cfr_sections
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604 rows where part_number = 49 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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| 14:14:1.0.1.3.28.1.283.1 | 14 | Aeronautics and Space | I | C | 49 | PART 49—RECORDING OF AIRCRAFT TITLES AND SECURITY DOCUMENTS | A | Subpart A—Applicability | § 49.1 Applicability. | FAA | [Doc. No. 1996, 29 FR 6486, May 19, 1964, as amended by Amdt. 49-10, 70 FR 246, Jan. 3, 2005; Amdt. No. 49-11, 87 FR 75711, Dec. 9, 2022] | (a) This part applies to the recording of certain conveyances affecting title to, or any interest in— (1) Any aircraft registered under 49 U.S.C. 44101-44104; (2) Any specifically identified aircraft engine of 550 or more rated takeoff horsepower, or the equivalent of that horsepower; (3) Any specifically identified aircraft propeller able to absorb 750 or more rated takeoff shaft horsepower; and (4) Any aircraft engine, propeller, or appliance maintained by or for an air carrier certificated under 49 U.S.C. 44705, for installation or use in an aircraft, aircraft engine, or propeller, or any spare part, maintained at a designated location or locations by or for such an air carrier. (b) Subpart B of this part governs, where applicable by its terms, conveyances subject to this part. | |||
| 14:14:1.0.1.3.28.2.283.1 | 14 | Aeronautics and Space | I | C | 49 | PART 49—RECORDING OF AIRCRAFT TITLES AND SECURITY DOCUMENTS | B | Subpart B—General | § 49.11 FAA Aircraft Registry. | FAA | [Docket No. FAA-2024-2764, Amdt. Nos. 47-35 and 49-12, 90 FR 5576, Jan. 17, 2025] | To be eligible for recording, a conveyance must be delivered to the Registry by a means and in a form acceptable to the Administrator, to include electronic or digital forms and means compatible with systems of the Registry. | |||
| 14:14:1.0.1.3.28.2.283.2 | 14 | Aeronautics and Space | I | C | 49 | PART 49—RECORDING OF AIRCRAFT TITLES AND SECURITY DOCUMENTS | B | Subpart B—General | § 49.13 Signatures and acknowledgements. | FAA | [Doc. No. 7190, 31 FR 4499, Mar. 17, 1966, as amended by Amdt. 49-2, 31 FR 15349, Dec. 8, 1966; Amdt. 49-6, 36 FR 8661, May 11, 1971; Amdt. 49-10, 70 FR 246, Jan. 3, 2005; Amdt. No. 49-11, 87 FR 75711, Dec. 9, 2022] | (a) Each signature on a conveyance must be signed in a manner acceptable to the Administrator. (b) Paragraphs (b) through (f) of § 47.13 of this chapter apply to a conveyance made by, or on behalf of, one or more persons doing business under a trade name, or by an agent, corporation, partnership, coowner, or unincorporated association. (c) No conveyance or other instrument need be acknowledged, as provided in 49 U.S.C. 44107(c), in order to be recorded under this part. The law of the place of delivery of the conveyance determines when a conveyance or other instrument must be acknowledged in order to be valid for the purposes of that place. (d) A power of attorney or other evidence of a person's authority to sign for another, submitted under this part, is valid for the purposes of this section, unless sooner revoked, until— (1) Its expiration date stated therein; or (2) If an expiration date is not stated thereon, for not more than 3 years after the date— (i) It is signed; or (ii) The grantor (a corporate officer or other person in a managerial position therein, where the grantor is a corporation) certifies in writing that the authority to sign shown by the power of attorney or other evidence is still in effect. | |||
| 14:14:1.0.1.3.28.2.283.3 | 14 | Aeronautics and Space | I | C | 49 | PART 49—RECORDING OF AIRCRAFT TITLES AND SECURITY DOCUMENTS | B | Subpart B—General | § 49.15 Fees for recording. | FAA | [Doc. No. 1996, 29 FR 6486, May 19, 1964, as amended by Amdt. 49-1, 31 FR 4499, Mar. 17, 1966; Doc. No. 8084, 32 FR 5769, Apr. 11, 1967] | (a) The fees charged for recording conveyances under this part are as follows: (b) There is no fee for recording a bill of sale that accompanies an application for aircraft registration and the proper fee under Part 47 of this chapter. (c) Each conveyance must be accompanied by the proper fee, that may be paid by check or money order to the Federal Aviation Administration. | |||
| 14:14:1.0.1.3.28.2.283.4 | 14 | Aeronautics and Space | I | C | 49 | PART 49—RECORDING OF AIRCRAFT TITLES AND SECURITY DOCUMENTS | B | Subpart B—General | § 49.17 Conveyances recorded. | FAA | [Doc. No. 1996, 29 FR 6486, May 19, 1964, as amended by Amdt. 49-1, 31 FR 4499, Mar. 17, 1966; Amdt. 49-9, 53 FR 1915, Jan. 25, 1988; Amdt. 49-10, 70 FR 246, Jan. 3, 2005; Docket No. FAA-2024-2764, Amdt. Nos. 47-35 and 49-12, 90 FR 5577, Jan. 17, 2025] | (a)(1) Each instrument recorded under this part is a “conveyance” within the following definition in 49 U.S.C. 40102(a)(19): “Conveyance” means an instrument, including a conditional sales contract, affecting title to, or an interest in, property. “Conveyance” means an instrument, including a conditional sales contract, affecting title to, or an interest in, property. (2) A notice of Federal tax lien is not recordable under this part, since it is required to be filed elsewhere by the Internal Revenue Code (26 U.S.C. 6321, 6323; 26 CFR 301.6321-1, 301.6323-1). (b) The kinds of conveyance recordable under this part include those used as evidence of ownership under § 47.11 of this chapter. (c) The validity of any instrument, eligible for recording under this part, is governed by the laws of the State, possession, Puerto Rico, or District of Columbia, as the case may be, in which the instrument was delivered, regardless of the location or place of delivery of the property affected by the instrument. If the place where an instrument is intended to be delivered is stated in the instrument, it is presumed that the instrument was delivered at that place. The recording of a conveyance is not a decision of the FAA that the instrument does, in fact, affect title to, or an interest in, the aircraft or other property it covers. (d) The following rules apply to conveyances executed for security purposes and assignments thereof: (1) A security agreement must be signed by the debtor. If the debtor is not the registered owner of the aircraft, the security agreement must be accompanied by the debtor's Application for Aircraft Registration and evidence of ownership, as prescribed in Part 47 of this chapter, unless the debtor— (i) Holds a Dealer's Aircraft Registration Certificate and submits evidence of ownership as provided in § 47.67 of this chapter (if applicable); (ii) Was the owner of the aircraft on the date the security agreement was signed, as shown by documents recorded at the FAA Aircraft Registry; or (iii) Is t… | |||
| 14:14:1.0.1.3.28.2.283.5 | 14 | Aeronautics and Space | I | C | 49 | PART 49—RECORDING OF AIRCRAFT TITLES AND SECURITY DOCUMENTS | B | Subpart B—General | § 49.19 Effective date of filing for recordation. | FAA | A conveyance is filed for recordation upon the date and at the time it is received by the FAA Aircraft Registry. | ||||
| 14:14:1.0.1.3.28.2.283.6 | 14 | Aeronautics and Space | I | C | 49 | PART 49—RECORDING OF AIRCRAFT TITLES AND SECURITY DOCUMENTS | B | Subpart B—General | § 49.21 True copy of original conveyance. | FAA | [Docket No. FAA-2024-2764, Amdt. Nos. 47-35 and 49-12, 90 FR 5577, Jan. 17, 2025] | A person submitting a conveyance for recording may submit a true copy in lieu of the original, except where an original is specifically required. The true copy must be in a form and manner acceptable to the Administrator, to which is attached a certificate, or other acceptable attestation, of the person submitting the conveyance stating that the copy has been compared with the original and that it is a true copy. | |||
| 14:14:1.0.1.3.28.3.283.1 | 14 | Aeronautics and Space | I | C | 49 | PART 49—RECORDING OF AIRCRAFT TITLES AND SECURITY DOCUMENTS | C | Subpart C—Aircraft Ownership and Encumbrances Against Aircraft | § 49.31 Applicability. | FAA | This subpart applies to the recording of the following kinds of conveyances: (a) A bill of sale, contract of conditional sale, assignment of an interest under a contract of conditional sale, mortgage, assignment of mortgage, lease, equipment trust, notice of tax lien or of other lien, or other instrument affecting title to, or any interest in, aircraft. (b) A release, cancellation, discharge, or satisfaction of a conveyance named in paragraph (a) of this section. | ||||
| 14:14:1.0.1.3.28.3.283.2 | 14 | Aeronautics and Space | I | C | 49 | PART 49—RECORDING OF AIRCRAFT TITLES AND SECURITY DOCUMENTS | C | Subpart C—Aircraft Ownership and Encumbrances Against Aircraft | § 49.33 Eligibility for recording: general requirements. | FAA | [Doc. No. 1996, 29 FR 6486, May 19, 1964, as amended by Amdt. 49-1, 31 FR 4499, Mar. 17, 1966; Amdt. 49-10, 70 FR 246, Jan. 3, 2005; Docket No. FAA-2024-2764, Amdt. Nos. 47-35 and 49-12, 90 FR 5577, Jan. 17, 2025] | A conveyance is eligible for recording under this subpart only if, in addition to the requirements of §§ 49.11, 49.13, and 49.17, the following requirements are met: (a) It is in a form prescribed by, or acceptable to, the Administrator for that kind of conveyance; (b) It describes the aircraft by make and model, manufacturer's serial number, and United States registration number, or other detail that makes identification possible; (c) It is a true copy of an original document, certified under § 49.21, or an original document or a duplicate original document; (d) It affects aircraft registered under 49 U.S.C. 44101-44104; and (e) It is accompanied by the recording fee required by § 49.15, but there is no fee for recording a conveyance named in § 49.31(b). | |||
| 14:14:1.0.1.3.28.3.283.3 | 14 | Aeronautics and Space | I | C | 49 | PART 49—RECORDING OF AIRCRAFT TITLES AND SECURITY DOCUMENTS | C | Subpart C—Aircraft Ownership and Encumbrances Against Aircraft | § 49.35 Eligibility for recording: ownership requirements. | FAA | If the seller of an aircraft is not shown on the records of the FAA as the owner of the aircraft, a conveyance, including a contract of conditional sale, submitted for recording under this subpart must be accompanied by bills of sale or similar documents showing consecutive transfers from the last registered owner, through each intervening owner, to the seller. | ||||
| 14:14:1.0.1.3.28.3.283.4 | 14 | Aeronautics and Space | I | C | 49 | PART 49—RECORDING OF AIRCRAFT TITLES AND SECURITY DOCUMENTS | C | Subpart C—Aircraft Ownership and Encumbrances Against Aircraft | § 49.37 Claims for salvage or extraordinary expenses. | FAA | The right to a charge arising out of a claim for compensation for salvage of an aircraft or for extraordinary expenses indispensable for preserving the aircraft in operations terminated in a foreign country that is a party to the Convention on the International Recognition of Rights in Aircraft (4 U.S.T. 1830) may be noted on the FAA record by filing notice thereof with the FAA Aircraft Registry within three months after the date of termination of the salvage or preservation operations. | ||||
| 14:14:1.0.1.3.28.4.283.1 | 14 | Aeronautics and Space | I | C | 49 | PART 49—RECORDING OF AIRCRAFT TITLES AND SECURITY DOCUMENTS | D | Subpart D—Encumbrances Against Specifically Identified Aircraft Engines and Propellers | § 49.41 Applicability. | FAA | [Doc. No. 1996, 29 FR 6486, May 19, 1964, as amended by Amdt. 49-5, 35 FR 802, Jan. 21, 1970; Amdt. 49-10, 70 FR 246, Jan. 3, 2005] | This subpart applies to the recording of the following kinds of conveyances: (a) Any lease, a notice of tax lien or other lien (except a notice of Federal tax lien referred to in § 49.17(a)), and any mortgage, equipment trust, contract of conditional sale, or other instrument executed for security purposes, which affects title to, or any interest in, any specifically identified aircraft engine of 550 or more rated takeoff horsepower, or the equivalent of that horsepower, or a specifically identified aircraft propeller capable of absorbing 750 or more rated takeoff shaft horsepower. (b) An assignment or amendment of, or supplement to, an instrument named in paragraph (a) of this section. (c) A release, cancellation, discharge, or satisfaction of a conveyance named in paragraph (a) or (b) of this section. | |||
| 14:14:1.0.1.3.28.4.283.2 | 14 | Aeronautics and Space | I | C | 49 | PART 49—RECORDING OF AIRCRAFT TITLES AND SECURITY DOCUMENTS | D | Subpart D—Encumbrances Against Specifically Identified Aircraft Engines and Propellers | § 49.43 Eligibility for recording: general requirements. | FAA | A conveyance is eligible for recording under this subpart only if, in addition to the requirements of §§ 49.11, 49.13, and 49.17, the following requirements are met: (a) It affects and describes an aircraft engine or propeller to which this subpart applies, specifically identified by make, model, horsepower, and manufacturer's serial number; and (b) It is accompanied by the recording fee required by § 49.15, but there is no fee for recording a conveyance named in § 49.41(c). | ||||
| 14:14:1.0.1.3.28.4.283.3 | 14 | Aeronautics and Space | I | C | 49 | PART 49—RECORDING OF AIRCRAFT TITLES AND SECURITY DOCUMENTS | D | Subpart D—Encumbrances Against Specifically Identified Aircraft Engines and Propellers | § 49.45 Recording of releases, cancellations, discharges, and satisfactions: special requirements. | FAA | [Doc. No. 1996, 29 FR 6486, May 19, 1964, as amended by Amdt. 49-7, 37 FR 25487, Dec. 1, 1972] | (a) A release, cancellation, discharge, or satisfaction of an encumbrance created by an instrument recorded under this subpart must be in a form equivalent to AC Form 8050-41 and contain a description of the encumbrance, the recording information furnished to the holder at the time of recording, and the collateral released. (b) If more than one engine or propeller, or both, are listed in an instrument, recorded under this subpart, that created an encumbrance thereon and all of them are released, they need not be listed by serial number, but the release, cancellation, discharge, or satisfaction must state that all of the encumbered engines or propellers are released. The original recorded document must be clearly identified by the names of the parties, the date of FAA recording, and the document date. | |||
| 14:14:1.0.1.3.28.5.283.1 | 14 | Aeronautics and Space | I | C | 49 | PART 49—RECORDING OF AIRCRAFT TITLES AND SECURITY DOCUMENTS | E | Subpart E—Encumbrances Against Air Carrier Aircraft Engines, Propellers, Appliances, and Spare Parts | § 49.51 Applicability. | FAA | [Doc. No. 1996, 29 FR 6486, May 19, 1964, as amended by Amdt. 49-5, 35 FR 802, Jan. 21, 1970; Amdt. 49-10, 70 FR 246, Jan. 3, 2005] | This subpart applies to the recording of the following kinds of conveyances: (a) Any lease, a notice of tax lien or other lien (except a notice of Federal tax lien referred to in § 49.17 (a), and any mortgage, equipment trust, contract of conditional sale, or other instrument executed for security purposes, which affects title to, or any interest in, any aircraft engine, propeller, or appliance maintained by or on behalf of an air carrier certificated under 49 U.S.C. 44705 for installation or use in aircraft, aircraft engines, or propellers, or any spare parts, maintained at a designated location or locations by or on behalf of such an air carrier. (b) An assignment or amendment of, or supplement to, an instrument named in paragraph (a) of this section. (c) A release, cancellation, discharge, or satisfaction of a conveyance named in paragraph (a) or (b) of this section. | |||
| 14:14:1.0.1.3.28.5.283.2 | 14 | Aeronautics and Space | I | C | 49 | PART 49—RECORDING OF AIRCRAFT TITLES AND SECURITY DOCUMENTS | E | Subpart E—Encumbrances Against Air Carrier Aircraft Engines, Propellers, Appliances, and Spare Parts | § 49.53 Eligibility for recording: general requirements. | FAA | [Doc. No. 1996, 29 FR 6486, May 19, 1964, as amended by Amdt. 49-5, 35 FR 802, Jan. 21, 1970; Amdt. 49-10, 70 FR 246, Jan. 3, 2005] | (a) A conveyance is eligible for recording under this subpart only if, in addition to the requirements of §§ 49.11, 49.13, and 49.17, the following requirements are met: (1) It affects any aircraft engine, propeller, appliance, or spare part, maintained by or on behalf of an air carrier certificated under 49 U.S.C. 44705; (2) It contains or is accompanied by a statement by the air carrier certificated under that section; (3) It specifically describes the location or locations of each aircraft engine, propeller, appliance, or spare part covered by it; and (4) It is accompanied by the recording fee required by § 49.15, but there is no fee for recording a conveyance named in § 49.51(c). (b) The conveyance need only describe generally, by type, the engines, propellers, appliances, or spare parts covered by it. | |||
| 14:14:1.0.1.3.28.5.283.3 | 14 | Aeronautics and Space | I | C | 49 | PART 49—RECORDING OF AIRCRAFT TITLES AND SECURITY DOCUMENTS | E | Subpart E—Encumbrances Against Air Carrier Aircraft Engines, Propellers, Appliances, and Spare Parts | § 49.55 Recording of releases, cancellations, discharges, and satisfactions: special requirements. | FAA | [Doc. No. 1996, 29 FR 6486, May 19, 1964, as amended by Amdt. 49-1, 31 FR 4499, Mar. 17, 1966; Amdt. 49-7, 37 FR 25487, Dec. 1, 1972] | (a) A release, cancellation, discharge, or satisfaction of an encumbrance on all of the collateral listed in an instrument recorded under this subpart, or on all of the collateral at a particular location, must be in a form equivalent to AC Form 8050-41, signed by the holder of all of the collateral at the particular location, and contain a description of the encumbrance, the recording information furnished to the holder at the time of recording, and the location of the released collateral. (b) If the encumbrance on collateral at all of the locations listed in an instrument recorded under this subpart is released, canceled, discharged, or satisfied, the locations need not be listed. However, the document must state that all of the collateral at all of the locations listed in the encumbrance has been so released, canceled, discharged, or satisfied. The original recorded document must be clearly identified by the names of the parties, the date of recording by the FAA, and the document number. | |||
