cfr_sections
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| section_id ▼ | title_number | title_name | chapter | subchapter | part_number | part_name | subpart | subpart_name | section_number | section_heading | agency | authority | source_citation | amendment_citations | full_text |
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| 10:10:1.0.1.1.4.1.56.1 | 10 | Energy | I | 5 | A | Subpart A—Introduction | § 5.100 Purpose and effective date. | NRC | The purpose of these Title IX regulations is to effectuate Title IX of the Education Amendments of 1972, as amended (except sections 904 and 906 of those Amendments) (20 U.S.C. 1681, 1682, 1683, 1685, 1686, 1687, 1688), which is designed to eliminate (with certain exceptions) discrimination on the basis of sex in any education program or activity receiving Federal financial assistance, whether or not such program or activity is offered or sponsored by an educational institution as defined in these Title IX regulations. The effective date of these Title IX regulations shall be September 29, 2000. | ||||||
| 10:10:1.0.1.1.4.1.56.2 | 10 | Energy | I | 5 | A | Subpart A—Introduction | § 5.105 Definitions. | NRC | As used in these Title IX regulations, the term: Administratively separate unit means a school, department, or college of an educational institution (other than a local educational agency) admission to which is independent of admission to any other component of such institution. Admission means selection for part-time, full-time, special, associate, transfer, exchange, or any other enrollment, membership, or matriculation in or at an education program or activity operated by a recipient. Applicant means one who submits an application, request, or plan required to be approved by an official of the Federal agency that awards Federal financial assistance, or by a recipient, as a condition to becoming a recipient. Designated agency official means Program Manager, Civil Rights Program. Educational institution means a local educational agency (LEA) as defined by 20 U.S.C. 8801(18), a preschool, a private elementary or secondary school, or an applicant or recipient that is an institution of graduate higher education, an institution of undergraduate higher education, an institution of professional education, or an institution of vocational education, as defined in this section. Federal financial assistance means any of the following, when authorized or extended under a law administered by the Federal agency that awards such assistance: (1) A grant or loan of Federal financial assistance, including funds made available for: (i) The acquisition, construction, renovation, restoration, or repair of a building or facility or any portion thereof; and (ii) Scholarships, loans, grants, wages, or other funds extended to any entity for payment to or on behalf of students admitted to that entity, or extended directly to such students for payment to that entity. (2) A grant of Federal real or personal property or any interest therein, including surplus property, and the proceeds of the sale or transfer of such property, if the Federal share of the fair market value of the property is not, upon such sale or transfer, … | ||||||
| 10:10:1.0.1.1.4.1.56.3 | 10 | Energy | I | 5 | A | Subpart A—Introduction | § 5.110 Remedial and affirmative action and self-evaluation. | NRC | (a) Remedial action. If the designated agency official finds that a recipient has discriminated against persons on the basis of sex in an education program or activity, such recipient shall take such remedial action as the designated agency official deems necessary to overcome the effects of such discrimination. (b) Affirmative action. In the absence of a finding of discrimination on the basis of sex in an education program or activity, a recipient may take affirmative action consistent with law to overcome the effects of conditions that resulted in limited participation therein by persons of a particular sex. Nothing in these Title IX regulations shall be interpreted to alter any affirmative action obligations that a recipient may have under Executive Order 11246, 3 CFR, 1964-1965 Comp., p. 339; as amended by Executive Order 11375, 3 CFR, 1966-1970 Comp., p. 684; as amended by Executive Order 11478, 3 CFR, 1966-1970 Comp., p. 803; as amended by Executive Order 12086, 3 CFR, 1978 Comp., p. 230; as amended by Executive Order 12107, 3 CFR, 1978 Comp., p. 264. (c) Self-evaluation. Each recipient education institution shall, within one year of September 29, 2000: (1) Evaluate, in terms of the requirements of these Title IX regulations, its current policies and practices and the effects thereof concerning admission of students, treatment of students, and employment of both academic and non-academic personnel working in connection with the recipient's education program or activity; (2) Modify any of these policies and practices that do not or may not meet the requirements of these Title IX regulations; and (3) Take appropriate remedial steps to eliminate the effects of any discrimination that resulted or may have resulted from adherence to these policies and practices. (d) Availability of self-evaluation and related materials. Recipients shall maintain on file for at least three years following completion of the evaluation required under paragraph (c) of this section, and shall provide to the designated a… | ||||||
