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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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| 14:14:4.0.2.7.3.0.24.1 | 14 | Aeronautics and Space | III | A | 402 | PART 402—GENERAL REQUIREMENTS | § 402.1 Applicability and definitions. | FAA | (a) This part applies to any person subject to the requirements in subchapter C of this chapter. (b) For purposes of this part, “document in any format” includes documents (electronic or physical), and also other tangible items, such as data plates or marked parts. | ||||||
| 14:14:4.0.2.7.3.0.24.2 | 14 | Aeronautics and Space | III | A | 402 | PART 402—GENERAL REQUIREMENTS | § 402.3 Falsification, reproduction, alteration, or omission. | FAA | (a) No person may make or cause to be made any fraudulent or intentionally false statement in: (1) Any document in any format, submitted under any provision referenced in § 402.1 of this part, consisting of or related to any acceptance, application, approval, authorization, permit, license, waiver, record, report, or similar; or (2) Any document in any format that is kept, made, or used to show compliance with any requirement under the provisions referenced in § 402.1. (b) No person may make or cause to be made any production, reproduction, or alteration, for fraudulent purpose, of: (1) Any document in any format, submitted or granted under any provision referenced in § 402.1, consisting of or related to any acceptance, application, approval, authorization, permit, license, waiver, record, report, or similar; or (2) Any document in any format that is kept, made, or used to show compliance with any requirement under the provisions referenced in § 402.1. (c) No person may knowingly omit or cause to be omitted a material fact in: (1) Any document in any format, submitted under any provision referenced in § 402.1, consisting of or related to any acceptance, application, approval, authorization, permit, license, waiver, record, report, or similar; or (2) Any document in any format that is kept, made, or used to show compliance with any requirement under the provisions referenced in § 402.1. (d) The commission by any person of an act prohibited under paragraphs (a) through (c) of this section is a basis for: (1) Denying, suspending, modifying, revoking, rescinding, removing, or withdrawing any acceptance, application, approval, authorization, permit, license, waiver, or similar, issued or granted by the Administrator and held by that person; or (2) A civil penalty. | ||||||
| 14:14:4.0.2.7.3.0.24.3 | 14 | Aeronautics and Space | III | A | 402 | PART 402—GENERAL REQUIREMENTS | § 402.5 Incorrect statement or omission. | FAA | (a) The following may serve as a basis for suspending, modifying, revoking, rescinding, removing, withdrawing, or denying an acceptance, application, approval, authorization, permit, license, waiver, or similar, issued or granted by the Administrator: (1) An incorrect statement or omission of fact, by any person, in or from any document in any format, submitted under any provision referenced in § 402.1, that was material to the issuance, validity, or granting of that acceptance, application, approval, authorization, permit, license, waiver, or similar; or (2) An incorrect statement or omission of a material fact by any person, in or from any document in any format that is kept, made, or used to show compliance with any requirement under the provisions referenced in § 402.1, that was material to the issuance, validity, or granting of that acceptance, application, approval, authorization, permit, license, waiver, or similar. (b) [Reserved] | ||||||
| 17:17:5.0.2.1.3.0.43.1 | 17 | Commodity and Securities Exchanges | IV | A | 402 | PART 402—FINANCIAL RESPONSIBILITY | § 402.1 Application of part to registered brokers and dealers and financial institutions; special rules for futures commission merchants and government securities interdealer brokers; effective date. | SEC | [52 FR 27931, July 24, 1987, as amended at 60 FR 11024, Mar. 1, 1995; 71 FR 54411, Sept. 15, 2006; 79 FR 38455, July 8, 2014] | (a) Application of part. This part applies to all government securities brokers and dealers, except as otherwise provided herein. (b) Registered brokers or dealers. This part does not apply to a registered broker or dealer (including an OTC derivatives dealer) that is subject to § 240.15c3-1 of this title (SEC Rule 15c3-1). (c) Financial institutions. This part does not apply to a government securities broker or dealer that is a financial institution and that is: (1) Subject to the rules and regulations of its appropriate regulatory agency concerning capital requirements, or (2) A branch or agency of a foreign bank subject to regulation, supervision, and examination by state or Federal authorities having regulatory or supervisory authority over commercial bank and trust companies. (d) Futures commission merchants. A futures commission merchant subject to § 1.17 of this title that is a government securities broker or dealer but is not a registered broker or dealer shall not be subject to the limitations of § 402.2 but rather to the capital requirement of § 1.17 or § 240.15c3-1, except paragraph (e)(3) thereof, of this title, whichever is greater. (e) Government securities interdealer broker. (1) A government securities interdealer broker, as defined in paragraph (e)(2) of this section, may, with the prior written consent of the Secretary, elect not to be subject to the limitations of § 402.2 but rather to be subject to the requirements of § 240.15c3-1 of this title (SEC Rule 15c3-1), except paragraphs (c)(2)(ix) and (e)(3) thereof, and paragraphs (e)(3) through (8) of this section by filing such election in writing with its designated examining authority. A government securities interdealer broker may not revoke such election without the written consent of its designated examining authority. (2)(i) Government securities interdealer broker means an entity engaged exclusively in business as a broker that effects, on an initially fully disclosed or identified group basis, transactions in government… | |||||
| 17:17:5.0.2.1.3.0.43.2 | 17 | Commodity and Securities Exchanges | IV | A | 402 | PART 402—FINANCIAL RESPONSIBILITY | § 402.2 Capital requirements for registered government securities brokers and dealers. | SEC | [52 FR 27931, July 24, 1987, as amended at 53 FR 28984, Aug. 1, 1988; 60 FR 11024, Mar. 1, 1995; 79 FR 38455, July 8, 2014] | (a) General rule. No government securities broker or dealer shall permit its liquid capital to be below an amount equal to 120 percent of total haircuts as defined in paragraph (g) of this section. (b)(1) Minimum liquid capital for brokers or dealers that carry customer accounts. Notwithstanding the provisions of paragraph (a) of this section, a government securities broker or dealer that carries customer or broker or dealer accounts and receives or holds funds or securities for those persons within the meaning of § 240.15c3-1(a)(2)(i) of this title, shall have and maintain liquid capital in an amount not less than $250,000, after deducting total haircuts as defined in paragraph (g) of this section. (2) Minimum liquid capital for brokers or dealers that carry customer accounts, but do not generally hold customer funds or securities. Notwithstanding the provisions of paragraphs (a) and (b)(1) of this section, a government securities broker or dealer that carries customer or broker or dealer accounts and is exempt from the provisions of § 240.15c3-3 of this title, as made applicable to government securities brokers and dealers by § 403.4 of this part, pursuant to paragraph (k)(2)(i) thereof (17 CFR 240.15c3-3(k)(2)(i)), shall have and maintain liquid capital in an amount not less than $100,000, after deducting total haircuts as defined in paragraph (g) of this section. (c)(1) Minimum liquid capital for introducing brokers that receive securities. Notwithstanding the provisions of paragraphs (a) and (b) of this section, a government securities broker or dealer that introduces on a fully disclosed basis transactions and accounts of customers to another registered or noticed government securities broker or dealer but does not receive, directly or indirectly, funds from or for, or owe funds to, customers, and does not carry the accounts of, or for, customers shall have and maintain liquid capital in an amount not less than $50,000, after deducting total haircuts as defined in paragraph (g) of this section. A… | |||||
| 17:17:5.0.2.1.3.0.43.3 | 17 | Commodity and Securities Exchanges | IV | A | 402 | PART 402—FINANCIAL RESPONSIBILITY | § 402.2a Appendix A—Calculation of market risk haircut for purposes of § 402.2(g)(2). | SEC | [52 FR 27931, July 24, 1987, as amended at 53 FR 28985, Aug. 1, 1988; 71 FR 54411, Sept. 15, 2006; 79 FR 38455, July 8, 2014] | The market risk haircut is the sum of the Treasury market risk haircut and the other securities haircut, calculated as follows. (a) Treasury market risk haircut. The “Treasury market risk haircut” equals the sum of the total governments offset portion haircut, the total futures and options offset haircut, the total hedging disallowance haircut, and the residual net position haircut, calculated with respect to financings and positions in Treasury market risk instruments, except to the extent that a permissible election is made pursuant to paragraph (b)(1) of this section to include qualified positions in the calculation of the other securities haircut. (1) Total governments offset portion haircut. The “total governments offset portion haircut” equals the sum of the governments offset portion haircuts calculated for each category in § 402.2(f)(1). The “governments offset portion haircuts” equal, for each category in § 402.2(f)(1), the product of the offset haircut factor for that category set out in § 402.2(f)(2) and the smaller of the absolute values of the gross long immediate position or gross short immediate position for that category. Schedules B and C in paragraph (c) of this section can be used to make this calculation. (i)(A) The “gross long immediate position” for purposes of this part equals, for each category except categories MB and AR in § 402.2(f)(1), the sum of the market values of each long immediate position in Treasury market risk instruments with a term to maturity (or, in the case of a floating rate note, the time to the next scheduled interest rate adjustment or the term to maturity, whichever is less) corresponding to such category, the contract values of each reverse repurchase agreement with a term to maturity or time to the next scheduled interest rate adjustment, whichever is less, corresponding to that category, and the values of the cash collateral of each security borrowing with a term to maturity or time to next scheduled interest rate adjustment, whichever is less, correspondin… | |||||
| 17:17:5.0.2.1.3.0.43.4 | 17 | Commodity and Securities Exchanges | IV | A | 402 | PART 402—FINANCIAL RESPONSIBILITY | § 402.2b [Reserved] | SEC | |||||||
| 17:17:5.0.2.1.3.0.43.5 | 17 | Commodity and Securities Exchanges | IV | A | 402 | PART 402—FINANCIAL RESPONSIBILITY | § 402.2c Appendix C—Consolidated computations of liquid capital and total haircuts for certain subsidiaries and affiliates. | SEC | (a) Consolidation. (1) A government securities broker or dealer (the “parent broker or dealer”), in computing its liquid capital and total haircuts pursuant to § 402.2: (i) Shall consolidate in a single computation of liquid capital the assets and liabilities of any subsidiary or affiliate for which the parent broker or dealer guarantees, endorses, or assumes directly or indirectly the obligations or liabilities if the parent broker or dealer has obtained the opinion of counsel described in paragraph (b) of this section with respect to such subsidiary or affiliate; (ii) May not consolidate in a single computation of liquid capital the assets and liabilities of any subsidiary or affiliate for which the parent broker or dealer guarantees, endorses, or assumes directly or indirectly the obligations or liabilities if the parent broker or dealer has not obtained the opinion of counsel described in paragraph (b) of this section with respect to such subsidiary or affiliate, but in that event, the parent broker or dealer shall compute its total haircuts by adding the total haircuts of each such subsidiary or affiliate computed in accordance with the provisions of § 402.2 to the haircuts of the parent broker or dealer computed separately in accordance with the provisions of § 402.2; and (iii) May consolidate in its computation of liquid capital the assets and liabilities of any majority owned and controlled subsidiary or affiliate for which the parent broker or dealer does not guarantee, endorse or assume directly or indirectly the obligations or liabilities if the parent broker or dealer has obtained the opinion of counsel described in paragraph (b) of this section with respect to such subsidiary or affiliate. (2) With respect to any subsidiary or affiliate whose assets and liabilities are consolidated in the parent broker's or dealer's computation of liquid capital according to the provisions of paragraph (a)(1)(i) or (a)(1)(iii) of this section, the parent broker or dealer shall compute its haircuts in accordance… | ||||||
| 17:17:5.0.2.1.3.0.43.6 | 17 | Commodity and Securities Exchanges | IV | A | 402 | PART 402—FINANCIAL RESPONSIBILITY | § 402.2d Appendix D—Modification of § 240.15c3-1d of this title, relating to satisfactory subordination agreements, for purposes of § 402.2. | SEC | [52 FR 27931, July 24, 1987, as amended at 59 FR 53731, Oct. 26, 1994] | Section 240.15c3-1d of this title shall apply to government securities brokers and dealers subject to the requirements of § 402.2 with the following modifications. (a) References to “broker or dealer” include government securities brokers and dealers. (b) References to “17 CFR 240.15c3-1” mean § 402.2. (c) Section 240.15c3-1d(a)(2)(iii) is modified to read as follows: “(iii) The term “Collateral Value” of any securities pledged to secure a secured demand note shall mean the market value of such securities after giving effect to the haircuts specified in § 402.2a of this title.” (d) References to “17 CFR 240.15c3-1d” mean that section as modified by this section. (e) Section 240.15c3-1d(b)(6)(iii) is modified to read as follows: “(iii) The secured demand note agreement may also provide that, in lieu of the procedures specified in the provisions required by paragraph (b)(6)(ii) of this section, the lender, with the prior written consent of the government securities broker or dealer and the Examining Authority for such broker or dealer, may reduce the unpaid principal amount of the secured demand note. After giving effect to such reduction, the liquid capital, as defined in § 402.2(d) of this title, of the government securities broker or dealer may not be less than 150% of the government securities broker's or dealer's total haircuts, as defined in § 402.2(g) of this title. No single secured demand note shall be permitted to be reduced by more than 15% of its original principal amount and after such reduction no excess collateral may be withdrawn. No Examining Authority shall consent to a reduction of the principal amount of a secured demand note if, after giving effect to such reduction, liquid capital after deducting total haircuts would be less than 120% of the minimum dollar amount required by § 402.2(b) or § 402.2(c) of this title as applicable.” (f) Section 240.15c3-1d(b)(7) is modified to read as follows: “(7) A government securities broker or dealer at its option but not at the option of the lender … | |||||