| 14:14:1.0.1.3.28.6.283.1 | 14 | Aeronautics and Space | I | C | 49 | PART 49—RECORDING OF AIRCRAFT TITLES AND SECURITY DOCUMENTS | F | Subpart F—Transmission of Information to the International Registry | § 49.61 Applicability. | FAA | The FAA Civil Aviation Registry is designated under Section 3 of the Cape Town Treaty Implementation Act of 2004, as the entry point for authorizing the transmission of information to the International Registry affecting United States civil aircraft, aircraft assigned a U.S. registration number and engines with a rated shaft horsepower of 550 or the equivalent thereof. This subpart applies to the transmission of information to the International Registry; the filing of the Entry Point filing form, AC Form 8050-135; and the filing of documents eligible for recording under subparts C and D of part 49. | ||||
| 14:14:1.0.1.3.28.6.283.2 | 14 | Aeronautics and Space | I | C | 49 | PART 49—RECORDING OF AIRCRAFT TITLES AND SECURITY DOCUMENTS | F | Subpart F—Transmission of Information to the International Registry | § 49.63 Eligibility for Authorization for Transmission to the International Registry: general requirements. | FAA | (a) To send information to the International Registry with respect to a civil aircraft of the United States, an aircraft for which a U.S. identification number has been assigned, or an aircraft engine, a person requesting a unique authorization code from the FAA Aircraft Registry must comply with the following: (1) File a completed AC Form 8050-135 with the FAA Aircraft Registry; and (2) For civil aircraft of the United States, file with the FAA Aircraft Registry any documents representing the transaction that meet the requirements of subpart C of this part; or (3) For aircraft engines, file with the FAA Aircraft Registry any documents representing the transaction that meet the requirements of subpart D of this part. (b) Nothing in this section requires transmittal of information relating to aircraft engines to the International Registry through the FAA Aircraft Registry. | ||||
| 17:17:2.0.1.1.8.0.1.1 | 17 | Commodity and Securities Exchanges | I | 49 | PART 49—SWAP DATA REPOSITORIES | § 49.1 Scope. | CFTC | The provisions of this part apply to any swap data repository as defined under Section 1a(48) of the Act which is registered or is required to register as such with the Commission pursuant to Section 21(a) of the Act. | |||||||
| 17:17:2.0.1.1.8.0.1.10 | 17 | Commodity and Securities Exchanges | I | 49 | PART 49—SWAP DATA REPOSITORIES | § 49.10 Acceptance and validation of data. | CFTC | [85 FR 75595, Nov. 25, 2020, as amended at 85 FR 75657, Nov. 25, 2020] | (a) General requirements —(1) Generally. A swap data repository shall establish, maintain, and enforce policies and procedures reasonably designed to facilitate the complete and accurate reporting of SDR data. A swap data repository shall promptly accept, validate, and record SDR data. (2) Electronic connectivity. For the purpose of accepting SDR data, the swap data repository shall adopt policies and procedures, including technological protocols, which provide for electronic connectivity between the swap data repository and designated contract markets, derivatives clearing organizations, swap execution facilities, swap dealers, major swap participants and non-SD/MSP/DCO reporting counterparties who report such data. The technological protocols established by a swap data repository shall provide for the receipt of SDR data. The swap data repository shall ensure that its mechanisms for SDR data acceptance are reliable and secure. (b) Duty to accept SDR data. A swap data repository shall set forth in its application for registration as described in § 49.3 the specific asset class or classes for which it will accept SDR data. If a swap data repository accepts SDR data of a particular asset class, then it shall accept SDR data from all swaps of that asset class, unless otherwise prescribed by the Commission. (c) Duty to validate SDR data. A swap data repository shall validate SDR data as soon as technologically practicable after such data is accepted according to the validation conditions approved in writing by the Commission. A swap data repository shall validate SDR data by providing data validation acceptance messages and data validation error messages, as provided in this paragraph (c). (1) Data validation acceptance message. A swap data repository shall validate each SDR data report submitted to the swap data repository and notify the reporting counterparty, swap execution facility, designated contract market, or third-party service provider submitting the report whether the report satisfied the d… | ||||||
| 17:17:2.0.1.1.8.0.1.11 | 17 | Commodity and Securities Exchanges | I | 49 | PART 49—SWAP DATA REPOSITORIES | § 49.11 Verification of swap data accuracy. | CFTC | [85 FR 75658, Nov. 25, 2020] | (a) General requirement. Each swap data repository shall verify the accuracy and completeness of swap data that it receives from swap execution facilities, designated contract markets, reporting counterparties, or third-party service providers acting on their behalf, in accordance with paragraph (b) of this section. (b) Verifying swap data accuracy and completeness —(1) Swap data access. Each swap data repository shall provide a mechanism that allows each reporting counterparty that is a user of the swap data repository to access all swap data maintained by the swap data repository for each open swap for which the reporting counterparty is serving as the reporting counterparty, as specified in paragraph (b)(2) of this section. This mechanism shall allow sufficient access, provide sufficient information, and be in a form and manner to enable each reporting counterparty to perform swap data verification as required under § 45.14 of this chapter. (2) Scope of swap data access. The swap data accessible through the mechanism provided by each swap data repository shall accurately reflect the most current swap data maintained by the swap data repository, as of the time the reporting counterparty accesses the swap data using the provided mechanism, for each data field that the reporting counterparty was required to report for each relevant open swap pursuant to part 45 of this chapter, except as provided in paragraph (b)(3) of this section. The swap data accessible through the mechanism provided by each swap data repository shall include sufficient information to allow reporting counterparties to successfully perform the swap data verification required under § 45.14 of this chapter. (3) Confidentiality. The swap data access each swap data repository shall provide pursuant to this section is subject to all applicable confidentiality requirements of the Act and this chapter, including, but not limited to, § 49.17. The swap data accessible to any reporting counterparty shall not include any swap data that the re… | ||||||
| 17:17:2.0.1.1.8.0.1.12 | 17 | Commodity and Securities Exchanges | I | 49 | PART 49—SWAP DATA REPOSITORIES | § 49.12 Swap data repository recordkeeping requirements. | CFTC | [85 FR 75658, Nov. 25, 2020] | (a) General requirement. A swap data repository shall keep full, complete, and systematic records, together with all pertinent data and memoranda, of all activities relating to the business of the swap data repository, including, but not limited to, all SDR information and all SDR data that is reported to the swap data repository pursuant to this chapter. (b) Maintenance of records. A swap data repository shall maintain all records required to be kept by this section in accordance with this paragraph (b). (1) A swap data repository shall maintain all SDR information, including, but not limited to, all documents, policies, and procedures required by the Act and the Commission's regulations, correspondence, memoranda, papers, books, notices, accounts, and other such records made or received by the swap data repository in the course of its business. All SDR information shall be maintained in accordance with § 1.31 of this chapter. (2) A swap data repository shall maintain all SDR data and timestamps reported to or created by the swap data repository pursuant to this chapter, and all messages related to such reporting, throughout the existence of the swap that is the subject of the SDR data and for five years following final termination of the swap, during which time the records shall be readily accessible by the swap data repository and available to the Commission via real-time electronic access, and for a period of at least ten additional years in archival storage from which such records are retrievable by the swap data repository within three business days. (c) Records of data errors and omissions. A swap data repository shall create and maintain records of data validation errors and SDR data reporting errors and omissions in accordance with this paragraph (c). (1) A swap data repository shall create and maintain an accurate record of all reported SDR data that fails to satisfy the swap data repository's data validation procedures including, but not limited to, all SDR data reported to the swap data rep… | ||||||
| 17:17:2.0.1.1.8.0.1.13 | 17 | Commodity and Securities Exchanges | I | 49 | PART 49—SWAP DATA REPOSITORIES | § 49.13 Monitoring, screening and analyzing swap data. | CFTC | [76 FR 54575, Sept. 1, 2011, as amended at 85 FR 75659, Nov. 25, 2020] | (a) Duty to monitor, screen and analyze SDR data. A swap data repository shall monitor, screen, and analyze all relevant SDR data in its possession in such a manner as the Commission may require. A swap data repository shall routinely monitor, screen, and analyze SDR data for the purpose of any standing swap surveillance objectives that the Commission may establish as well as perform specific monitoring, screening, and analysis tasks based on ad hoc requests by the Commission. (b) Capacity to monitor, screen and analyze SDR data. A swap data repository shall establish and maintain sufficient information technology, staff, and other resources to fulfill the requirements in this § 49.13 in a manner prescribed by the Commission. A swap data repository shall monitor the sufficiency of such resources at least annually, and adjust its resources as its responsibilities, or the volume of swap transactions subject to monitoring, screening, and analysis, increase. | ||||||
| 17:17:2.0.1.1.8.0.1.14 | 17 | Commodity and Securities Exchanges | I | 49 | PART 49—SWAP DATA REPOSITORIES | § 49.14 Monitoring, screening and analyzing end-user clearing exemption claims by individual and affiliated entities. | CFTC | A swap data repository shall have automated systems capable of identifying, aggregating, sorting, and filtering all swap transactions that are reported to it which are exempt from clearing pursuant to Section 2(h)(7) of the Act. Such capabilities shall be applicable to any information provided to a swap data repository by or on behalf of an end user regarding how such end user meets the requirements of Sections 2(h)(7)(A)(i), 2(h)(7)(A)(ii), and 2(h)(7)(A)(iii) of the Act and any Commission regulations thereunder. | |||||||
| 17:17:2.0.1.1.8.0.1.15 | 17 | Commodity and Securities Exchanges | I | 49 | PART 49—SWAP DATA REPOSITORIES | § 49.15 Real-time public reporting by swap data repositories. | CFTC | [85 FR 75659, Nov. 25, 2020] | (a) Scope. The provisions of this section apply to the real-time public reporting of swap transaction and pricing data submitted to a swap data repository pursuant to part 43 of this chapter. (b) Systems to accept and disseminate data in connection with real-time public reporting. A swap data repository shall establish such electronic systems as are necessary to accept and publicly disseminate swap transaction and pricing data submitted to the swap data repository pursuant to part 43 of this chapter in order to meet the real-time public reporting obligations of part 43 of this chapter. Any electronic system established for this purpose shall be capable of accepting and ensuring the public dissemination of all data fields required by part 43 this chapter. (c) Duty to notify the Commission of untimely data. A swap data repository shall notify the Commission of any swap transaction for which the real-time swap data was not received by the swap data repository in accordance with part 43 of this chapter. | ||||||
| 17:17:2.0.1.1.8.0.1.16 | 17 | Commodity and Securities Exchanges | I | 49 | PART 49—SWAP DATA REPOSITORIES | § 49.16 Privacy and confidentiality requirements of swap data repositories. | CFTC | [85 FR 75659, Nov. 25, 2020] | (a) Each swap data repository shall: (1) Establish, maintain, and enforce written policies and procedures reasonably designed to protect the privacy and confidentiality of any and all SDR information and all SDR data that is not swap transaction and pricing data disseminated under part 43 of this chapter. Such policies and procedures shall include, but are not limited to, policies and procedures to protect the privacy and confidentiality of any and all SDR information and all SDR data (except for swap transaction and pricing data disseminated under part 43 of this chapter) that the swap data repository shares with affiliates and non-affiliated third parties; and (2) Establish and maintain safeguards, policies, and procedures reasonably designed to prevent the misappropriation or misuse, directly or indirectly, of: (i) Section 8 material; (ii) Other SDR information or SDR data; and/or (iii) Intellectual property, such as trading strategies or portfolio positions, by the swap data repository or any person associated with a swap data repository. Such safeguards, policies, and procedures shall include, but are not limited to: (A) Limiting access to such section 8 material, other SDR information or SDR data, and intellectual property; (B) Standards controlling persons associated with a swap data repository trading for their personal benefit or the benefit of others; and (C) Adequate oversight to ensure compliance with this paragraph (a)(2). (b) A swap data repository shall not, as a condition of accepting SDR data from any swap execution facility, designated contract market, or reporting counterparty, require the waiver of any privacy rights by such swap execution facility, designated contract market, or reporting counterparty. (c) Subject to section 8 of the Act, a swap data repository may disclose aggregated SDR data on a voluntary basis or as requested, in the form and manner prescribed by the Commission. | ||||||
| 17:17:2.0.1.1.8.0.1.17 | 17 | Commodity and Securities Exchanges | I | 49 | PART 49—SWAP DATA REPOSITORIES | § 49.17 Access to SDR data. | CFTC | [76 FR 54575, Sept. 1, 2011, as amended at 83 FR 27436, June 12, 2018; 85 FR 75659, Nov. 25, 2020] | (a) Purpose. This section provides a procedure by which the Commission, other domestic regulators and foreign regulators may obtain access to the SDR data held and maintained by registered SDR data repositories. Except as specifically set forth in this section, the Commission's duties and obligations regarding the confidentiality of business transactions or market positions of any person and trade secrets or names of customers identified in section 8 of the Act are not affected. (b) Definitions. For purposes of this § 49.17, the following terms shall be defined as follows: (1) Appropriate domestic regulator. The term “ appropriate domestic regulator” shall mean: (i) The Securities and Exchange Commission; (ii) Each prudential regulator identified in Section 1a(39) of the Act with respect to requests related to any of such regulator's statutory authorities, without limitation to the activities listed for each regulator in Section 1a(39); (iii) The Financial Stability Oversight Council; (iv) The Department of Justice; (v) Any Federal Reserve Bank; (vi) The Office of Financial Research; and (vii) Any other person the Commission determines to be appropriate pursuant to the process set forth in paragraph (h) of this section. (2) Appropriate foreign regulator. The term “ appropriate foreign regulator” shall mean those foreign regulators the Commission determines to be appropriate pursuant to the process set forth in paragraph (h) of this section. (3) Direct electronic access. For the purposes of this section, the term “ direct electronic access” shall mean an electronic system, platform, framework, or other technology that provides internet-based or other form of access to real-time SDR data that is acceptable to the Commission and also provides scheduled data transfers to Commission electronic systems. (c) Commission access. A swap data repository shall provide access to the Commission for all SDR data maintained by the swap data repository pursuant to this chapter in accordance with this pa… | ||||||
| 17:17:2.0.1.1.8.0.1.18 | 17 | Commodity and Securities Exchanges | I | 49 | PART 49—SWAP DATA REPOSITORIES | § 49.18 Confidentiality arrangement. | CFTC | [83 FR 27438, June 12, 2018, as amended at 85 FR 75661, Nov. 25, 2020] | (a) Confidentiality arrangement required prior to disclosure of swap data by a swap data repository to an appropriate domestic regulator or appropriate foreign regulator. Prior to a swap data repository providing access to swap data to any appropriate domestic regulator or appropriate foreign regulator, each as defined in § 49.17(b), the swap data repository shall receive from such appropriate domestic regulator or appropriate foreign regulator, pursuant to Section 21(d) of the Act, an executed confidentiality arrangement between the Commission and the appropriate domestic regulator or appropriate foreign regulator, as applicable, in the form set forth in appendix B to this part 49 or, in the Commission's discretion as set forth in § 49.17(d)(6), in a different form, provided that such confidentiality arrangement contains the elements required in paragraph (b) of this section. Such confidentiality arrangement must include, either as Exhibit A to the form set forth in appendix B of this part or similarly appended, a description of the appropriate domestic regulator's or appropriate foreign regulator's jurisdiction. Once a swap data repository is notified, in writing, that a confidentiality arrangement received from an appropriate domestic regulator or appropriate foreign regulator no longer is in effect, the swap data repository shall not provide access to swap data to such appropriate domestic regulator or appropriate foreign regulator. (b) Elements of confidentiality arrangement. The confidentiality arrangement required pursuant to paragraph (a) of this section shall, at a minimum, include all elements included in the form of confidentiality arrangement set forth in appendix B of this part. (c) Reporting failures to fulfill the terms of a confidentiality arrangement. A swap data repository shall immediately report to the Commission any known failure to fulfill the terms of a confidentiality arrangement that it receives pursuant to paragraph (a) of this section. (d) Failures to fulfill the terms of the … | ||||||