| 10:10:1.0.1.1.4.1.56.4 | 10 | Energy | I | 5 | A | Subpart A—Introduction | § 5.115 Assurance required. | NRC | (a) General. Either at the application stage or the award stage, Federal agencies must ensure that applications for Federal financial assistance or awards of Federal financial assistance contain, be accompanied by, or be covered by a specifically identified assurance from the applicant or recipient, satisfactory to the designated agency official, that each education program or activity operated by the applicant or recipient and to which these Title IX regulations apply will be operated in compliance with these Title IX regulations. An assurance of compliance with these Title IX regulations shall not be satisfactory to the designated agency official if the applicant or recipient to whom such assurance applies fails to commit itself to take whatever remedial action is necessary in accordance with § 5.110(a) to eliminate existing discrimination on the basis of sex or to eliminate the effects of past discrimination whether occurring prior to or subsequent to the submission to the designated agency official of such assurance. (b) Duration of obligation. (1) In the case of Federal financial assistance extended to provide real property or structures thereon, such assurance shall obligate the recipient or, in the case of a subsequent transfer, the transferee, for the period during which the real property or structures are used to provide an education program or activity. (2) In the case of Federal financial assistance extended to provide personal property, such assurance shall obligate the recipient for the period during which it retains ownership or possession of the property. (3) In all other cases such assurance shall obligate the recipient for the period during which Federal financial assistance is extended. (c) Form. (1) The assurances required by paragraph (a) of this section, which may be included as part of a document that addresses other assurances or obligations, shall include that the applicant or recipient will comply with all applicable Federal statutes relating to nondiscrimination. These include … | ||||||
| 10:10:1.0.1.1.4.1.56.5 | 10 | Energy | I | 5 | A | Subpart A—Introduction | § 5.120 Transfers of property. | NRC | If a recipient sells or otherwise transfers property financed in whole or in part with Federal financial assistance to a transferee that operates any education program or activity, and the Federal share of the fair market value of the property is not upon such sale or transfer properly accounted for to the Federal Government, both the transferor and the transferee shall be deemed to be recipients, subject to the provisions of §§ 5.205 through 5.235(a). | ||||||
| 10:10:1.0.1.1.4.1.56.6 | 10 | Energy | I | 5 | A | Subpart A—Introduction | § 5.125 Effect of other requirements. | NRC | (a) Effect of other Federal provisions. The obligations imposed by these Title IX regulations are independent of, and do not alter, obligations not to discriminate on the basis of sex imposed by Executive Order 11246, 3 CFR, 1964-1965 Comp., p. 339; as amended by Executive Order 11375, 3 CFR, 1966-1970 Comp., p. 684; as amended by Executive Order 11478, 3 CFR, 1966-1970 Comp., p. 803; as amended by Executive Order 12087, 3 CFR, 1978 Comp., p. 230; as amended by Executive Order 12107, 3 CFR, 1978 Comp., p. 264; sections 704 and 855 of the Public Health Service Act (42 U.S.C. 295m, 298b-2); Title VII of the Civil Rights Act of 1964 (42 U.S.C. 2000e et seq. ); the Equal Pay Act of 1963 (29 U.S.C. 206); and any other Act of Congress or Federal regulation. (b) Effect of State or local law or other requirements. The obligation to comply with these Title IX regulations is not obviated or alleviated by any State or local law or other requirement that would render any applicant or student ineligible, or limit the eligibility of any applicant or student, on the basis of sex, to practice any occupation or profession. (c) Effect of rules or regulations of private organizations. The obligation to comply with these Title IX regulations is not obviated or alleviated by any rule or regulation of any organization, club, athletic or other league, or association that would render any applicant or student ineligible to participate or limit the eligibility or participation of any applicant or student, on the basis of sex, in any education program or activity operated by a recipient and that receives Federal financial assistance. | ||||||
| 10:10:1.0.1.1.4.1.56.7 | 10 | Energy | I | 5 | A | Subpart A—Introduction | § 5.130 Effect of employment opportunities. | NRC | The obligation to comply with these Title IX regulations is not obviated or alleviated because employment opportunities in any occupation or profession are or may be more limited for members of one sex than for members of the other sex. | ||||||