| 20:20:2.0.1.1.3.0.1.1 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.05 Scope and purpose of this part. | SSA | (a) The purpose of this part is to describe the Social Security Administration's (SSA) policies and procedures for implementing the requirements of the Freedom of Information Act (FOIA) 5 U.S.C. 552. The FOIA mandates disclosure to the public of Federal agency records unless specific exemptions apply. The FOIA also requires an agency to proactively disclose records and make certain records available for public inspection. (b) The rules in this part describe how SSA makes records available to the public, including: (1) What constitutes a proper request for records; (2) How to make a FOIA request; (3) Who has the authority to release and withhold records; (4) What fees may be charged to process a request for records; (5) The timing of determinations regarding release; (6) The exemptions that permit the withholding of records; (7) Requesters' right to seek assistance from the FOIA Public Liaison; (8) Requesters' right to appeal the agency's FOIA determination; (9) Requesters' right to seek assistance from the Office of Government Information Services and then go to court if they still disagree with our release determination; and (10) The records available for public inspection. (c) The rules in this part do not revoke, modify, or supersede SSA's regulations relating to disclosure of information in part 401 or 403 of this chapter. | |||||||
| 20:20:2.0.1.1.3.0.1.10 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.50 FOIA Officer's authority. | SSA | (a) Release determination. Only the Deputy Executive Director for OPD or their designee is authorized to make determinations about: (1) Release or withholding of records; (2) Expedited processing; (3) Charging or waiver of fees; and (4) Other matters relating to processing a request for records under this part. (b) Determination provided in writing. The FOIA Officer's determination is provided in writing to the requester via emailed communication or, in the absence of the requester's email address, via U.S. postal mail. If the requester disagrees with the FOIA Officer's determination in response to items identified in paragraph (a) of this section, the requester may appeal the determination to the Executive Director for OPD, as described in § 402.105. | |||||||
| 20:20:2.0.1.1.3.0.1.11 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.55 Referrals and consultations. | SSA | (a) Consultation and referral. When reviewing records located by SSA in response to a request, SSA will determine whether another agency of the Federal Government is better able to determine whether the record is exempt from disclosure under the FOIA. As to any such record, SSA will proceed in one of the following ways: (1) Referral of FOIA records in whole or in part to an outside agency. We will notify the requester in writing when we opt to refer records in whole or in part to another agency for direct response from that agency, including the name(s) or the agency(s) to which the record was referred and that agency's FOIA contact information, unless notification would cause harm to an interest protected under the FOIA. In such instances, in order to avoid harm to an interest protected by an applicable exemption, we coordinate to seek the view of the originating agency. (2) Agency consultation. If a request is for records that were created by, or provided to us by, another agency that is not subject to the FOIA, we may consult with that agency, as described in paragraph (b) of this section. (b) Consultation with another agency or entity. If a request is for records that originated with SSA but contain information of interest to another agency or entity, we may consult with the other agency or entity prior to issuing our release determination to the requester. | |||||||
| 20:20:2.0.1.1.3.0.1.12 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.60 How does SSA process FOIA requests? | SSA | (a) Acknowledgement. (1) If we receive a FOIA request that will take longer than 10 working days to process, we will provide an acknowledgment. The acknowledgement email or letter restates the FOIA request and provides the requester with the request's tracking number. (2) If we require clarification to process the FOIA request, we will contact the requester either via email, U.S. postal mail, or phone call. We attempt to contact requesters twice. If we do not receive a response to our clarification attempts within 30 calendar days from the date of our first contact to the requester, we will close the FOIA request due to insufficient information. (b) Perfected requests. FOIA requests are considered “perfected,” i.e., the 20-working day statutory time begins, when the request meets the requirements of the proper FOIA request listed in § 402.30. There may be times that we require more information from the requester after perfecting a request. The 20-working day period may be extended in unusual circumstances by written notice to the requester. See paragraph (d) of this section. (c) Multi-tracking procedures. FOIA requests are categorized simple, complex, or expedited. Unless granted expedited processing, we process FOIA requests in each track according to a first-in, first-out basis. (1) Simple. For most non-expedited requests, we make a determination about release of the record(s) requested within 20-working days. (2) Complex. We will place into a complex processing queue any request that cannot be completed within 20-working days due to the complex nature of the request, including consultation with components that may maintain records subject to the request. We make good faith efforts to notify requesters in writing if it is necessary for us to take additional time to process a request and of the requester's right to seek dispute resolution services with the Office of Government Information Services. See § 402.100. (3) Expedited processing. Unless granted expedited processing, we process FOIA r… | |||||||
| 20:20:2.0.1.1.3.0.1.13 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.65 Expedited processing. | SSA | (a) Expedited processing must be requested at the same time as the FOIA request. We provide expedited processing when the requester can demonstrate a “compelling need” for the requested information: (1) When there is an imminent threat to the life or safety of a person; (2) When the requester is primarily engaged in disseminating information, and shows an urgency to inform the public about actual or alleged government activities; or (3) When the requester can show, in detail and to our satisfaction, that a prompt response is needed because the requester may be denied a legal right, benefit, or remedy without the requested information, and that it cannot be obtained elsewhere in a reasonable amount of time. (b) A requester who seeks expedited processing must submit a statement, certified to be true and correct, explaining in detail the basis for making the request for expedited processing. We will notify the requester within 10 calendar days of receipt of the request for expedited processing of our decision to grant or deny expedited processing. Only the FOIA Officer may make the decision to grant or deny expedited processing. Requests granted expedited processing will be given priority and processed as soon as practicable. Requests that do not meet the “compelling need” criteria, will be processed normally. If we do not grant the request for expedited processing, the requester may appeal the denial to the Executive Director for OPD. In the appeal letter, the requester should explain why they believe their request demonstrates a “compelling need,” such as describing how the request meets the criteria in paragraphs (a)(1) through (3) of this section. The process described in § 402.105 will also apply to these appeals. | |||||||
| 20:20:2.0.1.1.3.0.1.14 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.70 Fees associated with processing FOIA requests. | SSA | (a) Charging authorities —(1) Section 1106(c). Section 1106(c) of the Social Security Act (42 U.S.C. 1306(c)) allows the agency to charge for FOIA requests that are not directly related to SSA's administration of the Social Security Act. See § 402.80 for information on the agency's authorization under section 1106(c) to charge requesters. Requesters may request a fee waiver, as described in § 402.85. (2) FOIA fee categories. The FOIA establishes three fee categories of requesters, i.e., commercial use, non-commercial scientific or educational institutions and representatives of the news media; and other requesters. The category of the requester determines the fees that may be charged; see § 402.75 for the FOIA fee schedule. Requesters may request a fee waiver, as described in § 402.85. (b) Hourly rate when charging under section 1106(c) and the FOIA fee categories. (1) When we search for and review records, we charge an hourly rate, based in 15-minute increments, depending on the grade(s) of the employee(s) and/or contractors performing the search and review. The hourly rate is the same when charging under the FOIA fee provisions or section 1106(c) of the Social Security Act. SSA uses the current General Schedule (GS) salary table for the locality pay area of Washington-Baltimore-Arlington, DC-MD-VA-WV-PA. We use the following criteria to compute our hourly rates for search or review: (i) When performed by employees at grade GS-1 through GS-8, SSA will charge an hourly rate based on the salary of a GS-5, step 7, employee; (ii) When performed by a GS-9 through GS-14, SSA will charge an hourly rate based on the salary of a GS-12, step 4, employee; and (iii) When performed by a GS-15 or above, SSA will charge an hourly rate based on the salary of a GS-15, step 7, employee. (2) When work is performed by a contractor, we will charge an hourly rate based on the GS equivalent of the contractor's hourly pay rate. We compute the hourly rate by taking the current hourly rate for the specified grade and addin… | |||||||
| 20:20:2.0.1.1.3.0.1.15 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.75 FOIA fee schedule. | SSA | (a) Fee schedule category. Requesters whom SSA charges under the FOIA fee schedule are subject to the following fees dependent upon their fee category: (1) Commercial. Commercial use requesters are charged for search, review, and duplication. (2) Non-commercial educational or scientific institutions and representative of the news media. Requesters that fit this category are charged for the duplication of documents. We will not charge requesters the copying costs for the first 100 pages of duplication. (3) Other. If the FOIA request does not fall within a category described in paragraph (a)(1) or (2) of this section, we will charge for search and duplication; however, we will not charge for the first two hours of search time or for the duplication costs of the first 100 pages. (b) Certification. If a requester asks for certification of the record(s) responsive to their FOIA request and OPD agrees to provide it, we will notify the requester of the appropriate certification fee via written correspondence. (c) Record(s) production and duplication —(1) Electronic records. We will charge the actual costs for producing and duplicating the record and the time spent by the employees or contractors in production, duplication, or otherwise processing the FOIA request, at the rates given in § 402.70(c). (2) Photocopying standard size pages. For noncommercial requesters, we will charge $0.10 per page after the first 100 pages, which are free. The FOIA Officer may charge lower fees for particular documents where: (i) The document has already been printed in large numbers; (ii) The program office determines that using existing stock to answer this request, and any other anticipated FOIA requests, will not interfere with program requirements; and (iii) The FOIA Officer determines that the lower fee is adequate to recover the prorated share of the original printing costs. (3) Photocopying odd-size documents. For photocopying documents, such as punch cards or blueprints, or duplicating other records, suc… | |||||||
| 20:20:2.0.1.1.3.0.1.16 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.80 Charging under section 1106(c) of the Social Security Act. | SSA | Section 1106(c) of the Social Security Act permits the agency to charge the full cost to process requests for information for purposes not directly related to the administration of program(s) under the Social Security Act. This may be done notwithstanding the fee provisions in FOIA, the Privacy Act, or any other provision of law. In responding to FOIA requests for non-program purposes, we will charge the full cost (both direct and indirect costs) of our services, regardless of the requester's fee categorization, unless the cost of the service is less than the cost of issuing a bill as stated in paragraph (b) of this section. (a) Full costs. The agency may charge full costs for processing records or information requests, including but not limited to: (1) Search. We may charge for search time even if we are unable to locate any responsive records or the records are exempt from disclosure. We will notify the requester in writing if the records estimated as responsive are determined unreasonably burdensome for the agency to process and/or the search would cause significant interference with the operation of SSA's automated information systems. (2) Review. Review includes the reviews performed at any level (staff through executive), including but not limited to review by multiple people and offices. (3) Production and duplication of record(s). We may charge the full cost of the systems' processing ( e.g., computer search time, computer processing database retrieval), materials used to produce and duplicate the requested record(s), and time spent by agency employee(s) and/or contractor(s) in production, duplication, or otherwise processing the FOIA request. (4) Certification. We will charge the full costs for certification. (5) Employee's time. The full cost of an employee's time includes fringe benefits and overhead costs, such as rent and utilities. (6) Forwarding/delivering materials. If special arrangements for forwarding material are requested, we will charge the requester the full cost of th… | |||||||
| 20:20:2.0.1.1.3.0.1.17 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.85 Waiver of fees in the public interest. | SSA | A requester may request waiver or reduction of fees, whether charged under § 402.75 or § 402.80, if the release of the requested records is in the public interest. We will waive or reduce the fees we would otherwise charge if disclosure of the requested information: (a) Is in the public interest because it is likely to contribute significantly to public understanding of the operations or activities of the government; and (b) Is not primarily in the commercial interest of the requester. (1) Procedure for requesting a waiver or reduction. A requester must make the request for a fee waiver or reduction in writing at the same time they make their request for records. The requester should explain with reasonable specificity why they believe a waiver or reduction is proper under the analysis in paragraphs (b)(2) and (3) of this section. Only the FOIA Officer may make the decision whether to waive, or reduce, the fees. If we do not completely grant the request for a waiver or reduction, the requester may appeal the denial to the Executive Director for OPD. In the appeal letter, the requester should explain why they believe the request meets the requirements in paragraphs (b)(2) and (3) of this section. The process prescribed in § 402.105 will also apply to these appeals. (2) Public interest. We consider the factors below when analyzing whether disclosure is in the public interest: (i) How the records pertain to the Federal Government's operations or activities; (ii) Whether disclosure would reveal any meaningful information about Government operations or activities not already known to the public; and (iii) Whether the contribution to public understanding of those operations or activities would be significant. (iv) Regarding the above criteria, you must be reasonably specific in your waiver request as to the specific Government operation or activity and provide direct, clear (not remote or attenuated) connections to the meaningful information you seek. Generalized interest in government programs is not reaso… | |||||||
