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| section_id ▼ | title_number | title_name | chapter | subchapter | part_number | part_name | subpart | subpart_name | section_number | section_heading | agency | authority | source_citation | amendment_citations | full_text |
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| 17:17:5.0.2.1.4.0.43.1 | 17 | Commodity and Securities Exchanges | IV | A | 403 | PART 403—PROTECTION OF CUSTOMER SECURITIES AND BALANCES | § 403.1 Application of part to registered brokers and dealers. | SEC | [71 FR 54411, Sept. 15, 2006] | With respect to their activities in government securities, compliance by registered brokers or dealers with § 240.8c-1 of this title (SEC Rule 8c-1), as modified by § 403.2 (a), (b) and (c), with § 240.15c2-1 of this title (SEC Rule 15c2-1), with § 240.15c3-2 of this title (SEC Rule 15c3-2), as modified by § 403.3, and with § 240.15c3-3 of this title (SEC Rule 15c3-3), as modified by § 403.4 (a) through (d), (f)(2) through (3), (g) through (j), and (m), including provisions in those rules relating to OTC derivatives dealers, constitutes compliance with this part. | |||||
| 17:17:5.0.2.1.4.0.43.2 | 17 | Commodity and Securities Exchanges | IV | A | 403 | PART 403—PROTECTION OF CUSTOMER SECURITIES AND BALANCES | § 403.2 Hypothecation of customer securities. | SEC | Every registered government securities broker or dealer shall comply with the requirements of § 240.8c-1 of this title concerning hypothecation of customer securities with the following modifications: (a) In § 240.8c-1(a), the words “no government securities broker or dealer” shall be substituted for the words “no member of a national securities exchange, and no broker or dealer who transacts a business in securities through the medium of such member.” (b) Section 240.8c-1(d) is modified to read as follows: “(d) Exemption for clearing liens. The provisions of paragraphs (a)(2), (a)(3) and (f) of this section shall not apply to any lien or claim of a clearing bank, or the clearing corporation (or similar department or association) of a national securities exchange or a registered national securities association, for a loan made to acquire any securities subject to said lien and to be repaid on the same calendar day, which loan is incidental to the clearing of transactions in securities or loans through such bank, corporation, department or association; provided, however, that for the purpose of paragraph (a)(3) of this section, ‘aggregate indebtedness of all customers in respect of securities carried for their accounts’ shall not include indebtedness in respect of any securities subject to any lien or claim exempted by this paragraph.” (c) References to “member, broker or dealer” mean “government securities broker or dealer.” | ||||||
| 17:17:5.0.2.1.4.0.43.3 | 17 | Commodity and Securities Exchanges | IV | A | 403 | PART 403—PROTECTION OF CUSTOMER SECURITIES AND BALANCES | § 403.3 Use of customers' free credit balances. | SEC | Every registered government securities broker or dealer shall comply with the requirement of § 240.15c3-2 of this title concerning the use of customer free credit balances. For purposes of this section, all references to “broker or dealer” in § 240.15c3-2 shall include government securities brokers and dealers. | ||||||
| 17:17:5.0.2.1.4.0.43.4 | 17 | Commodity and Securities Exchanges | IV | A | 403 | PART 403—PROTECTION OF CUSTOMER SECURITIES AND BALANCES | § 403.4 Customer protection—reserves and custody of securities. | SEC | [52 FR 27947, July 24, 1987, as amended at 53 FR 28986, Aug. 1, 1988; 59 FR 9406, Feb. 28, 1994; 60 FR 18734, Apr. 13, 1995; 69 FR 33259, June 14, 2004] | Every registered government securities broker or dealer shall comply with the requirements of §§ 240.15c3-3 and 240.15c3-3a of this title (SEC Rule 15c3-3 and Exhibit A thereto), with the following modifications: (a) References to “broker or dealer” include government securities brokers and dealers. (b) “Fully paid securities,” as defined in § 240.15c3-3(a)(3) of this title, includes all securities held by a government securities broker or a government securities dealer for the account of a customer who has made full payment for such securities. (c) “Margin securities,” as defined in § 240.15c3-3(a)(4) of this title, includes any securities for which a customer has not made full payment and for which the customer has received an extension of credit by a government securities broker or government securities dealer for a portion of the purchase price. (d) “Excess margin securities,” as defined in § 240.15c3-3(a)(5) of this title, includes margin securities carried for the account of a customer having a market value in excess of 140 percent of the total of the debit balances in the customer's account or accounts with the broker or dealer. (e) For purposes of this section, § 240.15c3-3(b)(3)(iii)(A) of this title is modified to read as follows: (A) Must provide to the lender upon the execution of the agreement, or by the close of the business day of the loan if the loan occurs subsequent to the execution of the agreement, collateral that fully secures the loan of securities, consisting exclusively of cash or United States Treasury bills or Treasury notes or an irrevocable letter of credit issued by a bank as defined in § 3(a)(6)(A)-(C) of the Act (15 U.S.C. 78c(a)(6)(A)-(C)) or such other collateral as the Secretary designates as permissible by order as consistent with the public interest, the protection of investors, and the purposes of the Act, after giving consideration to the collateral's liquidity, (f)(1) For purposes of this section, § 240.15c3-3(b)(4)(i)(C) is modified to read as follows: “(C) Advise t… | |||||
| 17:17:5.0.2.1.4.0.43.5 | 17 | Commodity and Securities Exchanges | IV | A | 403 | PART 403—PROTECTION OF CUSTOMER SECURITIES AND BALANCES | § 403.5 Custody of securities held by financial institutions that are government securities brokers or dealers. | SEC | [52 FR 27947, July 24, 1987, as amended at 53 FR 28986, Aug. 1, 1988; 55 FR 6604, Feb. 26, 1990; 59 FR 9406, Feb. 28, 1994; 60 FR 11026, Mar. 1, 1995] | (a) A government securities broker or dealer that is a financial institution shall: (1) Comply with part 450 with respect to all government securities held for the account of customers of the financial institution in its capacity as a fiduciary or custodian (unless otherwise exempt pursuant to § 450.3); and (2) Comply with part 450 and with paragraphs (b), (c) and (d) of this section with respect to all fully paid and excess margin government securities held for customers of the financial institution in its capacity as government securities broker or dealer, and government securities that are the subject of a repurchase agreement between the financial institution and certain counterparties as described in paragraph (d) of this section. (b) A financial institution shall not be in violation of the possession or control requirements of paragraphs (c) and (d) of this section if, solely as the result of normal business operations, temporary lags occur between the time when a security is first required to be in the financial institution's possession or control and the time when it is actually placed in possession or control, provided that the financial institution takes timely steps in good faith to establish prompt possession or control. In the event that a financial institution has accepted funds from a customer for the purchase of securities and the financial institution does not initiate the purchase of the specified securities by the close of the next business day after receipt of such customer's funds, the financial institution shall immediately deposit or redeposit the funds in an account belonging to such customer and send the customer notice of such deposit or redeposit. (c)(1) On each business day a financial institution shall determine the quantity and issue of such securities, if any, that are required to be but are not in the financial institution's possession or control. As appropriate to bring such securities into possession or control, the financial institution shall: (i) Promptly obtain the releas… | |||||
| 17:17:5.0.2.1.4.0.43.6 | 17 | Commodity and Securities Exchanges | IV | A | 403 | PART 403—PROTECTION OF CUSTOMER SECURITIES AND BALANCES | § 403.6 Compliance with part by futures commission merchants. | SEC | A registered government securities broker or dealer that is also a futures commission merchant registered with the CFTC shall comply with the provisions of this part with respect to all customer funds and securities except those that are incidental to the broker's or dealer's futures-related business, as defined in § 240.3a43-1(b) of this title. For purposes of the preceding sentence, the term “customer” shall have the meaning set forth in § 240.15c3-3(a)(1) of this title. | ||||||
| 17:17:5.0.2.1.4.0.43.7 | 17 | Commodity and Securities Exchanges | IV | A | 403 | PART 403—PROTECTION OF CUSTOMER SECURITIES AND BALANCES | § 403.7 Effective dates. | SEC | [52 FR 27947, July 24, 1987, as amended at 53 FR 28986, Aug. 1, 1988; 79 FR 38456, July 8, 2014] | (a) General. Except as provided in paragraphs (b) through (e) of this section, this part shall be effective on the last business day in October 1987. (b) Confirmations. The requirements of §§ 403.4 and 403.5(d) to describe the specific securities that are the subject of a repurchase transaction, including the market value of such securities, on a confirmation at the initiation of a repurchase transaction or on substitution of other securities shall be effective January 31, 1988. (c) Written repurchase agreements. The requirement to obtain a repurchase agreement in writing with the provisions described in §§ 403.4 and 403.5(d) shall be effective October 31, 1987, in the case of new customers of a government securities broker or dealer and shall be effective January 31, 1988, in the case of existing customers of a government securities broker or dealer. For purposes of this paragraph, an “existing customer” of a government securities broker or dealer is any counterparty with whom the government securities broker or dealer has entered into a repurchase transaction on or after January 1, 1986, but before July 25, 1987. For purposes of this paragraph, a “new customer” of a government securities broker or dealer is any counterparty other than an existing customer. | |||||
| 20:20:2.0.1.1.4.0.1.1 | 20 | Employees' Benefits | III | 403 | PART 403—TESTIMONY BY EMPLOYEES AND THE PRODUCTION OF RECORDS AND INFORMATION IN LEGAL PROCEEDINGS | § 403.100 When can an SSA employee testify or produce information or records in legal proceedings? | SSA | An SSA employee can testify concerning any function of SSA or any information or record created or acquired by SSA as a result of the discharge of its official duties in any legal proceeding covered by this part only with the prior authorization of the Commissioner. An SSA employee can provide records or other information in a legal proceeding covered by this part only to the extent that doing so is consistent with 20 CFR parts 401 and 402. A request for both testimony and records or other information is considered two separate requests—one for testimony and one for records or other information. SSA maintains a policy of strict impartiality with respect to private litigants and seeks to minimize the disruption of official duties. | |||||||
| 20:20:2.0.1.1.4.0.1.10 | 20 | Employees' Benefits | III | 403 | PART 403—TESTIMONY BY EMPLOYEES AND THE PRODUCTION OF RECORDS AND INFORMATION IN LEGAL PROCEEDINGS | § 403.145 What will SSA do if you have not satisfied the conditions in this part or in 20 CFR part 401 or 402? | SSA | (a) We will provide the following information, as appropriate, to you or the court or other tribunal conducting the legal proceeding if your request states that a response is due on a particular date and the conditions prescribed in this part, or the conditions for disclosure in 20 CFR part 401 or 402, are not satisfied or we anticipate that they will not be satisfied by that date: (1) A statement that compliance with the request is not authorized under 20 CFR part 401 or 402, or is prohibited without the Commissioner's approval; (2) The requirements for obtaining the approval of the Commissioner for testimony or for obtaining information, records, or testimony under 20 CFR part 401 or 402; and (3) If the request complies with § 403.120, the estimated time necessary for a decision. We will make every reasonable effort to provide this information in writing on or before the date specified in your request. (b) Generally, if a response to a request for information, records, or testimony is due before the conditions of this part or the conditions for disclosure in 20 CFR part 401 or 402 are met, no SSA employee will appear. (c) SSA will seek the advice and assistance of the Department of Justice when appropriate. | |||||||
