||||
| 46:46:7.0.1.4.24.2.63.2 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.01 | Subpart 190.01—Hull Structure | § 190.01-5 Vessels subject to load line. | USCG | (a) For vessels assigned a load line, see Subchapter E (Load Lines) of this chapter for special requirements as to strength, closure of openings, etc. | ||||
| 46:46:7.0.1.4.24.2.63.3 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.01 | Subpart 190.01—Hull Structure | § 190.01-10 Structural standards. | USCG | (a) In general, compliance with the standards established by the American Bureau of Shipping, see subpart 188.35 of this subchapter, will be considered as satisfactory evidence of the structural efficiency of the vessel. However, in special cases, a detailed analysis of the entire structure or some integral part may be made by the Coast Guard to determine the structural requirements. | ||||
| 46:46:7.0.1.4.24.2.63.4 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.01 | Subpart 190.01—Hull Structure | § 190.01-15 Special consideration. | USCG | (a) Special consideration will be given to the structural requirements for small vessels or vessels of an unusual design not contemplated by the rules of the American Bureau of Shipping. | ||||
| 46:46:7.0.1.4.24.2.63.5 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.01 | Subpart 190.01—Hull Structure | § 190.01-90 Vessels contracted for prior to March 1, 1968. | USCG | (a) Existing structure previously approved will be considered satisfactory so long as it is maintained in good condition to the satisfaction of the Officer in Charge, Marine Inspection. Minor repairs and alterations may be made to the same standards as the original construction. (b) Conversions, major alterations, new installations, and replacements, shall meet the applicable specifications in this subpart for new vessels. | ||||
| 46:46:7.0.1.4.24.3.63.1 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.02 | Subpart 190.02—Navigation Bridge Visibility | § 190.02-1 Navigation bridge visibility. | USCG | [CGD 85-099, 55 FR 32249, Aug. 8, 1990] | Each oceanographic research vessel which is 100 meters (328 feet) or more in length and contracted for on or after September 7, 1990, must meet the following requirements: (a) The field of vision from the navigation bridge, whether the vessel is in a laden or unladen condition, must be such that: (1) From the conning position, the view of the sea surface is not obscured forward of the bow by more than the lesser of two ship lengths or 500 meters (1640 feet) from dead ahead to 10 degrees on either side of the vessel. Within this arc of visibility any blind sector caused by cargo, cargo gear, or other permanent obstruction must not exceed 5 degrees. (2) From the conning position, the horizontal field of vision extends over an arc from at least 22.5 degrees abaft the beam on one side of the vessel, through dead ahead, to at least 22.5 degrees abaft the beam on the other side of the vessel. Blind sectors forward of the beam caused by cargo, cargo gear, or other permanent obstruction must not exceed 10 degrees each, nor total more than 20 degrees, including any blind sector within the arc of visibility described in paragraph (a)(1) of this section. (3) From each bridge wing, the field of vision extends over an arc from at least 45 degrees on the opposite bow, through dead ahead, to at least dead astern. (4) From the main steering position, the field of vision extends over an arc from dead ahead to at least 60 degrees on either side of the vessel. (5) From each bridge wing, the respective side of the vessel is visible forward and aft. (b) Windows fitted on the navigation bridge must be arranged so that: (1) Framing between windows is kept to a minimum and is not installed immediately in front of any work station. (2) Front windows are inclined from the vertical plane, top out, at an angle of not less than 10 degrees and not more than 25 degrees. (3) The height of the lower edge of the front windows is limited to prevent any obstruction of the forward view previously described in this section. (4) The height … | |||
| 46:46:7.0.1.4.24.4.63.1 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.03 | Subpart 190.03—Subdivision and Stability | § 190.03-1 General. | USCG | [CGD 79-023, 48 FR 51053, Nov. 4, 1983] | Each vessel must comply with the applicable requirements in Subchapter S of this chapter. | |||
| 46:46:7.0.1.4.24.5.63.1 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.05 | Subpart 190.05—General Fire Protection | § 190.05-1 Application. | USCG | (a) The provisions of this subpart shall apply to all vessels, except as noted otherwise in this subpart. (b) Non-self-propelled vessels of less than 300 gross tons shall not be subject to the provisions of this subpart. | ||||
| 46:46:7.0.1.4.24.5.63.2 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.05 | Subpart 190.05—General Fire Protection | § 190.05-3 Fire hazards to be minimized. | USCG | (a) The general construction of the vessel shall be such as to minimize fire hazards. | ||||
| 46:46:7.0.1.4.24.5.63.3 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.05 | Subpart 190.05—General Fire Protection | § 190.05-5 Woodwork insulated from heated surfaces. | USCG | (a) Internal combustion engine exhausts, boiler, and galley uptakes, and similar sources of ignition shall be kept clear of and suitably insulated from any woodwork or other combustible matter. | ||||
| 46:46:7.0.1.4.24.5.63.4 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.05 | Subpart 190.05—General Fire Protection | § 190.05-10 Chemical storeroom and lamp room construction. | USCG | (a) Chemical storerooms, lamp, paint, and oil lockers and similar compartments shall be constructed of steel or shall be wholly lined with metal. | ||||
| 46:46:7.0.1.4.24.5.63.5 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.05 | Subpart 190.05—General Fire Protection | § 190.05-15 Segregation of spaces containing the emergency source of electric power. | USCG | (a) When a compartment containing the emergency source of electric power, or vital components thereof, adjoins a space containing either the ship's service generators or machinery necessary for the operation of the ship's service generators, all common bulkheads and/or decks shall be protected by approved “structural insulation” or other approved material. This protection shall be such as to be capable of preventing an excessive temperature rise in the space containing the emergency source of electric power, or vital components thereof, for a period of at least 1 hour in the event of fire in the adjoining space. Bulkheads or decks meeting Class A-60 requirements, as defined by § 72.05-10 of Subchapter H (Passenger Vessels) of this chapter, will be considered as meeting the requirements of this paragraph. | ||||
| 46:46:7.0.1.4.24.5.63.6 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.05 | Subpart 190.05—General Fire Protection | § 190.05-20 Segregation of chemical laboratories and chemical storerooms. | USCG | [CGFR 67-83, 33 FR 1125, Jan. 27, 1968, as amended by USCG-2014-0688, 79 FR 58289, Sept. 29, 2014] | (a) The provisions of this section shall apply to all vessels contracted for on or after March 1, 1968. (b) Chemical storerooms shall not be located in horizontal proximity to nor below accommodation or safety areas. (c) Chemical storerooms shall not be located adjacent to the collision bulkhead, nor boundary divisions of the boilerroom, engineroom, galley, or other high fire hazard area. (d) Chemical laboratories shall not be located adjacent to nor immediately below safety areas. Wherever possible they shall be similarly separated from accommodation spaces and high fire hazard areas such as the galley. | |||
| 46:46:7.0.1.4.24.6.63.1 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.07 | Subpart 190.07—Structural Fire Protection | § 190.07-1 Application. | USCG | [CGFR 67-83, 33 FR 1125, Jan. 27, 1968, as amended by USCG-2012-0196, 81 FR 48301, July 22, 2016] | (a) The provisions of this subpart, with the exception of § 190.07-90, apply to all vessels of 4,000 gross tons or more carrying not more than 150 persons and contracted for on or after March 1, 1968. (b) The provisions of this subpart, with the exception of § 190.07-90, apply to all vessels of 300 gross tons or more, but less than 4,000 gross tons, carrying in excess of 16 persons in the scientific party but not more than 150 persons and contracted for on or after March 1, 1968. (c) Vessels contracted for prior to March 1, 1968, must meet the requirements of § 190.07-90. (d) Those vessels which carry more than 150 persons must meet the requirements in §§ 72.05-5 through 72.05-60 of Subchapter H (Passenger Vessels) of this chapter. (e) Structural fire protection requirements in § 92.07-1(c) of this chapter may be considered equivalent to the provisions of this subpart. | |||
