cfr_sections
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99 rows where part_number = 227 sorted by section_id
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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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| 17:17:3.0.1.1.10.1.38.1 | 17 | Commodity and Securities Exchanges | II | 227 | PART 227—REGULATION CROWDFUNDING, GENERAL RULES AND REGULATIONS | A | Subpart A—General | § 227.100 Crowdfunding exemption and requirements. | SEC | [80 FR 71537, Nov. 16, 2015, as amended at 82 FR 17552, Apr. 12, 2017; 85 FR 27131, May 7, 2020; 85 FR 54490, Sept. 2, 2020; 86 FR 3590, Jan. 14, 2021; 87 FR 57398, Sept. 20, 2022] | (a) Exemption. An issuer may offer or sell securities in reliance on section 4(a)(6) of the Securities Act of 1933 (the “Securities Act”) (15 U.S.C. 77d(a)(6)), provided that: (1) The aggregate amount of securities sold to all investors by the issuer in reliance on section 4(a)(6) of the Securities Act (15 U.S.C. 77d(a)(6)) during the 12-month period preceding the date of such offer or sale, including the securities offered in such transaction, shall not exceed $5,000,000; (2) Where the purchaser is not an accredited investor (as defined in Rule 501 (§ 230.501 of this chapter)), the aggregate amount of securities sold to such an investor across all issuers in reliance on section 4(a)(6) of the Securities Act (15 U.S.C. 77d(a)(6)) during the 12-month period preceding the date of such transaction, including the securities sold to such investor in such transaction, shall not exceed: (i) The greater of $2,500, or 5 percent of the greater of the investor's annual income or net worth, if either the investor's annual income or net worth is less than $124,000; or (ii) Ten percent of the greater of the investor's annual income or net worth, not to exceed an amount sold of $124,000, if both the investor's annual income and net worth are equal to or more than $124,000; Instruction 1 to paragraph (a)(2). To determine the investment limit for a natural person, the person's annual income and net worth shall be calculated as those values are calculated for purposes of determining accredited investor status in accordance with § 230.501 of this chapter. Instruction 2 to paragraph (a)(2). A person's annual income and net worth may be calculated jointly with that person's spouse; however, when such a joint calculation is used, the aggregate investment of the investor spouses may not exceed the limit that would apply to an individual investor at that income or net worth level. Instruction 3 to paragraph (a)(2). An issuer offering and selling securities in reliance on section 4(a)(6) of the Securities Act (15 U.S.C. 77d(a… | ||||
| 17:17:3.0.1.1.10.2.38.1 | 17 | Commodity and Securities Exchanges | II | 227 | PART 227—REGULATION CROWDFUNDING, GENERAL RULES AND REGULATIONS | B | Subpart B—Requirements for Issuers | § 227.201 Disclosure requirements. | SEC | [80 FR 71537, Nov. 16, 2015, as amended at 82 FR 17552, Apr. 12, 2017; 85 FR 27131, May 7, 2020; 85 FR 54490, Sept. 2, 2020; 86 FR 3590, 3591, Jan. 14, 2021; 87 FR 57398, Sept. 20, 2022] | An issuer offering or selling securities in reliance on section 4(a)(6) of the Securities Act (15 U.S.C. 77d(a)(6)) and in accordance with section 4A of the Securities Act (15 U.S.C. 77d-1) and this part, and any co-issuer jointly offering or selling securities with such an issuer in reliance on the same, must file with the Commission and provide to investors and the relevant intermediary the following information: (a) The name, legal status (including its form of organization, jurisdiction in which it is organized and date of organization), physical address and Web site of the issuer; (b) The names of the directors and officers (and any persons occupying a similar status or performing a similar function) of the issuer, all positions and offices with the issuer held by such persons, the period of time in which such persons served in the position or office and their business experience during the past three years, including: (1) Each person's principal occupation and employment, including whether any officer is employed by another employer; and (2) The name and principal business of any corporation or other organization in which such occupation and employment took place. Instruction to paragraph (b). For purposes of this paragraph (b), the term officer means a president, vice president, secretary, treasurer or principal financial officer, comptroller or principal accounting officer, and any person routinely performing similar functions. (c) The name of each person, as of the most recent practicable date but no earlier than 120 days prior to the date the offering statement or report is filed, who is a beneficial owner of 20 percent or more of the issuer's outstanding voting equity securities, calculated on the basis of voting power; (d) A description of the business of the issuer and the anticipated business plan of the issuer; (e) The current number of employees of the issuer; (f) A discussion of the material factors that make an investment in the issuer speculative or risky; (g) The target offering a… | ||||
| 17:17:3.0.1.1.10.2.38.2 | 17 | Commodity and Securities Exchanges | II | 227 | PART 227—REGULATION CROWDFUNDING, GENERAL RULES AND REGULATIONS | B | Subpart B—Requirements for Issuers | § 227.202 Ongoing reporting requirements. | SEC | [80 FR 71537, Nov. 16, 2015, as amended at 82 FR 45725, Oct. 2, 2017; 83 FR 47836, Sept. 21, 2018; 83 FR 52964, Oct. 19, 2018; 85 FR 17751, Mar. 31, 2020] | (a) An issuer that has offered and sold securities in reliance on section 4(a)(6) of the Securities Act (15 U.S.C. 77d(a)(6)) and in accordance with section 4A of the Securities Act (15 U.S.C. 77d-1) and this part must file with the Commission and post on the issuer's Web site an annual report along with the financial statements of the issuer certified by the principal executive officer of the issuer to be true and complete in all material respects and a description of the financial condition of the issuer as described in § 227.201(s). If, however, an issuer has available financial statements that have either been reviewed or audited by a public accountant that is independent of the issuer, those financial statements must be provided and the certification by the principal executive officer will not be required. The annual report also must include the disclosure required by paragraphs (a), (b), (c), (d), (e), (f), (m), (p), (q), (r), and (x) of § 227.201. The report must be filed in accordance with the requirements of § 227.203 and Form C (§ 239.900 of this chapter) and no later than 120 days after the end of the fiscal year covered by the report. Instruction 1 to paragraph (a). Instructions (3), (8), (9), (10), and (11) to paragraph (t) of § 227.201 shall apply for purposes of this section. Instruction 2 to paragraph (a). An issuer providing financial statements that are not audited or reviewed must have its principal executive officer provide the following certification: I, [identify the certifying individual], certify that the financial statements of [identify the issuer] included in this Form are true and complete in all material respects. [Signature and title]. (b) An issuer must continue to comply with the ongoing reporting requirements until one of the following occurs: (1) The issuer is required to file reports under section 13(a) or section 15(d) of the Exchange Act (15 U.S.C. 78m(a) or 78o(d)); (2) The issuer has filed, since its most recent sale of securities pursuant to this part, at least one… | ||||
| 17:17:3.0.1.1.10.2.38.3 | 17 | Commodity and Securities Exchanges | II | 227 | PART 227—REGULATION CROWDFUNDING, GENERAL RULES AND REGULATIONS | B | Subpart B—Requirements for Issuers | § 227.203 Filing requirements and form. | SEC | [80 FR 71537, Nov. 16, 2015, as amended at 86 FR 3591, Jan. 14, 2021] | (a) Form C—Offering statement and amendments (§ 239.900 of this chapter). (1) Offering statement. Except as allowed by § 227.206, an issuer offering or selling securities in reliance on section 4(a)(6) of the Securities Act (15 U.S.C. 77d(a)(6)) and in accordance with section 4A of the Securities Act (15 U.S.C. 77d-1) and this part, and any co-issuer jointly offering or selling securities with such an issuer in reliance on the same, must file with the Commission and provide to investors and the relevant intermediary a Form C: Offering Statement (Form C) (§ 239.900 of this chapter) prior to the commencement of the offering of securities. An issuer that is both offering or selling securities with a co-issuer and separately offering or selling securities on its own must file with the Commission and provide to investors and the relevant intermediary a separate Form C for such offering. Every Form C must include the information required by § 227.201. (2) Amendments to offering statement. An issuer must file with the Commission and provide to investors and the relevant intermediary an amendment to the offering statement filed on Form C (§ 239.900 of this chapter) to disclose any material changes, additions or updates to information that it provides to investors through the intermediary's platform, for any offering that has not yet been completed or terminated. The amendment must be filed on Form C: Amendment (Form C/A) (§ 239.900 of this chapter), and if the amendment reflects material changes, additions or updates, the issuer shall check the box indicating that investors must reconfirm an investment commitment within five business days or the investor's commitment will be considered cancelled. (3) Progress updates. (i) An issuer must file with the Commission and provide to investors and the relevant intermediary a Form C: Progress Update (Form C-U) (§ 239.900 of this chapter) to disclose its progress in meeting the target offering amount no later than five business days after each of the dates when the issu… | ||||
| 17:17:3.0.1.1.10.2.38.4 | 17 | Commodity and Securities Exchanges | II | 227 | PART 227—REGULATION CROWDFUNDING, GENERAL RULES AND REGULATIONS | B | Subpart B—Requirements for Issuers | § 227.204 Advertising. | SEC | [80 FR 71537, Nov. 16, 2015, as amended at 86 FR 3592, Jan. 14, 2021] | (a)(1) An issuer may not, directly or indirectly, advertise the terms of an offering made in reliance on section 4(a)(6) of the Securities Act (15 U.S.C. 77d(a)(6)), except for oral or written communications that meet the requirements of paragraph (b) of this section or of § 227.206. (2) Instruction to paragraph (a). For purposes of this paragraph (a), issuer includes persons acting on behalf of the issuer. (b) A notice may advertise any of the terms of an issuer's offering made in reliance on section 4(a)(6) of the Securities Act (15 U.S.C. 77d(a)(6)) if it directs investors to the intermediary's platform and includes no more than the following information: (1) A statement that the issuer is conducting an offering pursuant to section 4(a)(6) of the Securities Act (15 U.S.C. 77d(a)(6)), the name of the intermediary through which the offering is being conducted, and information (including a link in any written communications) directing the potential investor to the intermediary's platform; (2) The terms of the offering; and (3) Factual information about the legal identity and business location of the issuer, limited to the name of the issuer of the security, the address, phone number and Web site of the issuer, the email address of a representative of the issuer and a brief description of the business of the issuer. (c) Notwithstanding the prohibition on advertising any of the terms of the offering, an issuer, and persons acting on behalf of the issuer, may communicate with investors and potential investors about the terms of the offering through communication channels provided by the intermediary on the intermediary's platform, provided that an issuer identifies itself as the issuer in all communications. Persons acting on behalf of the issuer must identify their affiliation with the issuer in all communications on the intermediary's platform. (d) Notwithstanding the requirement that a notice advertising any of the terms of an issuer's offering made in reliance on section 4(a)(6) of the Securities Act (1… | ||||
| 17:17:3.0.1.1.10.2.38.5 | 17 | Commodity and Securities Exchanges | II | 227 | PART 227—REGULATION CROWDFUNDING, GENERAL RULES AND REGULATIONS | B | Subpart B—Requirements for Issuers | § 227.205 Promoter compensation. | SEC | (a) An issuer, or person acting on behalf of the issuer, shall be permitted to compensate or commit to compensate, directly or indirectly, any person to promote the issuer's offerings made in reliance on section 4(a)(6) of the Securities Act (15 U.S.C. 77d(a)(6)) through communication channels provided by an intermediary on the intermediary's platform, but only if the issuer or person acting on behalf of the issuer, takes reasonable steps to ensure that the person promoting the offering clearly discloses the receipt, past or prospective, of such compensation with any such communication. Instruction to paragraph (a). The disclosure required by this paragraph is required, with each communication, for persons engaging in promotional activities on behalf of the issuer through the communication channels provided by the intermediary, regardless of whether or not the compensation they receive is specifically for the promotional activities. This includes persons hired specifically to promote the offering as well as to persons who are otherwise employed by the issuer or who undertake promotional activities on behalf of the issuer. (b) Other than as set forth in paragraph (a) of this section, an issuer or person acting on behalf of the issuer shall not compensate or commit to compensate, directly or indirectly, any person to promote the issuer's offerings made in reliance on section 4(a)(6) of the Securities Act (15 U.S.C. 77d(a)(6)), unless such promotion is limited to notices permitted by, and in compliance with, § 227.204. | |||||
| 17:17:3.0.1.1.10.2.38.6 | 17 | Commodity and Securities Exchanges | II | 227 | PART 227—REGULATION CROWDFUNDING, GENERAL RULES AND REGULATIONS | B | Subpart B—Requirements for Issuers | § 227.206 Solicitations of interest and other communications. | SEC | [86 FR 3592, Jan. 14, 2021] | (a) Solicitation of interest. At any time before the filing of an offering statement, an issuer may communicate orally or in writing to determine whether there is any interest in a contemplated securities offering. Such communications are deemed to be an offer of a security for sale for purposes of the antifraud provisions of the Federal securities laws. No solicitation or acceptance of money or other consideration, nor of any commitment, binding or otherwise, from any person is permitted until the offering statement is filed. (b) Conditions. The communications must: (1) State that no money or other consideration is being solicited, and if sent in response, will not be accepted; (2) State that no offer to buy the securities can be accepted and no part of the purchase price can be received until the offering statement is filed and only through an intermediary's platform; and (3) State that a person's indication of interest involves no obligation or commitment of any kind. (c) Indications of interest. Any written communication under this section may include a means by which a person may indicate to the issuer that such person is interested in a potential offering. This issuer may require the name, address, telephone number, and/or email address in any response form included pursuant to this paragraph (c). | ||||
| 17:17:3.0.1.1.10.3.38.1 | 17 | Commodity and Securities Exchanges | II | 227 | PART 227—REGULATION CROWDFUNDING, GENERAL RULES AND REGULATIONS | C | Subpart C—Requirements for Intermediaries | § 227.300 Intermediaries. | SEC | (a) Requirements. A person acting as an intermediary in a transaction involving the offer or sale of securities in reliance on section 4(a)(6) of the Securities Act (15 U.S.C. 77d(a)(6)) must: (1) Be registered with the Commission as a broker under section 15(b) of the Exchange Act (15 U.S.C. 78 o (b)) or as a funding portal in accordance with the requirements of § 227.400; and (2) Be a member a national securities association registered under section 15A of the Exchange Act (15 U.S.C. 78 o -3). (b) Financial interests. Any director, officer or partner of an intermediary, or any person occupying a similar status or performing a similar function, may not have a financial interest in an issuer that is offering or selling securities in reliance on section 4(a)(6) of the Securities Act (15 U.S.C. 77d(a)(6)) through the intermediary's platform, or receive a financial interest in an issuer as compensation for the services provided to or for the benefit of the issuer in connection with the offer or sale of such securities. An intermediary may not have a financial interest in an issuer that is offering or selling securities in reliance on section 4(a)(6) of the Securities Act (15 U.S.C. 77d(a)(6)) through the intermediary's platform unless: (1) The intermediary receives the financial interest from the issuer as compensation for the services provided to, or for the benefit of, the issuer in connection with the offer or sale of the securities being offered or sold in reliance on section 4(a)(6) of the Securities Act (15 U.S.C. 77d(a)(6)) through the intermediary's platform; and (2) the financial interest consists of securities of the same class and having the same terms, conditions and rights as the securities being offered or sold in reliance on section 4(a)(6) of the Securities Act (15 U.S.C. 77d(a)(6)) through the intermediary's platform. For purposes of this paragraph, a financial interest in an issuer means a direct or indirect ownership of, or economic interest in, any class of the issuer's securities. (c… | |||||