| 17:17:2.0.1.1.8.0.1.19 | 17 | Commodity and Securities Exchanges | I | 49 | PART 49—SWAP DATA REPOSITORIES | § 49.19 Core principles applicable to swap data repositories. | CFTC | [76 FR 54575, Sept. 1, 2011, as amended at 85 FR 75661, Nov. 25, 2020] | (a) Compliance with core principles. To be registered, and maintain registration, a swap data repository shall comply with the core principles as described in this section. Unless otherwise determined by the Commission by rule or regulation, a swap data repository shall have reasonable discretion in establishing the manner in which the swap data repository complies with the core principles described in this section. (b) Antitrust considerations (Core Principle 1). Unless necessary or appropriate to achieve the purposes of the Act, a swap data repository shall avoid adopting any rule or taking any action that results in any unreasonable restraint of trade; or imposing any material anticompetitive burden on trading, clearing or reporting swaps. (c) Governance arrangements (Core Principle 2). Swap data repositories shall establish governance arrangements as set forth in § 49.20. (d) Conflicts of interest (Core Principle 3). Swap data repositories shall manage and minimize conflicts of interest and establish processes for resolving such conflicts of interest as set forth in § 49.21. (e) Additional duties (Core Principle 4). Swap data repositories shall also comply with the following additional duties: (1) Financial resources. Swap data repositories shall maintain sufficient financial resources as set forth in § 49.25; (2) Disclosure requirements of swap data repositories. Swap data repositories shall furnish an appropriate disclosure document setting forth the risks and costs of swap data repository services as detailed in § 49.26; and (3) Access and Fees. Swap data repositories shall adhere to Commission requirements regarding fair and open access and the charging of any fees, dues or other similar type charges as detailed in § 49.27. | ||||||
| 17:17:2.0.1.1.8.0.1.2 | 17 | Commodity and Securities Exchanges | I | 49 | PART 49—SWAP DATA REPOSITORIES | § 49.2 Definitions. | CFTC | [76 FR 54575, Sept. 1, 2011, as amended at 83 FR 27436, June 12, 2018; 85 FR 75595, 75656, Nov. 25, 2020] | (a) As used in this part: Affiliate means a person that directly, or indirectly, controls, is controlled by, or is under common control with, the swap data repository. 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. Commercial use means the use of SDR data held and maintained by a swap data repository for a profit or business purposes. A swap data repository's use of SDR data for regulatory purposes and/or to perform its regulatory responsibilities would not be considered a commercial use regardless of whether the swap data repository charges a fee for reporting such SDR data. Control (including the terms “ controlled by” and “ under common control with” ) means the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a person, whether through the ownership of voting securities, by contract, or otherwise. Data validation acceptance message means a notification that SDR data satisfied the data validation procedures applied by a swap data repository. Data validation error means that a specific data element of SDR data did not satisfy the data validation procedures applied by a swap data repository. Data validation error message means a notification that SDR data contained one or more data validation error(s). Data validation procedures procedures established by a swap data repository pursuant to § 49.10 to validate SDR data reported to the swap data repository. Foreign regulator means a foreign futures authority as defined in section 1a(26) of the Act, forei… | ||||||
| 17:17:2.0.1.1.8.0.1.20 | 17 | Commodity and Securities Exchanges | I | 49 | PART 49—SWAP DATA REPOSITORIES | § 49.20 Governance arrangements (Core Principle 2). | CFTC | [76 FR 54575, Sept. 1, 2011, as amended at 85 FR 75661, Nov. 25, 2020] | (a) General. (1) Each swap data repository shall establish governance arrangements that are transparent to fulfill public interest requirements, and to support the objectives of the Federal Government, owners, and participants. (2) Each swap data repository shall establish governance arrangements that are well-defined and include a clear organizational structure with consistent lines of responsibility and effective internal controls, including with respect to administration, accounting, and the disclosure of confidential information. § 49.22 of this part contains rules on internal controls applicable to administration and accounting. § 49.16 of this part contains rules on internal controls applicable to the disclosure of confidential information. (b) Transparency of governance arrangements. (1) Each swap data repository shall state in its charter documents that its governance arrangements are transparent to support, among other things, the objectives of the Federal Government pursuant to Section 21(f)(2) of the Act. (2) Each swap data repository shall, at a minimum, make the following information available to the public and relevant authorities, including the Commission: (i) The mission statement of the swap data repository; (ii) The mission statement and/or charter of the board of directors, as well as of each committee of the swap data repository that has: (A) The authority to act on behalf of the board of directors or (B) The authority to amend or constrain actions of the board of directors; (iii) The board of directors nomination process for the swap data repository, as well as the process for assigning members of the board of directors or other persons to any committee referenced in paragraph (b)(2)(ii) of this section; (iv) For the board of directors and each committee referenced in paragraph (b)(2)(ii) of this section, the names of all members; (v) A description of the manner in which the board of directors, as well as any committee referenced in paragraph (b)(2)(ii) of this section, consider… | ||||||
| 17:17:2.0.1.1.8.0.1.21 | 17 | Commodity and Securities Exchanges | I | 49 | PART 49—SWAP DATA REPOSITORIES | § 49.21 Conflicts of interest (Core Principle 3). | CFTC | (a) General. (1) Each swap data repository shall establish and enforce rules to minimize conflicts of interest in the decision-making process of the swap data repository, and establish a process for resolving such conflicts of interest. (2) Nothing in this section shall supersede any requirement applicable to the swap data repository pursuant to § 49.20 of this part. (b) Policies and procedures. (1) Each swap data repository shall establish, maintain, and enforce written procedures to: (i) Identify, on an ongoing basis, existing and potential conflicts of interest; and (ii) Make decisions in the event of a conflict of interest. Such procedures shall include rules regarding the recusal, in applicable circumstances, of parties involved in the making of decisions. (2) As further described in § 49.20 of this part, the chief compliance officer of the swap data repository shall, in consultation with the board of directors or a senior officer of the swap data repository, as applicable, resolve any such conflicts of interest. (c) Compliance with core principle. The chief compliance officer of the swap data repository shall review the compliance of the swap data repository with this core principle. | |||||||
| 17:17:2.0.1.1.8.0.1.22 | 17 | Commodity and Securities Exchanges | I | 49 | PART 49—SWAP DATA REPOSITORIES | § 49.22 Chief compliance officer. | CFTC | [76 FR 54575, Sept. 1, 2011, as amended at 83 FR 27439, June 12, 2018; 85 FR 75661, Nov. 25, 2020] | (a) Definition of board of directors. For purposes of this part 49, the term “board of directors” means the board of directors of a swap data repository, or for those swap data repositories whose organizational structure does not include a board of directors, a body performing a function similar to that of a board of directors. (b) Designation and qualifications of chief compliance officer —(1) Chief compliance officer required. Each swap data repository shall establish the position of chief compliance officer, and designate an individual to serve in that capacity. (i) The position of chief compliance officer shall carry with it the authority and resources to develop and enforce policies and procedures necessary to fulfill the duties set forth for chief compliance officers in the Act and Commission regulations. (ii) The chief compliance officer shall have supervisory authority over all staff acting at the direction of the chief compliance officer. (2) Qualifications of chief compliance officer. The individual designated to serve as chief compliance officer shall have the background and skills appropriate for fulfilling the responsibilities of the position and shall be subject to the following requirements: (i) No individual disqualified from registration pursuant to section 8a(2) or 8a(3) of the Act may serve as a chief compliance officer. (ii) The chief compliance officer may not be a member of the swap data repository's legal department or serve as its general counsel. (c) Appointment, supervision, and removal of chief compliance officer —(1) Appointment and compensation of chief compliance officer determined by board of directors. A swap data repository's chief compliance officer shall be appointed by its board of directors. The board of directors shall also approve the compensation of the chief compliance officer and shall meet with the chief compliance officer at least annually. The appointment of the chief compliance officer and approval of the chief compliance officer's compensation shall … | ||||||
| 17:17:2.0.1.1.8.0.1.23 | 17 | Commodity and Securities Exchanges | I | 49 | PART 49—SWAP DATA REPOSITORIES | § 49.23 Emergency authority policies and procedures. | CFTC | [76 FR 54575, Sept. 1, 2011, as amended at 85 FR 75661, Nov. 25, 2020] | (a) Emergency policies and procedures required. A swap data repository shall establish policies and procedures for the exercise of emergency authority in the event of any emergency, including but not limited to natural, man-made, and information technology emergencies. Such policies and procedures shall also require a swap data repository to exercise its emergency authority upon request by the Commission. A swap data repository's policies and procedures for the exercise of emergency authority shall be transparent to the Commission and to market participants whose SDR data resides at the swap data repository. (b) Invocation of emergency authority. A swap data repository's policies and procedures for the exercise of emergency authority shall enumerate the circumstances under which the swap data repository is authorized to invoke its emergency authority and the procedures that it shall follow to declare an emergency. Such policies and procedures shall also address the range of measures that it is authorized to take when exercising such emergency authority. (c) Designation of persons authorized to act in an emergency. A swap data repository shall designate one or more officials of the swap data repository as persons authorized to exercise emergency authority on its behalf. A swap data repository shall also establish a chain of command to be used in the event that the designated person(s) is unavailable. A swap data repository shall notify the Commission of the person(s) designated to exercise emergency authority. (d) Conflicts of interest. A swap data repository's policies and procedures for the exercise of emergency authority shall include provisions to avoid conflicts of interest in any decisions made pursuant to emergency authority. Such policies and procedures shall also include provisions to consult the swap data repository's chief compliance officer in any emergency decision that may raise potential conflicts of interest. (e) Notification to the Commission. A swap data repository's policies and pr… | ||||||
| 17:17:2.0.1.1.8.0.1.24 | 17 | Commodity and Securities Exchanges | I | 49 | PART 49—SWAP DATA REPOSITORIES | § 49.24 System safeguards. | CFTC | [76 FR 54575, Sept. 1, 2011, as amended at 81 FR 64315, Sept. 19, 2016; 85 FR 75661, Nov. 25, 2020] | (a) Each swap data repository shall, with respect to all SDR data in its custody: (1) Establish and maintain a program of risk analysis and oversight to identify and minimize sources of operational risk through the development of appropriate controls and procedures and the development of automated systems that are reliable, secure, and have adequate scalable capacity; (2) Establish and maintain emergency procedures, backup facilities, and a business continuity-disaster recovery plan that allow for the timely recovery and resumption of operations and the fulfillment of the duties and obligations of the swap data repository; and (3) Periodically conduct tests to verify that backup resources are sufficient to ensure continued fulfillment of all duties of the swap data repository established by the Act or the Commission's regulations. (b) A swap data repository's program of risk analysis and oversight with respect to its operations and automated systems shall address each of the following categories of risk analysis and oversight: (1) Enterprise risk management and governance. This category includes, but is not limited to: Assessment, mitigation, and monitoring of security and technology risk; security and technology capital planning and investment; board of directors and management oversight of technology and security; information technology audit and controls assessments; remediation of deficiencies; and any other elements of enterprise risk management and governance included in generally accepted best practices. (2) Information security. This category includes, but is not limited to, controls relating to: Access to systems and data (including least privilege, separation of duties, account monitoring and control); user and device identification and authentication; security awareness training; audit log maintenance, monitoring, and analysis; media protection; personnel security and screening; automated system and communications protection (including network port control, boundary defenses, encryption); sys… | ||||||
| 17:17:2.0.1.1.8.0.1.25 | 17 | Commodity and Securities Exchanges | I | 49 | PART 49—SWAP DATA REPOSITORIES | § 49.25 Financial resources. | CFTC | [76 FR 54575, Sept. 1, 2011, as amended at 85 FR 75662, Nov. 25, 2020] | (a) General rule. (1) A swap data repository shall maintain sufficient financial resources to perform its statutory and regulatory duties set forth in this chapter. (2) An entity that operates as both a swap data repository and a derivatives clearing organization shall also comply with the financial resource requirements applicable to derivatives clearing organizations under § 39.11 of this chapter. (3) Financial resources shall be considered sufficient if their value is at least equal to a total amount that would enable the swap data repository, or applicant for registration, to cover its operating costs for a period of at least one year, calculated on a rolling basis. (4) The financial resources described in this paragraph (a) must be independent and separately dedicated to ensure that assets and capital are not used for multiple purposes. (b) Types of financial resources. Financial resources available to satisfy the requirements of paragraph (a) of this section may include: (1) The swap data repository's own capital; and (2) Any other financial resource deemed acceptable by the Commission. (c) Computation of financial resource requirement. A swap data repository shall, on a quarterly basis, based upon its fiscal year, make a reasonable calculation of its projected operating costs over a 12-month period in order to determine the amount needed to meet the requirements of paragraph (a) of this section. The swap data repository shall have reasonable discretion in determining the methodology used to compute such projected operating costs. The Commission may review the methodology and require changes as appropriate. (d) Valuation of financial resources. At appropriate intervals, but not less than quarterly, a swap data repository shall compute the current market value of each financial resource used to meet its obligations under paragraph (a) of this section. Reductions in value to reflect market and credit risk (haircuts) shall be applied as appropriate. (e) Liquidity of financial resources. The … | ||||||
| 17:17:2.0.1.1.8.0.1.26 | 17 | Commodity and Securities Exchanges | I | 49 | PART 49—SWAP DATA REPOSITORIES | § 49.26 Disclosure requirements of swap data repositories. | CFTC | [76 FR 54575, Sept. 1, 2011, as amended at 85 FR 75662, Nov. 25, 2020] | Before accepting any SDR data from a swap execution facility, designated contract market, or reporting counterparty; or upon a swap execution facility's, designated contract market's, or reporting counterparty's request; a swap data repository shall furnish to the swap execution facility, designated contract market, or reporting counterparty a disclosure document that contains the following written information, which shall reasonably enable the swap execution facility, designated contract market, or reporting counterparty to identify and evaluate accurately the risks and costs associated with using the services of the swap data repository: (a) The swap data repository's criteria for providing others with access to services offered and SDR data maintained by the swap data repository; (b) The swap data repository's criteria for those seeking to connect to or link with the swap data repository; (c) A description of the swap data repository's policies and procedures regarding its safeguarding of SDR data and operational reliability to protect the confidentiality and security of such data, as described in § 49.24; (d) The swap data repository's policies and procedures reasonably designed to protect the privacy of any and all SDR data that the swap data repository receives from a swap execution facility, designated contract market, or reporting counterparty, as described in § 49.16; (e) The swap data repository's policies and procedures regarding its non-commercial and/or commercial use of the SDR data that it receives from a swap execution facility, designated contract market, or reporting counterparty; (f) The swap data repository's dispute resolution procedures; (g) A description of all the swap data repository's services, including any ancillary services; (h) The swap data repository's updated schedule of any fees, rates, dues, unbundled prices, or other charges for all of its services, including any ancillary services; any discounts or rebates offered; and the criteria to benefit from such discounts or reb… | ||||||