| 46:46:7.0.1.4.24.6.63.2 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.07 | Subpart 190.07—Structural Fire Protection | § 190.07-5 Definitions. | USCG | [CGFR 67-83, 33 FR 1125, Jan. 27, 1968, as amended by CGD 74-155, 41 FR 17910, Apr. 29, 1976] | (a) Standard fire tests. A standard fire test is one which develops in the test furnace a series of time temperature relationships as follows: 5 minutes—1,000 °F. 10 minutes—1,300 °F. 30 minutes—1,550 °F. 60 minutes—1,700 °F. 5 minutes—1,000 °F. 10 minutes—1,300 °F. 30 minutes—1,550 °F. 60 minutes—1,700 °F. (b) A Class divisions. Bulkheads or decks of the A Class shall be composed of steel or equivalent metal construction, suitably stiffened and made intact with the main structure of the vessel; such as shell, structural bulkheads, and decks. They shall be so constructed, that if subjected to the standard fire test, they would be capable of preventing the passage of flame and smoke for 1 hour. (c) B Class bulkheads. Bulkheads of the B Class shall be constructed with approved incombustible materials and made intact from deck to deck and to shell or other boundaries. They shall be so constructed that, if subjected to the standard fire test, they would be capable of preventing the passage of flame for one-half hour. (d) C Class divisions. Bulkheads or decks of the C Class shall be constructed of approved incombustible materials, but need meet no requirements relative to the passage of flame. (e) Steel or other equivalent metal. Where the term steel or other equivalent metal is used in this subpart, it is intended to require a material which, by itself or due to insulation provided, has structural and integrity qualities equivalent to steel at the end of the applicable fire exposure. (f) Approved material. Where in this subpart approved materials are required, they refer to materials approved under the applicable subparts of part 164 of Subchapter Q (Specifications) of this chapter, as follows: | |||
| 46:46:7.0.1.4.24.6.63.3 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.07 | Subpart 190.07—Structural Fire Protection | § 190.07-10 Construction. | USCG | [CGFR 67-83, 33 FR 1125, Jan. 27, 1968, as amended by CGD 84-073, 52 FR 18364, May 15, 1987; 52 FR 22751, June 15, 1987; USCG-2014-0688, 79 FR 58289, Sept. 29, 2014] | (a) The hull, superstructure, structural bulkheads, decks, and deckhouses shall be constructed of steel. Alternately, the Commandant may permit the use of other suitable material in special cases, having in mind the risk of fire. (b) The boundary bulkheads of general laboratory areas, chemical storerooms, galleys, paint and lamp lockers and emergency generator rooms shall be of “A” class construction. (1) Permanently installed divisional bulkheads between laboratories spaces within a general laboratory area may be of B or C class construction. (2) Temporary divisional bulkheads between laboratory spaces within a general laboratory area may be constructed of combustible materials when they are necessary to facilitate a specific scientific mission. (c) The boundary bulkheads and decks separating the accommodations and control stations from hold and machinery spaces, galleys, main pantries, laboratories, and storerooms, other than small service lockers, shall be of “A” Class construction. (1) The boundary bulkheads and decks separating general laboratory areas of 500 square feet or less from accommodations and control stations shall be of “A-15” Class construction as defined by § 72.05-10 of Subchapter H (Passenger Vessels) of this chapter. (2) The boundary bulkheads and decks separating general laboratory areas of over 500 square feet from accommodations and control stations shall be of “A-30” Class construction as defined by § 72.05-10 of Subchapter H (Passenger Vessels) of this chapter. (d) Within the accommodation and service areas the following conditions shall apply: (1) Corridor bulkheads in accommodation spaces shall be of the “A” or “B” Class intact from deck to deck. Stateroom doors in such bulkheads may have a louver in the lower half. (2) Elevator, dumbwaiter, stairtower, and other trunks shall be of “A” Class construction. (3) Bulkheads not already specified to be of “A” or “B” Class construction may be of “A”, “B”, or “C” Class construction. (4) The integrity of any deck in way of a stairway… | |||
| 46:46:7.0.1.4.24.6.63.4 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.07 | Subpart 190.07—Structural Fire Protection | § 190.07-90 Vessels contracted for prior to March 1, 1968. | USCG | (a) Existing structure arrangements and materials previously approved will be considered satisfactory so long as they are maintained in good condition to the satisfaction of the Officer in Charge, Marine Inspection. Minor repairs and alterations may be made to the same standards as the original construction. (b) Conversions, major alterations, new installations, and replacements shall comply with the applicable specifications and requirements in this subpart for new vessels. | ||||
| 46:46:7.0.1.4.24.7.63.1 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.10 | Subpart 190.10—Means of Escape | § 190.10-1 Application. | USCG | (a) The provisions of this subpart, with the exception of § 190.10-90, shall apply to all vessels other than non-self-propelled vessels of less than 300 gross tons, contracted for on or after March 1, 1968. (b) Vessels contracted for prior to March 1, 1968, shall meet the requirements of § 190.10-90. (c) Non-self-propelled vessels of less than 300 gross tons shall not be subject to the provisions of this subpart. | ||||
| 46:46:7.0.1.4.24.7.63.10 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.10 | Subpart 190.10—Means of Escape | § 190.10-45 Weather deck communications. | USCG | (a) Vertical communication shall be provided between the various weather decks by means of permanent inclined ladders. | ||||
| 46:46:7.0.1.4.24.7.63.11 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.10 | Subpart 190.10—Means of Escape | § 190.10-90 Vessels contracted for prior to March 1, 1968. | USCG | (a) Existing arrangements previously approved will be considered satisfactory so long as they are maintained in good condition to the satisfaction of the Officer in Charge, Marine Inspection. Minor repairs and alterations may be made to the same standards as the original design: Provided, That in no case will a greater departure from the standards of §§ 190.10-5 through 190.10-45 be permitted than presently exists. Nothing in this paragraph shall be construed as exempting any vessel from having two means of escape from all main compartments where persons on board may be quartered or normally employed. | ||||
| 46:46:7.0.1.4.24.7.63.2 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.10 | Subpart 190.10—Means of Escape | § 190.10-5 Two means required. | USCG | (a) There shall be at least two means of escape from all general areas where the crew or scientific personnel may be quartered or normally employed. At least one of these two means of escape shall be independent of watertight doors and hatches, except for quick acting watertight doors giving final access to weather decks. | ||||
| 46:46:7.0.1.4.24.7.63.3 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.10 | Subpart 190.10—Means of Escape | § 190.10-10 Location. | USCG | (a) The two means of escape shall be as remote as practicable so as to minimize the possibility of one incident blocking both escapes. | ||||
| 46:46:7.0.1.4.24.7.63.4 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.10 | Subpart 190.10—Means of Escape | § 190.10-15 Vertical ladders not accepted. | USCG | (a) Vertical ladders and deck scuttles shall not in general be considered satisfactory as one of the required means of escape. However, where it is demonstrated that the installation of a stairway would be impracticable, a vertical ladder may be used as the second means of escape. | ||||