| 17:17:3.0.1.1.10.3.38.2 | 17 | Commodity and Securities Exchanges | II | 227 | PART 227—REGULATION CROWDFUNDING, GENERAL RULES AND REGULATIONS | C | Subpart C—Requirements for Intermediaries | § 227.301 Measures to reduce risk of fraud. | SEC | [80 FR 71537, Nov. 16, 2015, as amended at 85 FR 27132, May 7, 2020; 85 FR 54490, Sept. 2, 2020; 86 FR 3592, Jan. 14, 2021] | An intermediary in a transaction involving the offer or sale of securities in reliance on section 4(a)(6) of the Securities Act (15 U.S.C. 77d(a)(6)) must: (a) Have a reasonable basis for believing that an issuer seeking to offer and sell securities in reliance on section 4(a)(6) of the Securities Act (15 U.S.C. 77d(a)(6)) through the intermediary's platform complies with the requirements in section 4A(b) of the Act (15 U.S.C. 77d-1(b)) and the related requirements in this part. In satisfying this requirement, an intermediary may rely on the representations of the issuer concerning compliance with these requirements unless the intermediary has reason to question the reliability of those representations; (b) Have a reasonable basis for believing that the issuer has established means to keep accurate records of the holders of the securities it would offer and sell through the intermediary's platform, provided that an intermediary may rely on the representations of the issuer concerning its means of recordkeeping unless the intermediary has reason to question the reliability of those representations. An intermediary will be deemed to have satisfied this requirement if the issuer has engaged the services of a transfer agent that is registered under Section 17A of the Exchange Act (15 U.S.C. 78q-1(c)). (c) Deny access to its platform to an issuer if the intermediary: (1) Has a reasonable basis for believing that the issuer or any of its officers, directors (or any person occupying a similar status or performing a similar function) or beneficial owners of 20 percent or more of the issuer's outstanding voting equity securities, calculated on the basis of voting power, is subject to a disqualification under § 227.503. In satisfying this requirement, an intermediary must, at a minimum, conduct a background and securities enforcement regulatory history check on each issuer whose securities are to be offered by the intermediary and on each officer, director or beneficial owner of 20 percent or more of the issuer's outst… | ||||
| 17:17:3.0.1.1.10.3.38.3 | 17 | Commodity and Securities Exchanges | II | 227 | PART 227—REGULATION CROWDFUNDING, GENERAL RULES AND REGULATIONS | C | Subpart C—Requirements for Intermediaries | § 227.302 Account opening. | SEC | (a) Accounts and electronic delivery. (1) No intermediary or associated person of an intermediary may accept an investment commitment in a transaction involving the offer or sale of securities in reliance on section 4(a)(6) of the Securities Act (15 U.S.C. 77d(a)(6)) until the investor has opened an account with the intermediary and the intermediary has obtained from the investor consent to electronic delivery of materials. (2) An intermediary must provide all information that is required to be provided by the intermediary under subpart C of this part (§§ 227.300 through 227.305), including, but not limited to, educational materials, notices and confirmations, through electronic means. Unless otherwise indicated in the relevant rule of subpart C of this part, in satisfying this requirement, an intermediary must provide the information through an electronic message that contains the information, through an electronic message that includes a specific link to the information as posted on intermediary's platform, or through an electronic message that provides notice of what the information is and that it is located on the intermediary's platform or on the issuer's Web site. Electronic messages include, but are not limited to, email, social media messages, instant messages or other electronic media messages. (b) Educational materials. (1) In connection with establishing an account for an investor, an intermediary must deliver educational materials to such investor that explain in plain language and are otherwise designed to communicate effectively and accurately: (i) The process for the offer, purchase and issuance of securities through the intermediary and the risks associated with purchasing securities offered and sold in reliance on section 4(a)(6) of the Securities Act (15 U.S.C. 77d(a)(6)); (ii) The types of securities offered and sold in reliance on section 4(a)(6) of the Securities Act (15 U.S.C. 77d(a)(6)) available for purchase on the intermediary's platform and the risks associated with each type of … | |||||
| 17:17:3.0.1.1.10.3.38.4 | 17 | Commodity and Securities Exchanges | II | 227 | PART 227—REGULATION CROWDFUNDING, GENERAL RULES AND REGULATIONS | C | Subpart C—Requirements for Intermediaries | § 227.303 Requirements with respect to transactions. | SEC | [80 FR 71537, Nov. 16, 2015, as amended at 85 FR 27132, May 7, 2020; 85 FR 54490, Sept. 2, 2020; 86 FR 3592, Jan. 14, 2021] | (a) Issuer information. An intermediary in a transaction involving the offer or sale of securities in reliance on section 4(a)(6) of the Securities Act (15 U.S.C. 77d(a)(6)) must make available to the Commission and to investors any information required to be provided by the issuer of the securities under §§ 227.201 and 227.203(a). (1) This information must be made publicly available on the intermediary's platform, in a manner that reasonably permits a person accessing the platform to save, download, or otherwise store the information; (2) This information must be made publicly available on the intermediary's platform for a minimum of 21 days before any securities are sold in the offering, during which time the intermediary may accept investment commitments; (3) This information, including any additional information provided by the issuer, must remain publicly available on the intermediary's platform until the offer and sale of securities in reliance on section 4(a)(6) of the Securities Act (15 U.S.C. 77d(a)(6)) is completed or cancelled; and (4) An intermediary may not require any person to establish an account with the intermediary to access this information. (b) Investor qualification. Each time before accepting any investment commitment (including any additional investment commitment from the same person), an intermediary must: (1) Have a reasonable basis for believing that the investor satisfies the investment limitations established by section 4(a)(6)(B) of the Act (15 U.S.C. 77d(a)(6)(B)) and this part. An intermediary may rely on an investor's representations concerning compliance with the investment limitation requirements concerning the investor's annual income, net worth, and the amount of the investor's other investments made pursuant to section 4(a)(6) of the Securities Act (15 U.S.C. 77d(a)(6)) unless the intermediary has reason to question the reliability of the representation. (2) Obtain from the investor: (i) A representation that the investor has reviewed the intermediary's education… | ||||
| 17:17:3.0.1.1.10.3.38.5 | 17 | Commodity and Securities Exchanges | II | 227 | PART 227—REGULATION CROWDFUNDING, GENERAL RULES AND REGULATIONS | C | Subpart C—Requirements for Intermediaries | § 227.304 Completion of offerings, cancellations and reconfirmations. | SEC | [80 FR 71537, Nov. 16, 2015, as amended at 85 FR 27132, May 7, 2020; 85 FR 54490, Sept. 2, 2020; 86 FR 3592, Jan. 14, 2021] | (a) Generally. An investor may cancel an investment commitment for any reason until 48 hours prior to the deadline identified in the issuer's offering materials. During the 48 hours prior to such deadline, an investment commitment may not be cancelled except as provided in paragraph (c) of this section. (b) Early completion of offering. If an issuer reaches the target offering amount prior to the deadline identified in its offering materials pursuant to § 227.201(g), the issuer may close the offering on a date earlier than the deadline identified in its offering materials pursuant to § 227.201(g), provided that: (1) The offering remains open for a minimum of 21 days pursuant to § 227.303(a); (2) The intermediary provides notice to any potential investors, and gives or sends notice to investors that have made investment commitments in the offering, of: (i) The new, anticipated deadline of the offering; (ii) The right of investors to cancel investment commitments for any reason until 48 hours prior to the new offering deadline; and (iii) Whether the issuer will continue to accept investment commitments during the 48-hour period prior to the new offering deadline. (3) The new offering deadline is scheduled for and occurs at least five business days after the notice required in paragraph (b)(2) of this section is provided; and (4) At the time of the new offering deadline, the issuer continues to meet or exceed the target offering amount. (c) Cancellations and reconfirmations based on material changes. (1) If there is a material change to the terms of an offering or to the information provided by the issuer, the intermediary must give or send to any investor who has made an investment commitment notice of the material change and that the investor's investment commitment will be cancelled unless the investor reconfirms his or her investment commitment within five business days of receipt of the notice. If the investor fails to reconfirm his or her investment within those five business days, the intermed… | ||||
| 17:17:3.0.1.1.10.3.38.6 | 17 | Commodity and Securities Exchanges | II | 227 | PART 227—REGULATION CROWDFUNDING, GENERAL RULES AND REGULATIONS | C | Subpart C—Requirements for Intermediaries | § 227.305 Payments to third parties. | SEC | (a) Prohibition on payments for personally identifiable information. An intermediary may not compensate any person for providing the intermediary with the personally identifiable information of any investor or potential investor in securities offered and sold in reliance on section 4(a)(6) of the Securities Act (15 U.S.C. 77d(a)(6)). (b) For purposes of this rule, personally identifiable information means information that can be used to distinguish or trace an individual's identity, either alone or when combined with other personal or identifying information that is linked or linkable to a specific individual. | |||||
| 17:17:3.0.1.1.10.4.38.1 | 17 | Commodity and Securities Exchanges | II | 227 | PART 227—REGULATION CROWDFUNDING, GENERAL RULES AND REGULATIONS | D | Subpart D—Funding Portal Regulation | § 227.400 Registration of funding portals. | SEC | (a) Registration. A funding portal must register with the Commission, by filing a complete Form Funding Portal (§ 249.2000 of this chapter) in accordance with the instructions on the form, and become a member of a national securities association registered under section 15A of the Exchange Act (15 U.S.C. 78 o -3). The registration will be effective the later of: (1) Thirty calendar days after the date that the registration is received by the Commission; or (2) The date the funding portal is approved for membership by a national securities association registered under section 15A of the Exchange Act (15 U.S.C. 78 o -3). (b) Amendments to registration. A funding portal must file an amendment to Form Funding Portal (§ 249.2000 of this chapter) within 30 days of any of the information previously submitted on Form Funding Portal becoming inaccurate for any reason. (c) Successor registration. (1) If a funding portal succeeds to and continues the business of a registered funding portal, the registration of the predecessor will remain effective as the registration of the successor if the successor, within 30 days after such succession, files a registration on Form Funding Portal (§ 249.2000 of this chapter) and the predecessor files a withdrawal on Form Funding Portal; provided, however, that the registration of the predecessor funding portal will be deemed withdrawn 45 days after registration on Form Funding Portal is filed by the successor. (2) Notwithstanding paragraph (c)(1) of this section, if a funding portal succeeds to and continues the business of a registered funding portal and the succession is based solely on a change of the predecessor's date or state of incorporation, form of organization, or composition of a partnership, the successor may, within 30 days after the succession, amend the registration of the predecessor on Form Funding Portal (§ 249.2000 of this chapter) to reflect these changes. (d) Withdrawal. A funding portal must promptly file a withdrawal of registration on Form Funding P… | |||||
| 17:17:3.0.1.1.10.4.38.2 | 17 | Commodity and Securities Exchanges | II | 227 | PART 227—REGULATION CROWDFUNDING, GENERAL RULES AND REGULATIONS | D | Subpart D—Funding Portal Regulation | § 227.401 Exemption. | SEC | A funding portal that is registered with the Commission pursuant to § 227.400 is exempt from the broker registration requirements of section 15(a)(1) of the Exchange Act (15 U.S.C. 78 o (a)(1)) in connection with its activities as a funding portal. | |||||
| 17:17:3.0.1.1.10.4.38.3 | 17 | Commodity and Securities Exchanges | II | 227 | PART 227—REGULATION CROWDFUNDING, GENERAL RULES AND REGULATIONS | D | Subpart D—Funding Portal Regulation | § 227.402 Conditional safe harbor. | SEC | (a) General. Under section 3(a)(80) of the Exchange Act (15 U.S.C. 78c(a)(80)), a funding portal acting as an intermediary in a transaction involving the offer or sale of securities in reliance on section 4(a)(6) of the Securities Act (15 U.S.C. 77d(a)(6)) may not: offer investment advice or recommendations; solicit purchases, sales, or offers to buy the securities offered or displayed on its platform or portal; compensate employees, agents, or other persons for such solicitation or based on the sale of securities displayed or referenced on its platform or portal; hold, manage, possess, or otherwise handle investor funds or securities; or engage in such other activities as the Commission, by rule, determines appropriate. This section is intended to provide clarity with respect to the ability of a funding portal to engage in certain activities, consistent with the prohibitions under section 3(a)(80) of the Exchange Act. No presumption shall arise that a funding portal has violated the prohibitions under section 3(a)(80) of the Exchange Act or this part by reason of the funding portal or its associated persons engaging in activities in connection with the offer or sale of securities in reliance on section 4(a)(6) of the Securities Act that do not meet the conditions specified in paragraph (b) of this section. The antifraud provisions and all other applicable provisions of the federal securities laws continue to apply to the activities described in paragraph (b) of this section. (b) Permitted activities. A funding portal may, consistent with the prohibitions under section 3(a)(80) of the Exchange Act (15 U.S.C. 78c(a)(80)) and this part: (1) Determine whether and under what terms to allow an issuer to offer and sell securities in reliance on section 4(a)(6) of the Securities Act (15 U.S.C. 77d(a)(6)) through its platform; provided that a funding portal otherwise complies with this part; (2) Apply objective criteria to highlight offerings on the funding portal's platform where: (i) The criteria are reasonably… | |||||
| 17:17:3.0.1.1.10.4.38.4 | 17 | Commodity and Securities Exchanges | II | 227 | PART 227—REGULATION CROWDFUNDING, GENERAL RULES AND REGULATIONS | D | Subpart D—Funding Portal Regulation | § 227.403 Compliance. | SEC | (a) Policies and procedures. A funding portal must implement written policies and procedures reasonably designed to achieve compliance with the federal securities laws and the rules and regulations thereunder relating to its business as a funding portal. (b) Privacy. A funding portal must comply with the requirements of part 248 of this chapter as they apply to brokers. (c) Inspections and examinations. A funding portal shall permit the examination and inspection of all of its business and business operations that relate to its activities as a funding portal, such as its premises, systems, platforms, and records by representatives of the Commission and of the registered national securities association of which it is a member. | |||||
| 17:17:3.0.1.1.10.4.38.5 | 17 | Commodity and Securities Exchanges | II | 227 | PART 227—REGULATION CROWDFUNDING, GENERAL RULES AND REGULATIONS | D | Subpart D—Funding Portal Regulation | § 227.404 Records to be made and kept by funding portals. | SEC | (a) Generally. A funding portal shall make and preserve the following records for five years, the first two years in an easily accessible place: (1) All records related to an investor who purchases or attempts to purchase securities through the funding portal; (2) All records related to issuers who offer and sell or attempt to offer and sell securities through the funding portal and the control persons of such issuers; (3) Records of all communications that occur on or through its platform; (4) All records related to persons that use communication channels provided by a funding portal to promote an issuer's securities or communicate with potential investors; (5) All records required to demonstrate compliance with the requirements of subparts C (§§ 227.300 through 227.305) and D (§§ 227.400 through 227.404) of this part; (6) All notices provided by such funding portal to issuers and investors generally through the funding portal's platform or otherwise, including, but not limited to, notices addressing hours of funding portal operations (if any), funding portal malfunctions, changes to funding portal procedures, maintenance of hardware and software, instructions pertaining to access to the funding portal and denials of, or limitations on, access to the funding portal; (7) All written agreements (or copies thereof) entered into by such funding portal relating to its business as such; (8) All daily, monthly and quarterly summaries of transactions effected through the funding portal, including: (i) Issuers for which the target offering amount has been reached and funds distributed; and (ii) Transaction volume, expressed in: (A) Number of transactions; (B) Number of securities involved in a transaction; (C) Total amounts raised by, and distributed to, issuers; and (D) Total dollar amounts raised across all issuers, expressed in U.S. dollars; and (9) A log reflecting the progress of each issuer who offers or sells securities through the funding portal toward meeting the target offering amount. (b) Or… | |||||
| 17:17:3.0.1.1.10.5.38.1 | 17 | Commodity and Securities Exchanges | II | 227 | PART 227—REGULATION CROWDFUNDING, GENERAL RULES AND REGULATIONS | E | Subpart E—Miscellaneous Provisions | § 227.501 Restrictions on resales. | SEC | (a) Securities issued in a transaction exempt from registration pursuant to section 4(a)(6) of the Securities Act (15 U.S.C. 77d(a)(6)) and in accordance with section 4A of the Securities Act (15 U.S.C. 77d-1) and this part may not be transferred by any purchaser of such securities during the one-year period beginning when the securities were issued in a transaction exempt from registration pursuant to section 4(a)(6) of the Securities Act (15 U.S.C. 77d(a)(6)), unless such securities are transferred: (1) To the issuer of the securities; (2) To an accredited investor; (3) As part of an offering registered with the Commission; or (4) To a member of the family of the purchaser or the equivalent, to a trust controlled by the purchaser, to a trust created for the benefit of a member of the family of the purchaser or the equivalent, or in connection with the death or divorce of the purchaser or other similar circumstance. (b) For purposes of this § 227.501, the term accredited investor shall mean any person who comes within any of the categories set forth in § 230.501(a) of this chapter, or who the seller reasonably believes comes within any of such categories, at the time of the sale of the securities to that person. (c) For purposes of this section, the term member of the family of the purchaser or the equivalent includes a child, stepchild, grandchild, parent, stepparent, grandparent, spouse or spousal equivalent, sibling, mother-in-law, father-in-law, son-in-law, daughter-in-law, brother-in-law, or sister-in-law of the purchaser, and shall include adoptive relationships. For purposes of this paragraph (c), the term spousal equivalent means a cohabitant occupying a relationship generally equivalent to that of a spouse. | |||||