| 20:20:2.0.1.1.3.0.1.18 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.90 Notification of fees and prepayment requirements. | SSA | Requesters must agree to pay the fee, whether charged under § 402.75 or § 402.80, before we will begin the search for record(s). (a) Cost estimate. OPD will issue a fee notice to the requester for the processing of their request for records that includes an estimated fee based on the time we estimate it will take to process the record(s) requested. We issue fee notices via email or, when the requester does not provide an email address, via U.S. postal mail. (b) Advanced payment information required. The requester must agree to pay the estimated fee provided within the fee notice and provide the agency with payment information within 30 calendar days from the date of our fee notice. Payment information is required before OPD will begin the search for the requested record(s). Unless otherwise specified in the schedule of standard administrative fees the agency charges for specified non-program information requests, OPD will process payment when the request is closed, i.e., when the FOIA Officer issues a decision on records release. If the payment information provided by the requester expires during the course of OPD's processing of the FOIA request, the requester must provide updated payment information. If updated payment information is not provided within 30 calendar days of our written request for the payment information, we reserve the right to administratively close the request. (c) Changes in estimated fee. (1) If the time spent to search for records is more or less than the time estimated in the fee notice, OPD will issue the requester a revised fee notice after the responsive component(s) performs the records search and retrieval. (2) If the record(s) provided to OPD for review are more or less than those from which OPD estimated search and review time, OPD will issue the requester a revised fee notice after the responsive component(s) perform the records search and retrieval. (3) OPD will either dispose of the payment information or return the payment information to the requester when OPD issu… | |||||||
| 20:20:2.0.1.1.3.0.1.19 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.95 Release of records. | SSA | (a) Records previously released. If we have released a record, or a part of a record, to others in the past, we will ordinarily release it to the requester, as well. However, we will not release it to a requester if a statute forbids this disclosure; an exemption applies that was not previously applicable; or if the previous release was unauthorized. (b) Withholding records. Section 552(b) of the FOIA explains the nine exemptions under which we may withhold records requested under the FOIA. Within §§ 402.115 through 402.150, we describe the FOIA exemptions and explain how we apply them to disclosure determinations. In some cases, more than one exemption may apply to the same document. Section 552(b) of the FOIA, while providing nine exemptions from mandatory disclosure, does not itself provide any assurance of confidentiality by the agency. (c) FOIA library. If the record(s) requested are already publicly available, either in our electronic FOIA library or elsewhere online, such as at www.ssa.gov, we will direct the requester to the publicly available record(s). (d) Poor copy. If we cannot make a legible copy of a record to be released, we do not attempt to reconstruct it. Instead, we furnish the best copy possible and note its poor quality in our reply. | |||||||
| 20:20:2.0.1.1.3.0.1.2 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.10 Definitions. | SSA | As used in this part: Agency means the Social Security Administration (SSA). Agency may also refer to any executive department, military department, government corporation, government-controlled corporation, or other establishment in the executive branch of the Federal Government, or any independent regulatory agency. A private organization is not an agency even if it is performing work under contract with the Government or is receiving Federal financial assistance. Chief FOIA Officer means a senior official of SSA who has an agency-wide responsibility for ensuring efficient and appropriate compliance with the FOIA, monitoring implementation of the FOIA throughout the agency, and making recommendations to the head of the agency to improve the agency's implementation of the FOIA. The Commissioner of SSA designated the General Counsel as the Chief FOIA Officer for SSA. The Chief FOIA Officer or the Chief FOIA Officer's designee is authorized to make final decisions in response to appeals of the FOIA Officer's determinations. Commercial interest includes interests relating to business, trade, and profit. These interests could be present regardless of the identity of the requester ( e.g., individual, non-profit corporation, for-profit corporation). The interest of a representative of the news media in using the information for news dissemination purposes will not be considered a commercial interest. Commercial use request is a request that asks for information for a use or a purpose that furthers a commercial, trade, or profit interest, which can include furthering those interests through litigation. An agency's decision to place a requester in the commercial use category will be made on a case-by-case basis based on the requester's intended use of the information. Agencies will notify requesters of their placement in this category. Component means each separate office, division, commission, service, center, or administration within SSA that may maintain agency records subject to a request under the FOIA. … | |||||||
| 20:20:2.0.1.1.3.0.1.20 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.100 FOIA Public Liaison and the Office of Government Information Services. | SSA | We notify requesters of their right to seek dispute resolution from the FOIA Public Liaison or the Office of Government Information Services (OGIS) within our fee notices, responses to determinations identified in § 402.50(a), and responses to appeals. (a) FOIA Public Liaison. If requesters have questions about the response to their request or wish to seek dispute resolutions services within SSA, the requester may contact the FOIA Public Liaison via email to FOIA.Public.Liaison@ssa.gov. (b) OGIS. OGIS is an entity outside of SSA that offers mediation services to resolve disputes between FOIA requesters and Federal agencies as a non-exclusive alternative to litigation. OGIS' contact information will be provided in any decision letter issued by the FOIA Officer and Executive Director for OPD. | |||||||
| 20:20:2.0.1.1.3.0.1.21 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.105 Appeals of the FOIA Officer's determination. | SSA | (a) Appeal requirements. If a requester disagrees with the FOIA Officer's determination in response to items specified in § 402.50(a), the requester may appeal the decision. The appeal must meet the following requirements: (1) Be submitted in writing via the avenues identified in § 402.35(a); (2) Be received, or in the case of electronic submissions, transmitted within 90 calendar days from the date of the determination the requester is appealing; and (3) Explain what the requester is appealing and include additional information to support the appeal. The appeal should clearly identify the agency determination that is being appealed and the assigned request's tracking number. To facilitate handling when submitted via mail or fax, the requester should mark the appeal letter, or subject line of the electronic transmission, “Freedom of Information Act Appeal.” (b) Acknowledgement. If we receive an appeal that will take longer than 10 working days to process, we will provide an acknowledgment. The acknowledgement is provided via email or, when the requester does not provide an email address, via U.S. postal mail. The acknowledgement email or letter restates the FOIA appeal and provides the requester with the appeal's tracking number. (c) Processing timeframe. FOIA appeals are categorized as either simple or complex, based on the designation of the initial request. (1) Simple. Generally, we make a determination about release of the requested record(s) within 20-working days. (2) Complex. Appeals of complex requests cannot be completed within 20-working days. During OPD's processing of the appeal, OPD will need to consult with appropriate SSA component(s), including legal counsel; therefore, we generally require more than 20-working days to issue a final decision on the appeal. (d) Final decision. The Chief FOIA Officer delegated to the Executive Director for OPD the authority to make decisions on appeals of the FOIA Officer's determinations. (1) The final decision is provided in writing to the req… | |||||||
| 20:20:2.0.1.1.3.0.1.22 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.110 U.S. District Court action. | SSA | If the Executive Director for OPD or the Executive Director for OPD's designee, upon review, affirms the denial of the FOIA Officer's determination of items specified in § 402.50(a), requesters may ask a U.S. District Court to review that denial. See 5 U.S.C. 552(a)(4)(B). | |||||||
| 20:20:2.0.1.1.3.0.1.23 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.115 The FOIA Exemption 1: National defense and foreign policy. | SSA | Exemption 1 protects from disclosure information specifically authorized under criteria established by an Executive order to be kept secret in the interest of national defense or foreign policy and are in fact properly classified pursuant to such Executive order. | |||||||
| 20:20:2.0.1.1.3.0.1.24 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.120 The FOIA Exemption 2: Internal personnel rules and practices. | SSA | Exemption 2 authorizes our agency to withhold records that are related solely to the internal personnel rules and practices of an agency. For example, we may withhold personnel rules and practices dealing with employee relations or human resources. | |||||||
| 20:20:2.0.1.1.3.0.1.25 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.125 The FOIA Exemption 3: Records exempted by other statutes. | SSA | (a) Required record release. Exemption 3 authorizes our agency to withhold records if another statute specifically allows or requires us to withhold them. We may use another statute to justify withholding only if it prohibits disclosure or if it sets forth criteria to guide our decision on releasing or identifies particular types of material to be withheld. (b) Examples. (1) We often use this exemption to withhold information regarding a worker's earnings which is tax return information under section 6103 of the Internal Revenue Code. (2) We also use this exemption to withhold death information about decedents: (i) When the date of death is within three calendar years from the current date, the requested information about the decedent is protected under section 203 of the Bipartisan Budget Act of 2013 (Pub. L. 113-67). (ii) When the agency's source of death is the state, the requested information is protected under section 205(r) of the Social Security Act. | |||||||
| 20:20:2.0.1.1.3.0.1.26 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.130 The FOIA Exemption 4: Trade secrets and confidential commercial or financial information. | SSA | Submitters may designate information as trade secrets and confidential commercial or financial information at the time of submission or within a reasonable time thereafter. Submitters must use good faith efforts to designate, by appropriate markings, any portion of its submission that it considers to be protected from disclosure under the FOIA exemptions. These designations expire ten years after the due date of the submission unless the submitter requests a longer designation period. (a) Steps of submitters notice —(1) The submitter's notice. When trade secrets or confidential commercial or financial information is requested under the FOIA, SSA will provide written submitter's notice if we have a reason to believe that information in the records could reasonably be disclosed under the FOIA. The submitter's notice will describe and include a copy of the trade secret or commercial or financial information requested or portions of records containing the information. In cases involving many submitters, SSA may post or publish a submitter's notice in a place or manner reasonably likely to inform the submitters of the proposed disclosure instead of sending individual notifications. The submitter's notice requirements of this section do not apply if: (i) SSA determines the information is fully exempt under the FOIA, and therefore will not be disclosed; (ii) The information has been previously published or made generally available; or (iii) Disclosure of the information is required by statute other than the FOIA. (2) Submitter's opportunity to object to disclosure. (i) Unless SSA grants an extension, the submitter must respond to the notice within five working days of SSA issuing the submitter's notice or the information may be released in accordance with these regulations and the FOIA. A submitter who fails to respond within five working days will be considered to have no objection to the disclosure of the information. SSA is not required to consider any information received after the date of any disclosure d… | |||||||
| 20:20:2.0.1.1.3.0.1.27 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.135 The FOIA Exemption 5: Internal documents. | SSA | This exemption covers inter-agency or intra-agency government documents that fall within an evidentiary privilege recognized in civil discovery. Such internal government communications may include an agency's communications with an outside consultant or other outside person, with a court, or with Congress, when those communications are for a purpose similar to the purpose of privileged intra-agency communications. Some of the most-commonly applicable privileges are described in the following paragraphs: (a) Deliberative process privilege. This privilege protects the decision-making processes of government agencies. Information is protected under this privilege if it is predecisional and deliberative. The purpose of the privilege is to prevent injury to the quality of the agency decision-making process by encouraging open and frank internal discussions, by avoiding premature disclosure of decisions not yet adopted, and by avoiding the public confusion that might result from disclosing reasons that were not in fact the ultimate grounds for an agency's decision. Purely factual material in a deliberative document is within this privilege only if it is inextricably intertwined with the deliberative portions so that it cannot reasonably be segregated, if it would reveal the nature of the deliberative portions, or if its disclosure would in some other way make possible an intrusion into the decision-making process. We will release purely factual material in a deliberative document unless that material is otherwise exempt. The privilege continues to protect predecisional documents even after a decision is made; however, we will release predecisional deliberative communications that were created 25 years or more before the date on which the records are requested. (b) Attorney work product privilege. This privilege protects records prepared by or for an attorney in anticipation of or for litigation. It includes documents prepared for purposes of administrative and court proceedings. This privilege extends to informat… | |||||||
| 20:20:2.0.1.1.3.0.1.28 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.140 The FOIA Exemption 6: Clearly unwarranted invasion of personal privacy. | SSA | We may withhold records about individuals if disclosure would constitute a clearly unwarranted invasion of their personal privacy. (a) Balancing test. When we decide whether to release records that contain personal or private information about someone else, we weigh the foreseeable harm of invading a person's privacy against the public interest in disclosure. When we determine whether disclosure would be in the public interest, we will consider whether disclosure of the requested information would shed light on how a Government agency performs its statutory duties. (b) Agency employees. To protect the safety of agency employees, we will not disclose information when the information sought is contact information and/or duty stations of one or more Federal employees if the disclosure would place employee(s) at risk of injury or other harm. (c) Examples. We generally withhold the personally identifiable information of individuals if we do not have the consent (consistent with § 401.100 of this chapter) of the number holder, including but not limited to the number holder's home address, age, Social Security number, claims file, and other personal information. If the information requested concerns agency employees, we will determine disclosure on a case-by-case basis. For example, our redaction of management officials' information may be treated differently depending on how the balancing test applies in a given circumstance. | |||||||