| 46:46:7.0.1.4.24.7.63.5 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.10 | Subpart 190.10—Means of Escape | § 190.10-20 No means for locking doors. | USCG | (a) No means shall be provided for locking door giving access to either of the two required means of escape except that crash doors or locking devices, capable of being easily forced in an emergency, may be employed provided a permanent and conspicuous notice to this effect is attached to both sides of the door. This paragraph shall not apply to outside doors to deckhouses where such doors are locked by key only and such key is under the control of one of the vessel's officers. | ||||
| 46:46:7.0.1.4.24.7.63.6 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.10 | Subpart 190.10—Means of Escape | § 190.10-25 Stairway size. | USCG | (a) Stairways shall be of sufficient width having in mind the number of persons having access to such stairs for escape purposes. (b) All interior stairways, other than those within the machinery spaces, shall have minimum width of 28 inches. The angle of inclination with the horizontal of such stairways shall not exceed 50°. (c) Special consideration for relief may be given if it is shown to be unreasonable or impracticable to meet the requirements in this section. | ||||
| 46:46:7.0.1.4.24.7.63.7 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.10 | Subpart 190.10—Means of Escape | § 190.10-30 Dead end corridors. | USCG | (a) Dead end corridors, or the equivalent, more than 40 feet in length shall not be permitted. | ||||
| 46:46:7.0.1.4.24.7.63.8 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.10 | Subpart 190.10—Means of Escape | § 190.10-35 Public spaces. | USCG | (a) In all cases, public spaces having a deck area of over 300 square feet shall have at least two exits. Where practicable, these exits shall give egress to different corridors, rooms, or spaces to minimize the possibility of one incident blocking both exits. | ||||
| 46:46:7.0.1.4.24.7.63.9 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.10 | Subpart 190.10—Means of Escape | § 190.10-40 Access to lifeboats. | USCG | (a) The stairways, corridors, and doors shall be so arranged as to permit a ready and direct access to the various lifeboat and liferaft embarkation areas. | ||||
| 46:46:7.0.1.4.24.8.63.1 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.15 | Subpart 190.15—Ventilation | § 190.15-1 Application. | USCG | (a) The provisions of this subpart, with the exception of § 190.15-90, shall apply to all vessels other than non-self-propelled vessels of less than 300 gross tons, contracted for on or after March 1, 1968. (b) Vessels contracted for prior to March 1, 1968, shall meet the requirements of § 190.15-90. (c) Non-self-propelled vessels of less than 300 gross tons shall not be subject to the provisions of this subpart. | ||||
| 46:46:7.0.1.4.24.8.63.2 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.15 | Subpart 190.15—Ventilation | § 190.15-5 Vessels using fuel having a flashpoint of 110 °F. or lower. | USCG | [CGFR 67-83, 33 FR 1125, Jan. 27, 1968, as amended by USCG-2006-24797, 77 FR 33893, June 7, 2012] | (a) Spaces containing machinery which uses, or tanks which contain, fuel having a flashpoint of 110 °F. or lower shall have natural supply and mechanical exhaust ventilation as required by this section. (b) The mechanical exhaust system shall be such as to assure the air changes as noted in Table 190.15-5(b) depending on the size of the space. Table 190.15-5( b ) (c) Exhaust blower motors, unless of a totally enclosed, explosion-proof type, shall be located outside of the ducts and outside of the compartment required to be ventilated. Exhaust blower motors if mounted in any compartment shall be located as high above the bilge as practicable. Blower blades shall be nonsparking with reference to their housings. (d) Exhaust blower switches shall be located outside of any space required to be ventilated by this section, and shall be of the type interlocked with the ignition switch so that the blowers are started before the engine ignition is switched on. A red warning sign at the switch shall state that the blowers shall be operated prior to starting the engines for a sufficient time to insure at least one complete change of air in the compartments. (e) The area of the ducts shall be such as to limit the air velocity to a maximum of 2,000 feet per minute. Ducts may be of any shape: Provided, That in no case shall one cross section dimension exceed twice the other. (f) At least two inlet ducts shall be located at one end of the compartment and they shall extend to the lowest part of the compartment or bilge on each side. Similar exhaust ducts shall be led to the mechanical exhaust system from the lowest part of the compartment or bilge on each side of the compartment at the end opposite from that at which the inlet ducts are fitted. These ducts shall be so installed that ordinary collection of water in the bilge will not close off the ducts. (g) All ducts shall be of steel construction and reasonably gastight from end to end. The ducts shall lead as direct as possible and be properly fastened and supported. … | |||
| 46:46:7.0.1.4.24.8.63.3 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.15 | Subpart 190.15—Ventilation | § 190.15-10 Ventilation for closed spaces. | USCG | (a) All enclosed spaces within the vessel shall be properly vented or ventilated. Means shall be provided to close off all vents and ventilators. (b) Means shall be provided for stopping all fans in ventilation systems serving the chemical laboratories, scientific laboratories, chemical storerooms, and machinery spaces and for closing all doorways, ventilators, and annular spaces around funnels and other openings to such spaces, from outside these spaces, in case of fire. (c) See §§ 194.15-5 and 194.20-5 of this subchapter for ventilation of chemical laboratories, scientific laboratories, and storerooms. | ||||
| 46:46:7.0.1.4.24.8.63.4 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.15 | Subpart 190.15—Ventilation | § 190.15-15 Ventilation for living spaces and quarters. | USCG | (a) All living spaces shall be adequately ventilated in a manner suitable to the purpose of the space. (b) All spaces used as quarters for crewmembers and scientific personnel shall be ventilated by a mechanical system unless it can be shown that a natural system will provide adequate ventilation. By a natural system is meant those spaces so located that the windows, ports, skylights, etc., and doors to passageways can be kept open and thereby provide adequate ventilation under all ordinary conditions of weather. | ||||
| 46:46:7.0.1.4.24.8.63.5 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.15 | Subpart 190.15—Ventilation | § 190.15-90 Vessels contracted for prior to March 1, 1968. | USCG | (a) Existing arrangements previously approved will be considered satisfactory so long as they are maintained in good condition to the satisfaction of the Officer in Charge, Marine Inspection. Minor repairs and alterations may be made to the same standards as the original design: Provided, That in no case will a greater departure from the standards of §§ 190.15-5 through 190.15-15 be permitted than presently exists. | ||||
| 46:46:7.0.1.4.24.9.63.1 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.20 | Subpart 190.20—Accomodations for Officers, Crew, and Scientific Personnel | § 190.20-1 Application. | USCG | (a) Except as noted below, the provisions of this subpart apply to all vessels contracted for on or after March 1, 1968. (b) Vessels contracted for prior to March 1, 1968, must meet the requirements of § 190.20-90. | ||||
| 46:46:7.0.1.4.24.9.63.10 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.20 | Subpart 190.20—Accomodations for Officers, Crew, and Scientific Personnel | § 190.20-45 Lighting. | USCG | Each berth must have a light. | ||||
| 46:46:7.0.1.4.24.9.63.11 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.20 | Subpart 190.20—Accomodations for Officers, Crew, and Scientific Personnel | § 190.20-50 Heating and cooling. | USCG | (a) All manned spaces must be adequately heated and cooled in a manner suitable to the purpose of the space. (b) Radiators and other heating apparatus must be so placed and shielded, where necessary, to avoid risk of fire, danger or discomfort to the occupants. Pipes leading to radiators or heating apparatus must be insulated where those pipes create a hazard to persons occupying the space. | ||||