| 10:10:1.0.1.1.4.1.56.8 | 10 | Energy | I | 5 | A | Subpart A—Introduction | § 5.135 Designation of responsible employee and adoption of grievance procedures. | NRC | (a) Designation of responsible employee. Each recipient shall designate at least one employee to coordinate its efforts to comply with and carry out its responsibilities under these Title IX regulations, including any investigation of any complaint communicated to such recipient alleging its noncompliance with these Title IX regulations or alleging any actions that would be prohibited by these Title IX regulations. The recipient shall notify all its students and employees of the name, office address, and telephone number of the employee or employees appointed pursuant to this paragraph. (b) Complaint procedure of recipient. A recipient shall adopt and publish grievance procedures providing for prompt and equitable resolution of student and employee complaints alleging any action that would be prohibited by these Title IX regulations. | ||||||
| 10:10:1.0.1.1.4.1.56.9 | 10 | Energy | I | 5 | A | Subpart A—Introduction | § 5.140 Dissemination of policy. | NRC | (a) Notification of policy. (1) Each recipient shall implement specific and continuing steps to notify applicants for admission and employment, students and parents of elementary and secondary school students, employees, sources of referral of applicants for admission and employment, and all unions or professional organizations holding collective bargaining or professional agreements with the recipient, that it does not discriminate on the basis of sex in the educational programs or activities that it operates, and that it is required by Title IX and these Title IX regulations not to discriminate in such a manner. Such notification shall contain such information, and be made in such manner, as the designated agency official finds necessary to apprise such persons of the protections against discrimination assured them by Title IX and these Title IX regulations, but shall state at least that the requirement not to discriminate in education programs or activities extends to employment therein, and to admission thereto unless §§ 5.300 through 5.310 do not apply to the recipient, and that inquiries concerning the application of Title IX and these Title IX regulations to such recipient may be referred to the employee designated pursuant to § 5.135, or to the designated agency official. (2) Each recipient shall make the initial notification required by paragraph (a)(1) of this section within 90 days of September 29, 2000 or of the date these Title IX regulations first apply to such recipient, whichever comes later, which notification shall include publication in: (i) Newspapers and magazines operated by such recipient or by student, alumnae, or alumni groups for or in connection with such recipient; and (ii) Memoranda or other written communications distributed to every student and employee of such recipient. (b) Publications. (1) Each recipient shall prominently include a statement of the policy described in paragraph (a) of this section in each announcement, bulletin, catalog, or application form that it makes… | ||||||
| 10:10:1.0.1.1.4.2.56.1 | 10 | Energy | I | 5 | B | Subpart B—Coverage | § 5.200 Application. | NRC | Except as provided in §§ 5.205 through 5.235(a), these Title IX regulations apply to every recipient and to each education program or activity operated by such recipient that receives Federal financial assistance. | ||||||
| 10:10:1.0.1.1.4.2.56.2 | 10 | Energy | I | 5 | B | Subpart B—Coverage | § 5.205 Educational institutions and other entities controlled by religious organizations. | NRC | (a) Exemption. These Title IX regulations do not apply to any operation of an educational institution or other entity that is controlled by a religious organization to the extent that application of these Title IX regulations would not be consistent with the religious tenets of such organization. (b) Exemption claims. An educational institution or other entity that wishes to claim the exemption set forth in paragraph (a) of this section shall do so by submitting in writing to the designated agency official a statement by the highest-ranking official of the institution, identifying the provisions of these Title IX regulations that conflict with a specific tenet of the religious organization. | ||||||
| 10:10:1.0.1.1.4.2.56.3 | 10 | Energy | I | 5 | B | Subpart B—Coverage | § 5.210 Military and merchant marine educational institutions. | NRC | These Title IX regulations do not apply to an educational institution whose primary purpose is the training of individuals for a military service of the United States or for the merchant marine. | ||||||
