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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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| 10:10:3.0.1.2.14.0.9.1 | 10 | Energy | II | B | 300 | PART 300—VOLUNTARY GREENHOUSE GAS REPORTING PROGRAM: GENERAL GUIDELINES | § 300.1 General. | DOE | (a) Purpose. The General Guidelines in this part and the Technical Guidelines incorporated by reference in § 300.13 govern the Voluntary Reporting of Greenhouse Gases Program authorized by section 1605(b) of the Energy Policy Act of 1992 (42 U.S.C. 13385(b)). The purpose of the guidelines is to establish the procedures and requirements for filing voluntary reports, and to encourage corporations, government agencies, non-profit organizations, households and other private and public entities to submit annual reports of their greenhouse gas emissions, emission reductions, and sequestration activities that are complete, reliable and consistent. Over time, it is anticipated that these reports will provide a reliable record of the contributions reporting entities have made toward reducing their greenhouse gas emissions. (b) Reporting under the program. (1) Each reporting entity, whether or not it intends to register emissions as described in paragraph (c) of this section, must: (i) File an entity statement that meets the appropriate requirements in § 300.5(d) through (f) of this part; (ii) Use appropriate emission inventory and emission reduction calculation methods specified in the Technical Guidelines (incorporated by reference, see § 300.13), and calculate and report the weighted average quality rating of any emission inventories it reports; (iii) Comply with the record keeping requirements in § 300.9 of this part; and (iv) Comply with the certification requirements in § 300.10 of this part; (2) Each reporting entity, whether or not it intends to register emissions as described in paragraph (c) of this section, may report offset reductions achieved by other entities outside their boundaries as long as such reductions are reported separately and calculated in accordance with methods specified in the Technical Guidelines. The third-party entity that achieved these reductions must agree to their being reported as offset reductions, and must also meet all of the requirements of reporting that would apply if th… | ||||||
| 10:10:3.0.1.2.14.0.9.10 | 10 | Energy | II | B | 300 | PART 300—VOLUNTARY GREENHOUSE GAS REPORTING PROGRAM: GENERAL GUIDELINES | § 300.10 Certification of reports. | DOE | (a) General requirement and certifying official : All reports submitted to EIA must include a certification statement, as provided in paragraph (b) of this section, signed by a certifying official of the reporting entity. A household report may be certified by one of its members. All other reports must be certified by the chief executive officer, agency head, or an officer or employee of the entity who is responsible for reporting the entity's compliance with environmental regulations. (b) Certification statement requirements. All entities, whether reporting or registering reductions, must certify the following: (1) The information reported is accurate and complete; (2) The information reported has been compiled in accordance with this part; and (3) The information reported is consistent with information submitted in prior years, if any, or any inconsistencies with prior year's information are documented and explained in the entity statement. (c) Additional requirements for registering. The certification statement of an entity registering reductions must also certify that: (1) The entity took reasonable steps to ensure that direct emissions, emission reductions, and/or sequestration reported are neither double counted nor reported by any other entity. Reasonable steps include telephone, fax, letter, or e-mail communications to ensure that another entity does not intend to report the same emissions, emission reductions, and/or sequestration to DOE. Direct communications of this kind with participants in demand-side management or other programs directed at very small emitters are not required; (2) Any emission reductions reported or registered by the entity that were achieved by another entity (other than a very small emitter that participated in a demand-side management or other program) are included in the entity's report only if: (i) The other entity does not intend to report or register theses reductions directly; (ii) There exists a written agreement with each other entity providing that the repo… | ||||||
| 10:10:3.0.1.2.14.0.9.11 | 10 | Energy | II | B | 300 | PART 300—VOLUNTARY GREENHOUSE GAS REPORTING PROGRAM: GENERAL GUIDELINES | § 300.11 Independent verification. | DOE | (a) General. Entities are encouraged to have their annual reports reviewed by independent and qualified auditors, as described in paragraphs (b), (c), and (f) of this section. (b) Qualifications of verifiers. (1) DOE envisions that independent verification will be performed by professional verifiers ( i.e., individuals or companies that provide verification or “attestation” services). EIA will consider a report to the program to be independently verified if: (i) The lead individual verifier and other members of the verification team are accredited by one or more independent and nationally-recognized accreditation programs, described in paragraph (c) of this section, for the types of professionals needed to determine compliance with DOE's 1605(b) guidelines; (ii) The lead verifier has experience managing an auditing or verification process, including the recruitment and allocation of other individual verifiers, and has been empowered to make decisions relevant to the provision of a verification statement; and (iii) All members of a verification team have education, training and/or professional experience that matches the tasks performed by the individual verifiers, as deemed necessary by the verifier accreditation program. (2) As further guidance, all members of the verification team should be familiar with: (i) The subject matter covered by the scope of the verification; (ii) The requirements of this part; (iii) Greenhouse gas emission and emission reduction quantification; (iv) Data and information auditing sampling methods; and (v) Risk assessment and methodologies and materiality analysis procedures outlined by other domestic and international standards. (3) An individual verifier should have a professional degree or accreditation in engineering (environmental, industrial, chemical), accounting, economics, or a related field, supplemented by specific training and/or experience in emissions reporting and accounting, and should have his or her qualifications and continuing education periodically … | ||||||
| 10:10:3.0.1.2.14.0.9.12 | 10 | Energy | II | B | 300 | PART 300—VOLUNTARY GREENHOUSE GAS REPORTING PROGRAM: GENERAL GUIDELINES | § 300.12 Acceptance of reports and registration of entity emission reductions. | DOE | (a) Acceptance of reports. EIA will review all reports to ensure they are consistent with this part and with the Technical Guidelines (incorporated by reference, see § 300.13). EIA will also review all reports for completeness, internal consistency, arithmetic accuracy and plausibility. Subject to the availability of adequate resources, EIA intends to notify entities of the acceptance or rejection of any report within six months of its receipt. (b) Registration of emission reductions. EIA will review each accepted report to determine if emission reductions were calculated using an acceptable base period (usually ending no earlier than 2002), and to confirm that the report complies with the other provisions of this part. EIA will also review its records to verify that the reporting entity has submitted accepted annual reports for each year between the establishment of its base period and the year covered by the current report. EIA will notify the entity that reductions meeting these requirements have been credited to the entity as “registered reductions” which can be held by the reporting entity for use (including transfer to other entities) in the event a future program that recognizes such reductions is enacted into law. (c) Rejection of reports. If EIA does not accept a report or if it determines that emission reductions intended for registration do not qualify, EIA will return the report to the sender with an explanation of its inadequacies. The reporting entity may resubmit a modified report for further consideration at any time. (d) EIA database and summary reports. The Administrator of EIA will establish a publicly accessible database composed of all reports that meet the definitional, measurement, calculation, and certification requirements of these guidelines. EIA will maintain separate subtotals of direct emissions, indirect emissions and carbon fluxes. A portion of the database will provide summary information on the emissions and registered emission reductions of each reporting entity. | ||||||
| 10:10:3.0.1.2.14.0.9.13 | 10 | Energy | II | B | 300 | PART 300—VOLUNTARY GREENHOUSE GAS REPORTING PROGRAM: GENERAL GUIDELINES | § 300.13 Incorporation by reference. | DOE | [71 FR 20805, Apr. 21, 2006, as amended at 72 FR 4413, Jan. 31, 2007] | The Technical Guidelines for the Voluntary Reporting of Greenhouse Gases (1605(b)) Program (January 2007), referred to throughout this part as the “Technical Guidelines,” have been approved for incorporation by reference by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You may obtain a copy of the Technical Guidelines from the Office of Policy and International Affairs, U.S. Department of Energy, 1000 Independence Ave., SW., Washington, DC 20585, or by visiting the following Web site: http://www.policy.energy.gov/enhancingGHGregistry/technicalguidelines/. The Technical Guidelines also are available for inspection at the National Archives and Record 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. | |||||
| 10:10:3.0.1.2.14.0.9.2 | 10 | Energy | II | B | 300 | PART 300—VOLUNTARY GREENHOUSE GAS REPORTING PROGRAM: GENERAL GUIDELINES | § 300.2 Definitions. | DOE | This section provides definitions for commonly used terms in this part. Activity of a small emitter means, with respect to a small emitter, any single category of anthropogenic production, consumption or other action that releases emissions or results in sequestration, the annual changes of which can be assessed generally by using a single calculation method. Aggregator means an entity that reports to the 1605(b) program on behalf of non-reporting entities. An aggregator may be a large or small emitter, such as a trade association, non-profit organization or public agency. Anthropogenic means greenhouse gas emissions and removals that are a direct result of human activities or are the result of natural processes that have been affected by human activities. Avoided emissions means the greenhouse gas emission reductions that occur outside the organizational boundary of the reporting entity as a direct consequence of changes in the entity's activity, including but not necessarily limited to the emission reductions associated with increases in the generation and sale of electricity, steam, hot water or chilled water produced from energy sources that emit fewer greenhouse gases per unit than other competing sources of these forms of distributed energy. Base period means a period of 1-4 years used to derive the average annual base emissions, emissions intensity or other values from which emission reductions are calculated. Base value means the value from which emission reductions are calculated for an entity or subentity. The value may be annual emissions, emissions intensity, kilowatt-hours generated, or other value specified in the 1605(b) guidelines. It is usually derived from actual emissions and/or activity data derived from the base period. Biogenic emissions mean emissions that are naturally occurring and are not significantly affected by human actions or activity. Boundary means the actual or virtual line that encompasses all the emissions and carbon stocks that are to be quantified and reported… | ||||||
| 10:10:3.0.1.2.14.0.9.3 | 10 | Energy | II | B | 300 | PART 300—VOLUNTARY GREENHOUSE GAS REPORTING PROGRAM: GENERAL GUIDELINES | § 300.3 Guidance for defining and naming the reporting entity. | DOE | (a) A reporting entity must be composed of one or more businesses, public or private institutions or organizations, households, or other entities having operations that annually release emissions, at least in part, in the United States. Entities may be defined by, as appropriate, a certificate of incorporation, corporate charter, corporate filings, tax identification number, or other legal basis of identification recognized under any Federal, State or local law or regulation. If a reporting entity is composed of more than one entity, all of the entities included must be responsible to the same management hierarchy and all entities that have the same management hierarchy must be included in the reporting entity. (b) All reporting entities are strongly encouraged to define themselves at the highest level of aggregation. To achieve this objective, DOE suggests the use of a corporate-level definition of the entity, based on filings with the Securities and Exchange Commission or institutional charters. While reporting at the highest level of aggregation is encouraged, DOE recognizes that certain businesses and institutions may conclude that reporting at some lower level is desirable. Federal agencies are encouraged to report at the agency or departmental level, but distinct organizational units (such as a Department of the Interior Fish and Wildlife Service National Wildlife Refuge) may report directly if authorized by their department or agency. Once an entity has determined the level of corporate or institutional management at which it will report ( e.g. , the holding company, subsidiary, regulated stationary source, state government, agency, refuge, etc.), the entity must include all elements of the organization encompassed by that management level and exclude any organizations that are managed separately. For example, if two subsidiaries of a parent company are to be covered by a single report, then all subsidiaries of that parent company must also be included. Similarly, if a company decides to report on the U.S… | ||||||