| 17:17:2.0.1.1.8.0.1.27 | 17 | Commodity and Securities Exchanges | I | 49 | PART 49—SWAP DATA REPOSITORIES | § 49.27 Access and fees. | CFTC | [76 FR 54575, Sept. 1, 2011, as amended at 85 FR 75662, Nov. 25, 2020] | (a) Fair, open and equal access. (1) A swap data repository, consistent with Section 21 of the Act, shall provide its services to market participants, including but not limited to designated contract markets, swap execution facilities, derivatives clearing organizations, swap dealers, major swap participants and any other counterparties, on a fair, open and equal basis. For this purpose, a swap data repository shall not provide access to its services on a discriminatory basis but is required to provide its services to all market participants for swaps it accepts in an asset class. (2) Consistent with the principles of open access set forth in paragraph (a)(1) of this section, a swap data repository shall not tie or bundle the offering of mandated regulatory services with other ancillary services that a swap data repository may provide to market participants. (b) Fees. (1) Any fees or charges imposed by a swap data repository in connection with the reporting of SDR data and any other supplemental or ancillary services provided by such swap data repository shall be equitable and established in a uniform and non-discriminatory manner. Fees or charges shall not be used as an artificial barrier to access to the swap data repository. Swap data repositories shall not offer preferential pricing arrangements to any market participant on any basis, including volume discounts or reductions unless such discounts or reductions apply to all market participants uniformly and are not otherwise established in a manner that would effectively limit the application of such discount or reduction to a select number of market participants. (2) All fees or charges are to be fully disclosed and transparent to market participants. At a minimum, the swap data repository shall provide a schedule of fees and charges that is accessible by all market participants on its Web site. (3) The Commission notes that it will not specifically approve the fees charged by swap data repositories. However, any and all fees charged by swap data repo… | ||||||
| 17:17:2.0.1.1.8.0.1.28 | 17 | Commodity and Securities Exchanges | I | 49 | PART 49—SWAP DATA REPOSITORIES | § 49.28 Operating hours of swap data repositories. | CFTC | [85 FR 75662, Nov. 25, 2020] | (a) Except as otherwise provided in this paragraph (a), a swap data repository shall have systems in place to continuously accept and promptly record all SDR data reported to the swap data repository as required in this chapter and, as applicable, publicly disseminate all swap transaction and pricing data reported to the swap data repository as required in part 43 of this chapter. (1) A swap data repository may establish normal closing hours to perform system maintenance during periods when, in the reasonable estimation of the swap data repository, the swap data repository typically receives the least amount of SDR data. A swap data repository shall provide reasonable advance notice of its normal closing hours to market participants and to the public. (2) A swap data repository may declare, on an ad hoc basis, special closing hours to perform system maintenance that cannot wait until normal closing hours. A swap data repository shall schedule special closing hours during periods when, in the reasonable estimation of the swap data repository in the context of the circumstances prompting the special closing hours, the special closing hours will be the least disruptive to the swap data repository's SDR data reporting responsibilities. A swap data repository shall provide reasonable advance notice of its special closing hours to market participants and to the public whenever possible, and, if advance notice is not reasonably possible, shall provide notice of its special closing hours to market participants and to the public as soon as reasonably possible after declaring special closing hours. (b) A swap data repository shall comply with the requirements under part 40 of this chapter in adopting or amending normal closing hours and special closing hours. (c) During normal closing hours and special closing hours, a swap data repository shall have the capability to accept and hold in queue any and all SDR data reported to the swap data repository during the normal closing hours or special closing hours. (1) Upon re… | ||||||
| 17:17:2.0.1.1.8.0.1.29 | 17 | Commodity and Securities Exchanges | I | 49 | PART 49—SWAP DATA REPOSITORIES | § 49.29 Information relating to swap data repository compliance. | CFTC | [85 FR 75663, Nov. 25, 2020] | (a) Requests for information. Upon the Commission's request, a swap data repository shall file with the Commission information related to its business as a swap data repository and such information as the Commission determines to be necessary or appropriate for the Commission to perform the duties of the Commission under the Act and regulations in 17 CFR chapter I. The swap data repository shall file the information requested in the form and manner and within the time period the Commission specifies in the request. (b) Demonstration of compliance. Upon the Commission's request, a swap data repository shall file with the Commission a written demonstration, containing supporting data, information, and documents, that it is in compliance with its obligations under the Act and the Commission's regulations in 17 CFR chapter I, as the Commission specifies in the request. The swap data repository shall file the written demonstration in the form and manner and within the time period the Commission specifies in the request. | ||||||
| 17:17:2.0.1.1.8.0.1.3 | 17 | Commodity and Securities Exchanges | I | 49 | PART 49—SWAP DATA REPOSITORIES | § 49.3 Procedures for registration. | CFTC | [76 FR 54575, Sept. 1, 2011, as amended at 85 FR 75657, Nov. 25, 2020] | (a) Application procedures. (1) An applicant, person or entity desiring to be registered as a swap data repository shall file electronically an application for registration on Form SDR provided in appendix A to this part, with the Secretary of the Commission at its headquarters in Washington, DC in a format and in the manner specified by the Secretary of the Commission in accordance with the instructions contained therein. (2) The application shall include information sufficient to demonstrate compliance with core principles specified in Section 21 of the Act and the regulations thereunder. Form SDR consists of instructions, general questions and a list of Exhibits (documents, information and evidence) required by the Commission in order to determine whether an applicant is able to comply with the core principles. An application will not be considered to be materially complete unless the applicant has submitted, at a minimum, the exhibits as required in Form SDR. If the application is not materially complete, the Commission shall notify the applicant that the application will not be deemed to have been submitted for purposes of the 180-day review procedures. (3) 180-Day review procedures. The Commission will review the application for registration as a swap data repository within 180 days of the date of the filing of such application. In considering an application for registration as a swap data repository, the staff of the Commission shall include in its review, an applicant's past relevant submissions and compliance history. At or prior to the conclusion of the 180-day period, the Commission will either by order grant registration; extend, by order, the 180-day review period for good cause; or deny the application for registration as a swap data repository. The 180-day review period shall commence once a completed submission on Form SDR is submitted to the Commission. The determination of when such submission on Form SDR is complete shall be at the sole discretion of the Commission. If deemed appropriate,… | ||||||
| 17:17:2.0.1.1.8.0.1.30 | 17 | Commodity and Securities Exchanges | I | 49 | PART 49—SWAP DATA REPOSITORIES | § 49.30 Form and manner of reporting and submitting information to the Commission. | CFTC | [85 FR 75663, Nov. 25, 2020] | Unless otherwise instructed by the Commission, a swap data repository shall submit SDR data reports and any other information required under this part to the Commission, within the time specified, using the format, coding structure, and electronic data transmission procedures approved in writing by the Commission. | ||||||
| 17:17:2.0.1.1.8.0.1.31 | 17 | Commodity and Securities Exchanges | I | 49 | PART 49—SWAP DATA REPOSITORIES | § 49.31 Delegation of authority to the Directors of the Division of Market Oversight and Division of Data relating to certain part 49 matters. | CFTC | [89 FR 71813, Sept. 4, 2024] | (a) The Commission hereby delegates, until such time as the Commission orders otherwise, the following functions to the Director of the Division of Market Oversight and to such members of the Commission staff acting under their direction as they may designate: (1) All functions reserved to the Commission in § 49.5. (2) All functions reserved to the Commission in § 49.12. (3) All functions reserved to the Commission in § 49.13. (4) All functions reserved to the Commission in § 49.16. (5) All functions reserved to the Commission in § 49.17. (6) All functions reserved to the Commission in § 49.18. (7) All functions reserved to the Commission in § 49.22. (8) All functions reserved to the Commission in § 49.23. (9) All functions reserved to the Commission in § 49.24 (10) All functions reserved to the Commission in § 49.25. (11) All functions reserved to the Commission in § 49.29. (12) All functions reserved to the Commission in § 49.30. (b) The Commission hereby delegates, until such time as the Commission orders otherwise, the following functions to the Director of the Division of Data and to such members of the Commission staff acting under their direction as they may designate: (1) All functions reserved to the Commission in § 49.9. (2) All functions reserved to the Commission in § 49.10. (c) The Director of the Division of Market Oversight, and, separately, the Director of the Division of Data may submit to the Commission for its consideration any matter that has been delegated under this section. (d) Nothing in this section may prohibit the Commission, at its election, from exercising the authority delegated in this section. | ||||||
| 17:17:2.0.1.1.8.0.1.4 | 17 | Commodity and Securities Exchanges | I | 49 | PART 49—SWAP DATA REPOSITORIES | § 49.4 Withdrawal from registration. | CFTC | [76 FR 54575, Sept. 1, 2011, as amended at 85 FR 75595, 75657, Nov. 25, 2020] | (a)(1) A swap data repository may withdraw its registration by giving notice in writing to the Commission requesting that its registration as a swap data repository be withdrawn. Such notice shall be served at least 60 days prior to the date named therein as the date when the withdrawal of registration shall take effect. The request to withdraw shall be made by a person duly authorized by the swap data repository and shall specify: (i) The name of the swap data repository for which withdrawal of registration is being requested; (ii) The name, address and telephone number of the swap data repository that will have custody of data and records of the swap data repository; and (iii) The address where such data and records will be located. (2) Prior to filing a request to withdraw, a swap data repository shall execute an agreement with the custodial swap data repository governing the custody of the withdrawing swap data repository's data and records. The custodial swap data repository shall retain such records for at least as long as the remaining period of time the swap data repository withdrawing from registration would have been required to retain such records pursuant to this part. (b) A notice of withdrawal from registration filed by a swap data repository shall become effective for all matters (except as provided in this paragraph (b)) on the 60th day after the filing thereof with the Commission, within such longer period of time as to which such swap data repository consents or which the Commission, by order, may determine as necessary or appropriate in the public interest. (c) Revocation of registration for false application. If, after notice and opportunity for hearing, the Commission finds that any swap data repository has obtained its registration by making any false or misleading statements with respect to any material fact or has violated or failed to comply with any provision of the Act and regulations thereunder, the Commission, by order, may revoke the registration. Pending final determination … | ||||||
| 17:17:2.0.1.1.8.0.1.5 | 17 | Commodity and Securities Exchanges | I | 49 | PART 49—SWAP DATA REPOSITORIES | § 49.5 Equity interest transfers. | CFTC | [85 FR 75657, Nov. 25, 2020] | (a) Equity interest transfer notification. A swap data repository shall file with the Commission a notification of each transaction involving the direct or indirect transfer of ten percent or more of the equity interest in the swap data repository. The Commission may, upon receiving such notification, request that the swap data repository provide supporting documentation of the transaction. (b) Timing of notification. The equity interest transfer notice described in paragraph (a) of this section shall be filed electronically with the Secretary of the Commission at its Washington, DC headquarters at submissions@cftc.gov and the Division of Market Oversight at DMOSubmissions@cftc.gov, at the earliest possible time but in no event later than the open of business ten business days following the date upon which a firm obligation is made to transfer, directly or indirectly, ten percent or more of the equity interest in the swap data repository. (c) Certification. Upon a transfer, whether directly or indirectly, of an equity interest of ten percent or more in a swap data repository, the swap data repository shall file electronically with the Secretary of the Commission at its Washington, DC headquarters at submissions@cftc.gov and the Division of Market Oversight at DMOSubmissions@cftc.gov, a certification that the swap data repository meets all of the requirements of section 21 of the Act and the Commission regulations in 17 CFR chapter I, no later than two business days following the date on which the equity interest of ten percent or more was acquired. | ||||||
| 17:17:2.0.1.1.8.0.1.6 | 17 | Commodity and Securities Exchanges | I | 49 | PART 49—SWAP DATA REPOSITORIES | § 49.6 Request for transfer of registration. | CFTC | [85 FR 75657, Nov. 25, 2020] | (a) Request for approval. A swap data repository seeking to transfer its registration from its current legal entity to a new legal entity as a result of a corporate change shall file a request for approval to transfer such registration with the Secretary of the Commission in the form and manner specified by the Commission. (b) Timing for filing a request for transfer of registration. A swap data repository shall file a request for transfer of registration as soon as practicable prior to the anticipated corporate change. (c) Required information. The request for transfer of registration shall include the following: (1) The underlying documentation that governs the corporate change; (2) A description of the corporate change, including the reason for the change and its impact on the swap data repository, including the swap data repository's governance and operations, and its impact on the rights and obligations of market participants; (3) A discussion of the transferee's ability to comply with the Act, including the core principles applicable to swap data repositories and the Commission's regulations; (4) The governance documents adopted by the transferee, including a copy of any constitution; articles or certificate of incorporation, organization, formation, or association with all amendments thereto; partnership or limited liability agreements; and any existing bylaws, operating agreement, or rules or instruments corresponding thereto; (5) The transferee's rules marked to show changes from the current rules of the swap data repository; and (6) A representation by the transferee that it: (i) Will be the surviving entity and successor-in-interest to the transferor swap data repository and will retain and assume the assets and liabilities of the transferor, except if otherwise indicated in the request; (ii) Will assume responsibility for complying with all applicable provisions of the Act and the Commission's regulations; and (iii) Will notify market participants of all changes to the transferor's ru… | ||||||
| 17:17:2.0.1.1.8.0.1.7 | 17 | Commodity and Securities Exchanges | I | 49 | PART 49—SWAP DATA REPOSITORIES | § 49.7 Swap data repositories located in foreign jurisdictions. | CFTC | Any swap data repository located outside of the United States applying for registration pursuant to § 49.3 of this part shall certify on Form SDR and provide an opinion of counsel that the swap data repository, as a matter of law, is able to provide the Commission with prompt access to the books and records of such swap data repository and that the swap data repository can submit to onsite inspection and examination by the Commission. | |||||||