| 46:46:7.0.1.4.24.9.63.12 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.20 | Subpart 190.20—Accomodations for Officers, Crew, and Scientific Personnel | § 190.20-55 Insect screens. | USCG | Provisions must be made to protect the crew quarters against the admission of insects. | ||||
| 46:46:7.0.1.4.24.9.63.13 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.20 | Subpart 190.20—Accomodations for Officers, Crew, and Scientific Personnel | § 190.20-90 Vessels contracted for prior to March 1, 1968. | USCG | Existing structures, arrangements, materials, and facilities previously approved will be considered satisfactory so long as they are maintained in good condition to the satisfaction of the Officer in Charge, Marine Inspection. Minor repairs and alterations may be made to the same standards as the original construction, provided that in no case will a greater departure from the standards of §§ 190.20-5 through 190.20-55 be permitted than presently exists. | ||||
| 46:46:7.0.1.4.24.9.63.2 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.20 | Subpart 190.20—Accomodations for Officers, Crew, and Scientific Personnel | § 190.20-5 Intent. | USCG | (a) The accommodations provided for officers, crew, and scientific personnel on all vessels must be securely constructed, properly lighted, heated, drained, ventilated, equipped, located, arranged, and, where practicable, shall be insulated from undue noise, heat, and odors. (b) Provided the intent of this subpart is met, consideration may be given by the Officer in Charge, Marine Inspection to relax the requirements relating to the size and separation of accommodations for scientific personnel. | ||||
| 46:46:7.0.1.4.24.9.63.3 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.20 | Subpart 190.20—Accomodations for Officers, Crew, and Scientific Personnel | § 190.20-10 Location of crew spaces. | USCG | (a) Crew quarters must not be located farther forward in the vessel than a vertical plane located at 5 percent of the vessel's length abaft the forward side of the stem at the designated summer load water line. However, for vessels in other than ocean or coastwise service, this distance need not exceed 8.5 meters (28 feet). For purpose of this paragraph, the vessel's length shall be as defined in § 43.15-1 of subchapter E (Load Lines) of this chapter. Unless approved by the Commandant, no section of the deck head of the crew spaces may be below the deepest load line. (b) There must be no direct communication, except through solid, close fitted doors or hatches between crew spaces and chain lockers, or machinery spaces. | ||||
| 46:46:7.0.1.4.24.9.63.4 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.20 | Subpart 190.20—Accomodations for Officers, Crew, and Scientific Personnel | § 190.20-15 Construction. | USCG | All crew spaces are to be constructed and arranged in a manner suitable to the purpose for which they are intended and so they can be kept in a clean, workable and sanitary condition. | ||||
| 46:46:7.0.1.4.24.9.63.5 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.20 | Subpart 190.20—Accomodations for Officers, Crew, and Scientific Personnel | § 190.20-20 Sleeping accommodations. | USCG | (a) Where practicable, each licensed officer must be provided with a separate stateroom. (b) Sleeping accommodations for the crew must be divided into rooms, no one of which must berth more than 4 persons. (c) Each room must be of such size that there are at least 2.78 square meters (30 square feet) of deck area and a volume of at least 5.8 cubic meters (210 cubic feet) for each person accommodated. The clear head room must be not less than 190 centimeters (75 inches). In measuring sleeping accommodations any furnishings contained therein for the use of the occupants are not to be deducted from the total volume or from the deck area. (d) Each person shall have a separate berth and not more than one berth may be placed above another. The berth must be composed of materials not likely to corrode. The overall size of a berth must not be less than 68 centimeters (27 inches) wide by 190 centimeters (75 inches) long, except by special permission of the Commandant. Where two tiers of berths are fitted, the bottom of the lower berth must not be less than 30 centimeters (12 inches) above the deck. The berths must not be obstructed by pipes, ventilating ducts, or other installations. (e) A locker must be provided for each person accommodated in a room. | ||||
| 46:46:7.0.1.4.24.9.63.6 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.20 | Subpart 190.20—Accomodations for Officers, Crew, and Scientific Personnel | § 190.20-25 Washrooms and toilet rooms. | USCG | (a) There must be provided at least 1 toilet, 1 washbasin, and 1 shower or bathtub for each 8 members or portion thereof in the crew to be accommodated who do not occupy rooms to which private or semi-private facilities are attached. (b) The toilet rooms and washrooms must be located convenient to the sleeping quarters of the crew to which they are allotted but must not open directly into such quarters except when they are provided as private or semi-private facilities. (c) All washbasins, showers, and bathtubs must be equipped with adequate plumbing, including hot and cold running water. All toilets must be installed with adequate plumbing for flushing. Where more than 1 toilet is located in a space or compartment, each toilet must be separated by partitions. | ||||
| 46:46:7.0.1.4.24.9.63.7 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.20 | Subpart 190.20—Accomodations for Officers, Crew, and Scientific Personnel | § 190.20-30 Messrooms. | USCG | (a) Messrooms must be located as near to the galley as is practicable except where the messroom is equipped with a steam table. (b) Each messroom must seat the number of persons expected to eat in the messroom at one time. | ||||
| 46:46:7.0.1.4.24.9.63.8 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.20 | Subpart 190.20—Accomodations for Officers, Crew, and Scientific Personnel | § 190.20-35 Hospital space. | USCG | (a) Except as specifically modified by paragraph (f) of this section, each vessel which in the ordinary course of its trade makes voyages of more than 3 days duration between ports and which carries a crew of 12 or more, must be provided with a hospital space. This space must be situated with regard to the comfort of the sick so that they may receive proper attention in all weather. (b) The hospital must be suitably separated from other spaces and must be used for the care of the sick and for no other purpose. (c) The hospital must be fitted with berths in the ratio of 1 berth to every 12 members of the crew or portion thereof who are not berthed in single occupancy rooms, but the number of berths need not exceed 6. Where all single occupancy rooms are provided, the requirement for a separate hospital may be withdrawn, provided that 1 stateroom is fitted with a bunk accessible from both sides. (d) [Reserved] (e) The hospital must have a toilet, washbasin, and bathtub or shower conveniently situated. Other necessary suitable equipment such as a clothes locker, a table and a seat must be provided. (f) On vessels in which the crew is berthed in single occupancy rooms, a hospital space will not be required, provided that 1 room must be designated and fitted with use as a treatment or isolation room. This room must meet the following standards: (1) The room must be available for immediate medical use; and (2) A washbasin with hot and cold running water must be installed either in or immediately adjacent to the space and other required sanitary facilities must be conveniently located. | ||||
| 46:46:7.0.1.4.24.9.63.9 | 46 | Shipping | I | U | 190 | PART 190—CONSTRUCTION AND ARRANGEMENT | 190.20 | Subpart 190.20—Accomodations for Officers, Crew, and Scientific Personnel | § 190.20-40 Other spaces. | USCG | Each vessel shall have— (a) Sufficient facilities where the crew may wash and dry their own clothes, including at least 1 sink supplied with hot and cold fresh water; (b) Recreation spaces; and (c) A space or spaces of adequate size on the open deck to which the crew has access when off duty. | ||||