| 10:10:3.0.1.2.14.0.9.4 | 10 | Energy | II | B | 300 | PART 300—VOLUNTARY GREENHOUSE GAS REPORTING PROGRAM: GENERAL GUIDELINES | § 300.4 Selecting organizational boundaries. | DOE | (a) Each reporting entity must disclose in its entity statement the approach used to establish its organizational boundaries, which should be consistent with the following guidelines: (1) In general, entities should use financial control as the primary basis for determining their organizational boundaries, with financial control meaning the ability to direct the financial and operating policies of all elements of the entity with a view to gaining economic or other benefits from its activities over a period of many years. This approach should ensure that all sources, including those controlled by subsidiaries, that are wholly or largely owned by the entity are covered by its reports. Sources that are under long-term lease of the entity may, depending on the provisions of such leases, also be considered to be under the entity's financial control. Sources that are temporarily leased or operated by an entity generally would not be considered to be under its financial control. (2) Entities may establish organizational boundaries using approaches other than financial control, such as equity share or operational control, but must disclose how the use of these other approaches results in organizational boundaries that differ from those resulting from using the financial control approach. (3) Emissions from facilities or vehicles that are partially-owned or leased may be included at the entity's discretion, provided that the entity has taken reasonable steps to assure that doing so does not result in the double counting of emissions, sequestration or emission reductions. Emissions reductions or sequestration associated with land, facilities or other sources not owned or leased by an entity may not be included in the entity's reports under the program unless the entity has long-term control over the emissions or sequestration of the source and the owner of the source has agreed that the emissions or sequestration may be included in the entity's report. (4) If the scope of a defined entity extends beyond the United Stat… | ||||||
| 10:10:3.0.1.2.14.0.9.5 | 10 | Energy | II | B | 300 | PART 300—VOLUNTARY GREENHOUSE GAS REPORTING PROGRAM: GENERAL GUIDELINES | § 300.5 Submission of an entity statement. | DOE | (a) Determining the type of reporting entity. The entity statement requirements vary by type of reporting entity. For the purposes of these guidelines, there are three types of entities: (1) Large emitters that intend to register emission reductions; (2) Small emitters that intend to register emission reductions; and (3) Emitters that intend to report, but not register emission reductions. (b) Choosing a start year. The first entity statement describes the make-up, operations and boundaries of the entity, as they existed in the start year. (1) For all entities, it is the year immediately preceding the first year for which the entity intends to register emission reductions and the last year of the initial base period(s). (2) For entities intending to register emission reductions, the start year may be no earlier than 2002, unless the entity has made a commitment to reduce its entity-wide emissions under the Climate Leaders or Climate VISION program. An entity that has made such a commitment may establish a start year derived from the base period of the commitment, as long as it is no earlier than 2000. (i) For a large emitter, the start year is the first year for which the entity submits a complete emissions inventory under the 1605(b) program. (ii) The entity's emissions in its start year or its average annual emissions over a period of up to four years ending in the start year determine whether it qualifies to begin reporting as a small emitter. (3) For entities not intending to register reductions, the start year may be no earlier than 1990. (c) Determining and maintaining large or small emitter reporting status. (1) Any entity that intends to register emission reductions can choose to participate as a large emitter, but only an entity that has demonstrated that its annual emissions are less than or equal to 10,000 metric tons of CO 2 equivalent may participate as a small emitter. To demonstrate that its annual emissions are less than or equal to 10,000 metric tons of CO 2 equivalent, an entit… | ||||||
| 10:10:3.0.1.2.14.0.9.6 | 10 | Energy | II | B | 300 | PART 300—VOLUNTARY GREENHOUSE GAS REPORTING PROGRAM: GENERAL GUIDELINES | § 300.6 Emissions inventories. | DOE | (a) General. The objective of an emission inventory is to provide a full accounting of an entity's emissions for a particular year, including direct emissions of the first six categories of gases listed in the definition of “greenhouse gases” in § 300.2, indirect emissions specified in paragraph (e) of this section, and all sequestration or other changes in carbon stocks. An emission inventory must be prepared in accordance with Chapter 1 of the Technical Guidelines (incorporated by reference, see § 300.13). An inventory does not include avoided emissions or any offset reductions, and is not subsequently adjusted to reflect future acquisitions, divestitures or other changes to the reporting entity (although a reporting entity often makes these types of adjustments when calculating emission reductions under the guidelines). Entity-wide inventories are a prerequisite for the registration of emission reductions by entities with average annual emissions of more than 10,000 metric tons of CO 2 equivalent. Entities that have average annual emissions of less than or equal to 10,000 metric tons of CO 2 equivalent are eligible to register emission reductions associated with specific activities without also reporting an inventory of the total emissions, but such entities should inventory and report the emissions associated with the specific activity(ies) they do cover in their reports. (b) Quality requirements for emission inventories. The Technical Guidelines (incorporated by reference, see § 300.13) usually identify more than one acceptable method of measuring or estimating greenhouse gas emissions. Each acceptable method is rated A, B, C or D, with A methods usually corresponding to the highest quality method available and D methods representing the lowest quality method that may be used. Each letter is assigned a numerical rating reflecting its relative quality, 4 for A methods, 3 for B methods, 2 for C methods and 1 for D methods. Entities that intend to register emission reductions must use emission inventory … | ||||||
| 10:10:3.0.1.2.14.0.9.7 | 10 | Energy | II | B | 300 | PART 300—VOLUNTARY GREENHOUSE GAS REPORTING PROGRAM: GENERAL GUIDELINES | § 300.7 Net emission reductions. | DOE | (a) Entities that intend to register emission reductions achieved must comply with the requirements of this section. Entities may voluntarily follow these procedures if they want to demonstrate the achievement of net, entity-wide reductions for years prior to the earliest year permitted for registration. Only large emitters must follow the requirements of paragraph (b) of this section, but small emitters may do so voluntarily. Only entities that qualify as small emitters may use the special procedures in paragraph (c) of this section. Entities seeking to register emission reductions achieved by other entities (offsets) must certify that these emission reductions were calculated in a manner consistent with the requirements of paragraph (d) of this section and use the emission reduction calculation methods identified in § 300.8. All entities seeking to register emission reductions must comply with the requirements of paragraph (e) of this section. Only reductions in the emissions of the first six categories of gases listed in the definition of “greenhouse gases” in § 300.2 are eligible for registration. (b) Assessing net emission reductions for large emitters. (1) Entity-wide reporting is a prerequisite for registering emission reductions by entities with average annual emissions of more than 10,000 metric tons of CO 2 equivalent. Net annual entity-wide emission reductions must be based, to the maximum extent practicable, on a full assessment and sum total of all changes in an entity's emissions, eligible avoided emissions and sequestration relative to the entity's established base period(s). This assessment must include all entity emissions, including the emissions associated with any non-U.S. operations covered by the entity statement, although the reductions achieved by non-U.S. operations must be separately totaled prior to being integrated with the net emission reductions achieved by U.S. operations. It must include the annual changes in the total emissions of the entity, including the total emissions of e… | ||||||
| 10:10:3.0.1.2.14.0.9.8 | 10 | Energy | II | B | 300 | PART 300—VOLUNTARY GREENHOUSE GAS REPORTING PROGRAM: GENERAL GUIDELINES | § 300.8 Calculating emission reductions. | DOE | (a) Choosing appropriate emission reduction calculation methods. (1) An entity must choose the method or methods it will use to calculate emission reductions from the list provided in paragraph (h) of this section. Each of the calculation methods has special characteristics that make it applicable to only certain types of emissions and activities. An entity should select the appropriate calculation method based on several factors, including: (i) How the entity's subentities are defined; (ii) How the reporter will gather and report emissions data; and (iii) The availability of other types of data that might be needed, such as production or output data. (2) For some entities, a single calculation method will be sufficient, but many entities may need to apply more than one method because discrete components of the entity require different calculation methods. In such a case, the entity will need to select a method for each subentity (or discrete component of the entity with identifiable emission or reductions). The emissions and output measure (generally a physical measure) of each subentity must be clearly distinguished and reported separately. Guidance on the selection and specification of calculation methods is provided in Chapter 2 of the Technical Guidelines (incorporated by reference, see § 300.13). (b) Identifying subentities for calculating reductions. If more than one calculation method is to be used, an entity must specify the portion of the entity (the subentity) to which each method will be applied. Each subentity must be clearly identified. From time to time, it may be necessary to modify existing or create new subentities. The entity must provide to EIA a full description of such changes, together with an explanation of why they were required. (c) Choosing a base period for calculating reductions. In general, the base period used in calculating emission reductions is the single year or up to four-year period average immediately preceding the first year of calculated emission reductions. (d… | ||||||
| 10:10:3.0.1.2.14.0.9.9 | 10 | Energy | II | B | 300 | PART 300—VOLUNTARY GREENHOUSE GAS REPORTING PROGRAM: GENERAL GUIDELINES | § 300.9 Reporting and recordkeeping requirements. | DOE | (a) Starting to report under the guidelines. An entity may report emissions and sequestration on an annual basis beginning in any year, but no earlier than the base period of 1987-1990 specified in the Energy Policy Act of 1992. To be recognized under these guidelines, all reports must conform to the measurement methods established by the Technical Guidelines (incorporated by reference, see § 300.13). (b) Revisions to reports submitted under the guidelines. (1) Once EIA has accepted a report under this part, it may be revised by the reporting entity only under the circumstances specified in this paragraph and related provisions of the Technical Guidelines (incorporated by reference, see § 300.13). In general: (i) Revised reports may be submitted to correct errors that have a significant effect on previously estimated emissions or emission reductions; and (ii) Emission inventories may be revised in order to create a consistent time series based on improvements in the emission estimation or measurement techniques used. (2) Reporting entities must provide the corrected or improved data to EIA, together with an explanation of the significance of the change and its justification. (3) If a change in calculation methods (for inventories or reductions) is made for a particular year, the reporting entity must, if feasible, revise its base value to assure methodological consistency with the reporting year value. (c) Definition and deadline for annual reports. Entities must report emissions on a calendar year basis, from January 1 to December 31. To be included in the earliest possible EIA annual report of greenhouse gas emissions reported under this part, entity reports that have not been independently verified must be submitted to DOE no later than July 1 for emissions occurring during the previous calendar year. Reports that have been independently verified must be submitted by September 1 for emissions occurring during the previous year. (d) Recordkeeping. Entities intending to register reductions must ma… | ||||||