| 10:10:1.0.1.1.4.2.56.4 | 10 | Energy | I | 5 | B | Subpart B—Coverage | § 5.215 Membership practices of certain organizations. | NRC | (a) Social fraternities and sororities. These Title IX regulations do not apply to the membership practices of social fraternities and sororities that are exempt from taxation under section 501(a) of the Internal Revenue Code of 1954, 26 U.S.C. 501(a), the active membership of which consists primarily of students in attendance at institutions of higher education. (b) YMCA, YWCA, Girl Scouts, Boy Scouts, and Camp Fire Girls. These Title IX regulations do not apply to the membership practices of the Young Men's Christian Association (YMCA), the Young Women's Christian Association (YWCA), the Girl Scouts, the Boy Scouts, and Camp Fire Girls. (c) Voluntary youth service organizations. These Title IX regulations do not apply to the membership practices of a voluntary youth service organization that is exempt from taxation under section 501(a) of the Internal Revenue Code of 1954, 26 U.S.C. 501(a), and the membership of which has been traditionally limited to members of one sex and principally to persons of less than nineteen years of age. | ||||||
| 10:10:1.0.1.1.4.2.56.5 | 10 | Energy | I | 5 | B | Subpart B—Coverage | § 5.220 Admissions. | NRC | (a) Admissions to educational institutions prior to June 24, 1973, are not covered by these Title IX regulations. (b) Administratively separate units. For the purposes only of this section, §§ 5.225 and 5.230, and §§ 5.300 through 5.310, each administratively separate unit shall be deemed to be an educational institution. (c) Application of §§ 5.300 through 5.310. Except as provided in paragraphs (d) and (e) of this section, §§ 5.300 through 5.310 apply to each recipient. A recipient to which §§ 5.300 through 5.310 apply shall not discriminate on the basis of sex in admission or recruitment in violation of §§ 5.300 through 5.310. (d) Educational institutions. Except as provided in paragraph (e) of this section as to recipients that are educational institutions, §§ 5.300 through 5.310 apply only to institutions of vocational education, professional education, graduate higher education, and public institutions of undergraduate higher education. (e) Public institutions of undergraduate higher education. §§ 5.300 through 5.310 do not apply to any public institution of undergraduate higher education that traditionally and continually from its establishment has had a policy of admitting students of only one sex. | ||||||
| 10:10:1.0.1.1.4.2.56.6 | 10 | Energy | I | 5 | B | Subpart B—Coverage | § 5.225 Educational institutions eligible to submit transition plans. | NRC | (a) Application. This section applies to each educational institution to which §§ 5.300 through 5.310 apply that: (1) Admitted students of only one sex as regular students as of June 23, 1972; or (2) Admitted students of only one sex as regular students as of June 23, 1965, but thereafter admitted, as regular students, students of the sex not admitted prior to June 23, 1965. (b) Provision for transition plans. An educational institution to which this section applies shall not discriminate on the basis of sex in admission or recruitment in violation of §§ 5.300 through 5.310. | ||||||
| 10:10:1.0.1.1.4.2.56.7 | 10 | Energy | I | 5 | B | Subpart B—Coverage | § 5.230 Transition plans. | NRC | (a) Submission of plans. An institution to which § 5.225 applies and that is composed of more than one administratively separate unit may submit either a single transition plan applicable to all such units, or a separate transition plan applicable to each such unit. (b) Content of plans. In order to be approved by the Secretary of Education, a transition plan shall: (1) State the name, address, and Federal Interagency Committee on Education Code of the educational institution submitting such plan, the administratively separate units to which the plan is applicable, and the name, address, and telephone number of the person to whom questions concerning the plan may be addressed. The person who submits the plan shall be the chief administrator or president of the institution, or another individual legally authorized to bind the institution to all actions set forth in the plan. (2) State whether the educational institution or administratively separate unit admits students of both sexes as regular students and, if so, when it began to do so. (3) Identify and describe with respect to the educational institution or administratively separate unit any obstacles to admitting students without discrimination on the basis of sex. (4) Describe in detail the steps necessary to eliminate as soon as practicable each obstacle so identified and indicate the schedule for taking these steps and the individual directly responsible for their implementation. (5) Include estimates of the number of students, by sex, expected to apply for, be admitted to, and enter each class during the period covered by the plan. (c) Nondiscrimination. No policy or practice of a recipient to which § 5.225 applies shall result in treatment of applicants to or students of such recipient in violation of §§ 5.300 through 5.310 unless such treatment is necessitated by an obstacle identified in paragraph (b)(3) of this section and a schedule for eliminating that obstacle has been provided as required by paragraph (b)(4) of this section. (d) Effec… | ||||||