| 20:20:2.0.1.1.4.0.1.11 | 20 | Employees' Benefits | III | 403 | PART 403—TESTIMONY BY EMPLOYEES AND THE PRODUCTION OF RECORDS AND INFORMATION IN LEGAL PROCEEDINGS | § 403.150 Is there a fee for our services? | SSA | (a) General. Unless the Commissioner grants a waiver, you must pay fees for our services in providing information, records, or testimony. You must pay the fees as prescribed by the Commissioner. In addition, the Commissioner may require that you pay the fees in advance as a condition of providing the information, records, or testimony. Make fees payable to the Social Security Administration by check or money order. (b) Records or information. Unless the Commissioner grants a waiver, you must pay the fees for production of records or information prescribed in 20 CFR §§ 401.95 and 402.155 through 402.185, as appropriate. (c) Testimony. Unless the Commissioner grants a waiver, you must pay fees calculated to reimburse the United States Government for the full cost of providing the testimony. Those costs include, but are not limited to— (1) The salary or wages of the witness and related costs for the time necessary to prepare for and provide the testimony and any travel time, and (2) Other travel costs. (d) Waiver or reduction of fees. The Commissioner may waive or reduce fees for providing information, records, or testimony under this part. The rules in 20 CFR § 402.185 apply in determining whether to waive fees for the production of records. In deciding whether to waive or reduce fees for testimony or for production of information that does not constitute a record, the Commissioner may consider other factors, including but not limited to— (1) The ability of the party responsible for the application to pay the full amount of the chargeable fees; (2) The public interest, as described in 20 CFR § 402.185, affected by complying with the application; (3) The need for the testimony or information in order to prevent a miscarriage of justice; (4) The extent to which providing the testimony or information serves SSA's interest; and (5) The burden on SSA's resources required to provide the information or testimony. | |||||||
| 20:20:2.0.1.1.4.0.1.12 | 20 | Employees' Benefits | III | 403 | PART 403—TESTIMONY BY EMPLOYEES AND THE PRODUCTION OF RECORDS AND INFORMATION IN LEGAL PROCEEDINGS | § 403.155 Does SSA certify records? | SSA | We can certify the authenticity of copies of records we disclose pursuant to 20 CFR parts 401 and 402, and this part. We will provide this service only in response to your written request. If we certify, we will do so at the time of the disclosure and will not certify copies of records that have left our custody. A request for certified copies of records previously released is considered a new request for records. Fees for this certification are set forth in 20 CFR 402.165(e). | |||||||
| 20:20:2.0.1.1.4.0.1.2 | 20 | Employees' Benefits | III | 403 | PART 403—TESTIMONY BY EMPLOYEES AND THE PRODUCTION OF RECORDS AND INFORMATION IN LEGAL PROCEEDINGS | § 403.105 What is the relationship between this part and 20 CFR parts 401 and 402? | SSA | (a) General. Disclosure of SSA's records and information contained in those records is governed by the regulations at 20 CFR parts 401 and 402. SSA employees will not disclose records or information in any legal proceeding covered by this part except as permitted by 20 CFR parts 401 and 402. (b) Requests for information or records that do not include testimony. (1) If you do not request testimony, §§ 403.120-403.140 do not apply. (2) If 20 CFR part 401 or 402 permits disclosure to you of any requested record or information, we will make every reasonable effort to provide the disclosable information or record to you on or before the date specified in your request. (3) If neither 20 CFR part 401 nor 402 permits disclosure of information or a record you request, we will notify you as provided in § 403.145. We will also send you any notices required by part 401 or 402. | |||||||
| 20:20:2.0.1.1.4.0.1.3 | 20 | Employees' Benefits | III | 403 | PART 403—TESTIMONY BY EMPLOYEES AND THE PRODUCTION OF RECORDS AND INFORMATION IN LEGAL PROCEEDINGS | § 403.110 What special definitions apply to this part? | SSA | The following definitions apply: (a) Application means a written request for testimony that conforms to the requirements of § 403.120. (b)(1) Employee includes— (i) Any person employed in any capacity by SSA, currently or in the past; (ii) Any person appointed by, or subject to the supervision, jurisdiction, or control of SSA, the Commissioner of Social Security, or any other SSA official, currently or in the past; and (iii) Any person who is not described elsewhere in this definition but whose disclosure of information is subject to the regulations at 20 CFR part 401, currently or in the past. (2) For purposes of this paragraph (b), a person subject to SSA's jurisdiction or control includes any person hired as a contractor by SSA, any person performing services for SSA under an agreement (such as an officer or employee of a State agency involved in determining disability for SSA), and any consultant (including medical or vocational experts or medical services or consultative examination providers), contractor, or subcontractor of such person. Such a person would also include any person who has served or is serving in any advisory capacity, formal or informal. (3) For purposes of this paragraph (b), a person employed by SSA in the past is considered an employee only when the matter about which the person would testify is one in which he or she was personally involved while at SSA; where the matter concerns official information that the employee acquired while working, such as sensitive or confidential agency information; where the person purports to speak for SSA; or where significant SSA resources would be required to prepare the person to testify. Such a person would not be considered an employee when the person will rely only on expertise or general knowledge he or she acquired while working at SSA. (c) Commissioner means the Commissioner of Social Security or his or her designee(s). (d) Legal proceeding includes any pretrial, trial, and post-trial stage of any existing or reasonably anticipat… | |||||||
| 20:20:2.0.1.1.4.0.1.4 | 20 | Employees' Benefits | III | 403 | PART 403—TESTIMONY BY EMPLOYEES AND THE PRODUCTION OF RECORDS AND INFORMATION IN LEGAL PROCEEDINGS | § 403.115 When does this part apply? | SSA | (a) Except as specified in paragraph (b) of this section, this part applies to any request in connection with any legal proceeding for SSA records or other information or for testimony from SSA or its employees. This part applies to requests for testimony related to SSA's functions or to any information or record created or acquired by SSA as a result of the discharge of its official duties. (b) This part does not apply to requests for testimony— (1) In an SSA administrative proceeding; (2) In a legal proceeding to which SSA is a party (“SSA” here includes the Commissioner and any employee acting in his or her official capacity); (3) From the United States Department of Justice; (4) In a criminal proceeding in which the United States is a party; (5) In a legal proceeding initiated by state or local authorities arising from an investigation or audit initiated by, or conducted in cooperation with, SSA's Office of the Inspector General; (6) From either house of Congress; (7) In a law enforcement proceeding related to threats or acts against SSA, its employees, or its operations (“SSA” here includes the Commissioner and any employee acting in his or her official capacity); or (8) Where Federal law or regulations expressly require a Federal employee to provide testimony. | |||||||
| 20:20:2.0.1.1.4.0.1.5 | 20 | Employees' Benefits | III | 403 | PART 403—TESTIMONY BY EMPLOYEES AND THE PRODUCTION OF RECORDS AND INFORMATION IN LEGAL PROCEEDINGS | § 403.120 How do you request testimony? | SSA | [66 FR 2809, Jan. 12, 2001; 66 FR 14316, Mar. 12, 2001, as amended at 73 FR 26002, May 8, 2008; 74 FR 16327, Apr. 10, 2009; 79 FR 7577, Feb. 10, 2014; 88 FR 1329, Jan. 10, 2023] | (a) You must submit a written application for testimony of an SSA employee. Your application must- (1) Describe in detail the nature and relevance of the testimony sought in the legal proceeding; (2) Include a detailed explanation as to why you need the testimony, why you cannot obtain the information you need from an alternative source, and why providing it to you would be in SSA's interest; and (3) Provide the date and time that you need the testimony and the place where SSA would present it. (b) You must submit a complete application to SSA at least 30 days in advance of the date that you need the testimony. If your application is submitted fewer than 30 days before that date, you must provide, in addition to the requirements set out above, a detailed explanation as to why— (1) You did not apply in a timely fashion; and (2) It is in SSA's interest to review the untimely application. (c) You must send your application for testimony to: Office of the General Counsel, Office of General Law, Social Security Administration, Attn: Touhy Officer, 6401 Security Boulevard, Baltimore, MD, 21235. If you are requesting testimony of an employee of the Office of the Inspector General, send your application to the address in § 403.125. (d) The Commissioner has the sole discretion to waive any requirement in this section. (e) If your application does not include each of the items required by paragraph (a) of this section, we may return it to you for additional information. Unless the Commissioner waives one or more requirements, we will not process an incomplete or untimely application. | ||||||
| 20:20:2.0.1.1.4.0.1.6 | 20 | Employees' Benefits | III | 403 | PART 403—TESTIMONY BY EMPLOYEES AND THE PRODUCTION OF RECORDS AND INFORMATION IN LEGAL PROCEEDINGS | § 403.125 How will we handle requests for records, information, or testimony involving SSA's Office of the Inspector General? | SSA | [66 FR 2809, Jan. 12, 2001, as amended at 88 FR 1329, Jan. 10, 2023] | A request for records or information of the Office of the Inspector General or the testimony of an employee of the Office of the Inspector General will be handled in accordance with the provisions of this part, except that the Inspector General or the Inspector General's designee will make those determinations that the Commissioner otherwise would make. Send your request for records or information pertaining to the Office of the Inspector General or your application for testimony of an employee of the Office of the Inspector General to: Office of the Inspector General, Social Security Administration, 6401 Security Boulevard, Room 3-ME-1, Baltimore, MD 21235. Requests may also be sent via email to SSA.OIG.Touhy.Requests@ssa.gov. | ||||||
| 20:20:2.0.1.1.4.0.1.7 | 20 | Employees' Benefits | III | 403 | PART 403—TESTIMONY BY EMPLOYEES AND THE PRODUCTION OF RECORDS AND INFORMATION IN LEGAL PROCEEDINGS | § 403.130 What factors may the Commissioner consider in determining whether SSA will grant your application for testimony? | SSA | In deciding whether to authorize the testimony of an SSA employee, the Commissioner will consider applicable law and factors relating to your need and the burden to SSA. The considerations include, but are not limited to, the following: (a) Risk of law violation or compromise of Government privilege. (1) Would providing the testimony violate a statute (such as 26 U.S.C. 6103 or section 1106 of the Social Security Act, 42 U.S.C. 1306), Executive Order, or regulation (such as 20 CFR part 401)? (2) Would providing the testimony put confidential, sensitive, or privileged information at risk? (b) Burden on SSA. (1) Would granting the application unduly expend for private purposes the resources of the United States (including the time of SSA employees needed for official duties)? (2) Would the testimony be available in a less burdensome form or from another source? (3) Would the testimony be limited to the purpose of the request? (4) Did you previously request the same testimony in the same or a related proceeding? (c) Interests served by allowing testimony. (1) Would providing the testimony serve SSA's interest? (2) Would providing the testimony maintain SSA's policy of impartiality among private litigants? (3) Is another government agency involved in the proceeding? (4) Do you need the testimony to prevent fraud or similar misconduct? (5) Would providing the testimony be necessary to prevent a miscarriage of justice or to preserve the rights of an accused individual to due process in a criminal proceeding? | |||||||
| 20:20:2.0.1.1.4.0.1.8 | 20 | Employees' Benefits | III | 403 | PART 403—TESTIMONY BY EMPLOYEES AND THE PRODUCTION OF RECORDS AND INFORMATION IN LEGAL PROCEEDINGS | § 403.135 What happens to your application for testimony? | SSA | (a) If 20 CFR part 401 or 402 does not permit disclosure of information about which you seek testimony from an SSA employee, we will notify you under § 403.145. (b) If 20 CFR part 401 or 402 permits disclosure of the information about which you seek testimony, (1) The Commissioner makes the final decision on your application; (2) All final decisions are in the sole discretion of the Commissioner; and (3) We will notify you of the final decision on your application. | |||||||
| 20:20:2.0.1.1.4.0.1.9 | 20 | Employees' Benefits | III | 403 | PART 403—TESTIMONY BY EMPLOYEES AND THE PRODUCTION OF RECORDS AND INFORMATION IN LEGAL PROCEEDINGS | § 403.140 If the Commissioner authorizes testimony, what will be the scope and form of that testimony? | SSA | The employee's testimony must be limited to matters that were specifically approved. We will provide testimony in the form that is least burdensome to SSA unless you provide sufficient information in your application for SSA to justify a different form. For example, we will provide an affidavit or declaration rather than a deposition and a deposition rather than trial testimony. | |||||||
