cfr_sections
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134 rows where part_number = 45 sorted by section_id
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| section_id ▼ | title_number | title_name | chapter | subchapter | part_number | part_name | subpart | subpart_name | section_number | section_heading | agency | authority | source_citation | amendment_citations | full_text |
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| 14:14:1.0.1.3.25.1.283.1 | 14 | Aeronautics and Space | I | C | 45 | PART 45—IDENTIFICATION AND REGISTRATION MARKING | A | Subpart A—General | § 45.1 Applicability. | FAA | [Doc. No. 2047, 29 FR 3223, Mar. 11, 1964, as amended by Amdt. 45-3, 32 FR 188, Jan. 10, 1967; Amdt. 45-26, 74 FR 53394, Oct. 16, 2009; Doc. No. FAA-2015-7396, Amdt. 45-30, 80 FR 78645, Dec. 16, 2015] | This part prescribes the requirements for— (a) Marking products and articles manufactured under— (1) A type certificate; (2) A production approval as defined under part 21 of this chapter; and (3) The provisions of an agreement between the United States and another country or jurisdiction for the acceptance of products and articles; and (b) Nationality and registration marking of aircraft registered in the United States in accordance with part 47. | |||
| 14:14:1.0.1.3.25.2.283.1 | 14 | Aeronautics and Space | I | C | 45 | PART 45—IDENTIFICATION AND REGISTRATION MARKING | B | Subpart B—Marking of Products and Articles | § 45.10 Marking. | FAA | [Doc. No. FAA-2006-25877, Amdt. 45-26, 74 FR 53394, Oct. 16, 2009] | No person may mark a product or article in accordance with this subpart unless— (a) That person produced the product or article — (1) Under part 21, subpart F, G, K, or O of this chapter; or (2) For export to the United States under the provisions of an agreement between the United States and another country or jurisdiction for the acceptance of products and articles; and (b) That product or article conforms to its approved design, and is in a condition for safe operation; and, for a TSO article; that TSO article meets the applicable performance standards. | |||
| 14:14:1.0.1.3.25.2.283.2 | 14 | Aeronautics and Space | I | C | 45 | PART 45—IDENTIFICATION AND REGISTRATION MARKING | B | Subpart B—Marking of Products and Articles | § 45.11 Marking of products. | FAA | [Amdt. 45-26, 74 FR 53394, Oct. 16, 2009, as amended by Amdt. 45-27, 76 FR 7486, Feb. 10, 2011; Doc. No. FAA-2013-0933, Amdt. 21-98, 80 FR 59031, Oct. 1, 2015, as amended by Amdt. 21-98A, 80 FR 59031, Dec. 17, 2015] | (a) Aircraft. A manufacturer of aircraft covered under § 21.182 of this chapter must mark each aircraft by attaching a fireproof identification plate that— (1) Includes the information specified in § 45.13 using an approved method of fireproof marking; (2) Must be secured in such a manner that it will not likely be defaced or removed during normal service, or lost or destroyed in an accident; and (3) Except as provided in paragraphs (d) through (h) of this section, must be secured to the aircraft fuselage exterior so that it is legible to a person on the ground, and must be either adjacent to and aft of the rear-most entrance door or on the fuselage surface near the tail surfaces. (b) Aircraft engines. A manufacturer of an aircraft engine produced under a type certificate or production certificate must mark each engine by attaching a fireproof identification plate. Such plate— (1) Must include the information specified in § 45.13 using an approved method of fireproof marking; (2) Must be affixed to the engine at an accessible location; and (3) Must be secured in such a manner that it will not likely be defaced or removed during normal service, or lost or destroyed in an accident. (c) Propellers and propeller blades and hubs. Each person who produces a propeller, propeller blade, or propeller hub under a type certificate or production certificate must mark each product or part. Except for a fixed-pitch wooden propeller, the marking must be accomplished using an approved fireproof method. The marking must— (1) Be placed on a non-critical surface; (2) Contain the information specified in § 45.13; (3) Not likely be defaced or removed during normal service; and (4) Not likely be lost or destroyed in an accident. (d) Manned free balloons. A manufacturer of manned free balloons must mark each balloon by attaching the identification plate described in paragraph (a) of this section. The plate must be secured to the balloon envelope and must be located, if practicable, where it is legible to the operat… | |||
| 14:14:1.0.1.3.25.2.283.3 | 14 | Aeronautics and Space | I | C | 45 | PART 45—IDENTIFICATION AND REGISTRATION MARKING | B | Subpart B—Marking of Products and Articles | § 45.13 Identification data. | FAA | [Amdt. 45-3, 32 FR 188, Jan. 10, 1967, as amended by Amdt. 45-10, 44 FR 45379, Aug. 2, 1979; Amdt. 45-12, 45 FR 60183, Sept. 11, 1980; Amdt. 45-20, 55 FR 32861, Aug. 10, 1990; 55 FR 37287, Sept. 10, 1990; Amdt. 45-26, 74 FR 53395, Oct. 16, 2009; Amdt. 45-28, 77 FR 76854, Dec. 31, 2012] | (a) The identification required by § 45.11 (a) through (c) must include the following information: (1) Builder's name. (2) Model designation. (3) Builder's serial number. (4) Type certificate number, if any. (5) Production certificate number, if any. (6) For aircraft engines, the established rating. (7) On or after January 1, 1984, for aircraft engines specified in part 34 of this chapter, the date of manufacture as defined in § 34.1 of this chapter, and a designation, approved by the FAA, that indicates compliance with the applicable exhaust emission provisions of part 34 of this chapter and 40 CFR part 87. Approved designations include COMPLY, EXEMPT, and NON-US, as appropriate. After December 31, 2012, approved designations also include EXEMPT NEW, and EXCEPTED SPARE, as appropriate. (i) The designation COMPLY indicates that the engine is in compliance with all of the applicable exhaust emissions provisions of part 34. For any engine with a rated thrust in excess of 26.7 kilonewtons (6000 pounds) which is not used or intended for use in commercial operations and which is in compliance with the applicable provisions of part 34, but does not comply with the hydrocarbon emissions standard of § 34.21(d), the statement “May not be used as a commercial aircraft engine” must be noted in the permanent powerplant record that accompanies the engine at the time of manufacture of the engine. (ii) The designation EXEMPT indicates that the engine has been granted an exemption pursuant to the applicable provision of § 34.7 (a)(1), (a)(4), (b), (c), or (d), and an indication of the type of exemption and the reason for the grant must be noted in the permanent powerplant record that accompanies the engine from the time of manufacture of the engine. (iii) The designation NON-US indicates that the engine has been granted an exemption pursuant to § 34.7(a)(1), and the notation “This aircraft may not be operated within the United States”, or an equivalent notation approved by the FAA, must be inserted in the aircraft logb… | |||
| 14:14:1.0.1.3.25.2.283.4 | 14 | Aeronautics and Space | I | C | 45 | PART 45—IDENTIFICATION AND REGISTRATION MARKING | B | Subpart B—Marking of Products and Articles | § 45.15 Marking requirements for PMA articles, TSO articles, and Critical parts. | FAA | [Doc. No. FAA-2006-25877, 74 FR 53395, Oct. 16, 2009] | (a) PMA articles. The manufacturer of a PMA article must permanently and legibly mark— (1) Each PMA article, with the PMA holder's name, trademark, symbol, or other FAA approved identification and part number; and (2) The letters “FAA-PMA”. (b) TSO articles. The manufacturer of a TSO article must permanently and legibly mark — (1) Each TSO article with the TSO holder's name, trademark, symbol, or other FAA approved identification and part number; and (2) Each TSO article, unless otherwise specified in the applicable TSO, with the TSO number and letter of designation, all markings specifically required by the applicable TSO, and the serial number or the date of manufacture of the article or both. (c) Critical parts. Each person who manufactures a part for which a replacement time, inspection interval, or related procedure is specified in the Airworthiness Limitations section of a manufacturer's maintenance manual or Instructions for Continued Airworthiness must permanently and legibly mark that part with a serial number (or equivalent) unique to that part in addition to the other applicable requirements of this section. (d) If the FAA finds a part or article is too small or otherwise impractical to mark with any of the information required by this part, the manufacturer must attach that information to the part or its container. | |||
| 14:14:1.0.1.3.25.2.283.5 | 14 | Aeronautics and Space | I | C | 45 | PART 45—IDENTIFICATION AND REGISTRATION MARKING | B | Subpart B—Marking of Products and Articles | § 45.16 Marking of life-limited parts. | FAA | [Doc. No. FAA-200-8017, 67 FR 2110, Jan. 15, 2002, as amended by Amdt. 45-26, 74 FR 53395, Oct. 16, 2009] | When requested by a person required to comply with § 43.10 of this chapter, the holder of a type certificate or design approval for a life-limited part must provide marking instructions, or must state that the part cannot be practicably marked without compromising its integrity. | |||
| 14:14:1.0.1.3.25.3.283.1 | 14 | Aeronautics and Space | I | C | 45 | PART 45—IDENTIFICATION AND REGISTRATION MARKING | C | Subpart C—Nationality and Registration Marks | § 45.21 General. | FAA | [Doc. No. 8093, Amdt. 45-5, 33 FR 450, Jan. 12, 1968, as amended by Amdt. 45-17, 52 FR 34102, Sept. 9, 1987] | (a) Except as provided in § 45.22, no person may operate a U.S.-registered aircraft unless that aircraft displays nationality and registration marks in accordance with the requirements of this section and §§ 45.23 through 45.33. (b) Unless otherwise authorized by the FAA, no person may place on any aircraft a design, mark, or symbol that modifies or confuses the nationality and registration marks. (c) Aircraft nationality and registration marks must— (1) Except as provided in paragraph (d) of this section, be painted on the aircraft or affixed by any other means insuring a similar degree of permanence; (2) Have no ornamentation; (3) Contrast in color with the background; and (4) Be legible. (d) The aircraft nationality and registration marks may be affixed to an aircraft with readily removable material if— (1) It is intended for immediate delivery to a foreign purchaser; (2) It is bearing a temporary registration number; or (3) It is marked temporarily to meet the requirements of § 45.22(c)(1) or § 45.29(h) of this part, or both. | |||
| 14:14:1.0.1.3.25.3.283.2 | 14 | Aeronautics and Space | I | C | 45 | PART 45—IDENTIFICATION AND REGISTRATION MARKING | C | Subpart C—Nationality and Registration Marks | § 45.22 Exhibition, antique, and other aircraft: Special rules. | FAA | [Doc. No. 8093, Amdt. 45-5, 33 FR 450, Jan. 12, 1968, as amended by Amdt. 45-13, 46 FR 48603, Oct. 1, 1981; Amdt. 45-19, 54 FR 39291, Sept. 25, 1989; Amdt. 45-18, 54 FR 34330, Aug. 18, 1989; Amdt. 45-21, 56 FR 65653, Dec. 17, 1991; Amdt. 45-22, 66 FR 21066, Apr. 27, 2001; Doc. No. FAA-2018-0119, Amdt. 45-31, 83 FR 9170, Mar. 5, 2018] | (a) When display of aircraft nationality and registration marks in accordance with §§ 45.21 and 45.23 through 45.33 would be inconsistent with exhibition of that aircraft, a U.S.-registered aircraft may be operated without displaying those marks anywhere on the aircraft if: (1) It is operated for the purpose of exhibition, including a motion picture or television production, or an airshow; (2) Except for practice and test fights necessary for exhibition purposes, it is operated only at the location of the exhibition, between the exhibition locations, and between those locations and the base of operations of the aircraft; and (3) For each flight in the United States: (i) It is operated with the prior approval of the responsible Flight Standards office, in the case of a flight within the lateral boundaries of the surface areas of Class B, Class C, Class D, or Class E airspace designated for the takeoff airport, or within 4.4 nautical miles of that airport if it is within Class G airspace; or (ii) It is operated under a flight plan filed under either § 91.153 or § 91.169 of this chapter describing the marks it displays, in the case of any other flight. (b) A small U.S.-registered aircraft built at least 30 years ago or a U.S.-registered aircraft for which an experimental certificate has been issued under § 21.191(d) or 21.191(g) for operation as an exhibition aircraft or as an amateur-built aircraft and which has the same external configuration as an aircraft built at least 30 years ago may be operated without displaying marks in accordance with §§ 45.21 and 45.23 through 45.33 if: (1) It displays in accordance with § 45.21(c) marks at least 2 inches high on each side of the fuselage or vertical tail surface consisting of the Roman capital letter “N” followed by: (i) The U.S. registration number of the aircraft; or (ii) The symbol appropriate to the airworthiness certificate of the aircraft (“C”, standard; “R”, restricted; “L”, limited; or “X”, experimental) followed by the U.S. registration number of the a… | |||
| 14:14:1.0.1.3.25.3.283.3 | 14 | Aeronautics and Space | I | C | 45 | PART 45—IDENTIFICATION AND REGISTRATION MARKING | C | Subpart C—Nationality and Registration Marks | § 45.23 Display of marks; general. | FAA | [Doc. No. 8093, Amdt. 45-5, 33 FR 450, Jan. 12, 1968, as amended by Amdt. 45-9, 42 FR 41102, Aug. 15, 1977; Amdt. 45-24, 69 FR 44863, July 27, 2004; Amdt. 45-32, 90 FR 35211, July 24, 2025] | (a) Each operator of an aircraft must display on that aircraft marks consisting of the Roman capital letter “N” (denoting United States registration) followed by the registration number of the aircraft. Each suffix letter used in the marks displayed must also be a Roman capital letter. (b) Except for unmanned aircraft, when marks include only the Roman capital letter “N” and the registration number is displayed on limited, restricted, experimental, or provisionally certificated aircraft, the operator must also display on that aircraft near each entrance to the cabin, cockpit, or pilot station, in letters not less than 2 inches nor more than 6 inches high, the words “limited,” “restricted,” “experimental,” or “provisional,” as applicable. | |||
| 14:14:1.0.1.3.25.3.283.4 | 14 | Aeronautics and Space | I | C | 45 | PART 45—IDENTIFICATION AND REGISTRATION MARKING | C | Subpart C—Nationality and Registration Marks | § 45.25 Location of marks on fixed-wing aircraft. | FAA | [Amdt. 45-9, 42 FR 41102, Aug. 15, 1977] | (a) The operator of a fixed-wing aircraft must display the required marks on either the vertical tail surfaces or the sides of the fuselage, except as provided in § 45.29(f). (b) The marks required by paragraph (a) of this section must be displayed as follows: (1) If displayed on the vertical tail surfaces, horizontally on both surfaces, horizontally on both surfaces of a single vertical tail or on the outer surfaces of a multivertical tail. However, on aircraft on which marks at least 3 inches high may be displayed in accordance with § 45.29(b)(1), the marks may be displayed vertically on the vertical tail surfaces. (2) If displayed on the fuselage surfaces, horizontally on both sides of the fuselage between the trailing edge of the wing and the leading edge of the horizontal stabilizer. However, if engine pods or other appurtenances are located in this area and are an integral part of the fuselage side surfaces, the operator may place the marks on those pods or appurtenances. | |||