| 14:14:4.0.1.2.49.0.8.1 | 14 | Aeronautics and Space | II | B | 300 | PART 300—RULES OF CONDUCT IN DOT PROCEEDINGS UNDER THIS CHAPTER | § 300.0 Applicability. | FAA | [Doc. No. 82, 50 FR 2380, Jan. 16, 1985, as amended by Amdt. 1-261, 59 FR 10061, Mar. 3, 1994; 60 FR 43528, Aug. 22, 1995] | The rules of conduct set forth in this part except as otherwise provided in this or any other DOT regulation shall govern the conduct of the parties and their representatives, and the relationships between the Office of the Secretary of Transportation, the Office of the Assistant Secretary for Aviation and International Affairs, and the Office of the General Counsel, including regular personnel, and officials, special Government employees, consultants, or experts under contract to the Department of Transportation (DOT) and administrative law judges (hereinafter referred to as “DOT employee(s)”) and all other persons in all DOT matters involving aviation economic and enforcement proceedings. | |||||
| 14:14:4.0.1.2.49.0.8.10 | 14 | Aeronautics and Space | II | B | 300 | PART 300—RULES OF CONDUCT IN DOT PROCEEDINGS UNDER THIS CHAPTER | § 300.9 Disqualification of partners of DOT employees. | FAA | [Docket No. 82, 50 FR 2380, Jan. 16, 1985. Redesignated and amended by Doc. No. DOT-OST-2014-0140, 84 FR 15935, Apr. 16, 2019] | No partner of a DOT employee shall act as agent or attorney for anyone other than the United States in any DOT proceeding or matter in which such employee participates or has participated personally and substantially through decision, approval, disapproval, recommendation, rendering advice, investigation, or otherwise, or which is the subject of his or her official responsibility. | |||||
| 14:14:4.0.1.2.49.0.8.11 | 14 | Aeronautics and Space | II | B | 300 | PART 300—RULES OF CONDUCT IN DOT PROCEEDINGS UNDER THIS CHAPTER | § 300.10 Motions to disqualify DOT employee in review of hearing matters. | FAA | [Doc. No. OST-97-2090, 65 FR 6456, Feb. 9, 2000. Redesignated and amended by Doc. No. DOT-OST-2014-0140, 84 FR 15935, Apr. 16, 2019] | In cases to be determined on an evidentiary record, a party desiring that a concerned DOT employee disqualify himself or herself from participating in a DOT decision shall file a motion supported by an affidavit setting forth the grounds for such disqualification in the form and within the periods prescribed in § 302.11 of this chapter. Where review of the administrative law judge's decision can be obtained only upon the filing of a petition for discretionary review, such motions must be filed on or before the date answers are due pursuant to § 302.32. In cases where exceptions are filed to recommended, initial, or tentative decisions or where the DOT decisionmaker orders review of an initial or recommended decision on his or her own initiative, such motions must be filed on or before the date briefs are due pursuant to § 302.35 or § 302.218, as applicable. Failure to file a timely motion will be deemed a waiver of disqualification. Applications for leave to file an untimely motion seeking disqualification of a concerned DOT employee must be accompanied by an affidavit setting forth in detail why the facts relied upon as grounds for disqualification were not known and could not have been discovered with reasonable diligence within the prescribed time. | |||||
| 14:14:4.0.1.2.49.0.8.12 | 14 | Aeronautics and Space | II | B | 300 | PART 300—RULES OF CONDUCT IN DOT PROCEEDINGS UNDER THIS CHAPTER | § 300.11 Use of confidential information. | FAA | [Docket No. 82, 50 FR 2380, Jan. 16, 1985. Redesignated and amended by Doc. No. DOT-OST-2014-0140, 84 FR 15935, Apr. 16, 2019] | No former CAB member or employee or DOT employee, or any person associated with him or her, shall ever use or undertake to use in any DOT proceeding or matter any confidential facts or information which came into the possession of such Member or employee or to his or her attention by reason of his or her employment with the CAB or DOT without first applying for and obtaining the consent of the appropriate ethics counselor for the use of such facts or information. | |||||
| 14:14:4.0.1.2.49.0.8.13 | 14 | Aeronautics and Space | II | B | 300 | PART 300—RULES OF CONDUCT IN DOT PROCEEDINGS UNDER THIS CHAPTER | § 300.12 Violations. | FAA | [Doc. No. 82, 50 FR 2380, Jan. 16, 1985, as amended at 60 FR 43528, Aug. 22, 1995; 65 FR 6456, Feb. 9, 2000. Redesignated and amended by Doc. No. DOT-OST-2014-0140, 84 FR 15935, Apr. 16, 2019] | (a) DOT may disqualify, and deny temporarily or permanently the privilege of appearing or practicing before it in any way to, any person who is found by DOT after written notice of charges and hearing to have engaged in unethical or improper professional conduct. Any violation of this part shall be deemed to be such conduct. (b) When appropriate in the public interest, DOT may deny any application or other request of a party in a proceeding subject to this part where DOT finds after hearing that such party has, in connection with any DOT proceeding, violated any of the provisions of this part or any of the provisions of Chapter 11 of Title 18 of the United States Code. DOT may also condition its further consideration of such party's application or other request or the effectiveness of any order granting such application or other request upon such party's first taking such action as DOT may deem necessary or appropriate to remedy the violation of this part or Chapter 11 of Title 18 of the United States Code to prevent or deter any repetition of such violation. DOT may in addition issue a cease and desist order against any repetition of such or similar misconduct. (c) The actions authorized by this section may take place within the framework of the matter during or concerning which the violations occur or in a separate matter, as the DOT decisionmaker or the presiding administrative law judge may direct. A complaint alleging that a violation has occurred in the course of a matter shall be filed in the docket or appropriate public file of such matter unless such complaint is made after DOT's decision of the matter has become final, in which event such complaint may be filed pursuant to part 302, subpart D of the rules of practice. A violation in the course of a matter which may be attributable to or affect the fitness of a party will ordinarily either be disposed of within the framework of such matter or be considered within the context of any subsequent matter involving the interests of such party. Other violatio… | |||||
| 14:14:4.0.1.2.49.0.8.2 | 14 | Aeronautics and Space | II | B | 300 | PART 300—RULES OF CONDUCT IN DOT PROCEEDINGS UNDER THIS CHAPTER | § 300.1 Judicial standards of practice. | FAA | [Doc. No. 82, 50 FR 2380, Jan. 16, 1985, as amended at 60 FR 43528, Aug. 22, 1995] | Certain of DOT's functions involving aviation economic and enforcement proceedings are similar to those of a court, and parties to cases before DOT and those who represent such parties are expected—in fact and in appearance—to conduct themselves with honor and dignity as they would before a court. By the same token, any DOT employee or administrative law judge carrying out DOT's quasi-judicial functions and any DOT employee making recommendations or advising them are expected to conduct themselves with the same fidelity to appropriate standards of propriety that characterize a court and its staff. The standing and effectiveness of DOT in carrying out its quasi-judicial functions are in direct relation to the observance by DOT, DOT employees, and the parties and attorneys appearing before DOT of the highest standards of judicial and professional ethics. The rules of conduct set forth in this part are to be interpreted in light of those standards. | |||||
| 14:14:4.0.1.2.49.0.8.3 | 14 | Aeronautics and Space | II | B | 300 | PART 300—RULES OF CONDUCT IN DOT PROCEEDINGS UNDER THIS CHAPTER | § 300.2 Prohibited communications. | FAA | [Doc. No. 82, 50 FR 2380, Jan. 16, 1985, as amended by Amdt. 300-7, 52 FR 18904, May 20, 1987; 60 FR 10312, Feb. 24, 1995; 60 FR 43528, Aug. 22, 1995; 60 FR 43528, Aug. 22, 1995; 65 FR 6456, Feb. 9, 2000; Doc. No. DOT-OST-2014-0140, 84 FR 15935, Apr. 16, 2019; 84 FR 71717, Dec. 27, 2019] | (a) Basic requirement. Except as provided in paragraphs (c), (d) and (e) there shall be no substantive communication in either direction between any concerned DOT employee and any interested person outside DOT, concerning a public proceeding, until after final disposition of the proceeding, other than as provided by Federal statute or published DOT rule or order. (b) Definitions. For purposes of this part: (1) A “substantive communication” is any written or oral communication relevant to the merits of the proceeding. (2) The “DOT decisionmaker” is defined in 14 CFR 302.2 and 302.18. (3) A “concerned DOT employee” is a DOT employee who is or may reasonably be expected to be directly involved in a decision which is subject to a public proceeding. (4) A “public proceeding” is one of the following: (i) A hearing proceeding ( i.e. , proceeding conducted on-the record after notice and opportunity for an oral evidentiary hearing as provided in §§ 302.17-302.38) (ii) A rulemaking proceeding involving a hearing as described in paragraph (b)(4)(i) of this section or an exemption proceeding covered by this chapter. (Other rulemaking proceedings are covered by the ex parte communication policies of DOT Order 2100.6 and 49 CFR 5.19.) (iii) A tariff filing after DOT has ordered an investigation or a complaint has been filed or docketed. (iv) A proceeding initiated by DOT show-cause order, after the filing in the docket of an identifiable written opposition to the order's tentative findings. (v) Any other proceeding initiated by a docket filing, other than a petition for generally applicable rulemaking, after the filing in the docket of an identifiable written opposition to the initiating document. (c) General exceptions. Paragraph (a) of this section shall not apply to the following: (1) Informal communications between legal counsel, including discussions about stipulations and other communications considered proper in Federal court proceedings. (2) Information given to a DOT employee who is participating in… | |||||
| 14:14:4.0.1.2.49.0.8.4 | 14 | Aeronautics and Space | II | B | 300 | PART 300—RULES OF CONDUCT IN DOT PROCEEDINGS UNDER THIS CHAPTER | § 300.3 Reporting of communications. | FAA | [Doc. No. 82, 50 FR 2380, Jan. 16, 1985, as amended at 60 FR 43528, Aug. 22, 1995; Doc. No. DOT-OST-2002-12200, 67 FR 30325, May 6, 2002; Doc. No. DOT-OST-2014-0140, 84 FR 15935, Apr. 16, 2019] | (a) General. The following types of substantive communication shall be reported as specified in paragraph (b) of this section: (1) Any communication in violation of § 300.2(a) of this chapter. (2) Information given upon determination of an emergency under § 300.2(c)(5) of this chapter. (3) Information given at the request of a DOT employee in a tariff matter under § 300.2(c)(6) of this chapter. (4) Communications in nonhearing cases to be decided within 30 days under § 300.2(c)(7) of this chapter. (5) Communications in nonhearing cases arising under 49 U.S.C. 41731-42, made under § 300.2(c)(8). (b) Public filing. (1) A written communication shall be placed onto the electronic docket management system ( http://www.regulations.gov ) in the file of the docket number corresponding to the proceeding, which shall be available for inspection and copying during business hours in Office of Docket Operations. (2) An oral communication shall be summarized by the DOT employee receiving it. One copy shall be put into a public file as described in paragraph (b) (1) of this section, and another copy shall be mailed to the communicator. (3) Electronic copies of written communications and oral summaries shall be posted to the DOT's electronic docket. Such docketed materials may be searched, viewed, and downloaded through the Internet at www.regulations.gov (4) Copies of all filings under this part dealing with discontinuances or reductions of air transportation shall be mailed to the directly affected local communities, State agencies, and airport managers. (c) Status and expedition requests. A DOT decisionmaker who receives a communication asking about the status or requesting expeditious treatment of a public proceeding, other than a communication concerning national defense or foreign policy (including international aviation), shall either: (1) Refer the communicator to Office of Docket Operations. (2) If the DOT decisionmaker responds by advising on the status, put a memorandum describing the exchange in th… | |||||