| 49:49:3.1.1.2.6.1.5.1 | 49 | Transportation | I | D | 190 | PART 190—PIPELINE SAFETY ENFORCEMENT AND REGULATORY PROCEDURES | A | Subpart A—General | § 190.1 Purpose and scope. | PHMSA | [45 FR 20413, Mar. 27, 1980, as amended by Amdt. 190-6, 61 FR 18512, Apr. 26, 1996; 70 FR 11137, Mar. 8, 2005; Amdt. 190-16, 78 FR 58908, Sept. 25, 2013] | (a) This part prescribes procedures used by the Pipeline and Hazardous Materials Safety Administration in carrying out duties regarding pipeline safety under 49 U.S.C. 60101 et seq. (the pipeline safety laws) and 33 U.S.C. 1321 (the water pollution control laws). (b) This subpart defines certain terms and prescribes procedures that are applicable to each proceeding described in this part. | |||
| 49:49:3.1.1.2.6.1.5.2 | 49 | Transportation | I | D | 190 | PART 190—PIPELINE SAFETY ENFORCEMENT AND REGULATORY PROCEDURES | A | Subpart A—General | § 190.3 Definitions. | PHMSA | [Amdt. 190-6, 61 FR 18513, Apr. 26, 1996, as amended at 68 FR 11749, Mar. 12, 2003; 70 FR 11137, Mar. 8, 2005; Amdt. 190-15, 74 FR 62505, Nov. 30, 2009; Amdt. 190-16, 78 FR 58908, Sept. 25, 2013; Amdt. 190-18, 81 FR 70985, Oct. 14, 2016; Amdt. 190-19, 82 FR 7995, Jan. 23, 2017; Amdt. 190-21, 84 FR 52026, Oct. 1, 2019; Amdt. 190-23, 90 FR 28046, July 1, 2025] | As used in this part: Administrator means the Administrator, Pipeline and Hazardous Materials Safety Administration or his or her delegate. Associate Administrator means the Associate Administrator for Pipeline Safety, or his or her delegate. Chief Counsel means the Chief Counsel of PHMSA. Day means a 24-hour period ending at 11:59 p.m. Unless otherwise specified, a day refers to a calendar day. When a deadline mandated by this part is scheduled to fall on a day that is a Saturday, Sunday, or Federal holiday, the deadline will be adjusted to the next business day. Emergency order means a written order issued in response to an imminent hazard imposing restrictions, prohibitions, or safety measures on owners and operators of gas or hazardous liquid pipeline facilities, without prior notice or an opportunity for a hearing. Formal hearing means a formal review in accordance with 5 U.S.C. 554, conducted by an administrative law judge. Hearing means an informal conference or a proceeding for oral presentation. Unless otherwise specifically prescribed in this part, the use of “hearing” is not intended to require a hearing on the record in accordance with section 554 of title 5, U.S.C. Imminent hazard means the existence of a condition relating to a gas or hazardous liquid pipeline facility that presents a substantial likelihood that death, serious illness, severe personal injury, or a substantial endangerment to health, property, or the environment may occur before the reasonably foreseeable completion date of a formal proceeding begun to lessen the risk of such death, illness, injury or endangerment. New and novel technologies means any products, designs, materials, testing, construction, inspection, or operational procedures that are not addressed in 49 CFR parts 192, 193, or 195, due to technology or design advances and innovation for new construction. Technologies that are addressed in consensus standards that are incorporated by reference into parts 192, 193, and 195 are not “new or novel technolo… | |||
| 49:49:3.1.1.2.6.1.5.3 | 49 | Transportation | I | D | 190 | PART 190—PIPELINE SAFETY ENFORCEMENT AND REGULATORY PROCEDURES | A | Subpart A—General | § 190.5 Service. | PHMSA | [45 FR 20413, Mar. 27, 1980, as amended at 73 FR 16567, Mar. 28, 2008; Amdt. 190-16, 78 FR 58909, Sept. 25, 2013; Amdt. 190-18, 81 FR 70985, Oct. 14, 2016; Amdt. 190-21, 84 FR 52026, Oct. 1, 2019] | (a) Each order, notice, or other document required to be served under this part, will be served personally, by certified mail, overnight courier, or electronic transmission by facsimile or other electronic means that includes reliable acknowledgement of actual receipt. (b) Service upon a person's duly authorized representative or agent constitutes service upon that person. (c) Service by certified mail or overnight courier is complete upon mailing. Service by electronic transmission is complete upon transmission and acknowledgement of receipt. An official receipt for the mailing from the U.S. Postal Service or overnight courier, or a facsimile or other electronic transmission confirmation, constitutes prima facie evidence of service. | |||
| 49:49:3.1.1.2.6.1.5.4 | 49 | Transportation | I | D | 190 | PART 190—PIPELINE SAFETY ENFORCEMENT AND REGULATORY PROCEDURES | A | Subpart A—General | § 190.7 Subpoenas; witness fees. | PHMSA | [45 FR 20413, Mar. 27, 1980, as amended by Amdt. 190-6, 61 FR 18513, Apr. 26, 1996; Amdt. 190-7, 63 FR 7722, Feb. 17, 1998; 70 FR 11137, Mar. 8, 2005; Amdt. 190-16, 78 FR 58909, Sept. 25, 2013] | (a) The Administrator, Chief Counsel, or the official designated by the Administrator to preside over a hearing convened in accordance with this part, may sign and issue subpoenas individually on his or her own initiative at any time, including pursuant to an inspection or investigation, or upon request and adequate showing by a participant to an enforcement proceeding that the information sought will materially advance the proceeding. (b) A subpoena may require the attendance of a witness, or the production of documentary or other tangible evidence in the possession or under the control of person served, or both. (c) A subpoena may be served personally by any person who is not an interested person and is not less than 18 years of age, or by certified mail. (d) Service of a subpoena upon the person named in the subpoena is achieved by delivering a copy of the subpoena to the person and by paying the fees for one day's attendance and mileage, as specified by paragraph (g) of this section. When a subpoena is issued at the instance of any officer or agency of the United States, fees and mileage need not be tendered at the time of service. Delivery of a copy of a subpoena and tender of the fees to a natural person may be made by handing them to the person, leaving them at the person's office with a person in charge, leaving them at the person's residence with a person of suitable age and discretion residing there, by mailing them by certified mail to the person at the last known address, or by any method whereby actual notice is given to the person and the fees are made available prior to the return date. (e) When the person to be served is not a natural person, delivery of a copy of the subpoena and tender of the fees may be achieved by handing them to a designated agent or representative for service, or to any officer, director, or agent in charge of any office of the person, or by mailing them by certified mail to that agent or representative and the fees are made available prior to the return date. (f) The o… | |||
| 49:49:3.1.1.2.6.1.5.5 | 49 | Transportation | I | D | 190 | PART 190—PIPELINE SAFETY ENFORCEMENT AND REGULATORY PROCEDURES | A | Subpart A—General | § 190.9 Petitions for finding or approval. | PHMSA | [Amdt. 190-5, 59 FR 17280, Apr. 12, 1994, as amended by Amdt. 190-6, 61 FR 18513, Apr. 26, 1996; 70 FR 11137, Mar. 8, 2005; 73 FR 16566, Mar. 28, 2008] | (a) In circumstances where a rule contained in parts 192, 193 and 195 of this chapter authorizes the Administrator to make a finding or approval, an operator may petition the Administrator for such a finding or approval. (b) Each petition must refer to the rule authorizing the action sought and contain information or arguments that justify the action. Unless otherwise specified, no public proceeding is held on a petition before it is granted or denied. After a petition is received, the Administrator or participating state agency notifies the petitioner of the disposition of the petition or, if the request requires more extensive consideration or additional information or comments are requested and delay is expected, of the date by which action will be taken. (1) For operators seeking a finding or approval involving intrastate pipeline transportation, petitions must be sent to: (i) The State agency certified to participate under 49 U.S.C. 60105. (ii) Where there is no state agency certified to participate, the Administrator, Pipeline and Hazardous Materials Safety Administration, 1200 New Jersey Avenue, SE, Washington, DC 20590. (2) For operators seeking a finding or approval involving interstate pipeline transportation, petitions must be sent to the Administrator, Pipeline and Hazardous Materials Safety Administration, 1200 New Jersey Avenue, SE, Washington, DC 20590. (c) All petitions must be received at least 90 days prior to the date by which the operator requests the finding or approval to be made. (d) The Administrator will make all findings or approvals of petitions initiated under this section. A participating state agency receiving petitions initiated under this section shall provide the Administrator a written recommendation as to the disposition of any petition received by them. Where the Administrator does not reverse or modify a recommendation made by a state agency within 10 business days of its receipt, the recommended disposition shall constitute the Administrator's decision on the petition. | |||