| 20:20:2.0.1.1.3.0.1.29 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.145 The FOIA Exemption 7: Law enforcement. | SSA | Exemption 7 authorizes our agency to withhold certain records that the government has compiled for law enforcement purposes. The records may apply to actual or potential violations of either criminal or civil laws or regulations. We can withhold these records only to the extent that releasing them would cause harm in at least one of the following situations: (a) Enforcement proceedings. Pursuant to the FOIA Exemption 7(A) (5 U.S.C. 552(b)(7)(a)), we may withhold information whose release could reasonably be expected to interfere with prospective or ongoing law enforcement proceedings. Investigations of fraud and mismanagement, employee misconduct, and civil rights violations may fall into this category. In certain cases—such as when a fraud investigation is likely—we may refuse to confirm or deny the existence of records that relate to the violations in order not to disclose that an investigation is in progress, or may be conducted. (b) Fair trial or impartial adjudication. Under the FOIA Exemption 7(B) (5 U.S.C. 552(b)(7)(b)), we may withhold records whose release would deprive a person of a fair trial or an impartial adjudication because of prejudicial publicity. (c) Personal privacy. Under the FOIA Exemption 7(C) (5 U.S.C. 552(b)(7)(c)), we may withhold the personally identifiable information of individuals when the disclosure could reasonably be expected to constitute an unwarranted invasion of personal privacy. When a name surfaces in an investigation, that person is likely to be vulnerable to innuendo, rumor, harassment, and retaliation. (d) Confidential sources and information. Pursuant to the FOIA Exemption 7(D) (5 U.S.C. 552(b)(7)(d)), we may withhold the identity of confidential sources, as well as the records obtained from the confidential sources in criminal investigations or by an agency conducting a lawful national security investigation. A confidential source may be an individual; a State, local, or foreign government agency; or any private organization. The exemption applies whether th… | |||||||
| 20:20:2.0.1.1.3.0.1.3 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.15 SSA's FOIA policy. | SSA | (a) Presumption of openness. SSA will withhold information only if we reasonably foresee that disclosure would harm an interest protected by a FOIA exemption or if disclosure is prohibited by law. (b) Authority to release and withhold records. As described in § 402.50, the agency's FOIA Officer, or the FOIA Officer's designee, has the authority to: (1) Release or withhold records in response to initial requests; (2) Grant or deny expedited processing; and (3) Reduce or waive fees. (c) Records publicly available. We make available for public inspection in an electronic format records that are final and have been requested and released three or more times and other specified records described in § 402.155. We do not make available for public inspection records that are not static, such as the Open Access Death Master File. (d) Required record production. The FOIA does not require an agency to give opinions, conduct research, answer questions, or create records. | |||||||
| 20:20:2.0.1.1.3.0.1.30 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.150 The FOIA Exemptions 8 and 9: Records on financial institutions; records on wells. | SSA | Exemption 8 permits us to withhold records about regulation or supervision of financial institutions. Exemption 9 permits the withholding of geological and geophysical information and data, including maps, concerning wells. | |||||||
| 20:20:2.0.1.1.3.0.1.31 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.155 Records available for public inspection. | SSA | (a) Under the FOIA, SSA is required to make available for public inspection in an electronic format: (1) Final opinions made in the adjudication of cases; (2) An agency's statements and interpretations of policy that have been adopted but are not published in the Federal Register ; (3) Administrative staff manuals and instructions that affect the public; and (4) Copies of records, regardless of form or format, that an agency determines will likely become the subject of subsequent requests, as well as records that have been requested and released three or more times, unless said materials are published and copies are offered to sale. (b) SSA will not use or cite instructional manuals issued to our employees, general statements of policy, and other materials which are used in processing claims as a precedent for an action against a person unless we have indexed the record and published it or made it available, or unless the person has timely notice of the record. (c) Records that SSA makes available for public inspection in an electronic format may be accessed through www.ssa.gov free of charge. Such records include: (1) Compilation of Social Security Laws and Regulations; (2) SSA regulations under the retirement, survivors, disability, and supplemental security income programs, i.e., 20 CFR parts 401, 402, 404, 416, and 422; (3) Social Security Handbook; (4) Social Security Rulings and Acquiescence Rulings; (5) SSA's Public Programs Operations Manual System; (6) SSA's Organizational Structure; (7) State and Local Coverage Handbook for State Social Security Administrators; and (8) SSA's Public Hearings, Appeals, and Litigation Law Manual. | |||||||
| 20:20:2.0.1.1.3.0.1.32 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.160 Where records are published. | SSA | (a) Methods of publication. Materials we are required to publish pursuant to the provisions of 5 U.S.C. 552(a)(1) and (a)(2), we publish in one of the following ways: (1) By publication in the Federal Register of Social Security Administration regulations, and by their subsequent inclusion in the Code of Federal Regulations; (2) By publication in the Federal Register of appropriate general notices; (3) By other forms of publication, when incorporated by reference in the Code of Federal Regulations with the approval of the Director of the Federal Register; (4) By publication in the “Social Security Rulings” of indexes of precedential social security orders and opinions issued in the adjudication of claims, statements of policy and interpretations that have been adopted but have not been published in the Federal Register ; and (5) By posting in the FOIA library. (b) Publication of rulings. Although not required pursuant to 5 U.S.C. 552(a)(1) and (a)(2), we publish the following rulings in the Federal Register and by other forms of publication: (1) We publish Social Security Rulings in the Federal Register under the authority of the Commissioner of Social Security. They are binding on all components of SSA. These rulings represent precedent final opinions and orders and statements of policy and interpretations that we have adopted. (2) We publish Social Security Acquiescence Rulings in the Federal Register under the authority of the Commissioner of Social Security. They are binding on all components of SSA, except with respect to claims subject to the relitigation procedures established in 20 CFR 404.985(c) and 416.1485(c). For a description of Social Security Acquiescence Rulings, see 20 CFR 404.985(b) and 416.1485(b). | |||||||
| 20:20:2.0.1.1.3.0.1.33 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.165 Publications for sale through the Government Publishing Office. | SSA | The public may purchase publications containing information pertaining to the program, organization, functions, and procedures of SSA from the electronic U.S. Government Bookstore maintained by the Government Publishing Office. The publications for sale include but are not limited to: (a) Title 20, parts 400 through 499, of the Code of Federal Regulations; (b) Federal Register issues; and (c) Compilation of the Social Security Laws. | |||||||
| 20:20:2.0.1.1.3.0.1.4 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.20 Relationship between the FOIA and the Privacy Act of 1974. | SSA | (a) Coverage. The FOIA and the rules in this part apply to all SSA records. The Privacy Act, 5 U.S.C. 552a, applies to records that are about individuals, but only if the records are in a system of records. (b) Requesting your own records. If you have filed a FOIA request and are an individual requesting your own records that are maintained in a system of records, or if you are a parent or legal guardian authorized to act under § 401.75 of this chapter who is seeking the records about a minor or individual who has been declared incompetent, your request may be handled under the Privacy Act. See § 401.40 of this chapter. If we handle your request under the Privacy Act, we will provide you with written notification with further processing instructions. Privacy Act requests are also processed under the FOIA, when appropriate, to give you the benefit of both statutes. You must verify your identity in accordance with our regulations. See § 401.45 of this chapter. | |||||||
| 20:20:2.0.1.1.3.0.1.5 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.25 Who can file a FOIA request? | SSA | Any person may submit a FOIA request to SSA. Under the FOIA, “any person” includes requests from individuals, corporations, State and local agencies, as well as foreign entities. Requests from Federal agencies and Federal or State courts are not covered by the FOIA. | |||||||
| 20:20:2.0.1.1.3.0.1.6 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.30 Requirements of a FOIA request. | SSA | (a) To be considered a FOIA request under this part, the following must occur: (1) The request must be written (either by hand or electronically); (2) The request must be submitted in accordance with § 402.35; (3) The requester must provide the following required contact information: Requester's name, U.S. or foreign postal address, description of records sought, and fee willing to pay. While not required, we encourage requesters to provide us with their email address and phone number; and (4) The request must clearly state and reasonably describe what SSA records are being requested in sufficient detail to enable OPD to locate them with a reasonable amount of effort. Broad, sweeping requests and vague requests are not reasonably described. When known, requests should identify the records sought by providing the name/title of the record, applicable date range, subject matter, offices or employees involved, and record type. If the request is for electronic communications, such as email records, the request may identify the names, position titles, or other identifying information about the agency employees involved, as well as the applicable timeframe. Absent sufficient details, the agency may be unable to search for or locate the records sought. The greater the date range, the longer it may take to process the request and the greater amount of fees that may be charged. (b) Requests that do not meet the required criteria in paragraph (a) of this section are not considered proper FOIA requests. | |||||||
| 20:20:2.0.1.1.3.0.1.7 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.35 Where to submit a FOIA request. | SSA | (a) Submission of requests. Except as specified in paragraph (b) of this section, requesters must submit FOIA requests in writing to OPD through the following options: (1) Online FOIA portal: Link available from the agency's www.ssa.gov/foia website or the National FOIA Portal at www.FOIA.gov. (2) Email: FOIA.Public.Liaison@ssa.gov. (3) Mail: SSA Office of Privacy and Disclosure, ATTN: Freedom of Information Officer, 6401 Security Boulevard, Baltimore, MD 21235. (b) Requests for copies of Deceased Individual's Application for a Social Security Card (SS-5) or Numident record. Requesters may use the Form SSA-711, Request for a Deceased Individual's Social Security Record, to request a copy of a deceased individual's original SS-5 or Numident record. When the Form SSA-711 is used, it may be submitted to the office listed on the form or as directed in paragraph (a) of this section. | |||||||
| 20:20:2.0.1.1.3.0.1.8 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.40 Requests for deceased individual's records. | SSA | (a) The agency will disclose the records concerning a deceased individual when we have acceptable proof of death unless Federal law or regulations prohibits the disclosure. (b) Proof of death includes: (1) A copy of a public record of death of the number holder; (2) A statement of death by the funeral home director; (3) A statement of death by the attending physician or the superintendent, physician, or intern of the institution where the person died; (4) A copy of the coroner's report of death or the verdict of the coroner's jury; (5) An obituary that we determine has sufficient identifying information; or (6) Other certified record of death that we determine within our discretion is acceptable. (c) If upon review of the provided proof of death, we cannot determine that the individual is deceased or we have questions about the authenticity of the proof, then the proof is not acceptable. When we do not have acceptable proof of death, we will treat the request in accordance with § 402.20(b), requests for information about a living person. | |||||||
| 20:20:2.0.1.1.3.0.1.9 | 20 | Employees' Benefits | III | 402 | PART 402—AVAILABILITY OF INFORMATION AND RECORDS TO THE PUBLIC | § 402.45 Requests handled outside of the FOIA process. | SSA | When records outlined in paragraphs (a) through (d) of this section are requested from OPD, OPD will respond to the requester and provide information for requesting the records sought: (a) To the extent a request asks for records that are currently publicly available, either from SSA or from another part of the Federal Government. See § 402.155. (b) If the records sought are distributed by SSA as part of its regular program activity, for example, public information leaflets distributed by SSA. See §§ 402.155 through 402.165. (c) If the records sought are earnings records covered by § 422.125 of this chapter. (d) If a request does not meet the requirements of a FOIA request as defined in § 402.30. We will send written correspondence to the requester: (1) Providing instructions for how to submit a proper FOIA request; or (2) Asking for additional information to make the request a proper FOIA request. | |||||||
| 24:24:2.1.3.5.3.0.221.1 | 24 | Housing and Urban Development | IV | 402 | PART 402—SECTION 8 PROJECT-BASED CONTRACT RENEWAL UNDER SECTION 524 OF MAHRA | § 402.1 What is the purpose of part 402? | HUD | [71 FR 2121, Jan. 12, 2006] | This part sets out the terms and conditions under which HUD will renew project-based assistance contracts under the authority provided in section 524 of MAHRA. | ||||||
| 24:24:2.1.3.5.3.0.221.2 | 24 | Housing and Urban Development | IV | 402 | PART 402—SECTION 8 PROJECT-BASED CONTRACT RENEWAL UNDER SECTION 524 OF MAHRA | § 402.2 Definitions. | HUD | [71 FR 2121, Jan. 12, 2006] | (a) Terms defined in part 401. In this part, the following terms have the meanings given in § 401.2 of this chapter: affiliate, disabled family, elderly family, eligible project, HUD, MAHRA, owner, PAE, Restructuring Plan, and section 8. (b) Terms defined in MAHRA. In this part, the following terms have the meanings given in section 512 of MAHRA: expiration date, fair market rent, renewal, and tenant-based assistance. (c) Other defined terms. In this part, the term— Comparable market rents means rents determined in accordance with section 524(a)(5) of MAHRA and HUD's instructions. Large family means a family of five or more persons. OCAF means an operating cost adjustment factor established by HUD, which may not be negative, that is applied to the existing contract rent (less the portion of that rent paid for debt service). Portfolio Reengineering demonstration authority means the authority specified in section 524(e)(2)(B) of MAHRA. Project-based assistance means the types of assistance listed in section 512(2)(B) of MAHRA, or a project-based assistance contract under the Section 8 program renewed under section 524 of MAHRA. Project eligible for exception rents means a project described in section 524(b) of MAHRA. SRO contract and SRO project mean, respectively, a project-based assistance contract for single-room occupancy dwellings under section 441 of the Stewart B. McKinney Homeless Assistance Act (42 U.S.C. 11401), and a project with units covered by such a contract. | ||||||