| 14:14:1.0.1.3.25.3.283.5 | 14 | Aeronautics and Space | I | C | 45 | PART 45—IDENTIFICATION AND REGISTRATION MARKING | C | Subpart C—Nationality and Registration Marks | § 45.27 Location of marks; nonfixed-wing aircraft. | FAA | [Doc. No. 2047, 29 FR 3223, Mar. 11, 1964, as amended by Amdt. 45-15, 48 FR 11392, Mar. 17, 1983; Amdt. 45-24, 69 FR 44863, July 27, 2004; Amdt. 45-25, 72 FR 52469, Sept. 14, 2007] | (a) Rotorcraft. Each operator of a rotorcraft must display on that rotorcraft horizontally on both surfaces of the cabin, fuselage, boom, or tail the marks required by § 45.23. (b) Airships. Each operator of an airship must display on that airship the marks required by § 45.23, horizontally on— (1) The upper surface of the right horizontal stabilizer and on the under surface of the left horizontal stabilizer with the top of the marks toward the leading edge of each stabilizer; and (2) Each side of the bottom half of the vertical stabilizer. (c) Spherical balloons. Each operator of a spherical balloon must display the marks required by § 45.23 in two places diametrically opposite and near the maximum horizontal circumference of that balloon. (d) Nonspherical balloons. Each operator of a nonspherical balloon must display the marks required by § 45.23 on each side of the balloon near its maximum cross section and immediately above either the rigging band or the points of attachment of the basket or cabin suspension cables. (e) Powered parachutes and weight-shift-control aircraft. Each operator of a powered parachute or a weight-shift-control aircraft must display the marks required by §§ 45.23 and 45.29(b)(2) of this part. The marks must be displayed in two diametrically opposite positions on the fuselage, a structural member, or a component of the aircraft and must be visible from the side of the aircraft. | |||
| 14:14:1.0.1.3.25.3.283.6 | 14 | Aeronautics and Space | I | C | 45 | PART 45—IDENTIFICATION AND REGISTRATION MARKING | C | Subpart C—Nationality and Registration Marks | § 45.29 Size of marks. | FAA | [Doc. No. 2047, 29 FR 3223, Mar. 11, 1964, as amended by Amdt. 45-2, 31 FR 9863, July 21, 1966; Amdt. 45-9, 42 FR 41102, Aug. 15, 1977; Amdt. 45-13, 46 FR 48604, Oct. 1, 1981; Amdt. 45-15, 48 FR 11392, Mar. 17, 1983; Amdt. 45-17, 52 FR 34102, Sept. 9, 1987; 52 FR 36566, Sept. 30, 1987; Amdt. 45-24, 69 FR 44863, July 27, 2004; Amdt. 45-25, 72 FR 52469, Sept. 14, 2007; Amdt. 45-32, 90 FR 35211, July 24, 2025] | (a) Except as provided in paragraph (f) of this section, each operator of an aircraft must display marks on the aircraft meeting the size requirements of this section. (b) Height. Except as provided in paragraph (h) of this part, the nationality and registration marks must be of equal height and on— (1) Fixed-wing aircraft, must be at least 12 inches high, except that: (i) An aircraft displaying marks at least 2 inches high before November 1, 1981 and an aircraft manufactured after November 2, 1981, but before January 1, 1983, may display those marks until the aircraft is repainted or the marks are repainted, restored, or changed; (ii) Marks at least 3 inches high may be displayed on a glider; (iii) Marks at least 3 inches high may be displayed on an aircraft for which the FAA has issued an experimental airworthiness certificate under § 21.191(d), (g), (i), (k), or (l) of this chapter to operate as an exhibition aircraft, an amateur-built aircraft, or a former or kit-built light-sport category aircraft when the maximum cruising speed of the aircraft does not exceed 180 knots CAS; and (iv) Marks may be displayed on an exhibition, antique, or other aircraft in accordance with § 45.22. (2) Airships, spherical balloons, nonspherical balloons, powered parachutes, and weight-shift-control aircraft must be at least 3 inches high; and (3) Rotorcraft, must be at least 12 inches high, except that rotorcraft displaying before April 18, 1983, marks required by § 45.29(b)(3) in effect on April 17, 1983, and rotorcraft manufactured on or after April 18, 1983, but before December 31, 1983, may display those marks until the aircraft is repainted or the marks are repainted, restored, or changed. (c) Width. Characters must be two-thirds as wide as they are high, except the number “1”, which must be one-sixth as wide as it is high, and the letters “M” and “W” which may be as wide as they are high. (d) Thickness. Characters must be formed by solid lines one-sixth as thick as the character is high. (e) Spacing. The… | |||
| 14:14:1.0.1.3.25.3.283.7 | 14 | Aeronautics and Space | I | C | 45 | PART 45—IDENTIFICATION AND REGISTRATION MARKING | C | Subpart C—Nationality and Registration Marks | § 45.31 Marking of export aircraft. | FAA | A person who manufactures an aircraft in the United States for delivery outside thereof may display on that aircraft any marks required by the State of registry of the aircraft. However, no person may operate an aircraft so marked within the United States, except for test and demonstration flights for a limited period of time, or while in necessary transit to the purchaser. | ||||
| 14:14:1.0.1.3.25.3.283.8 | 14 | Aeronautics and Space | I | C | 45 | PART 45—IDENTIFICATION AND REGISTRATION MARKING | C | Subpart C—Nationality and Registration Marks | § 45.33 Sale of aircraft; removal of marks. | FAA | [Amdt. 45-11, 44 FR 61938, Oct. 29, 1979] | When an aircraft that is registered in the United States is sold, the holder of the Certificate of Aircraft Registration must remove, before its delivery to the purchaser, all United States marks from the aircraft, unless the purchaser is— (a) A citizen of the United States; (b) An individual citizen of a foreign country who is lawfully admitted for permanent residence in the United States; or (c) When the aircraft is to be based and primarily used in the United States, a corporation (other than a corporation which is a citizen of the United States) lawfully organized and doing business under the laws of the United States or any State thereof. | |||
| 17:17:2.0.1.1.5.0.1.1 | 17 | Commodity and Securities Exchanges | I | 45 | PART 45—SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS | § 45.1 Definitions. | CFTC | [85 FR 75559, Nov. 25, 2020, as amended at 85 FR 75654, Nov. 25, 2020] | (a) As used in this part: Allocation means the process by which an agent, having facilitated a single swap transaction on behalf of several clients, allocates a portion of the executed swap to the clients. As soon as technologically practicable means as soon as possible, taking into consideration the prevalence, implementation, and use of technology by comparable market participants. Asset class means a broad category of commodities, including, without limitation, any “excluded commodity” as defined in section 1a(19) of the Act, with common characteristics underlying a swap. The asset classes include interest rate, foreign exchange, credit, equity, other commodity, and such other asset classes as may be determined by the Commission. Business day means the twenty-four-hour day, on all days except Saturdays, Sundays, and legal holidays, in the location of the swap execution facility, designated contract market, or reporting counterparty reporting data for the swap. Business hours means consecutive hours during one or more consecutive business days. Clearing swap means a swap created pursuant to the rules of a derivatives clearing organization that has a derivatives clearing organization as a counterparty, including any swap that replaces an original swap that was extinguished upon acceptance of such original swap by the derivatives clearing organization for clearing. Collateral data means the data elements necessary to report information about the money, securities, or other property posted or received by a swap counterparty to margin, guarantee, or secure a swap, as specified in appendix 1 to this part. Derivatives clearing organization means a derivatives clearing organization, as defined by § 1.3 of this chapter, that is registered with the Commission. Electronic reporting (“report electronically”) means the reporting of data normalized in data elements as required by the data standard or standards used by the swap data repository to which the data is reported. Except where specifically otherwi… | ||||||
| 17:17:2.0.1.1.5.0.1.10 | 17 | Commodity and Securities Exchanges | I | 45 | PART 45—SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS | § 45.10 Reporting to a single swap data repository. | CFTC | [85 FR 75564, Nov. 25, 2020] | All swap transaction and pricing data and swap data for a given swap shall be reported to a single swap data repository, which shall be the swap data repository to which the first report of such data is made, unless the reporting counterparty changes the swap data repository to which such data is reported pursuant to paragraph (d) of this section. (a) Swaps executed on or pursuant to the rules of a swap execution facility or designated contract market. To ensure that all swap transaction and pricing data and swap data for a swap executed on or pursuant to the rules of a swap execution facility or designated contract market is reported to a single swap data repository: (1) The swap execution facility or designated contract market shall report all swap transaction and pricing data and required swap creation data for a swap to a single swap data repository. As soon as technologically practicable after execution of the swap, the swap execution facility or designated contract market shall transmit to both counterparties to the swap, and to the derivatives clearing organization, if any, that will clear the swap, the identity of the swap data repository to which such data is reported. (2) Thereafter, all swap transaction and pricing data, required swap creation data, and required swap continuation data for the swap shall be reported to that same swap data repository, unless the reporting counterparty changes the swap data repository to which such data is reported pursuant to paragraph (d) of this section. (b) Off-facility swaps that are not clearing swaps. To ensure that all swap transaction and pricing data and swap data for an off-facility swap that is not a clearing swap is reported to a single swap data repository: (1) The reporting counterparty shall report all swap transaction and pricing data and required swap creation data to a single swap data repository. As soon as technologically practicable after execution, the reporting counterparty shall transmit to the other counterparty to the swap, and to the d… | ||||||
| 17:17:2.0.1.1.5.0.1.11 | 17 | Commodity and Securities Exchanges | I | 45 | PART 45—SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS | § 45.11 Data reporting for swaps in a swap asset class not accepted by any swap data repository. | CFTC | [85 FR 75565, Nov. 25, 2020] | (a) Should there be a swap asset class for which no swap data repository currently accepts swap data, each swap execution facility, designated contract market, derivatives clearing organization, or reporting counterparty required by this part to report any required swap creation data or required swap continuation data with respect to a swap in that asset class must report that same data to the Commission. (b) Data subject to this section shall be reported at times announced by the Commission and in an electronic file in a format acceptable to the Commission. | ||||||
| 17:17:2.0.1.1.5.0.1.12 | 17 | Commodity and Securities Exchanges | I | 45 | PART 45—SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS | § 45.12 [Reserved] | CFTC | ||||||||
| 17:17:2.0.1.1.5.0.1.13 | 17 | Commodity and Securities Exchanges | I | 45 | PART 45—SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS | § 45.13 Required data standards. | CFTC | [85 FR 75565, Nov. 25, 2020] | (a) Data reported to swap data repositories. (1) In reporting required swap creation data and required swap continuation data to a swap data repository, each reporting counterparty, swap execution facility, designated contract market, and derivatives clearing organization shall report the swap data elements in appendix 1 to this part in the form and manner provided in the technical specifications published by the Commission pursuant to § 45.15. (2) In reporting required swap creation data and required swap continuation data to a swap data repository, each reporting counterparty, swap execution facility, designated contract market, and derivatives clearing organization making such report shall satisfy the swap data validation procedures of the swap data repository. (3) In reporting swap data to a swap data repository as required by this part, each reporting counterparty, swap execution facility, designated contract market, and derivatives clearing organization shall use the facilities, methods, or data standards provided or required by the swap data repository to which the entity or counterparty reports the data. (b) Data validation acceptance message. (1) For each required swap creation data or required swap continuation data report submitted to a swap data repository, a swap data repository shall notify the reporting counterparty, swap execution facility, designated contract market, derivatives clearing organization, or third-party service provider submitting the report whether the report satisfied the swap data validation procedures of the swap data repository. The swap data repository shall provide such notification as soon as technologically practicable after accepting the required swap creation data or required swap continuation data report. A swap data repository may satisfy the requirements of this paragraph by transmitting data validation acceptance messages as required by § 49.10 of this chapter. (2) If a required swap creation data or required swap continuation data report to a swap data reposit… | ||||||
| 17:17:2.0.1.1.5.0.1.14 | 17 | Commodity and Securities Exchanges | I | 45 | PART 45—SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS | § 45.14 Correcting errors in swap data and verification of swap data accuracy. | CFTC | [85 FR 75654, Nov. 25, 2020] | (a) Correction of errors —(1) Swap execution facilities, designated contract markets, and reporting counterparties. Any swap execution facility, designated contract market, or reporting counterparty that by any means becomes aware of any error relating to swap data that it was required to report under this part shall correct the error. To correct an error, the swap execution facility, designated contract market, or reporting counterparty shall submit complete and accurate swap data to the swap data repository that maintains the swap data for the relevant swap, or completely and accurately report swap data for a swap that was not previously reported to a swap data repository as required under this part, as applicable. Except as otherwise provided in this section, the requirement to correct any error applies regardless of the state of the swap that is the subject of the swap data, including a swap that has terminated, matured, or otherwise is no longer considered to be an open swap. (i) Timing requirement for correcting errors. The swap execution facility, designated contract market, or reporting counterparty shall correct any error as soon as technologically practicable after discovery of the error. In all cases, errors shall be corrected within seven business days after discovery. Any error that a reporting counterparty discovers or could have discovered during the verification process required under paragraph (b) of this section is considered discovered for the purposes of this section as of the moment the reporting counterparty began the verification process during which the error was first discovered or discoverable. (ii) Notification of failure to timely correct. If the swap execution facility, designated contract market, or reporting counterparty will, for any reason, fail to timely correct an error, the swap execution facility, designated contract market, or reporting counterparty shall notify the Director of the Division of Market Oversight, or such other employee or employees of the Commission as… | ||||||