| 49:49:3.1.1.2.6.1.5.6 | 49 | Transportation | I | D | 190 | PART 190—PIPELINE SAFETY ENFORCEMENT AND REGULATORY PROCEDURES | A | Subpart A—General | § 190.11 Availability of informal guidance and interpretive assistance. | PHMSA | [Amdt. 190-16, 78 FR 58909, Sept. 25, 2013] | (a) Availability of telephonic and Internet assistance. PHMSA has established a Web site and a telephone line to OPS headquarters where information on and advice about compliance with the pipeline safety regulations specified in 49 CFR parts 190-199 is available. The Web site and telephone line are staffed by personnel from PHMSA's OPS from 9:00 a.m. through 5:00 p.m., Eastern Time, Monday through Friday, with the exception of Federal holidays. When the lines are not staffed, individuals may leave a recorded voicemail message or post a message on the OPS Web site. The telephone number for the OPS information line is (202) 366-4595 and the OPS Web site can be accessed via the Internet at http://phmsa.dot.gov/pipeline. (b) Availability of written interpretations. A written regulatory interpretation, response to a question, or an opinion concerning a pipeline safety issue may be obtained by submitting a written request to the Office of Pipeline Safety (PHP-30), PHMSA, U.S. Department of Transportation, 1200 New Jersey Avenue SE., Washington, DC 20590-0001. The requestor must include his or her return address and should also include a daytime telephone number. Written requests should be submitted at least 120 days before the time the requestor needs a response. | |||
| 49:49:3.1.1.2.6.2.5.1 | 49 | Transportation | I | D | 190 | PART 190—PIPELINE SAFETY ENFORCEMENT AND REGULATORY PROCEDURES | B | Subpart B—Enforcement | § 190.201 Purpose and scope. | PHMSA | [45 FR 20413, Mar. 27, 1980, as amended by Amdt. 190-6, 61 FR 18513, Apr. 26, 1996; Amdt. 190-16, 78 FR 58909, Sept. 25, 2013] | (a) This subpart describes the enforcement authority and sanctions exercised by the Associate Administrator for achieving and maintaining pipeline safety and compliance under 49 U.S.C. 60101 et seq., 33 U.S.C. 1321(j), and any regulation or order issued thereunder. It also prescribes the procedures governing the exercise of that authority and the imposition of those sanctions. (b) A person who is the subject of action pursuant to this subpart may be represented by legal counsel at all stages of the proceeding. | |||
| 49:49:3.1.1.2.6.2.5.10 | 49 | Transportation | I | D | 190 | PART 190—PIPELINE SAFETY ENFORCEMENT AND REGULATORY PROCEDURES | B | Subpart B—Enforcement | § 190.212 Presiding official, powers, and duties. | PHMSA | [Amdt. 190-16, 78 FR 58911, Sept. 25, 2013] | (a) General. The Presiding Official for a hearing conducted under § 190.211 is an attorney on the staff of the Deputy Chief Counsel who is not engaged in any investigative or prosecutorial functions, such as the issuance of notices under this subpart. If the designated Presiding Official is unavailable, the Deputy Chief Counsel may delegate the powers and duties specified in this section to another attorney in the Office of Chief Counsel who is not engaged in any investigative or prosecutorial functions under this subpart. (b) Time and place of the hearing. The Presiding Official will set the date, time and location of the hearing. To the extent practicable, the Presiding Official will accommodate the parties' schedules when setting the hearing. Reasonable notice of the hearing will be provided to all parties. (c) Powers and duties of Presiding Official. The Presiding Official will conduct a fair and impartial hearing and take all action necessary to avoid delay in the disposition of the proceeding and maintain order. The Presiding Official has all powers necessary to achieve those ends, including, but not limited to the power to: (1) Regulate the course of the hearing and conduct of the parties and their counsel; (2) Receive evidence and inquire into the relevant and material facts; (3) Require the submission of documents and other information; (4) Direct that documents or briefs relate to issues raised during the course of the hearing; (5) Set the date for filing documents, briefs, and other items; (6) Prepare a recommended decision; and (7) Exercise the authority necessary to carry out the responsibilities of the Presiding Official under this subpart. | |||
| 49:49:3.1.1.2.6.2.5.11 | 49 | Transportation | I | D | 190 | PART 190—PIPELINE SAFETY ENFORCEMENT AND REGULATORY PROCEDURES | B | Subpart B—Enforcement | § 190.213 Final order. | PHMSA | [Amdt. 190-16, 78 FR 58911, Sept. 25, 2013] | (a) In an enforcement proceeding commenced under § 190.207, an attorney from the Office of Chief Counsel prepares a recommended decision after expiration of the 30-day response period prescribed in § 190.208. If a hearing is held, the Presiding Official prepares the recommended decision as set forth in § 190.211. The recommended decision is forwarded to the Associate Administrator who considers the case file and issues a final order. The final order includes— (1) A statement of findings and determinations on all material issues, including a determination as to whether each alleged violation has been proved; (2) If a civil penalty is assessed, the amount of the penalty and the procedures for payment of the penalty, provided that the assessed civil penalty may not exceed the penalty proposed in the notice of probable violation; and (3) If a compliance order is issued, a statement of the actions required to be taken by the respondent and the time by which such actions must be accomplished. (b) In cases where a substantial delay is expected in the issuance of a final order, notice of that fact and the date by which it is expected that action will be taken is provided to the respondent upon request and whenever practicable. | |||
| 49:49:3.1.1.2.6.2.5.12 | 49 | Transportation | I | D | 190 | PART 190—PIPELINE SAFETY ENFORCEMENT AND REGULATORY PROCEDURES | B | Subpart B—Enforcement | § 190.215 [Reserved] | PHMSA | |||||
| 49:49:3.1.1.2.6.2.5.13 | 49 | Transportation | I | D | 190 | PART 190—PIPELINE SAFETY ENFORCEMENT AND REGULATORY PROCEDURES | B | Subpart B—Enforcement | § 190.217 Compliance orders generally. | PHMSA | [Amdt. 190-16, 78 FR 58912, Sept. 25, 2013] | When a Regional Director has reason to believe that a person is engaging in conduct that violates 49 U.S.C. 60101 et seq., 33 U.S.C. 1321(j), or any regulation or order issued thereunder, and if the nature of the violation and the public interest so warrant, the Regional Director may initiate proceedings under §§ 190.207 through 190.213 to determine the nature and extent of the violations and for the issuance of an order directing compliance. | |||
| 49:49:3.1.1.2.6.2.5.14 | 49 | Transportation | I | D | 190 | PART 190—PIPELINE SAFETY ENFORCEMENT AND REGULATORY PROCEDURES | B | Subpart B—Enforcement | § 190.219 Consent order. | PHMSA | [45 FR 20413, Mar. 27, 1980, as amended by Amdt. 190-6, 61 FR 18514, Apr. 26, 1996; Amdt. 190-16, 78 FR 58912, Sept. 25, 2013] | (a) At any time prior to the issuance of a compliance order under § 190.217, a corrective action order under § 190.233, or a safety order under § 190.239, the Regional Director and the respondent may agree to resolve the case by execution of a consent agreement and order, which may be jointly executed by the parties and issued by the Associate Administrator. Upon execution, the consent order is considered a final order under § 190.213. (b) A consent order executed under paragraph (a) of this section shall include: (1) An admission by the respondent of all jurisdictional facts; (2) An express waiver of further procedural steps and of all right to seek judicial review or otherwise challenge or contest the validity of that order; (3) An acknowledgement that the notice of probable violation may be used to construe the terms of the consent order; and (4) A statement of the actions required of the respondent and the time by which such actions shall be accomplished. (c) Prior to the execution of a consent agreement and order arising out of a corrective action order under § 190.233, the Associate Administrator will notify any appropriate State official in accordance with 49 U.S.C. 60112(c). | |||