| 29:29:2.1.4.1.4.0.1.1 | 29 | Labor | IV | A | 403 | PART 403—LABOR ORGANIZATION ANNUAL FINANCIAL REPORTS | § 403.1 Fiscal year for reports required by this part. | OFCCP | [28 FR 14383, Dec. 27, 1963, as amended at 42 FR 59070, Nov. 15, 1977] | (a) As used in this part, unless otherwise defined, the term fiscal year means the calendar year or other period of 12 consecutive calendar months, on the basis of which financial accounts are kept by a labor organization reporting under this part. Where a labor organization designates a new fiscal year period prior to the expiration of a previously established fiscal year period, the resultant period of less than 12 consecutive calendar months, and thereafter the newly established fiscal year, shall in that order each constitute a fiscal year for purposes of the report required to be filed by section 201(b) of the Act, and of the regulations in this part. (b) A labor organization which is subject to section 201(b) of the Act for only a portion of its fiscal year because the labor organization first becomes subject to the Act during such fiscal year, may consider such portion as the entire fiscal year in making its report under this part. | |||||
| 29:29:2.1.4.1.4.0.1.10 | 29 | Labor | IV | A | 403 | PART 403—LABOR ORGANIZATION ANNUAL FINANCIAL REPORTS | § 403.10 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. | |||||
| 29:29:2.1.4.1.4.0.1.11 | 29 | Labor | IV | A | 403 | PART 403—LABOR ORGANIZATION ANNUAL FINANCIAL REPORTS | § 403.11 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. | |||||
| 29:29:2.1.4.1.4.0.1.2 | 29 | Labor | IV | A | 403 | PART 403—LABOR ORGANIZATION ANNUAL FINANCIAL REPORTS | § 403.2 Annual financial report. | OFCCP | [28 FR 14383, Dec. 27, 1963, as amended at 50 FR 31309, Aug. 1, 1985; 68 FR 58447, Oct. 9, 2003; 71 FR 57737, Sept. 29, 2006; 73 FR 57449, Oct. 2, 2008; 75 FR 74959, Dec. 1, 2010; 78 FR 8024, Feb. 5, 2013; 85 FR 13441, Mar. 6, 2020; 86 FR 74371, Dec. 30, 2021] | (a) Every labor organization shall, as prescribed by the regulations in this part, file with the Office of Labor-Management Standards within 90 days after the end of each of its fiscal years, a financial report signed by its president and treasurer, or corresponding principal officers. (b) Every labor organization shall include in its annual financial report filed as provided in paragraph (a) of this section, in such detail as may be necessary accurately to disclose its financial condition and operations for its preceding fiscal year and in such categories as prescribed by the Secretary under the provisions of this part, the information required by section 201(b) of the Act and found by the Secretary under section 208 thereof to be necessary in such report. (c) If, on the date for filing the annual financial report of a labor organization required under section 201(b) of the Act and this section, such labor organization is in trusteeship, the labor organization which has assumed trusteeship over such labor organization shall file such report as provided in § 408.5 of this chapter. | |||||
| 29:29:2.1.4.1.4.0.1.3 | 29 | Labor | IV | A | 403 | PART 403—LABOR ORGANIZATION ANNUAL FINANCIAL REPORTS | § 403.3 Form of annual financial report—detailed report. | OFCCP | [28 FR 14383, Dec. 27, 1963, as amended at 62 FR 6092, Feb. 10, 1997] | Every labor organization shall, except as expressly provided otherwise in this part, file an annual financial report as required by § 403.2, prepared on United States Department of Labor Form LM-2, “Labor Organization Annual Report,” in the detail required by the instructions accompanying the form and constituting a part thereof. Form LM-2 was revised at 58 FR 67594, December 21, 1993. | |||||
| 29:29:2.1.4.1.4.0.1.4 | 29 | Labor | IV | A | 403 | PART 403—LABOR ORGANIZATION ANNUAL FINANCIAL REPORTS | § 403.4 Simplified annual reports for smaller labor organizations. | OFCCP | [28 FR 14383, Dec. 27, 1963, as amended at 37 FR 10669, May 26, 1972; 41 FR 27318, July 2, 1976; 45 FR 7525, Feb. 1, 1980; 50 FR 31309, Aug. 1, 1985; 50 FR 31310, Aug. 1, 1985; 57 FR 49290, 49357, Oct. 30, 1992; 62 FR 6092, Feb. 10, 1997; 64 FR 71623, Dec. 21, 1999; 65 FR 21141, Apr. 20, 2000; 81 FR 33389, May 26, 2016; 86 FR 74371, Dec. 30, 2021] | (a)(1) If a labor organization, not in trusteeship, has gross annual receipts totaling less than $250,000 for its fiscal year, it may elect, subject to revocation of the privileges as provided in section 208 of the Act, to file the annual financial report called for in section 201(b) of the Act and § 403.3 of this part on United States Department of Labor Form LM-3 entitled “Labor Organization Annual Report,” in accordance with the instructions accompanying such form and constituting a part thereof. (2) If a labor organization, not in trusteeship, has gross annual receipts totaling less than $10,000 for its fiscal year, it may elect, subject to revocation of the privileges as provided in section 208 of the Act, to file the annual financial report called for in section 201(b) of the Act and § 403.3 on United States Department of Labor Form LM-4 entitled “Labor Organization Annual Report” in accordance with the instructions accompanying such form and constituting a part thereof. (b) A local labor organization not in trusteeship, which has no assets, no liabilities, no receipts and no disbursements during the period covered by the annual report of the national organization with which it is affiliated need not file the annual report required by § 403.2 if the following conditions are met: (1) It is governed by a uniform constitution and bylaws filed on its behalf pursuant to § 402.3(b) of this chapter, and does not have governing rules of its own; (2) Its members are subject to uniform fees and dues applicable to all members of the local labor organizations for which such simplified reports are submitted; (3) The national organization with which it is affiliated assumes responsibility for the accuracy of a statement filed electronically, through the electronic filing system made available on the Office of Labor-Management Standards website, covering each local labor organization covered by this paragraph (b) and containing the following information with respect to each local organization: (i) The name and desig… | |||||
| 29:29:2.1.4.1.4.0.1.5 | 29 | Labor | IV | A | 403 | PART 403—LABOR ORGANIZATION ANNUAL FINANCIAL REPORTS | § 403.5 Terminal financial report. | OFCCP | [28 FR 14383, Dec. 27, 1963, as amended at 50 FR 31309, 31310, Aug. 1, 1985; 62 FR 6092, Feb. 10, 1997; 68 FR 58447, Oct. 9, 2003; 71 FR 57737, Sept. 29, 2006; 73 FR 57449, Oct. 2, 2008; 75 FR 74959, Dec. 1, 2010; 85 FR 13442, Mar. 6, 2020; 86 FR 74371, Dec. 30, 2021] | (a) Any labor organization required to file a report under the provisions of this part, which during its fiscal year loses its identity as a reporting labor organization through merger, consolidation, or otherwise, shall, within 30 days after such loss, file a terminal financial report with the Office of Labor-Management Standards, on Form LM-2, LM-3, or LM-4, as may be appropriate, signed by the president and treasurer or corresponding principal officers of the labor organization immediately prior to the time of its loss of reporting identity. (b) Every labor organization which has assumed trusteeship over a subordinate labor organization shall file within 90 days after the termination of such trusteeship on behalf of the subordinate labor organization a terminal financial report with the Office of Labor-Management Standards, on Form LM-2 and in conformance with the requirements of this part. (c) For purposes of the reports required by paragraphs (a) and (b) of this section, the period covered thereby shall be the portion of the labor organization's fiscal year ending on the effective date of its loss of reporting identity, or the portion of the subordinate labor organization's fiscal year ending on the effective date of the termination of trusteeship over such subordinate labor organization, as the case may be. | |||||
| 29:29:2.1.4.1.4.0.1.6 | 29 | Labor | IV | A | 403 | PART 403—LABOR ORGANIZATION ANNUAL FINANCIAL REPORTS | § 403.6 Personal responsibility of signatories of reports. | OFCCP | Each individual required to sign a report under section 201(b) 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. | ||||||
| 29:29:2.1.4.1.4.0.1.7 | 29 | Labor | IV | A | 403 | PART 403—LABOR ORGANIZATION ANNUAL FINANCIAL REPORTS | § 403.7 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. | ||||||
| 29:29:2.1.4.1.4.0.1.8 | 29 | Labor | IV | A | 403 | PART 403—LABOR ORGANIZATION ANNUAL FINANCIAL REPORTS | § 403.8 Dissemination and verification of reports. | OFCCP | [28 FR 14383, Dec. 27, 1963, as amended at 68 FR 58447, Oct. 9, 2003; 71 FR 57737, Sept. 29, 2006; 73 FR 57449, Oct. 2, 2008; 75 FR 74959, Dec. 1, 2010; 85 FR 13442, Mar. 6, 2020; 86 FR 74371, Dec. 30, 2021] | (a) Every labor organization required to submit a report under section 201(b) of the Act and under this part shall make available to all its members the information required to be contained in such reports, 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. (b)(1) If a labor organization is required to file a report under this part using the Form LM-2 and indicates that it has failed or refused to disclose information required by the Form concerning any disbursement, or receipt not otherwise reported on Statement B, to an individual or entity in the amount of $5,000 or more, or any two or more disbursements, or receipts not otherwise reported on Statement B, to an individual or entity that, in the aggregate, amount to $5,000 or more, because disclosure of such information may be adverse to the organization's legitimate interests, then the failure or refusal to disclose the information shall be deemed “just cause” for purposes of paragraph (a) of this section. (2) Disclosure may be adverse to a labor organization's legitimate interests under this paragraph if disclosure would reveal confidential information concerning the organization's organizing or negotiating strategy or individuals paid by the labor organization to work in a non-union facility in order to assist the labor organization in organizing employees, provided that such individuals are not employees of the labor organization who receive more than $10,000 in the aggregate in the reporting year from the union. (c) In all other cases, a union member has the burden of establishing “just cause” for purposes of paragraph (a) of this section. | |||||
| 29:29:2.1.4.1.4.0.1.9 | 29 | Labor | IV | A | 403 | PART 403—LABOR ORGANIZATION ANNUAL FINANCIAL REPORTS | § 403.9 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(b) 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. | ||||||
| 33:33:3.0.2.1.4.0.21.1 | 33 | Navigation and Navigable Waters | IV | 403 | PART 403—RULES OF PROCEDURE OF THE JOINT TOLLS REVIEW BOARD | § 403.1 Purpose of the Joint Tolls Review Board. [Rule 1] | USACE | [47 FR 13805, Apr. 1, 1982] | The Board shall hear complaints relating to the interpretation of the St. Lawrence Seaway Tariff of Tolls or allegations of unjust discrimination arising out of the operation of the said Tariff and shall conduct such other business as agreed to by the Board (Rule 1). | ||||||
| 33:33:3.0.2.1.4.0.21.10 | 33 | Navigation and Navigable Waters | IV | 403 | PART 403—RULES OF PROCEDURE OF THE JOINT TOLLS REVIEW BOARD | § 403.10 Hearings; witnesses; affidavits. [Rule 10] | USACE | [24 FR 9307, Nov. 18, 1959; 24 FR 10445, Dec. 23, 1959. Redesignated at 47 FR 13805, Apr. 1, 1982] | (a) The witnesses at the hearings shall be examined viva voce, but the Board may, at any time, for sufficient reason, order that any particular facts may be proved by affidavit or that the affidavit of any witness may be read at the hearing, on such conditions as it may think reasonable, or that any witness whose attendance ought, for some sufficient reason to be dispensed with, be examined before a member of the Board. The evidence taken before a member of the Board shall be confined to the subject matter in question, and any objection to the admission of evidence shall be noted by the member and dealt with by the Board at the hearing. Such notice of the time and place of examination as is prescribed shall be given to the parties. All examinations shall be returned to the Board, and may without further proof be used in evidence, saving all just exceptions. (b) The Board may, whenever it deems it advisable to do so, require written briefs to be submitted by the parties. (c) The hearing, when once commenced, shall proceed, so far as in the opinion of the Board may be practicable, from day to day. [Rule 10] | ||||||
| 33:33:3.0.2.1.4.0.21.11 | 33 | Navigation and Navigable Waters | IV | 403 | PART 403—RULES OF PROCEDURE OF THE JOINT TOLLS REVIEW BOARD | § 403.11 Findings and recommendations. [Rule 11] | USACE | [24 FR 9307, Nov. 18, 1959; 24 FR 10445, Dec. 23, 1959. Redesignated at 47 FR 13805, Apr. 1, 1982] | The Board shall report its findings and recommendations in writing to The St. Lawrence Seaway Authority and the Saint Lawrence Seaway Development Corporation and shall indicate whether the recommendations represent the unanimous agreement of the members of the Board and, if not, shall indicate those items on which unanimity was not achieved. [Rule 11] | ||||||
| 33:33:3.0.2.1.4.0.21.2 | 33 | Navigation and Navigable Waters | IV | 403 | PART 403—RULES OF PROCEDURE OF THE JOINT TOLLS REVIEW BOARD | § 403.2 Scope of rules. [Rule 2] | USACE | [43 FR 30539, July 17, 1978. Redesignated at 47 FR 13805, Apr. 1, 1982] | These rules govern practice and procedure before the Joint Tolls Review Board unless the Board directs or permits a departure therefrom in any proceeding [Rule 2]. | ||||||
| 33:33:3.0.2.1.4.0.21.3 | 33 | Navigation and Navigable Waters | IV | 403 | PART 403—RULES OF PROCEDURE OF THE JOINT TOLLS REVIEW BOARD | § 403.3 Definitions. [Rule 3] | USACE | [24 FR 9307, Nov. 18, 1959; 24 FR 10445, Dec. 23, 1959, as amended at 43 FR 30539, July 17, 1978. Redesignated at 47 FR 13805, Apr. 1, 1982] | In these rules, unless the context otherwise requires: (a) Application includes complaint; (b) Affidavit includes a written affirmation; (c) Board means the Joint Tolls Review Board; (d) Words in the singular include the plural and words in the plural include the singular [Rule 3]. | ||||||