| 17:17:2.0.1.1.5.0.1.15 | 17 | Commodity and Securities Exchanges | I | 45 | PART 45—SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS | § 45.15 Delegation of authority. | CFTC | [85 FR 75565, Nov. 25, 2020] | (a) Delegation of authority to the chief information officer. The Commission hereby delegates to its chief information officer, until the Commission orders otherwise, the authority set forth in paragraph (a) of this section, to be exercised by the chief information officer or by such other employee or employees of the Commission as may be designated from time to time by the chief information officer. The chief information officer may submit to the Commission for its consideration any matter which has been delegated in this paragraph. Nothing in this paragraph prohibits the Commission, at its election, from exercising the authority delegated in this paragraph. The authority delegated to the chief information officer by this paragraph (a) shall include: (1) The authority to determine the manner, format, coding structure, and electronic data transmission standards and procedures acceptable to the Commission for the purposes of § 45.11; (2) The authority to determine whether the Commission may permit or require use by swap execution facilities, designated contract markets, derivatives clearing organizations, or reporting counterparties in reporting pursuant to § 45.11 of one or more particular data standards (such as FIX, FpML, ISO 20022, or some other standard), to accommodate the needs of different communities of users; (3) The dates and times at which required swap creation data or required swap continuation data shall be reported pursuant to § 45.11; and (4) The chief information officer shall publish from time to time in the Federal Register and on the website of the Commission the format, data schema, electronic data transmission methods and procedures, and dates and times for reporting acceptable to the Commission with respect to swap data reporting pursuant to § 45.11. (b) Delegation of authority to the Director of the Division of Market Oversight. The Commission hereby delegates to the Director of the Division of Market Oversight, until the Commission orders otherwise, the authority set forth in §… | ||||||
| 17:17:2.0.1.1.5.0.1.2 | 17 | Commodity and Securities Exchanges | I | 45 | PART 45—SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS | § 45.2 Swap recordkeeping. | CFTC | [77 FR 2197, Jan. 13, 2012, as amended at 85 FR 75560, 75654, Nov. 25, 2020] | (a) Recordkeeping by swap execution facilities, designated contract markets, derivatives clearing organizations, swap dealers, and major swap participants. Each swap execution facility, designated contract market, derivatives clearing organization, swap dealer, and major swap participant shall keep full, complete, and systematic records, together with all pertinent data and memoranda, of all activities relating to the business of such entity or person with respect to swaps, as prescribed by the Commission. Such records shall include, without limitation, the following: (1) For swap execution facilities, all records required by part 37 of this chapter. (2) For designated contract markets, all records required by part 38 of this chapter. (3) For derivatives clearing organizations, all records required by part 39 of this chapter. (4) For swap dealers and major swap participants, all records required by part 23 of this chapter, and all records demonstrating that they are entitled, with respect to any swap, to elect the clearing requirement exception pursuant to CEA section 2(h)(7). (b) Recordkeeping by non-SD/MSP/DCO counterparties. All non-SD/MSP/DCO counterparties shall keep full, complete, and systematic records, together with all pertinent data and memoranda, with respect to each swap in which they are a counterparty, including, without limitation, all records demonstrating that they are entitled, with respect to any swap, to electany clearing requirement exception or exemption pursuant to section 2(h)(7) of the Act or part 50 of this chapter. (c) Record retention. All records required to be kept pursuant to this section shall be retained with respect to each swap throughout the life of the swap and for a period of at least five years following the final termination of the swap. (d) Retention form. Records required to be kept pursuant to this section must be kept as required by paragraph (d)(1) or (2) of this section, as applicable. (1) Records required to be kept by swap execution facilities, desi… | ||||||
| 17:17:2.0.1.1.5.0.1.3 | 17 | Commodity and Securities Exchanges | I | 45 | PART 45—SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS | § 45.3 Swap data reporting: Creation data. | CFTC | [85 FR 75561, Nov. 25, 2020] | (a) Swaps executed on or pursuant to the rules of a swap execution facility or designated contract market. For each swap executed on or pursuant to the rules of a swap execution facility or designated contract market, the swap execution facility or designated contract market shall report required swap creation data electronically to a swap data repository in the manner provided in § 45.13(a) not later than the end of the next business day following the execution date. (b) Off-facility swaps. For each off-facility swap, the reporting counterparty shall report required swap creation data electronically to a swap data repository as provided by paragraph (b)(1) or (2) of this section, as applicable. (1) If the reporting counterparty is a swap dealer, major swap participant, or derivatives clearing organization, the reporting counterparty shall report required swap creation data electronically to a swap data repository in the manner provided in § 45.13(a) not later than the end of the next business day following the execution date. (2) If the reporting counterparty is a non-SD/MSP/DCO counterparty, the reporting counterparty shall report required swap creation data electronically to a swap data repository in the manner provided in § 45.13(a) not later than the end of the second business day following the execution date. (c) Allocations. For swaps involving allocation, required swap creation data shall be reported electronically to a single swap data repository as follows. (1) Initial swap between reporting counterparty and agent. The initial swap transaction between the reporting counterparty and the agent shall be reported as required by paragraph (a) or (b) of this section, as applicable. A unique transaction identifier for the initial swap transaction shall be created as provided in § 45.5. (2) Post-allocation swaps —(i) Duties of the agent. In accordance with this section, the agent shall inform the reporting counterparty of the identities of the reporting counterparty's actual counterparties resu… | ||||||
| 17:17:2.0.1.1.5.0.1.4 | 17 | Commodity and Securities Exchanges | I | 45 | PART 45—SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS | § 45.4 Swap data reporting: Continuation data. | CFTC | [85 FR 75561, Nov. 25, 2020] | (a) Continuation data reporting method generally. For each swap, regardless of asset class, reporting counterparties and derivatives clearing organizations required to report required swap continuation data shall report life-cycle-event data for the swap electronically to a swap data repository in the manner provided in § 45.13(a) within the applicable deadlines set forth in this section. (b) Continuation data reporting for original swaps. For each original swap, the derivatives clearing organization shall report required swap continuation data, including terminations, electronically to the swap data repository to which the swap that was accepted for clearing was reported pursuant to § 45.3 in the manner provided in § 45.13(a) and in this section, and such required swap continuation data shall be accepted and recorded by such swap data repository as provided in § 49.10 of this chapter. (1) The derivatives clearing organization that accepted the swap for clearing shall report all life-cycle-event data electronically to a swap data repository in the manner provided in § 45.13(a) not later than the end of the next business day following the day that any life cycle event occurs with respect to the swap. (2) In addition to all other required swap continuation data, life-cycle-event data shall include all of the following: (i) The legal entity identifier of the swap data repository to which all required swap creation data for each clearing swap was reported by the derivatives clearing organization pursuant to § 45.3(b); (ii) The unique transaction identifier of the original swap that was replaced by the clearing swaps; and (iii) The unique transaction identifier of each clearing swap that replaces a particular original swap. (c) Continuation data reporting for swaps other than original swaps. For each swap that is not an original swap, including clearing swaps and swaps not cleared by a derivatives clearing organization, the reporting counterparty shall report all required swap continuation data electronic… | ||||||
| 17:17:2.0.1.1.5.0.1.5 | 17 | Commodity and Securities Exchanges | I | 45 | PART 45—SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS | § 45.5 Unique transaction identifiers. | CFTC | [81 FR 41775, June 27, 2016, as amended at 85 FR 75562, Nov. 25, 2020] | Each swap shall be identified in all recordkeeping and all swap data reporting pursuant to this part by the use of a unique transaction identifier, which shall be created, transmitted, and used for each swap as provided in paragraphs (a) through (h) of this section. (a) Swaps executed on or pursuant to the rules of a swap execution facility or designated contract market. For each swap executed on or pursuant to the rules of a swap execution facility or designated contract market, the swap execution facility or designated contract market shall create and transmit a unique transaction identifier as provided in paragraphs (a)(1) and (2) of this section. (1) Creation. The swap execution facility or designated contract market shall generate and assign a unique transaction identifier at, or as soon as technologically practicable following, the time of execution of the swap, and prior to the reporting of required swap creation data. The unique transaction identifier shall consist of a single data element with a maximum length of 52 characters that contains two components: (i) The legal entity identifier of the swap execution facility or designated contract market; and (ii) An alphanumeric code generated and assigned to that swap by the automated systems of the swap execution facility or designated contract market, which shall be unique with respect to all such codes generated and assigned by that swap execution facility or designated contract market. (2) Transmission. The swap execution facility or designated contract market shall transmit the unique transaction identifier electronically as follows: (i) To the swap data repository to which the swap execution facility or designated contract market reports required swap creation data for the swap, as part of that report; (ii) To each counterparty to the swap, as soon as technologically practicable after execution of the swap; (iii) To the derivatives clearing organization, if any, to which the swap is submitted for clearing, as part of the required swap crea… | ||||||
| 17:17:2.0.1.1.5.0.1.6 | 17 | Commodity and Securities Exchanges | I | 45 | PART 45—SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS | § 45.6 Legal entity identifiers. | CFTC | [85 FR 75563, Nov. 25, 2020] | Each swap execution facility, designated contract market, derivatives clearing organization, swap data repository, entity reporting pursuant to § 45.9, and counterparty to any swap that is eligible to receive a legal entity identifier shall obtain, maintain, and be identified in all recordkeeping and all swap data reporting pursuant to this part by a single legal entity identifier as specified in this section. (a) Definitions. As used in this section: Local operating unit means an entity authorized under the standards of the Global Legal Entity Identifier System to issue legal entity identifiers. Reference data means all identification and relationship information, as set forth in the standards of the Global Legal Entity Identifier System, of the legal entity or individual to which a legal entity identifier is assigned. Self-registration means submission by a legal entity or individual of its own reference data. Third-party registration means submission of reference data for a legal entity or individual that is or may become a swap counterparty, made by an entity or organization other than the legal entity or individual identified by the submitted reference data. Examples of third-party registration include, without limitation, submission by a swap dealer or major swap participant of reference data for its swap counterparties, and submission by a national numbering agency, national registration agency, or data service provider of reference data concerning legal entities or individuals with respect to which the agency or service provider maintains information. (b) International standard for the legal entity identifier. The legal entity identifier used in all recordkeeping and all swap data reporting required by this part shall be issued under, and shall conform to, ISO Standard 17442, Legal Entity Identifier (LEI), issued by the International Organization for Standardization. (c) Reference data reporting. Reference data for each swap execution facility, designated contract market, derivatives clea… | ||||||
| 17:17:2.0.1.1.5.0.1.7 | 17 | Commodity and Securities Exchanges | I | 45 | PART 45—SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS | § 45.7 Unique product identifiers. | CFTC | [77 FR 2197, Jan. 13, 2012, as amended at 85 FR 75563, Nov. 25, 2020] | Each swap shall be identified in all recordkeeping and all swap data reporting pursuant to this part by means of a unique product identifier and product classification system as specified in this section. Each swap sufficiently standardized to receive a unique product identifier shall be identified by a unique product identifier. Each swap not sufficiently standardized for this purpose shall be identified by its description using the product classification system. (a) Requirements for the unique product identifier and product classification system. The unique product identifier and product classification system shall identify and describe the swap asset class and the sub-type within that asset class to which the swap belongs, and the underlying product for the swap, with sufficient distinctiveness and specificity to enable the Commission and other financial regulators to fulfill their regulatory responsibilities and to assist in real time reporting of swaps as provided in the Act and part 43 of this chapter. The level of distinctiveness and specificity which the unique product identifier will provide shall be determined separately for each swap asset class. (b) Designation of the unique product identifier and product classification system. (1) The Commission shall determine when a unique product identifier and product classification system that is acceptable to the Commission and satisfies the requirements set forth in this section is available for use in compliance with this section. (2) When the Commission determines that such a unique product identifier and product classification system is available, the Commission shall designate the unique product identifier and product classification system to be used in recordkeeping and swap data reporting pursuant to this part, by means of a Commission order that is published in the Federal Register and on the Web site of the Commission, as soon as practicable after such determination is made. The order shall include notice of this designation, the contact infor… | ||||||