| 17:17:3.0.1.1.10.5.38.2 | 17 | Commodity and Securities Exchanges | II | 227 | PART 227—REGULATION CROWDFUNDING, GENERAL RULES AND REGULATIONS | E | Subpart E—Miscellaneous Provisions | § 227.502 Insignificant deviations from a term, condition or requirement of this part (Regulation Crowdfunding). | SEC | (a) A failure to comply with a term, condition, or requirement of this part will not result in the loss of the exemption from the requirements of Section 5 of the Securities Act (15 U.S.C. 77e) for any offer or sale to a particular individual or entity, if the issuer relying on the exemption shows: (1) The failure to comply was insignificant with respect to the offering as a whole; (2) The issuer made a good faith and reasonable attempt to comply with all applicable terms, conditions and requirements of this part; and (3) The issuer did not know of such failure where the failure to comply with a term, condition or requirement of this part was the result of the failure of the intermediary to comply with the requirements of section 4A(a) of the Securities Act (15 U.S.C. 77d-1(a)) and the related rules, or such failure by the intermediary occurred solely in offerings other than the issuer's offering. (b) Paragraph (a) of this section shall not preclude the Commission from bringing an enforcement action seeking any appropriate relief for an issuer's failure to comply with all applicable terms, conditions and requirements of this part. | |||||
| 17:17:3.0.1.1.10.5.38.3 | 17 | Commodity and Securities Exchanges | II | 227 | PART 227—REGULATION CROWDFUNDING, GENERAL RULES AND REGULATIONS | E | Subpart E—Miscellaneous Provisions | § 227.503 Disqualification provisions. | SEC | [80 FR 71537, Nov. 16, 2015, as amended at 86 FR 3592, Jan. 14, 2021] | (a) Disqualification events. No exemption under section 4(a)(6) of the Securities Act (15 U.S.C. 77d(a)(6)) shall be available for a sale of securities if the issuer; any predecessor of the issuer; any affiliated issuer; any director, officer, general partner or managing member of the issuer; any beneficial owner of 20 percent or more of the issuer's outstanding voting equity securities, calculated on the basis of voting power; any promoter connected with the issuer in any capacity at the time of filing, any offer after filing, or such sale; any person that has been or will be paid (directly or indirectly) remuneration for solicitation of purchasers in connection with such sale of securities; or any general partner, director, officer or managing member of any such solicitor: (1) Has been convicted, within 10 years before the filing of the offering statement or such sale (or five years, in the case of issuers, their predecessors and affiliated issuers), of any felony or misdemeanor: (i) In connection with the purchase or sale of any security; (ii) Involving the making of any false filing with the Commission; or (iii) Arising out of the conduct of the business of an underwriter, broker, dealer, municipal securities dealer, investment adviser, funding portal or paid solicitor of purchasers of securities; (2) Is subject to any order, judgment or decree of any court of competent jurisdiction, entered within five years before the filing of the information required by section 4A(b) of the Securities Act (15 U.S.C. 77d-1(b)) or such sale that, at the time of such filing or sale, restrains or enjoins such person from engaging or continuing to engage in any conduct or practice: (i) In connection with the purchase or sale of any security; (ii) Involving the making of any false filing with the Commission; or (iii) Arising out of the conduct of the business of an underwriter, broker, dealer, municipal securities dealer, investment adviser, funding portal or paid solicitor of purchasers of securities; (3) Is subje… | ||||
| 17:17:3.0.1.1.10.5.38.4 | 17 | Commodity and Securities Exchanges | II | 227 | PART 227—REGULATION CROWDFUNDING, GENERAL RULES AND REGULATIONS | E | Subpart E—Miscellaneous Provisions | § 227.504 Definition of “qualified purchaser”. | SEC | [86 FR 3593, Jan. 14, 2021] | For purposes of section 18(b)(3) of the Securities Act [15 U.S.C. 77r(b)(3)], a “qualified purchaser” means any person to whom securities are offered or sold pursuant to an offering under §§ 227.100 through 227.504 (Regulation Crowdfunding). | ||||
| 20:20:1.0.2.8.21.0.155.1 | 20 | Employees' Benefits | II | B | 227 | PART 227—COMPUTING SUPPLEMENTAL ANNUITIES | § 227.1 Introduction. | SSA | This part explains how to compute a supplemental annuity. A supplemental annuity is payable to an employee who meets the requirements in § 216.12 of this chapter. | ||||||
| 20:20:1.0.2.8.21.0.155.2 | 20 | Employees' Benefits | II | B | 227 | PART 227—COMPUTING SUPPLEMENTAL ANNUITIES | § 227.2 Initial supplemental annuity rate. | SSA | The supplemental annuity rate, before reduction for the railroad retirement family maximum or any private pension, is $23 for an employee's first 25 years of service plus $4 for each added year of service up to 30 years. The highest supplemental annuity rate is $43 for an employee with 30 or more years of service. | ||||||
| 20:20:1.0.2.8.21.0.155.3 | 20 | Employees' Benefits | II | B | 227 | PART 227—COMPUTING SUPPLEMENTAL ANNUITIES | § 227.3 Reduction for railroad retirement family maximum. | SSA | [50 FR 11502, Mar. 22, 1985, as amended at 54 FR 12903, Mar. 29, 1989] | If the railroad retirement family maximum applies, and the reduction amount is higher than the spouse tier II rate, as shown in part 226 of this chapter, the initial supplemental annuity rate from § 227.2 is reduced by the smaller of— (a) The difference between the total railroad retirement maximum reduction amount and the reduction in the spouse annuity; or (b) The total supplemental annuity rate from § 227.2. | |||||
| 20:20:1.0.2.8.21.0.155.4 | 20 | Employees' Benefits | II | B | 227 | PART 227—COMPUTING SUPPLEMENTAL ANNUITIES | § 227.4 Reduction for employer pension. | SSA | (a) General. The supplemental annuity for each month is reduced by the amount of any private pension the employee is receiving for that month based on the contributions of a railroad employer. This reduction is applied to the supplemental annuity amount after any reduction for railroad retirement family maximum. Private pension is explained in § 216.14 of this chapter. (b) Private pension reduced for supplemental annuity. If the employer reduces the private pension for the employee's entitlement to the supplemental annuity, the reduced pension amount is subtracted from the supplemental annuity. However, the reduction in the supplemental annuity can be no greater than the difference between the supplemental annuity amount, after any reduction for railroad retirement family maximum, and the amount the private pension is reduced for the supplemental annuity. This guarantees that the sum of the reduced supplemental annuity and the reduced employer pension is not less than the amount of the full employer pension. (c) Part of private pension based on employee contributions. If the employer pension is based on both employer and employee contributions, a special formula is used to determine the amount to be subtracted from the supplemental annuity. The Board first computes the pension amount the employee's contributions could have purchased from a private insurance company. That amount is subtracted from the total employer pension. The result is the pension amount used to reduce the supplemental annuity. | ||||||
| 20:20:1.0.2.8.21.0.155.5 | 20 | Employees' Benefits | II | B | 227 | PART 227—COMPUTING SUPPLEMENTAL ANNUITIES | § 227.5 Employer tax credits. | SSA | Employers are entitled to tax credits if they pay non-negotiated pensions to former employees whose supplemental annuities are reduced because of the pensions. Non-negotiated pensions are paid under pension plans that are not established by collective bargaining agreements. The tax credits for each month equal the sum of the reductions for employer pensions in the supplemental annuities of all former employees for that month. The Board sends a report of total tax credits to each employer after the end of each calendar quarter. The credits are applied to the man-hour supplemental annuity tax the employer pays the Internal Revenue Service under section 3221 of the Railroad Retirement Tax Act. | ||||||
| 40:40:27.0.1.3.21.1.17.1 | 40 | Protection of Environment | I | H | 227 | PART 227—CRITERIA FOR THE EVALUATION OF PERMIT APPLICATIONS FOR OCEAN DUMPING OF MATERIALS | A | Subpart A—General | § 227.1 Applicability. | EPA | (a) Section 102 of the Act requires that criteria for the issuance of ocean disposal permits be promulgated after consideration of the environmental effect of the proposed dumping operation, the need for ocean dumping, alternatives to ocean dumping, and the effect of the proposed action on esthetic, recreational and economic values and on other uses of the ocean. These parts 227 and 228 of this subchapter H together constitute the criteria established pursuant to section 102 of the Act. The decision of the Administrator, Regional Administrator or the District Engineer, as the case may be, to issue or deny a permit and to impose specific conditions on any permit issued will be based on an evaluation of the permit application pursuant to the criteria set forth in this part 227 and upon the requirements for disposal site management pursuant to the criteria set forth in part 228 of this subchapter H. (b) With respect to the criteria to be used in evaluating disposal of dredged materials, this section and subparts C, D, E, and G apply in their entirety. To determine whether the proposed dumping of dredged material complies with subpart B, only §§ 227.4, 227.5, 227.6, 227.9, 227.10 and 227.13 apply. An applicant for a permit to dump dredged material must comply with all of subparts C, D, E, G and applicable sections of B, to be deemed to have met the EPA criteria for dredged material dumping promulgated pursuant to section 102(a) of the Act. If, in any case, the Chief of Engineers finds that, in the disposition of dredged material, there is no economically feasible method or site available other than a dumping site, the utilization of which would result in noncompliance with the criteria established pursuant to subpart B relating to the effects of dumping or with the restrictions established pursuant to section 102(c) of the Act relating to critical areas, he shall so certify and request that the Secretary of the Army seek a waiver from the Administrator pursuant to part 225. (c) The Criteria of this part 227 are est… | ||||
| 40:40:27.0.1.3.21.1.17.2 | 40 | Protection of Environment | I | H | 227 | PART 227—CRITERIA FOR THE EVALUATION OF PERMIT APPLICATIONS FOR OCEAN DUMPING OF MATERIALS | A | Subpart A—General | § 227.2 Materials which satisfy the environmental impact criteria of subpart B. | EPA | [42 FR 2476, Jan. 11, 1977, as amended at 73 FR 74986, Dec. 10, 2008] | (a) If the applicant satisfactorily demonstrates that the material proposed for ocean dumping satisfies the environmental impact criteria set forth in subpart B, a permit for ocean dumping will be issued unless: (1) There is no need for the dumping, and alternative means of disposal are available, as determined in accordance with the criteria set forth in subpart C; or (2) There are unacceptable adverse effects on esthetic, recreational or economic values as determined in accordance with the criteria set forth in subpart D; or (3) There are unacceptable adverse effects on other uses of the ocean as determined in accordance with the criteria set forth in subpart E. (b) If the material proposed for ocean dumping satisfies the environmental impact criteria set forth in subpart B, but the Administrator or the Regional Administrator, as the case may be, determines that any one of the considerations set forth in paragraph (a)(1), (2) or (3) of this section applies, he or she, as the case may be, will deny the permit application. | |||
| 40:40:27.0.1.3.21.1.17.3 | 40 | Protection of Environment | I | H | 227 | PART 227—CRITERIA FOR THE EVALUATION OF PERMIT APPLICATIONS FOR OCEAN DUMPING OF MATERIALS | A | Subpart A—General | § 227.3 Materials which do not satisfy the environmental impact criteria set forth in subpart B. | EPA | [73 FR 74987, Dec. 10, 2008] | If the material proposed for ocean dumping does not satisfy the environmental impact criteria of subpart B of this part, the Administrator or the Regional Administrator, as the case may be, will deny the permit application. | |||
| 40:40:27.0.1.3.21.2.17.1 | 40 | Protection of Environment | I | H | 227 | PART 227—CRITERIA FOR THE EVALUATION OF PERMIT APPLICATIONS FOR OCEAN DUMPING OF MATERIALS | B | Subpart B—Environmental Impact | § 227.4 Criteria for evaluating environmental impact. | EPA | This subpart B sets specific environmental impact prohibitions, limits, and conditions for the dumping of materials into ocean waters. If the applicable prohibitions, limits, and conditions are satisfied, it is the determination of EPA that the proposed disposal will not unduly degrade or endanger the marine environment and that the disposal will present: (a) No unacceptable adverse effects on human health and no significant damage to the resources of the marine environment; (b) No unacceptable adverse effect on the marine ecosystem; (c) No unacceptable adverse persistent or permanent effects due to the dumping of the particular volumes or concentrations of these materials; and (d) No unacceptable adverse effect on the ocean for other uses as a result of direct environmental impact. | ||||
| 40:40:27.0.1.3.21.2.17.10 | 40 | Protection of Environment | I | H | 227 | PART 227—CRITERIA FOR THE EVALUATION OF PERMIT APPLICATIONS FOR OCEAN DUMPING OF MATERIALS | B | Subpart B—Environmental Impact | § 227.13 Dredged materials. | EPA | (a) Dredged materials are bottom sediments or materials that have been dredged or excavated from the navigable waters of the United States, and their disposal into ocean waters is regulated by the U.S. Army Corps of Engineers using the criteria of applicable sections of parts 227 and 228. Dredged material consists primarily of natural sediments or materials which may be contaminated by municipal or industrial wastes or by runoff from terrestrial sources such as agricultural lands. (b) Dredged material which meets the criteria set forth in the following paragraphs (b)(1), (2), or (3) of this section is environmentally acceptable for ocean dumping without further testing under this section: (1) Dredged material is composed predominantly of sand, gravel, rock, or any other naturally occurring bottom material with particle sizes larger than silt, and the material is found in areas of high current or wave energy such as streams with large bed loads or coastal areas with shifting bars and channels; or (2) Dredged material is for beach nourishment or restoration and is composed predominantly of sand, gravel or shell with particle sizes compatible with material on the receiving beaches; or (3) When: (i) The material proposed for dumping is substantially the same as the substrate at the proposed disposal site; and (ii) The site from which the material proposed for dumping is to be taken is far removed from known existing and historical sources of pollution so as to provide reasonable assurance that such material has not been contaminated by such pollution. (c) When dredged material proposed for ocean dumping does not meet the criteria of paragraph (b) of this section, further testing of the liquid, suspended particulate, and solid phases, as defined in § 227.32, is required. Based on the results of such testing, dredged material can be considered to be environmentally acceptable for ocean dumping only under the following conditions: (1) The material is in compliance with the requirements of § 227.6; and (2)(i) A… | ||||
| 40:40:27.0.1.3.21.2.17.2 | 40 | Protection of Environment | I | H | 227 | PART 227—CRITERIA FOR THE EVALUATION OF PERMIT APPLICATIONS FOR OCEAN DUMPING OF MATERIALS | B | Subpart B—Environmental Impact | § 227.5 Prohibited materials. | EPA | The ocean dumping of the following materials will not be approved by EPA or the Corps of Engineers under any circumstances: (a) High-level radioactive wastes as defined in § 227.30; (b) Materials in whatever form (including without limitation, solids, liquids, semi-liquids, gases or organisms) produced or used for radiological, chemical or biological warfare; (c) Materials insufficiently described by the applicant in terms of their compositions and properties to permit application of the environmental impact criteria of this subpart B; (d) Persistent inert synthetic or natural materials which may float or remain in suspension in the ocean in such a manner that they may interfere materially with fishing, navigation, or other legitimate uses of the ocean. | ||||
| 40:40:27.0.1.3.21.2.17.3 | 40 | Protection of Environment | I | H | 227 | PART 227—CRITERIA FOR THE EVALUATION OF PERMIT APPLICATIONS FOR OCEAN DUMPING OF MATERIALS | B | Subpart B—Environmental Impact | § 227.6 Constituents prohibited as other than trace contaminants. | EPA | [42 FR 2476, Jan. 11, 1977; 43 FR 1071, Jan. 6, 1978, as amended at 59 FR 26572, May 20, 1994; 59 FR 52652, Oct. 18, 1994; 73 FR 74987, Dec. 10, 2008] | (a) Subject to the exclusions of paragraphs (f), (g) and (h) of this section, the ocean dumping, or transportation for dumping, of materials containing the following constituents as other than trace contaminants will not be approved on other than an emergency basis: (1) Organohalogen compounds; (2) Mercury and mercury compounds; (3) Cadmium and cadmium compounds; (4) Oil of any kind or in any form, including but not limited to petroleum, oil sludge, oil refuse, crude oil, fuel oil, heavy diesel oil, lubricating oils, hydraulic fluids, and any mixtures containing these, transported for the purpose of dumping insofar as these are not regulated under the FWPCA; (5) Known carcinogens, mutagens, or teratogens or materials suspected to be carcinogens, mutagens, or teratogens by responsible scientific opinion. (b) These constituents will be considered to be present as trace contaminants only when they are present in materials otherwise acceptable for ocean dumping in such forms and amounts in liquid, suspended particulate, and solid phases that the dumping of the materials will not cause significant undesirable effects, including the possibility of danger associated with their bioaccumulation in marine organisms. (c) The potential for significant undesirable effects due to the presence of these constituents shall be determined by application of results of bioassays on liquid, suspended particulate, and solid phases of wastes according to procedures acceptable to EPA, and for dredged material, acceptable to EPA and the Corps of Engineers. Materials shall be deemed environmentally acceptable for ocean dumping only when the following conditions are met: (1) The liquid phase does not contain any of these constituents in concentrations which will exceed applicable marine water quality criteria after allowance for initial mixing; provided that mercury concentrations in the disposal site, after allowance for initial mixing, may exceed the average normal ambient concentrations of mercury in ocean waters at or near the d… | |||