| 33:33:3.0.2.1.4.0.21.4 | 33 | Navigation and Navigable Waters | IV | 403 | PART 403—RULES OF PROCEDURE OF THE JOINT TOLLS REVIEW BOARD | § 403.4 Applications. [Rule 4] | USACE | [24 FR 9307, Nov. 18, 1959; 24 FR 10445, Dec. 23, 1959, as amended at 43 FR 30539, July 17, 1978. Redesignated and amended at 47 FR 13805, Apr. 1, 1982] | (a) Every proceeding before the Board shall be commenced by an application made to it, which shall be in writing and signed by, or on behalf of, the applicant. (b) An applicant shall file six copies of his application setting forth a clear and complete statement of the facts the grounds for the complaint, and the relief or remedy to which the applicant claims to be entitled. (c) Applicants resident in Canada shall file their complaints with the St. Lawrence Seaway Joint Tolls Reviews Board, Tower “A”, Place de Ville, 320 Queen Street, Ottawa, Ontario KIR 5A3. Applicants resident in the United States of America shall file their complaints with the St. Lawrence Seaway Joint Tolls Review Board, 800 Independence Ave., SW., Washington, D.C. 20591. Other applicants may file their complaints with the Board at either address. (d) One copy of each application received shall be held and be available for public inspection at the offices of the Board in Ottawa, Ontario, and Massena, N.Y. (e) The Board shall publish notice of the receipt of applications in the “Canada Gazette” and the Federal Register. (f) Interested parties shall have thirty days from date of publication of notice in which to make representations or to submit briefs to the Board. [Rule 4] | ||||||
| 33:33:3.0.2.1.4.0.21.5 | 33 | Navigation and Navigable Waters | IV | 403 | PART 403—RULES OF PROCEDURE OF THE JOINT TOLLS REVIEW BOARD | § 403.5 Meetings and functions of Board. [Rule 5] | USACE | [24 FR 9307, Nov. 18, 1959; 24 FR 10445, Dec. 23, 1959. Redesignated at 47 FR 13805, Apr. 1, 1982] | (a) The Board shall meet at such time and place as the Chairman may decide. (b) The Board may schedule hearings at such time and place as the Chairman may decide. (c) If hearings are scheduled the Board shall so notify applicants on record by mail, and may cause notice of the time and place of hearings to be published in the “Canada Gazette” and the Federal Register. (d) Three members of the Board, one of whom shall be the Chairman, shall constitute a quorum. (e) The Chairman shall have the right to vote at meetings of the Board and in case of equal division shall also have a casting vote. (f) The Chairman shall cause to be kept minutes of meetings and a record of proceedings at hearings. [Rule 5] | ||||||
| 33:33:3.0.2.1.4.0.21.6 | 33 | Navigation and Navigable Waters | IV | 403 | PART 403—RULES OF PROCEDURE OF THE JOINT TOLLS REVIEW BOARD | § 403.6 Additional information. [Rule 6] | USACE | [24 FR 9307, Nov. 18, 1959; 24 FR 10445, Dec. 23, 1959. Redesignated at 47 FR 13805, Apr. 1, 1982] | The Board may require further information, particulars or documents from any party. [Rule 6] | ||||||
| 33:33:3.0.2.1.4.0.21.7 | 33 | Navigation and Navigable Waters | IV | 403 | PART 403—RULES OF PROCEDURE OF THE JOINT TOLLS REVIEW BOARD | § 403.7 Action on applications; notices of requirements. [Rule 7] | USACE | [24 FR 9307, Nov. 18, 1959; 24 FR 10445, Dec. 23, 1959. Redesignated at 47 FR 13805, Apr. 1, 1982] | The Board may at any time require the whole or any part of an application, answers or reply to be verified by affidavit, by giving a notice to that effect to the party from whom the affidavit is required. It the notice is not complied with, the Board may set aside the application, answer or reply or strike out any part not verified according to the notice. [Rule 7] | ||||||
| 33:33:3.0.2.1.4.0.21.8 | 33 | Navigation and Navigable Waters | IV | 403 | PART 403—RULES OF PROCEDURE OF THE JOINT TOLLS REVIEW BOARD | § 403.8 Proceedings; stay or adjournment. [Rule 8] | USACE | [24 FR 9307, Nov. 18, 1959; 24 FR 10445, Dec. 23, 1959. Redesignated at 47 FR 13805, Apr. 1, 1982] | The Board may stay proceedings or any part of the proceedings as it thinks fit or may from time to time adjourn any proceedings before it. [Rule 8] | ||||||
| 33:33:3.0.2.1.4.0.21.9 | 33 | Navigation and Navigable Waters | IV | 403 | PART 403—RULES OF PROCEDURE OF THE JOINT TOLLS REVIEW BOARD | § 403.9 Prehearings. [Rule 9] | USACE | [24 FR 9307, Nov. 18, 1959; 24 FR 10445, Dec. 23, 1959. Redesignated at 47 FR 13805, Apr. 1, 1982] | The Board may direct, orally or in writing, parties or their representatives to appear before the Board or a member of the Board at a specified time and place for a conference prior to or during the course of a hearing or, in lieu of personally appearing, to submit suggestions in writing, for the purpose of formulating issues and considering: (a) The simplification of issues; (b) The procedure at the hearing; (c) The necessity or desirability of amending the application, answer or reply for the purpose of clarification, amplification or limitation; (d) The mutual exchange among the parties of documents and exhibits proposed to be submitted at the hearing; and (e) Such other matters as may aid in the simplification of the evidence and disposition of the proceeding. [Rule 9] | ||||||
| 40:40:31.0.1.1.4.0.1.1 | 40 | Protection of Environment | I | N | 403 | PART 403—GENERAL PRETREATMENT REGULATIONS FOR EXISTING AND NEW SOURCES OF POLLUTION | § 403.1 Purpose and applicability. | EPA | [46 FR 9439, Jan. 28, 1981, as amended at 48 FR 2776, Jan. 21, 1983; 60 FR 33932, June 29, 1995] | (a) This part implements sections 204(b)(1)(C), 208(b)(2) (C)(iii), 301(b)(1)(A)(ii), 301(b)(2) (A)(ii), 301(h)(5) and 301(i)(2), 304 (e) and (g), 307, 308, 309, 402(b), 405, and 501(a) of the Federal Water Pollution Control Act as amended by the Clean Water Act of 1977 (Pub. L. 95-217) or “The Act”. It establishes responsibilities of Federal, State, and local government, industry and the public to implement National Pretreatment Standards to control pollutants which pass through or interfere with treatment processes in Publicly Owned Treatment Works (POTWs) or which may contaminate sewage sludge. (b) This regulation applies: (1) To pollutants from non-domestic sources covered by Pretreatment Standards which are indirectly discharged into or transported by truck or rail or otherwise introduced into POTWs as defined below in § 403.3; (2) To POTWs which receive wastewater from sources subject to National Pretreatment Standards; (3) To States which have or are applying for National Pollutant Discharge Elimination System (NPDES) programs approved in accordance with section 402 of the Act; and (4) To any new or existing source subject to Pretreatment Standards. National Pretreatment Standards do not apply to sources which Discharge to a sewer which is not connected to a POTW Treatment Plant. | |||||
| 40:40:31.0.1.1.4.0.1.10 | 40 | Protection of Environment | I | N | 403 | PART 403—GENERAL PRETREATMENT REGULATIONS FOR EXISTING AND NEW SOURCES OF POLLUTION | § 403.10 Development and submission of NPDES State pretreatment programs. | EPA | [46 FR 9439, Jan. 28, 1981, as amended at 51 FR 20429, June 4, 1986; 53 FR 40612, Oct. 17, 1988; 55 FR 30131, July 24, 1990; 58 FR 18017, Apr. 7, 1993; 60 FR 33932, June 29, 1995; 80 FR 64156, Oct. 22, 2015] | (a) Approval of State Programs. No State NPDES program shall be approved under section 402 of the Act after the effective date of these regulations unless it is determined to meet the requirements of paragraph (f) of this section. Notwithstanding any other provision of this regulation, a State will be required to act upon those authorities which it currently possesses before the approval of a State Pretreatment Program. (b) [Reserved] (c) Failure to request approval. Failure of an NPDES State with a permit program approved under section 402 of the Act prior to December 27, 1977, to seek approval of a State Pretreatment Program and failure of an approved State to administer its State Pretreatment Program in accordance with the requirements of this section constitutes grounds for withdrawal of NPDES program approval under section 402(c)(3) of the Act. (d) [Reserved] (e) State Program in lieu of POTW Program. Notwithstanding the provision of § 403.8(a), a State with an approved Pretreatment Program may assume responsibility for implementing the POTW Pretreatment Program requirements set forth in § 403.8(f) in lieu of requiring the POTW to develop a Pretreatment Program. However, this does not preclude POTW's from independently developing Pretreatment Programs. (f) State Pretreatment Program requirements. In order to be approved, a request for State Pretreatment Program Approval must demonstrate that the State Pretreatment Program has the following elements: (1) Legal authority. The Attorney General's Statement submitted in accordance with paragraph (g)(1)(i) of this section shall certify that the Director has authority under State law to operate and enforce the State Pretreatment Program to the extent required by this part and by 40 CFR 123.27. At a minimum, the Director shall have the authority to: (i) Incorporate POTW Pretreatment Program conditions into permits issued to POTW's; require compliance by POTW's with these incorporated permit conditions; and require compliance by Industrial Users with… | |||||
| 40:40:31.0.1.1.4.0.1.11 | 40 | Protection of Environment | I | N | 403 | PART 403—GENERAL PRETREATMENT REGULATIONS FOR EXISTING AND NEW SOURCES OF POLLUTION | § 403.11 Approval procedures for POTW pretreatment programs and POTW granting of removal credits. | EPA | [46 FR 9439, Jan. 28, 1981, as amended at 49 FR 31224, Aug. 3, 1984; 51 FR 20429, June 4, 1986; 53 FR 40613, Oct. 17, 1988; 62 FR 38414, July 17, 1997] | The following procedures shall be adopted in approving or denying requests for approval of POTW Pretreatment Programs and applications for removal credit authorization: (a) Deadline for review of submission. The Approval Authority shall have 90 days from the date of public notice of any Submission complying with the requirements of § 403.9(b) and, where removal credit authorization is sought with §§ 403.7(e) and 403.9(d), to review the Submission. The Approval Authority shall review the Submission to determine compliance with the requirements of § 403.8 (b) and (f), and, where removal credit authorization is sought, with § 403.7. The Approval Authority may have up to an additional 90 days to complete the evaluation of the Submission if the public comment period provided for in paragraph (b)(1)(ii) of this section is extended beyond 30 days or if a public hearing is held as provided for in paragraph (b)(2) of this section. In no event, however, shall the time for evaluation of the Submission exceed a total of 180 days from the date of public notice of a Submission meeting the requirements of § 403.9(b) and, in the case of a removal credit application, §§ 403.7(e) and 403.9(b). (b) Public notice and opportunity for hearing. Upon receipt of a Submission the Approval Authority shall commence its review. Within 20 work days after making a determination that a Submission meets the requirements of § 403.9(b) and, where removal allowance approval is sought, §§ 403.7(d) and 403.9(d), the Approval Authority shall: (1) Issue a public notice of request for approval of the Submission; (i) This public notice shall be circulated in a manner designed to inform interested and potentially interested persons of the Submission. Procedures for the circulation of public notice shall include: (A) Mailing notices of the request for approval of the Submission to designated 208 planning agencies, Federal and State fish, shellfish and wildfish resource agencies (unless such agencies have asked not to be sent the notices); and to a… | |||||
| 40:40:31.0.1.1.4.0.1.12 | 40 | Protection of Environment | I | N | 403 | PART 403—GENERAL PRETREATMENT REGULATIONS FOR EXISTING AND NEW SOURCES OF POLLUTION | § 403.12 Reporting requirements for POTW's and industrial users. | EPA | [46 FR 9439, Jan. 28, 1981, as amended at 49 FR 31225, Aug. 3, 1984; 51 FR 20429, June 4, 1986; 53 FR 40613, Oct. 17, 1988; 55 FR 30131, July 24, 1990; 58 FR 18017, Apr. 7, 1993; 60 FR 33932, June 29, 1995; 62 FR 38414, July 17, 1997; 70 FR 59889, Oct. 13, 2005; 70 FR 60195, Oct. 14, 2005; 80 FR 64157 Oct. 22, 2015; 85 FR 69204, Nov. 2, 2020] | (a) [Reserved] (b) Reporting requirements for industrial users upon effective date of categorical pretreatment standard—baseline report. Within 180 days after the effective date of a categorical Pretreatment Standard, or 180 days after the final administrative decision made upon a category determination submission under § 403.6(a)(4), whichever is later, existing Industrial Users subject to such categorical Pretreatment Standards and currently discharging to or scheduled to discharge to a POTW shall be required to submit to the Control Authority a report which contains the information listed in paragraphs (b)(1)-(7) of this section. At least 90 days prior to commencement of discharge, New Sources, and sources that become Industrial Users subsequent to the promulgation of an applicable categorical Standard, shall be required to submit to the Control Authority a report which contains the information listed in paragraphs (b)(1)-(5) of this section. New sources shall also be required to include in this report information on the method of pretreatment the source intends to use to meet applicable pretreatment standards. New Sources shall give estimates of the information requested in paragraphs (b) (4) and (5) of this section: (1) Identifying information. The User shall submit the name and address of the facility including the name of the operator and owners; (2) Permits. The User shall submit a list of any environmental control permits held by or for the facility; (3) Description of operations. The User shall submit a brief description of the nature, average rate of production, and Standard Industrial Classification of the operation(s) carried out by such Industrial User. This description should include a schematic process diagram which indicates points of Discharge to the POTW from the regulated processes. (4) Flow measurement. The User shall submit information showing the measured average daily and maximum daily flow, in gallons per day, to the POTW from each of the following: (i) Regulated process s… | |||||