| 17:17:2.0.1.1.5.0.1.8 | 17 | Commodity and Securities Exchanges | I | 45 | PART 45—SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS | § 45.8 Determination of which counterparty shall report. | CFTC | [81 FR 41777, June 27, 2016, as amended at 85 FR 75563, Nov. 25, 2020] | The determination of which counterparty is the reporting counterparty for each swap shall be made as provided in this section. (a) If only one counterparty is a swap dealer, the swap dealer shall be the reporting counterparty. (b) If neither counterparty is a swap dealer, and only one counterparty is a major swap participant, the major swap participant shall be the reporting counterparty. (c) If both counterparties are non-SD/MSP/DCO counterparties, and only one counterparty is a financial entity as defined in CEA section 2(h)(7)(C), the counterparty that is a financial entity shall be the reporting counterparty. (d) If both counterparties are swap dealers, or both counterparties are major swap participants, or both counterparties are non-SD/MSP/DCO counterparties that are financial entities as defined in CEA section 2(h)(7)(C), or both counterparties are non-SD/MSP/DCO counterparties and neither counterparty is a financial entity as defined in CEA section 2(h)(7)(C): (1) For a swap executed on or pursuant to the rules of a swap execution facility or designated contract market, the counterparties shall agree which counterparty shall be the reporting counterparty. (2) For an off-facility swap, the counterparties shall agree as one term of their swap which counterparty shall be the reporting counterparty. (e) Notwithstanding the provisions of paragraphs (a) through (d) of this section, if both counterparties to a swap are non-SD/MSP/DCO counterparties and only one counterparty is a U.S. person, that counterparty shall be the reporting counterparty. (f) Notwithstanding the provisions of paragraphs (a) through (e) of this section, if neither counterparty to a swap is a U.S. person, but the swap is executed on or pursuant to the rules of a swap execution facility or designated contract market or otherwise executed in the United States, or is cleared by a derivatives clearing organization: (1) For such a swap executed on or pursuant to the rules of a swap execution facility or designated contract market, the c… | ||||||
| 17:17:2.0.1.1.5.0.1.9 | 17 | Commodity and Securities Exchanges | I | 45 | PART 45—SWAP DATA RECORDKEEPING AND REPORTING REQUIREMENTS | § 45.9 Third-party facilitation of data reporting. | CFTC | [77 FR 2197, Jan. 13, 2012, as amended at 85 FR 75564, Nov. 25, 2020] | Registered entities and reporting counterparties required by this part to report required swap creation data or required swap continuation data, while remaining fully responsible for reporting as required by this part, may contract with third-party service providers to facilitate reporting. | ||||||
| 28:28:2.0.1.1.3.0.1.1 | 28 | Judicial Administration | I | 45 | PART 45—EMPLOYEE RESPONSIBILITIES | § 45.1 Cross-reference to ethical standards and financial disclosure regulations. | DOJ | [61 FR 59815, Nov. 25, 1996] | Employees of the Department of Justice are subject to the executive branch-wide Standards of Ethical Conduct at 5 CFR part 2635, the Department of Justice regulations at 5 CFR part 3801 which supplement the executive branch-wide standards, the executive branch-wide financial disclosure regulations at 5 CFR part 2634 and the executive branch-wide employee responsibilities and conduct regulations at 5 CFR part 735. | ||||||
| 28:28:2.0.1.1.3.0.1.2 | 28 | Judicial Administration | I | 45 | PART 45—EMPLOYEE RESPONSIBILITIES | § 45.2 Disqualification arising from personal or political relationship. | DOJ | [Order No. 993-83, 48 FR 2319, Jan. 19, 1983. Redesignated at 61 FR 59815, Nov. 25, 1996] | (a) Unless authorized under paragraph (b) of this section, no employee shall participate in a criminal investigation or prosecution if he has a personal or political relationship with: (1) Any person or organization substantially involved in the conduct that is the subject of the investigation or prosecution; or (2) Any person or organization which he knows has a specific and substantial interest that would be directly affected by the outcome of the investigation or prosecution. (b) An employee assigned to or otherwise participating in a criminal investigation or prosecution who believes that his participation may be prohibited by paragraph (a) of this section shall report the matter and all attendant facts and circumstances to his supervisor at the level of section chief or the equivalent or higher. If the supervisor determines that a personal or political relationship exists between the employee and a person or organization described in paragraph (a) of this section, he shall relieve the employee from participation unless he determines further, in writing, after full consideration of all the facts and circumstances, that: (1) The relationship will not have the effect of rendering the employee's service less than fully impartial and professional; and (2) The employee's participation would not create an appearance of a conflict of interest likely to affect the public perception of the integrity of the investigation or prosecution. (c) For the purposes of this section: (1) Political relationship means a close identification with an elected official, a candidate (whether or not successful) for elective, public office, a political party, or a campaign organization, arising from service as a principal adviser thereto or a principal official thereof; and (2) Personal relationship means a close and substantial connection of the type normally viewed as likely to induce partiality. An employee is presumed to have a personal relationship with his father, mother, brother, sister, child and spouse. Whether relat… | ||||||
| 28:28:2.0.1.1.3.0.1.3 | 28 | Judicial Administration | I | 45 | PART 45—EMPLOYEE RESPONSIBILITIES | § 45.3 Disciplinary proceedings under 18 U.S.C. 207(j). | DOJ | [Order No. 889-80, 45 FR 31717, May 14, 1980. Redesignated at 61 FR 59815, Nov. 25, 1996, and further redesignated at 62 FR 23943, May 2, 1997] | (a) Upon a determination by the Assistant Attorney General in charge of the Criminal Division (Assistant Attorney General), after investigation, that there is reasonable cause to believe that a former officer or employee, including a former special Government employee, of the Department of Justice (former departmental employee) has violated 18 U.S.C. 207 (a), (b) or (c), the Assistant Attorney General shall cause a copy of written charges of the violation(s) to be served upon such individual, either personally or by registered mail. The charges shall be accompanied by a notice to the former departmental employee to show cause within a specified time of not less than 30 days after receipt of the notice why he or she should not be prohibited from engaging in representational activities in relation to matters pending in the Department of Justice, as authorized by 18 U.S.C. 207(j), or subjected to other appropriate disciplinary action under that statute. The notice to show cause shall include: (1) A statement of allegations, and their basis, sufficiently detailed to enable the former departmental employee to prepare an adequate defense, (2) Notification of the right to a hearing, and (3) An explanation of the method by which a hearing may be requested. (b) If a former departmental employee who submits an answer to the notice to show cause does not request a hearing or if the Assistant Attorney General does not receive an answer within five days after the expiration of the time prescribed by the notice, the Assistant Attorney General shall forward the record, including the report(s) of investigation, to the Attorney General. In the case of a failure to answer, such failure shall constitute a waiver of defense. (c) Upon receipt of a former departmental employee's request for a hearing, the Assistant Attorney General shall notify him or her of the time and place thereof, giving due regard both to such person's need for an adequate period to prepare a suitable defense and an expeditious resolution of allegations tha… | ||||||
| 28:28:2.0.1.1.3.0.1.4 | 28 | Judicial Administration | I | 45 | PART 45—EMPLOYEE RESPONSIBILITIES | § 45.4 Personal use of Government property. | DOJ | [62 FR 23943, May 2, 1997] | (a) Employees may use Government property only for official business or as authorized by the Government. See 5 CFR 2635.101(b)(9), 2635.704(a). The following uses of Government office and library equipment and facilities are hereby authorized: (1) Personal uses that involve only negligible expense (such as electricity, ink, small amounts of paper, and ordinary wear and tear); and (2) Limited personal telephone/fax calls to locations within the office's commuting area, or that are charged to non-Government accounts. (b) The foregoing authorization does not override any statutes, rules, or regulations governing the use of specific types of Government property (e.g. internal Departmental policies governing the use of electronic mail; and 41 CFR (FPMR) 101-35.201, governing the authorized use of long-distance telephone services), and may be revoked or limited at any time by any supervisor or component for any business reason. (c) In using Government property, employees should be mindful of their responsibility to protect and conserve such property and to use official time in an honest effort to perform official duties. See 5 CFR 2635.101(b)(9), 2635.704(a), 2635.705(a). | ||||||
| 28:28:2.0.1.1.3.0.1.5 | 28 | Judicial Administration | I | 45 | PART 45—EMPLOYEE RESPONSIBILITIES | § 45.10 Procedures to promote compliance with crime victims' rights obligations. | DOJ | [70 FR 69653, Nov. 17, 2005] | (a) Definitions. The following definitions shall apply with respect to this section, which implements the provisions of the Justice for All Act that relate to protection of the rights of crime victims. See 18 U.S.C. 3771. Crime victim means a person directly and proximately harmed as a result of the commission of a Federal offense or an offense in the District of Columbia. In the case of a crime victim who is under 18 years of age, incompetent, incapacitated, or deceased, the legal guardians of the crime victim or the representatives of the crime victim's estate, family members, or any other persons appointed as suitable by the court, may assume the crime victim's rights, but in no event shall the defendant be named as such guardian or representative. Crime victims' rights means those rights provided in 18 U.S.C. 3771. Employee of the Department of Justice means an attorney, investigator, law enforcement officer, or other personnel employed by any division or office of the Department of Justice whose regular course of duties includes direct interaction with crime victims, not including a contractor. Office of the Department of Justice means a component of the Department of Justice whose employees directly interact with crime victims in the regular course of their duties. (b) The Attorney General shall designate an official within the Executive Office for United States Attorneys (EOUSA) to receive and investigate complaints alleging the failure of Department of Justice employees to provide rights to crime victims under 18 U.S.C. 3771. The official shall be called the Department of Justice Victims' Rights Ombudsman (VRO). The VRO shall then designate, in consultation with each office of the Department of Justice, an official in each office to serve as the initial point of contact (POC) for complainants. (c) Complaint process. (1) Complaints must be submitted in writing to the POC of the relevant office or offices of the Department of Justice. If a complaint alleges a violation that would create a co… | ||||||
| 28:28:2.0.1.1.3.0.1.6 | 28 | Judicial Administration | I | 45 | PART 45—EMPLOYEE RESPONSIBILITIES | § 45.11 Reporting to the Office of the Inspector General. | DOJ | [Order No. 2835-2006, 71 FR 54414, Sept. 15, 2006] | Department of Justice employees have a duty to, and shall, report to the Department of Justice Office of the Inspector General, or to their supervisor or their component's internal affairs office for referral to the Office of the Inspector General: (a) Any allegation of waste, fraud, or abuse in a Department program or activity; (b) Any allegation of criminal or serious administrative misconduct on the part of a Department employee (except those allegations of misconduct that are required to be reported to the Department of Justice Office of Professional Responsibility pursuant to § 45.12); and (c) Any investigation of allegations of criminal misconduct against any Department employee. | ||||||
| 28:28:2.0.1.1.3.0.1.7 | 28 | Judicial Administration | I | 45 | PART 45—EMPLOYEE RESPONSIBILITIES | § 45.12 Reporting to the Department of Justice Office of Professional Responsibility. | DOJ | [Order No. 2835-2006, 71 FR 54414, Sept. 15, 2006] | Department employees have a duty to, and shall, report to the Department of Justice Office of Professional Responsibility (DOJ-OPR), or to their supervisor, or their component's internal affairs office for referral to DOJ-OPR, any allegations of misconduct by a Department attorney that relate to the exercise of the attorney's authority to investigate, litigate or provide legal advice, as well as allegations of misconduct by law enforcement personnel when such allegations are related to allegations of attorney misconduct within the jurisdiction of DOJ-OPR. | ||||||
| 28:28:2.0.1.1.3.0.1.8 | 28 | Judicial Administration | I | 45 | PART 45—EMPLOYEE RESPONSIBILITIES | § 45.13 Duty to cooperate in an official investigation. | DOJ | [Order No. 2835-2006, 71 FR 54414, Sept. 15, 2006] | Department employees have a duty to, and shall, cooperate fully with the Office of the Inspector General and Office of Professional Responsibility, and shall respond to questions posed during the course of an investigation upon being informed that their statement will not be used to incriminate them in a criminal proceeding. Refusal to cooperate could lead to disciplinary action. | ||||||
| 33:33:1.0.1.2.17.0.1.1 | 33 | Navigation and Navigable Waters | I | B | 45 | PART 45—ENLISTMENT OF PERSONNEL | § 45.1 Enlistment of personnel. | USCG | [CGD 82-087, 50 FR 13318, Apr. 4, 1985, as amended by CGD 96-026, 61 FR 33663, June 28, 1996; USCG-2003-14505, 68 FR 9535, Feb. 28, 2003] | (a) The Coast Guard is a military service which operates within the Department of Homeland Security. All personnel enlisted in the Coast Guard are subject to the Uniform Code of Military Justice. (b) Any person desiring to enlist in the Coast Guard should apply at a Coast Guard Recruiting Office, or direct inquiries to, Coast Guard Recruiting Center, 4200 Wilson Boulevard, Suite 450, Arlington, VA 22203. Enlistments in the Coast Guard shall be for general service and enlisted persons may be transferred as necessary from one unit to another. Original enlistments will be made only at regular recruiting offices unless otherwise directed by the Commandant. An original enlistment is the enlistment of an individual who has not had previous service in the Regular Coast Guard. In processing an application for enlistment, the Coast Guard will determine the mental, moral and physical fitness of the applicant through reference to local police files, character references, employers, school authorities and physical and mental examinations. Concealment of any fact, circumstance or condition existing prior to enlistment which would render the applicant ineligible for enlistment may subject the applicant to criminal penalties under the Uniform Code of Military Justice and/or administrative separation from the Coast Guard. | |||||
| 33:33:1.0.1.2.17.0.1.2 | 33 | Navigation and Navigable Waters | I | B | 45 | PART 45—ENLISTMENT OF PERSONNEL | § 45.2 Records of enlistment of former service members. | USCG | [CGD 82-087, 50 FR 13318, Apr. 4, 1985, as amended by CGD 96-026, 61 FR 33663, June 28, 1996] | Former members who have any questions about their service or who need information regarding their service should contact the nearest Coast Guard Recruiting Office or Coast Guard Recruiting Center, 4200 Wilson Boulevard, Suite 450, Arlington, VA 20203. | |||||