| 40:40:27.0.1.3.21.2.17.4 | 40 | Protection of Environment | I | H | 227 | PART 227—CRITERIA FOR THE EVALUATION OF PERMIT APPLICATIONS FOR OCEAN DUMPING OF MATERIALS | B | Subpart B—Environmental Impact | § 227.7 Limits established for specific wastes or waste constituents. | EPA | Materials containing the following constituents must meet the additional limitations specified in this section to be deemed acceptable for ocean dumping: (a) Liquid waste constituents immiscible with or slightly soluble in seawater, such as benzene, xylene, carbon disulfide and toluene, may be dumped only when they are present in the waste in concentrations below their solubility limits in seawater. This provision does not apply to materials which may interact with ocean water to form insoluble materials; (b) Radioactive materials, other than those prohibited by § 227.5, must be contained in accordance with the provisions of § 227.11 to prevent their direct dispersion or dilution in ocean waters; (c) Wastes containing living organisms may not be dumped if the organisms present would endanger human health or that of domestic animals, fish, shellfish and wildlife by: (1) Extending the range of biological pests, viruses, pathogenic microorganisms or other agents capable of infesting, infecting or extensively and permanently altering the normal populations of organisms; (2) Degrading uninfected areas; or (3) Introducing viable species not indigenous to an area. (d) In the dumping of wastes of highly acidic or alkaline nature into the ocean, consideration shall be given to: (1) The effects of any change in acidity or alkalinity of the water at the disposal site; and (2) The potential for synergistic effects or for the formation of toxic compounds at or near the disposal site. Allowance may be made in the permit conditions for the capability of ocean waters to neutralize acid or alkaline wastes; provided, however, that dumping conditions must be such that the average total alkalinity or total acidity of the ocean water after allowance for initial mixing, as defined in § 227.29, may be changed, based on stoichiometric calculations, by no more than 10 percent during all dumping operations at a site to neutralize acid or alkaline wastes. (e) Wastes containing biodegradable constituents, or constituents which con… | ||||
| 40:40:27.0.1.3.21.2.17.5 | 40 | Protection of Environment | I | H | 227 | PART 227—CRITERIA FOR THE EVALUATION OF PERMIT APPLICATIONS FOR OCEAN DUMPING OF MATERIALS | B | Subpart B—Environmental Impact | § 227.8 Limitations on the disposal rates of toxic wastes. | EPA | No wastes will be deemed acceptable for ocean dumping unless such wastes can be dumped so as not to exceed the limiting permissible concentration as defined in § 227.27; Provided, That this § 227.8 does not apply to those wastes for which specific criteria are established in § 227.11 or § 227.12. Total quantities of wastes dumped at a site may be limited as described in § 228.8. | ||||
| 40:40:27.0.1.3.21.2.17.6 | 40 | Protection of Environment | I | H | 227 | PART 227—CRITERIA FOR THE EVALUATION OF PERMIT APPLICATIONS FOR OCEAN DUMPING OF MATERIALS | B | Subpart B—Environmental Impact | § 227.9 Limitations on quantities of waste materials. | EPA | Substances which may damage the ocean environment due to the quantities in which they are dumped, or which may seriously reduce amenities, may be dumped only when the quantities to be dumped at a single time and place are controlled to prevent long-term damage to the environment or to amenities. | ||||
| 40:40:27.0.1.3.21.2.17.7 | 40 | Protection of Environment | I | H | 227 | PART 227—CRITERIA FOR THE EVALUATION OF PERMIT APPLICATIONS FOR OCEAN DUMPING OF MATERIALS | B | Subpart B—Environmental Impact | § 227.10 Hazards to fishing, navigation, shorelines or beaches. | EPA | (a) Wastes which may present a serious obstacle to fishing or navigation may be dumped only at disposal sites and under conditions which will insure no unacceptable interference with fishing or navigation. (b) Wastes which may present a hazard to shorelines or beaches may be dumped only at sites and under conditions which will insure no unacceptable danger to shorelines or beaches. | ||||
| 40:40:27.0.1.3.21.2.17.8 | 40 | Protection of Environment | I | H | 227 | PART 227—CRITERIA FOR THE EVALUATION OF PERMIT APPLICATIONS FOR OCEAN DUMPING OF MATERIALS | B | Subpart B—Environmental Impact | § 227.11 Containerized wastes. | EPA | (a) Wastes containerized solely for transport to the dumping site and expected to rupture or leak on impact or shortly thereafter must meet the appropriate requirements of §§ 227.6, 227.7, 227.8, 227.9, and 227.10. (b) Other containerized wastes will be approved for dumping only under the following conditions: (1) The materials to be disposed of decay, decompose or radiodecay to environmentally innocuous materials within the life expectancy of the containers and/or their inert matrix; and (2) Materials to be dumped are present in such quantities and are of such nature that only short-term localized adverse effects will occur should the containers rupture at any time; and (3) Containers are dumped at depths and locations where they will cause no threat to navigation, fishing, shorelines, or beaches. | ||||
| 40:40:27.0.1.3.21.2.17.9 | 40 | Protection of Environment | I | H | 227 | PART 227—CRITERIA FOR THE EVALUATION OF PERMIT APPLICATIONS FOR OCEAN DUMPING OF MATERIALS | B | Subpart B—Environmental Impact | § 227.12 Insoluble wastes. | EPA | (a) Solid wastes consisting of inert natural minerals or materials compatible with the ocean environment may be generally approved for ocean dumping provided they are insoluble above the applicable trace or limiting permissible concentrations and are rapidly and completely settleable, and they are of a particle size and density that they would be deposited or rapidly dispersed without damage to benthic, demersal, or pelagic biota. (b) Persistent inert synthetic or natural materials which may float or remain in suspension in the ocean as prohibited in paragraph (d) of § 227.5 may be dumped in the ocean only when they have been processed in such a fashion that they will sink to the bottom and remain in place. | ||||
| 40:40:27.0.1.3.21.3.17.1 | 40 | Protection of Environment | I | H | 227 | PART 227—CRITERIA FOR THE EVALUATION OF PERMIT APPLICATIONS FOR OCEAN DUMPING OF MATERIALS | C | Subpart C—Need for Ocean Dumping | § 227.14 Criteria for evaluating the need for ocean dumping and alternatives to ocean dumping. | EPA | This subpart C states the basis on which an evaluation will be made of the need for ocean dumping, and alternatives to ocean dumping. The nature of these factors does not permit the promulgation of specific quantitative criteria of each permit application. These factors will therefore be evaluated if applicable for each proposed dumping on an individual basis using the guidelines specified in this subpart C. | ||||
| 40:40:27.0.1.3.21.3.17.2 | 40 | Protection of Environment | I | H | 227 | PART 227—CRITERIA FOR THE EVALUATION OF PERMIT APPLICATIONS FOR OCEAN DUMPING OF MATERIALS | C | Subpart C—Need for Ocean Dumping | § 227.15 Factors considered. | EPA | The need for dumping will be determined by evaluation of the following factors: (a) Degree of treatment useful and feasible for the waste to be dumped, and whether or not the waste material has been or will be treated to this degree before dumping; (b) Raw materials and manufacturing or other processes resulting in the waste, and whether or not these materials or processes are essential to the provision of the applicant's goods or services, or if other less polluting materials or processes could be used; (c) The relative environmental risks, impact and cost for ocean dumping as opposed to other feasible alternatives including but not limited to: (1) Land fill; (2) Well injection; (3) Incineration; (4) Spread of material over open ground; (5) Recycling of material for reuse; (6) Additional biological, chemical, or physical treatment of intermediate or final waste streams; (7) Storage. (d) Irreversible or irretrievable consequences of the use of alternatives to ocean dumping. | ||||
| 40:40:27.0.1.3.21.3.17.3 | 40 | Protection of Environment | I | H | 227 | PART 227—CRITERIA FOR THE EVALUATION OF PERMIT APPLICATIONS FOR OCEAN DUMPING OF MATERIALS | C | Subpart C—Need for Ocean Dumping | § 227.16 Basis for determination of need for ocean dumping. | EPA | (a) A need for ocean dumping will be considered to have been demonstrated when a thorough evaluation of the factors listed in § 227.15 has been made, and the Administrator, Regional Administrator or District Engineer, as the case may be, has determined that the following conditions exist where applicable: (1) There are no practicable improvements which can be made in process technology or in overall waste treatment to reduce the adverse impacts of the waste on the total environment; (2) There are no practicable alternative locations and methods of disposal or recycling available, including without limitation, storage until treatment facilities are completed, which have less adverse environmental impact or potential risk to other parts of the environment than ocean dumping. (b) For purposes of paragraph (a) of this section, waste treatment or improvements in processes and alternative methods of disposal are practicable when they are available at reasonable incremental cost and energy expenditures, which need not be competitive with the costs of ocean dumping, taking into account the environmental benefits derived from such activity, including the relative adverse environmental impacts associated with the use of alternatives to ocean dumping. (c) The duration of permits issued under subchapter H and other terms and conditions imposed in those permits shall be determined after taking into account the factors set forth in this section. Notwithstanding compliance with subparts B, D, and E of this part 227 permittees may, on the basis of the need for and alternatives to ocean dumping, be required to terminate all ocean dumping by a specified date, to phase out all ocean dumping over a specified period or periods, to continue research and development of alternative methods of disposal and make periodic reports of such research and development in order to provide additional information for periodic review of the need for and alternatives to ocean dumping, or to take such other action as the Administrator, the Regiona… | ||||
| 40:40:27.0.1.3.21.4.17.1 | 40 | Protection of Environment | I | H | 227 | PART 227—CRITERIA FOR THE EVALUATION OF PERMIT APPLICATIONS FOR OCEAN DUMPING OF MATERIALS | D | Subpart D—Impact of the Proposed Dumping on Esthetic, Recreational and Economic Values | § 227.17 Basis for determination. | EPA | (a) The impact of dumping on esthetic, recreational and economic values will be evaluated on an individual basis using the following considerations: (1) Potential for affecting recreational use and values of ocean waters, inshore waters, beaches, or shorelines; (2) Potential for affecting the recreational and commercial values of living marine resources. (b) For all proposed dumping, full consideration will be given to such nonquantifiable aspects of esthetic, recreational and economic impact as: (1) Responsible public concern for the consequences of the proposed dumping; (2) Consequences of not authorizing the dumping including without limitation, the impact on esthetic, recreational and economic values with respect to the municipalities and industries involved. | ||||
| 40:40:27.0.1.3.21.4.17.2 | 40 | Protection of Environment | I | H | 227 | PART 227—CRITERIA FOR THE EVALUATION OF PERMIT APPLICATIONS FOR OCEAN DUMPING OF MATERIALS | D | Subpart D—Impact of the Proposed Dumping on Esthetic, Recreational and Economic Values | § 227.18 Factors considered. | EPA | The assessment of the potential for impacts on esthetic, recreational and economic values will be based on an evaluation of the appropriate characteristics of the material to be dumped, allowing for conservative rates of dilution, dispersion, and biochemical degradation during movement of the materials from a disposal site to an area of significant recreational or commercial value. The following specific factors will be considered in making such an assessment: (a) Nature and extent of present and potential recreational and commercial use of areas which might be affected by the proposed dumping; (b) Existing water quality, and nature and extent of disposal activities, in the areas which might be affected by the proposed dumping; (c) Applicable water quality standards; (d) Visible characteristics of the materials (e.g., color, suspended particulates) which result in an unacceptable estetic nuisance in recreational areas; (e) Presence in the material of pathogenic organisms which may cause a public health hazard either directly or through contamination of fisheries or shellfisheries; (f) Presence in the material of toxic chemical constituents released in volumes which may affect humans directly; (g) Presence in the material of chemical constituents which may be bioaccumulated or persistent and may have an adverse effect on humans directly or through food chain interactions; (h) Presence in the material of any constituents which might significantly affect living marine resources of recreational or commercial value. | ||||
| 40:40:27.0.1.3.21.4.17.3 | 40 | Protection of Environment | I | H | 227 | PART 227—CRITERIA FOR THE EVALUATION OF PERMIT APPLICATIONS FOR OCEAN DUMPING OF MATERIALS | D | Subpart D—Impact of the Proposed Dumping on Esthetic, Recreational and Economic Values | § 227.19 Assessment of impact. | EPA | An overall assessment of the proposed dumping and possible alternative methods of disposal or recycling will be made based on the effect on esthetic, recreational and economic values based on the factors set forth in this subpart D, including where applicable, enhancement of these values, and the results of the assessment will be expressed, where possible, on a quantitative basis, such as percentage of a resource lost, reduction in use days of recreational areas, or dollars lost in commercial fishery profits or the profitability of other commercial enterprises. | ||||
| 40:40:27.0.1.3.21.5.17.1 | 40 | Protection of Environment | I | H | 227 | PART 227—CRITERIA FOR THE EVALUATION OF PERMIT APPLICATIONS FOR OCEAN DUMPING OF MATERIALS | E | Subpart E—Impact of the Proposed Dumping on Other Uses of the Ocean | § 227.20 Basis for determination. | EPA | (a) Based on current state of the art, consideration must be given to any possible long-range effects of even the most innocuous substances when dumped in the ocean on a continuing basis. Such a consideration is made in evaluating the relationship of each proposed disposal activity in relationship to its potential for long-range impact on other uses of the ocean. (b) An evaluation will be made on an individual basis for each proposed dumping of material of the potential for effects on uses of the ocean for purposes other than material disposal. The factors to be considered in this evaluation include those stated in subpart D, but the evaluation of this subpart E will be based on the impact of the proposed dumping on specific uses of the ocean rather than on overall esthetic, recreational and economic values. | ||||
| 40:40:27.0.1.3.21.5.17.2 | 40 | Protection of Environment | I | H | 227 | PART 227—CRITERIA FOR THE EVALUATION OF PERMIT APPLICATIONS FOR OCEAN DUMPING OF MATERIALS | E | Subpart E—Impact of the Proposed Dumping on Other Uses of the Ocean | § 227.21 Uses considered. | EPA | An appraisal will be made of the nature and extent of existing and potential uses of the disposal site itself and of any areas which might reasonably be expected to be affected by the proposed dumping, and a quantitative and qualitative evaluation made, where feasible, of the impact of the proposed dumping on each use. The uses considered shall include, but not be limited to: (a) Commercial fishing in open ocean areas; (b) Commercial fishing in coastal areas; (c) Commercial fishing in estuarine areas; (d) Recreational fishing in open ocean areas; (e) Recreational fishing in coastal areas; (f) Recreational fishing in estuarine areas; (g) Recreational use of shorelines and beaches; (h) Commercial navigation; (i) Recreational navigation; (j) Actual or anticipated exploitation of living marine resources; (k) Actual or anticipated exploitation of non-living resources, including without limitation, sand and gravel places and other mineral deposits, oil and gas exploration and development and offshore marine terminal or other structure development; and (l) Scientific research and study. | ||||
| 40:40:27.0.1.3.21.5.17.3 | 40 | Protection of Environment | I | H | 227 | PART 227—CRITERIA FOR THE EVALUATION OF PERMIT APPLICATIONS FOR OCEAN DUMPING OF MATERIALS | E | Subpart E—Impact of the Proposed Dumping on Other Uses of the Ocean | § 227.22 Assessment of impact. | EPA | The assessment of impact on other uses of the ocean will consider both temporary and long-range effects within the state of the art, but particular emphasis will be placed on any irreversible or irretrievable commitment of resources that would result from the proposed dumping. | ||||