| 17:17:2.0.1.1.8.0.1.8 | 17 | Commodity and Securities Exchanges | I | 49 | PART 49—SWAP DATA REPOSITORIES | § 49.8 Procedures for implementing swap data repository rules. | CFTC | (a) Request for Commission approval of rules. An applicant for registration as a swap data repository may request that the Commission approve under Section 5c(c) of the Act, any or all of its rules and subsequent amendments thereto, prior to their implementation or, notwithstanding the provisions of Section 5c(c)(2) of the Act, at anytime thereafter, under the procedures of § 40.5 of this chapter. (b) Notwithstanding the timeline under § 40.5(c) of this chapter, the rules of a swap data repository that have been submitted for Commission approval at the same time as an application for registration under § 49.3 of this part or to reinstate the registration of a dormant swap data repository, as defined in § 40.1 of this chapter, will be deemed approved by the Commission no earlier than when the swap data repository is deemed to be registered or reinstated. (c) Self-certification of rules. Rules of a swap data repository not voluntarily submitted for prior Commission approval pursuant to paragraph (a) of this section must be submitted to the Commission with a certification that the rule or rule amendment complies with the Act or rules thereunder pursuant to the procedures of § 40.6 of this chapter, as applicable. | |||||||
| 17:17:2.0.1.1.8.0.1.9 | 17 | Commodity and Securities Exchanges | I | 49 | PART 49—SWAP DATA REPOSITORIES | § 49.9 Open swaps reports provided to the Commission. | CFTC | [85 FR 75657, Nov. 25, 2020] | Each swap data repository shall provide reports of open swaps to the Commission in accordance with this section. (a) Content of the open swaps report. In order to satisfy the requirements of this section, each swap data repository shall provide the Commission with open swaps reports that contain an accurate reflection, as of the time the swap data repository compiles the open swaps report, of the swap data maintained by the swap data repository for every swap data field required to be reported for swaps pursuant to part 45 of this chapter for every open swap. The report shall be organized by the unique identifier created pursuant to § 45.5 of this chapter that is associated with each open swap. (b) Transmission of the open swaps report. Each swap data repository shall transmit all open swaps reports to the Commission as instructed by the Commission. Such instructions may include, but are not limited to, the method, timing, and frequency of transmission, as well as the format of the swap data to be transmitted. | ||||||
| 28:28:2.0.1.1.7.0.1.1 | 28 | Judicial Administration | I | 49 | PART 49—ANTITRUST CIVIL PROCESS ACT | § 49.1 Purpose. | DOJ | The regulations in this part are issued in compliance with the requirements imposed by the provisions of section 4(c) of the Antitrust Civil Process Act, as amended (15 U.S.C. 1313(c)). The terms used in this part shall be deemed to have the same meaning as similar terms used in that Act. | |||||||
| 28:28:2.0.1.1.7.0.1.2 | 28 | Judicial Administration | I | 49 | PART 49—ANTITRUST CIVIL PROCESS ACT | § 49.2 Duties of custodian. | DOJ | [60 FR 44277, Aug. 25, 1995; 60 FR 61290, Nov. 29, 1995] | (a) Upon taking physical possession of documentary material, answers to interrogatories, or transcripts of oral testimony delivered pursuant to a civil investigative demand issued under section 3(a) of the Act, the antitrust document custodian designated pursuant to section 4(a) of the Act (subject to the general supervision of the Assistant Attorney General in charge of the Antitrust Division), shall, unless otherwise directed by a court of competent jurisdiction, select, from time to time, from among such documentary material, answers to interrogatories or transcripts of oral testimony, the documentary material, answers to interrogatories or transcripts of oral testimony the copying of which the custodian deems necessary or appropriate for the official use of the Department of Justice, and shall determine, from time to time, the number of copies of any such documentary material, answers to interrogatories or transcripts of oral testimony that are to be reproduced pursuant to the Act. (b) Copies of documentary material, answers to interrogatories, or transcripts of oral testimony in the physical possession of the custodian pursuant to a civil investigative demand may be reproduced by or under the authority of any officer, employee, or agent of the Department of Justice designated by the custodian. Documentary material for which a civil investigative demand has been issued but which is still in the physical possession of the person upon whom the demand has been served may, by agreement between such person and the custodian, be reproduced by such person, in which case the custodian may require that the copies so produced be duly certified as true copies of the original of the material involved. | ||||||
| 28:28:2.0.1.1.7.0.1.3 | 28 | Judicial Administration | I | 49 | PART 49—ANTITRUST CIVIL PROCESS ACT | § 49.3 Examination of the material. | DOJ | [60 FR 44277, Aug. 25, 1995; 60 FR 61290, Nov. 29, 1995] | Documentary material, answers to interrogatories, or transcripts of oral testimony produced pursuant to the Act, while in the custody of the custodian, shall be for the official use of officers, employees, and agents of the Department of Justice in accordance with the Act. Upon reasonable notice to the custodian— (a) Such documentary material or answers to interrogatories shall be made available for examination by the person who produced such documentary material or answers to interrogatories, or by any duly authorized representative of such person; and (b) Such transcripts of oral testimony shall be made available for examination by the person who produced such testimony, or by such person's counsel, during regular office hours established for the Department of Justice. Examination of such documentary material, answers to interrogatories, or transcripts of oral testimony at other times may be authorized by the Assistant Attorney General or the custodian. | ||||||
| 28:28:2.0.1.1.7.0.1.4 | 28 | Judicial Administration | I | 49 | PART 49—ANTITRUST CIVIL PROCESS ACT | § 49.4 Deputy custodians. | DOJ | Deputy custodians may perform such of the duties assigned to the custodian as may be authorized or required by the Assistant Attorney General. | |||||||
| 33:33:1.0.1.2.18.1.1.1 | 33 | Navigation and Navigable Waters | I | B | 49 | PART 49—PAYMENT OF AMOUNTS DUE MENTALLY INCOMPETENT COAST GUARD PERSONNEL | 49.01 | Subpart 49.01—General Provisions | § 49.01-1 Applicability. | USCG | The Commandant of the Coast Guard is hereby designated and is authorized to appoint, in his discretion, the person or persons who may receive active-duty pay and allowances, amounts due for accumulated or accrued leave, or any retired or retainer pay, otherwise payable to personnel on the active or retired list of the Coast Guard and Coast Guard Reserve, entitled to Federal pay either on the active or any retired list of said service, who, in the opinion of competent medical authority, have been determined to be mentally incapable of managing their own affairs, and for whom no legal committee, guardian, or other representative has been appointed by a court of competent jurisdiction. | ||||
| 33:33:1.0.1.2.18.1.1.2 | 33 | Navigation and Navigable Waters | I | B | 49 | PART 49—PAYMENT OF AMOUNTS DUE MENTALLY INCOMPETENT COAST GUARD PERSONNEL | 49.01 | Subpart 49.01—General Provisions | § 49.01-5 Requests for appointment of trustee. | USCG | Requests for the appointment of a person or persons to receive moneys due personnel believed to be mentally incapable of managing their own affairs shall be submitted to the Commandant of the Coast Guard: (a) By any person or persons who believe, because of relationship, they should be appointed to receive payments on behalf of the alleged incompetent; (b) By the Commanding Officer of the alleged incompetent if the latter is on active duty; (c) By the Commanding Officer of any Armed Forces hospital in which the mentally incompetent is undergoing treatment; (d) By the head of any veterans' hospital, or other public or private institution in which the alleged incompetent is undergoing treatment; (e) By any other person or organization acting for and in the best interests of the alleged mentally incompetent. | ||||
| 33:33:1.0.1.2.18.1.1.3 | 33 | Navigation and Navigable Waters | I | B | 49 | PART 49—PAYMENT OF AMOUNTS DUE MENTALLY INCOMPETENT COAST GUARD PERSONNEL | 49.01 | Subpart 49.01—General Provisions | § 49.01-10 Determination of incompetency. | USCG | After examining the legitimacy, substance, and sufficiency of the application, the Commandant shall either (a) direct the Commanding Officer of the alleged mentally incompetent, (b) the Commanding Officer of the Coast Guard unit to which such incompetent may be conveniently referred, or (c) request the Surgeon General of the Public Health Service to convene or appoint, at the Public Health Hospital or facility, where the alleged incompetent is receiving treatment or to which his case may be conveniently referred, a board of not less than three qualified medical officers, one of whom shall be specially qualified in the treatment of mental disorders, to determine whether the alleged incompetent is capable of managing his own affairs. The record of proceedings, and the findings of the board shall, after action by the Convening or Appointive Authority thereon, be forwarded to the Commandant. | ||||
| 33:33:1.0.1.2.18.2.1.1 | 33 | Navigation and Navigable Waters | I | B | 49 | PART 49—PAYMENT OF AMOUNTS DUE MENTALLY INCOMPETENT COAST GUARD PERSONNEL | 49.05 | Subpart 49.05—Trustee | § 49.05-1 Appointment of trustee. | USCG | Upon receipt of a finding by a board convened or appointed in accordance with § 49.01-10, that the alleged incompetent is mentally incapable of managing his own affairs, the Commandant may appoint a suitable person or persons, not under legal disability so to act, as trustee or trustees to receive in behalf of the incompetent all amounts due the incompetent from such sources set forth in § 49.01-1, and to use said funds in the best interests of the incompetent. | ||||
| 33:33:1.0.1.2.18.2.1.2 | 33 | Navigation and Navigable Waters | I | B | 49 | PART 49—PAYMENT OF AMOUNTS DUE MENTALLY INCOMPETENT COAST GUARD PERSONNEL | 49.05 | Subpart 49.05—Trustee | § 49.05-5 Bonding of trustee. | USCG | The trustee or trustees appointed to receive moneys in behalf of incompetent personnel shall furnish a bond in all cases when the amounts to be received may be expected to exceed $1,000, and in such other cases when deemed appropriate by the Commandant. The bond so required and furnished shall have as surety a company approved by the Federal Government, and shall be in such amount as is required by the Commandant. Such bonds shall be continued in effect for the life of trusteeship and expenses in connection with the furnishing and renewal of such bonds may be paid out of sums due the incompetent. | ||||
| 33:33:1.0.1.2.18.2.1.3 | 33 | Navigation and Navigable Waters | I | B | 49 | PART 49—PAYMENT OF AMOUNTS DUE MENTALLY INCOMPETENT COAST GUARD PERSONNEL | 49.05 | Subpart 49.05—Trustee | § 49.05-10 Affidavits required. | USCG | The trustee or trustees appointed to receive moneys due incompetent personnel shall, prior to the payment of any such moneys, execute and file with the Commandant an affidavit or affidavits saying and deposing that any moneys henceforth received by virtue of such appointment shall be applied solely to the use and benefit of the incompetent and that no fee, commission, or charge shall be demanded, or in any manner accepted, for any service or services rendered in connection with such appointment as trustee or trustees. | ||||
| 33:33:1.0.1.2.18.3.1.1 | 33 | Navigation and Navigable Waters | I | B | 49 | PART 49—PAYMENT OF AMOUNTS DUE MENTALLY INCOMPETENT COAST GUARD PERSONNEL | 49.10 | Subpart 49.10—Reports and Moneys | § 49.10-1 Reports required. | USCG | The trustee or trustees so appointed shall submit reports annually, or at such other times as the Commandant may designate. The report shall show a statement of the conditions of the trust account at the time of the submission of the report, including all funds received on behalf of the incompetent; all expenditures made in behalf of the incompetent, accompanied by receipts or vouchers covering such expenditures; and a receipt indicating that the surety bond required by § 49.05-5 has been renewed. When the trustee is the spouse or adult dependent of the incompetent, receipts or vouchers need not be filed for expenditures made for living expenses. If the trustee or trustees fail to report promptly and properly at the end of any annual period or at such other times as the Commandant desires, the Commandant may, in his discretion, cause payment to such trustee or trustees to cease, and may, if deemed advisable, appoint another person or persons not under legal disability so to act, to receive future payments of moneys due the incompetent for the use and benefit of the incompetent. | ||||
| 33:33:1.0.1.2.18.3.1.2 | 33 | Navigation and Navigable Waters | I | B | 49 | PART 49—PAYMENT OF AMOUNTS DUE MENTALLY INCOMPETENT COAST GUARD PERSONNEL | 49.10 | Subpart 49.10—Reports and Moneys | § 49.10-5 Payment of moneys due. | USCG | Upon the appointment of a trustee or trustees to receive moneys due an incompetent, the authorized certifying officer having custody of that person's pay record shall be advised. After such notification, payments of moneys due the incompetent may be made by the appropriate officer in accordance with procedure prescribed by the Commandant. All such payments so made, however, shall be made to the designated trustee or trustees. | ||||
| 33:33:1.0.1.2.18.3.1.3 | 33 | Navigation and Navigable Waters | I | B | 49 | PART 49—PAYMENT OF AMOUNTS DUE MENTALLY INCOMPETENT COAST GUARD PERSONNEL | 49.10 | Subpart 49.10—Reports and Moneys | § 49.10-10 Cessation of payments. | USCG | (a) Payments of amounts due incompetent personnel shall cease to be paid to the trustee or trustees upon receipt of notification by the authorized certifying officer of the occurrence of any of the following: (1) Death of the incompetent; (2) Death or disability of the trustee or trustees appointed; (3) Receipt of notice that a committee, guardian, or other legal representative has been appointed for the incompetent by a court of competent jurisdiction; (4) Failure of the trustee or trustees to render the reports required by § 49.10-1; (5) That there is probable cause to believe that moneys received on behalf of the incompetent have been, or are being, improperly used; (6) A finding by a board of medical officers that the heretofore incompetent is mentally capable of managing his own affairs; (7) That the Commandant deems it to be in the best interest of the incompetent. (b) In the event of termination of payments under paragraphs (a)(2), (4), (5), or (7) of this section, the Commandant may, if deemed appropriate, appoint a successor trustee or trustees. The successor trustee or trustees, so appointed, shall comply with the provisions of the regulations and instructions in this part issued thereunder, and do all acts in the manner required of the original trustee or trustees. | ||||
| 33:33:1.0.1.2.18.3.1.4 | 33 | Navigation and Navigable Waters | I | B | 49 | PART 49—PAYMENT OF AMOUNTS DUE MENTALLY INCOMPETENT COAST GUARD PERSONNEL | 49.10 | Subpart 49.10—Reports and Moneys | § 49.10-15 Final accounting by trustee. | USCG | The trustee or trustees, when payments, hereunder are terminated, shall file a final account with the said Commandant. Thereupon, the trustee or trustees will be discharged and the surety released. In event of death or disability of the trustee, the final accounting will be filed by his legal representative. | ||||
| 33:33:1.0.1.2.18.4.1.1 | 33 | Navigation and Navigable Waters | I | B | 49 | PART 49—PAYMENT OF AMOUNTS DUE MENTALLY INCOMPETENT COAST GUARD PERSONNEL | 49.15 | Subpart 49.15—Additional Instructions | § 49.15-1 Implementing instructions. | USCG | The Commandant is hereby authorized to issue such instructions not in conflict with the regulations in this part as may be necessary from time to time to give full force and effect thereto. | ||||
| 40:40:1.0.1.2.36.1.208.1 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | A | Subpart A—Tribal Authority | § 49.1 Program overview. | EPA | (a) The regulations in this part identify those provisions of the Clean Air Act (Act) for which Indian tribes are or may be treated in the same manner as States. In general, these regulations authorize eligible tribes to have the same rights and responsibilities as States under the Clean Air Act and authorize EPA approval of tribal air quality programs meeting the applicable minimum requirements of the Act. (b) Nothing in this part shall prevent an Indian tribe from establishing additional or more stringent air quality protection requirements not inconsistent with the Act. | ||||
| 40:40:1.0.1.2.36.1.208.10 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | A | Subpart A—Tribal Authority | § 49.10 EPA review of State Clean Air Act programs. | EPA | A State Clean Air Act program submittal shall not be disapproved because of failure to address air resources within the exterior boundaries of an Indian Reservation or other areas within the jurisdiction of an Indian tribe. | ||||
| 40:40:1.0.1.2.36.1.208.11 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | A | Subpart A—Tribal Authority | § 49.11 Actions under section 301(d)(4) authority. | EPA | Notwithstanding any determination made on the basis of authorities granted the Administrator under any other provision of this section, the Administrator, pursuant to the discretionary authority explicitly granted to the Administrator under sections 301(a) and 301(d)(4): (a) Shall promulgate without unreasonable delay such Federal implementation plan provisions as are necessary or appropriate to protect air quality, consistent with the provisions of sections 304(a) and 301(d)(4), if a tribe does not submit a tribal implementation plan meeting the completeness criteria of 40 CFR part 51, appendix V, or does not receive EPA approval of a submitted tribal implementation plan. (b) May provide up to 95 percent of the cost of implementing programs for the prevention and control of air pollution or implementation of national primary and secondary ambient air quality standards. After two years from the date of each tribe's initial grant award, the maximum Federal share will be reduced to 90 percent, as long as the Regional Administrator determines that the tribe meets certain economic indicators that would provide an objective assessment of the tribe's ability to increase its share. The Regional Administrator may increase the maximum Federal share to 100 percent if the tribe can demonstrate in writing to the satisfaction of the Regional Administrator that fiscal circumstances within the tribe are constrained to such an extent that fulfilling the match would impose undue hardship. | ||||