| 38:38:2.0.1.1.15.1.360.1 | 38 | Pensions, Bonuses, and Veterans' Relief | I | 45 | PART 45—NEW RESTRICTIONS ON LOBBYING | A | Subpart A—General | § 45.100 Conditions on use of funds. | VA | (a) No appropriated funds may be expended by the recipient of a Federal contract, grant, loan, or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any of the following covered Federal actions: the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (b) Each person who requests or receives from an agency a Federal contract, grant, loan, or cooperative agreement shall file with that agency a certification, set forth in appendix A, that the person has not made, and will not make, any payment prohibited by paragraph (a) of this section. (c) Each person who requests or receives from an agency a Federal contract, grant, loan, or a cooperative agreement shall file with that agency a disclosure form, set forth in appendix B, if such person has made or has agreed to make any payment using nonappropriated funds (to include profits from any covered Federal action), which would be prohibited under paragraph (a) of this section if paid for with appropriated funds. (d) Each person who requests or receives from an agency a commitment providing for the United States to insure or guarantee a loan shall file with that agency a statement, set forth in appendix A, whether that person has made or has agreed to make any payment to influence or attempt to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with that loan insurance or guarantee. (e) Each person who requests or receives from an agency a commitment providing for the United States to insure or guarantee a loan shall file with that agency a disclosure form,… | |||||
| 38:38:2.0.1.1.15.1.360.2 | 38 | Pensions, Bonuses, and Veterans' Relief | I | 45 | PART 45—NEW RESTRICTIONS ON LOBBYING | A | Subpart A—General | § 45.105 Definitions. | VA | For purposes of this part: (a) Agency, as defined in 5 U.S.C. 552(f), includes Federal executive departments and agencies as well as independent regulatory commissions and Government corporations, as defined in 31 U.S.C. 9101(1). (b) Covered Federal action means any of the following Federal actions: (1) The awarding of any Federal contract; (2) The making of any Federal grant; (3) The making of any Federal loan; (4) The entering into of any cooperative agreement; and, (5) The extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. Covered Federal action does not include receiving from an agency a commitment providing for the United States to insure or guarantee a loan. Loan guarantees and loan insurance are addressed independently within this part. (c) Federal contract means an acquisition contract awarded by an agency, including those subject to the Federal Acquisition Regulation (FAR), and any other acquisition contract for real or personal property or services not subject to the FAR. (d) Federal cooperative agreement means a cooperative agreement entered into by an agency. (e) Federal grant means an award of financial assistance in the form of money, or property in lieu of money, by the Federal Government or a direct appropriation made by law to any person. The term does not include technical assistance which provides services instead of money, or other assistance in the form of revenue sharing, loans, loan guarantees, loan insurance, interest subsidies, insurance, or direct United States cash assistance to an individual. (f) Federal loan means a loan made by an agency. The term does not include loan guarantee or loan insurance. (g) Indian tribe and tribal organization have the meaning provided in section 4 of the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450B). Alaskan Natives are included under the definitions of Indian tribes in that Act. (h) Influencing or attempting to influence mea… | |||||
| 38:38:2.0.1.1.15.1.360.3 | 38 | Pensions, Bonuses, and Veterans' Relief | I | 45 | PART 45—NEW RESTRICTIONS ON LOBBYING | A | Subpart A—General | § 45.110 Certification and disclosure. | VA | (a) Each person shall file a certification, and a disclosure form, if required, with each submission that initiates agency consideration of such person for: (1) Award of a Federal contract, grant, or cooperative agreement exceeding $100,000; or (2) An award of a Federal loan or a commitment providing for the United States to insure or guarantee a loan exceeding $150,000. (b) Each person shall file a certification, and a disclosure form, if required, upon receipt by such person of: (1) A Federal contract, grant, or cooperative agreement exceeding $100,000; or (2) A Federal loan or a commitment providing for the United States to insure or guarantee a loan exceeding $150,000, Unless such person previously filed a certification, and a disclosure form, if required, under paragraph (a) of this section. (c) Each person shall file a disclosure form at the end of each calendar quarter in which there occurs any event that requires disclosure or that materially affects the accuracy of the information contained in any disclosure form previously filed by such person under paragraphs (a) or (b) of this section. An event that materially affects the accuracy of the information reported includes: (1) A cumulative increase of $25,000 or more in the amount paid or expected to be paid for influencing or attempting to influence a covered Federal action; or (2) A change in the person(s) or individual(s) influencing or attempting to influence a covered Federal action; or, (3) A change in the officer(s), employee(s), or Member(s) contacted to influence or attempt to influence a covered Federal action. (d) Any person who requests or receives from a person referred to in paragraphs (a) or (b) of this section: (1) A subcontract exceeding $100,000 at any tier under a Federal contract; (2) A subgrant, contract, or subcontract exceeding $100,000 at any tier under a Federal grant; (3) A contract or subcontract exceeding $100,000 at any tier under a Federal loan exceeding $150,000; or, (4) A contract or subcontract exceeding $100… | |||||
| 38:38:2.0.1.1.15.2.360.1 | 38 | Pensions, Bonuses, and Veterans' Relief | I | 45 | PART 45—NEW RESTRICTIONS ON LOBBYING | B | Subpart B—Activities by Own Employees | § 45.200 Agency and legislative liaison. | VA | (a) The prohibition on the use of appropriated funds, in § 45.100(a), does not apply in the case of a payment of reasonable compensation made to an officer or employee of a person requesting or receiving a Federal contract, grant, loan, or cooperative agreement if the payment is for agency and legislative liaison activities not directly related to a covered Federal action. (b) For purposes of paragraph (a) of this section, providing any information specifically requested by an agency or Congress is allowable at any time. (c) For purposes of paragraph (a) of this section, the following agency and legislative liaison activities are allowable at any time only where they are not related to a specific solicitation for any covered Federal action: (1) Discussing with an agency (including individual demonstrations) the qualities and characteristics of the person's products or services, conditions or terms of sale, and service capabilities; and, (2) Technical discussions and other activities regarding the application or adaptation of the person's products or services for an agency's use. (d) For purposes of paragraph (a) of this section, the following agencies and legislative liaison activities are allowable only where they are prior to formal solicitation of any covered Federal action: (1) Providing any information not specifically requested but necessary for an agency to make an informed decision about initiation of a covered Federal action; (2) Technical discussions regarding the preparation of an unsolicited proposal prior to its official submission; and, (3) Capability presentations by persons seeking awards from an agency pursuant to the provisions of the Small Business Act, as amended by Pub. L. 95-507 and other subsequent amendments. (e) Only those activities expressly authorized by this section are allowable under this section. | |||||
| 38:38:2.0.1.1.15.2.360.2 | 38 | Pensions, Bonuses, and Veterans' Relief | I | 45 | PART 45—NEW RESTRICTIONS ON LOBBYING | B | Subpart B—Activities by Own Employees | § 45.205 Professional and technical services. | VA | (a) The prohibition on the use of appropriated funds, in § 45.100(a), does not apply in the case of a payment of reasonable compensation made to an officer or employee of a person requesting or receiving a Federal contract, grant, loan, or cooperative agreement or an extension, continuation, renewal, amendment, or modification of a Federal contract, grant, loan, or cooperative agreement if payment is for professional or technical services rendered directly in the preparation, submission, or negotiation of any bid, proposal, or application for that Federal contract, grant, loan, or cooperative agreement or for meeting requirements imposed by or pursuant to law as a condition for receiving that Federal contract, grant, loan, or cooperative agreement. (b) For purposes of paragraph (a) of this section, “professional and technical services” shall be limited to advice and analysis directly applying any professional or technical discipline. For example, drafting of a legal document accompanying a bid or proposal by a lawyer is allowable. Similarly, technical advice provided by an engineer on the performance or operational capability of a piece of equipment rendered directly in the negotiation of a contract is allowable. However, communications with the intent to influence made by a professional (such as a licensed lawyer) or a technical person (such as a licensed accountant) are not allowable under this section unless they provide advice and analysis directly applying their professional or technical expertise and unless the advice or analysis is rendered directly and solely in the preparation, submission or negotiation of a covered Federal action. Thus, for example, communications with the intent to influence made by a lawyer that do not provide legal advice or analysis directly and solely related to the legal aspects of his or her client's proposal, but generally advocate one proposal over another are not allowable under this section because the lawyer is not providing professional legal services. Similarly, communica… | |||||
| 38:38:2.0.1.1.15.2.360.3 | 38 | Pensions, Bonuses, and Veterans' Relief | I | 45 | PART 45—NEW RESTRICTIONS ON LOBBYING | B | Subpart B—Activities by Own Employees | § 45.210 Reporting. | VA | No reporting is required with respect to payments of reasonable compensation made to regularly employed officers or employees of a person. | |||||
| 38:38:2.0.1.1.15.3.360.1 | 38 | Pensions, Bonuses, and Veterans' Relief | I | 45 | PART 45—NEW RESTRICTIONS ON LOBBYING | C | Subpart C—Activities by Other Than Own Employees | § 45.300 Professional and technical services. | VA | (a) The prohibition on the use of appropriated funds, in § 45.100(a), does not apply in the case of any reasonable payment to a person, other than an officer or employee of a person requesting or receiving a covered Federal action, if the payment is for professional or technical services rendered directly in the preparation, submission, or negotiation of any bid, proposal, or application for that Federal contract, grant, loan, or cooperative agreement or for meeting requirements imposed by or pursuant to law as a condition for receiving that Federal contract, grant, loan, or cooperative agreement. (b) The reporting requirements in § 45.110(a) and (b) regarding filing a disclosure form by each person, if required, shall not apply with respect to professional or technical services rendered directly in the preparation, submission, or negotiation of any commitment providing for the United States to insure or guarantee a loan. (c) For purposes of paragraph (a) of this section, “professional and technical services” shall be limited to advice and analysis directly applying any professional or technical discipline. For example, drafting or a legal document accompanying a bid or proposal by a lawyer is allowable. Similarly, technical advice provided by an engineer on the performance or operational capability of a piece of equipment rendered directly in the negotiation of a contract is allowable. However, communications with the intent to influence made by a professional (such as a licensed lawyer) or a technical person (such as a licensed accountant) are not allowable under this section unless they provide advice and analysis directly applying their professional or technical expertise and unless the advice or analysis is rendered directly and solely in the preparation, submission or negotiation of a covered Federal action. Thus, for example, communications with the intent to influence made by a lawyer that do not provide legal advice or analysis directly and solely related to the legal aspects of his or her client's pro… | |||||
| 38:38:2.0.1.1.15.4.360.1 | 38 | Pensions, Bonuses, and Veterans' Relief | I | 45 | PART 45—NEW RESTRICTIONS ON LOBBYING | D | Subpart D—Penalties and Enforcement | § 45.400 Penalties. | VA | (a) Any person who makes an expenditure prohibited herein shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such expenditure. (b) Any person who fails to file or amend the disclosure form (see appendix B) to be filed or amended if required herein, shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. (c) A filing or amended filing on or after the date on which an administrative action for the imposition of a civil penalty is commenced does not prevent the imposition of such civil penalty for a failure occurring before that date. An administrative action is commenced with respect to a failure when an investigating official determines in writing to commence an investigation of an allegation of such failure. (d) In determining whether to impose a civil penalty, and the amount of any such penalty, by reason of a violation by any person, the agency shall consider the nature, circumstances, extent, and gravity of the violation, the effect on the ability of such person to continue in business, any prior violations by such person, the degree of culpability of such person, the ability of the person to pay the penalty, and such other matters as may be appropriate. (e) First offenders under paragraphs (a) or (b) of this section shall be subject to a civil penalty of $10,000, absent aggravating circumstances. Second and subsequent offenses by persons shall be subject to an appropriate civil penalty between $10,000 and $100,000, as determined by the agency head or his or her designee. (f) An imposition of a civil penalty under this section does not prevent the United States from seeking any other remedy that may apply to the same conduct that is the basis for the imposition of such civil penalty. | |||||
| 38:38:2.0.1.1.15.4.360.2 | 38 | Pensions, Bonuses, and Veterans' Relief | I | 45 | PART 45—NEW RESTRICTIONS ON LOBBYING | D | Subpart D—Penalties and Enforcement | § 45.405 Penalty procedures. | VA | Agencies shall impose and collect civil penalties pursuant to the provisions of the Program Fraud and Civil Remedies Act, 31 U.S.C. sections 3803 (except subsection (c)), 3804, 3805, 3806, 3807, 3808, and 3812, insofar as these provisions are not inconsistent with the requirements herein. | |||||
| 38:38:2.0.1.1.15.4.360.3 | 38 | Pensions, Bonuses, and Veterans' Relief | I | 45 | PART 45—NEW RESTRICTIONS ON LOBBYING | D | Subpart D—Penalties and Enforcement | § 45.410 Enforcement. | VA | The head of each agency shall take such actions as are necessary to ensure that the provisions herein are vigorously implemented and enforced in that agency. | |||||
| 38:38:2.0.1.1.15.5.360.1 | 38 | Pensions, Bonuses, and Veterans' Relief | I | 45 | PART 45—NEW RESTRICTIONS ON LOBBYING | E | Subpart E—Exemptions | § 45.500 Secretary of Defense. | VA | (a) The Secretary of Defense may exempt, on a case-by-case basis, a covered Federal action from the prohibition whenever the Secretary determines, in writing, that such an exemption is in the national interest. The Secretary shall transmit a copy of each such written exemption to Congress immediately after making such a determination. (b) The Department of Defense may issue supplemental regulations to implement paragraph (a) of this section. | |||||