| 14:14:4.0.1.2.49.0.8.5 | 14 | Aeronautics and Space | II | B | 300 | PART 300—RULES OF CONDUCT IN DOT PROCEEDINGS UNDER THIS CHAPTER | § 300.4 Separation of functions in hearing cases. | FAA | [Doc. No. 82, 50 FR 2380, Jan. 16, 1985, as amended at 60 FR 43528, Aug. 22, 1995; Doc. No. DOT-OST-2014-0140, 84 FR 15935, Apr. 16, 2019] | (a) This section applies after the initiation of a hearing or enforcement case by the Department. (b) A DOT employee who is participating in a hearing case on behalf of an office that is a party, another DOT employee who is in fact reviewing the position taken, or who has participated in developing the position taken in that case, or, in cases involving accusatory or disciplinary issues (including all enforcement cases) such employees' supervisors within that office, shall have no substantive communication with any DOT decisionmaker, administrative law judge in the case, or other DOT employee advising them, with respect to that or any factually related hearing case, except in accordance with a published DOT rule or order. In addition, each bureau or office supervisor of a DOT employee who is participating in a hearing case on behalf of that office when it is a party shall have no substantive communication with any administrative law judge in the case, or DOT employee advising the judge, in that or any factually related hearing case, except in accordance with a published DOT rule or order. For each hearing case, bureau or office heads shall maintain a publicly available record of those employees who are participating or are in fact reviewing the position taken, or who have participated in developing the position taken in that case. (c) In hearing cases involving fares or rates, or applications for a certificate or permit under 49 U.S.C. 41102 and 41302, or applications by a holder for a change in a certificate or permit, a supervisor who would not be permitted to advise the DOT decisionmaker under paragraph (b) of this section may advise the DOT decisionmaker in the following manner: The supervisor's advice must either be made orally in an open DOT meeting or by a memorandum placed in the docket or other public file of such matter. Oral advice must be summarized in writing by the supervisor and placed in the docket or file of the matter. A copy of such written memorandum or summary of oral advice must be served … | |||||
| 14:14:4.0.1.2.49.0.8.6 | 14 | Aeronautics and Space | II | B | 300 | PART 300—RULES OF CONDUCT IN DOT PROCEEDINGS UNDER THIS CHAPTER | § 300.5 Prohibited conduct. | FAA | No person shall: (a) Attempt to influence the judgment of a concerned DOT employee by any unlawful means such as deception or the payment of money or other consideration; or (b) Disrupt or interfere with the fair and orderly disposition of a DOT proceeding. | ||||||
| 14:14:4.0.1.2.49.0.8.7 | 14 | Aeronautics and Space | II | B | 300 | PART 300—RULES OF CONDUCT IN DOT PROCEEDINGS UNDER THIS CHAPTER | § 300.6 Practitioners' standards of conduct. | FAA | Every person representing a client in matters before DOT in all contacts with DOT employees, should: (a) Strictly observe the standards of professional conduct; (b) Refrain from statements or other actions designed to mislead DOT or to cause unwarranted delay; (c) Avoid offensive or intemperate behavior; (d) Advise all clients to avoid improprieties and to obey the law as the attorney believes it to be; and (e) Terminate the professional relationship with any client who persists in improprieties in proceedings before DOT. | ||||||
| 14:14:4.0.1.2.49.0.8.8 | 14 | Aeronautics and Space | II | B | 300 | PART 300—RULES OF CONDUCT IN DOT PROCEEDINGS UNDER THIS CHAPTER | § 300.7 Conciseness. | FAA | Every oral or written statement made in a DOT proceding shall be as concise as possible. Verbose or redundant presentations may be rejected. | ||||||
| 14:14:4.0.1.2.49.0.8.9 | 14 | Aeronautics and Space | II | B | 300 | PART 300—RULES OF CONDUCT IN DOT PROCEEDINGS UNDER THIS CHAPTER | § 300.8 Opinions or rulings by the General Counsel. | FAA | [Docket No. 82, 50 FR 2380, Jan. 16, 1985. Redesignated and amended by Doc. No. DOT-OST-2014-0140, 84 FR 15935, Apr. 16, 2019] | The General Counsel is authorized to render opinions or rulings to the public on the application of the provisions of this part. When written request is made for such opinions and rulings, they shall be transmitted to DOT and shall be available to the public in the Documentary Services Division after any appeal to or review by the Secretary has been completed or after the time for review has expired. Identifying details shall normally be stricken from copies available to the public unless the public interest requires disclosure of such details. | |||||
| 17:17:5.0.1.1.32.0.37.1 | 17 | Commodity and Securities Exchanges | II | 300 | PART 300—RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION | § 300.100 General. | SEC | (a) For the purpose of sections 9(a)(2) and 16(12) of the Securities Investor Protection Act (hereinafter referred to as “the Act”), these rules will be applied in determining what accounts held by a person with a member of SIPC (hereinafter called a “member”) are to be deemed accounts held in a capacity other than his individual capacity. (b) Accounts held by a customer in different capacities, as specified by these rules, shall be deemed to be accounts of “separate” customers. (c) A “person” as used in these rules includes, but is not limited to, an individual, a corporation, a partnership, an association, a joint stock company, a trust, an unincorporated organization, or a government or political subdivision thereof. (d) The burden shall be upon the customer to establish each capacity in which he claims to hold accounts separate from his individual capacity. | |||||||
| 17:17:5.0.1.1.32.0.37.2 | 17 | Commodity and Securities Exchanges | II | 300 | PART 300—RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION | § 300.101 Individual accounts. | SEC | (a) Except as otherwise provided in these rules, all accounts held with a member by a person in his own name, and those which under these rules are deemed his individual accounts, shall be combined so as to constitute a single account of a separate customer. (b) An account held with a member by an agent or nominee for another person as a principal or beneficial owner shall, except as otherwise provided in these rules, be deemed to be an individual account of such principal or beneficial owner. | |||||||
| 17:17:5.0.1.1.32.0.37.3 | 17 | Commodity and Securities Exchanges | II | 300 | PART 300—RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION | § 300.102 Accounts held by executors, administrators, guardians, etc. | SEC | (a) Accounts held with a member in the name of a decedent or in the name of his estate or in the name of the executor or administrator of the estate of the decedent shall be combined so as to constitute a single account of a separate customer. (b) An account held with a member by a guardian, custodian, or conservator for the benefit of a ward or for the benefit of a minor under the Uniform Gifts to Minors Act or in a similar capacity shall be deemed to be held by such guardian, custodian, or conservator in a different capacity from any account or accounts maintained by such person in his individual capacity. | |||||||
| 17:17:5.0.1.1.32.0.37.4 | 17 | Commodity and Securities Exchanges | II | 300 | PART 300—RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION | § 300.103 Accounts held by a corporation, partnership or unincorporated association. | SEC | A corporation, partnership or unincorporated association holding an account with a member shall be deemed to be a separate customer distinct from the person or persons owning such corporation or comprising such partnership or unincorporated association if on the filing date it existed for a purpose other than primarily to obtain or increase protection under the Act. | |||||||
| 17:17:5.0.1.1.32.0.37.5 | 17 | Commodity and Securities Exchanges | II | 300 | PART 300—RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION | § 300.104 Trust accounts. | SEC | (a) A trust account held with a member shall be deemed a “qualifying trust account” if it is held on behalf of a valid and subsisting express trust created by a written instrument. No account held on behalf of a trust that on the filing date existed primarily to obtain or increase protection under the Act shall be deemed to be a qualifying trust account. (b) A qualifying trust account held with a member shall be deemed held by a separate customer of the member, distinct from the trustee, the testator or his estate, the settlor, or any beneficiary of the trust. (c) Any account held with a member on behalf of a trust which does not meet the requirements of paragraph (a) of this rule shall be deemed to be an individual account of the settlor of the trust on behalf of which the account is held. | |||||||
| 17:17:5.0.1.1.32.0.37.6 | 17 | Commodity and Securities Exchanges | II | 300 | PART 300—RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION | § 300.105 Joint accounts. | SEC | (a) A joint account shall be deemed to be a “qualifying joint account” if it is owned jointly, whether by the owners thereof as joint tenants with the right of survivorship, as tenants by the entirety or as tenants in common, or by husband and wife as community property, but only if each co-owner possesses authority to act with respect to the entire account. (b) Subject to paragraph (c) of this rule, each qualifying joint account with a member shall be deemed held by one separate customer of the member. (c) All qualifying joint accounts with a member owned by the same persons shall be deemed held by the same customer so that the maximum protection afforded to such accounts in the aggregate shall be the protection afforded to one separate customer of the member (d) A joint account with a member which does not meet the requirements of paragraph (a) of this rule shall be deemed to be an individual or qualifying joint account of the co-owner or co-owners having the exclusive power to act with respect to it. | |||||||
| 17:17:5.0.1.1.32.0.38.7 | 17 | Commodity and Securities Exchanges | II | 300 | PART 300—RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION | § 300.200 General. | SEC | A person having one or more accounts cleared by the member on a fully disclosed basis for one or more introducing brokers or dealers is a customer of the member and shall be protected with respect to such account or accounts without regard to the protection available for any other account or accounts he may have with the member. | |||||||
| 17:17:5.0.1.1.32.0.38.8 | 17 | Commodity and Securities Exchanges | II | 300 | PART 300—RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION | § 300.201 Accounts introduced by same or different broker or dealer. | SEC | All accounts of a person which are introduced by the same broker or dealer shall be combined and protected as the single account of a separate customer, unless such accounts are maintained in different capacities as specified in §§ 300.100 through 300.105; accounts introduced by different brokers or dealers shall be protected separately. | |||||||
| 17:17:5.0.1.1.32.0.39.10 | 17 | Commodity and Securities Exchanges | II | 300 | PART 300—RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION | § 300.301 Contracts to be closed out or completed. | SEC | [44 FR 21211, Apr. 9, 1979, as amended at 62 FR 10451, Mar. 7, 1997] | An open contractual commitment shall be closed out or completed if: (a) The open contractual commitment: (1) Arises from a transaction in which a customer (as defined in § 300.300) of the other broker or dealer had an interest. For the purposes of this rule a customer is deemed to have an interest in a transaction if (i) the other broker was acting as agent for the customer or (ii) the other dealer was not a market maker in the security involved, to the extent such other dealer held a firm order from the customer and in connection therewith: In the case of a buy order, prior to executing such customer's order purchased as principal the same number of shares or purchased shares to accumulate the number of shares necessary to complete the order; or in the case of a sell order, prior to executing such customer's order sold the same number of shares or a portion thereof; and (2)(i) Had a settlement date on or within 30 calendar days prior to the filing date and the respective obligations of the parties remained outstanding on the filing date or had a settlement date which occurs on or within three business days subsequent to the filing date; and (ii) Had a trade date on or within three business days prior to such settlement date; and (b) The other broker or dealer can establish to the satisfaction of the trustee through appropriate documentation that: (1) In the case of a broker or dealer who maintains his records on a specific identification basis: (i) The open contractual commitment arose out of a transaction in which his customer had such an interest, and (ii) In the case of a failed to deliver of the debtor, as of the filing date such broker's or dealer's customer's interest had not been sold to such broker or dealer; or (2) In the case of a broker or dealer who maintains his records other than on a specific identification basis, he has determined that a customer had such an interest in a manner consistent with that used by such broker or dealer prior to the filing date to allocate fails to receive and f… | ||||||