| 40:40:31.0.1.1.4.0.1.13 | 40 | Protection of Environment | I | N | 403 | PART 403—GENERAL PRETREATMENT REGULATIONS FOR EXISTING AND NEW SOURCES OF POLLUTION | § 403.13 Variances from categorical pretreatment standards for fundamentally different factors. | EPA | [46 FR 9439, Jan. 28, 1981, as amended at 49 FR 5132, Feb. 10, 1984; 50 FR 38811, Sept. 25, 1985; 51 FR 16030, Apr. 30, 1986; 54 FR 258, Jan. 4, 1989; 57 FR 5347, Feb. 13, 1992; 58 FR 18017, Apr. 7, 1993; 60 FR 33932, June 29, 1995; 70 FR 60198, Oct. 14, 2005] | (a) Definition. The term Requester means an Industrial User or a POTW or other interested person seeking a variance from the limits specified in a categorical Pretreatment Standard. (b) Purpose and scope. In establishing categorical Pretreatment Standards for existing sources, the EPA will take into account all the information it can collect, develop and solicit regarding the factors relevant to pretreatment standards under section 307(b). In some cases, information which may affect these Pretreatment Standards will not be available or, for other reasons, will not be considered during their development. As a result, it may be necessary on a case-by-case basis to adjust the limits in categorical Pretreatment Standards, making them either more or less stringent, as they apply to a certain Industrial User within an industrial category or subcategory. This will only be done if data specific to that Industrial User indicates it presents factors fundamentally different from those considered by EPA in developing the limit at issue. Any interested person believing that factors relating to an Industrial User are fundamentally different from the factors considered during development of a categorical Pretreatment Standard applicable to that User and further, that the existence of those factors justifies a different discharge limit than specified in the applicable categorical Pretreatment Standard, may request a fundamentally different factors variance under this section or such a variance request may be initiated by the EPA. (c) Criteria —(1) General criteria. A request for a variance based upon fundamentally different factors shall be approved only if: (i) There is an applicable categorical Pretreatment Standard which specifically controls the pollutant for which alternative limits have been requested; and (ii) Factors relating to the discharge controlled by the categorical Pretreatment Standard are fundamentally different from the factors considered by EPA in establishing the Standards; and (iii) The request… | |||||
| 40:40:31.0.1.1.4.0.1.14 | 40 | Protection of Environment | I | N | 403 | PART 403—GENERAL PRETREATMENT REGULATIONS FOR EXISTING AND NEW SOURCES OF POLLUTION | § 403.14 Confidentiality. | EPA | (a) EPA authorities. In accordance with 40 CFR part 2, any information submitted to EPA pursuant to these regulations may be claimed as confidential by the submitter. Any such claim must be asserted at the time of submission in the manner prescribed on the application form or instructions, or, in the case of other submissions, by stamping the words “confidential business information” on each page containing such information. If no claim is made at the time of submission, EPA may make the information available to the public without further notice. If a claim is asserted, the information will be treated in accordance with the procedures in 40 CFR part 2 (Public Information). (b) Effluent data. Information and data provided to the Control Authority pursuant to this part which is effluent data shall be available to the public without restriction. (c) State or POTW. All other information which is submitted to the State or POTW shall be available to the public at least to the extent provided by 40 CFR 2.302. | ||||||
| 40:40:31.0.1.1.4.0.1.15 | 40 | Protection of Environment | I | N | 403 | PART 403—GENERAL PRETREATMENT REGULATIONS FOR EXISTING AND NEW SOURCES OF POLLUTION | § 403.15 Net/Gross calculation. | EPA | [70 FR 60198, Oct. 14, 2005] | (a) Application. Categorical Pretreatment Standards may be adjusted to reflect the presence of pollutants in the Industrial User's intake water in accordance with this section. Any Industrial User wishing to obtain credit for intake pollutants must make application to the Control Authority. Upon request of the Industrial User, the applicable Standard will be calculated on a “net” basis ( i.e. , adjusted to reflect credit for pollutants in the intake water) if the requirements of paragraph (b) of this section are met. (b) Criteria. (1) Either: (i) The applicable categorical Pretreatment Standards contained in 40 CFR subchapter N specifically provide that they shall be applied on a net basis; or (ii) The Industrial User demonstrates that the control system it proposes or uses to meet applicable categorical Pretreatment Standards would, if properly installed and operated, meet the Standards in the absence of pollutants in the intake waters. (2) Credit for generic pollutants such as biochemical oxygen demand (BOD), total suspended solids (TSS), and oil and grease should not be granted unless the Industrial User demonstrates that the constituents of the generic measure in the User's effluent are substantially similar to the constituents of the generic measure in the intake water or unless appropriate additional limits are placed on process water pollutants either at the outfall or elsewhere. (3) Credit shall be granted only to the extent necessary to meet the applicable categorical Pretreatment Standard(s), up to a maximum value equal to the influent value. Additional monitoring may be necessary to determine eligibility for credits and compliance with Standard(s) adjusted under this section. (4) Credit shall be granted only if the User demonstrates that the intake water is drawn from the same body of water as that into which the POTW discharges. The Control Authority may waive this requirement if it finds that no environmental degradation will result. | |||||
| 40:40:31.0.1.1.4.0.1.16 | 40 | Protection of Environment | I | N | 403 | PART 403—GENERAL PRETREATMENT REGULATIONS FOR EXISTING AND NEW SOURCES OF POLLUTION | § 403.16 Upset provision. | EPA | [46 FR 9439, Jan. 28, 1981, as amended at 53 FR 40615, Oct. 17, 1988] | (a) Definition. For the purposes of this section, Upset means an exceptional incident in which there is unintentional and temporary noncompliance with categorical Pretreatment Standards because of factors beyond the reasonable control of the Industrial User. An Upset does not include noncompliance to the extent caused by operational error, improperly designed treatment facilities, inadequate treatment facilities, lack of preventive maintenance, or careless or improper operation. (b) Effect of an upset. An Upset shall constitute an affirmative defense to an action brought for noncompliance with categorical Pretreatment Standards if the requirements of paragraph (c) are met. (c) Conditions necessary for a demonstration of upset. An Industrial User who wishes to establish the affirmative defense of Upset shall demonstrate, through properly signed, contemporaneous operating logs, or other relevant evidence that: (1) An Upset occurred and the Industrial User can identify the cause(s) of the Upset; (2) The facility was at the time being operated in a prudent and workman-like manner and in compliance with applicable operation and maintenance procedures; (3) The Industrial User has submitted the following information to the POTW and Control Authority within 24 hours of becoming aware of the Upset (if this information is provided orally, a written submission must be provided within five days): (i) A description of the Indirect Discharge and cause of noncompliance; (ii) The period of noncompliance, including exact dates and times or, if not corrected, the anticipated time the noncompliance is expected to continue; (iii) Steps being taken and/or planned to reduce, eliminate and prevent recurrence of the noncompliance. (d) Burden of proof. In any enforcement proceeding the Industrial User seeking to establish the occurrence of an Upset shall have the burden of proof. (e) Reviewability of agency consideration of claims of upset. In the usual exercise of prosecutorial discretion, Agency enforcement person… | |||||
| 40:40:31.0.1.1.4.0.1.17 | 40 | Protection of Environment | I | N | 403 | PART 403—GENERAL PRETREATMENT REGULATIONS FOR EXISTING AND NEW SOURCES OF POLLUTION | § 403.17 Bypass. | EPA | [53 FR 40615, Oct. 17, 1988, as amended at 58 FR 18017, Apr. 7, 1993] | (a) Definitions. (1) Bypass means the intentional diversion of wastestreams from any portion of an Industrial User's treatment facility. (2) Severe property damage means substantial physical damage to property, damage to the treatment facilities which causes them to become inoperable, or substantial and permanent loss of natural resources which can reasonably be expected to occur in the absence of a bypass. Severe property damage does not mean economic loss caused by delays in production. (b) Bypass not violating applicable Pretreatment Standards or Requirements. An Industrial User may allow any bypass to occur which does not cause Pretreatment Standards or Requirements to be violated, but only if it also is for essential maintenance to assure efficient operation. These bypasses are not subject to the provision of paragraphs (c) and (d) of this section. (c) Notice. (1) If an Industrial User knows in advance of the need for a bypass, it shall submit prior notice to the Control Authority, if possible at least ten days before the date of the bypass. (2) An Industrial User shall submit oral notice of an unanticipated bypass that exceeds applicable Pretreatment Standards to the Control Authority within 24 hours from the time the Industrial User becomes aware of the bypass. A written submission shall also be provided within 5 days of the time the Industrial User becomes aware of the bypass. The written submission shall contain a description of the bypass and its cause; the duration of the bypass, including exact dates and times, and, if the bypass has not been corrected, the anticipated time it is expected to continue; and steps taken or planned to reduce, eliminate, and prevent reoccurrence of the bypass. The Control Authority may waive the written report on a case-by-case basis if the oral report has been received within 24 hours. (d) Prohibition of bypass. (1) Bypass is prohibited, and the Control Authority may take enforcement action against an Industrial User for a bypass, unless; (i) Bypass was … | |||||
| 40:40:31.0.1.1.4.0.1.18 | 40 | Protection of Environment | I | N | 403 | PART 403—GENERAL PRETREATMENT REGULATIONS FOR EXISTING AND NEW SOURCES OF POLLUTION | § 403.18 Modification of POTW pretreatment programs. | EPA | [62 FR 38414, July 17, 1997] | (a) General. Either the Approval Authority or a POTW with an approved POTW Pretreatment Program may initiate program modification at any time to reflect changing conditions at the POTW. Program modification is necessary whenever there is a significant change in the operation of a POTW Pretreatment Program that differs from the information in the POTW's submission, as approved under § 403.11. (b) Substantial modifications defined. Substantial modifications include: (1) Modifications that relax POTW legal authorities (as described in § 403.8(f)(1)), except for modifications that directly reflect a revision to this part 403 or to 40 CFR chapter I, subchapter N, and are reported pursuant to paragraph (d) of this section; (2) Modifications that relax local limits, except for the modifications to local limits for pH and reallocations of the Maximum Allowable Industrial Loading of a pollutant that do not increase the total industrial loadings for the pollutant, which are reported pursuant to paragraph (d) of this section. Maximum Allowable Industrial Loading means the total mass of a pollutant that all Industrial Users of a POTW (or a subgroup of Industrial Users identified by the POTW) may discharge pursuant to limits developed under § 403.5(c); (3) Changes to the POTW's control mechanism, as described in § 403.8(f)(1)(iii); (4) A decrease in the frequency of self-monitoring or reporting required of industrial users; (5) A decrease in the frequency of industrial user inspections or sampling by the POTW; (6) Changes to the POTW's confidentiality procedures; and (7) Other modifications designated as substantial modifications by the Approval Authority on the basis that the modification could have a significant impact on the operation of the POTW's Pretreatment Program; could result in an increase in pollutant loadings at the POTW; or could result in less stringent requirements being imposed on Industrial Users of the POTW. (c) Approval procedures for substantial modifications. (1) The POTW shall submit to t… | |||||