| 49:49:3.1.1.2.6.2.5.2 | 49 | Transportation | I | D | 190 | PART 190—PIPELINE SAFETY ENFORCEMENT AND REGULATORY PROCEDURES | B | Subpart B—Enforcement | § 190.203 Inspections and investigations. | PHMSA | [45 FR 20413, Mar. 27, 1980, as amended by Amdt. 190-3, 56 FR 31090, July 9, 1991; Amdt. 190-6, 61 FR 18513, Apr. 26, 1996; Amdt. 190-7, 61 FR 27792, June 3, 1996; Amdt. 190-7, 63 FR 7722, Feb. 17, 1998; 70 FR 11137, Mar. 8, 2005; Amdt. 190-16, 78 FR 58909, Sept. 25, 2013] | (a) Officers, employees, or agents authorized by the Associate Administrator for Pipeline Safety, PHMSA, upon presenting appropriate credentials, are authorized to enter upon, inspect, and examine, at reasonable times and in a reasonable manner, the records and properties of persons to the extent such records and properties are relevant to determining the compliance of such persons with the requirements of 49 U.S.C. 60101 et seq., or regulations or orders issued thereunder. (b) Inspections are ordinarily conducted pursuant to one of the following: (1) Routine scheduling by the Regional Director of the Region in which the facility is located; (2) A complaint received from a member of the public; (3) Information obtained from a previous inspection; (4) Report from a State Agency participating in the Federal Program under 49 U.S.C. 60105; (5) Pipeline accident or incident; or (6) Whenever deemed appropriate by the Associate Administrator. (c) If the Associate Administrator or Regional Director believes that further information is needed to determine appropriate action, the Associate Administrator or Regional Director may notify the pipeline operator in writing that the operator is required to provide specific information within 30 days from the time the notification is received by the operator, unless otherwise specified in the notification. The notification must provide a reasonable description of the specific information required. An operator may request an extension of time to respond by providing a written justification as to why such an extension is necessary and proposing an alternative submission date. A request for an extension may ask for the deadline to be stayed while the extension is considered. General statements of hardship are not acceptable bases for requesting an extension. (d) To the extent necessary to carry out the responsibilities under 49 U.S.C. 60101 et seq., the Administrator, or the Associate Administrator, may require testing of portions of pipeline facilities that have been in… | |||
| 49:49:3.1.1.2.6.2.5.3 | 49 | Transportation | I | D | 190 | PART 190—PIPELINE SAFETY ENFORCEMENT AND REGULATORY PROCEDURES | B | Subpart B—Enforcement | § 190.205 Warnings. | PHMSA | [Amdt. 190-16, 78 FR 58909, Sept. 25, 2013] | Upon determining that a probable violation of 49 U.S.C. 60101 et seq., 33 U.S.C. 1321(j), or any regulation or order issued thereunder has occurred, the Associate Administrator or a Regional Director may issue a written warning notifying the operator of the probable violation and advising the operator to correct it or be subject to potential enforcement action in the future. The operator may submit a response to a warning, but is not required to. An adjudication under this subpart to determine whether a violation occurred is not conducted for warnings. | |||
| 49:49:3.1.1.2.6.2.5.4 | 49 | Transportation | I | D | 190 | PART 190—PIPELINE SAFETY ENFORCEMENT AND REGULATORY PROCEDURES | B | Subpart B—Enforcement | § 190.206 Amendment of plans or procedures. | PHMSA | [Amdt. 190-16, 78 FR 58910, Sept. 25, 2013] | (a) A Regional Director begins a proceeding to determine whether an operator's plans or procedures required under parts 192, 193, 195, and 199 of this subchapter are inadequate to assure safe operation of a pipeline facility by issuing a notice of amendment. The notice will specify the alleged inadequacies and the proposed revisions of the plans or procedures and provide an opportunity to respond. The notice will allow the operator 30 days following receipt of the notice to submit written comments, revised procedures, or a request for a hearing under § 190.211. (b) After considering all material presented in writing or at the hearing, if applicable, the Associate Administrator determines whether the plans or procedures are inadequate as alleged. The Associate Administrator issues an order directing amendment of the plans or procedures if they are inadequate, or withdraws the notice if they are not. In determining the adequacy of an operator's plans or procedures, the Associate Administrator may consider: (1) Relevant pipeline safety data; (2) Whether the plans or procedures are appropriate for the particular type of pipeline transportation or facility, and for the location of the facility; (3) The reasonableness of the plans or procedures; and (4) The extent to which the plans or procedures contribute to public safety. (c) An order directing amendment of an operator's plans or procedures prescribed in this section may be in addition to, or in conjunction with, other appropriate enforcement actions prescribed in this subpart. | |||
| 49:49:3.1.1.2.6.2.5.5 | 49 | Transportation | I | D | 190 | PART 190—PIPELINE SAFETY ENFORCEMENT AND REGULATORY PROCEDURES | B | Subpart B—Enforcement | § 190.207 Notice of probable violation. | PHMSA | [45 FR 20413, Mar. 27, 1980, as amended by Amdt. 190-6, 61 FR 18513, Apr. 26, 1996; Amdt. 190-16, 78 FR 58910, Sept. 25, 2013] | (a) Except as otherwise provided by this subpart, a Regional Director begins an enforcement proceeding by serving a notice of probable violation on a person charging that person with a probable violation of 49 U.S.C. 60101 et seq., 33 U.S.C. 1321(j), or any regulation or order issued thereunder. (b) A notice of probable violation issued under this section shall include: (1) Statement of the provisions of the laws, regulations or orders which the respondent is alleged to have violated and a statement of the evidence upon which the allegations are based; (2) Notice of response options available to the respondent under § 190.208; (3) If a civil penalty is proposed under § 190.221, the amount of the proposed civil penalty and the maximum civil penalty for which respondent is liable under law; and (4) If a compliance order is proposed under § 190.217, a statement of the remedial action being sought in the form of a proposed compliance order. (c) The Regional Director may amend a notice of probable violation at any time prior to issuance of a final order under § 190.213. If an amendment includes any new material allegations of fact, proposes an increased civil penalty amount, or proposes new or additional remedial action under § 190.217, the respondent will have the opportunity to respond under § 190.208. | |||
| 49:49:3.1.1.2.6.2.5.6 | 49 | Transportation | I | D | 190 | PART 190—PIPELINE SAFETY ENFORCEMENT AND REGULATORY PROCEDURES | B | Subpart B—Enforcement | § 190.208 Response options. | PHMSA | [Amdt. 190-16, 78 FR 58910, Sept. 25, 2013] | Within 30 days of receipt of a notice of probable violation, the respondent must answer the Regional Director who issued the notice in the following manner: (a) When the notice contains a proposed civil penalty— (1) If the respondent is not contesting an allegation of probable violation, pay the proposed civil penalty as provided in § 190.227 and advise the Regional Director of the payment. The payment authorizes the Associate Administrator to make a finding of violation and to issue a final order under § 190.213; (2) If the respondent is not contesting an allegation of probable violation but wishes to submit a written explanation, information, or other materials the respondent believes may warrant mitigation or elimination of the proposed civil penalty, the respondent may submit such materials. This authorizes the Associate Administrator to make a finding of violation and to issue a final order under § 190.213; (3) If the respondent is contesting one or more allegations of probable violation but is not requesting a hearing under § 190.211, the respondent may submit a written response in answer to the allegations; or (4) The respondent may request a hearing under § 190.211. (b) When the notice contains a proposed compliance order— (1) If the respondent is not contesting an allegation of probable violation, agree to the proposed compliance order. This authorizes the Associate Administrator to make a finding of violation and to issue a final order under § 190.213; (2) Request the execution of a consent order under § 190.219; (3) If the respondent is contesting one or more of the allegations of probable violation or compliance terms, but is not requesting a hearing under § 190.211, the respondent may object to the proposed compliance order and submit written explanations, information, or other materials in answer to the allegations in the notice of probable violation; or (4) The respondent may request a hearing under § 190.211. (c) Before or after responding in accordance with paragraph (a) of this sectio… | |||