| 24:24:2.1.3.5.3.0.221.3 | 24 | Housing and Urban Development | IV | 402 | PART 402—SECTION 8 PROJECT-BASED CONTRACT RENEWAL UNDER SECTION 524 OF MAHRA | § 402.3 Contract provisions. | HUD | [71 FR 2121, Jan. 12, 2006] | The renewal HAP contract shall be construed and administered in accordance with all statutory requirements, and with all HUD regulations and other requirements, including changes in HUD regulations and other requirements during the term of the renewal HAP contract, unless the contract provides otherwise. | ||||||
| 24:24:2.1.3.5.3.0.221.4 | 24 | Housing and Urban Development | IV | 402 | PART 402—SECTION 8 PROJECT-BASED CONTRACT RENEWAL UNDER SECTION 524 OF MAHRA | § 402.4 Contract renewals under section 524(a)(1) of MAHRA. | HUD | [65 FR 15498, Mar. 22, 2000, as amended at 71 FR 2121, Jan. 12, 2006] | (a) Initial renewal. (1) HUD may renew any expiring section 8 project-based assistance contract at initial rents that do not exceed comparable market rents. (2) Procedure for projects eligible for Restructuring Plan. (i) If an owner requests renewal of a contract under this section for a project that is eligible for a Restructuring Plan under the Mark-to-Market program under part 401 and that has not been rejected under that part, HUD or a PAE will determine whether renewal under this section, instead of through a Restructuring Plan under part 401 of this chapter, would be sufficient. Renewal without a Restructuring Plan will be considered sufficient if the rents after renewal would be sufficient to maintain both adequate debt service coverage on the HUD-insured or HUD-held mortgage and necessary replacement reserves to ensure the long-term physical integrity of the project, taking into account any comments received under § 401.502(c) of this chapter. (ii) If HUD or the PAE determines that renewal under this section would be sufficient, HUD will not require a Restructuring Plan. (iii) If HUD or the PAE determines that renewal under this section would not be sufficient, HUD or the PAE may require a Restructuring Plan before the owner's request for contract renewal will be given further consideration. If the owner does not cooperate in the development of an acceptable Restructuring Plan, HUD will pursue whatever administrative actions it considers necessary. (b) [Reserved] | ||||||
| 24:24:2.1.3.5.3.0.221.5 | 24 | Housing and Urban Development | IV | 402 | PART 402—SECTION 8 PROJECT-BASED CONTRACT RENEWAL UNDER SECTION 524 OF MAHRA | § 402.5 Contract renewals under section 524(b) or (e) of MAHRA. | HUD | [71 FR 2122, Jan. 12, 2006] | (a) Renewal of projects eligible for exception rents at owner's request. HUD will offer to renew project-based assistance for a project eligible for exception rents under section 524(b) of MAHRA at rent levels determined under this section instead of § 402.4, except as provided in § 402.7, but the owner of a project other than a project with assistance under the Section 8 moderate rehabilitation program may request renewal under § 402.4. (b) Rent levels for projects eligible for exception rents. HUD will renew the contract with rent levels at the least of: (1) Existing rents adjusted by an OCAF; (2) A budget-based rent determined in accordance with instructions issued by HUD, subject to a determination by HUD that such a rent level is appropriate; or (3) In the case of a contract under the Section 8 moderate rehabilitation program (other than an SRO contract), the lesser of existing rents adjusted by an OCAF, fair market rents (less any amounts for tenant-purchased utilities), or comparable market rents, as provided in section 524(b)(3) of MAHRA. (c) Rent adjustments. (1) After rents have been established under this section, rent adjustments will comply with section 524(c) of MAHRA except as otherwise required by paragraph (d)(1) of this section for preservation projects. (2) Rent adjustments for projects assisted under the Section 8 moderate rehabilitation program, other than projects assisted under the moderate rehabilitation single-room occupancy program, shall be determined in accordance with section 524(b)(3) of MAHRA. (d) Preservation projects and demonstration projects. (1) Notwithstanding any other provision of this part except § 402.7, upon expiration of a section 8 contract for a project subject to an approved plan of action under the Emergency Low-Income Housing Preservation Act of 1987 (ELIHPA) or the Low-Income Housing Preservation and Resident Homeownership Act of 1990 (LIHPRHA), the Secretary will provide benefits that are comparable to those provided under such plan of action. This … | ||||||
| 24:24:2.1.3.5.3.0.221.6 | 24 | Housing and Urban Development | IV | 402 | PART 402—SECTION 8 PROJECT-BASED CONTRACT RENEWAL UNDER SECTION 524 OF MAHRA | § 402.6 What actions must an owner take to request section 8 contract renewal under this part? | HUD | [71 FR 2122, Jan. 12, 2006] | (a) In general. An owner requesting contract renewal under this part must submit to HUD or HUD's designee, at least 120 days before the termination or expiration date of any project-based assistance contract, all documents or information prescribed by HUD. (b) Subsequent renewals. A contract that was initially renewed under MAHRA will be renewed at the owner's request under any renewal option for which the project is eligible. However, in the case of a project that is eligible for a Restructuring Plan under § 401.100, HUD or a PAE will determine whether renewal with a Restructuring Plan under part 401, or without a Restructuring Plan under this part, is necessary. | ||||||
| 24:24:2.1.3.5.3.0.221.7 | 24 | Housing and Urban Development | IV | 402 | PART 402—SECTION 8 PROJECT-BASED CONTRACT RENEWAL UNDER SECTION 524 OF MAHRA | § 402.7 Refusal to consider an owner's request for a Section 8 contract renewal because of actions or omissions of owner or affiliate. | HUD | [71 FR 2122, Jan. 12, 2006, as amended at 72 FR 73496, Dec. 27, 2007] | (a) Determination of eligibility. Notwithstanding 2 CFR part 2424, HUD may elect to not consider a request for renewal of project-based assistance, if at any time before contract renewal: (1) The owner or an affiliate is debarred or suspended under part 2 CFR part 2424; (2) HUD determines that the owner or an affiliate has engaged in material adverse financial or managerial actions or omissions as described in section 516 of MAHRA, including any outstanding violations of civil rights laws, or has failed to certify to compliance with the nondiscrimination requirements of 24 CFR 5.105(a), in connection with any project of the owner or an affiliate; or (3) The project does not meet the physical condition standards in 24 CFR 5.703 of this title, unless HUD determines that the project will meet the standards within a reasonable time after renewal. (b) Dispute and appeal. An owner may dispute a rejection under this section and seek administrative review under the procedures in subpart F of part 401 of this chapter. | ||||||
| 24:24:2.1.3.5.3.0.221.8 | 24 | Housing and Urban Development | IV | 402 | PART 402—SECTION 8 PROJECT-BASED CONTRACT RENEWAL UNDER SECTION 524 OF MAHRA | § 402.8 Tenant protections if a contract is not renewed. | HUD | [71 FR 2122, Jan. 12, 2006] | (a) Notice of termination. An owner who is not eligible for a Restructuring Plan under part 401 of this chapter, or who is eligible but does not request restructuring, and who does not renew a contract, must provide one year's notice to tenants, to HUD, and to the contract administrator as provided in section 8(c)(8)(A) of the United States Housing Act of 1937. (b) If an owner does not give timely notice. If an owner does not give one year's notice of termination as described in paragraph (a) of this section, the owner must permit the tenants in assisted units to remain in their units at a rental rate no higher than the tenant rent payable for the tenants' last month of assisted occupancy under the terminated HAP contract until one year after notice is given, even if HUD does not continue to make housing assistance payments with respect to such units. (c) If an owner opts out or fails to renew. In the case where a contract for Section 8 rental assistance for a project is terminated or expires, an assisted family may elect to remain in the project and, if eligible, receive tenant-based Section 8 assistance under Section 8(t) of the United States Housing Act of 1937. | ||||||
| 24:24:2.1.3.5.3.0.221.9 | 24 | Housing and Urban Development | IV | 402 | PART 402—SECTION 8 PROJECT-BASED CONTRACT RENEWAL UNDER SECTION 524 OF MAHRA | § 402.9 Waivers and delegations of waiver authority. | HUD | [71 FR 2123, Jan. 12, 2006] | All waivers of provisions of this part, and delegations of the authority to waive provisions of this part, are governed by § 5.110 of this title. | ||||||
| 29:29:2.1.4.1.3.0.1.1 | 29 | Labor | IV | A | 402 | PART 402—LABOR ORGANIZATION INFORMATION REPORTS | § 402.1 Labor organization constitution and bylaws. | OFCCP | [28 FR 14381, Dec. 27, 1963, as amended at 40 FR 58856, Dec. 19, 1975] | Every labor organization shall adopt a constitution and bylaws consistent with the provisions of the Act applicable thereto, within 90 days after the date the labor organization first becomes subject to the Act. This shall not, however, require the formal readoption by a labor organization of such a constitution and bylaws which it has previously adopted and under which it is operating when the report prescribed by § 402.2 is filed. As used in this part constitution and bylaws means the basic written rules governing the organization. | |||||
| 29:29:2.1.4.1.3.0.1.10 | 29 | Labor | IV | A | 402 | PART 402—LABOR ORGANIZATION INFORMATION REPORTS | § 402.10 Dissemination and verification of reports. | OFCCP | [28 FR 14381, Dec. 27, 1963, as amended at 50 FR 31309, Aug. 1, 1985] | Every labor organization required to submit a report under section 201(a) of the Act and under this part shall make available to all its members the information required to be contained in such report, including the copy of the constitution and bylaws required to be filed therewith, and every such labor organization and its officers shall be under a duty to permit such member for just cause to examine any books, records, and accounts necessary to verify such report and constitution and bylaws. | |||||
| 29:29:2.1.4.1.3.0.1.11 | 29 | Labor | IV | A | 402 | PART 402—LABOR ORGANIZATION INFORMATION REPORTS | § 402.11 Attorney-client communications exempted. | OFCCP | Nothing contained in this part shall be construed to require an attorney who is a member in good standing of the bar of any State, to include in any report required to be filed pursuant to the provisions of section 201(a) of the Act, and of this part, any information which was lawfully communicated to such attorney by any of his clients in the course of a legitimate attorney-client relationship. | ||||||
| 29:29:2.1.4.1.3.0.1.12 | 29 | Labor | IV | A | 402 | PART 402—LABOR ORGANIZATION INFORMATION REPORTS | § 402.12 Publication of reports required by this part. | OFCCP | [35 FR 2990, Feb. 13, 1970] | Inspection and examination of any report or other document filed as required by this part, and the furnishing by the Office of Labor-Management Standards of copies thereof to any person requesting them, shall be governed by part 70 of this title. | |||||
| 29:29:2.1.4.1.3.0.1.13 | 29 | Labor | IV | A | 402 | PART 402—LABOR ORGANIZATION INFORMATION REPORTS | § 402.13 OMB control number. | OFCCP | [59 FR 15115, Mar. 31, 1994, as amended at 63 FR 33779, June 19, 1998; 78 FR 8024, Feb. 5, 2013] | The collecting of information requirements in this part have been approved by the Office of Management and Budget and assigned OMB control number 1245-0003. | |||||
| 29:29:2.1.4.1.3.0.1.2 | 29 | Labor | IV | A | 402 | PART 402—LABOR ORGANIZATION INFORMATION REPORTS | § 402.2 Labor organization initial information report. | OFCCP | [28 FR 14381, Dec. 27, 1963, as amended at 50 FR 31309, Aug. 1, 1985; 78 FR 8024, Feb. 5, 2013] | Every labor organization shall file a report signed by its president and secretary or corresponding principal officers containing the information required to be filed by section 201(a) of the Act, and found necessary to be reported under section 208 thereof by the Secretary, on United States Department of Labor Form LM-1 1 entitled, “Labor Organization Information Report”. There shall be attached to such report and made a part thereof a copy of the constitution and bylaws adopted by the reporting labor organization. 1 Filed as part of the original document. | |||||
| 29:29:2.1.4.1.3.0.1.3 | 29 | Labor | IV | A | 402 | PART 402—LABOR ORGANIZATION INFORMATION REPORTS | § 402.3 Filing of initial reports. | OFCCP | [28 FR 14381, Dec. 27, 1963, as amended at 35 FR 2990, Feb. 13, 1970; 40 FR 58856, Dec. 19, 1975; 50 FR 31309, Aug. 1, 1985] | (a) Every labor organization shall file with the Office of Labor-Management Standards the report and (subject to the provisions of paragraph (b) of this section, where applicable) a copy of its constitution and bylaws required by section 201(a) of the Act and § 402.2, together with one additional copy of each, within 90 days after the date on which it first becomes subject to the Act. (b) A labor organization subject to paragraph (a) of this section may adopt or may have adopted as its constitution and bylaws (whether by formal action or by virtue of affiliation with a parent organization) a constitution and bylaws of a national or international labor organization which the national or international organization is required to file under section 201(a) of the Act and this part. In such a case, a filing by the national or international labor organization of copies of such constitution and bylaws will be accepted as a filing of such documents by each such adopting labor organization within the meaning of section 201(a) of the Act and this part, if the following conditions are met: (1) The national or international labor organizations shows in its report filed under paragraph (a) of this section that copies of its constitution and bylaws are being filed on behalf of such adopting organizations as well as on its own behalf, and files such number of additional copies as the Office of Labor-Management Standards may request, and (2) The adopting labor organization shows in its report filed under paragraph (a) of this section that the national or international constitution and bylaws are also its constitution and bylaws and that copies are filed on its behalf by the national or international labor organization. If the constitution and bylaws of the adopting labor organization include other documents, this shall be shown in such report and copies shall be filed as provided in paragraph (a) of this section. | |||||
| 29:29:2.1.4.1.3.0.1.4 | 29 | Labor | IV | A | 402 | PART 402—LABOR ORGANIZATION INFORMATION REPORTS | § 402.4 Subsequent reports. | OFCCP | [58 FR 67604, Dec. 21, 1993] | (a) Except as noted elsewhere in this paragraph, every labor organization which revises the most recent constitution and bylaws it has filed with the Office of Labor-Management Standards shall file two dated copies of its revised constitution and bylaws at the time it files its annual financial report as provided in part 403 of this chapter. However, a labor organization which has as its constitution and bylaws a uniform constitution and bylaws prescribed by the reporting labor organization's parent national or international labor organization in accordance with § 402.3(b) is not required to file copies of a revised uniform constitution and bylaws if the parent national or international labor organization files as many copies of the revised constitution and bylaws with the Office of Labor-Management Standards as the Office may request. (b) Every labor organization which changes the practices and procedures for which separate statements must be filed pursuant to subsection 201(a)(5) (A) through (M) of the Act shall file with the Office of Labor-Management Standards two copies of an amended Form LM-1, signed by its president and secretary or corresponding principal officers. The amended Form LM-1 shall be filed when the labor organization files its annual financial report as provided in part 403 of this chapter. | |||||