| 40:40:31.0.1.1.4.0.1.19 | 40 | Protection of Environment | I | N | 403 | PART 403—GENERAL PRETREATMENT REGULATIONS FOR EXISTING AND NEW SOURCES OF POLLUTION | § 403.19 Provisions of specific applicability to the Owatonna Waste Water Treatment Facility. | EPA | [65 FR 59747, Oct. 6, 2000] | (a) For the purposes of this section, the term “Participating Industrial Users” includes the following Industrial Users in the City of Owatonna, Minnesota: Crown Cork and Seal Company, Inc.; Cybex International Inc.; Josten's Inc.—Southtown Facility; SPx Corporation, Service Solutions Division; Truth Hardware Corporation; and Uber Tanning Company. (b) For a Participating Industrial User discharging to the Owatonna Waste Water Treatment Facility in Owatonna, Minnesota, when a categorical Pretreatment Standard is expressed in terms of pollutant concentration the City of Owatonna may convert the limit to a mass limit by multiplying the five-year, long-term average process flows of the Participating Industrial User (or a shorter period if production has significantly increased or decreased during the five year period) by the concentration-based categorical Pretreatment Standard. Participating Industrial Users must notify the City in the event production rates are expected to vary by more than 20 percent from a baseline production rate determined by Owatonna when it establishes a Participating Industrial User's initial mass limit. To remain eligible to receive equivalent mass limits the Participating Industrial User must maintain at least the same level of treatment as at the time the equivalent mass limit is established. Upon notification of a revised production rate from a Participating Industrial User, the City will reassess the appropriateness of the mass limit. Owatonna shall reestablish the concentration-based limit if a Participating Industrial User does not maintain at least the same level of treatment as when the equivalent mass limit was established. (c) If a categorical Participating Industrial User of the Owatonna Waste Water Treatment Facility has demonstrated through sampling and other technical factors, including a comparison of three years of effluent data with background data, that pollutants regulated through categorical Pretreatment Standards, other than 40 CFR part 414, are not expected to be pre… | |||||
| 40:40:31.0.1.1.4.0.1.2 | 40 | Protection of Environment | I | N | 403 | PART 403—GENERAL PRETREATMENT REGULATIONS FOR EXISTING AND NEW SOURCES OF POLLUTION | § 403.2 Objectives of general pretreatment regulations. | EPA | By establishing the responsibilities of government and industry to implement National Pretreatment Standards this regulation fulfills three objectives: (a) To prevent the introduction of pollutants into POTWs which will interfere with the operation of a POTW, including interference with its use or disposal of municipal sludge; (b) To prevent the introduction of pollutants into POTWs which will pass through the treatment works or otherwise be incompatible with such works; and (c) To improve opportunities to recycle and reclaim municipal and industrial wastewaters and sludges. | ||||||
| 40:40:31.0.1.1.4.0.1.20 | 40 | Protection of Environment | I | N | 403 | PART 403—GENERAL PRETREATMENT REGULATIONS FOR EXISTING AND NEW SOURCES OF POLLUTION | § 403.20 Pretreatment Program Reinvention Pilot Projects Under Project XL. | EPA | [66 FR 50339, Oct. 3, 2001] | The Approval Authority may allow any publicly owned treatment works (POTW) that has a final “Project XL” agreement to implement a Pretreatment Program that includes legal authorities and requirements that are different than the administrative requirements otherwise applicable under this part. The POTW must submit any such alternative requirements as a substantial program modification in accordance with the procedures outlined in § 403.18. The approved modified program must be incorporated as an enforceable part of the POTW's NPDES permit. The Approval Authority must include a reopener clause in the POTW's NPDES permit that directs the POTW to discontinue implementing the approved alternative requirements and resume implementation of its previously approved pretreatment program if the Approval Authority determines that the primary objectives of the Local Pilot Pretreatment Program are not being met or the “Project XL” agreement expires or is otherwise terminated. | |||||
| 40:40:31.0.1.1.4.0.1.3 | 40 | Protection of Environment | I | N | 403 | PART 403—GENERAL PRETREATMENT REGULATIONS FOR EXISTING AND NEW SOURCES OF POLLUTION | § 403.3 Definitions. | EPA | [46 FR 9439, Jan. 28, 1981, as amended at 49 FR 5132, Feb. 10, 1984; 49 FR 28059, July 10, 1984; 51 FR 20430, June 4, 1986; 51 FR 23760, July 1, 1986; 52 FR 1600, Jan. 14, 1987; 53 FR 40610, Oct. 17, 1988; 55 FR 30129, July 24, 1990; 70 FR 60191, Oct. 14, 2005] | For the purposes of this part: (a) Except as discussed below, the general definitions, abbreviations, and methods of analysis set forth in 40 CFR part 401 shall apply to this regulation. (b) The term Act means Federal Water Pollution Control Act, also known as the Clean Water Act, as amended, 33 U.S.C. 1251, et seq. (c) The term Approval Authority means the Director in an NPDES State with an approved State pretreatment program and the appropriate Regional Administrator in a non-NPDES State or NPDES State without an approved State pretreatment program. (d) The term Approved POTW Pretreatment Program or Program or POTW Pretreatment Program means a program administered by a POTW that meets the criteria established in this regulation (§§ 403.8 and 403.9) and which has been approved by a Regional Administrator or State Director in accordance with § 403.11 of this regulation. (e) The term Best Management Practices or BMPs means schedules of activities, prohibitions of practices, maintenance procedures, and other management practices to implement the prohibitions listed in § 403.5(a)(1) and (b). BMPs also include treatment requirements, operating procedures, and practices to control plant site runoff, spillage or leaks, sludge or waste disposal, or drainage from raw materials storage. (f) The term Control Authority refers to: (1) The POTW if the POTW's Pretreatment Program Submission has been approved in accordance with the requirements of § 403.11; or (2) The Approval Authority if the Submission has not been approved. (g) The term Director means the chief administrative officer of a State or Interstate water pollution control agency with an NPDES permit program approved pursuant to section 402(b) of the Act and an approved State pretreatment program. (h) The term Water Management Division Director means one of the Directors of the Water Management Divisions within the Regional offices of the Environmental Protection Agency or this person's delegated representative. (i) The term Indirect… | |||||
| 40:40:31.0.1.1.4.0.1.4 | 40 | Protection of Environment | I | N | 403 | PART 403—GENERAL PRETREATMENT REGULATIONS FOR EXISTING AND NEW SOURCES OF POLLUTION | § 403.4 State or local law. | EPA | Nothing in this regulation is intended to affect any Pretreatment Requirements, including any standards or prohibitions, established by State or local law as long as the State or local requirements are not less stringent than any set forth in National Pretreatment Standards, or any other requirements or prohibitions established under the Act or this regulation. States with an NPDES permit program approved in accordance with section 402 (b) and (c) of the Act, or States requesting NPDES programs, are responsible for developing a State pretreatment program in accordance with § 403.10 of this regulation. | ||||||
| 40:40:31.0.1.1.4.0.1.5 | 40 | Protection of Environment | I | N | 403 | PART 403—GENERAL PRETREATMENT REGULATIONS FOR EXISTING AND NEW SOURCES OF POLLUTION | § 403.5 National pretreatment standards: Prohibited discharges. | EPA | [46 FR 9439, Jan. 28, 1981, as amended at 51 FR 20430, June 4, 1986; 52 FR 1600, Jan. 14, 1987; 55 FR 30129, July 24, 1990; 60 FR 33932, June 29, 1995; 70 FR 60192, Oct. 14, 2005] | (a)(1) General prohibitions. A User may not introduce into a POTW any pollutant(s) which cause Pass Through or Interference. These general prohibitions and the specific prohibitions in paragraph (b) of this section apply to each User introducing pollutants into a POTW whether or not the User is subject to other National Pretreatment Standards or any national, State, or local Pretreatment Requirements. (2) Affirmative Defenses. A User shall have an affirmative defense in any action brought against it alleging a violation of the general prohibitions established in paragraph (a)(1) of this section and the specific prohibitions in paragraphs (b)(3), (b)(4), (b)(5), (b)(6), and (b)(7) of this section where the User can demonstrate that: (i) It did not know or have reason to know that its Discharge, alone or in conjunction with a discharge or discharges from other sources, would cause Pass Through or Interference; and (ii)(A) A local limit designed to prevent Pass Through and/or Interference, as the case may be, was developed in accordance with paragraph (c) of this section for each pollutant in the User's Discharge that caused Pass Through or Interference, and the User was in compliance with each such local limit directly prior to and during the Pass Through or Interference; or (B) If a local limit designed to prevent Pass Through and/or Interference, as the case may be, has not been developed in accordance with paragraph (c) of this section for the pollutant(s) that caused the Pass Through or Interference, the User's Discharge directly prior to and during the Pass Through or Interference did not change substantially in nature or constituents from the User's prior discharge activity when the POTW was regularly in compliance with the POTW's NPDES permit requirements and, in the case of Interference, applicable requirements for sewage sludge use or disposal. (b) Specific prohibitions. In addition, the following pollutants shall not be introduced into a POTW: (1) Pollutants which create a fire or explosion ha… | |||||
| 40:40:31.0.1.1.4.0.1.6 | 40 | Protection of Environment | I | N | 403 | PART 403—GENERAL PRETREATMENT REGULATIONS FOR EXISTING AND NEW SOURCES OF POLLUTION | § 403.6 National pretreatment standards: Categorical standards. | EPA | [46 FR 9439, Jan. 28, 1981, as amended at 49 FR 21037, May 17, 1984; 49 FR 31224, Aug. 3, 1984; 51 FR 20430, June 4, 1986; 51 FR 23760, July 1, 1986; 53 FR 40610, Oct. 17, 1988; 55 FR 30129, July 24, 1990; 58 FR 18017, Apr. 7, 1993; 70 FR 60192, Oct. 14, 2005] | National pretreatment standards specifying quantities or concentrations of pollutants or pollutant properties which may be discharged to a POTW by existing or new industrial users in specific industrial subcategories will be established as separate regulations under the appropriate subpart of 40 CFR chapter I, subchapter N. These standards, unless specifically noted otherwise, shall be in addition to all applicable pretreatment standards and requirements set forth in this part. (a) Category determination request —(1) Application deadline. Within 60 days after the effective date of a Pretreatment Standard for a subcategory under which an Industrial User may be included, the Industrial User or POTW may request that the Water Management Division Director or Director, as appropriate, provide written certification on whether the Industrial User falls within that particular subcategory. If an existing Industrial User adds or changes a process or operation which may be included in a subcategory, the existing Industrial User must request this certification prior to commencing discharge from the added or changed processes or operation. A New Source must request this certification prior to commencing discharge. Where a request for certification is submitted by a POTW, the POTW shall notify any affected Industrial User of such submission. The Industrial User may provide written comments on the POTW submission to the Water Management Division Director or Director, as appropriate, within 30 days of notification. (2) Contents of application. Each request shall contain a statement: (i) Describing which subcategories might be applicable; and (ii) Citing evidence and reasons why a particular subcategory is applicable and why others are not applicable. Any person signing the application statement submitted pursuant to this section shall make the following certification: I certify under penalty of law that this document and all attachments were prepared under my direction or supervision in accordance with a system designe… | |||||
| 40:40:31.0.1.1.4.0.1.7 | 40 | Protection of Environment | I | N | 403 | PART 403—GENERAL PRETREATMENT REGULATIONS FOR EXISTING AND NEW SOURCES OF POLLUTION | § 403.7 Removal credits. | EPA | [49 FR 31221, Aug. 3, 1984, as amended at 51 FR 20430, June 4, 1986; 53 FR 42435, Nov. 5, 1987; 58 FR 9386, Feb. 19, 1993; 58 FR 18017, Apr. 7, 1993; 70 FR 60193, Oct. 14, 2005] | (a) Introduction —(1) Definitions. For the purpose of this section: (i) Removal means a reduction in the amount of a pollutant in the POTW's effluent or alteration of the nature of a pollutant during treatment at the POTW. The reduction or alteration can be obtained by physical, chemical or biological means and may be the result of specifically designed POTW capabilities or may be incidental to the operation of the treatment system. Removal as used in this subpart shall not mean dilution of a pollutant in the POTW. (ii) Sludge requirements shall mean the following statutory provisions and regulations or permits issued thereunder (or more stringent State or local regulations): Section 405 of the Clean Water Act; the Solid Waste Disposal Act (SWDA) (including title II more commonly referred to as the Resource Conservation Recovery Act (RCRA) and State regulations contained in any State sludge management plan prepared pursuant to subtitle D of SWDA); the Clean Air Act; the Toxic Substances Control Act; and the Marine Protection, Research and Sanctuaries Act. (2) General. Any POTW receiving wastes from an Industrial User to which a categorical Pretreatment Standard(s) applies may, at its discretion and subject to the conditions of this section, grant removal credits to reflect removal by the POTW of pollutants specified in the categorical Pretreatment Standard(s). The POTW may grant a removal credit equal to or, at its discretion, less than its consistent removal rate. Upon being granted a removal credit, each affected Industrial User shall calculate its revised discharge limits in accordance with paragraph (a)(4) of this section. Removal credits may only be given for indicator or surrogate pollutants regulated in a categorical Pretreatment Standard if the categorical Pretreatment Standard so specifies. (3) Conditions for authorization to give removal credits. A POTW is authorized to give removal credits only if the following conditions are met: (i) Application. The POTW applies for, and receives, a… | |||||