| 40:40:1.0.1.2.36.1.208.12 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | A | Subpart A—Tribal Authority | §§ 49.12-49.50 [Reserved] | EPA | |||||
| 40:40:1.0.1.2.36.1.208.2 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | A | Subpart A—Tribal Authority | § 49.2 Definitions. | EPA | (a) Clean Air Act or Act means those statutory provisions in the United States Code at 42 U.S.C. 7401, et seq. (b) Federal Indian Reservation, Indian Reservation or Reservation means all land within the limits of any Indian reservation under the jurisdiction of the United States government, notwithstanding the issuance of any patent, and including rights-of-way running through the reservation. (c) Indian tribe or tribe means any Indian tribe, band, nation, or other organized group or community, including any Alaska Native village, which is federally recognized as eligible for the special programs and services provided by the United States to Indians because of their status as Indians. (d) Indian Tribe Consortium or Tribal Consortium means a group of two or more Indian tribes. (e) State means a State, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, and American Samoa and includes the Commonwealth of the Northern Mariana Islands. | ||||
| 40:40:1.0.1.2.36.1.208.3 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | A | Subpart A—Tribal Authority | § 49.3 General Tribal Clean Air Act authority. | EPA | Tribes meeting the eligibility criteria of § 49.6 shall be treated in the same manner as States with respect to all provisions of the Clean Air Act and implementing regulations, except for those provisions identified in § 49.4 and the regulations that implement those provisions. | ||||
| 40:40:1.0.1.2.36.1.208.4 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | A | Subpart A—Tribal Authority | § 49.4 Clean Air Act provisions for which it is not appropriate to treat tribes in the same manner as States. | EPA | Tribes will not be treated as States with respect to the following provisions of the Clean Air Act and any implementing regulations thereunder: (a) Specific plan submittal and implementation deadlines for NAAQS-related requirements, including but not limited to such deadlines in sections 110(a)(1), 172(a)(2), 182, 187, 189, and 191 of the Act. (b) The specific deadlines associated with the review and revision of implementation plans related to major fuel burning sources in section 124 of the Act. (c) The mandatory imposition of sanctions under section 179 of the Act because of a failure to submit an implementation plan or required plan element by a specific deadline, or the submittal of an incomplete or disapproved plan or element. (d) The provisions of section 110(c)(1) of the Act. (e) Specific visibility implementation plan submittal deadlines established under section 169A of the Act. (f) Specific implementation plan submittal deadlines related to interstate commissions under sections 169B(e)(2), 184(b)(1) and (c)(5) of the Act. For eligible tribes participating as members of such commissions, the Administrator shall establish those submittal deadlines that are determined to be practicable or, as with other non-participating tribes in an affected transport region, provide for Federal implementation of necessary measures. (g) Any provisions of the Act requiring as a condition of program approval the demonstration of criminal enforcement authority or any provisions of the Act providing for the delegation of such criminal enforcement authority. Tribes seeking approval of a Clean Air Act program requiring such demonstration may receive program approval if they meet the requirements of § 49.8. (h) The specific deadline for the submittal of operating permit programs in section 502(d)(1) of the Act. (i) The mandatory imposition of sanctions under section 502(d)(2)(B) because of failure to submit an operating permit program or EPA disapproval of an operating permit program submittal in whole or part. (j) The… | ||||
| 40:40:1.0.1.2.36.1.208.5 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | A | Subpart A—Tribal Authority | § 49.5 Tribal requests for additional Clean Air Act provisions for which it is not appropriate to treat tribes in the same manner as States. | EPA | Any tribe may request that the Administrator specify additional provisions of the Clean Air Act for which it would be inappropriate to treat tribes in general in the same manner as States. Such request should clearly identify the provisions at issue and should be accompanied with a statement explaining why it is inappropriate to treat tribes in the same manner as States with respect to such provisions. | ||||
| 40:40:1.0.1.2.36.1.208.6 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | A | Subpart A—Tribal Authority | § 49.6 Tribal eligibility requirements. | EPA | Sections 301(d)(2) and 302(r), 42 U.S.C. 7601(d)(2) and 7602(r), authorize the Administrator to treat an Indian tribe in the same manner as a State for the Clean Air Act provisions identified in § 49.3 if the Indian tribe meets the following criteria: (a) The applicant is an Indian tribe recognized by the Secretary of the Interior; (b) The Indian tribe has a governing body carrying out substantial governmental duties and functions; (c) The functions to be exercised by the Indian tribe pertain to the management and protection of air resources within the exterior boundaries of the reservation or other areas within the tribe's jurisdiction; and (d) The Indian tribe is reasonably expected to be capable, in the EPA Regional Administrator's judgment, of carrying out the functions to be exercised in a manner consistent with the terms and purposes of the Clean Air Act and all applicable regulations. | ||||
| 40:40:1.0.1.2.36.1.208.7 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | A | Subpart A—Tribal Authority | § 49.7 Request by an Indian tribe for eligibility determination and Clean Air Act program approval. | EPA | (a) An Indian tribe may apply to the EPA Regional Administrator for a determination that it meets the eligibility requirements of § 49.6 for Clean Air Act program approval. The application shall concisely describe how the Indian tribe will meet each of the requirements of § 49.6 and should include the following information: (1) A statement that the applicant is an Indian tribe recognized by the Secretary of the Interior. (2) A descriptive statement demonstrating that the applicant is currently carrying out substantial governmental duties and powers over a defined area. This statement should: (i) Describe the form of the tribal government; (ii) Describe the types of government functions currently performed by the tribal governing body such as, but not limited to, the exercise of police powers affecting (or relating to) the health, safety, and welfare of the affected population; taxation; and the exercise of the power of eminent domain; and (iii) Identify the source of the tribal government's authority to carry out the governmental functions currently being performed. (3) A descriptive statement of the Indian tribe's authority to regulate air quality. For applications covering areas within the exterior boundaries of the applicant's reservation the statement must identify with clarity and precision the exterior boundaries of the reservation including, for example, a map and a legal description of the area. For tribal applications covering areas outside the boundaries of a reservation the statement should include: (i) A map or legal description of the area over which the application asserts authority; and (ii) A statement by the applicant's legal counsel (or equivalent official) that describes the basis for the tribe's assertion of authority (including the nature or subject matter of the asserted regulatory authority) which may include a copy of documents such as tribal constitutions, by-laws, charters, executive orders, codes, ordinances, and/or resolutions that support the tribe's assertion of authority. (… | ||||
| 40:40:1.0.1.2.36.1.208.8 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | A | Subpart A—Tribal Authority | § 49.8 Provisions for tribal criminal enforcement authority. | EPA | To the extent that an Indian tribe is precluded from asserting criminal enforcement authority, the Federal Government will exercise primary criminal enforcement responsibility. The tribe, with the EPA Region, shall develop a procedure by which the tribe will provide potential investigative leads to EPA and/or other appropriate Federal agencies, as agreed to by the parties, in an appropriate and timely manner. This procedure shall encompass all circumstances in which the tribe is incapable of exercising applicable enforcement requirements as provided in § 49.7(a)(6). This agreement shall be incorporated into a Memorandum of Agreement with the EPA Region. | ||||
| 40:40:1.0.1.2.36.1.208.9 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | A | Subpart A—Tribal Authority | § 49.9 EPA review of tribal Clean Air Act applications. | EPA | (a) The EPA Regional Administrator shall process a request of an Indian tribe submitted under § 49.7 in a timely manner. The EPA Regional Administrator shall promptly notify the Indian tribe of receipt of the application. (b) Within 30 days of receipt of an Indian tribe's initial, complete application, the EPA Regional Administrator shall notify all appropriate governmental entities. (1) For tribal applications addressing air resources within the exterior boundaries of the reservation, EPA's notification of other governmental entities shall specify the geographic boundaries of the reservation. (2) For tribal applications addressing non-reservation areas, EPA's notification of other governmental entities shall include the substance and bases of the tribe's jurisdictional assertions. (c) The governmental entities shall have 30 days to provide written comments to EPA's Regional Administrator regarding any dispute concerning the boundary of the reservation. Where a tribe has asserted jurisdiction over non-reservation areas, appropriate governmental entities may request a single 30-day extension to the general 30-day comment period. (d) In all cases, comments must be timely, limited to the scope of the tribe's jurisdictional assertion, and clearly explain the substance, bases, and extent of any objections. If a tribe's assertion is subject to a conflicting claim, the EPA Regional Administrator may request additional information from the tribe and may consult with the Department of the Interior. (e) The EPA Regional Administrator shall decide the jurisdictional scope of the tribe's program. If a conflicting claim cannot be promptly resolved, the EPA Regional Administrator may approve that portion of an application addressing all undisputed areas. (f) A determination by the EPA Regional Administrator concerning the boundaries of a reservation or tribal jurisdiction over non-reservation areas shall apply to all future Clean Air Act applications from that tribe or tribal consortium and no further notice to governme… | ||||
| 40:40:1.0.1.2.36.10.216.1 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | J | Subpart J—Implementation Plans for Tribes—Region VII | §§ 49.3921-49.4160 [Reserved] | EPA | |||||
| 40:40:1.0.1.2.36.11.216.1 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | K | Subpart K—Implementation Plans for Tribes—Region VIII | § 49.4161 Introduction. | EPA | (a) What is the purpose of §§ 49.4161 through 49.4168? Sections 49.4161 through 49.4168 establish legally and practicably enforceable requirements to control and reduce VOC emissions from well completion operations, well recompletion operations, production operations, and storage operations at existing, new and modified oil and natural gas production facilities. (b) Am I subject to §§ 49.4161 through 49.4168? Sections 49.4161 through 49.4168 apply to each owner or operator constructing, modifying or operating an oil and natural gas production facility producing from the Bakken Pool with one or more oil and natural gas wells, for any one of which completion or recompletion operations are/were performed on or after August 12, 2007, that is located on the Fort Berthold Indian Reservation, which is defined by the Act of March 3, 1891 (26 Statute 1032) and which includes all lands added to the Reservation by Executive Order of June 17, 1892 (the “Fort Berthold Indian Reservation”). For the purposes of this subpart, the date that the first well completion operation at a new oil and natural gas production facility was initiated is the date that initial construction has commenced. For the purposes of this subpart, the date that a new well completion operation or the date that an existing well recompletion operation at an existing oil and natural gas production facility is initiated is the date that a modification has commenced. (c) When must I comply with §§ 49.4161 through 49.4168? Compliance with §§ 49.4161 through 49.4168 is required no later than June 20, 2013 or upon initiation of well completion operations or well recompletion operations, whichever is later. | ||||
| 40:40:1.0.1.2.36.11.216.2 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | K | Subpart K—Implementation Plans for Tribes—Region VIII | § 49.4162 Delegation of authority of administration to the tribes. | EPA | (a) What is the purpose of this section? The purpose of this section is to establish the process by which the Regional Administrator may delegate to the Mandan, Hidatsa and Arikara Nation the authority to assist the EPA with administration of this Federal Implementation Plan (FIP). This section provides for administrative delegation and does not affect the eligibility criteria under 40 CFR 49.6 for treatment in the same manner as a state. (b) How does the Tribe request delegation? In order to be delegated authority to assist us with administration of this FIP, the authorized representative of the Mandan, Hidatsa and Arikara Nation must submit a request to the Regional Administrator that: (1) Identifies the specific provisions for which delegation is requested; (2) Includes a statement by the Mandan, Hidatsa and Arikara Nation's legal counsel (or equivalent official) that includes the following information: (i) A statement that the Mandan, Hidatsa and Arikara Nation are an Indian Tribe recognized by the Secretary of the Interior; (ii) A descriptive statement demonstrating that the Mandan, Hidatsa and Arikara Nation are currently carrying out substantial governmental duties and powers over a defined area and that meets the requirements of § 49.7(a)(2); and (iii) A description of the laws of the Mandan, Hidatsa and Arikara Nation that provide adequate authority to carry out the aspects of the rule for which delegation is requested. (3) Demonstrates that the Mandan, Hidatsa and Arikara Nation have, or will have, adequate resources to carry out the aspects of the rule for which delegation is requested. (c) How is the delegation of administration accomplished? (1) A Delegation of Authority Agreement will set forth the terms and conditions of the delegation, will specify the rule and provisions that the Mandan, Hidatsa and Arikara Nation shall be authorized to implement on behalf of the EPA, and shall be entered into by the Regional Administrator and the Mandan, Hidatsa and Arikara Nation. The Agreement wi… | ||||
| 40:40:1.0.1.2.36.11.216.3 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | K | Subpart K—Implementation Plans for Tribes—Region VIII | § 49.4163 General provisions. | EPA | (a) Definitions. As used in §§ 49.4161 through 49.4168, all terms not defined herein shall have the meaning given them in the Act, in subpart A and subpart OOOO of 40 CFR part 60, in the Prevention of Significant Deterioration regulations at 40 CFR 52.21, or in the Federal Minor New Source Review Program in Indian Country at 40 CFR 49.151. The following terms shall have the specific meanings given them. (1) Bakken Pool means Oil produced from the Bakken, Three Forks, and Sanish Formations. (2) Breathing losses means natural gas emissions from fixed roof tanks resulting from evaporative losses during storage. (3) Casinghead natural gas means the associated natural gas that naturally dissolves out of reservoir fluids during well completion operations and recompletion operations due to the pressure relief that occurs as the reservoir fluids travel up the well casinghead. (4) Closed vent system means a system that is not open to the atmosphere and that is composed of hard-piping, ductwork, connections, and, if necessary, flow-inducing devices that transport natural gas from a piece or pieces of equipment to a control device or back to a process. (5) Enclosed combustor means a thermal oxidation system with an enclosed combustion chamber that maintains a limited constant temperature by controlling fuel and combustion air. (6) Existing facility means an oil and natural gas production facility that begins actual construction prior to the effective date of the “Federal Implementation Plan for Oil and Natural Gas Well Production Facilities; Fort Berthold Indian Reservation (Mandan, Hidatsa and Arikara Nation), North Dakota”. (7) Flashing losses means natural gas emissions resulting from the presence of dissolved natural gas in the produced oil and the produced water, both of which are under high pressure, that occurs as the produced oil and produced water is transferred to storage tanks or other vessels that are at atmospheric pressure. (8) Modified facility means a facility which has undergone th… | ||||