| 49:49:3.1.1.2.6.2.5.7 | 49 | Transportation | I | D | 190 | PART 190—PIPELINE SAFETY ENFORCEMENT AND REGULATORY PROCEDURES | B | Subpart B—Enforcement | § 190.209 Case file. | PHMSA | [Amdt. 190-16, 78 FR 58910, Sept. 25, 2013] | (a) The case file, as defined in this section, is available to the respondent in all enforcement proceedings conducted under this subpart. (b) The case file of an enforcement proceeding consists of the following: (1) In cases commenced under § 190.206, the notice of amendment and the relevant procedures; (2) In cases commenced under § 190.207, the notice of probable violation and the violation report; (3) In cases commenced under § 190.233, the corrective action order or notice of proposed corrective action order and the data report, if one is prepared; (4) In cases commenced under § 190.239, the notice of proposed safety order; (5) Any documents and other material submitted by the respondent in response to the enforcement action; (6) In cases involving a hearing, any material submitted during and after the hearing as set forth in § 190.211; and (7) The Regional Director's written evaluation of response material submitted by the respondent and recommendation for final action, if one is prepared. | |||
| 49:49:3.1.1.2.6.2.5.8 | 49 | Transportation | I | D | 190 | PART 190—PIPELINE SAFETY ENFORCEMENT AND REGULATORY PROCEDURES | B | Subpart B—Enforcement | § 190.210 Separation of functions. | PHMSA | [Amdt. 190-16, 78 FR 58911, Sept. 25, 2013] | (a) General. An agency employee who assists in the investigation or prosecution of an enforcement case may not participate in the decision of that case or a factually related one, but may participate as a witness or counsel at a hearing as set forth in this subpart. Likewise, an agency employee who prepares a decision in an enforcement case may not have served in an investigative or prosecutorial capacity in that case or a factually related one. (b) Prohibition on ex parte communications. A party to an enforcement proceeding, including the respondent, its representative, or an agency employee having served in an investigative or prosecutorial capacity in the proceeding, may not communicate privately with the Associate Administrator, Presiding Official, or attorney drafting the recommended decision concerning information that is relevant to the questions to be decided in the proceeding. A party may communicate with the Presiding Official regarding administrative or procedural issues, such as for scheduling a hearing. | |||
| 49:49:3.1.1.2.6.2.5.9 | 49 | Transportation | I | D | 190 | PART 190—PIPELINE SAFETY ENFORCEMENT AND REGULATORY PROCEDURES | B | Subpart B—Enforcement | § 190.211 Hearing. | PHMSA | [Amdt. 190-16, 78 FR 58911, Sept. 25, 2013] | (a) General. This section applies to hearings conducted under this part relating to civil penalty assessments, compliance orders, orders directing amendment, safety orders, and corrective action orders. The Presiding Official will convene hearings conducted under this section. (b) Hearing request and statement of issues. A request for a hearing must be accompanied by a statement of the issues that the respondent intends to raise at the hearing. The issues may relate to the allegations in the notice, the proposed corrective action, or the proposed civil penalty amount. A respondent's failure to specify an issue may result in waiver of the respondent's right to raise that issue at the hearing. The respondent's request must also indicate whether or not the respondent will be represented by counsel at the hearing. The respondent may withdraw a request for a hearing in writing and provide a written response. (c) Telephonic and in-person hearings. A telephone hearing will be held if the amount of the proposed civil penalty or the cost of the proposed corrective action is less than $25,000, unless the respondent or OPS submits a written request for an in-person hearing. In-person hearings will normally be held at the office of the appropriate OPS Region. Hearings may be held by video teleconference if the necessary equipment is available to all parties. (d) Pre-hearing submissions. If OPS or the respondent intends to introduce material, including records, documents, and other exhibits not already in the case file, the material must be submitted to the Presiding Official and the other party at least 10 days prior to the date of the hearing, unless the Presiding Official sets a different deadline or waives the deadline for good cause. (e) Conduct of the hearing. The hearing is conducted informally without strict adherence to rules of evidence. The Presiding Official regulates the course of the hearing and gives each party an opportunity to offer facts, statements, explanations, documents, testimony or other … | |||
| 49:49:3.1.1.2.6.2.6.15 | 49 | Transportation | I | D | 190 | PART 190—PIPELINE SAFETY ENFORCEMENT AND REGULATORY PROCEDURES | B | Subpart B—Enforcement | § 190.221 Civil penalties generally. | PHMSA | [Amdt. 190-16, 78 FR 58912, Sept. 25, 2013] | When a Regional Director has reason to believe that a person has committed an act violating 49 U.S.C. 60101 et seq., 33 U.S.C. 1321(j), or any regulation or order issued thereunder, the Regional Director may initiate proceedings under §§ 190.207 through 190.213 to determine the nature and extent of the violations and appropriate civil penalty. | |||
| 49:49:3.1.1.2.6.2.6.16 | 49 | Transportation | I | D | 190 | PART 190—PIPELINE SAFETY ENFORCEMENT AND REGULATORY PROCEDURES | B | Subpart B—Enforcement | § 190.223 Maximum penalties. | PHMSA | [Amdt. 190-16, 78 FR 58912, Sept. 25, 2013, as amended at 81 FR 42566, June 30, 2016; Amdt. 190-17, 82 FR 19328, Apr. 27, 2017; 84 FR 37071, July 31, 2019; 86 FR 1756, Jan 11, 2021; 86 FR 23252, May 3, 2021; 87 FR 15866, Mar. 21, 2022; 88 FR 1125, Jan. 6, 2023; 88 FR 89560, Dec. 28, 2023; 89 FR 106294, Dec. 30, 2024] | (a) Any person found to have violated a provision of 49 U.S.C. 60101, et seq., or any regulation in 49 CFR parts 190 through 199, or order issued pursuant to 49 U.S.C. 60101, et seq. or 49 CFR part 190, is subject to an administrative civil penalty not to exceed $272,926 for each violation for each day the violation continues, with a maximum administrative civil penalty not to exceed $2,729,245 for any related series of violations. (b) Any person found to have violated a provision of 33 U.S.C. 1321(j), or any regulation or order issued thereunder, is subject to an administrative civil penalty under 33 U.S.C. 1321(b)(6), as adjusted by 40 CFR 19.4. (c) Any person found to have violated any standard or order under 49 U.S.C. 60103 is subject to an administrative civil penalty not to exceed $99,704, which may be in addition to other penalties to which such person may be subject under paragraph (a) of this section. (d) Any person who is determined to have violated any standard or order under 49 U.S.C. 60129 is subject to an administrative civil penalty not to exceed $1,584, which may be in addition to other penalties to which such person may be subject under paragraph (a) of this section. (e) Separate penalties for violating a regulation prescribed under this subchapter and for violating an order issued under §§ 190.206, 190.213, 190.233, or 190.239 may not be imposed under this section if both violations are based on the same act. |
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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);