| 40:40:31.0.1.1.4.0.1.8 | 40 | Protection of Environment | I | N | 403 | PART 403—GENERAL PRETREATMENT REGULATIONS FOR EXISTING AND NEW SOURCES OF POLLUTION | § 403.8 Pretreatment Program Requirements: Development and Implementation by POTW. | EPA | [46 FR 9439, Jan. 28, 1981, as amended at 49 FR 31224, Aug. 3, 1984; 51 FR 20429, 20430, June 4, 1986; 51 FR 23759, July 1, 1986; 53 FR 40612, Oct. 17, 1988; 55 FR 30129, July 24, 1990; 58 FR 18017, Apr. 7, 1993; 60 FR 33932, June 29, 1995; 62 FR 38414, July 17, 1997; 70 FR 59889, Oct. 13, 2005; 70 FR 60193, Oct. 14, 2005] | (a) POTWs required to develop a pretreatment program. Any POTW (or combination of POTWs operated by the same authority) with a total design flow greater than 5 million gallons per day (mgd) and receiving from Industrial Users pollutants which Pass Through or Interfere with the operation of the POTW or are otherwise subject to Pretreatment Standards will be required to establish a POTW Pretreatment Program unless the NPDES State exercises its option to assume local responsibilities as provided for in § 403.10(e). The Regional Administrator or Director may require that a POTW with a design flow of 5 mgd or less develop a POTW Pretreatment Program if he or she finds that the nature or volume of the industrial influent, treatment process upsets, violations of POTW effluent limitations, contamination of municipal sludge, or other circumstances warrant in order to prevent Interference with the POTW or Pass Through. (b) Deadline for Program Approval. A POTW which meets the criteria of paragraph (a) of this section must receive approval of a POTW Pretreatment Program no later than 3 years after the reissuance or modification of its existing NPDES permit but in no case later than July 1, 1983. POTWs whose NPDES permits are modified under section 301(h) of the Act shall have a Pretreatment Program within three (3) years as provided for in 40 CFR part 125, subpart G. POTWs identified after July 1, 1983 as being required to develop a POTW Pretreatment Program under paragraph (a) of this section shall develop and submit such a program for approval as soon as possible, but in no case later than one year after written notification from the Approval Authority of such identification. The POTW Pretreatment Program shall meet the criteria set forth in paragraph (f) of this section and shall be administered by the POTW to ensure compliance by Industrial Users with applicable Pretreatment Standards and Requirements. (c) Incorporation of approved programs in permits. A POTW may develop an appropriate POTW Pretreatment Program … | |||||
| 40:40:31.0.1.1.4.0.1.9 | 40 | Protection of Environment | I | N | 403 | PART 403—GENERAL PRETREATMENT REGULATIONS FOR EXISTING AND NEW SOURCES OF POLLUTION | § 403.9 POTW pretreatment programs and/or authorization to revise pretreatment standards: Submission for approval. | EPA | [53 FR 9439, Jan. 28, 1981, as amended at 53 FR 40612, Oct. 17, 1988; 58 FR 18017, Apr. 7, 1993] | (a) Who approves Program. A POTW requesting approval of a POTW Pretreatment Program shall develop a program description which includes the information set forth in paragraphs (b)(1) through (4) of this section. This description shall be submitted to the Approval Authority which will make a determination on the request for program approval in accordance with the procedures described in § 403.11. (b) Contents of POTW program submission. The program description must contain the following information: (1) A statement from the City Solicitor or a city official acting in a comparable capacity (or the attorney for those POTWs which have independent legal counsel) that the POTW has authority adequate to carry out the programs described in § 403.8. This statement shall: (i) Identify the provision of the legal authority under § 403.8(f)(1) which provides the basis for each procedure under § 403.8(f)(2); (ii) Identify the manner in which the POTW will implement the program requirements set forth in § 403.8, including the means by which Pretreatment Standards will be applied to individual Industrial Users (e.g., by order, permit, ordinance, etc.); and, (iii) Identify how the POTW intends to ensure compliance with Pretreatment Standards and Requirements, and to enforce them in the event of noncompliance by Industrial Users; (2) A copy of any statutes, ordinances, regulations, agreements, or other authorities relied upon by the POTW for its administration of the Program. This Submission shall include a statement reflecting the endorsement or approval of the local boards or bodies responsible for supervising and/or funding the POTW Pretreatment Program if approved; (3) A brief description (including organization charts) of the POTW organization which will administer the Pretreatment Program. If more than one agency is responsible for administration of the Program the responsible agencies should be identified, their respective responsibilities delineated, and their procedures for coordination set forth; and (4) A des… | |||||
| 46:46:8.0.2.13.4.1.18.1 | 46 | Shipping | III | 403 | PART 403—GREAT LAKES PILOTAGE UNIFORM ACCOUNTING SYSTEM | A | Subpart A—General | § 403.100 Applicability of system of accounts and reports. | USCG | [60 FR 18369, Apr. 11, 1995. 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] | Each Association shall keep its books of account, records and memoranda, and make reports to the Director in accordance with the guidelines of the Generally Accepted Accounting Principles (GAAP) issued by the Financial Accounting Standards Board. These guidelines are available by writing to the Director, Great Lakes Pilotage at the address listed in § 401.110(a)(9) of this chapter. | ||||
| 46:46:8.0.2.13.4.1.18.2 | 46 | Shipping | III | 403 | PART 403—GREAT LAKES PILOTAGE UNIFORM ACCOUNTING SYSTEM | A | Subpart A—General | § 403.105 Records. | USCG | (a) Each Association shall maintain the general books of account and all books, records, and supporting memoranda in such manner as to provide, at any time, full information relating to any account. Supporting memoranda must provide sufficient information to verify the nature and character of each entry and its proper classification. (b) Each Association shall maintain all books, records and memoranda in a manner that will readily permit audit and examination by the Director or the Director's representatives. All books, records and memoranda shall be protected from loss, theft, or damage by fire, flood or otherwise, and shall be retained for 10 years unless otherwise authorized by the Director. | |||||
| 46:46:8.0.2.13.4.1.18.3 | 46 | Shipping | III | 403 | PART 403—GREAT LAKES PILOTAGE UNIFORM ACCOUNTING SYSTEM | A | Subpart A—General | § 403.110 Accounting entities. | USCG | [60 FR 18369, Apr. 11, 1995, as amended by USCG-2019-0736, 85 FR 20120, Apr. 9, 2020] | (a) Each Association shall be a separate accounting entity. However, the records shall be maintained with sufficient particularity to allocate items to each pilotage pool operation or nonpool operation and to support the equitable proration of items that are common to two or more pilotage pools. (b) Each Association will maintain a separate account called the “Working Capital Fund.” Each Association will deposit into the working capital fund an amount each year at least equal to the amount calculated in Step 5, 46 CFR 404.105. Working capital funds may only be used for infrastructure improvements and infrastructure maintenance necessary to provide safe, efficient, and reliable pilot service such as pilot boat replacements, major repairs to pilot boats, non-recurring technology purchases necessary for providing pilot services, or for the acquisition of real property for use as a dispatch center, office space, or pilot lodging. The Director may grant exceptions to the requirements of this paragraph (403.110(b)) upon request by an Association. | ||||
| 46:46:8.0.2.13.4.1.18.4 | 46 | Shipping | III | 403 | PART 403—GREAT LAKES PILOTAGE UNIFORM ACCOUNTING SYSTEM | A | Subpart A—General | § 403.115 Accounting period. | USCG | Each Association subject to this part shall maintain its accounts on a calendar year basis unless otherwise approved by the Director. | |||||
| 46:46:8.0.2.13.4.2.18.1 | 46 | Shipping | III | 403 | PART 403—GREAT LAKES PILOTAGE UNIFORM ACCOUNTING SYSTEM | B | Subpart B—Inter-Association Settlements | § 403.200 General. | USCG | Each Association that shares revenues and expenses with the Canadian Great Lakes Pilotage Authority (GLPA) shall submit settlement statements regarding these activities. The settlement statements shall be completed in accordance with the terms of agreements between the United States and Canada and guidance from the Director of Great Lakes Pilotage. | |||||
| 46:46:8.0.2.13.4.3.18.1 | 46 | Shipping | III | 403 | PART 403—GREAT LAKES PILOTAGE UNIFORM ACCOUNTING SYSTEM | C | Subpart C—Reporting Requirements | § 403.300 Financial reporting requirements. | USCG | [USCG-2015-0497, 81 FR 11941, Mar. 7, 2016] | (a) Each association must maintain records for dispatching, billing, and invoicing, and make them available for Director's inspection, using the system currently approved by the Director. (b) Each association must submit the compiled financial data and any other required statistical data, and written certification of the data's accuracy signed by an officer of the association, to the Director within 30 days of the end of the annual reporting period, unless otherwise authorized by the Director. (c) By April 1 of each year, each association must obtain an unqualified audit report for the preceding year, audited and prepared in accordance with generally accepted accounting standards by an independent certified public accountant, and electronically submit that report with any associated settlement statements to the Director by April 7. | ||||
| 46:46:8.0.2.13.4.4.18.1 | 46 | Shipping | III | 403 | PART 403—GREAT LAKES PILOTAGE UNIFORM ACCOUNTING SYSTEM | D | Subpart D—Source Forms | § 403.400 Uniform pilot's source form. | USCG | [USCG-2015-0497, 81 FR 11941, Mar. 7, 2016] | (a) Each association must record pilotage transactions using the system currently approved by the Director. (b) Each pilot must complete a source form in detail as soon as possible after completion of an assignment, with adequate support for reimbursable travel expenses. (c) Upon receipt, each association must complete the source form by inserting the rates and charges specified in 46 CFR part 401. | ||||
| 50:50:11.0.3.9.4.0.1.1 | 50 | Wildlife and Fisheries | IV | A | 403 | PART 403—TRANSFER OF MARINE MAMMAL MANAGEMENT AUTHORITY TO STATES | § 403.01 Purpose and scope of regulations. | FWS | The regulations contained in this part implement section 109 of the Act which, upon a finding by the Secretary of compliance with certain requirements, provides for the transfer of marine mammal management authority to the states. (a) The regulations of this part apply the procedures for the transfer of marine mammal management authority to a state, the form and minimum requirements of a state application for the transfer of management authority, the relationship between Federal and state wildlife agencies both prior and subsequent to the transfer of management authority, and the revocation and return of management authority to the Federal Government. (b) Nothing in this part shall prevent: (1) The taking of a marine mammal by or on behalf of a Federal, state or local government official, in accordance with § 18.22 or § 216.22 of this Title and section 109(h) of the Act, or (2) the adoption or enforcement of any state law or regulation relating to any marine mammal taken before December 21, 1972. (c) The information collection requirements contained in §§ 403.03, 403.06, and 403.07 of this part do not require approval by the Office of Management and Budget under 44 U.S.C. 3501 et seq., because there are fewer than 10 respondents annually. | ||||||