| 40:40:1.0.1.2.36.11.216.4 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | K | Subpart K—Implementation Plans for Tribes—Region VIII | § 49.4164 Construction and operational control measures. | EPA | (a) Each owner or operator must operate and maintain all liquid and gas collection, storage, processing and handling operations, regardless of size, so as to minimize leakage of natural gas emissions to the atmosphere. (b) During all oil and natural gas well completion operations or recompletion operations at an oil and natural gas production facility and prior to the first date of production of each oil and natural gas well, each owner or operator must, at a minimum, route all casinghead natural gas to a utility flare or a pit flare capable of reducing the mass content of VOC in the natural gas emissions vented to it by at least 90.0 percent or greater and operated as specified in §§ 49.4165 and 49.4166. (c) Beginning with the first date of production from any one oil and natural gas well at an oil and natural gas production facility, each owner or operator must, at a minimum, route all natural gas emissions from production operations and storage operations to a control device capable of reducing the mass content of VOC in the natural gas emissions vented to it by at least 90.0 percent or greater and operated as specified in §§ 49.4165 and 49.4166. (d) Within ninety (90) days of the first date of production from any oil and natural gas well at an oil and natural gas production facility, each owner or operator must: (1) Route the produced natural gas from the production operations through a closed-vent system to: (i) An operating system designed to recover and inject all the produced natural gas into a natural gas gathering pipeline system for sale or other beneficial purpose; or (ii) A utility flare or equivalent combustion device capable of reducing the mass content of VOC in the produced natural gas vented to the device by at least 98.0 percent or greater and operated as specified in §§ 49.4165 and 49.4166. (2) Route all standing, working, breathing, and flashing losses from the produced oil storage tanks and any produced water storage tank interconnected with the produced oil storage tanks through a cl… | ||||
| 40:40:1.0.1.2.36.11.216.5 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | K | Subpart K—Implementation Plans for Tribes—Region VIII | § 49.4165 Control equipment requirements. | EPA | (a) Covers. Each owner or operator must equip all openings on each produced oil storage tank and produced water storage tank interconnected with produced oil storage tanks with a cover to ensure that all natural gas emissions are efficiently being routed through a closed-vent system to a vapor recovery system, an enclosed combustor, a utility flare, or a pit flare. (1) Each cover and all openings on the cover (e.g., access hatches, sampling ports, pressure relief valves (PRV), and gauge wells) shall form a continuous impermeable barrier over the entire surface area of the produced oil and produced water in the storage tank. (2) Each cover opening shall be secured in a closed, sealed position (e.g., covered by a gasketed lid or cap) whenever material is in the unit on which the cover is installed except during those times when it is necessary to use an opening as follows: (i) To add material to, or remove material from the unit (this includes openings necessary to equalize or balance the internal pressure of the unit following changes in the level of the material in the unit); (ii) To inspect or sample the material in the unit; or (iii) To inspect, maintain, repair, or replace equipment located inside the unit. (3) Each thief hatch cover shall be weighted and properly seated. (4) Each PRV shall be set to release at a pressure that will ensure that natural gas emissions are routed through the closed-vent system to the vapor recovery system, the enclosed combustor, or the utility flare under normal operating conditions. (b) Closed-vent systems. Each owner or operator must meet the following requirements for closed-vent systems: (1) Each closed-vent system must route all produced natural gas and natural gas emissions from production and storage operations to the natural gas sales pipeline or the control devices required by paragraph (a) of this section. (2) All vent lines, connections, fittings, valves, relief valves, or any other appurtenance employed to contain and collect natural gas, vapor, and fume… | ||||
| 40:40:1.0.1.2.36.11.216.6 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | K | Subpart K—Implementation Plans for Tribes—Region VIII | § 49.4166 Monitoring requirements. | EPA | (a) Each owner and operator must measure the barrels of oil produced at the oil and natural gas production facility each time the oil is unloaded from the produced oil storage tanks using the methodologies of tank gauging or positive displacement metering system, as appropriate, as established by the U.S. Department of the Interior's Bureau of Land Management at 43 CFR part 3160, in the “Onshore Oil and Gas Operations; Federal and Indian Oil & Gas Leases; Onshore Oil and Gas Order No. 4; Measurement of Oil”. (b) Each owner or operator must monitor the hours that each pit flare is operated to control produced natural gas and natural gas emissions in the event that natural gas recovered for pipeline injection must be diverted to a backup control device because injection is temporarily infeasible and there is no enclosed combustor or utility flare at the oil and natural gas production facility. (c) Each owner or operator must monitor the volume of produced natural gas sent to each enclosed combustor, utility flare, and pit flare at all times. Methods to measure the volume include, but are not limited to, direct measurement and gas-to-oil ratio (GOR) laboratory analyses. (d) Each owner or operator must monitor the volume of standing, working, breathing, and flashing losses from the produced oil and produced water storage tanks sent to each vapor recovery system, enclosed combustor, utility flare, and pit flare at all times. Methods to measure the volume include, but are not limited to, direct measurement or GOR laboratory analyses. (e) Each owner or operator must perform quarterly visual inspections of tank thief hatches, covers, seals, PRVs, and closed vent systems to ensure proper condition and functioning and repair any damaged equipment. The quarterly inspections must be performed while the produced oil and produced water storage tanks are being filled. (f) Each owner or operator must perform quarterly visual inspections of the peak pressure and vacuum values in each closed vent system and control system for… | ||||
| 40:40:1.0.1.2.36.11.216.7 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | K | Subpart K—Implementation Plans for Tribes—Region VIII | § 49.4167 Recordkeeping requirements. | EPA | (a) Each owner or operator must maintain the following records: (1) The measured barrels of oil produced at the oil and natural gas production facility each time the oil is unloaded from the produced oil storage tanks; (2) The volume of produced natural gas sent to each enclosed combustor, utility flare, and pit flare at all times; (3) The volume of natural gas emissions from the produced oil storage tanks and produced water storage tanks sent to each enclosed combustor, utility flare, and pit flare at all times; (4) A summary of each oil and natural gas well completion operation and recompletion operation at an oil and natural gas production facility. Each summary shall include: (i) The latitude and longitude location of the oil and natural gas well in decimal format; (ii) The date, time, and duration in hours of flowback from the oil and natural gas well; (iii) The date, time, and duration in hours of any venting of casinghead natural gas from the oil and natural gas well; and (iv) Specific reasons for each instance of venting in lieu of capture or combustion. (5) For each enclosed combustor, utility flare, and pit flare at an oil and natural gas production facility: (i) Written, site-specific designs, operating instructions, operating procedures and maintenance schedules; (ii) Records of all required monitoring of operations; (iii) Records of any deviations from the operating parameters specified by the written site-specific designs, operating instructions, and operating procedures. The records must include the enclosed combustor, utility flare, or pit flare's total operating time during which a deviation occurred, the date, time and length of time that deviations occurred, and the corrective actions taken and any preventative measures adopted to operate the device within that operating parameter; (iv) Records of any instances in which the pilot flame is not present, electronically controlled automatic igniter is not functioning, or the monitoring equipment is not functioning in the enclosed combu… | ||||
| 40:40:1.0.1.2.36.11.216.8 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | K | Subpart K—Implementation Plans for Tribes—Region VIII | § 49.4168 Notification and reporting requirements. | EPA | (a) Each owner or operator must submit any documents required under this section to: U.S. Environmental Protection Agency, Region 8 Office of Enforcement, Compliance & Environmental Justice, Air Toxics and Technical Enforcement Program, 8ENF-AT, 1595 Wynkoop Street, Denver, Colorado 80202. Documents may be submitted electronically to r8airreportenforcement@epa.gov. (b) Each owner and operator must submit an annual report containing the information specified in paragraphs (b)(1) through (4) of this section. Each annual report is due August 15th every year and must cover all information for the previous calendar year. The initial report must cover the cumulative information for that year. If you own or operate more than one oil and natural gas production facility, you may submit one report for multiple oil and natural gas production facilities provided the report contains all of the information required as specified in paragraphs (b)(1) through (4) of this section. Annual reports may coincide with title V reports as long as all the required elements of the annual report are included. The EPA may approve a common schedule on which reports required by §§ 49.4161 through 49.4168 may be submitted as long as the schedule does not extend the reporting period. (1) The company name and the address of the oil and natural gas production facility or facilities. (2) An identification of each oil and natural gas production facility being included in the annual report. (3) The beginning and ending dates of the reporting period. (4) For each oil and natural gas production facility, the information in paragraphs (b)(4)(i) through (iv) of this section. (i) A summary of all required records identifying each oil and natural gas well completion or recompletion operation for each oil and natural gas production facility conducted during the reporting period; (ii) An identification of the first date of production for each oil and natural gas well at each oil and natural gas production facility that commenced production during the… | ||||
| 40:40:1.0.1.2.36.11.217.10 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | K | Subpart K—Implementation Plans for Tribes—Region VIII | § 49.4170 Delegation of authority of administration to the Tribe. | EPA | (a) What is the purpose of this section? The purpose of this section is to establish the process by which the Regional Administrator may delegate to the Ute Indian Tribe the authority to assist the EPA with administration of this U&O FIP. This section provides for administrative delegation and does not affect the eligibility criteria under § 49.6 for treatment in the same manner as a state. (b) How does the Ute Indian Tribe request delegation? To be delegated authority to assist the EPA with administration of this U&O FIP, the authorized representative of the Ute Indian Tribe must submit a written request to the Regional Administrator that: (1) Identifies the specific provisions for which delegation is requested; (2) Includes a statement by the Ute Indian Tribe's legal counsel (or equivalent official) with the following information: (i) A statement that the Ute Indian Tribe is an Indian tribe recognized by the Secretary of the Interior; (ii) A descriptive statement that meets the requirements of § 49.7(a)(2) and demonstrates that the Ute Indian Tribe is currently carrying out substantial governmental duties and powers over a defined area; (iii) A description of the laws of the Ute Indian Tribe that provide adequate authority to carry out the aspects of the rule for which delegation is requested; and (3) Demonstrates that the Ute Indian Tribe has, or will have, adequate resources to carry out the aspects of the rule for which delegation is requested. (c) How is the delegation of administration accomplished? (1) A Delegation of Authority Agreement setting forth the terms and conditions of the delegation and specifying the provisions of this rule that the Ute Indian Tribe will be authorized to implement on behalf of the EPA will be entered into by the Regional Administrator and the Ute Indian Tribe. The Agreement will become effective on the date that both the Regional Administrator and the authorized representative of the Ute Indian Tribe have signed the Agreement. Once the delegation becomes effectiv… | ||||
| 40:40:1.0.1.2.36.11.217.11 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | K | Subpart K—Implementation Plans for Tribes—Region VIII | § 49.4171 General provisions. | EPA | (a) At all times, including periods of startup, shutdown, and malfunction, each owner or operator must, to the extent practicable, design, operate, and maintain all equipment used for crude oil, condensate, intermediate hydrocarbon liquid, or produced water, and gas collection, storage, processing, and handling operations covered under §§ 49.4171 and 49.4173 through 49.4184, regardless of emissions rate and including associated air pollution control equipment, in a manner that is consistent with good air pollution control practices and that minimizes leakage of VOC emissions to the atmosphere. Determination of whether acceptable operating and maintenance procedures are being used will be based on information available to the Administrator, including monitoring results, review of operating and maintenance procedures, and inspection of the source. (b) Definitions. As used in §§ 49.4169 through 49.4184, all terms not defined have the meaning given them in the Act, in 40 CFR parts 60 and 63, in the Prevention of Significant Deterioration regulations at 40 CFR 52.21, in the Federal Minor New Source Review Program in Indian Country at § 49.151, or in the Federal Implementation Plan for Managing Air Emissions from True Minor Sources in Indian Country in the Oil and Natural Gas Production and Natural Gas Processing Segments of the Oil and Natural Gas Sector at § 49.102. The following terms are defined here: Bottom filling means the filling of a storage vessel through an inlet at or near the bottom of the storage vessel designed to have the opening covered by the liquid after the pipe normally used to withdraw liquid can no longer withdraw any liquid. Condensate means hydrocarbon liquid separated from produced natural gas that condenses due to changes in temperature, pressure, or both, and that remains liquid at standard conditions. Crude oil means hydrocarbon liquids that are separated from well-extracted reservoir fluids during oil and natural gas production operations, and that are stored or injected to pipeli… | ||||
| 40:40:1.0.1.2.36.11.217.12 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | K | Subpart K—Implementation Plans for Tribes—Region VIII | § 49.4172 Emissions inventory. | EPA | (a) Applicability. The emissions inventory requirements of this section apply to each oil and natural gas source, as identified in § 49.4169(b), that has actual emissions of any pollutant identified in paragraph (c) of this section greater than or equal to one ton in any consecutive 12-month period. (b) Each oil and natural gas source must submit an inventory for every third year, beginning with the 2023 calendar year, for all emission units at a source. (c) The inventory must include the total emissions for PM 10 , PM 2.5 , oxides of sulfur, nitrogen oxides, carbon monoxide, and volatile organic compounds, as defined at 40 CFR 51.50, for each emissions unit at the source. Emissions for each emissions unit at the source must be calculated using the emissions unit's actual operating hours, appropriate emissions rates, the use of performance test results where applicable, product rates and types of materials processed, stored, or combusted during the calendar year of the reporting period. (d) The inventory must include the type and efficiency, for each pollutant controlled, of any air pollution control equipment present at the reporting source. The detail of the emissions inventory must be consistent with the detail and data elements required by 40 CFR part 51, subpart A. (e) The inventory must be submitted to the EPA no later than April 15th of the year following each inventory year. (f) The inventory must be submitted in an electronic format specific to this source category, as instructed on the EPA Region 8 website at https://www.epa.gov/air-quality-implementation-plans/approved-air-quality-implementation-plans-region-8. | ||||
| 40:40:1.0.1.2.36.11.217.13 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | K | Subpart K—Implementation Plans for Tribes—Region VIII | § 49.4173 VOC emissions control requirements for storage vessels. | EPA | (a) Applicability. The VOC emissions control requirements of this section apply to storage vessels at an oil and natural gas source (as specified in § 49.4169(b)) as follows: (1) For oil and natural gas sources that began operations before February 6, 2023, the VOC emissions control requirements of this section apply when the source-wide potential for VOC emissions from the collection of all storage vessels, glycol dehydrators, and pneumatic pumps is equal to or greater than 4 tpy, as determined according to this section. The potential for VOC emissions must be calculated using a generally accepted model or calculation methodology, based on the maximum average daily throughput determined for a 30-day period of production during the 12 months before the compliance deadline for the affected source under this rule. The determination may take into account requirements under a legally and practicably enforceable limit in an operating permit or other federally enforceable requirement. You must reevaluate the source-wide VOC emissions from the collection of all storage vessels, glycol dehydrators and pneumatic pumps for each modification to an existing source; or (2) For oil and natural gas sources that began operations on or after February 6, 2023, the VOC emissions control requirements of this section apply upon startup of operation. (3) Modification to an oil and natural gas source requires a re-evaluation of the source-wide VOC emissions from the collection of all storage vessels, glycol dehydrators and pneumatic pumps. Adding production from a new well or increasing production at an existing well is considered a modification of a well site. Increasing maximum throughput at a tank battery, compressor station or natural gas processing plant is considered a modification. (b) Exemptions. (1) This section does not apply to storage vessels located at an oil and natural gas source that are subject to the emissions control requirements for storage vessels in 40 CFR part 60, subparts OOOO or OOOOa, or 40 CFR part 63… | ||||