| 40:40:27.0.1.3.21.7.17.1 | 40 | Protection of Environment | I | H | 227 | PART 227—CRITERIA FOR THE EVALUATION OF PERMIT APPLICATIONS FOR OCEAN DUMPING OF MATERIALS | G | Subpart G—Definitions | § 227.27 Limiting permissible concentration (LPC). | EPA | [42 FR 2476, Jan. 11, 1977; 43 FR 1071, Jan. 6, 1978, as amended at 59 FR 26572, May 20, 1994; 59 FR 52652, Oct. 18, 1994; 61 FR 51203, Sept. 30, 1996; 65 FR 47325, Aug. 2, 2000; 73 FR 74987, Dec. 10, 2008] | (a) The limiting permissible concentration of the liquid phase of a material is: (1) That concentration of a constituent which, after allowance for initial mixing as provided in § 227.29, does not exceed applicable marine water quality criteria; or, when there are no applicable marine water quality criteria, (2) That concentration of waste or dredged material in the receiving water which, after allowance for initial mixing, as specified in § 227.29, will not exceed a toxicity threshold defined as 0.01 of a concentration shown to be acutely toxic to appropriate sensitive marine organisms in a bioassay carried out in accordance with approved EPA procedures. (3) When there is reasonable scientific evidence on a specific waste material to justify the use of an application factor other than 0.01 as specified in paragraph (a)(2) of this section, such alternative application factor shall be used in calculating the LPC. (b) The limiting permissible concentration of the suspended particulate and solid phases of a material means that concentration which will not cause unreasonable acute or chronic toxicity or other sublethal adverse effects based on bioassay results using appropriate sensitive marine organisms in the case of the suspended particulate phase, or appropriate sensitive benthic marine organisms in the case of the solid phase; and which will not cause accumulation of toxic materials in the human food chain. Suspended particulate phase bioaccumulation testing is not required. These bioassays are to be conducted in accordance with procedures approved by EPA, or, in the case of dredged material, approved by EPA and the Corps of Engineers. (c) Appropriate sensitive marine organisms means at least one species each representative of phytoplankton or zooplankton, crustacean or mollusk, and fish species chosen from among the most sensitive species documented in the scientific literature or accepted by EPA as being reliable test organisms to determine the anticipated impact of the wastes on the ecosystem at the di… | |||
| 40:40:27.0.1.3.21.7.17.2 | 40 | Protection of Environment | I | H | 227 | PART 227—CRITERIA FOR THE EVALUATION OF PERMIT APPLICATIONS FOR OCEAN DUMPING OF MATERIALS | G | Subpart G—Definitions | § 227.28 Release zone. | EPA | The release zone is the area swept out by the locus of points constantly 100 meters from the perimeter of the conveyance engaged in dumping activities, beginning at the first moment in which dumping is scheduled to occur and ending at the last moment in which dumping is scheduled to occur. No release zone shall exceed the total surface area of the dumpsite. | ||||
| 40:40:27.0.1.3.21.7.17.3 | 40 | Protection of Environment | I | H | 227 | PART 227—CRITERIA FOR THE EVALUATION OF PERMIT APPLICATIONS FOR OCEAN DUMPING OF MATERIALS | G | Subpart G—Definitions | § 227.29 Initial mixing. | EPA | (a) Initial mixing is defined to be that dispersion or diffusion of liquid, suspended particulate, and solid phases of a waste which occurs within four hours after dumping. The limiting permissible concentration shall not be exceeded beyond the boundaries of the disposal site during initial mixing, and shall not be exceeded at any point in the marine environment after initial mixing. The maximum concentration of the liquid, suspended particulate, and solid phases of a dumped material after initial mixing shall be estimated by one of these methods, in order of preference: (1) When field data on the proposed dumping are adequate to predict initial dispersion and diffusion of the waste, these shall be used, if necessary, in conjunction with an appropriate mathematical model acceptable to EPA or the District Engineer, as appropriate. (2) When field data on the dispersion and diffusion of a waste of characteristics similar to that proposed for discharge are available, these shall be used in conjunction with an appropriate mathematical model acceptable to EPA or the District Engineer, as appropriate. (3) When no field data are available, theoretical oceanic turbulent diffusion relationships may be applied to known characteristics of the waste and the disposal site. (b) When no other means of estimation are feasible. (1) The liquid and suspended particulate phases of the dumped waste may be assumed to be evenly distributed after four hours over a column of water bounded on the surface by the release zone and extending to the ocean floor, thermocline, or halocline if one exists, or to a depth of 20 meters, whichever is shallower, and (2) The solid phase of a dumped waste may be assumed to settle rapidly to the ocean bottom and to be distributed evenly over the ocean bottom in an area equal to that of the release zone as defined in § 227.28. (c) When there is reasonable scientific evidence to demonstrate that other methods of estimating a reasonable allowance for initial mixing are appropriate for a specific materi… | ||||
| 40:40:27.0.1.3.21.7.17.4 | 40 | Protection of Environment | I | H | 227 | PART 227—CRITERIA FOR THE EVALUATION OF PERMIT APPLICATIONS FOR OCEAN DUMPING OF MATERIALS | G | Subpart G—Definitions | § 227.30 High-level radioactive waste. | EPA | High-level radioactive waste means the aqueous waste resulting from the operation of the first cycle solvent extraction system, or equivalent, and the concentrated waste from subsequent extraction cycles, or equivalent, in a facility for reprocessing irradiated reactor fuels or irradiated fuel from nuclear power reactors. | ||||
| 40:40:27.0.1.3.21.7.17.5 | 40 | Protection of Environment | I | H | 227 | PART 227—CRITERIA FOR THE EVALUATION OF PERMIT APPLICATIONS FOR OCEAN DUMPING OF MATERIALS | G | Subpart G—Definitions | § 227.31 Applicable marine water quality criteria. | EPA | Applicable marine water quality criteria means the criteria given for marine waters in the EPA publication “Quality Criteria for Water” as published in 1976 and amended by subsequent supplements or additions. | ||||
| 40:40:27.0.1.3.21.7.17.6 | 40 | Protection of Environment | I | H | 227 | PART 227—CRITERIA FOR THE EVALUATION OF PERMIT APPLICATIONS FOR OCEAN DUMPING OF MATERIALS | G | Subpart G—Definitions | § 227.32 Liquid, suspended particulate, and solid phases of a material. | EPA | (a) For the purposes of these regulations, the liquid phase of a material, subject to the exclusions of paragraph (b) of this section, is the supernatant remaining after one hour undisturbed settling, after centrifugation and filtration through a 0.45 micron filter. The suspended particulate phase is the supernatant as obtained above prior to centrifugation and filtration. The solid phase includes all material settling to the bottom in one hour. Settling shall be conducted according to procedures approved by EPA. (b) For dredged material, other material containing large proportions of insoluble matter, materials which may interact with ocean water to form insoluble matter or new toxic compounds, or materials which may release toxic compounds upon deposition, the Administrator, Regional Administrator, or the District Engineer, as the case may be, may require that the separation of liquid, suspended particulate, and solid phases of the material be performed upon a mixture of the waste with ocean water rather than on the material itself. In such cases the following procedures shall be used: (1) For dredged material, the liquid phase is considered to be the centrifuged and 0.45 micron filtered supernatant remaining after one hour undisturbed settling of the mixture resulting from a vigorous 30-minute agitation of one part bottom sediment from the dredging site with four parts water (vol/vol) collected from the dredging site or from the disposal site, as appropriate for the type of dredging operation. The suspended particulate phase is the supernatant as obtained above prior to centrifugation and filtration. The solid phase is considered to be all material settling to the bottom within one hour. Settling shall be conducted by procedures approved by EPA and the Corps of Engineers. (2) For other materials, the proportion of ocean water used shall be the minimum amount necessary to produce the anticipated effect (e.g., complete neutralization of an acid or alkaline waste) based on guidance provided by EPA on particula… | ||||
| 49:49:4.1.1.1.21.1.15.1 | 49 | Transportation | II | 227 | PART 227—OCCUPATIONAL SAFETY AND HEALTH IN THE LOCOMOTIVE CAB | A | Subpart A—General | § 227.1 Purpose and scope. | FRA | [89 FR 5130, Jan. 26, 2024] | (a) General. The purpose of this part is to protect the occupational safety and health of certain employees who are exposed to occupational dangers while in the cab of the locomotive. This part prescribes minimum Federal safety and health standards for certain locomotive cab occupants. This part does not restrict a railroad or railroad contractor from adopting and enforcing additional or more stringent requirements. (b) Subpart B of this part. The purpose of subpart B is to protect the occupational safety and health of employees whose predominant noise exposure occurs in the locomotive cab. Subpart B prescribes minimum Federal safety and health noise standards for locomotive cab occupants. (c) Subpart C of this part. The purpose of subpart C is to protect the occupational safety and health of train employees and certain other employees in the cab of the locomotive of a freight train that is transporting a poison inhalation hazard (PIH) material that, if released due to a railroad accident/incident, would pose an inhalation hazard to the occupants. In particular, subpart C is intended to protect these employees from the risk of exposure to the material while they are located in, or during escape from, the locomotive cab. | ||||
| 49:49:4.1.1.1.21.1.15.2 | 49 | Transportation | II | 227 | PART 227—OCCUPATIONAL SAFETY AND HEALTH IN THE LOCOMOTIVE CAB | A | Subpart A—General | § 227.3 Application. | FRA | [71 FR 63123, Oct. 27, 2006, as amended at 89 FR 5131, Jan. 26, 2024] | (a) Except as provided in paragraph (b) of this section, subpart B of this part applies to all railroads and contractors to railroads. (b) Subpart B of this part does not apply to— (1) A railroad that operates only on track inside an installation that is not part of the general railroad system of transportation; (2) A rapid transit operation in an urban area that is not connected to the general railroad system of transportation; (3) A rapid transit operation in an urban area that is connected to the general system and operates under a shared use waiver; (4) A railroad that operates tourist, scenic, historic, or excursion operations, whether on or off the general railroad system of transportation; or (5) Foreign railroad operations that meet the following conditions: Employees of the foreign railroad have a primary reporting point outside of the U.S. but are operating trains or conducting switching operations in the U.S.; and the government of that foreign railroad has implemented requirements for hearing conservation for railroad employees; the foreign railroad undertakes to comply with those requirements while operating within the U.S.; and FRA's Associate Administrator for Railroad Safety/Chief Safety Officer determines that the foreign requirements are consistent with the purpose and scope of subpart B of this part. A “foreign railroad” refers to a railroad that is incorporated in a place outside the U.S. and is operated out of a foreign country but operates for some distance in the U.S. (c) Except as provided in paragraph (d) of this section, subpart C of this part applies to any railroad that operates a freight train that transports a PIH material, including a residue of such a PIH material, on standard gage track that is part of the general railroad system of transportation. (d) Subpart C of this part does not apply to a railroad that operates only on track inside an installation that is not part of the general railroad system of transportation. | ||||
| 49:49:4.1.1.1.21.1.15.3 | 49 | Transportation | II | 227 | PART 227—OCCUPATIONAL SAFETY AND HEALTH IN THE LOCOMOTIVE CAB | A | Subpart A—General | § 227.5 Definitions. | FRA | [71 FR 63123, Oct. 27, 2006, as amended at 74 FR 25173, May 27, 2009; 89 FR 5131, Jan. 26, 2024; 90 FR 28126, July 1, 2025] | As used in this part— Accident/incident has the meaning that is assigned to that term by § 225.5 of this chapter. Action level means an eight-hour time-weighted-average sound level (TWA) of 85 dB(A), or, equivalently, a dose of 50 percent, integrating all sound levels from 80 dB(A) to 140 dB(A). Administrator means the Administrator of the Federal Railroad Administration or the Administrator's delegate. Artifact means any signal received or recorded by a noise measuring instrument that is not related to occupational noise exposure and may adversely impact the accuracy of the occupational noise measurement. Associate Administrator for Railroad Safety/Chief Safety Officer means the Associate Administrator for Railroad Safety/Chief Safety Officer, Federal Railroad Administration, 1200 New Jersey Avenue SE., Washington, DC 20590. Atmosphere immediately dangerous to life or health (IDLH) means an atmosphere that poses an immediate threat to life, would cause irreversible adverse health effects, or would impair an individual's ability to escape from a dangerous atmosphere. Atmosphere-supplying device means a respirator that supplies the respirator user with breathing air from a source that is independent of the ambient atmosphere. Such devices include supplied-air respirators and self-contained breathing apparatus units. Audiogram means a record of audiometric testing, showing the thresholds of hearing sensitivity measured at discrete frequencies, as well as other recordkeeping information. Audiologist means a professional, who provides comprehensive diagnostic and treatment/rehabilitative services for auditory, vestibular, and related impairments and who (1) Has a Master's degree or doctoral degree in audiology and (2) Is licensed as an audiologist by a State; or in the case of an individual who furnishes services in a State which does not license audiologists, has successfully completed 350 clock hours of supervised clinical practicum (or is in the process of accumulating such supervised clinical … | ||||
| 49:49:4.1.1.1.21.1.15.4 | 49 | Transportation | II | 227 | PART 227—OCCUPATIONAL SAFETY AND HEALTH IN THE LOCOMOTIVE CAB | A | Subpart A—General | § 227.7 [Reserved] | FRA | ||||||
| 49:49:4.1.1.1.21.1.15.5 | 49 | Transportation | II | 227 | PART 227—OCCUPATIONAL SAFETY AND HEALTH IN THE LOCOMOTIVE CAB | A | Subpart A—General | § 227.9 Penalties. | FRA | [71 FR 63123, Oct. 27, 2006, as amended at 73 FR 79702, Dec. 30, 2008; 77 FR 24421, Apr. 24, 2012; 81 FR 43110, July 1, 2016; 82 FR 16133, Apr. 3, 2017; 83 FR 60748, Nov. 27, 2018; 84 FR 23735, May 23, 2019; 84 FR 37073, July 31, 2019; 86 FR 1758, Jan. 11, 2021; 86 FR 23254, May 3, 2021; 87 FR 15868, Mar. 21, 2022; 88 FR 1127, Jan. 6, 2023; 88 FR 89562, Dec. 28, 2023; 89 FR 106296, Dec. 30, 2024; 90 FR 28160, July 1, 2025] | (a) Any person who violates any requirement of this part or causes the violation of any such requirement is subject to a civil penalty of at least the minimum civil monetary penalty and not more than the ordinary maximum civil monetary penalty per violation. However, penalties may be assessed against individuals only for willful violations, and a penalty not to exceed the aggravated maximum civil monetary penalty per violation may be assessed, where: (1) A grossly negligent violation, or a pattern of repeated violations, has created an imminent hazard of death or injury to persons; or (2) A death or injury has occurred. See 49 CFR part 209, appendix A. Each day a violation continues shall constitute a separate offense. See FRA's website at https://railroads.dot.gov/ for a statement of agency civil penalty policy. (b) Any person who knowingly and willfully falsifies a record or report required by this part may be subject to criminal penalties under 49 U.S.C. 21311. | ||||
| 49:49:4.1.1.1.21.1.15.6 | 49 | Transportation | II | 227 | PART 227—OCCUPATIONAL SAFETY AND HEALTH IN THE LOCOMOTIVE CAB | A | Subpart A—General | § 227.11 Responsibility for compliance. | FRA | Although the duties imposed by this part are generally stated in terms of the duty of a railroad, any person, including a contractor for a railroad, who performs any function covered by this part must perform that function in accordance with this part. | |||||
| 49:49:4.1.1.1.21.1.15.7 | 49 | Transportation | II | 227 | PART 227—OCCUPATIONAL SAFETY AND HEALTH IN THE LOCOMOTIVE CAB | A | Subpart A—General | § 227.13 Waivers. | FRA | (a) A person subject to a requirement of this part may petition the Administrator for a waiver of compliance with such requirement. The filing of such a petition does not affect that person's responsibility for compliance with that requirement while the petition is being considered. (b) Each petition for waiver under this section must be filed in the manner and contain the information required by part 211 of this chapter. (c) If the Administrator finds that a waiver of compliance is in the public interest and is consistent with railroad safety, the Administrator may grant the waiver subject to any conditions the Administrator deems necessary. | |||||
| 49:49:4.1.1.1.21.1.15.8 | 49 | Transportation | II | 227 | PART 227—OCCUPATIONAL SAFETY AND HEALTH IN THE LOCOMOTIVE CAB | A | Subpart A—General | § 227.15 Information collection. | FRA | [71 FR 63123, Oct. 27, 2006, as amended at 89 FR 5132, Jan. 26, 2024] | (a) The information collection requirements of this part were reviewed by the Office of Management and Budget pursuant to the Paperwork Reduction Act of 1980 (44 U.S.C. 3501 et seq. ) and are assigned OMB control number 2130-NEW. (b) The information collection requirements are found in the following sections: §§ 227.13, 227.103, 227.107, 227.109, 227.111, 227.117, 227.119, 227.121, 227.201, 227.203, 227.205, 227.207, 227.209, 227.211, 227.213, and 227.215. | ||||