| 38:38:2.0.1.1.15.6.360.1 | 38 | Pensions, Bonuses, and Veterans' Relief | I | 45 | PART 45—NEW RESTRICTIONS ON LOBBYING | F | Subpart F—Agency Reports | § 45.600 Semi-annual compilation. | VA | (a) The head of each agency shall collect and compile the disclosure reports (see appendix B) and, on May 31 and November 30 of each year, submit to the Secretary of the Senate and the Clerk of the House of Representatives a report containing a compilation of the information contained in the disclosure reports received during the six-month period ending on March 31 or September 30, respectively, of that year. (b) The report, including the compilation, shall be available for public inspection 30 days after receipt of the report by the Secretary and the Clerk. (c) Information that involves intelligence matters shall be reported only to the Select Committee on Intelligence of the Senate, the Permanent Select Committee on Intelligence of the House of Representatives, and the Committees on Appropriations of the Senate and the House of Representatives in accordance with procedures agreed to by such committees. Such information shall not be available for public inspection. (d) Information that is classified under Executive Order 12356 or any successor order shall be reported only to the Committee on Foreign Relations of the Senate and the Committee on Foreign Affairs of the House of Representatives or the Committees on Armed Services of the Senate and the House of Representatives (whichever such committees have jurisdiction of matters involving such information) and to the Committees on Appropriations of the Senate and the House of Representatives in accordance with procedures agreed to by such committees. Such information shall not be available for public inspection. (e) The first semi-annual compilation shall be submitted on May 31, 1990, and shall contain a compilation of the disclosure reports received from December 23, 1989 to March 31, 1990. (f) Major agencies, designated by the Office of Management and Budget (OMB), are required to provide machine-readable compilations to the Secretary of the Senate and the Clerk of the House of Representatives no later than with the compilations due on May 31, 1991. OMB sha… | |||||
| 38:38:2.0.1.1.15.6.360.2 | 38 | Pensions, Bonuses, and Veterans' Relief | I | 45 | PART 45—NEW RESTRICTIONS ON LOBBYING | F | Subpart F—Agency Reports | § 45.605 Inspector General report. | VA | (a) The Inspector General, or other official as specified in paragraph (b) of this section, of each agency shall prepare and submit to Congress each year, commencing with submission of the President's Budget in 1991, an evaluation of the compliance of that agency with, and the effectiveness of, the requirements herein. The evaluation may include any recommended changes that may be necessary to strengthen or improve the requirements. (b) In the case of an agency that does not have an Inspector General, the agency official comparable to an Inspector General shall prepare and submit the annual report, or, if there is no such comparable official, the head of the agency shall prepare and submit the annual report. (c) The annual report shall be submitted at the same time the agency submits its annual budget justifications to Congress. (d) The annual report shall include the following: All alleged violations relating to the agency's covered Federal actions during the year covered by the report, the actions taken by the head of the agency in the year covered by the report with respect to those alleged violations and alleged violations in previous years, and the amounts of civil penalties imposed by the agency in the year covered by the report. | |||||
| 40:40:1.0.1.2.33.0.157.1 | 40 | Protection of Environment | I | B | 45 | PART 45—TRAINING ASSISTANCE | § 45.100 Purpose and scope. | EPA | [79 FR 76062, Dec. 19, 2014] | This part establishes the policies and procedures for the award of training assistance by the Environmental Protection Agency (EPA). The provisions of this part supplement EPA's general grant regulations and procedures 2 CFR parts 200 and 1500. | |||||
| 40:40:1.0.1.2.33.0.157.10 | 40 | Protection of Environment | I | B | 45 | PART 45—TRAINING ASSISTANCE | § 45.145 Allocability and allowability of costs. | EPA | [49 FR 41004, Oct. 18, 1984, as amended at 79 FR 76062, Dec. 19, 2014] | (a) Allocability and allowability of costs will be determined in accordance with 2 CFR part 200, subpart E. (b) Costs incurred for the purchase of land or the construction of buildings are not allowable. | |||||
| 40:40:1.0.1.2.33.0.157.11 | 40 | Protection of Environment | I | B | 45 | PART 45—TRAINING ASSISTANCE | § 45.150 Reports. | EPA | [87 FR 30402, May 19, 2022] | (a) Recipients must submit the reports required in 2 CFR 200.328 and 200.329. (b) A draft of the final project report is required 90 days before the end of the project period. The recipient shall prepare the final projects report in accordance with the project officer's instructions and submit the final project report within 120 days after the end of the project period as provided in 2 CFR 200.344. | |||||
| 40:40:1.0.1.2.33.0.157.12 | 40 | Protection of Environment | I | B | 45 | PART 45—TRAINING ASSISTANCE | § 45.155 Continuation assistance. | EPA | To be eligible for continuation assistance, the recipient must: (a) Demonstrate satisfactory performance during all previous budget periods; (b) Include in the application a detailed progress report showing the progress achieved and explain special problems or delays, a budget for the new budget period, and a detailed work plan for the new budget period; and (c) Submit a preliminary financial statement for the current budget period that includes estimates of the amount the recipient expects to spend by the end of the current budget period and the amount of any uncommitted funds which the recipient proposes to carry over beyond the term of the current budget period. | ||||||
| 40:40:1.0.1.2.33.0.157.2 | 40 | Protection of Environment | I | B | 45 | PART 45—TRAINING ASSISTANCE | § 45.105 Authority. | EPA | The EPA is authorized to award training assistance under the following statutes: (a) Section 103 of the Clean Air Act, as amended (42 U.S.C. 7403); (b) Sections 104(g), 109, and 111 of the Clean Water Act, as amended (33 U.S.C. 1254(g), 1259, and 1261); (c) Sections 7007 and 8001 of the Solid Waste Disposal Act, as amended (42 U.S.C. 6977 and 6981); (d) Section 1442 of the Safe Drinking Water Act, as amended (42 U.S.C. 300j-1). | ||||||
| 40:40:1.0.1.2.33.0.157.3 | 40 | Protection of Environment | I | B | 45 | PART 45—TRAINING ASSISTANCE | § 45.110 Objectives. | EPA | Assistance agreements are awarded under this part to support students through traineeships for occupational and professional training, and to develop career-oriented personnel qualified to work in occupations involving environmental protection and pollution abatement and control. Training assistance is available to: (a) Assist in developing, expanding, planning, implementing, and improving environmental training; (b) Increase the number of trained pollution control and abatement personnel; (c) Upgrade the level of occupational and professional training among State and local environmental control personnel; (d) Train people to train others in occupations involving pollution abatement and control; and (e) Bring new people into the environmental control field. | ||||||
| 40:40:1.0.1.2.33.0.157.4 | 40 | Protection of Environment | I | B | 45 | PART 45—TRAINING ASSISTANCE | § 45.115 Definitions. | EPA | [49 FR 41004, Oct. 18, 1984, as amended at 79 FR 76062, Dec. 19, 2014] | The following definitions supplement the definitions in 2 CFR part 200, subpart A. Stipend. Supplemental financial assistance, other than tuition and fees, paid directly to the trainee by the recipient organization. Trainee. A student selected by the recipient organization who receives support to meet the objectives in § 45.110. | |||||
| 40:40:1.0.1.2.33.0.157.5 | 40 | Protection of Environment | I | B | 45 | PART 45—TRAINING ASSISTANCE | § 45.120 Applicant eligibility. | EPA | Institutions, organizations, and individuals are eligible for EPA training awards as follows: (a) Clean Air Act. Section 103(b)—Air pollution control agencies, public and nonprofit private agencies, institutions, organizations, and individuals. No award may be made under this Act to any private, profitmaking organization. (b) Clean Water Act. (1) Section 104(b)(3)—State water pollution control agencies, interstate agencies, other public or nonprofit private agencies, institutions, organizations, and individuals. No award may be made to any private, profitmaking organization. (2) Section 104(g)(3)(A)—Public or private agencies and institutions, and individuals. (3) Sections 104(g)(1) and 104(g)(3)(C)—State and interstate agencies, municipalities, educational institutions and other organizations and individuals. (4) Sections 109, 110, and 111—Institutions of higher education, or combinations of such institutions. (c) Solid Waste Disposal Act. (1) Section 8001(a)—Public or private authorities, agencies, and institutions and individuals. No award may be made to any private, profitmaking organization. (2) Section 7007(a)—State or interstate agencies, municipalities, educational institutions, and other organizations. (d) Safe Drinking Water Act. Sections 1442(b) and 1442(d)—Public agencies, educational institutions, and other organizations. No awards may be made to profitmaking agencies or institutions. | ||||||
| 40:40:1.0.1.2.33.0.157.6 | 40 | Protection of Environment | I | B | 45 | PART 45—TRAINING ASSISTANCE | § 45.125 Application requirements. | EPA | Applicants must submit their requests for assistance on EPA Form 5700-12, “Application for Federal Assistance.” Applicants must submit the original and two copies of the application to EPA. If the assistance agreement is to be awarded by EPA Headquarters, the applicant must send the application to the Environmental Protection Agency, Grants Administration Division, (3903R), 1200 Pennsylvania Ave., NW., Washington, DC 20460. If the assistance agreement is to be awarded by an EPA Regional Office, the applicant must send the application to the appropriate Regional Office. | ||||||
| 40:40:1.0.1.2.33.0.157.7 | 40 | Protection of Environment | I | B | 45 | PART 45—TRAINING ASSISTANCE | § 45.130 Evaluation of applications. | EPA | [49 FR 41004, Oct. 18, 1984, as amended at 79 FR 76062, Dec. 19, 2014; 87 FR 30402, May 19, 2022] | (a) Consistent with 2 CFR 200.205, the appropriate EPA program office staff will review training applications in accordance with the following criteria: (1) Relevance of proposal to Agency objectives, priorities, achievement of national goals and technical merit; (2) Competency of the proposed staff in relation to the type of project proposed; (3) Feasibility of the proposal; (4) Adequacy of the applicant's resources available for the project; (5) Amount of funds necessary for the completion of the project; (b) In addition, awards under section 104(g)(1) of the Clean Water Act, are subject to the following criteria: (1) Assessment of need for training in a State or municipality based on problems with existing wastewater treatment plants, such as violation of discharge permit conditions, and faulty or improper operation or maintenance. (2) Need for operating training based on the number of wastewater treatment construction grants in the State. | |||||
| 40:40:1.0.1.2.33.0.157.8 | 40 | Protection of Environment | I | B | 45 | PART 45—TRAINING ASSISTANCE | § 45.135 Supplemental conditions. | EPA | Training awards are subject to the following conditions: (a) Trainees must be citizens of the United States, its territories, or possessions, or lawfully admitted to the United States for permanent residence. (b) Recipients shall not require the performance of personal services by individuals receiving training as a condition for assistance. (c) Trainees are entitled to the normal student holidays observed by an academic institution, or the holiday and vacation schedule applicable to all trainees at a nonacademic institution. (d) Training awards may include a provision to pay stipends to trainees. Stipends must be paid under section 111 of the Clean Water Act consistent with prevailing practices under comparable federally supported programs. (e) Training awards under section 111 of the Clean Water Act are subject to the following conditions: (1) Recipients must obtain the following agreement in writing from persons awarded scholarships for undergraduate study of the operation and maintenance of treatment works: I agree to enter and remain in an occupation involving the design, operation, or maintenance of wastewater treatment works for a period of two years after the satisfactory completion of my studies under this program. I understand that if I fail to perform this obligation I may be required to repay the amount of my scholarship. I agree to enter and remain in an occupation involving the design, operation, or maintenance of wastewater treatment works for a period of two years after the satisfactory completion of my studies under this program. I understand that if I fail to perform this obligation I may be required to repay the amount of my scholarship. (2) Recipients must take such action as may be reasonably required to enforce the condition in paragraph (e)(1) of this section. Recipients shall credit or pay EPA for any repayments. | ||||||
| 40:40:1.0.1.2.33.0.157.9 | 40 | Protection of Environment | I | B | 45 | PART 45—TRAINING ASSISTANCE | § 45.140 Budget and project period. | EPA | [87 FR 30402, May 19, 2022] | The budget and project periods for training awards will be specified in the terms of the awards as provided by 2 CFR 200.211. | |||||
| 46:46:2.0.1.1.5.1.1.1 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | A | Subpart A—General | § 45.1 Purpose. | USCG | [CGD 73-49R, 38 FR 12290, May 10, 1973, as amended by USCG-1998-4442, 63 FR 52190, Sept. 30, 1998] | This part prescribes requirements for assignment of freeboards, issuance of loadline certificates, and marking of loadlines for service on the Great Lakes of North America. | |||
| 46:46:2.0.1.1.5.1.1.2 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | A | Subpart A—General | § 45.3 Definitions. | USCG | [CGD 73-49R, 38 FR 12290, May 10, 1973, as amended by USCG-2014-0688, 79 FR 58280, Sept. 29, 2014] | As used in this part: (a) Length ( L ) means 96 percent of the total length on a waterline at 85 percent of the least moulded depth measured from the top of the keel or the length from the foreside of the stem to the axis of the rudder stock on that waterline, if that is greater. In ships designed with a rake of keel the waterline on which this length is measured must be parallel to the designed waterline. (b) Perpendiculars means the forward and after perpendiculars at the forward and after ends of the length (L). The forward perpendicular coincides with the foreside of the stem on the waterline on which the length is measured. (c) Amidships means the middle of the length (L). (d) Breadth unless expressly provided otherwise, means the maximum breadth of the ship, measured amidships to the moulded line of the frame in a ship with a metal shell and to the outer surface of the hull in a ship with a shell of any other material. (e) Moulded Depth means the vertical distance measured amidships from the top of the keel to the top of the freeboard deck beam at side except that— (1) In vessels of other than metal construction, the distance is measured from the lower edge of the keel rabbet; (2) Where the form at the lower part of the midship section is of a hollow character, or where thick garboards are fitted, the distance is measured from the point where the line of the flat of the bottom continued inwards cuts the side of the keel; (3) In ships having rounded gunwales, this distance is measured to the point of intersection of the moulded lines of the deck and side, the lines extending as though the gunwale were of angular design; and (4) Where the freeboard deck is stepped and the raised part of the deck extends over the point at which the moulded depth is to be determined, the distance is measured to a line of reference extending from the lower part of the deck along a line parallel with the raised part. (f) Depth for Freeboard ( D ) means— (1) Moulded depth amidships plus the thickness of the … | |||