| 17:17:5.0.1.1.32.0.39.11 | 17 | Commodity and Securities Exchanges | II | 300 | PART 300—RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION | § 300.302 Mechanics of closeout or completion. | SEC | (a) The closeout or completion of an open contractual commitment meeting the requirements of § 300.301 shall be effected only: (1) By the buy-in or sell-out of the commitment by the other broker or dealer in accordance with the usual trade practices initiated by the other broker or dealer within or promptly upon the expiration of a period of 30 calendar days after settlement date; or (2) At the option of the trustee by the delivery of securities against receipt of the contract price or payment of the contract price against the receipt of the securities at any time within 30 calendar days after settlement date unless the commitment previously has been bought-in or sold-out in accordance with paragraph (a)(1) of this section; or (3) In the event of the refusal of the other broker or dealer to accept completion of an open contractual commitment in accordance with paragraph (a)(2) of this section, or the failure of the other broker or dealer to promptly buy-in or sell-out a commitment in accordance with paragraph (a)(1) of this section, or in the event of the failure of the other broker or dealer to provide the trustee with appropriate documentation as required by § 300.303, by delivery of securities against receipt of the contract price or payment of the contract price against receipt of securities, or the buy-in or sell-out of the commitment or cancellation of the commitment or otherwise, as may be appropriate, as the trustee in his discretion will most benefit the estate of the debtor. (b) In the event of a close-out of an open contractual commitment pursuant to paragraph (a)(1) of this section, the money differences resulting from such close-out shall be payable by the other broker or dealer to the trustee or by the trustee to the other broker or dealer, whichever would be entitled to receive such difference under the usual trade practices: Provided, however, (1) That prior to the payment of any such money difference by the trustee to such other broker or dealer with respect to transactions executed by such… | |||||||
| 17:17:5.0.1.1.32.0.39.12 | 17 | Commodity and Securities Exchanges | II | 300 | PART 300—RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION | § 300.303 Report to trustee. | SEC | Promptly upon the expiration of 30 calendar days after the filing date, or if by the expiration of such 30-day period notice pursuant to section 8(a) of the Act of the commencement of proceedings has not been published, then as soon as practicable after publication of such notice, a broker or dealer who had executed transactions in securities out of which arose open contractual commitments with the debtor shall furnish to the trustee such information with respect to the buy-in, sell-out or other status of open contractual commitments as called for by Forms 300-A, B and C (§§ 301.300a-301.300c of this chapter) including appropriate supporting documentation and schedules. | |||||||
| 17:17:5.0.1.1.32.0.39.13 | 17 | Commodity and Securities Exchanges | II | 300 | PART 300—RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION | § 300.304 Retained rights of brokers or dealers. | SEC | (a) Nothing stated in these rules shall be construed to prejudice the right of a broker or dealer to any claim against the debtor's estate, or the right of the trustee to make any claim against a broker or dealer, with respect to a commitment of the debtor which was outstanding on the filing date, but (1) which is not described in § 300.300(c), or (2) which, although described in § 300.300(c), does not meet the requirements specified in § 300.301 or was not closed out of completed in accordance with § 300.302 or was not reported to the trustee in conformity with § 300.303 or was not supported by appropriate documentation. (b) Nothing stated in these rules shall be construed to prejudice the right of a broker or dealer to a claim against the debtor's estate for the amount by which the money difference due the broker or dealer upon a buy-in or sell-out may exceed the amount paid by the trustee to such broker or dealer. | |||||||
| 17:17:5.0.1.1.32.0.39.14 | 17 | Commodity and Securities Exchanges | II | 300 | PART 300—RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION | § 300.305 Excluded contracts. | SEC | Notwithstanding the fact that an open contractual commitment described in § 300.300(c) meets the requirements of § 300.301 and the other requirements of these rules, a court shall not be precluded from canceling such commitment, awarding damages, or granting such other remedy as it shall deem fair and equitable if, on application of the trustee or SIPC, it determines that such commitment was not entered into in the ordinary course of business or was entered into by the debtor, or the broker or dealer or his customer, for the purposes of creating a commitment in contemplation of a liquidation proceeding under the Act. Such a determination shall be made after notice and opportunity for hearing by the debtor, such broker or dealer, or such customer, and may be made before or after the delivery of securities or payment of the contract price or before or after any buy-in or sell-out of the open contractual commitment, or otherwise. | |||||||
| 17:17:5.0.1.1.32.0.39.15 | 17 | Commodity and Securities Exchanges | II | 300 | PART 300—RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION | § 300.306 Completion or closeout pursuant to SIPC direction. | SEC | In its discretion SIPC may, in order to prevent a substantial detrimental impact upon the finanical condition of one or more brokers or dealers, direct the closeout or completion of an open contractual commitment, irrespective of whether it is described in § 300.300(c) or meets the requirements of § 300.301 or has been reported in conformity with § 300.303 or is supported by appropriate documentation. SIPC shall consult with the Securities and Exchange Commission before SIPC makes any determinations under this section. | |||||||
| 17:17:5.0.1.1.32.0.39.16 | 17 | Commodity and Securities Exchanges | II | 300 | PART 300—RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION | § 300.307 Completion with cash or securities of customer. | SEC | The trustee may, if authorized by the court, complete an open contractual commitment of the debtor, regardless of whether it is described in § 300.300(c) or meets the requirements of § 300.301 or has been reported to the trustee in conformity with § 300.303, to the extent that such commitment is completed with customer name securities of the customer of the debtor for whose account the commitment was made, or with cash or securities paid or delivered by or for the account of such customer to the debtor or trustee after the filing date. | |||||||
| 17:17:5.0.1.1.32.0.39.17 | 17 | Commodity and Securities Exchanges | II | 300 | PART 300—RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION | § 300.400 Satisfaction of customer claims for standardized options. | SEC | [48 FR 49840, Oct. 28, 1983, as amended at 79 FR 2781, Jan. 16, 2014] | (a) For the purpose of sections 7(b)(1), 8 (b) and (d), and 16(11) of the Securities Investor Protection Act (hereinafter referred to as “the Act”), this rule will be applied in determining what a customer will receive in either (1) a liquidation proceeding pursuant to the Act or (2) a direct payment procedure pursuant to section 10 of the Act, in satisfaction of a claim based upon Standardized Options positions. (b) As promptly as practicable after the initiation of a liquidation proceeding or a direct payment procedure under the Act, the trustee in a liquidation proceeding, or SIPC in a direct payment procedure, shall liquidate or cause to be liquidated, by sale or purchase, all Standardized Options positions held for the accounts of customers except to the extent that the trustee, with SIPC's consent, or SIPC as trustee, as the case may be, has arranged or is able promptly to arrange, a transfer of some or all of such positions to another SIPC member. (c) A trustee in a liquidation proceeding, or SIPC in a direct payment procedure, shall calculate the dollar amount of all Standardized Options positions held for the account of a customer in accordance with section 16(11) of the Act, and credit or debit, as appropriate, the dollar amount so calculated to the account of such customer. (d) Notwithstanding paragraph (b) of this section, neither the trustee in a liquidation proceeding nor SIPC in a direct payment procedure shall be required under this rule to liquidate any short position in Standardized Options covered by the deposit of (1) the underlying securities, in the case of a call option, or (2) treasury bills, in the case of a put option, by or on behalf of a customer with a bank or other depository. Any such positions that are not liquidated shall be excluded from the calculation provided for in paragraph (c) of this section. (e) In no event will Standardized Options positions be delivered to or on behalf of customers in satisfaction of claims pursuant to section 7(b)(1) of the Act except to the extent… | ||||||
| 17:17:5.0.1.1.32.0.39.9 | 17 | Commodity and Securities Exchanges | II | 300 | PART 300—RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION | § 300.300 Definitions. | SEC | [44 FR 21211, Apr. 9, 1979, as amended at 62 FR 10451, Mar. 7, 1997] | For the purpose of these rules, adopted pursuant to section 8(e) of the Securities Investor Protection Act of 1970, as amended (hereinafter referred to as “the Act”): (a) The term failed to receive shall mean a contractual commitment of the debtor made in the ordinary course of business to pay to another broker or dealer the contract price in cash upon receipt from such broker or dealer of securities purchased: Provided, That the respective obligations of the parties remained outstanding until the close of business on the filing date as defined in section 16(7) of the Act (hereinafter referred to as the “filing date”). (b) The term failed to deliver shall mean a contractual commitment of the debtor, made in the ordinary course of business, to deliver securities to another broker or dealer against receipt from such broker or dealer of the contract price in cash: Provided, That the respective obligations of the parties remained outstanding until the close of business on the filing date. (c) The term open contractual commitment shall mean a failed to receive or a failed to deliver which had a settlement date prior to the filing date and the respective obligations of the parties remained outstanding on the filing date or had a settlement date which occurs on or within three business days subsequent to the filing date: Provided, however, That the term “open contractual commitment” shall not include any contractual commitment for which the security which is the subject of the trade had not been issued by the issuer as of the trade date. (d) The term customer shall mean a person (other than a broker or dealer) in whose behalf a broker or dealer has executed a transaction out of which arose an open contractual commitment with the debtor, but shall not include any person to the extent that such person at the filing date (1) had a claim for property which by contract, agreement of understanding, or by operation of law, was a part of the capital of the broker or dealer who executed such transaction or was … | ||||||
| 17:17:5.0.1.1.32.0.40.18 | 17 | Commodity and Securities Exchanges | II | 300 | PART 300—RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION | § 300.500 General. | SEC | These rules will be applied in determining whether a securities transaction gives rise to a “claim for cash” or a “claim for securities” on the filing date of either a liquidation proceeding pursuant to the Securities Investor Protection Act (hereinafter referred to as “the Act”) or a direct payment procedure pursuant to section 10 of the Act. | |||||||
| 17:17:5.0.1.1.32.0.40.19 | 17 | Commodity and Securities Exchanges | II | 300 | PART 300—RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION | § 300.501 Claim for cash. | SEC | (a) Where a SIPC member (“Debtor”) held securities in an account for a customer, the customer has a “claim for cash” with respect to any authorized securities sale: (1) If the Debtor has sent written confirmation to the customer that the securities in question have been sold for or purchased from the customer's account; or (2) Whether or not such a written confirmation has been sent, if the securities in question have become the subject of a completed or executory contract for sale for or purchase from the account. (b) Where the Debtor held cash in an account for a customer, the customer has a “claim for cash”, notwithstanding the fact that the customer has ordered securities purchased for the account, unless: (1) The Debtor has sent written confirmation to the customer that the securities in question have been purchased for or sold to the customer's account; or (2) Whether or not such a written confirmation has been sent, if the securities in question have become the subject of a completed or executory contract for purchase for or sale to the account. | |||||||