| 29:29:2.1.4.1.3.0.1.5 | 29 | Labor | IV | A | 402 | PART 402—LABOR ORGANIZATION INFORMATION REPORTS | § 402.5 Terminal reports. | OFCCP | [28 FR 14381, Dec. 27, 1963, as amended at 62 FR 6092, Feb. 10, 1997] | (a) Any labor organization required to file reports under the provisions of this part, which ceases to exist by virtue of dissolution or any other form of termination of its existence as a labor organization, or which loses its identity as a reporting labor organization through merger, consolidation or otherwise, shall file a report containing a detailed statement of the circumstances and effective date of such termination or loss of reporting identity, and if the latter, such report shall also state the name and mailing address of the labor organization into which it has been consolidated, merged, or otherwise absorbed. Such report shall be submitted on Form LM-2 in connection with the terminal financial report required by § 403.5 of this chapter and shall be signed by the president and treasurer, or corresponding principal officers, of the labor organization at the time of its termination or loss of reporting identity and, together with a copy thereof, shall be filed with the Office of Labor-Management Standards within 30 days of the effective date of such termination or loss of reporting identity, as the case may be. (b) Labor organizations which qualify to use Form LM-3, the Labor Organization Annual Report, pursuant to §§ 403.4 and 403.5 of this chapter may file the terminal report called for in this section on Form LM-3. This report must be signed by the president and treasurer, or corresponding principal officers, of the labor organization. (c) Labor organizations which qualify to use Form LM-4, the Labor Organization Annual Report, pursuant to §§ 403.4 and 403.5 of this chapter may file the terminal report called for in this section on Form LM-4. The report must be signed by the president and treasurer, or corresponding principal officers, of the labor organization. | |||||
| 29:29:2.1.4.1.3.0.1.6 | 29 | Labor | IV | A | 402 | PART 402—LABOR ORGANIZATION INFORMATION REPORTS | § 402.6 Receipt of reports and documents. | OFCCP | Upon receipt of all reports and documents submitted for filing under the provisions of this part, the Office of Labor-Management Standards shall assign to the initial information report filed by each labor organization, an identifying number. This number thereafter shall be entered by the reporting labor organization on all subsequent or terminal reports and all other documents which it thereafter submits for filing under this part, as well as on all communications directed to the Office concerning such reports and documents. | ||||||
| 29:29:2.1.4.1.3.0.1.7 | 29 | Labor | IV | A | 402 | PART 402—LABOR ORGANIZATION INFORMATION REPORTS | § 402.7 Effect of acknowledgment and filing by the Office of Labor-Management Standards. | OFCCP | Acknowledgment by the Office of Labor-Management Standards of the receipt of reports and documents submitted for filing under this part, is intended solely to inform the sender of the receipt thereof by the Office, and neither such acknowledgment nor the filing of such reports and documents by the Office constitutes express or implied approval thereof, or in any manner indicates that the content of any such report or document fulfills the reporting or other requirements of the Act, or of the regulations in this chapter, applicable thereto. | ||||||
| 29:29:2.1.4.1.3.0.1.8 | 29 | Labor | IV | A | 402 | PART 402—LABOR ORGANIZATION INFORMATION REPORTS | § 402.8 Personal responsibility of signatories of reports. | OFCCP | Each individual required to sign any report under section 201(a) of the Act and under this part shall be personally responsible for the filing of such report and for any statement contained therein which he knows to be false. | ||||||
| 29:29:2.1.4.1.3.0.1.9 | 29 | Labor | IV | A | 402 | PART 402—LABOR ORGANIZATION INFORMATION REPORTS | § 402.9 Maintenance and retention of records. | OFCCP | Every person required to file any report under this part shall maintain records on the matters required to be reported which will provide in sufficient detail the necessary basic information and data from which the documents filed with the Office of Labor-Management Standards may be verified, explained or clarified, and checked for accuracy and completeness, and shall include vouchers, worksheets, receipts, and applicable resolutions, and shall keep such records available for examination for a period of not less than five years after the filing of the documents based on the information which they contain. | ||||||
| 33:33:3.0.2.1.3.0.21.1 | 33 | Navigation and Navigable Waters | IV | 402 | PART 402—TARIFF OF TOLLS | § 402.1 Purpose. | USACE | This regulation prescribes the charges to be assessed for the full or partial transit of the St. Lawrence Seaway between Montreal, Quebec, and Lake Erie. | |||||||
| 33:33:3.0.2.1.3.0.21.10 | 33 | Navigation and Navigable Waters | IV | 402 | PART 402—TARIFF OF TOLLS | § 402.10 Post-clearance date operational surcharges. | USACE | [66 FR 15329, Mar. 16, 2001. Redesignated and amended at 74 FR 10680, Mar. 12, 2009, and further redesignated at 79 FR 13253, Mar. 10, 2014, and further redesignated and amended at 81 FR 14391, Mar. 17, 2016; 84 FR 8985, Mar. 13, 2019] | (a) Subject to paragraph (b) of this section, a vessel that reports for its final transit of the Seaway from a place set out in column 1 within a period after the clearance date established by the Manager and the Corporation set out in column 2 shall pay operational surcharges in the amount set out in column 3, prorated on a per-lock basis. (b) If surcharges are postponed for operational or climatic reasons, a vessel that reports for its final transit of the Seaway from a place set out in column 1 within a period after the clearance date established by the Manager and the Corporation set out in column 2 shall pay operational surcharges in the amount set out in column 3, prorated on a per-lock basis. (c) A vessel that is authorized to transit the Seaway after the period of 96 hours after the clearance date established by the Manager and the Corporation shall pay, in addition to the operational surcharge, an amount equal to the incremental expenses incurred by the Manager to keep the Seaway open for the transit of the vessel. | ||||||
| 33:33:3.0.2.1.3.0.21.11 | 33 | Navigation and Navigable Waters | IV | 402 | PART 402—TARIFF OF TOLLS | § 402.11 Coming into force. | USACE | [66 FR 15329, Mar. 16, 2001. Redesignated at 74 FR 10679, Mar. 12, 2009, and further redesignated at 79 FR 13253, Mar. 10, 2014, and at 81 FR 14391, Mar. 17, 2016] | In Canada, this Tariff and the tolls set forth herein come into force from the date on which this Tariff is filed with the Canadian Transportation Agency. | ||||||
| 33:33:3.0.2.1.3.0.21.12 | 33 | Navigation and Navigable Waters | IV | 402 | PART 402—TARIFF OF TOLLS | § 402.12 Schedule of tolls. | USACE | [90 FR 566, Jan. 6, 2025] | Table 1 to § 402.12 1 Or under the US GRT for vessels prescribed prior to 2002. 2 The applicable charged under item 3 at the Great Lakes St. Lawrence Seaway Development Corporation's locks (Eisenhower, Snell) will be collected in U.S. dollars. The collection of the U.S. portion of tolls for commercial vessels is waived by law (33 U.S.C. 988a(a)). The other charges are in Canadian dollars and are for the Canadian share of tolls. 3 Includes a $5.00 discount per lock with use of online reservation and payment system for Canadian locks. 4 The applicable charge at the Great Lakes St. Lawrence Seaway Development Corporation's locks (Eisenhower, Snell) for pleasure craft is $30 USD or $30 CAD per lock. | ||||||
| 33:33:3.0.2.1.3.0.21.13 | 33 | Navigation and Navigable Waters | IV | 402 | PART 402—TARIFF OF TOLLS | § 402.13 Operational surcharges—no postponements. | USACE | [66 FR 15329, Mar. 16, 2001. Redesignated at 74 FR 10679, Mar. 12, 2009, and further redesignated at 79 FR 13253, Mar. 10, 2014, and at 81 FR 14391, Mar. 17, 2016] | 1 Prorated on a per-lock basis. | ||||||
| 33:33:3.0.2.1.3.0.21.14 | 33 | Navigation and Navigable Waters | IV | 402 | PART 402—TARIFF OF TOLLS | § 402.14 Operational surcharges—after postponements. | USACE | [66 FR 15329, Mar. 16, 2001. Redesignated and amended at 74 FR 10679, Mar. 12, 2009, and further redesignated at 79 FR 13253, Mar. 10, 2014, and at 81 FR 14391, Mar. 17, 2016] | 1 Prorated on a per-lock basis. | ||||||
| 33:33:3.0.2.1.3.0.21.2 | 33 | Navigation and Navigable Waters | IV | 402 | PART 402—TARIFF OF TOLLS | § 402.2 Title. | USACE | This tariff may be cited as the St. Lawrence Seaway Tariff of Tolls (Schedule of Tolls in Canada). | |||||||
| 33:33:3.0.2.1.3.0.21.3 | 33 | Navigation and Navigable Waters | IV | 402 | PART 402—TARIFF OF TOLLS | § 402.3 Interpretation. | USACE | [66 FR 15329, Mar. 16, 2001, as amended at 71 FR 14807, Mar. 24, 2006; 72 FR 4431, Jan. 31, 2007; 74 FR 10678, Mar. 12, 2009; 78 FR 19106, Mar. 29, 2013; 79 FR 13252, Mar. 10, 2014; 81 FR 14391, Mar. 17, 2016; 84 FR 8985, Mar. 13, 2019; 86 FR 15586, Mar. 24, 2021; 88 FR 15275, Mar. 13, 2023] | In this tariff, Bulk cargo means cargo consisting of goods, loose or in mass, that generally must be shoveled, pumped, blown, scooped or forked in the handling and includes: (1) Cement, loose or in sacks; (2) Coke and petroleum coke, loose or in sacks; (3) Domestic cargo; (4) Liquids carried in vessels' tanks; (5) Ores and minerals (crude, screened, sized or concentrated, but not otherwise processed) loose or in sacks, including alumina, bauxite, gravel, phosphate rock, sand, stone and sulphur; (6) Pig iron and scrap metals; (7) Lumber, pulpwood, poles and logs, loose or bundled; (8) Raw sugar, flour, loose or in sacks; (9) Wood pulp, loose or in bales; and (10) Material for recycling, scrap material, refuse and waste. Cargo means all goods aboard a vessel whether carried as revenue or non-revenue freight or carried for the vessel owner, but does not include: (1) Empty containers or the tare weight of loaded containers; (2) Vessels' fuel, ballast or stores; (3) The personal effects of crew or passengers; or (4) In transit cargo that is carried both upbound and downbound in the course of the same voyage. Carrier means any company, or its representative, engaged in physically moving a cargo between an origin and a destination. Closing date means in respect of a year, the first date in such year after the opening date on which both the Montreal-Lake Ontario portion and the Welland Canal portion of the Seaway are closed for vessel traffic. Commodity means cargo that has been defined as a commodity in the Manager's commodity codes. Containerized cargo means cargo shipping in a container. Containers are used to transport freight in multiple modes: vessel, rail, and truck. There are many configurations: Dry, insulated or thermal, refrigerated or reefer, flat racks and platforms, open top and tank. Typical dimensions: 8 feet in width, 8 feet 6 inches or 9 feet 6 inches in height and 20 feet or 40 feet in length. Less common lengths include, for example, 24, 28, 44, 45, 46, 48, 53, and 56 feet. … | ||||||
| 33:33:3.0.2.1.3.0.21.4 | 33 | Navigation and Navigable Waters | IV | 402 | PART 402—TARIFF OF TOLLS | § 402.4 Tolls. | USACE | [66 FR 15329, Mar. 16, 2001, as amended at 71 FR 14807, Mar. 24, 2006; 74 FR 10679, Mar. 12, 2009; 79 FR 13252, Mar. 10, 2014; 81 FR 14391, Mar. 17, 2016; 88 FR 15275, Mar. 13, 2023] | (a) Every vessel entering, passing through or leaving the Seaway shall pay a toll that is the sum of each applicable charge in § 402.12. Each charge is calculated on the description set out in column 1 of § 402.12 and the rate set out in column 2 or 3. (b) The toll is assessed against the vessel and its cargo for a complete or partial transit of the Seaway and covers a single trip in one direction. (c) The toll is due from the representative of the vessel within 45 days after the day on which the vessel enters the first lock of a transit of the Seaway. (d) Except as set out in paragraph (e) of this section, the Volume Rebate incentive cannot be combined ( i.e. , applied to the same cargo movement) with either of the New Business Incentive or the Service Incentive Programs. (e) Except for cargoes that qualify for the New Business Incentive, any cargo being shipped by a liner or semi-liner approved under the Service Incentive program shall be eligible for the Volume Rebate Incentive. | ||||||
| 33:33:3.0.2.1.3.0.21.5 | 33 | Navigation and Navigable Waters | IV | 402 | PART 402—TARIFF OF TOLLS | § 402.5 New Business Incentive Program. | USACE | [74 FR 10679, Mar. 12, 2009, as amended at 78 FR 19106, Mar. 29, 2013; 80 FR 5047, Jan. 30, 2015] | (a) To be eligible for the rebate applicable under the New Business Incentive Program, a carrier must submit an application to the Manager for the proposed commodity/origin/destination combination to be approved and accepted under the rules of the New Business Incentive Program promulgated and administered from time to time by the Manager. (b) Containerized cargo, whatever the origin or destination, moved by a vessel in the Seaway at any time in the current navigation season qualifies as New Business. (c) A commodity/origin/destination combination that qualifies as New Business on or before the 30th day of September in any navigation season continues to qualify as New Business in the two consecutive navigation seasons immediately following the then current navigation season. (d) A commodity/origin/destination combination that qualifies as New Business after the 30th day of September in any navigation season continues to qualify as New Business in the three consecutive navigation seasons immediately following the then current navigation season. | ||||||
| 33:33:3.0.2.1.3.0.21.6 | 33 | Navigation and Navigable Waters | IV | 402 | PART 402—TARIFF OF TOLLS | § 402.6 Volume Rebate Incentive program. | USACE | [74 FR 10680, Mar. 12, 2009] | (a) To be eligible to the Volume Rebate Incentive program: (1) A shipper/receiver in the Great Lakes/St. Lawrence Seaway System must submit to the Manager for approval, before June 30th of every season, the commodity, as defined under the Manager's commodity classification, for which a Volume Rebate is sought, the origin or destination of the commodity, and a proof of the maximum volume of the commodity the shipper/receiver has shipped over the last 5 years from that origin or to that destination. (2) The shipper/receiver must already move the commodity, as defined under the Manager's commodity classification, through the Seaway at a minimum of 100,000 tonnes per season for the past five navigation seasons. (b) Once approved by the Manager, the maximum volume will become the basis on which to calculate the incremental volume. (c) The Volume Rebate Incentive program is not accessible at the end of the navigation season without a pre-approved maximum volume within the set deadline. (d) The same cargo volume can only be used by one shipper/receiver. (e) For the Volume Rebate to be applicable, the total volume of the commodity shipped through the Seaway must also increase during the navigation season. | ||||||