| 46:46:2.0.1.1.5.1.1.3 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | A | Subpart A—General | § 45.5 Seasonal application of load lines. | USCG | For the purposes of the law and regulations prohibiting submergence of load lines (46 U.S.C. 88c; 46 CFR 42.07-10), the fresh water and salt water load lines marked under this part apply during the following seasons: (a) Summer load lines apply April 16 through April 30 and September 16 through September 30. (b) Except for hopper dredges operating at working freeboards in accordance with subpart C of part 44 of this chapter, the Assigning Authority may not allow for lesser freeboards. (c) Intermediate load lines apply October 1 through October 31 and April 1 through April 15. (d) Winter load lines apply November 1 through March 31. | ||||
| 46:46:2.0.1.1.5.1.1.4 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | A | Subpart A—General | § 45.9 Seasonal application of load lines for vessels not marked under this part. | USCG | [CGD 73-49R, 38 FR 12290, May 10, 1973, as amended by CGD 76-080, 54 FR 36977, Sept. 6, 1989] | (a) For the purposes of the law and regulations prohibiting submergence of load lines (46 U.S.C. 88c; 46 CFR 42.07-10) the marks assigned to vessels holding international load line certificates apply during the following seasons: (1) Vessels assigned freeboards as new vessels under the International Load Line Convention, 1966— (i) Winter—November 1 through March 31. (ii) Summer—April 1 through April 30 and October 1 through October 31. (iii) Tropical—May 1 through September 30; (2) Vessels assigned freeboards as existing vessels under the International Load Line Convention, 1966— (i) Winter—November 1 through March 31; (ii) Summer—April 1 through April 30 and October 1 through October 31; (iii) Tropical—September 16 through September 30; (iv) Tropical Fresh—May 1 through September 15. (b) Except for hopper dredges operating at working freeboards in accordance with subpart C of part 44 of this chapter, the Assigning Authority may not allow for lesser freeboards. | |||
| 46:46:2.0.1.1.5.1.1.5 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | A | Subpart A—General | § 45.11 Issue of load line certificate. | USCG | (a) A vessel 79 feet in length and more, and 150 gross tons or over, the keel of which is laid or which has reached a similar stage of construction after April 14, 1973, must meet the requirements of this part. (b) Except as prescribed in paragraph (a) of this section, any vessel that meets the requirements in subparts C and D of this part and the survey requirements in §§ 42.09-15 through 42.09-50 of this subchapter is entitled to assignment of freeboards and issue of a load line certificate under this part by the Commandant or his authorized representative. (c) A vessel, the keel of which was laid or was at a similar stage of construction before April 14, 1973, that meets the requirements of this part that were in effect before April 14, 1973, and the survey requirements in §§ 42.09-15 through 42.09-50 of this subchapter is entitled to the assignment of freeboards calculated under the provisions of this part in effect before April 14, 1973, and to a load line certificate issued under this part by the Commandant or his authorized representative. | ||||
| 46:46:2.0.1.1.5.1.1.6 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | A | Subpart A—General | § 45.13 Form of certificate. | USCG | The form of a load line certificate issued under this part is specified in appendix A to this part. | ||||
| 46:46:2.0.1.1.5.1.1.7 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | A | Subpart A—General | § 45.15 Exemptions. | USCG | [CGD 73-49R, 38 FR 12290, May 10, 1973, as amended by CGD 84-058, 50 FR 19533, May 9, 1985; USCG-1998-4623, 67 FR 19690, Apr. 23, 2002] | (a) The Commandant may exempt a ship from any of the requirements in this part if the chairman of the board of Steamship Inspections, Department of Transport, Canada, and the Commandant agree that the sheltered nature or the condition of that voyage make it unreasonable or impracticable to apply requirements of this part. (b) The Commandant may exempt a vessel that embodies features of a novel kind from any of the requirements of this part if those requirements might seriously impede research into the development of such features and their incorporation in ships. Any such vessel must comply with the safety requirements that, in the opinion of the Commandant, are adequate for the service for which the vessel is intended and will insure the overall safety of the vessel. If the Commandant grants an exemption pursuant to this paragraph he communicates the details of the exemption and the reasons therefor to the chairman of the board of Steamship Inspections. (c) A vessel that is not normally engaged on voyages to which this part applies but that, in exceptional circumstances, is required to undertake a single such voyage between two specific ports may be exempted by the Commandant from any of the requirements of this part, if the ship complies with safety requirements that, in the opinion of the Commandant are adequate for the voyage that is to be undertaken by the vessel. (d) Unmanned dry cargo river barges carrying non-hazardous cargoes on certain routes on Lake Michigan may be exempted from load line requirements in accordance with the conditions specified in subpart E of this part. | |||
| 46:46:2.0.1.1.5.2.1.1 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | B | Subpart B—Load Line Marks | § 45.31 Deck line. | USCG | (a) Each vessel must be marked with a deck line on the outer surface of the shell on each side of the vessel with the upper edge of the line passing through the point where the upper surface of the freeboard deck intersects the outer surface of the shell or if the summer freeboard is correspondingly adjusted under § 45.57, the deck line may be placed above or below the freeboard deck. Figure 1 illustrates the deck line markings. (b) Each deck line must be at least 12-inches long and 1-inch wide. | ||||
| 46:46:2.0.1.1.5.2.1.2 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | B | Subpart B—Load Line Marks | § 45.33 Diamond. | USCG | (a) Each vessel must be marked with the diamond mark described in figure 2 of § 45.35 amidships below the upper edge of the deck line on each side with the center of the loadline mark at a distance below the deck line equal to the summer freeboard assigned under this part. (b) The width of each line in the loadline mark must be 1 inch. | ||||
| 46:46:2.0.1.1.5.2.1.3 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | B | Subpart B—Load Line Marks | § 45.35 Seasonal load lines. | USCG | Each vessel must have the summer (S), midsummer (MS), intermediate (I), and winter (W) loadlines for fresh water freeboards calculated under §§ 45.71 through 45.75 marked in accordance with § 45.39. | ||||
| 46:46:2.0.1.1.5.2.1.4 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | B | Subpart B—Load Line Marks | § 45.37 Salt water load lines. | USCG | Each vessel that operates in the salt water of the St. Lawrence River must— (a) Be marked with the summer (S), midsummer (MS), intermediate (I) and winter (W) load line marks under § 45.77 for salt water; and (b) Be marked with the letters “FW” above the fresh water marks and the letters “SW” above the salt water marks as described in figure 2. | ||||
| 46:46:2.0.1.1.5.2.1.5 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | B | Subpart B—Load Line Marks | § 45.39 Marking. | USCG | (a) The diamond, lines, and letters must be painted in white or yellow on a dark ground or in black on a light ground and permanently marked on the sides of the vessel. (b) The upper edge of the line that passes through the center of the diamond must indicate summer freeboard assigned under § 45.53. (c) Unless otherwise authorized the seasonal load lines must be horizontal lines extending forward of, and at right angles to, a vertical line marked at a distance 26 inches forward of the vertical centerline of the diamond as described in figure 2. (d) The salt water load lines must be horizontal lines extending abaft the vertical line required by paragraph (b) of this section as described in figure 2. (e) The upper edge of each seasonal and salt water load line mark must indicate the minimum freeboard for that mark. (f) When two freeboards assigned under this part differ by 2 inches or less, the line for the lesser freeboard must be omitted and the line for the greater freeboard must be identified with the seasonal letters for both freeboards. (g) Seasonal freeboards that are limited by a summer freeboard assigned under § 45.53(c) must not be marked but the identifying letter must be marked adjacent to the summer mark. (h) The identity of the authority that assigns the freeboard must be indicated alongside the load line diamond above the horizontal line that passes through the center of the diamond with two initials approximately 4 1/2 inches high and 3 inches wide. | ||||
| 46:46:2.0.1.1.5.3.1.1 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | C | Subpart C—Freeboards | § 45.51 Types of ships. | USCG | (a) For the purpose of this subpart, a type A vessel has— (1) No cargo ports or similar sideshell openings below the freeboard deck; (2) Only small freeboard deck openings fitted with watertight gasketed hatch covers of steel; (3) No dimension of a freeboard deck cargo opening greater than 6 feet and the total area not exceeding 18 ft 2 ; and (4) No more than two freeboard deck cargo openings to a single cargo space. (b) For the purposes of this subpart a type B vessel is a vessel that does not meet the requirements in paragraph (a) of this section. | ||||
| 46:46:2.0.1.1.5.3.1.10 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | C | Subpart C—Freeboards | § 45.67 Sheer measurement. | USCG | (a) The sheer is measured from the freeboard deck at side to a line of reference drawn parallel to the keel through the sheer line at amidships; (b) In ships designed with a rake of keel or designed to trim by the stern, the sheer must be measured in reference to a line drawn through the sheer line at amidships parallel to the design load waterline. (c) In flush deck ships and in ships with detached superstructures, the sheer must be measured at the freeboard deck. (d) In ships with a step or break in the topsides, the sheer must be measured from the equivalent depth amidships. (e) In vessels with a superstructure of standard height that extends over the whole length of the freeboard deck, the sheer must be measured on the superstructure deck. Where the height of superstructure exceeds the standard, the least difference (Z) between the actual and standard heights must be added to each end ordinate. Similarly, the intermediate ordinates at distance of 1/6 L and 1/3 L from each perpendicular must be increased by 0.444 Z and 0.111 Z respectively. | ||||
| 46:46:2.0.1.1.5.3.1.11 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | C | Subpart C—Freeboards | § 45.69 Correction for bow height. | USCG | (a) The minimum summer freeboard of all manned vessels must be increased by the same amount in inches as any deficiency which may be shown by the following formulas: (1) For vessels having a length of not less than 79 feet and not greater than 550 feet, 0.593 L (1.0- L /1640) inches—actual bow height 0.593 L (1.0- L /1640) inches—actual bow height (2) For vessels having a length greater than 550 feet, (341.6—0.227 L) inches—actual bow height (341.6—0.227 L) inches—actual bow height (b) Where the bow height is obtained by sheer, the sheer must extend for at least 15 percent of the length of the vessel measured from the forward perpendicular. (c) Where the bow height is obtained by a superstructure, the superstructure must be enclosed and extend from the stem to a point at least 0.06 L abaft the forward perpendicular. (d) Vessels which, to suit exceptional operational requirements, cannot meet the requirements of paragraph (c) of this section may be given special consideration by the Commandant. (e) The bow height is defined as the vertical distance at the forward perpendicular between the waterline corresponding to the assigned summer freeboard at the designed trim and the top of the exposed deck at side. | ||||
| 46:46:2.0.1.1.5.3.1.12 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | C | Subpart C—Freeboards | § 45.71 Midsummer freeboard. | USCG | The minimum midsummer freeboard (fms) in inches is obtained by the formula: fms = f ( s ) − 0.3Ts where: f ( s ) = summer freeboard in inches Ts = distance in feet between top of keel and the summer load line. where: f ( s ) = summer freeboard in inches Ts = distance in feet between top of keel and the summer load line. | ||||
| 46:46:2.0.1.1.5.3.1.13 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | C | Subpart C—Freeboards | § 45.73 Winter freeboard. | USCG | The minimum winter freeboard (fw) in inches is obtained by the formula: fw = f ( s ) + T s (200)/ L where: L = length L in feet but not less than 400 feet. where: L = length L in feet but not less than 400 feet. | ||||
| 46:46:2.0.1.1.5.3.1.14 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | C | Subpart C—Freeboards | § 45.75 Intermediate freeboard. | USCG | The minimum intermediate freeboard (f I ) in inches is obtained by the formula: f I = f ( s ) + T s(100)/ L where: L = length L in feet but not less than 400 feet. where: L = length L in feet but not less than 400 feet. | ||||
| 46:46:2.0.1.1.5.3.1.15 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | C | Subpart C—Freeboards | § 45.77 Salt water freeboard. | USCG | (a) The salt water addition in inches to freeboard applicable to each fresh water mark is obtained by the formula: Addition=Δ/41T where: Δ = displacement in fresh water, in tons of 2,240 pounds, at the summer load waterline. T = tons per inch immersion, of 2,240 pounds, in fresh water at the summer load waterline. where: Δ = displacement in fresh water, in tons of 2,240 pounds, at the summer load waterline. T = tons per inch immersion, of 2,240 pounds, in fresh water at the summer load waterline. (b) When the displacement at the summer load waterline cannot be certified, the addition in inches to the minimum freeboard in fresh water may be obtained by multiplying 0.25 by the summer draught in feet measured from the top of the keel to the center of the load line diamond. | ||||
| 46:46:2.0.1.1.5.3.1.2 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | C | Subpart C—Freeboards | § 45.53 Summer freeboard. | USCG | (a) Except as required in paragraph (c) of this section, the minimum freeboard in summer for a type A vessel is F in the following formula modified by the corrections in this subpart: F (inches) = 10.2 × P 1 × D where P 1 is defined in § 45.55 and D is the depth for freeboard in feet. where P 1 is defined in § 45.55 and D is the depth for freeboard in feet. (b) Except as required in paragraph (c) of this section, the minimum freeboard in summer for a type B vessel is F in the formula modified by the corrections in this subpart: F (inches) = 12 × P 1 × D where P 1 is defined by § 45.55 and D is the depth for freeboard in feet. where P 1 is defined by § 45.55 and D is the depth for freeboard in feet. (c) Seasonal freeboards assigned under §§ 45.71 through 45.75 must be calculated on the basis of the summer freeboard calculated under paragraph (a) or (b) of this section. (d) If a minimum freeboard is required for a vessel under this part which is greater than that required by paragraph (a) or (b) of this section because of scantling or subdivision requirements, the summer freeboard and the seasonal freeboards assigned under this subpart must be no less than that minimum freeboard, except the midsummer seasonal freeboard may be calculated on the basis of the summer freeboard assigned under this paragraph. (e) If a greater than the calculated minimum freeboard is requested by the applicant for the load line certificate, that greater freeboard may be assigned as the summer freeboard and— (1) The intermediate and winter seasonal freeboards assigned must be calculated under paragraph (a) or (b) of this section; and (2) The midsummer seasonal freeboard must be calculated on the basis of the summer freeboard assigned under this paragraph. | ||||