| 17:17:5.0.1.1.32.0.40.20 | 17 | Commodity and Securities Exchanges | II | 300 | PART 300—RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION | § 300.502 Claim for securities. | SEC | (a) Where the Debtor held cash in an account for a customer, the customer has a “claim for securities” with respect to any authorized securities purchase: (1) If the Debtor has sent written confirmation to the customer that the securities in question have been purchased for or sold to the customer's account; or (2) Whether or not such a written confirmation has been sent, if the securities in question have become the subject of completed or executory contract for sale for or purchase from the account. (b) Where the Debtor held securities in an account for a customer, the customer has a “claim for securities”, notwithstanding the fact that the customer has ordered the securities sold for the account, unless: (1) The Debtor has sent written confirmation to the customer that the securities in question have been sold for or purchased from the customer's account; or (2) Whether or not written confirmation of the purchase has been sent, if the securities in question have become the subject of completed or executory contract for sale for or purchase form the account. | |||||||
| 17:17:5.0.1.1.32.0.40.21 | 17 | Commodity and Securities Exchanges | II | 300 | PART 300—RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION | § 300.503 Voidable securities transactions. | SEC | (a) Nothing in these Series 500 Rules shall be construed as limiting the rights of a trustee in a liquidation proceeding under the Act to avoid any securities transaction as fraudulent, preferential, or otherwise voidable under applicable law. (b) Nothing in these Series 500 Rules shall be construed as limiting the right of the Securities Investor Protection Corporation, in a direct payment procedure under section 10 of the Act, to reject a claim for cash or a claim for securities if such claim arose out of a securities transaction which could have been avoided in a liquidation proceeding under the Act. | |||||||
| 17:17:5.0.1.1.32.0.41.22 | 17 | Commodity and Securities Exchanges | II | 300 | PART 300—RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION | § 300.600 Rules relating to supplemental report on SIPC membership. | SEC | [81 FR 14374, Mar. 17, 2016] | (a)(1) Who must file the supplemental report. Except as provided in paragraph (a)(2) of this section, a broker or dealer must file with SIPC, within 60 days after the end of its fiscal year, a supplemental report on the status of its membership in SIPC (commonly referred to as the “Independent Accountants' Report on Applying Agreed-Upon Procedures”) if a rule of the Securities and Exchange Commission (SEC) requires the broker or dealer to file audited financial statements annually. (2) If the broker or dealer is a member of SIPC, the broker or dealer is not required to file the supplemental report for any year in which it reports $500,000 or less in total revenues in its annual audited statement of income filed with the SEC. (b) Requirements of the supplemental report. The supplemental report must cover the SIPC Annual General Assessment Reconciliation Form (Form SIPC-7) or the Certification of Exclusion From Membership Form (Form SIPC-3) for each year for which an SEC Rule requires audited financial statements to be filed. The supplemental report must include the following: (1) A copy of the form filed or a schedule of assessment payments showing any overpayments applied and overpayments carried forward, including payment dates, amounts, and name of SIPC collection agent to whom mailed; or (2) If exclusion from membership was claimed, a statement that the broker or dealer qualified for exclusion from membership under the Securities Investor Protection Act of 1970, as amended, and the date the Form SIPC-3 was filed with SIPC; and (3) An independent public accountant's report. The independent public accountant, who must be independent in accordance with the provisions of 17 CFR 210.2-01, must be engaged to perform the following agreed-upon procedures in accordance with standards of the Public Company Accounting Oversight Board (PCAOB): (i) Compare assessment payments made in accordance with the General Assessment Payment Form (Form SIPC-6) and applied to the General Assessment calculation on the Form SIP… | ||||||
| 20:20:1.0.2.9.39.0.155.1 | 20 | Employees' Benefits | II | C | 300 | PART 300—DEFINITIONS | § 300.1 Words and phrases. | SSA | [Board Order 40-368 and Board Order 40-385, 5 FR 2717, Aug. 1, 1940, as amended by Board Order 68-72, 33 FR 11114, Aug. 6, 1968] | For the purposes of the regulations in this part, except where the language or context indicates otherwise: (a) The term “act” means the Railroad Unemployment Insurance act. (b) The term “employer” means an employer as defined in the act and part 201 of this chapter. (c) The term “Board” means the Railroad Retirement Board. (d) The term “person” includes an individual, trust, estate, partnership, association, joint stock company, company, corporation, and institution. (e) The term “United States”, when used in a geographical sense, means the States and the District of Columbia. (f) The term “State” means any of the States or the District of Columbia. (g) The term “employment” means service performed as an employee. (h) The term “local lodges and divisions” and the term “local lodge or division” as used in section 1(a) and 1(d), respectively, of the act, shall be construed to include any subordinate unit of a national railway labor organization defined as an “employer” under the act, which unit functions in the same manner as, or similar to “local lodges” as that term is ordinarily used, irrespective of the designation of such unit by its national organization. | |||||
| 21:21:5.0.1.1.1.2.1.1 | 21 | Food and Drugs | I | D | 300 | PART 300—GENERAL | B | Subpart B—Combination Drugs | § 300.50 Fixed-combination prescription drugs for humans. | FDA | [40 FR 13496, Mar. 27, 1975, as amended at 64 FR 401, Jan. 5, 1999] | The Food and Drug Administration's policy in administering the new-drug, antibiotic, and other regulatory provisions of the Federal Food, Drug, and Cosmetic Act regarding fixed combination dosage form prescription drugs for humans is as follows: (a) Two or more drugs may be combined in a single dosage form when each component makes a contribution to the claimed effects and the dosage of each component (amount, frequency, duration) is such that the combination is safe and effective for a significant patient population requiring such concurrent therapy as defined in the labeling for the drug. Special cases of this general rule are where a component is added: (1) To enhance the safety or effectiveness of the principal active component; and (2) To minimize the potential for abuse of the principal active component. (b) If a combination drug presently the subject of an approved new-drug application has not been recognized as effective by the Commissioner of Food and Drugs based on his evaluation of the appropriate National Academy of Sciences-National Research Council panel report, or if substantial evidence of effectiveness has not otherwise been presented for it, then formulation, labeling, or dosage changes may be proposed and any resulting formulation may meet the appropriate criteria listed in paragraph (a) of this section. (c) A fixed-combination prescription drug for humans that has been determined to be effective for labeled indications by the Food and Drug Administration, based on evaluation of the NAS-NRC report on the combination, is considered to be in compliance with the requirements of this section. | |||
| 21:21:5.0.1.1.1.3.1.1 | 21 | Food and Drugs | I | D | 300 | PART 300—GENERAL | C | Subpart C—Substances Generally Prohibited From Drugs | § 300.100 Chlorofluorocarbon propellants. | FDA | [43 FR 11317, Mar. 17, 1978] | The use of chlorofluorocarbons in human drugs as propellants in self-pressurized containers is generally prohibited except as provided by § 2.125 of this chapter. | |||
| 21:21:5.0.1.1.1.4.1.1 | 21 | Food and Drugs | I | D | 300 | PART 300—GENERAL | D | Subpart D—Annual Summary Reporting Requirements. | § 300.200 Annual summary requirements under the Right to Try Act. | FDA | (a) Definitions: The following definitions of terms apply only to this section: (1) Eligible investigational drug. An eligible investigational drug is as defined in section 561B(a)(2) of the Federal Food, Drug, and Cosmetic Act. (2) Eligible patient. An eligible patient is as defined in section 561B(a)(1) of the Federal Food, Drug, and Cosmetic Act. (3) Investigational New Drug (IND). An IND is as defined in § 312.3 of this chapter. (4) Known serious adverse event. A serious adverse event (as defined in § 312.32 of this chapter) is considered “known” if the manufacturer or sponsor is aware of it. (5) Manufacturer or sponsor. A manufacturer or sponsor is the person who: (i) Meets the definition of “sponsor” in § 312.3 of this chapter for the eligible investigational drug; (ii) Has submitted an application for the eligible investigational drug under section 505(b) of the Federal Food, Drug, and Cosmetic Act or section 351(a) of the Public Health Service Act; or (iii) Is other than a contract manufacturer acting on behalf of a manufacturer or sponsor, producing the eligible investigational drug provided to an eligible patient on behalf of the persons described in paragraph (a)(5)(i) or (ii) of this section. (b)(1) Except as described in paragraph (b)(2) of this section, a manufacturer or sponsor of an eligible investigational drug shall submit to the Food and Drug Administration (FDA), no later than March 31 of each year, an annual summary of any use of eligible investigational drugs supplied to any eligible patient under section 561B of the Federal Food, Drug, and Cosmetic Act for the period of January 1 through December 31 of the preceding year. (2) For a manufacturer or sponsor of an eligible investigational drug that has supplied an eligible patient with an eligible investigational drug under section 561B of the Federal Food, Drug, and Cosmetic Act between the period from enactment of section 561B (May 30, 2018) and December 31, 2022, the manufacturer or sponsor shall submit to FDA a first an… | ||||
| 24:24:2.1.2.5.1.0.221.1 | 24 | Housing and Urban Development | III | 300 | PART 300—GENERAL | § 300.1 Scope of chapter. | HUD | This chapter consists of general information and does not purport to set forth all of the procedures and requirements that apply to the operations of the Association. Complete specific information as to any aspect of such operations may be obtained from the office listed in § 300.9. | |||||||
| 24:24:2.1.2.5.1.0.221.2 | 24 | Housing and Urban Development | III | 300 | PART 300—GENERAL | § 300.3 Description. | HUD | [66 FR 44265, Aug. 22, 2001] | The Government National Mortgage Association (hereinafter in this chapter called the Association, GNMA or Ginnie Mae) furnishes fiduciary services to itself and other departments and agencies of the Government, and guarantees privately issued securities backed by trusts or pools of mortgages or loans which are insured or guaranteed by the Federal Housing Administration (FHA), the Department of Veterans Affairs (VA) or the Rural Housing Service (RHS) and certain other loans or mortgages guaranteed or insured by the Government. In the course of its business, the Association is referred to as GNMA or Ginnie Mae. | ||||||
| 24:24:2.1.2.5.1.0.221.3 | 24 | Housing and Urban Development | III | 300 | PART 300—GENERAL | § 300.5 Creation and status. | HUD | The Association is a Government corporation in the Department of Housing and Urban Development. It is derived from the Federal National Mortgage Association, which was partitioned by the Congress into two corporations effective September 1, 1968, one of which is the Association. The operations of the Association are conducted under its statutory charter contained in title III of the National Housing Act, 12 U.S.C. 1716, et seq. | |||||||
| 24:24:2.1.2.5.1.0.221.4 | 24 | Housing and Urban Development | III | 300 | PART 300—GENERAL | § 300.7 Area of operations. | HUD | The Association is authorized to conduct its business in any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana Islands, and the territories and possessions of the United States. | |||||||
| 24:24:2.1.2.5.1.0.221.5 | 24 | Housing and Urban Development | III | 300 | PART 300—GENERAL | § 300.9 Office. | HUD | The Association directs its operations from its office located at 451 Seventh Street, SW., Washington DC 20410. | |||||||
| 24:24:2.1.2.5.1.0.221.6 | 24 | Housing and Urban Development | III | 300 | PART 300—GENERAL | § 300.11 Authority of officers. | HUD | The President, each Vice President, and each Assistant Vice President of the Association are severally expressly empowered in the name of the Association to sign all contracts and other documents, instruments, and writings which call for execution by the Association in the conduct of its business and affairs, and to encumber, mortgage, pledge, convey or otherwise alien any property which the Association may own or in which it may have an estate, right, title or interest. In addition, the President, each Vice President, each Assistant Vice President, the Secretary of the Association, each Assistant Secretary, the Treasurer and the Controller shall have the authority as may be provided in the Bylaws of the Association or as may be delegated to them in a manner not inconsistent with the Bylaws. | |||||||