| 33:33:3.0.2.1.3.0.21.7 | 33 | Navigation and Navigable Waters | IV | 402 | PART 402—TARIFF OF TOLLS | § 402.7 Service Incentive Program. | USACE | [79 FR 13253, Mar. 10, 2014, as amended at 80 FR 5048, Jan. 30, 2015] | (a) To be eligible for the Service Incentive Program, cargos must qualify as New Business under the New Business Incentive Program, and be shipped by a service meeting all of the requirements (Qualifying Service): (1) A liner or semi-liner service between the same ports; (2) The service must call on multiple origin ports, or multiple destination ports; (3) The service must not be limited to the movement of one specific commodity; (4) The service must service markets outside of the Great Lakes; and (5) The service must not replace or displace any of the carrier's existing services. The Manager reserves the right to require proof of the ultimate origin and destination of cargoes in order to ensure there is no diversion of existing cargoes. (b) The Service incentive applies only to New Business applications approved after the commencement date of the Qualifying Service. New Business applications approved prior to the date of commencement of the Qualifying Service will be ineligible for the Service Incentive Program. (c) The Service Incentive applies only to cargoes exported from the Great Lakes, and is not applicable to import cargoes. (d) The carrier will provide the Manager with written notice of its intention to apply for the Service Incentive at least thirty (30) days prior to implementation of the Qualifying Service. (e) The carrier will advise the Manager of the proposed interval (weekly, monthly, etc.) of the Qualifying Service, and the number of calls scheduled for the Navigation Season. Additional calls to the system may be added during the season. (f) The carrier will advise the Manager of port rotation, outlining core ports of calls when providing notification of schedule rotation. Additional ports may be added at any time provided the core schedule ports are called. (g) The carrier will advertise the Qualifying Service on its own Web site, available port Web sites, and with Manager's Assistance on the HWY H20 Web site. (h) The carrier must meet 75% schedule adherence with a minimum of four (4… | ||||||
| 33:33:3.0.2.1.3.0.21.8 | 33 | Navigation and Navigable Waters | IV | 402 | PART 402—TARIFF OF TOLLS | § 402.8 Gateway Incentive. | USACE | [81 FR 14391, Mar. 17, 2016, as amended at 88 FR 15275, Mar. 13, 2023] | (a) To be eligible for the Gateway Incentive, cargoes, must presently be moving between a specific origin and destination via other competing gateways. (b) To be eligible for the refund applicable under the Gateway Incentive program, a shipper/receiver, or its representative, must: (1) Submit an application to the Manager for the proposed movement (cargo/origin/destination) to be approved under the rules of the Gateway Incentive program; (2) Supply to the Manager the information proving that the proposed movement is currently done via a competing gateway; (3) Negotiate with the Manager the terms of the proposal, that is an applicable toll reduction, a volume commitment, and the duration of the proposal. (c) The shipper/receiver, or its representative, will qualify annually for the negotiated toll reduction upon completion of the annual volume commitment. (d) The Gateway Incentive applies only to movements of qualified cargoes done after the commencement date of the qualified Gateway Incentive. Movements done prior to the date of commencement of the Gateway Incentive will be ineligible for the rebate. (e) The shipper/receiver, or its representative, will provide the Manager with a request for the Gateway Incentive refund, together with copies of any documents required to support the request, within sixty (60) days of the close of the navigation season. Requests for refunds should be submitted to the Manager who will be responsible for reviewing all documents and data and recommending the refund under the Gateway Incentive. (f) The negotiated Gateway Incentive percentage of tolls reduction paid in respect of qualifying cargo shipped will be refunded by the Manager after the close of the navigation season, once the Manager has confirmed through the review of submitted support documents that the shipper/receiver has met the volume commitment. The Manager reserves the right to require the ultimate origin and destination of cargoes to validate the commitment. (g) The Manager reserves the right to immediately t… | ||||||
| 33:33:3.0.2.1.3.0.21.9 | 33 | Navigation and Navigable Waters | IV | 402 | PART 402—TARIFF OF TOLLS | § 402.9 Description and weight of cargo. | USACE | [66 FR 15329, Mar. 16, 2001, as amended at 72 FR 4431, Jan. 31, 2007. Redesignated at 74 FR 10679, Mar. 12, 2009, and further redesignated at 79 FR 13253, Mar. 10, 2014, and at 81 FR 14391, Mar. 17, 2016] | For the purposes of calculating applicable tolls: (a) A cord of pulpwood is taken to weigh 1,450 kilograms (3,196.70 pounds); and (b) The cargo tonnage shall be rounded to the nearest 1,000 kilograms (2,204.62 pounds.) | ||||||
| 44:44:1.0.2.7.3.0.10.1 | 44 | Emergency Management and Assistance | IV | 402 | PART 402—SHIPMENTS ON AMERICAN FLAG SHIPS AND AIRCRAFT (T-1, INT. 1) | § 402.1 Shipments from the United States. | DHS | Transportation Order T-1 applies to shipments from the United States, as well as to shipments from foreign ports, on American flag ships and aircraft. | |||||||
| 44:44:1.0.2.7.3.0.10.2 | 44 | Emergency Management and Assistance | IV | 402 | PART 402—SHIPMENTS ON AMERICAN FLAG SHIPS AND AIRCRAFT (T-1, INT. 1) | § 402.2 Restricted commodities. | DHS | The restrictions of Transportation Order T-1 apply to the transportation or discharge of (a) commodities on the Positive List (15 CFR part 399) (as amended from time to time) of the Comprehensive Export Schedule of the Office of International Trade, Department of Commerce, (b) articles on the list of arms, ammunition and implements of war coming within the meaning of Proclamation No. 2776 of March 26, 1948, and (c) commodities, including fissionable materials, controlled for export under the Atomic Energy Act of 1946. The restrictions imposed by Transportation Order T-1 do not apply to other commodities, not within these restricted classes at the time of transportation or discharge, even though authorization for the export of the commodity from the United States to the particular destination is required under regulations of the Office of International Trade or under other Federal law or regulation. In this respect, Order T-1 is different from Order T-2 which applies to all commodities destined to Communist China. Order T-1 does not relax or modify any of the requirements of any other regulation or law. | |||||||
| 44:44:1.0.2.7.3.0.10.3 | 44 | Emergency Management and Assistance | IV | 402 | PART 402—SHIPMENTS ON AMERICAN FLAG SHIPS AND AIRCRAFT (T-1, INT. 1) | § 402.3 Addition of commodities to the Positive List. | DHS | Order T-1 applies to the transportation or discharge of commodities which are restricted at the time of transportation or discharge. Accordingly, if a commodity is added to the Positive List while the commodity is being transported on an American flag ship or aircraft, the restrictions of Order T-1 immediately apply and the commodity may not be transported to or discharged at any of the restricted ports or discharged in transit to one of the restricted ports, unless authorization under Order T-1 is obtained. | |||||||
| 44:44:1.0.2.7.3.0.10.4 | 44 | Emergency Management and Assistance | IV | 402 | PART 402—SHIPMENTS ON AMERICAN FLAG SHIPS AND AIRCRAFT (T-1, INT. 1) | § 402.4 Calls at restricted ports en route to an unrestricted port with restricted cargo. | DHS | Order T-1 does not prohibit an American flag ship or aircraft from going to or calling at one of the restricted ports, even though it has on board a commodity which could not be discharged at that port. (Note, however, that Order T-2 prohibits American flag ships and aircraft from calling at any port or other place in Communist China.) For example, an American flag ship may call at one of the restricted ports (except one in Communist China), even though it has on board the following classes of commodities: (a) A Positive List commodity manifested to a destination outside the restricted area, with an export license and an export declaration showing the unrestricted destination at the ultimate destination, (b) a Positive List commodity destined for the restricted port of call which cannot be discharged there because there is no export license or authorization from the Assistant Secretary for Domestic and International Business permitting discharge at the restricted port of call, (c) a commodity of any kind destined for Communist China (the transportation and discharge of which is covered by Order T-2). None of these commodities may be discharged at the restricted port of call. Discharge of any of these commodities at the port covered by the restrictions of Order T-1 is prohibited and subject to penalty, regardless of the circumstances under which the discharge of the cargo at the restricted port occurs, unless appropriate authorization is obtained. | |||||||
| 44:44:1.0.2.7.3.0.10.5 | 44 | Emergency Management and Assistance | IV | 402 | PART 402—SHIPMENTS ON AMERICAN FLAG SHIPS AND AIRCRAFT (T-1, INT. 1) | § 402.5 Forwarding commodities previously shipped. | DHS | Order T-1 applies to transportation on or discharge from ships documented under the laws of the United States and aircraft registered under the laws of the United States. These restrictions apply either in the case of a discharge at one of the restricted ports or to discharge at any other port in transit to a restricted destination. The restrictions of Order T-1 do not apply to transportation by foreign carriers, as long as there is no prohibited transportation or discharge by or from a United States flag ship or aircraft after the issuance of Order T-1. Accordingly, if an American flag ship or aircraft, before the issuance of Order T-1, had transported restricted commodities manifested to restricted destinations, and had completed the transportation to a foreign intermediate point and had completed the discharge from the American flag ship or aircraft before the issuance of Order T-1, no violation of that order would have occurred, but Order T-1 would prohibit further shipment on an American flag ship or aircraft unless authorization under Order T-1 is obtained. | |||||||
| 44:44:1.0.2.7.3.0.10.6 | 44 | Emergency Management and Assistance | IV | 402 | PART 402—SHIPMENTS ON AMERICAN FLAG SHIPS AND AIRCRAFT (T-1, INT. 1) | § 402.6 Relation to Transportation Order T-2. | DHS | Transportation Order T-1 applies to the transportation of commodities to, or in transit to, destinations in Sub-Group A, Hong Kong or Macao. It applies, however, only to commodities on the Positive List of the Office of International Trade, arms and ammunition, and commodities controlled under the Atomic Energy Act (see section 2 of this interpretation). Transportation Order T-2 applies to the transportation of commodities of any kind which are destined to Communist China (Order T-2 also prohibits American ships and aircraft from calling at any port or place in Communist China). Since Communist China is in Sub-Group A, the restrictions of both orders apply to the transportation of commodities to Communist China or to any other point in transit to Communist China. | |||||||
| 46:46:8.0.2.13.3.1.18.1 | 46 | Shipping | III | 402 | PART 402—GREAT LAKES PILOTAGE RULES AND ORDERS | A | Subpart A—General | § 402.100 Purpose. | USCG | [27 FR 11947, Dec. 4, 1962, as amended at 32 FR 14223, Oct. 13, 1967; 61 FR 5721, Feb. 14, 1996. Redesignated and amended at 61 FR 32655, June 25, 1996, and further redesignated and amended by USCG-1998-3976, 63 FR 35139, 35140, June 29, 1998] | The purpose of this part is to implement those provisions of the Great Lakes Pilotage Regulations (part 401 of this chapter) which authorize or require the Commandant to issue supplementary rules and orders. | ||||
| 46:46:8.0.2.13.3.2.18.1 | 46 | Shipping | III | 402 | PART 402—GREAT LAKES PILOTAGE RULES AND ORDERS | B | Subpart B—Registration of Pilots | § 402.210 Requirements and qualifications for registration. | USCG | [USCG-2022-0025, 89 FR 76354, Sept. 17, 2024] | Pursuant to § 401.210(a)(4), each applicant for an original registration at the time of application and each Applicant Trainee, Apprentice Pilot, United States Registered Pilot, and Temporary Registered Pilot is required to pass a physical examination in accordance with subpart C of 46 CFR part 10. | ||||
| 46:46:8.0.2.13.3.2.18.2 | 46 | Shipping | III | 402 | PART 402—GREAT LAKES PILOTAGE RULES AND ORDERS | B | Subpart B—Registration of Pilots | § 402.220 Registration of Pilots. | USCG | [USCG-2022-0025, 89 FR 76354, Sept. 17, 2024] | (a) Each Apprentice Pilot must complete the minimum number of round trips specified in this section prior to registration as a United States Registered Pilot. The round trips must be made in company with a United States Registered Pilot or Temporary Registered Pilot, on oceangoing vessels that have a gross tonnage of at least 4,000. The pilot association training committee, pilot association president, or Director may require additional round trips to demonstrate proficiency for a given waterway or specific port in order to ensure maritime safety. The minimum number of round trips listed here is not intended to guarantee completion of a training plan or advancement towards Full Registration. (1) If the Apprentice Pilot holds a Master endorsement, a minimum of five round trips are required over the waters for which registration is desired. (2) If the Apprentice Pilot holds a Chief Mate endorsement or a Second Mate endorsement, or holds a First-Class Pilot endorsement with service in the capacity of First Mate or Second Mate, a minimum of eight round trips are required over the waters for which registration is desired. (3) If the Apprentice Pilot holds a First-Class Pilot endorsement or a Third Mate endorsement, a minimum of twelve round trips are required over the waters for which registration is desired. (b) No course of instruction prescribed by a pilot association will be approved unless it includes the following minimum criteria: (1) Instruction in the maneuvering characteristics of various types of vessels and propulsion machinery, including the characteristics of direct-drive motor, geared-drive motor, turbo-electric, steam turbine and steam reciprocating drives. Study of maneuvering characteristics to include turning radius, times and distances to stop, time to back, etc. (2) Instruction in the effects of oceangoing vessels in restricted waters. (3) Instruction in the use of tugs, docking procedures in locks and piers, and transiting bridges. (4) Instruction in search and rescue and civil defense pr… | ||||
| 46:46:8.0.2.13.3.3.18.1 | 46 | Shipping | III | 402 | PART 402—GREAT LAKES PILOTAGE RULES AND ORDERS | C | Subpart C—Establishment of Pilotage Pools by Voluntary Associations of United States Registered Pilots | § 402.320 Working rules. | USCG | [USCG-2022-0025, 89 FR 76354, Sept. 17, 2024] | Sections 401.320(d)(2) and (6) of this chapter require that voluntary associations of United States Registered Pilots authorized to establish pilotage pools agree to submit Working Rules for approval of the Director and that they will coordinate their pilotage pool operations with Canada on a reciprocal basis. The approved Working Rules of each pilot district are on file in the office of the Director and may request a copy of the Working Rules by emailing GreatLakesPilotage@uscg.mil. | ||||
| 50:50:11.0.3.9.3.1.1.1 | 50 | Wildlife and Fisheries | IV | A | 402 | PART 402—INTERAGENCY COOPERATION—ENDANGERED SPECIES ACT OF 1973, AS AMENDED | A | Subpart A—General | § 402.01 Scope. | FWS | (a) This part interprets and implements sections 7(a)-(d) [16 U.S.C. 1536(a)-(d)] of the Endangered Species Act of 1973, as amended (“Act”). Section 7(a) grants authority to and imposes requirements upon Federal agencies regarding endangered or threatened species of fish, wildlife, or plants (“listed species”) and habitat of such species that has been designated as critical (“critical habitat”). Section 7(a)(1) of the Act directs Federal agencies, in consultation with and with the assistance of the Secretary of the Interior or of Commerce, as appropriate, to utilize their authorities to further the purposes of the Act by carrying out conservation programs for listed species. Such affirmative conservation programs must comply with applicable permit requirements (50 CFR parts 17, 220, 222, and 227) for listed species and should be coordinated with the appropriate Secretary. Section 7(a)(2) of the Act requires every Federal agency, in consultation with and with the assistance of the Secretary, to insure that any action it authorizes, funds, or carries out, in the United States or upon the high seas, is not likely to jeopardize the continued existence of any listed species or results in the destruction or adverse modification of critical habitat. Section 7(a)(3) of the Act authorizes a prospective permit or license applicant to request the issuing Federal agency to enter into early consultation with the Service on a proposed action to determine whether such action is likely to jeopardize the continued existence of listed species or result in the destruction or adverse modification of critical habitat. Section 7(a)(4) of the Act requires Federal agencies to confer with the Secretary on any action that is likely to jeopardize the continued existence of proposed species or result in the destruction or adverse modification of proposed critical habitat. Section 7(b) of the Act requires the Secretary, after the conclusion of early or formal consultation, to issue a written statement setting forth the Secretary's opinion de… | ||||