| 49:49:4.1.1.1.21.2.15.1 | 49 | Transportation | II | 227 | PART 227—OCCUPATIONAL SAFETY AND HEALTH IN THE LOCOMOTIVE CAB | B | Subpart B—Occupational Noise Exposure for Railroad Operating Employees. | § 227.101 Scope and applicability. | FRA | (a) This subpart shall apply to the noise-related working conditions of— (1) Any person who regularly performs service subject to the provisions of the hours of service laws governing “train employees” (see 49 U.S.C. 21101(5) and 21103), but, subject to a railroad's election in paragraph (a)(3) of this section, does not apply to: (i) Employees who move locomotives only within the confines of locomotive repair or servicing areas, as provided in §§ 218.5 and 218.29(a) of this chapter, or (ii) Employees who move a locomotive or group of locomotives for distances of less than 100 feet and this incidental movement of a locomotive or locomotives is for inspection or maintenance purposes, or (iii) Contractors who operate historic equipment in occasional service, provided that the contractors have been provided with hearing protectors and, where necessary, are required to use the hearing protectors while operating the historic equipment; (2) Any direct supervisor of the persons described in paragraph (a)(1) of this section whose duties require frequent work in the locomotive cab; and (3) At the election of the railroad, any other person (including a person excluded by paragraph (a)(1) of this section) whose duties require frequent work in the locomotive cab and whose primary noise exposure is reasonably expected to be experienced in the cab, if the position occupied by such person is designated in writing by the railroad, as required by § 227.121(d). (b) Occupational noise exposure and hearing conservation for employees not covered by this subpart is governed by the appropriate occupational noise exposure regulation of the U.S. Department of Labor, Occupational Safety and Health Administration located at 29 CFR 1910.95. | |||||
| 49:49:4.1.1.1.21.2.15.10 | 49 | Transportation | II | 227 | PART 227—OCCUPATIONAL SAFETY AND HEALTH IN THE LOCOMOTIVE CAB | B | Subpart B—Occupational Noise Exposure for Railroad Operating Employees. | § 227.119 Training program. | FRA | [71 FR 63123, Oct. 27, 2006, as amended at 89 FR 5132, Jan. 26, 2024] | (a) The railroad shall institute an occupational noise and hearing conservation training program for all employees included in the hearing conservation program. (1) The railroad shall offer the training program to each employee included in the hearing conservation program at least once each calendar year. The interval between the date offered to any employee for the training in a calendar year and the date offered in the subsequent calendar year shall be no more than 450 days and no less than 280 days. (2) The railroad shall require each employee included in the hearing conservation program to complete the training at least once every 1095 days. (b) The railroad shall provide the training required by paragraph (a) of this section in accordance with the following: (1) For employees hired after February 26, 2007, within six months of the employee's first tour of duty in a position identified within the scope of this part. (2) For employees hired on or before February 26, 2007, by Class I, passenger, and commuter railroads, and railroads with 400,000 or more annual employee hours, by no later than February 26, 2009; (3) For employees hired on or before February 26, 2007, by railroads with fewer than 400,000 annual employee hours, by no later than February 26, 2010. (c) The training program shall include and the training materials shall reflect, at a minimum, information on all of the following: (1) The effects of noise on hearing; (2) The purpose of hearing protectors; (3) The advantages, disadvantages, and attenuation of various types of hearing protectors; (4) Instructions on selection, fitting, use, and care of hearing protectors; (5) The purpose of audiometric testing, and an explanation of the test procedures; (6) An explanation of noise operational controls, where used; (7) General information concerning the expected range of workplace noise exposure levels associated with major categories of railroad equipment and operations ( e.g. , switching and road assignments, hump yards near retarders, etc… | ||||
| 49:49:4.1.1.1.21.2.15.11 | 49 | Transportation | II | 227 | PART 227—OCCUPATIONAL SAFETY AND HEALTH IN THE LOCOMOTIVE CAB | B | Subpart B—Occupational Noise Exposure for Railroad Operating Employees. | § 227.121 Recordkeeping. | FRA | (a) General requirements —(1) Availability of records. Each railroad required to maintain and retain records under this part shall: (i) Make all records available for inspection and copying/photocopying to representatives of the FRA, upon request; (ii) Make an employee's records available for inspection and copying/photocopying to that employee, former employee, or such person's representative upon written authorization by such employee; (iii) Make exposure measurement records for a given run or yard available for inspection and copying/photocopying to all employees who were present in the locomotive cab during the given run and/or who work in the same yard; and (iv) Make exposure measurement records for specific locations available to regional or national labor representatives, upon request. These reports shall not contain identifying information of an employee unless an employee authorizes the release of such information in writing. (2) Electronic records. All records required by this part may be kept in electronic form by the railroad. A railroad may maintain and transfer records through electronic transmission, storage, and retrieval provided that: (i) The electronic system be designed so that the integrity of each record is maintained through appropriate levels of security such as recognition of an electronic signature, or other means, which uniquely identify the initiating person as the author of that record. No two persons shall have the same electronic identity; (ii) The electronic system shall ensure that each record cannot be modified in any way, or replaced, once the record is transmitted and stored; (iii) Any amendment to a record shall be electronically stored apart from the record which it amends. Each amendment to a record shall be uniquely identified as to the person making the amendment; (iv) The electronic system shall provide for the maintenance of records as originally submitted without corruption or loss of data; and (v) Paper copies of electronic records and amendments to thos… | |||||
| 49:49:4.1.1.1.21.2.15.2 | 49 | Transportation | II | 227 | PART 227—OCCUPATIONAL SAFETY AND HEALTH IN THE LOCOMOTIVE CAB | B | Subpart B—Occupational Noise Exposure for Railroad Operating Employees. | § 227.103 Noise monitoring program. | FRA | [71 FR 63123, Oct. 27, 2006, as amended at 74 FR 25173, May 27, 2009; 89 FR 5132, Jan. 26, 2024] | (a) Schedule. A railroad shall develop and implement a noise monitoring program to determine whether any employee covered by the scope of this subpart may be exposed to noise that may equal or exceed an 8-hour TWA of 85 dB(A), in accordance with the following schedule: (1) Class I, passenger, and commuter railroads no later than February 26, 2008. (2) Railroads with 400,000 or more annual employee hours that are not Class I, passenger, or commuter railroads no later than August 26, 2008. (3) Railroads with fewer than 400,000 annual employee hours no later than August 26, 2009. (b) Sampling strategy. (1) In its monitoring program, the railroad shall use a sampling strategy that is designed to identify employees for inclusion in the hearing conservation program and to enable the proper selection of hearing protection. (2) Where circumstances such as high worker mobility, significant variations in sound level, or a significant component of impulse noise make area monitoring generally inappropriate, the railroad shall use representative personal sampling to comply with the monitoring requirements of this section, unless the railroad can show that area sampling produces equivalent results. (c) Noise measurements. (1) All continuous, intermittent, and impulse sound levels from 80 decibels to 140 decibels shall be integrated into the noise measurements. (2) Noise measurements shall be made under typical operating conditions using: (i) A sound level meter conforming, at a minimum, to the requirements of ANSI S1.4-1983 (Reaffirmed 2001) (incorporated by reference, see § 227.103(h)), Type 2, and set to an A-weighted SLOW response; (ii) An integrated sound level meter conforming, at a minimum, to the requirements of ANSI S1.43-1997 (Reaffirmed 2002) (incorporated by reference, see § 227.103(h)), Type 2, and set to an A-weighted slow response ; or (iii) A noise dosimeter conforming, at a minimum, to the requirements of ANSI S1.25-1991 (Reaffirmed 2002) (incorporated by reference, see § 227.103(h)) and set to … | ||||
| 49:49:4.1.1.1.21.2.15.3 | 49 | Transportation | II | 227 | PART 227—OCCUPATIONAL SAFETY AND HEALTH IN THE LOCOMOTIVE CAB | B | Subpart B—Occupational Noise Exposure for Railroad Operating Employees. | § 227.105 Protection of employees. | FRA | (a) A railroad shall provide appropriate protection for its employees who are exposed to noise, as measured according to § 227.103, that exceeds the limits specified in appendix A of this part. (b) In assessing whether exposures exceed 115 dB(A), as set forth in paragraph (a) of this section and appendix A to this part, the apparent source of the noise exposures shall be observed and documented and measurement artifacts may be removed. (c) Except as set forth in paragraph (d) of this section, exposure to continuous noise shall not exceed 115dB(A). (d) Exposures to continuous noise greater than 115 dB(A) and equal to or less than 120 dB(A) are permissible, provided that the total daily duration does not exceed 5 seconds. | |||||
| 49:49:4.1.1.1.21.2.15.4 | 49 | Transportation | II | 227 | PART 227—OCCUPATIONAL SAFETY AND HEALTH IN THE LOCOMOTIVE CAB | B | Subpart B—Occupational Noise Exposure for Railroad Operating Employees. | § 227.107 Hearing conservation program. | FRA | (a) Consistent with the requirements of the noise monitoring program required by § 227.103, the railroad shall administer a continuing, effective hearing conservation program, as set forth in §§ 227.109 through 227.121, for all employees exposed to noise at or above the action level. (b) For purposes of the hearing conservation program, employee noise exposure shall be computed in accordance with the tables in appendix A of this part, and without regard to any attenuation provided by the use of hearing protectors. | |||||
| 49:49:4.1.1.1.21.2.15.5 | 49 | Transportation | II | 227 | PART 227—OCCUPATIONAL SAFETY AND HEALTH IN THE LOCOMOTIVE CAB | B | Subpart B—Occupational Noise Exposure for Railroad Operating Employees. | § 227.109 Audiometric testing program. | FRA | [71 FR 63123, Oct. 27, 2006, as amended at 89 FR 5132, Jan. 26, 2024] | (a) Each railroad shall establish and maintain an audiometric testing program as set forth in this section and include employees who are required to be included in a hearing conservation program pursuant to § 227.107. (b) Cost. The audiometric tests shall be provided at no cost to employees. (c) Tests. Audiometric tests shall be performed by: (1) An audiologist, otolaryngologist, or other physician who has experience and expertise in hearing and hearing loss; or (2) A qualified technician. (d) [Reserved] (e) Baseline audiogram. This paragraph (e) applies to employees who are required by § 227.107 to be included in a hearing conservation program. (1) New employees. (i) Except as provided in paragraph (e)(1)(ii), for employees hired after February 26, 2007, the railroad shall establish a valid baseline audiogram within 6 months of the new employee's first tour of duty. (ii) Where mobile test vans are used to meet the requirement in paragraph (e)(1)(i), the railroad shall establish a valid baseline audiogram within one year of the new employee's first tour of duty. (2) Existing employees. (i) For all employees without a baseline audiogram as of February 26, 2007, Class I, passenger, and commuter railroads, and railroads with 400,000 or more annual employee hours shall establish a valid baseline audiogram by February 26, 2009; and railroads with less than 400,000 annual employee hours shall establish a valid baseline audiogram by February 26, 2010. (ii) If an employee has had a baseline audiogram as of February 26, 2007, and it was obtained under conditions that satisfy the requirements found in 29 CFR 1910.95(h), the railroad must use that baseline audiogram. (iii) If the employee has had a baseline audiogram as of February 26, 2007, and it was obtained under conditions that satisfy the requirements in 29 CFR 1910.95(h)(1), but not the requirements found in 29 CFR 1910.95(h)(2) through (5), the railroad may elect to use that baseline audiogram provided that the Professional Supervisor of the Aud… | ||||
| 49:49:4.1.1.1.21.2.15.6 | 49 | Transportation | II | 227 | PART 227—OCCUPATIONAL SAFETY AND HEALTH IN THE LOCOMOTIVE CAB | B | Subpart B—Occupational Noise Exposure for Railroad Operating Employees. | § 227.111 Audiometric test requirements. | FRA | [71 FR 63123, Oct. 27, 2006, as amended at 74 FR 25173, May 27, 2009] | (a) Audiometric tests shall be pure tone, air conduction, hearing threshold examinations, with test frequencies including 500, 1000, 2000, 3000, 4000, 6000, and 8000 Hz. Tests at each frequency shall be taken separately for each ear. (b) Audiometric tests shall be conducted with audiometers (including microprocessor audiometers) that meet the specifications of and are maintained and used in accordance with ANSI S3.6-2004 “Specification for Audiometers.” The Director of the Federal Register approves the incorporation by reference of this standard in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You may obtain a copy of the incorporated standard from the American National Standards Institute at 1819 L Street, NW., Washington, DC 20036 or http://www.ansi.org. You may inspect a copy of the incorporated standard at the Federal Railroad Administration, Docket Room, 1200 New Jersey Avenue, SE., Washington, DC 20590, Washington, DC 20005, or at the National Archives and Records Administration (NARA). For more information on the availability of this material at NARA, call 202-741-6030, or go to http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html. (1) Pulsed-tone audiometers should be used with the following on and off times: F-J and J-K shall each have values of 225 ±35 milliseconds (ms). (2) Use of insert earphones shall be consistent with the requirements listed in appendix E of this part: Use of Insert Earphones for Audiometric Testing. (c) Audiometric examinations shall be administered in a room meeting the requirements listed in appendix D of this part: Audiometric Test Rooms. (d) Audiometer calibration. (1) The functional operation of the audiometer shall be checked before each day's use by testing a person with known, stable hearing thresholds or by appropriate calibration device, and by listening to the audiometer's output to make sure that the output is free from distorted or unwanted sounds. Deviations of 10 decibels or greater require an acoustic calibration. … | ||||
| 49:49:4.1.1.1.21.2.15.7 | 49 | Transportation | II | 227 | PART 227—OCCUPATIONAL SAFETY AND HEALTH IN THE LOCOMOTIVE CAB | B | Subpart B—Occupational Noise Exposure for Railroad Operating Employees. | § 227.113 Noise operational controls. | FRA | (a) Railroads may use noise operational controls at any sound level to reduce exposures to levels below those required by Table A-1 of appendix A of this part. (b) Railroads are encouraged to use noise operational controls when employees are exposed to sound exceeding an 8-hour TWA of 90 dB(A). | |||||
| 49:49:4.1.1.1.21.2.15.8 | 49 | Transportation | II | 227 | PART 227—OCCUPATIONAL SAFETY AND HEALTH IN THE LOCOMOTIVE CAB | B | Subpart B—Occupational Noise Exposure for Railroad Operating Employees. | § 227.115 Hearing protectors. | FRA | (a) General requirements for hearing protectors. (1) The railroad shall provide hearing protectors to employees at no cost to the employee. (2) The railroad shall replace hearing protectors as necessary. (3) When offering hearing protectors, a railroad shall consider an employee's ability to understand and respond to voice radio communications and audible warnings. (4) The railroad shall give employees the opportunity to select their hearing protectors from a variety of suitable hearing protectors. The selection shall include devices with a range of attenuation levels. (5) The railroad shall provide training in the use and care of all hearing protectors provided to employees. (6) The railroad shall ensure proper initial fitting and supervise the correct use of all hearing protectors. (b) Availability of hearing protectors. A railroad shall make hearing protectors available to all employees exposed to sound levels that meet or exceed the action level. (c) Required use at action level. A railroad shall require the use of hearing protectors when an employee is exposed to sound levels that meet or exceed the action level, and the employee has: (1) Not yet had a baseline audiogram established pursuant to § 227.109; or (2) Experienced a standard threshold shift and is required to use hearing protectors under § 227.109(h). (d) Required use for TWA of 90 dB(A). The railroad shall require the use of hearing protectors when an employee is exposed to sound levels equivalent to an 8-hour TWA of 90 dB(A) or greater. The hearing protectors should be used to reduce sound levels to within those levels required by appendix A of this part. | |||||
| 49:49:4.1.1.1.21.2.15.9 | 49 | Transportation | II | 227 | PART 227—OCCUPATIONAL SAFETY AND HEALTH IN THE LOCOMOTIVE CAB | B | Subpart B—Occupational Noise Exposure for Railroad Operating Employees. | § 227.117 Hearing protector attenuation. | FRA | (a) A railroad shall evaluate hearing protector attenuation for the specific noise environments in which the protector will be used. The railroad shall use one of the evaluation methods described in appendix B of this part; “Methods for Estimating the Adequacy of Hearing Protector Attenuation.” (b) Hearing protectors shall attenuate employee exposure to an 8-hour TWA of 90 decibels or lower, as required by § 227.115. (c) For employees who have experienced a standard threshold shift, hearing protectors must attenuate employee exposure to an 8-hour time-weighted average of 85 decibels or lower. (d) The adequacy of hearing protector attenuation shall be re-evaluated whenever employee noise exposures increase to the extent that the hearing protectors provided may no longer provide adequate attenuation. A railroad shall provide more effective hearing protectors where necessary. | |||||