| 24:24:2.1.2.5.1.0.221.7 | 24 | Housing and Urban Development | III | 300 | PART 300—GENERAL | § 300.13 Power of attorney. | HUD | In order to efficiently carry out the purposes of the Association, the Association may appoint any person its true and lawful attorney-in-fact by publication in the Federal Register or by appointment from the President of the Association in writing. Any such attorney-in-fact shall have the power outlined in the publication or appointment. | |||||||
| 24:24:2.1.2.5.1.0.221.8 | 24 | Housing and Urban Development | III | 300 | PART 300—GENERAL | § 300.15 Exceptions. | HUD | In the conduct of its affairs, in individual cases or classes of cases, the Association reserves the right, consistent with law, without prior notice and at any time, to alter or waive any of the requirements contained in this chapter or elsewhere or to impose other and additional requirements; it further reserves the right, without prior notice and at any time, to amend or rescind any or all of the material set forth herein. | |||||||
| 24:24:2.1.2.5.1.0.221.9 | 24 | Housing and Urban Development | III | 300 | PART 300—GENERAL | § 300.17 Audits and reports. | HUD | The Association and its designees may at any reasonable time audit the books and examine the records of any issuer, mortgage servicer, trustee, agent or other person bearing on compliance with the requirements of the Association's programs, and the Association may require reasonable and necessary reports from such persons. | |||||||
| 34:34:2.1.1.1.1.1.35.1 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.1 Purposes. | ED | The purposes of this part are— (a) To ensure that all children with disabilities have available to them a free appropriate public education that emphasizes special education and related services designed to meet their unique needs and prepare them for further education, employment, and independent living; (b) To ensure that the rights of children with disabilities and their parents are protected; (c) To assist States, localities, educational service agencies, and Federal agencies to provide for the education of all children with disabilities; and (d) To assess and ensure the effectiveness of efforts to educate children with disabilities. | |||||
| 34:34:2.1.1.1.1.1.35.2 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.2 Applicability of this part to State and local agencies. | ED | (a) States. This part applies to each State that receives payments under Part B of the Act, as defined in § 300.4. (b) Public agencies within the State. The provisions of this part— (1) Apply to all political subdivisions of the State that are involved in the education of children with disabilities, including: (i) The State educational agency (SEA). (ii) Local educational agencies (LEAs), educational service agencies (ESAs), and public charter schools that are not otherwise included as LEAs or ESAs and are not a school of an LEA or ESA. (iii) Other State agencies and schools (such as Departments of Mental Health and Welfare and State schools for children with deafness or children with blindness). (iv) State and local juvenile and adult correctional facilities; and (2) Are binding on each public agency in the State that provides special education and related services to children with disabilities, regardless of whether that agency is receiving funds under Part B of the Act. (c) Private schools and facilities. Each public agency in the State is responsible for ensuring that the rights and protections under Part B of the Act are given to children with disabilities— (1) Referred to or placed in private schools and facilities by that public agency; or (2) Placed in private schools by their parents under the provisions of § 300.148. | |||||
| 34:34:2.1.1.1.1.1.36.10 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.11 Day; business day; school day. | ED | (a) Day means calendar day unless otherwise indicated as business day or school day. (b) Business day means Monday through Friday, except for Federal and State holidays (unless holidays are specifically included in the designation of business day, as in § 300.148(d)(1)(ii)). (c)(1) School day means any day, including a partial day that children are in attendance at school for instructional purposes. (2) School day has the same meaning for all children in school, including children with and without disabilities. | |||||
| 34:34:2.1.1.1.1.1.36.11 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.12 Educational service agency. | ED | Educational service agency means— (a) A regional public multiservice agency— (1) Authorized by State law to develop, manage, and provide services or programs to LEAs; (2) Recognized as an administrative agency for purposes of the provision of special education and related services provided within public elementary schools and secondary schools of the State; (b) Includes any other public institution or agency having administrative control and direction over a public elementary school or secondary school; and (c) Includes entities that meet the definition of intermediate educational unit in section 602(23) of the Act as in effect prior to June 4, 1997. | |||||
| 34:34:2.1.1.1.1.1.36.12 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.13 Elementary school. | ED | Elementary school means a nonprofit institutional day or residential school, including a public elementary charter school, that provides elementary education, as determined under State law. | |||||
| 34:34:2.1.1.1.1.1.36.13 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.14 Equipment. | ED | Equipment means— (a) Machinery, utilities, and built-in equipment, and any necessary enclosures or structures to house the machinery, utilities, or equipment; and (b) All other items necessary for the functioning of a particular facility as a facility for the provision of educational services, including items such as instructional equipment and necessary furniture; printed, published and audio-visual instructional materials; telecommunications, sensory, and other technological aids and devices; and books, periodicals, documents, and other related materials. | |||||
| 34:34:2.1.1.1.1.1.36.14 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.15 Evaluation. | ED | Evaluation means procedures used in accordance with §§ 300.304 through 300.311 to determine whether a child has a disability and the nature and extent of the special education and related services that the child needs. | |||||
| 34:34:2.1.1.1.1.1.36.15 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.16 Excess costs. | ED | [71 FR 46753, Aug. 14, 2006, as amended at 82 FR 29759, June 30, 2017] | Excess costs means those costs that are in excess of the average annual per-student expenditure in an LEA during the preceding school year for an elementary school or secondary school student, as may be appropriate, and that must be computed after deducting— (a) Amounts received— (1) Under Part B of the Act; (2) Under Part A of title I of the ESEA; and (3) Under Part A of title III of the ESEA and; (b) Any State or local funds expended for programs that would qualify for assistance under any of the parts described in paragraph (a) of this section, but excluding any amounts for capital outlay or debt service. (See appendix A to part 300 for an example of how excess costs must be calculated.) | ||||
| 34:34:2.1.1.1.1.1.36.16 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.17 Free appropriate public education. | ED | Free appropriate public education or FAPE means special education and related services that— (a) Are provided at public expense, under public supervision and direction, and without charge; (b) Meet the standards of the SEA, including the requirements of this part; (c) Include an appropriate preschool, elementary school, or secondary school education in the State involved; and (d) Are provided in conformity with an individualized education program (IEP) that meets the requirements of §§ 300.320 through 300.324. | |||||
| 34:34:2.1.1.1.1.1.36.17 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.18 [Reserved] | ED | ||||||
| 34:34:2.1.1.1.1.1.36.18 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.19 Homeless children. | ED | Homeless children has the meaning given the term homeless children and youths in section 725 (42 U.S.C. 11434a) of the McKinney-Vento Homeless Assistance Act, as amended, 42 U.S.C. 11431 et seq. | |||||
| 34:34:2.1.1.1.1.1.36.19 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.20 Include. | ED | Include means that the items named are not all of the possible items that are covered, whether like or unlike the ones named. | |||||
| 34:34:2.1.1.1.1.1.36.20 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.21 Indian and Indian tribe. | ED | (a) Indian means an individual who is a member of an Indian tribe. (b) Indian tribe means any Federal or State Indian tribe, band, rancheria, pueblo, colony, or community, including any Alaska Native village or regional village corporation (as defined in or established under the Alaska Native Claims Settlement Act, 43 U.S.C. 1601 et seq. ). (c) Nothing in this definition is intended to indicate that the Secretary of the Interior is required to provide services or funding to a State Indian tribe that is not listed in the Federal Register list of Indian entities recognized as eligible to receive services from the United States, published pursuant to Section 104 of the Federally Recognized Indian Tribe List Act of 1994, 25 U.S.C. 479a-1. | |||||
| 34:34:2.1.1.1.1.1.36.21 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.22 Individualized education program. | ED | Individualized education program or IEP means a written statement for a child with a disability that is developed, reviewed, and revised in accordance with §§ 300.320 through 300.324. | |||||
| 34:34:2.1.1.1.1.1.36.22 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.23 Individualized education program team. | ED | Individualized education program team or IEP Team means a group of individuals described in § 300.321 that is responsible for developing, reviewing, or revising an IEP for a child with a disability. | |||||
| 34:34:2.1.1.1.1.1.36.23 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.24 Individualized family service plan. | ED | Individualized family service plan or IFSP has the meaning given the term in section 636 of the Act. | |||||
| 34:34:2.1.1.1.1.1.36.24 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.25 Infant or toddler with a disability. | ED | Infant or toddler with a disability — (a) Means an individual under three years of age who needs early intervention services because the individual— (1) Is experiencing developmental delays, as measured by appropriate diagnostic instruments and procedures in one or more of the areas of cognitive development, physical development, communication development, social or emotional development, and adaptive development; or (2) Has a diagnosed physical or mental condition that has a high probability of resulting in developmental delay; and (b) May also include, at a State's discretion— (1) At-risk infants and toddlers; and (2) Children with disabilities who are eligible for services under section 619 and who previously received services under Part C of the Act until such children enter, or are eligible under State law to enter, kindergarten or elementary school, as appropriate, provided that any programs under Part C of the Act serving such children shall include— (i) An educational component that promotes school readiness and incorporates pre-literacy, language, and numeracy skills; and (ii) A written notification to parents of their rights and responsibilities in determining whether their child will continue to receive services under Part C of the Act or participate in preschool programs under section 619. | |||||
| 34:34:2.1.1.1.1.1.36.25 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.26 Institution of higher education. | ED | Institution of higher education — (a) Has the meaning given the term in section 101 of the Higher Education Act of 1965, as amended, 20 U.S.C. 1021 et seq. (HEA); and (b) Also includes any community college receiving funds from the Secretary of the Interior under the Tribally Controlled Community College or University Assistance Act of 1978, 25 U.S.C. 1801, et seq. | |||||
| 34:34:2.1.1.1.1.1.36.26 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.27 Limited English proficient. | ED | [71 FR 46753, Aug. 14, 2006, as amended at 82 FR 29759, June 30, 2017] | Limited English proficient has the meaning given the term 'English learner' in section 8101 of the ESEA. | ||||
| 34:34:2.1.1.1.1.1.36.27 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.28 Local educational agency. | ED | (a) General. Local educational agency or LEA means a public board of education or other public authority legally constituted within a State for either administrative control or direction of, or to perform a service function for, public elementary or secondary schools in a city, county, township, school district, or other political subdivision of a State, or for a combination of school districts or counties as are recognized in a State as an administrative agency for its public elementary schools or secondary schools. (b) Educational service agencies and other public institutions or agencies. The term includes— (1) An educational service agency, as defined in § 300.12; and (2) Any other public institution or agency having administrative control and direction of a public elementary school or secondary school, including a public nonprofit charter school that is established as an LEA under State law. (c) BIA funded schools. The term includes an elementary school or secondary school funded by the Bureau of Indian Affairs, and not subject to the jurisdiction of any SEA other than the Bureau of Indian Affairs, but only to the extent that the inclusion makes the school eligible for programs for which specific eligibility is not provided to the school in another provision of law and the school does not have a student population that is smaller than the student population of the LEA receiving assistance under the Act with the smallest student population. | |||||