| 50:50:11.0.3.9.3.1.1.2 | 50 | Wildlife and Fisheries | IV | A | 402 | PART 402—INTERAGENCY COOPERATION—ENDANGERED SPECIES ACT OF 1973, AS AMENDED | A | Subpart A—General | § 402.02 Definitions. | FWS | [51 FR 19957, June 3, 1986, as amended at 73 FR 76286, Dec. 16, 2008; 74 FR 20422, May 4, 2009; 80 FR 26844, May 11, 2015; 81 FR 7225, Feb. 11, 2016; 84 FR 45016, Aug. 27, 2019; 89 FR 24297, Apr. 5, 2024] | Act means the Endangered Species Act of 1973, as amended, 16 U.S.C. 1531 et seq. Action means all activities or programs of any kind authorized, funded, or carried out, in whole or in part, by Federal agencies in the United States or upon the high seas. Examples include, but are not limited to: (a) actions intended to conserve listed species or their habitat; (b) the promulgation of regulations; (c) the granting of licenses, contracts, leases, easements, rights-of-way, permits, or grants-in-aid; or (d) actions directly or indirectly causing modifications to the land, water, or air. Action area means all areas to be affected directly or indirectly by the Federal action and not merely the immediate area involved in the action. Applicant refers to any person, as defined in section 3(13) of the Act, who requires formal approval or authorization from a Federal agency as a prerequisite to conducting the action. Biological assessment refers to the information prepared by or under the direction of the Federal agency concerning listed and proposed species and designated and proposed critical habitat that may be present in the action area and the evaluation potential effects of the action on such species and habitat. Biological opinion is the document that states the opinion of the Service as to whether or not the Federal action is likely to jeopardize the continued existence of listed species or result in the destruction or adverse modification of critical habitat. Conference is a process which involves informal discussions between a Federal agency and the Service under section 7(a)(4) of the Act regarding the impact of an action on proposed species or proposed critical habitat and recommendations to minimize or avoid the adverse effects. Conservation recommendations are suggestions of the Service regarding discretionary measures to minimize or avoid adverse effects of a proposed action on listed species or critical habitat or regarding the development of information. Critical habitat refers to an ar… | |||
| 50:50:11.0.3.9.3.1.1.3 | 50 | Wildlife and Fisheries | IV | A | 402 | PART 402—INTERAGENCY COOPERATION—ENDANGERED SPECIES ACT OF 1973, AS AMENDED | A | Subpart A—General | § 402.03 Applicability. | FWS | [74 FR 20423, May 4, 2009] | Section 7 and the requirements of this part apply to all actions in which there is discretionary Federal involvement or control. | |||
| 50:50:11.0.3.9.3.1.1.4 | 50 | Wildlife and Fisheries | IV | A | 402 | PART 402—INTERAGENCY COOPERATION—ENDANGERED SPECIES ACT OF 1973, AS AMENDED | A | Subpart A—General | § 402.04 Counterpart regulations. | FWS | The consultation procedures set forth in this part may be superseded for a particular Federal agency by joint counterpart regulations among that agency, the Fish and Wildlife Service, and the National Marine Fisheries Service. Such counterpart regulations shall be published in the Federal Register in proposed form and shall be subject to public comment for at least 60 days before final rules are published. | ||||
| 50:50:11.0.3.9.3.1.1.5 | 50 | Wildlife and Fisheries | IV | A | 402 | PART 402—INTERAGENCY COOPERATION—ENDANGERED SPECIES ACT OF 1973, AS AMENDED | A | Subpart A—General | § 402.05 Emergencies. | FWS | (a) Where emergency circumstances mandate the need to consult in an expedited manner, consultation may be conducted informally through alternative procedures that the Director determines to be consistent with the requirements of sections 7(a)-(d) of the Act. This provision applies to situations involving acts of God, disasters, casualties, national defense or security emergencies, etc. (b) Formal consultation shall be initiated as soon as practicable after the emergency is under control. The Federal agency shall submit information on the nature of the emergency action(s), the justification for the expedited consultation, and the impacts to endangered or threatened species and their habitats. The Service will evaluate such information and issue a biological opinion including the information and recommendations given during the emergency consultation. | ||||
| 50:50:11.0.3.9.3.1.1.6 | 50 | Wildlife and Fisheries | IV | A | 402 | PART 402—INTERAGENCY COOPERATION—ENDANGERED SPECIES ACT OF 1973, AS AMENDED | A | Subpart A—General | § 402.06 Coordination with other environmental reviews. | FWS | (a) Consultation, conference, and biological assessment procedures under section 7 may be consolidated with interagency cooperation procedures required by other statutes, such as the National Environmental Policy Act (NEPA) (42 U.S.C. 4321 et seq., implemented at 40 CFR parts 1500-1508) or the Fish and Wildlife Coordination Act (FWCA) (16 U.S.C. 661 et seq. ). Satisfying the requirements of these other statutes, however, does not in itself relieve a Federal agency of its obligations to comply with the procedures set forth in this part or the substantive requirements of section 7. The Service will attempt to provide a coordinated review and analysis of all environmental requirements. (b) Where the consultation or conference has been consolidated with the interagency cooperation procedures required by other statutes such as NEPA or FWCA, the results should be included in the documents required by those statutes. | ||||
| 50:50:11.0.3.9.3.1.1.7 | 50 | Wildlife and Fisheries | IV | A | 402 | PART 402—INTERAGENCY COOPERATION—ENDANGERED SPECIES ACT OF 1973, AS AMENDED | A | Subpart A—General | § 402.07 Designation of lead agency. | FWS | When a particular action involves more than one Federal agency, the consultation and conference responsibilities may be fulfilled through a lead agency. Factors relevant in determining an appropriate lead agency include the time sequence in which the agencies would become involved, the magnitude of their respective involvement, and their relative expertise with respect to the environmental effects of the action. The Director shall be notified of the designation in writing by the lead agency. | ||||
| 50:50:11.0.3.9.3.1.1.8 | 50 | Wildlife and Fisheries | IV | A | 402 | PART 402—INTERAGENCY COOPERATION—ENDANGERED SPECIES ACT OF 1973, AS AMENDED | A | Subpart A—General | § 402.08 Designation of non-Federal representative. | FWS | A Federal agency may designate a non-Federal representative to conduct informal consultation or prepare a biological assessment by giving written notice to the Director of such designation. If a permit or license applicant is involved and is not the designated non-Federal representative, then the applicant and Federal agency must agree on the choice of the designated non-Federal representative. If a biological assessment is prepared by the designated non-Federal representative, the Federal agency shall furnish guidance and supervision and shall independently review and evaluate the scope and contents of the biological assessment. The ultimate responsibility for compliance with section 7 remains with the Federal agency. | ||||
| 50:50:11.0.3.9.3.1.1.9 | 50 | Wildlife and Fisheries | IV | A | 402 | PART 402—INTERAGENCY COOPERATION—ENDANGERED SPECIES ACT OF 1973, AS AMENDED | A | Subpart A—General | § 402.09 Irreversible or irretrievable commitment of resources. | FWS | After initiation or reinitiation of consultation required under section 7(a)(2) of the Act, the Federal agency and any applicant shall make no irreversible or irretrievable commitment of resources with respect to the agency action which has the effect of foreclosing the formulation or implementation of any reasonable and prudent alternatives which would avoid violating section 7(a)(2). This prohibition is in force during the consultation process and continues until the requirements of section 7(a)(2) are satisfied. This provision does not apply to the conference requirement for proposed species or proposed critical habitat under section 7(a)(4) of the Act. | ||||
| 50:50:11.0.3.9.3.2.1.1 | 50 | Wildlife and Fisheries | IV | A | 402 | PART 402—INTERAGENCY COOPERATION—ENDANGERED SPECIES ACT OF 1973, AS AMENDED | B | Subpart B—Consultation Procedures | § 402.10 Conference on proposed species or proposed critical habitat. | FWS | (a) Each Federal agency shall confer with the Service on any action which is likely to jeopardize the continued existence of any proposed species or result in the destruction or adverse modification of proposed critical habitat. The conference is designed to assist the Federal agency and any applicant in identifying and resolving potential conflicts at an early stage in the planning process. (b) The Federal agency shall initiate the conference with the Director. The Service may request a conference if, after a review of available information, it determines that a conference is required for a particular action. (c) A conference between a Federal agency and the Service shall consist of informal discussions concerning an action that is likely to jeopardize the continued existence of the proposed species or result in the destruction or adverse modification of the proposed critical habitat at issue. Applicants may be involved in these informal discussions to the greatest extent practicable. During the conference, the Service will make advisory recommendations, if any, on ways to minimize or avoid adverse effects. If the proposed species is subsequently listed or the proposed critical habitat is designated prior to completion of the action, the Federal agency must review the action to determine whether formal consultation is required. (d) If requested by the Federal agency and deemed appropriate by the Service, the conference may be conducted in accordance with the procedures for formal consultation in § 402.14. An opinion issued at the conclusion of the conference may be adopted as the biological opinion when the species is listed or critical habitat is designated, but only if no significant new information is developed (including that developed during the rulemaking process on the proposed listing or critical habitat designation) and no significant changes to the Federal action are made that would alter the content of the opinion. An incidental take statement provided with a conference opinion does not become effe… | ||||
| 50:50:11.0.3.9.3.2.1.2 | 50 | Wildlife and Fisheries | IV | A | 402 | PART 402—INTERAGENCY COOPERATION—ENDANGERED SPECIES ACT OF 1973, AS AMENDED | B | Subpart B—Consultation Procedures | § 402.11 Early consultation. | FWS | (a) Purpose. Early consultation is designed to reduce the likelihood of conflicts between listed species or critical habitat and proposed actions and occurs prior to the filing of an application for a Federal permit or license. Although early consultation is conducted between the Service and the Federal agency, the prospective applicant should be involved throughout the consultation process. (b) Request by prospective applicant. If a prospective applicant has reason to believe that the prospective action may affect listed species or critical habitat, it may request the Federal agency to enter into early consultation with the Service. The prospective applicant must certify in writing to the Federal agency that (1) it has a definitive proposal outlining the action and its effects and (2) it intends to implement its proposal, if authorized. (c) Initiation of early consultation. If the Federal agency receives the prospective applicant's certification in paragraph (b) of this section, then the Federal agency shall initiate early consultation with the Service. This request shall be in writing and contain the information outlined in § 402.14(c) and, if the action is a major construction activity, the biological assessment as outlined in § 402.12. (d) Procedures and responsibilities. The procedures and responsibilities for early consultation are the same as outlined in § 402.14(c)-(j) for formal consultation, except that all references to the “applicant” shall be treated as the “prospective applicant” and all references to the “biological opinion” or the “opinion” shall be treated as the “preliminary biological opinion” for the purpose of this section. (e) Preliminary biological opinion. The contents and conclusions of a preliminary biological opinion are the same as for a biological opinion issued after formal consultation except that the incidental take statement provided with a preliminary biological opinion does not constitute authority to take listed species. (f) Confirmation of preliminary biologica… | ||||
| 50:50:11.0.3.9.3.2.1.3 | 50 | Wildlife and Fisheries | IV | A | 402 | PART 402—INTERAGENCY COOPERATION—ENDANGERED SPECIES ACT OF 1973, AS AMENDED | B | Subpart B—Consultation Procedures | § 402.12 Biological assessments. | FWS | (a) Purpose. A biological assessment shall evaluate the potential effects of the action on listed and proposed species and designated and proposed critical habitat and determine whether any such species or habitat are likely to be adversely affected by the action and is used in determining whether formal consultation or a conference is necessary. (b) Preparation requirement. (1) The procedures of this section are required for Federal actions that are “major construction activities”; provided that a contract for construction was not entered into or actual construction was not begun on or before November 10, 1978. Any person, including those who may wish to apply for an exemption from section 7(a)(2) of the Act, may prepare a biological assessment under the supervision of the Federal agency and in cooperation with the Service consistent with the procedures and requirements of this section. An exemption from the requirements of section 7(a)(2) is not permanent unless a biological assessment has been prepared. (2) The biological assessment shall be completed before any contract for construction is entered into and before construction is begun. (c) Request for information. The Federal agency or the designated non-Federal representative shall convey to the Director either (1) a written request for a list of any listed or proposed species or designated or proposed critical habitat that may be present in the action area; or (2) a written notification of the species and critical habitat that are being included in the biological assessment. (d) Director's response. Within 30 days of receipt of the notification of, or the request for, a species list, the Director shall either concur with or revise the list or, in those cases where no list has been provided, advise the Federal agency or the designated non-Federal representative in writing whether, based on the best scientific and commercial data available, any listed or proposed species or designated or proposed critical habitat may be present in the action area.… |
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CREATE TABLE cfr_sections (
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title_number INTEGER,
title_name TEXT,
chapter TEXT,
subchapter TEXT,
part_number TEXT,
part_name TEXT,
subpart TEXT,
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section_number TEXT,
section_heading TEXT,
agency TEXT,
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source_citation TEXT,
amendment_citations TEXT,
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CREATE INDEX idx_cfr_title ON cfr_sections(title_number);
CREATE INDEX idx_cfr_part ON cfr_sections(part_number);
CREATE INDEX idx_cfr_agency ON cfr_sections(agency);