| 50:50:11.0.3.9.4.0.1.2 | 50 | Wildlife and Fisheries | IV | A | 403 | PART 403—TRANSFER OF MARINE MAMMAL MANAGEMENT AUTHORITY TO STATES | § 403.02 Definitions. | FWS | The following definitions apply to this part: (a) The term species includes any population stock. (b) Optimum Sustainable Population or OSP means a population size which falls within a range from the population level of a given species or stock which is the largest supportable within the ecosystem to the population level that results in maximum net productivity. Maximum net productivity is the greatest net annual increment in population numbers or biomass resulting from additions to the population due to reproduction and/or growth less losses due to natural mortality. (c) State management program means existing and proposed state statutes, regulations, policies and other authorities which form the framework for the conservation of a species of marine mammals. (d) State regulation means the whole or part of a state agency statement of general or particular applicability and future effect designed to implement, interpret, or prescribe law or policy or describing the organization, procedure, or practice requirements of a state agency and which is duly promulgated in accordance with established procedure. (e) The Act means the Marine Mammal Protection Act (MMPA) of 1972, 16 U.S.C. 1361 et seq., as amended by Pub. L. 97-58. (f) The Secretary means the Secretary of the Interior or the Secretary of Commerce, depending on the species involved. Under section 3(11) of the Act, the Secretary of Commerce has jurisdiction over members of the order Cetacea and members, other than walruses, of the order Pinnipedia; the Secretary of the Interior has jurdisdiction over all other mammals. These secretarial authorities have been delegated to the National Marine Fisheries Service and the Fish and Wildlife Service, respectively. (g) The Service or Services means the Fish and Wildlife Service (FWS) and the National Marine Fisheries Service (NMFS), as appropriate depending on the species involved. Any determination or finding required by this part to be made by the “Service” must be made by the Director of th… | ||||||
| 50:50:11.0.3.9.4.0.1.3 | 50 | Wildlife and Fisheries | IV | A | 403 | PART 403—TRANSFER OF MARINE MAMMAL MANAGEMENT AUTHORITY TO STATES | § 403.03 Review and approval of State request for management authority. | FWS | (a) Any state may request the transfer of management authority for a species of marine mammals by submitting a written request to the Director of the Fish and Wildlife Service (“Director”) for species of marine mammals under the jurisdiction of the FWS, or to the Assistant Administrator for Fisheries of the National Marine Fisheries Service (“Assistant Administrator”) for species of marine mammals under the jurisdiction of the NMFS. The request must include: (1) Copies of existing and proposed statutes, regulations, policies and other authorities of state law which comprise those aspects of the state management program outlined in paragraph (b) of this section, and, in the case of Alaska, paragraphs (d) (1) through (3) of this section; (2) A narrative discussion of the statutes, regulations, policies and other authorities which comprise those aspects of the state management program outlined in paragraph (b) of this section, and, in the case of Alaska, paragraph (d) of this section, which explains the program in terms of the requirements of the Act and the regulations of this part; and (3) Supplementary information as required by paragraph (c) of this section. (b) A request for transfer of marine mammal management authority will not be approved unless it contains the following: (1) The scientific and common names and estimated range of the species of marine mammals subject to the state management program. (2) Provisions of state law concerning the take of marine mammals that— (i) Require that the taking of marine mammals be humane as defined by section 3(4) of the Act; (ii) Do not permit the taking of marine mammals until the following have occurred: (A) The state, pursuant to the requirements of § 403.04 of this part, has determined that the species is at its Optimum Sustainable Population (OSP) and determined the maximum number of animals that may be taken without reducing the species below its OSP, and, in the case of Alaska, when a species is below OSP, the maximum numbers that can be taken for subsis… | ||||||
| 50:50:11.0.3.9.4.0.1.4 | 50 | Wildlife and Fisheries | IV | A | 403 | PART 403—TRANSFER OF MARINE MAMMAL MANAGEMENT AUTHORITY TO STATES | § 403.04 Determinations and hearings under section 109(c) of the MMPA. | FWS | (a) Introduction. In order to gain approval of its marine mammal management program the state must provide for a process, consistent with section 109(c) of the Act, to determine the optimum sustainable population of the species and the maximum number of animals that may be taken from populations it manages without reducing the species below OSP. The state process must be completed before the state may exercise any management authority over the subject marine mammals, and it must include the elements set forth below. (b) Basis, purpose, and scope. The process set forth in this section is applicable to and required for only the determination of the OSP of the species and maximum number that may be taken without reducing it below its OSP and, in the case of Alaska if the species is below OSP, the maximum number of animals that may be taken, if any, for subsistence uses without preventing the species from increasing toward its OSP. The state need not allow the maximum take, as determined in accordance with this process, that is biologically permissible. The state may change regulations establishing bag limits, quotas, seasons, areas, manner of take, etc. within the maximum biologically permissible take pursuant to its other rulemaking criteria, authority, and procedures. Compliance with the process set forth in this section would not be required again unless the state proposes to modify its determinations of the status of the species with respect to its OSP or the maximum permissible take from that species. (c) Initial determination by the State. The state agency with responsibility for managing the species in the event management authority is transferred to the state shall make initial determinations on the basis of the best scientific evidence available of: (1) Whether or not it is at its OSP; (2) if so, the maximum number of that species that nay be taken without reducing it below its OSP; and (3) if not, in the case of Alaska, the maximum number of animals that may be taken, if any, for subsistence uses … | ||||||
| 50:50:11.0.3.9.4.0.1.5 | 50 | Wildlife and Fisheries | IV | A | 403 | PART 403—TRANSFER OF MARINE MAMMAL MANAGEMENT AUTHORITY TO STATES | § 403.05 State and Federal responsibilities after transfer of management authority. | FWS | (a) After determinations required by section 403.04 of this part have been made in respect to a species whose range extends beyond the territorial waters of the state, the state shall not exercise management authority until a cooperative allocation agreement with the Secretary has been signed and the Service has transferred management authority pursuant to § 403.03(h). The cooperative allocation agreement shall provide procedures for allocating, on a timely basis, the maximum amount of take as determined by the state pursuant to § 403.04 of this part. Such allocation shall give first priority to incidental take within the zone described in section 3(14)(B) of the Act as provided for under section 101(a) of the Act, except that in the case of Alaska, first priority shall be given to subsistence use. (b) For those species to which paragraph (a) of this section applies, the state may request the Service to regulate the taking of the species within the zone described in section 3(14)(B) of the Act for subsistence uses and/or hunting in a manner consistent with the regulation by the state of such taking within the state. If such a request is made, the Service shall adopt and enforce within such zone, such of the state's regulatory provisions as the Service considers to be consistent with the administration within such zone of section 101(a) of the Act. (c) If management authority for a species has been transferred to a state pursuant to this subpart, the Service shall provide to the state an opportunity to review all requests for permits to remove live animals from habitat within the state for scientific research or public display purposes. If the state finds that issuance of the permit would not be consistent with its management program for the species: (1) The state shall so inform the Service, together with the reasons for such finding, within 30 days of its receipt of the application, and the Service shall not issue the permit; and (2) The Service shall provide to the permit applicant and the state an opportun… | ||||||
| 50:50:11.0.3.9.4.0.1.6 | 50 | Wildlife and Fisheries | IV | A | 403 | PART 403—TRANSFER OF MARINE MAMMAL MANAGEMENT AUTHORITY TO STATES | § 403.06 Monitoring and review of State management program. | FWS | (a) The Service has responsibility to monitor and review implementation of all state management programs approved pursuant to this part. (b) In order to facilitate such review, each state to which management authority has been transferred shall submit an annual report, not later than 120 days after the close of such state's first full fiscal or calendar year following the effective date of the Service's approval of the State management program, and at the same time each following year, or at such other time as may be agreed upon. The repot shall contain the following information current for each reporting period: (1) Any changes in the state laws which comprise those aspects of the state management program submitted pursuant to § 403.03(b), and, in the case of Alaska, § 403.03(d), of this part; (2) Pertinent new data on the marine mammal species or the marine ecosystems in question including a summary of the status, trend and general health of the species; (3) A summary of available information relating to takings under the state management program; (4) A summary of state actions to protect species' habitat; (5) A summary of all state research activity on the species; (6) Any significant changes in the information provided with the original request for transfer of management authority; (7) A summary of enforcement activity; (8) A summary of budget and staffing levels for the marine mammal activities in the categories of research, management and enforcement; (9) Any other information which the Service may request, consistent with the Act as amended, or which the state deems necessary or advisable to facilitate review by the Service of state management of the species. (c) Each state having an approved management program shall file a report, in a timely manner, not to exceed 45 days from the occurrence of any of the following: (1) Any change in a relevant state law (amendments, repealers, or new legislation or regulations or judicial precedent) as submitted pursuant to paragraphs (b)(2) through (b)(5), a… | ||||||
| 50:50:11.0.3.9.4.0.1.7 | 50 | Wildlife and Fisheries | IV | A | 403 | PART 403—TRANSFER OF MARINE MAMMAL MANAGEMENT AUTHORITY TO STATES | § 403.07 Revocation and return of State management authority. | FWS | (a) Revocation of management. The Service shall have responsibility to review management of a species transferred to a state under this part and to determine whether or not the implementation of the state management program continues to comply with the requirements of the Act, this part and the state's approved management program. (1) Upon receipt of any substantial factual information suggesting that the state management program is not being implemented or is being implemented in a manner inconsistent with the Act, this part, or the state's approved management program, the Service shall, as soon as practicable but not later than 30 days after receipt, determine whether or not the state continues to comply with the requirements of the Act, this part and the state's approved management program. (2) Whenever pursuant to a review as specified in paragraph (a)(1) of this section, the Service determines that any substantial aspect of the state management program is not in compliance with the requirements of the Act, this part or the state's approved management program, it shall provide written notice to the state of its intent to revoke management authority, together with a statement, in detail, of those actions or failures to act upon which such intent to revoke is based. The Service shall publish notice of such intent to revoke in the Federal Register and invite public comment thereon, and shall conduct an informal public hearing on the matter if requested by the state or if the Service otherwise determines it to be necessary. The Service shall provide to the state an opportunity for consultation between the Service and the state concerning such actions or failures and necessary remedial actions to be taken by the state. (3) If within 90 days after notice is provided under paragraph (a)(2) of this section, the state has not taken such remedial measures as are necessary, in the judgment of the Service, to bring the state management program into compliance with the provision of the Act, this part and the state'… | ||||||
| 50:50:11.0.3.9.4.0.1.8 | 50 | Wildlife and Fisheries | IV | A | 403 | PART 403—TRANSFER OF MARINE MAMMAL MANAGEMENT AUTHORITY TO STATES | § 403.08 List of States to which management has been transferred. | FWS | The following states have received management authority pursuant to this part for the species listed and, where appropriate, cooperative allocation agreements pursuant to § 403.05(c) are in force: [Reserved] |
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CREATE TABLE cfr_sections (
section_id TEXT PRIMARY KEY,
title_number INTEGER,
title_name TEXT,
chapter TEXT,
subchapter TEXT,
part_number TEXT,
part_name TEXT,
subpart TEXT,
subpart_name TEXT,
section_number TEXT,
section_heading TEXT,
agency TEXT,
authority TEXT,
source_citation TEXT,
amendment_citations TEXT,
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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);