| 34:34:2.1.1.1.1.1.36.28 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.29 Native language. | ED | (a) Native language , when used with respect to an individual who is limited English proficient, means the following: (1) The language normally used by that individual, or, in the case of a child, the language normally used by the parents of the child, except as provided in paragraph (a)(2) of this section. (2) In all direct contact with a child (including evaluation of the child), the language normally used by the child in the home or learning environment. (b) For an individual with deafness or blindness, or for an individual with no written language, the mode of communication is that normally used by the individual (such as sign language, Braille, or oral communication). | |||||
| 34:34:2.1.1.1.1.1.36.29 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.30 Parent. | ED | (a) Parent means— (1) A biological or adoptive parent of a child; (2) A foster parent, unless State law, regulations, or contractual obligations with a State or local entity prohibit a foster parent from acting as a parent; (3) A guardian generally authorized to act as the child's parent, or authorized to make educational decisions for the child (but not the State if the child is a ward of the State); (4) An individual acting in the place of a biological or adoptive parent (including a grandparent, stepparent, or other relative) with whom the child lives, or an individual who is legally responsible for the child's welfare; or (5) A surrogate parent who has been appointed in accordance with § 300.519 or section 639(a)(5) of the Act. (b) (1) Except as provided in paragraph (b)(2) of this section, the biological or adoptive parent, when attempting to act as the parent under this part and when more than one party is qualified under paragraph (a) of this section to act as a parent, must be presumed to be the parent for purposes of this section unless the biological or adoptive parent does not have legal authority to make educational decisions for the child. (2) If a judicial decree or order identifies a specific person or persons under paragraphs (a)(1) through (4) of this section to act as the “parent” of a child or to make educational decisions on behalf of a child, then such person or persons shall be determined to be the “parent” for purposes of this section. | |||||
| 34:34:2.1.1.1.1.1.36.3 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.4 Act. | ED | Act means the Individuals with Disabilities Education Act, as amended. | |||||
| 34:34:2.1.1.1.1.1.36.30 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.31 Parent training and information center. | ED | Parent training and information center means a center assisted under sections 671 or 672 of the Act. | |||||
| 34:34:2.1.1.1.1.1.36.31 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.32 Personally identifiable. | ED | Personally identifiable means information that contains— (a) The name of the child, the child's parent, or other family member; (b) The address of the child; (c) A personal identifier, such as the child's social security number or student number; or (d) A list of personal characteristics or other information that would make it possible to identify the child with reasonable certainty. | |||||
| 34:34:2.1.1.1.1.1.36.32 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.33 Public agency. | ED | Public agency includes the SEA, LEAs, ESAs, nonprofit public charter schools that are not otherwise included as LEAs or ESAs and are not a school of an LEA or ESA, and any other political subdivisions of the State that are responsible for providing education to children with disabilities. | |||||
| 34:34:2.1.1.1.1.1.36.33 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.34 Related services. | ED | (a) General. Related services means transportation and such developmental, corrective, and other supportive services as are required to assist a child with a disability to benefit from special education, and includes speech-language pathology and audiology services, interpreting services, psychological services, physical and occupational therapy, recreation, including therapeutic recreation, early identification and assessment of disabilities in children, counseling services, including rehabilitation counseling, orientation and mobility services, and medical services for diagnostic or evaluation purposes. Related services also include school health services and school nurse services, social work services in schools, and parent counseling and training. (b) Exception; services that apply to children with surgically implanted devices, including cochlear implants. (1) Related services do not include a medical device that is surgically implanted, the optimization of that device's functioning (e.g., mapping), maintenance of that device, or the replacement of that device. (2) Nothing in paragraph (b)(1) of this section— (i) Limits the right of a child with a surgically implanted device (e.g., cochlear implant) to receive related services (as listed in paragraph (a) of this section) that are determined by the IEP Team to be necessary for the child to receive FAPE. (ii) Limits the responsibility of a public agency to appropriately monitor and maintain medical devices that are needed to maintain the health and safety of the child, including breathing, nutrition, or operation of other bodily functions, while the child is transported to and from school or is at school; or (iii) Prevents the routine checking of an external component of a surgically implanted device to make sure it is functioning properly, as required in § 300.113(b). (c) Individual related services terms defined. The terms used in this definition are defined as follows: (1) Audiology includes— (i) Identification of children with hearing loss; … | |||||
| 34:34:2.1.1.1.1.1.36.34 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.35 [Reserved] | ED | ||||||
| 34:34:2.1.1.1.1.1.36.35 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.36 Secondary school. | ED | Secondary school means a nonprofit institutional day or residential school, including a public secondary charter school that provides secondary education, as determined under State law, except that it does not include any education beyond grade 12. | |||||
| 34:34:2.1.1.1.1.1.36.36 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.37 Services plan. | ED | Services plan means a written statement that describes the special education and related services the LEA will provide to a parentally-placed child with a disability enrolled in a private school who has been designated to receive services, including the location of the services and any transportation necessary, consistent with § 300.132, and is developed and implemented in accordance with §§ 300.137 through 300.139. | |||||
| 34:34:2.1.1.1.1.1.36.37 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.38 Secretary. | ED | Secretary means the Secretary of Education. | |||||
| 34:34:2.1.1.1.1.1.36.38 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.39 Special education. | ED | (a) General. (1) Special education means specially designed instruction, at no cost to the parents, to meet the unique needs of a child with a disability, including— (i) Instruction conducted in the classroom, in the home, in hospitals and institutions, and in other settings; and (ii) Instruction in physical education. (2) Special education includes each of the following, if the services otherwise meet the requirements of paragraph (a)(1) of this section— (i) Speech-language pathology services, or any other related service, if the service is considered special education rather than a related service under State standards; (ii) Travel training; and (iii) Vocational education. (b) Individual special education terms defined. The terms in this definition are defined as follows: (1) At no cost means that all specially-designed instruction is provided without charge, but does not preclude incidental fees that are normally charged to nondisabled students or their parents as a part of the regular education program. (2) Physical education means— (i) The development of— (A) Physical and motor fitness; (B) Fundamental motor skills and patterns; and (C) Skills in aquatics, dance, and individual and group games and sports (including intramural and lifetime sports); and (ii) Includes special physical education, adapted physical education, movement education, and motor development. (3) Specially designed instruction means adapting, as appropriate to the needs of an eligible child under this part, the content, methodology, or delivery of instruction— (i) To address the unique needs of the child that result from the child's disability; and (ii) To ensure access of the child to the general curriculum, so that the child can meet the educational standards within the jurisdiction of the public agency that apply to all children. (4) Travel training means providing instruction, as appropriate, to children with significant cognitive disabilities, and any other children with disabilities who require this… | |||||
| 34:34:2.1.1.1.1.1.36.39 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.40 State. | ED | State means each of the 50 States, the District of Columbia, the Commonwealth of Puerto Rico, and each of the outlying areas. | |||||
| 34:34:2.1.1.1.1.1.36.4 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.5 Assistive technology device. | ED | Assistive technology device means any item, piece of equipment, or product system, whether acquired commercially off the shelf, modified, or customized, that is used to increase, maintain, or improve the functional capabilities of a child with a disability. The term does not include a medical device that is surgically implanted, or the replacement of such device. | |||||
| 34:34:2.1.1.1.1.1.36.40 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.41 State educational agency. | ED | State educational agency or SEA means the State board of education or other agency or officer primarily responsible for the State supervision of public elementary schools and secondary schools, or, if there is no such officer or agency, an officer or agency designated by the Governor or by State law. | |||||
| 34:34:2.1.1.1.1.1.36.41 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.42 Supplementary aids and services. | ED | Supplementary aids and services means aids, services, and other supports that are provided in regular education classes, other education-related settings, and in extracurricular and nonacademic settings, to enable children with disabilities to be educated with nondisabled children to the maximum extent appropriate in accordance with §§ 300.114 through 300.116. | |||||
| 34:34:2.1.1.1.1.1.36.42 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.43 Transition services. | ED | (a) Transition services means a coordinated set of activities for a child with a disability that— (1) Is designed to be within a results-oriented process, that is focused on improving the academic and functional achievement of the child with a disability to facilitate the child's movement from school to post-school activities, including postsecondary education, vocational education, integrated employment (including supported employment), continuing and adult education, adult services, independent living, or community participation; (2) Is based on the individual child's needs, taking into account the child's strengths, preferences, and interests; and includes— (i) Instruction; (ii) Related services; (iii) Community experiences; (iv) The development of employment and other post-school adult living objectives; and (v) If appropriate, acquisition of daily living skills and provision of a functional vocational evaluation. (b) Transition services for children with disabilities may be special education, if provided as specially designed instruction, or a related service, if required to assist a child with a disability to benefit from special education. | |||||
| 34:34:2.1.1.1.1.1.36.43 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.44 Universal design. | ED | Universal design has the meaning given the term in section 3 of the Assistive Technology Act of 1998, as amended, 29 U.S.C. 3002. | |||||
| 34:34:2.1.1.1.1.1.36.44 | 34 | Education | III | 300 | PART 300—ASSISTANCE TO STATES FOR THE EDUCATION OF CHILDREN WITH DISABILITIES | A | Subpart A—General | § 300.45 Ward of the State. | ED | (a) General. Subject to paragraph (b) of this section, ward of the State means a child who, as determined by the State where the child resides, is— (1) A foster child; (2) A ward of the State; or (3) In the custody of a public child welfare agency. (b) Exception. Ward of the State does not include a foster child who has a foster parent who meets the definition of a parent in § 300.30. |
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title_number INTEGER,
title_name TEXT,
chapter TEXT,
subchapter TEXT,
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