| 40:40:1.0.1.2.36.11.217.14 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | K | Subpart K—Implementation Plans for Tribes—Region VIII | § 49.4174 VOC emissions control requirements for dehydrators. | EPA | (a) Applicability. The VOC emissions control requirements of this section apply to each glycol dehydration unit located at an oil and natural gas source as identified in § 49.4169(b) where the source-wide potential for VOC emissions from the collection of all storage vessels, glycol dehydrators, and pneumatic pumps is equal to or greater than 4 tpy, as determined according to § 49.4173. You must reevaluate the source-wide VOC emissions from the collection of all storage vessels, glycol dehydrators and pneumatic pumps for each modification to an existing source, as described in § 49.4173(a)(3). Applicability for glycol dehydrators that began operation before February 6, 2023 must be determined using uncontrolled actual emissions. Applicability for glycol dehydrators that began operation on or after February 6, 2023 must be determined using potential to emit. (b) Exemptions. This section does not apply to glycol dehydration units subject to the emissions control requirements for glycol dehydration unit process vents in 40 CFR part 63, subpart HH. (c) VOC emissions control requirements. For each glycol dehydration unit, you must comply with the VOC emissions control requirements of paragraphs (c)(1) or (2) of this section. (1) You must reduce VOC emissions from each glycol dehydration unit process vent by at least 95.0 percent on a continuous basis according to paragraphs (c)(1)(i) and (ii) of this section. You must route all glycol dehydration unit process vent emissions through a closed-vent system that meets the conditions specified in § 49.4176(d) to: (i) An operating system designed to recover 100 percent of the emissions and recycle them for use in a process unit or incorporate them into a product; or (ii) An enclosed combustor or flare designed to reduce the mass content of VOC in the emissions vented to the device by at least 95.0 percent and operated as specified in § 49.4177; or (2) You must maintain the source-wide uncontrolled actual VOC emissions from the collection of all storage vessels, g… | ||||
| 40:40:1.0.1.2.36.11.217.15 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | K | Subpart K—Implementation Plans for Tribes—Region VIII | § 49.4175 VOC emissions control requirements for pneumatic pumps. | EPA | (a) Applicability. The requirements of this section apply to each pneumatic pump located at an oil and natural gas source as identified in § 49.4169(b) where the source-wide potential for VOC emissions from the collection of all storage vessels, glycol dehydrators, and pneumatic pumps is equal to or greater than 4 tpy, as determined according to § 49.4173. You must reevaluate the source-wide VOC emissions from the collection of all storage vessels, glycol dehydrators and pneumatic pumps for each modification to an existing source, as described in § 49.4173(a)(3). Applicability for pneumatic pumps that began operation before February 6, 2023 must be determined using uncontrolled actual emissions. Applicability for pneumatic pumps that began operation on or after February 6, 2023 must be determined using potential to emit. (b) Exemptions. This section does not apply to pneumatic pumps subject to the emissions control requirements for pneumatic pumps in 40 CFR part 60, subpart OOOOa. (c) VOC Emission Control Requirements. For each pneumatic pump, you must comply with the VOC emissions control requirements of paragraph (c)(1) or (2) of this section. (1) You must reduce VOC emissions from each pneumatic pump by at least 95.0 percent on a continuous basis according to paragraph (c)(1)(i) or (ii) of this section. You must route all pneumatic pump emissions through a closed-vent system that meets the conditions specified in § 49.4176(d) to: (i) An operating system designed to recover 100 percent of the emissions and recycle them for use in a process unit or incorporate them into a product; or (ii) An enclosed combustor or flare designed to reduce the mass content of VOC in the emissions vented to the device by at least 95.0 percent and operated as specified in § 49.4177; or (2) You must maintain the source-wide uncontrolled actual VOC emissions from the collection of all storage vessels, glycol dehydrators, and pneumatic pumps at an oil and natural gas source at less than 4 tpy for any 12 consecutive months i… | ||||
| 40:40:1.0.1.2.36.11.217.16 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | K | Subpart K—Implementation Plans for Tribes—Region VIII | § 49.4176 VOC emissions control requirements for covers and closed-vent systems. | EPA | (a) Applicability. The VOC emissions control requirements in this section apply to each cover on a storage vessel that is subject to § 49.4173, and to each closed-vent system that is used to convey VOC emissions from the collection of all storage vessels, glycol dehydration units, or pneumatic pumps (to a vapor recovery system or control device) that are subject to §§ 49.4173 through 49.4175. (b) Exemptions. This section does not apply to covers and closed-vent systems that are subject to the requirements for covers and closed-vent systems in 40 CFR part 60, subparts OOOO or OOOOa, or 40 CFR part 63, subpart HH. (c) Covers. Each owner or operator must equip all openings on each storage vessel with a cover to ensure that all flashing, working, standing and breathing loss emissions are routed through a closed-vent system to a vapor recovery system, an enclosed combustor, or a flare. (1) Each cover and all openings on the cover (e.g., access hatches, sampling ports, pressure relief valves (PRV), and gauge wells) must form a continuous impermeable barrier over the entire surface area of the crude oil, condensate, intermediate hydrocarbon liquids, or produced water in the storage vessel. (2) Each cover opening must be secured in a closed, sealed position (e.g., covered by a gasketed lid or cap) whenever material is in the unit on which the cover is installed except when it is necessary to use an opening as follows: (i) To add fluids to, or remove fluids from the unit (this includes openings necessary to equalize or balance the internal pressure of the unit following changes in the level of the material in the unit); (ii) To inspect or sample the fluids in the unit; or (iii) To inspect, maintain, repair, or replace equipment located inside the unit. (3) Each thief hatch cover must be weighted and properly seated to ensure that flashing, working, standing, and breathing loss emissions are routed through the closed-vent system to the vapor recovery system, the enclosed combustor, or the flare under normal o… | ||||
| 40:40:1.0.1.2.36.11.217.17 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | K | Subpart K—Implementation Plans for Tribes—Region VIII | § 49.4177 VOC emissions control devices. | EPA | (a) Applicability. The requirements in this section apply to all flares and enclosed combustors used to control VOC emissions at an oil and natural gas source, as identified in § 49.4169(b), in order to meet the requirements specified in §§ 49.4173 through 49.4176, as applicable. (b) Exemptions. This section does not apply to VOC emission control devices that are subject to the requirements for control devices used to comply with the emissions standards in 40 CFR part 60, subparts OOOO or OOOOa; or 40 CFR part 63, subpart HH. (c) Enclosed combustors and flares. Each owner or operator must meet the following requirements for enclosed combustors and flares: (1) For each enclosed combustor or flare, the owner or operator must follow the manufacturer's written operating instructions, procedures, and maintenance schedule to ensure good air pollution control practices for minimizing emissions; (2) The owner or operator must ensure that each enclosed combustor or flare is designed to have sufficient capacity to reduce the mass content of VOC in the captured emissions routed to it by at least 95.0 percent for the minimum and maximum natural gas volumetric flow rate and BTU content routed to the device; (3) Each enclosed combustor or flare must be operated to reduce the mass content of VOC in the captured emissions routed to it by continuously meeting at least 95.0 percent VOC control efficiency; (4) The owner or operator must ensure that each flare is designed and operated in accordance with the requirements of 40 CFR 60.18(b) for such flares; (5) The owner or operator must ensure that each enclosed combustor is: (i) A model that is: (A) Demonstrated by a manufacturer to meet the VOC control efficiency requirements of §§ 49.4173 through 49.4176 using EPA-approved performance test procedures specified in 40 CFR 60.5413; or (B) Demonstrated by the owner or operator to meet the VOC control efficiency requirements of §§ 49.4173 through 49.4176 according to the procedures and schedule specified in § 49.4182(d)… | ||||
| 40:40:1.0.1.2.36.11.217.18 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | K | Subpart K—Implementation Plans for Tribes—Region VIII | § 49.4178 VOC emissions control requirements for fugitive emissions. | EPA | (a) Applicability. The requirements of this section apply to all owners or operators of the collection of fugitive emissions components, as defined in § 49.4171, located at any oil and natural gas source, as identified in § 49.4169(b), except that this section does not apply to owners or operators of the collection of fugitive emissions components at an oil and natural gas source that is subject to the fugitive emissions monitoring requirements in 40 CFR part 60, subpart OOOOa. (b) Owners or operators of the collection of fugitive emissions components must comply with paragraph (d) of this section if either of the following is true: (1) The collection of fugitive emissions components is located at an oil and natural gas source that is required to control VOC emissions according to §§ 49.4173 through 49.4177 of this section ( i.e., the source-wide potential for VOC emissions from the collection of all storage vessels, glycol dehydrators, and pneumatic pumps is equal to or greater than 4 tpy, as determined according to § 49.4173(a)(1)); or (2) The collection of fugitive emissions components is located at a well site, as defined in 40 CFR 60.5430a, that at any time has total production greater than 15 barrels of oil equivalent (boe) per day based on a rolling 12-month average. (c) Owners or operators of the collection of fugitive emissions components for which neither (b)(1) nor (b)(2) is true must comply with either paragraph (c)(1) or paragraph (c)(2) of this section. (1) You must monitor all fugitive emissions components and repair all sources of fugitive emissions in accordance with paragraph (d) of this section. You must keep records in accordance with § 49.4183 and report in accordance with § 49.4184; or (2) You must maintain the total production for the well site at or below 15 boe per day based on a rolling 12-month average. You must demonstrate that the total daily oil and natural gas production from the collection of all wells producing to the well site is at or below 15 boe per day, based on a 12… | ||||
| 40:40:1.0.1.2.36.11.217.19 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | K | Subpart K—Implementation Plans for Tribes—Region VIII | § 49.4179 VOC emissions control requirements for tank truck loading. | EPA | (a) Applicability. The requirements in this section apply to each owner or operator who loads or permits the loading of any intermediate hydrocarbon liquid or produced water at an oil and natural gas source as identified in § 49.4169(b). (b) Tank truck loading requirements. Tank trucks used for transporting intermediate hydrocarbon liquid or produced water must be loaded and unloaded using measures to minimize VOC emissions. These measures must include, at a minimum, bottom filling or a submerged fill pipe, as defined in § 49.4171(b). | ||||
| 40:40:1.0.1.2.36.11.217.20 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | K | Subpart K—Implementation Plans for Tribes—Region VIII | § 49.4180 VOC emissions control requirements for pneumatic controllers. | EPA | (a) Applicability. The VOC emissions control requirements in this section apply to each owner or operator of any existing pneumatic controller located at an oil and natural gas source as identified in § 49.4169(b). (b) Exemptions. This section does not apply to pneumatic controllers subject to and controlled in accordance with the requirements for pneumatic controllers in 40 CFR part 60, subparts OOOO or OOOOa. (c) Retrofit requirements. All existing pneumatic controllers must meet the standards established for pneumatic controllers that are constructed, modified, or reconstructed on or after October 15, 2013, as specified in 40 CFR part 60, subpart OOOO. (d) Documentation requirements. The owner or operator of any existing pneumatic controllers must meet the tagging requirements in 40 CFR 60.5390(a), except that the month and year of installation, reconstruction or modification is not required. | ||||
| 40:40:1.0.1.2.36.11.217.21 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | K | Subpart K—Implementation Plans for Tribes—Region VIII | § 49.4181 Other combustion devices. | EPA | (a) Applicability. The VOC emission control requirements in this section apply to each owner or operator of any existing enclosed combustor or flare located at an oil and natural gas source as identified in § 49.4169(b) that is used to control VOC emissions, but that is not required under §§ 49.4173 through 49.4175 of this rule. (b) Retrofit requirements. All existing enclosed combustors and flares must be equipped with an operational electronically controlled automatic ignition device. | ||||
| 40:40:1.0.1.2.36.11.217.22 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | K | Subpart K—Implementation Plans for Tribes—Region VIII | § 49.4182 Monitoring and testing requirements. | EPA | (a) Applicability. The monitoring and testing requirements in paragraphs (c) and (d) of this section apply, as appropriate, to each oil and natural gas source as identified in § 49.4169(b) with equipment or activities that are subject to §§ 49.4173 through 49.4177. (b) Exemptions. Paragraphs (c) and (d) of this section do not apply to any storage vessels, glycol dehydration units, pneumatic pumps, covers, or closed-vent systems, or to VOC emission control devices subject to and monitored in accordance with the monitoring requirements for such equipment and activities in 40 CFR part 60, subparts OOOO or OOOOa, or 40 CFR part 63, subpart HH. (c) Each owner or operator must inspect each cover and closed-vent system as specified in paragraphs (c)(1) or (2). (1) Conduct olfactory, visual, and auditory inspections at least once every calendar month, separated by at least 15 days between each inspection, of each cover and closed-vent system, including each bypass device, and each storage vessel thief hatch, seal, and pressure relief valve, to ensure proper condition and functioning of the equipment to identify defects that can result in air emissions according to the procedures. Examples of defects are visible cracks, holes, or gaps in the cover or piping, or between the cover and the separator wall; loose connections; liquid leaks; and broken, cracked, or otherwise damaged seals or gaskets on closure devices, caps, or other closure devices. If the storage vessel is partially or entirely buried, you must inspect only those portions of the cover that extend to or above the ground surface, and those connections that are on such portions of the cover (e.g., fill ports, access hatches, gauge wells) and can be opened to the atmosphere. The inspector should note whether there are signs of oil releases around storage vessel thief hatches, seals and pressure relief valves (e.g., staining on the storage vessel), which may indicate over-pressure events that occurred when the storage vessel was being filled. Any defects ide… | ||||
| 40:40:1.0.1.2.36.11.217.23 | 40 | Protection of Environment | I | B | 49 | PART 49—INDIAN COUNTRY: AIR QUALITY PLANNING AND MANAGEMENT | K | Subpart K—Implementation Plans for Tribes—Region VIII | § 49.4183 Recordkeeping requirements. | EPA | (a) Each owner or operator of an oil and natural gas source as identified in § 49.4169(b) must maintain the following records, as applicable: (1) Monthly calculations, as specified in § 49.4173(c)(2), demonstrating that the uncontrolled actual VOC emissions from the collection of all storage vessels, glycol dehydrators, and pneumatic pumps at an oil and natural gas source, as identified in § 49.4169(b), have been maintained at less than 4 tpy; (2) Records of monthly and rolling 12-month crude oil, condensate, intermediate hydrocarbon liquids, produced water or natural gas throughput; (3) For each emergency storage vessel that is exempted from the control requirements of § 49.4173(b)(2), records of usage including: (i) The date the vessel received fluids; (ii) The volume of fluids received in barrels; (iii) The date the overflow vessel was emptied; and (iv) The volume of fluids emptied in barrels. (4) Identification of each storage vessel that is removed from service or returned to service as specified in § 49.4173(b)(3), including the date the storage vessel was removed from service or returned to service. (5) For storage vessels that are skid-mounted or permanently attached to something that is mobile (such as trucks, railcars, barges or ships), records indicating the number of consecutive days that the vessel is located at an oil and natural gas source. If a storage vessel is removed from an oil and natural gas source and, within 30 days, is either returned to the source or replaced by another storage vessel at the source to serve the same or similar function, then the entire period since the original storage vessel was first located at the source, including the days when the storage vessel was removed, must be added to the count of the number of consecutive days. (6) For each enclosed combustor or flare at an oil and natural gas source required under §§ 49.4173 through 49.4177: (i) Manufacturer-written, site-specific designs, operating instructions, operating procedures and maintenance schedules, in… |
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