| 46:46:2.0.1.1.5.3.1.3 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | C | Subpart C—Freeboards | § 45.55 Freeboard coefficient. | USCG | (a) For ships less than 350 feet in length ( L ), the freeboard coefficient is P 1 in the formula: P 1 = P + A [( L / D )-( L / D s )] where P is a factor, which is a function of the length from table 1 and “A” is a coefficient, which is a function of length (L), from table 2; L / D is the ratio of the length ( L ) to the depth for freeboard ( D ); L / D s is the ratio of the length ( L ) to a standard depth ( D s ) from table 3. D is not to be used as less than that which will give a ration of L to D that is: (a) More than 15 when L = 400 feet or less, or (b) More than 21 when L = 700 feet or more, with the ratio for intermediate lengths being calculated proportionately. where P is a factor, which is a function of the length from table 1 and “A” is a coefficient, which is a function of length (L), from table 2; L / D is the ratio of the length ( L ) to the depth for freeboard ( D ); L / D s is the ratio of the length ( L ) to a standard depth ( D s ) from table 3. D is not to be used as less than that which will give a ration of L to D that is: (a) More than 15 when L = 400 feet or less, or (b) More than 21 when L = 700 feet or more, with the ratio for intermediate lengths being calculated proportionately. (b) For ships 350 feet or more in length ( L), the coefficient “A” is zero and the formula is: P 1 = P where P is a factor, which is a function of length from table (1). where P is a factor, which is a function of length from table (1). | ||||
| 46:46:2.0.1.1.5.3.1.4 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | C | Subpart C—Freeboards | § 45.57 Correction: Position of deckline. | USCG | (a) Where the depth to the upper edge of the deckline is greater or less than D, the difference between the depths must be added to or deducted from the freeboard. (b) When the Commandant or the approved assigning authority approves a location for the deckline that is above or below the freeboard deck, the minimum summer freeboard must be corrected by— (1) Adding the difference between the depth and D if the depth is greater than D; and (2) Subtracting the difference between the depth and D, if the depth is less than D. (c) Except for the adjustment allowed in paragraph (b) of this section, no freeboard of less than 2 in. may be assigned. | ||||
| 46:46:2.0.1.1.5.3.1.5 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | C | Subpart C—Freeboards | § 45.58 Correction: Short superstructure. | USCG | The minimum freeboard in summer for a type B vessel that is 79 ft. or more but less than 500 ft. in length and has enclosed superstructures with an effective length of 25 percent or less of the length of the vessel must be increased by— 0.03 (500—L) (0.25—E/L) inches where: (L) = length of vessel in feet; (E) = effective length of superstructure in feet as defined in § 45.59. where: (L) = length of vessel in feet; (E) = effective length of superstructure in feet as defined in § 45.59. | ||||
| 46:46:2.0.1.1.5.3.1.6 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | C | Subpart C—Freeboards | § 45.59 Definitions for superstructure corrections. | USCG | For the purpose of §§ 45.58 through 45.61— (a) The standard height of a superstructure ( H s ) other than a raised quarter deck and the standard height of a trunk ( H s ) is determined by the formula: H s =[6.0 + ( L /300)] ft (b) The length of superstructure ( S) is the length of those parts of the superstructure which extends to the sides of the vessel and that lie within the length ( L ). (c) The effective length ( E ) of a trunk is its length in the ratio of its mean breadth to B. (d) The effective length ( E ) of an enclosed superstructure of standard height or greater is its length “ S ”. (e) Where the height of an enclosed superstructure or trunk is less than the standard height ( H s ),the effective length ( E ) is its length reduced in the ratio of its height to H s . (f) The effective length ( E ) of a raised quarter deck of 2/3 H s or greater that has no openings in the front bulkhead is its length up to a maximum of 0.6 L. (g) The effective length ( E ) of a raised quarter deck of less than 2/3 H s or that does not have an intact front bulkhead is its length reduced by the ratio of its height to H s . Table 12(1) tables of p values Table 12(2) values of “a” for use in the expression Table 12(3) values of l/ds (h) Superstructures which are not enclosed have no effective length. (i) When a lower deck is designated as the freeboard deck, that part of the hull which extends above the freeboard deck is treated as a superstructure so far as concerns the application of the conditions of assignment and the calculation of freeboard. (j) A bridge or poop is enclosed only when access is provided whereby the crew may reach accommodations, machinery, or other working spaces inside the superstructure by alternative means that are available at all times when bulkhead openings are closed. | ||||
| 46:46:2.0.1.1.5.3.1.7 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | C | Subpart C—Freeboards | § 45.61 Correction for superstructures and trunks. | USCG | (a) Where the effective length E of superstructures and trunks that meet the requirements of subpart D of this part is 1.0 L, the minimum summer freeboard may be corrected by subtracting 1/2 H s . (b) Where the effective length of superstructures and trunks is less than 1.0 L the minimum summer freeboard may be corrected by subtracting a percentage of one-half of the standard superstructure height ( H s ) determined by the formula: Percentage = ( E /2 L ) (1 + E / L ) × 100 (c) To be eligible for the correction a trunk must— (1) Be at least as strong and as stiff as a superstructure; (2) Have no opening in the freeboard deck in way of the trunk, except small access openings; (3) Have hatchway coamings and covers that meet §§ 45.143 through 45.147; (4) Provide a permanent working platform fore and aft with guardrails; (5) Provide fore and aft access between detached trunks and superstructures by permanent gangways; (6) Be at least 60 percent of the breadth of the ship in way of the trunk; and (7) Be at least 0.6 L in length, if no superstructure, is provided. | ||||
| 46:46:2.0.1.1.5.3.1.8 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | C | Subpart C—Freeboards | § 45.63 Correction for sheer. | USCG | (a) The minimum summer freeboard must be increased by the deficiency, or may be decreased by the excess as limited by § 45.65, of sheer calculated from table 4, multiplied by: 0.75—( S /2 L ) where S is the total length of enclosed superstructures. Trunks are not included. where S is the total length of enclosed superstructures. Trunks are not included. | ||||
| 46:46:2.0.1.1.5.3.1.9 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | C | Subpart C—Freeboards | § 45.65 Excess sheer limitations. | USCG | The decrease in freeboard allowed in § 45.63 is limited as follows: Sheer Calculation—Table 4 1 L in Standard Sheer = L or 500 whichever is less. Sheer Summation (a) In vessels having no enclosed superstructure from 0.1 L abaft amidships to 0.1 L forward of amidships, no decrease is allowed. (b) In vessels having enclosed superstructures amidships less than 0.1 L before and abaft amidships, the decrease must be reduced by linear interpolation. (c) If excess sheer exists in the forward half, and the after half is at least 75 percent of standard sheer, the full decrease is allowed. If the after sheer is between 50 percent and 75 percent of standard sheer an intermediate decrease, determined by linear interpolation, is allowed for the excess sheer forward. If the after sheer is 50 percent of standard or less, no decrease is allowed for the excess sheer forward. (d) Where an enclosed poop or forecastle is of standard height with greater sheer than that of the freeboard deck, or is greater than standard height, an addition to the sheer of the freeboard deck may be made using the following formula: S= vL ′/3 L Where s = sheer credit, to be deducted from the deficiency or added to the excess of sheer. v = difference between actual and standard height of superstructure at the end ordinate. L ′ = mean enclosed length of poop or forecastle up to a maximum length of 0.5 L. Where s = sheer credit, to be deducted from the deficiency or added to the excess of sheer. v = difference between actual and standard height of superstructure at the end ordinate. L ′ = mean enclosed length of poop or forecastle up to a maximum length of 0.5 L. The superstructure deck must not be less than standard height above this curve at any point. This curve must be used in determining the sheer profile for forward and after halves of the vessel. (e) The maximum decreased for excess sheer must be no more than 1 1/2 inches per 100 feet of length. (f) Where the deck of an enclosed superstructure has at least t… | ||||
| 46:46:2.0.1.1.5.4.1.1 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | D | Subpart D—Conditions of Assignment | § 45.101 Purpose. | USCG | This subpart prescribes conditions that a vessel must meet to be eligible for assignment of a loadline under this part. | ||||
| 46:46:2.0.1.1.5.4.1.10 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | D | Subpart D—Conditions of Assignment | § 45.119 Freeing port area: Changes from standard sheer. | USCG | The freeing port area required by § 45.117(b) must be multiplied by the factor in the following table 5 if the sheer differs from the standard sheer defined in § 45.63. table 4. Table 5 Freeing port area: Sheer correction. | ||||
| 46:46:2.0.1.1.5.4.1.11 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | D | Subpart D—Conditions of Assignment | § 45.121 Freeing port area: Changes for trunks and side coamings. | USCG | If a vessel has a trunk and does not meet the requirements of § 45.61 or has continuous or substantially continuous hatchway side coamings between detached superstructures, the minimum area of the freeing port openings must be obtained from the following table: The area of freeing ports at intermediate breadths must be obtained by linear interpolation. | ||||
| 46:46:2.0.1.1.5.4.1.12 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | D | Subpart D—Conditions of Assignment | § 45.123 Freeing port area: Changes for bulwark height. | USCG | (a) For the purposes of freeing port area only, bulwark height is considered standard at 24 in for ships 240 ft in length and less; and 48 in for ships 480 ft in length or greater. The standard bulwark height for ships of intermediate length is obtained by direct interpolation. (b) If the bulwark is more than standard height, the area required by § 45.117 must be increased by 0.04 square feet per foot (ft 2 /ft) of length of well for each foot difference in height. (c) For ships greater than 480 ft in length that have an average bulwark height less than 3 ft, the area required by § 45.117 may be decreased by 0.04 ft 2 /ft of length for each foot difference in height. | ||||
| 46:46:2.0.1.1.5.4.1.13 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | D | Subpart D—Conditions of Assignment | § 45.125 Crew passageways. | USCG | The vessel must have means for protection of the crew from boarding seas such as life lines, gangways, and underdeck passages to facilitate passing between their quarters and machinery spaces and other spaces essential to the operation of the ship. | ||||
| 46:46:2.0.1.1.5.4.1.14 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | D | Subpart D—Conditions of Assignment | § 45.127 Position of structures, openings, and fittings. | USCG | For the purposes of this part— (a) Position 1 means in an exposed position on— (1) The freeboard deck or a raised quarter deck; (2) A superstructure deck or a trunk deck and forward of a point 1/4 L from the forward perpendicular; or (3) A trunk deck whose height is less than H s . (b) Position 2 means— (1) On a superstructure deck aft of a point 1/4 L abaft the forward perpendicular; or (2) On a superstructure and trunk combination, that is H s or more n height, aft or a point 1/4 L abaft the forward perpendicular. | ||||
| 46:46:2.0.1.1.5.4.1.15 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | D | Subpart D—Conditions of Assignment | § 45.129 Hull fittings: General. | USCG | Hull fittings must be securely mounted in the hull so as to avoid increases in hull stresses and must be protected from local damage caused by movement of equipment or cargo. | ||||
| 46:46:2.0.1.1.5.4.1.16 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | D | Subpart D—Conditions of Assignment | § 45.131 Ventilators. | USCG | (a) Ventilators passing through superstructures other than enclosed superstructures must have coamings of steel or equivalent material at the freeboard deck. (b) Ventilators in position 1 must have coamings at least 30 in. above the deck and ventilators in position 2 must have coamings at least 24 in. above the deck. The Commandant or the assigning authority may also require coamings in other exposed positions. (c) Ventilators in position 1 or 2 to spaces below freeboard decks or decks of enclosed superstructures or trunks must have coamings of steel permanently connected to the deck and any ventilator coaming that is more than 36 in. high must be specially supported. (d) Except as provided in paragraph (e) of this section ventilator openings must have weathertight closing appliances that are permanently attached or, where approved by the Commandant or the assigning authority conveniently stowed near the ventilators to which they are to be fitted. (e) Ventilators in position 1, the coamings of which extend to more than 12.5 ft above the deck, and in position 2, the coamings of which extend to more than 6 ft above the deck, need not have closing appliances unless specifically required by the Commandant. | ||||
| 46:46:2.0.1.1.5.4.1.17 | 46 | Shipping | I | E | 45 | PART 45—GREAT LAKES LOAD LINES | D | Subpart D—Conditions of Assignment | § 45.133 Air pipes. | USCG | (a) Where an air pipe to any tank extends above the freeboard or superstructure deck— (1) The exposed part of the air pipe must be made of steel and of sufficient thickness to avoid breaking from impact of boarding seas. (2) The air pipe must have a permanently attached means of closing its opening; and (3) The height from the deck to any point where water may obtain access below deck must be at least 30 in above the freeboard deck, 24 in above raised quarter decks, and 12 in above other superstructure decks. (b) If the height required in paragraph (a) of this section interferes with working the ship, the Commandant may approve a lower height after considering the closing arrangements. |
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CREATE TABLE cfr_sections (
section_id TEXT PRIMARY KEY,
title_number INTEGER,
title_name TEXT,
chapter TEXT,
subchapter TEXT,
part_number TEXT,
part_name TEXT,
subpart TEXT,
subpart_name TEXT,
section_number TEXT,
section_heading TEXT,
agency TEXT,
authority TEXT,
source_citation TEXT,
amendment_citations TEXT,
full_text TEXT
);
CREATE INDEX idx_cfr_title ON cfr_sections(title_number);
CREATE INDEX idx_cfr_part ON cfr_sections(part_number);
CREATE INDEX idx_cfr_agency ON cfr_sections(agency);