| 49:49:4.1.1.1.21.3.15.1 | 49 | Transportation | II | 227 | PART 227—OCCUPATIONAL SAFETY AND HEALTH IN THE LOCOMOTIVE CAB | C | Subpart C—Emergency Escape Breathing Apparatus Standards | § 227.201 Criteria for requiring availability of EEBAs in the locomotive cab. | FRA | (a) In general. (1)(i) Except as specified in paragraph (b) of this section, a railroad is required to provide an EEBA to each of the following of its employees while the employee is located in the cab of a locomotive of an in-service freight train transporting a PIH material, including a residue of a PIH material: (A) Any train employee; (B) Any direct supervisor of the train employee; (C) Any employee who is deadheading; and (D) Any other employee designated by the railroad in writing and at the discretion of the railroad. (ii) Each EEBA provided to an employee identified in paragraph (a)(1)(i) of this section must meet the EEBA-selection criteria of § 227.203 and must have been inspected and be in working order pursuant to the requirements of § 227.207 at the time that the EEBA is provided to the employee. (2) Except as specified in paragraph (b) of this section, a railroad shall not use a locomotive to transport a PIH material, including a residue of a PIH material, in an in-service freight train unless each of the employees identified in paragraph (a)(1)(i) of this section while occupying a locomotive cab of the train has access to an EEBA that satisfies the EEBA selection criteria in § 227.203 and that has been inspected and is in working order pursuant to the requirements in § 227.207. (b) Exceptions. (1) A railroad is not required to provide an EEBA, or make accessible an EEBA, to an employee while in the locomotive cab of an in-service freight train transporting a PIH material if all of the PIH materials in the train, including a residue of a PIH material, are being transported in one or more intermodal containers. (2) This subpart does not apply to any of the following: (i) Employees who are moving a locomotive or group of locomotives coupled to a car or group of cars transporting a PIH material, including a residue of a PIH material, only within the confines of a locomotive repair or servicing area. (ii) Employees who are moving a locomotive or group of locomotives coupled to a car or gro… | |||||
| 49:49:4.1.1.1.21.3.15.10 | 49 | Transportation | II | 227 | PART 227—OCCUPATIONAL SAFETY AND HEALTH IN THE LOCOMOTIVE CAB | C | Subpart C—Emergency Escape Breathing Apparatus Standards | § 227.219 Incorporation by reference. | FRA | Certain material is incorporated by reference into this subpart with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. This incorporation by reference (IBR) material is available for inspection at the FRA and the National Archives and Records Administration (NARA). Contact FRA at: Federal Railroad Administration, 1200 New Jersey Avenue SE, Washington, DC 20590; phone: (202) 493-6052; email: FRALegal@dot.gov . For information on the availability of this material at NARA, visit www.archives.gov/federal-register/cfr/ibr-locations or email fr.inspection@nara.gov. The material may be obtained from the following sources: (a) The British Standards Institution, 12110 Sunset Hills Road, Suite 200, Reston, VA 20190-5902, phone: 800-862-4977; website: shop.bsigroup.com. (1) BS EN 1146:2005, Respiratory protective devices—Self-contained, open-circuit compressed air breathing apparatus incorporating a hood for escape—requirements, testing, marking; February 2, 2006; into §§ 227.203(b) and 227.207(c). (2) BS EN 13794:2002, Respiratory protective devices—Self-contained, closed-circuit breathing apparatus for escape—requirements, testing, marking, November 26, 2002; into §§ 227.203(b) and 227.207(c). (b) International Organization for Standardization, Chemin de Blandonnet 8, CP 401, 1214 Vernier, Geneva, Switzerland; phone +41-22-749-08-88; website: www.iso.org. (1) ISO 23269-1:2008(E), Ships and marine technology—Breathing apparatus for ships—Part 1: Emergency escape breathing devices (EEBD) for shipboard use, First Edition, February 1, 2008; into §§ 227.203(b) and 227.207(c). (2) [Reserved] | |||||
| 49:49:4.1.1.1.21.3.15.2 | 49 | Transportation | II | 227 | PART 227—OCCUPATIONAL SAFETY AND HEALTH IN THE LOCOMOTIVE CAB | C | Subpart C—Emergency Escape Breathing Apparatus Standards | § 227.203 Criteria for selecting EEBAs. | FRA | In selecting the appropriate EEBA to provide to an employee, the railroad shall do the following: (a) Select an atmosphere-supplying EEBA that protects against all PIH materials (including their residue) that are being transported by the freight train while in service. (b) Ensure that the type of respirator selected meets the requirements of paragraph (c)(1) of this section regarding minimum breathing capacity and is— (1) Certified for an escape only purpose by NIOSH pursuant to 42 CFR part 84; or (2) Declared by the manufacturer, based on verifiable testing by the manufacturer or an independent third party, to meet the criteria established by one of the following: (i) ISO 23269-1:2008 (incorporated by reference, see § 227.219); (ii) BS EN 13794:2002 (incorporated by reference, see § 227.219); or (iii) BS EN 1146:2005 (incorporated by reference, see § 227.219). (c) Document, and provide such documentation for inspection by FRA upon request, the rationale for the final selection of an EEBA by addressing each of the following concerns: (1) Breathing time. Each EEBA must be fully charged and contain a minimum breathing capacity of 15 minutes at the time of the pre-trip inspection required under § 227.207(a)(1). (2) Head and neck protection. The EEBA selected must provide a means of protecting the individual's head and neck from the irritating effects of PIH materials to facilitate escape. (3) Accommodation for eyeglasses and a range of facial features. The EEBA selected must provide a means of protecting each employee who is required to be provided with the EEBA, including those who wear glasses, and allow for the reasonable accommodation of each such employee's facial features, including facial hair. | |||||
| 49:49:4.1.1.1.21.3.15.3 | 49 | Transportation | II | 227 | PART 227—OCCUPATIONAL SAFETY AND HEALTH IN THE LOCOMOTIVE CAB | C | Subpart C—Emergency Escape Breathing Apparatus Standards | § 227.205 Storage facilities for EEBAs. | FRA | (a) A railroad may not use a locomotive if it is part of an in-service freight train transporting a PIH material, including a residue of a PIH material, and the locomotive cab is occupied by an employee identified in § 227.201(a)(1)(i)(A) through (D) (subject employee), unless the locomotive cab has appropriate storage facilities to hold the number of EEBAs required to be provided. (b) The storage facility for each required EEBA must— (1) Prevent deformation of the face piece and exhalation valve, where applicable; (2) Protect the EEBA from incidental damage, contamination, dust, sunlight, extreme temperatures, excessive moisture, and damaging chemicals; (3) Provide each subject employee located in the locomotive cab with ready access to the EEBA during an emergency; and (4) Provide a means for each subject employee to locate the EEBA under adverse conditions such as darkness or disorientation. (c) A railroad must comply with the applicable manufacturer's instructions for storage of each required EEBA and must keep a copy of the instructions at its system headquarters for FRA inspection. | |||||
| 49:49:4.1.1.1.21.3.15.4 | 49 | Transportation | II | 227 | PART 227—OCCUPATIONAL SAFETY AND HEALTH IN THE LOCOMOTIVE CAB | C | Subpart C—Emergency Escape Breathing Apparatus Standards | § 227.207 Railroad's program for inspection, maintenance, and replacement of EEBAs; requirements for procedures. | FRA | (a) General. Each railroad shall establish and comply with a written program for inspection, maintenance, and replacement of EEBAs that are required under this subpart. The program for inspection, maintenance, and replacement of EEBAs shall be maintained at the railroad's system headquarters and shall be amended, as necessary, to reflect any significant changes. This program shall include the following procedures: (1) Procedures for performing and recording a pre-trip inspection of each EEBA that is required to be provided on a locomotive being used to transport a PIH material and procedures for cleaning, replacing, or repairing each required EEBA, if necessary, prior to its being provided under § 227.201(a); (2) Procedures for performing and recording periodic inspections and maintenance of each required EEBA in a manner and on a schedule in accordance with the manufacturer's recommendations; and (3) Procedures for turning in and obtaining a replacement for a defective, failed, or used EEBA and for recording those transactions. (b) Inspection procedures and records. (1) A railroad's procedures for pre-trip and periodic inspections of EEBAs shall require that the following information about each pre-trip and periodic inspection be accurately recorded on a tag or label that is attached to the storage facility for the EEBA or kept with the EEBA or in inspection reports stored as paper or electronic files: (i) The name of the railroad performing the inspection; (ii) The date that the inspection was performed; (iii) The name and signature of the individual who made the inspection; (iv) The findings of the inspection; (v) The required remedial action; and (vi) A serial number or other means of identifying the inspected EEBA. (2) A railroad shall maintain an accurate record of each pre-trip and periodic inspection required by this section. Pre-trip inspection records shall be retained for a period of 92 days. Periodic inspection records shall be retained for a period of one year. (c) Procedures applica… | |||||
| 49:49:4.1.1.1.21.3.15.5 | 49 | Transportation | II | 227 | PART 227—OCCUPATIONAL SAFETY AND HEALTH IN THE LOCOMOTIVE CAB | C | Subpart C—Emergency Escape Breathing Apparatus Standards | § 227.209 Railroad's program of instruction on EEBAs. | FRA | (a) General. (1) A railroad shall adopt and comply with its written program of instruction on EEBAs for all of its employees in its general EEBA program under § 227.211 (subject employees). The program of instruction shall be maintained at the railroad's system headquarters and shall be amended, as necessary, to reflect any significant changes. (2) This program may be integrated with the railroad's program of instruction on operating rules under § 217.11 of this chapter or its program of instruction for hazmat employees under § 172.704 of this title. If the program is not integrated with either of these programs, it must be written in a separate document that is available for inspection by FRA. (b) Subject matter. The railroad's program of instruction shall require that the subject employees demonstrate knowledge of at least the following: (1) Why the EEBA is necessary and how improper fit, usage, or maintenance can compromise the protective effect of the EEBA. (2) The capabilities and limitations of the EEBA, particularly the limited time for use. (3) How to use the EEBA effectively in emergency situations, including situations in which the EEBA malfunctions. (4) How to inspect, put on, remove, and use the EEBA, and how to check the seals of the EEBA. (5) Procedures for maintenance and storage of the EEBA that must be followed. (6) The requirements of this subpart related to the responsibilities of employees and the rights of employees to have access to records. (7) The hazardous materials classified as PIH materials. (c) Dates of initial instruction and intervals for periodic instruction. (1) The instruction for current subject employees shall be provided on an initial basis no later than 30 days prior to the date of compliance identified in § 227.217. Initial instruction of new subject employees shall occur either 30 days prior to the date of compliance identified in § 227.217 or before assignment to jobs where the deployment of EEBAs on a locomotive is required, whichever is later. (2) Initia… | |||||
| 49:49:4.1.1.1.21.3.15.6 | 49 | Transportation | II | 227 | PART 227—OCCUPATIONAL SAFETY AND HEALTH IN THE LOCOMOTIVE CAB | C | Subpart C—Emergency Escape Breathing Apparatus Standards | § 227.211 Requirement to implement a general EEBA program; criteria for placing employees in the general EEBA program. | FRA | (a) In general. A railroad shall adopt and comply with a comprehensive, written, general program to implement this subpart that shall be maintained at the railroad's system headquarters. Each railroad shall amend its general EEBA program, as necessary, to reflect any significant changes. (b) Elements of the general EEBA program and criteria for placing employees in program. A railroad's general EEBA program shall— (1) Identify the individual who implements and manages the railroad's general EEBA program by title. The individual must have suitable training and sufficient knowledge, experience, skill, and authority to enable him or her to manage properly a program for provision of EEBAs. If the individual is not directly employed by the railroad, the written program must identify the business relationship of the railroad to the individual fulfilling this role. (2) Describe the administrative and technical process for selection of EEBAs appropriate to the hazards that may be reasonably expected. (3) Describe the process used to procure and provide EEBAs in a manner to ensure the continuous and ready availability of an EEBA to each of the railroad's employees identified in § 227.201(a)(1)(i)(A) through (D) (while actually occupying the locomotive cab of a freight train in service transporting a PIH material). This description shall include— (i) A description of the method used for provision of EEBAs, including whether the EEBAs are individually assigned to employees, installed on locomotives as required equipment, or provided by other means. If EEBAs are installed on locomotives as required equipment, the means of securement shall be designated. (ii) The decision criteria used by the railroad to identify trains in which provision of EEBAs is not required. (iii) A description of what procedures will govern the railroad at interchange to ensure that the locomotive cab in each in-service freight train transporting a PIH material has an EEBA accessible to each of the employees identified in § 227.201(a)(1)(i)(… | |||||
| 49:49:4.1.1.1.21.3.15.7 | 49 | Transportation | II | 227 | PART 227—OCCUPATIONAL SAFETY AND HEALTH IN THE LOCOMOTIVE CAB | C | Subpart C—Emergency Escape Breathing Apparatus Standards | § 227.213 Employee's responsibilities. | FRA | (a) An employee to whom the railroad provides an EEBA shall— (1) Participate in training under § 227.209; (2) Follow railroad procedures to ensure that the railroad's EEBAs— (i) Are maintained in a secure and accessible manner; (ii) Are inspected as required by this subpart and the railroad's program of inspection; and (iii) If found to be unserviceable upon inspection, are turned in to the appropriate railroad facility for repair, periodic maintenance, or replacement; and (3) Notify the railroad of EEBA failures and of use incidents in a timely manner. (b) No employee shall willfully tamper with or vandalize an EEBA that is provided pursuant to § 227.201(a) in an attempt to disable or damage the EEBA. | |||||
| 49:49:4.1.1.1.21.3.15.8 | 49 | Transportation | II | 227 | PART 227—OCCUPATIONAL SAFETY AND HEALTH IN THE LOCOMOTIVE CAB | C | Subpart C—Emergency Escape Breathing Apparatus Standards | § 227.215 Recordkeeping in general. | FRA | (a) Availability of records. (1) A railroad shall make all records required by this subpart available for inspection and copying or photocopying to representatives of FRA, upon request. (2) Except for records of pre-trip inspections of EEBAs under § 227.207, records required to be retained under this subpart must be kept at the system headquarters and at each division headquarters where the tests and inspections are conducted. (b) Electronic records. All records required by this subpart may be kept in electronic form by the railroad. A railroad may maintain and transfer records through electronic transmission, storage, and retrieval provided that all of the following conditions are met: (1) The electronic system is designed so that the integrity of each record is maintained through appropriate levels of security such as recognition of an electronic signature, or other means, which uniquely identify the initiating person as the author of that record. No two persons have the same electronic identity. (2) The electronic system ensures that each record cannot be modified in any way, or replaced, once the record is transmitted and stored. (3) Any amendment to a record is electronically stored apart from the record that it amends. Each amendment to a record is uniquely identified as to the individual making the amendment. (4) The electronic system provides for the maintenance of records as originally submitted without corruption or loss of data. (5) Paper copies of electronic records and amendments to those records that may be necessary to document compliance with this subpart are made available for inspection and copying or photocopying by representatives of FRA. | |||||
| 49:49:4.1.1.1.21.3.15.9 | 49 | Transportation | II | 227 | PART 227—OCCUPATIONAL SAFETY AND HEALTH IN THE LOCOMOTIVE CAB | C | Subpart C—Emergency Escape Breathing Apparatus Standards | § 227.217 Compliance dates. | FRA | [90 FR 38075, Aug. 7, 2025] | (a) Class I railroads subject to this subpart are required to comply with this subpart beginning no later than 12 months from March 26, 2025. (b) Class II railroads subject to this subpart are required to comply with this subpart beginning no later than 12 months from March 26, 2025. (c) Class III railroads subject to this subpart and any other railroads subject to this subpart are required to comply with this subpart beginning no later than 18 months from March 26, 2025. | ||||
| 7:7:4.1.1.1.6.1.1.1 | 7 | Agriculture | II | A | 227 | PART 227—NUTRITION EDUCATION AND TRAINING PROGRAM | A | Subpart A—General | § 227.1 General purpose and scope. | FNS | The purpose of these regulations is to implement section 19 of the Child Nutrition Act (added by Pub. L. 95-166, effective November 10, 1977) which authorizes the Secretary to formulate and carry out a nutrition information and education program through a system of grants to State agencies to provide for (a) the nutritional training of educational and foodservice personnel, (b) the foodservice management training of school foodservice personnel, and (c) the conduct of nutrition education activities in schools and child care institutions. To the maximum extent possible, the Program shall fully utilize the child nutrition programs as a learning experience. | ||||
| 7:7:4.1.1.1.6.1.1.2 | 7 | Agriculture | II | A | 227 | PART 227—NUTRITION EDUCATION AND TRAINING PROGRAM | A | Subpart A—General | § 227.2 Definitions. | FNS | (a) Administrative costs means costs allowable under Federal Management Circular 74-4, other than program costs, incurred by a State agency for overall administrative and supervisory purposes, including, but not limited to, costs of financial management, data processing, recordkeeping and reporting, personnel management, and supervising the State Coordinator. (b) Child Care Food Program means the program authorized by section 17 of the National School Lunch Act, as amended. (c) Child Nutrition Programs means any or all of the following: National School Lunch Program, School Breakfast Program, Child Care Food Program. (d) Commodity only school means a school which has entered into an agreement under § 210.15a(b) of this subchapter to receive commodities donated under part 250 of this chapter for a nonprofit lunch program. (e) Department means the U.S. Department of Agriculture. (f) Federal fiscal year means a period of 12 calendar months beginning October 1 of any calendar year and ending September 30 of the following calendar year. (g) FNS means the Food and Nutrition Service of the Department. (h) FNSRO means the appropriate Regional Office of the Food and Nutrition Service of the Department. (i) Institution means any licensed, nonschool, public or private nonprofit organization providing day care services where children are not maintained in permanent residence, including but not limited to day care centers, settlement houses, after school recreation centers, neighborhood centers, Head Start centers, and organizations providing day care services for handicapped children and includes a sponsoring organization under the Child Care Food Program regulations. (j) National School Lunch Program means the lunch program authorized by the National School Lunch Act. (k) Needs assessment means a systematic process for delineating the scope, extent (quantity), reach and success of any current nutrition education activities, including those relating to: (1) Methods and materials available ins… | ||||
| 7:7:4.1.1.1.6.1.1.3 | 7 | Agriculture | II | A | 227 | PART 227—NUTRITION EDUCATION AND TRAINING PROGRAM | A | Subpart A—General | § 227.3 Administration. | FNS | (a) Within the Department, FNS shall act on behalf of the Department in the administration of the Program. (b) Within the States, responsibility for administration of the Program shall be in the State agency, except that FNSRO shall administer the Program with respect to nonprofit private schools or institutions in any State where the State agency is prohibited by law from administering the Program in nonprofit private schools or institutions. | ||||
| 7:7:4.1.1.1.6.1.1.4 | 7 | Agriculture | II | A | 227 | PART 227—NUTRITION EDUCATION AND TRAINING PROGRAM | A | Subpart A—General | § 227.4 Application and agreement. | FNS | [44 FR 28282, May 15, 1979, as amended at 47 FR 746, Jan. 2, 1982] | After the initial fiscal year of participation each State agency desiring to take part in the Program shall enter into a written agreement with the Department for the administration of the Program in accordance with the provisions of this part. The State agency shall execute Form FNS-74, which shall constitute the written agreement. | |||
| 7:7:4.1.1.1.6.1.1.5 | 7 | Agriculture | II | A | 227 | PART 227—NUTRITION EDUCATION AND TRAINING PROGRAM | A | Subpart A—General | § 227.5 Program funding. | FNS | [44 FR 28282, May 15, 1979, as amended at 52 FR 8223, Mar. 17, 1987] | (a) Total grant. The total grant to each State agency for each fiscal year for program costs and administrative costs shall consist of an amount equal to 50 cents per child enrolled in schools and institutions within the State during such year, but in no event shall such grant be less than $50,000: Provided, however, That a State's total grant shall be reduced proportionately if the State does not administer the program in nonprofit private schools and institutions. If funds appropriated for a fiscal year are insufficient to pay the amount to which each State is entitled, the amount of such grant shall be ratably reduced to the extent necessary so that the total of the amounts paid to each State does not exceed the amount of appropriated funds. Each State agency which receives funds based on all children enrolled in public and nonprofit private schools and institutions shall make the Program available to those schools and institutions. Enrollment figures shall be the latest available as certified by the Department of Education. (b) First fiscal year participation —(1) Assessment and planning grant. A portion of the total grant shall be made available to each State agency during its first fiscal year of participation as an assessment and planning grant for: (i) Employing a State Coordinator, as provided for in § 227.30, and related support personnel costs including fringe benefits and travel expenses, (ii) Undertaking a needs assessment in the State, (iii) Developing a State Plan for nutrition education and training within the State, and (iv) Applying for the State assessment and planning grant. (2) Advances for the assessment and planning grant. FNS shall make advances to any State desiring to participate in the Program, to enable the State to carry out the responsibilities set forth in paragraph (b)(1) of this section. Advances shall be made in two phases, in accordance with the following procedures: (i) Initially, State agencies may receive an advance up to $35,000 for the purpose of hiring a St… | |||
| 7:7:4.1.1.1.6.2.1.1 | 7 | Agriculture | II | A | 227 | PART 227—NUTRITION EDUCATION AND TRAINING PROGRAM | B | Subpart B—State Agency Provisions | § 227.30 Responsibilities of State agencies. | FNS | [44 FR 28282, May 15, 1979, as amended at 45 FR 14842, Mar. 7, 1980; 47 FR 746, Jan. 7, 1982; 47 FR 22072, May 21, 1982; 48 FR 29123, June 24, 1983; 48 FR 39213, Aug. 30, 1983; 81 FR 66493, Sept. 28, 2016] | (a) General. Except to the extent that it would be inconsistent with this part, the Program shall be administered in accordance with the applicable provisions of the Departmental regulations 2 CFR part 200, subpart D, and USDA implementing regulations 2 CFR part 400 and part 415, as applicable. (b) Application. For the initial fiscal year of participation States shall make application for administration of the Program on Form and are responsible for amending Form AD-623 to request advance funding. In the initial application, in connection with the request for advance funding for the State Coordinator, part IV, Program Narrative, of Form AD-623 shall indicate the State agency's procedures for hiring a State Coordinator and contain a justification for the dollar value of salary requested. The narrative shall also indicate the time frame for hiring the State Coordinator. In amending Form AD-623 in connection with the request for advance funding for the remaining portion of the assessment and planning grant, part IV, Program Narrative, shall set forth the details for areas of the assessment and planning grant, other than employment of the State Coordinator. (b-1) If any State does not apply for participation in the Program, by April 1 of a fiscal year by submitting Form AD 623 as required in §§ 227.30(b) and 227.5(b)(2)(i), the State's share of the funds shall be provided to the remaining States, so long as this does not take the remaining States' grants above 50 cents per child enrolled in schools or institutions, except in those States which receive a minimum grant of $75,000 for a fiscal year. (c) State Coordinator. After execution of the agreement the State agency shall appoint a nutrition education specialist to serve as a State Coordinator for the Program who may be employed on a full-time or part-time basis. The State Coordinator may be a State employee who reports directly or indirectly to the Chief State School Officer or an individual under contract with the State agency to serve as the State Coord… | |||
| 7:7:4.1.1.1.6.2.1.2 | 7 | Agriculture | II | A | 227 | PART 227—NUTRITION EDUCATION AND TRAINING PROGRAM | B | Subpart B—State Agency Provisions | § 227.31 Audits, management reviews, and evaluations. | FNS | [44 FR 28282, May 15, 1979, as amended at 47 FR 746, Jan. 7, 1982; 48 FR 29123, June 24, 1983; 81 FR 66493, Sept. 28, 2016] | (a) Audits. (1) Examinations by the State agencies in the form of audits or internal audits shall be performed in accord with 2 CFR part 200, subpart F and Appendix XI, Compliance Supplement. (b) Management reviews. The State agency is responsible for meeting the following requirements: (1) The State agency shall establish management evaluation and review procedures to monitor compliance with the State plan for local educational agencies and land grant colleges, other institutions of higher education and public or private nonprofit educational or research agencies, institutions, or organizations. (2) The State agency shall require participating agencies to establish program review procedures to be used in reviewing the Agencies operations and those of subsidiaries or contractors. (c) Evaluations. The State agency shall conduct formal evaluations of program activities at least annually. These evaluations shall be aimed at assessing the effectiveness of the various activities undertaken by the State and local agencies. State officials shall analyze why some activities have proved effective while others have not and shall initiate appropriate improvements. The results of the evaluations shall be used to make adjustments in ongoing activities and to plan activities and programs for the next year's State plan. The State agency shall submit a plan for evaluation of Program activities as part of the State plan in accordance with § 227.37(b)(14). | |||
| 7:7:4.1.1.1.6.3.1.1 | 7 | Agriculture | II | A | 227 | PART 227—NUTRITION EDUCATION AND TRAINING PROGRAM | C | Subpart C—State Coordinator Provisions | § 227.35 Responsibilities of State coordinator. | FNS | [44 FR 28282, May 15, 1979, as amended at 81 FR 66493, Sept. 28, 2016; 83 FR 14173, Apr. 3, 2018] | At a minimum, the State Coordinator shall be responsible for: (a) Preparation of a budget, (b) The conduct of the needs assessment, (c) Development of a State plan, (d) Implementation of the approved State Plan, (e) Evaluation of the progress and implementation of the State Plan, (f) Coordination of the Program with the Child Nutrition Programs at the State and local levels, (g) Coordination of the Program with other nutrition education and training programs conducted with Federal or State funds, (h) Communication of needs and accomplishments of State nutrition education and training programs to parents and the community at large, (i) Use of Program funds in compliance with all regulations, instructions, or other guidance material provided by FNS, (j) Coordinating the submission and preparation of the Program financial status report (FNS-777), and (k) Annual evaluation of the effectiveness of the State Plan. | |||
| 7:7:4.1.1.1.6.3.1.2 | 7 | Agriculture | II | A | 227 | PART 227—NUTRITION EDUCATION AND TRAINING PROGRAM | C | Subpart C—State Coordinator Provisions | § 227.36 Requirements of needs assessment. | FNS | (a) The needs assessment is an ongoing process which identifies the discrepancies between “what should be” and “what is” and shall be applied to each category listed below to enable State agencies to determine their nutrition education and training needs for each year. The needs assessment shall identify the following as a minimum: (1) Children, teachers, and food service personnel in need of nutrition education and training; (2) Existing State or federally funded nutrition education and training programs including their: (i) Goals and objectives; (ii) Source and level of funding; (iii) Any available documentation of their relative success or failure; and (iv) Factors contributing to their success or failure; (3) Offices or agencies at the State and local level designated to be responsible for nutrition education and training of teachers and school food service personnel; (4) Any relevant State nutrition education mandates; (5) Funding levels at the State and local level for preservice and inservice nutrition education and training of food service personnel and teachers; (6) State and local individuals, and groups conducting nutrition education and training; (7) Materials which are currently available for nutrition education and training programs, and determine for each: (i) Subject area and content covered; (ii) Grade level; (iii) How utilized; (iv) Acceptability by user; (v) Currency of materials; (8) Any major child nutrition related health problems in each State; (9) Existing sources of primary and secondary data, including any data that has been collected for documenting the State's nutrition education and training needs; (10) Available documentation of the competencies of teachers in the area of nutrition education; (11) Available documentation of the competencies of food service personnel; (12) Problems encountered by schools and institutions in procuring nutritious food economically and in preparing nutritious appetizing meals and areas where training can assist in alleviating these p… | ||||
| 7:7:4.1.1.1.6.3.1.3 | 7 | Agriculture | II | A | 227 | PART 227—NUTRITION EDUCATION AND TRAINING PROGRAM | C | Subpart C—State Coordinator Provisions | § 227.37 State plan for nutrition education and training. | FNS | [44 FR 28282, May 15, 1979, as amended at 45 FR 14842, Mar. 7, 1980; 48 FR 39213, Aug. 30, 1983] | (a) General. Each fiscal year the State agency shall submit a State plan for Nutrition Education and Training for approval to FNS. The State plan shall be based on the needs identified from the ongoing needs assessment and evaluation of the State plans from previous years. The State plan shall be submitted in accordance with § 227.30(e). Guidance for the preparation and submission of the State plan shall be provided by FNS. (b) Requirements for the State plan. The State plan shall provide the following: (1) Description of the ongoing needs assessment conducted within the State; (2) The findings of the needs assessment within the State used to determine the goals and objectives of the State plan and results of the evaluation of the previous years' State plans for: (i) Inservice training of food service personnel, (ii) Nutrition education of children, (iii) Inservice training in nutrition education for teachers; (3) Goals and objectives of the State plan; (4) Identification of the priority populations to be reached during the fiscal year; (5) Provisions for coordinating the nutrition education and training programs carried out with funds made available under this part with any related publicly supported programs being carried out within the State to include: (i) Identification of existing programs that may be utilized, (ii) Description of how representatives of such groups are to be involved in the planning and implementation of the State program; (iii) Criteria and procedure for selection of such representatives; (6) Plans to solicit advice and recommendations of the National Advisory Council on Child Nutrition, State educational or other appropriate agencies; the U.S. Department of Education; the U.S. Department of Health and Human Services; and other interested groups and individuals concerned with improvement of child nutrition. (7) Plans, including a timetable, for reaching all children in the State with instruction in the nutritional value of foods and the relationship among food, nutrition … | |||
| 7:7:4.1.1.1.6.4.1.1 | 7 | Agriculture | II | A | 227 | PART 227—NUTRITION EDUCATION AND TRAINING PROGRAM | D | Subpart D—Miscellaneous | § 227.40 Program information. | FNS | Persons desiring information concerning the program may write to the appropriate State agency or Regional Office of FNS as indicated below: (a) In the States of Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, and Vermont: New England Regional Office, FNS, U.S. Department of Agriculture, 33 North Avenue, Burlington, Mass. 01803. (b) In the States of Delaware, District of Columbia, Maryland, New Jersey, New York, Pennsylvania, Puerto Rico, Virginia, Virgin Islands, and West Virginia: Mid-Atlantic Regional Office, FNS, U.S. Department of Agriculture, One Vahlsing Center, Robbinsville, N.J. 08691. (c) In the States of Alabama, Florida, Georgia, Kentucky, Mississippi, North Carolina, South Carolina, and Tennessee: Southeast Regional Office, FNS, U.S. Department of Agriculture, 1100 Spring Street NW., Atlanta, Ga. 30309. (d) In the States of Illinois, Indiana, Michigan, Minnesota, Ohio, and Wisconsin: Midwest Regional Office, FNS, U.S. Department of Agriculture, 536 South Clark Street, Chicago, Ill. 60605. (e) In the States of Colorado, Iowa, Kansas, Missouri, Montana, Nebraska, North Dakota, South Dakota, Utah, and Wyoming: Mountain Plains Regional Office, FNS, U.S. Department of Agriculture, 2420 West 26th Avenue, Room 430D, Denver, Colo. 80211. (f) In the States of Arkansas, Louisiana, New Mexico, Oklahoma, and Texas: Southwest Regional Office, FNS, U.S. Department of Agriculture, 1100 Commerce Street, Room 5-C-30, Dallas, Tex. 75242. (g) In the States of Alaska, American Samoa, Arizona, California, Guam, Hawaii, Idaho, Nevada, Oregon, Trust Territory of the Pacific Islands, the Northern Mariana Islands, and Washington: Western Regional Office, FNS, U.S. Department of Agriculture, 550 Kearny Street, Room 400, San Francisco, Calif. 94108. | ||||
| 7:7:4.1.1.1.6.4.1.2 | 7 | Agriculture | II | A | 227 | PART 227—NUTRITION EDUCATION AND TRAINING PROGRAM | D | Subpart D—Miscellaneous | § 227.41 Recovery of funds. | FNS | (a) FNS may recover funds from a State agency under any of the following conditions: (1) If FNS determines, through a review of the State agency's reports, program, or financial analysis, monitoring, audit or otherwise, that the State agency's performance is inadequate or that the State agency has failed to comply with this part or FNS instructions and guidelines. (2) If FNS determines that the State agency is not expending funds at a rate commensurate with the amount of funds distributed or provided for expenditure under the program. (3) If FNS determines that a State agency is not providing full and timely reports. (b) FNS shall effect such recoveries of funds through adjustments in the amount of funds provided under the program. | ||||
| 7:7:4.1.1.1.6.4.1.3 | 7 | Agriculture | II | A | 227 | PART 227—NUTRITION EDUCATION AND TRAINING PROGRAM | D | Subpart D—Miscellaneous | § 227.42 Grant closeout procedures. | FNS | [44 FR 28282, May 15, 1979, as amended at 81 FR 66493, Sept. 28, 2016] | The requirements of 2 CFR part 200, subpart D, and USDA implementing regulations 2 CFR part 400 and part 415, are applicable in the termination of any grant under this part. | |||
| 7:7:4.1.1.1.6.4.1.4 | 7 | Agriculture | II | A | 227 | PART 227—NUTRITION EDUCATION AND TRAINING PROGRAM | D | Subpart D—Miscellaneous | § 227.43 Participation of adults. | FNS | Nothing in this part shall prohibit a State or local educational agency from making available or distributing to adults education materials, resources, activities or programs authorized by this part. | ||||
| 7:7:4.1.1.1.6.4.1.5 | 7 | Agriculture | II | A | 227 | PART 227—NUTRITION EDUCATION AND TRAINING PROGRAM | D | Subpart D—Miscellaneous | § 227.44 Management evaluations and reviews. | FNS | FNS shall establish evaluation procedures to determine whether State agencies carry out the purpose and provisions of this part, the State agency plan and FNS guidelines and instructions. To the maximum extent possible the State's performance shall be reviewed and evaluated by FNS on a regular basis including the use of public hearings. |
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