| 10:10:1.0.1.1.4.2.56.8 | 10 | Energy | I | 5 | B | Subpart B—Coverage | § 5.235 Statutory amendments. | NRC | (a) This section, which applies to all provisions of these Title IX regulations, addresses statutory amendments to Title IX. (b) These Title IX regulations shall not apply to or preclude: (1) Any program or activity of the American Legion undertaken in connection with the organization or operation of any Boys State conference, Boys Nation conference, Girls State conference, or Girls Nation conference; (2) Any program or activity of a secondary school or educational institution specifically for: (i) The promotion of any Boys State conference, Boys Nation conference, Girls State conference, or Girls Nation conference; or (ii) The selection of students to attend any such conference; (3) Father-son or mother-daughter activities at an educational institution or in an education program or activity, but if such activities are provided for students of one sex, opportunities for reasonably comparable activities shall be provided to students of the other sex; (4) Any scholarship or other financial assistance awarded by an institution of higher education to an individual because such individual has received such award in a single-sex pageant based upon a combination of factors related to the individual's personal appearance, poise, and talent. The pageant, however, must comply with other nondiscrimination provisions of Federal law. (c) Program or activity or program means: (1) All of the operations of any entity described in paragraphs (c)(1)(i) through (iv) of this section, any part of which is extended Federal financial assistance: (i)(A) A department, agency, special purpose district, or other instrumentality of a State or of a local government; or (B) The entity of such State or local government that distributes such assistance and each such department or agency (and each other State or local government entity) to which the assistance is extended, in the case of assistance to a State or local government; (ii)(A) A college, university, or other postsecondary institution, or a public system of higher educa… | ||||||
| 10:10:1.0.1.1.4.3.56.1 | 10 | Energy | I | 5 | C | Subpart C—Discrimination on the Basis of Sex in Admission and Recruitment Prohibited | § 5.300 Admission. | NRC | (a) General. No person shall, on the basis of sex, be denied admission, or be subjected to discrimination in admission, by any recipient to which §§ 5.300 through §§ 5.310 apply, except as provided in §§ 5.225 and §§ 5.230. (b) Specific prohibitions. (1) In determining whether a person satisfies any policy or criterion for admission, or in making any offer of admission, a recipient to which §§ 5.300 through 5.310 apply shall not: (i) Give preference to one person over another on the basis of sex, by ranking applicants separately on such basis, or otherwise; (ii) Apply numerical limitations upon the number or proportion of persons of either sex who may be admitted; or (iii) Otherwise treat one individual differently from another on the basis of sex. (2) A recipient shall not administer or operate any test or other criterion for admission that has a disproportionately adverse effect on persons on the basis of sex unless the use of such test or criterion is shown to predict validly success in the education program or activity in question and alternative tests or criteria that do not have such a disproportionately adverse effect are shown to be unavailable. (c) Prohibitions relating to marital or parental status. In determining whether a person satisfies any policy or criterion for admission, or in making any offer of admission, a recipient to which §§ 5.300 through 5.310 apply: (1) Shall not apply any rule concerning the actual or potential parental, family, or marital status of a student or applicant that treats persons differently on the basis of sex; (2) Shall not discriminate against or exclude any person on the basis of pregnancy, childbirth, termination of pregnancy, or recovery therefrom, or establish or follow any rule or practice that so discriminates or excludes; (3) Subject to § 5.235(d), shall treat disabilities related to pregnancy, childbirth, termination of pregnancy, or recovery therefrom in the same manner and under the same policies as any other temporary disability or physical condi… | ||||||
| 10:10:1.0.1.1.4.3.56.2 | 10 | Energy | I | 5 | C | Subpart C—Discrimination on the Basis of Sex in Admission and Recruitment Prohibited | § 5.305 Preference in admission. | NRC | A recipient to which §§ 5.300 through 5.310 apply shall not give preference to applicants for admission, on the basis of attendance at any educational institution or other school or entity that admits as students only or predominantly members of one sex, if the giving of such preference has the effect of discriminating on the basis of sex in violation of §§ 5.300 through 5.310. | ||||||
| 10:10:1.0.1.1.4.3.56.3 | 10 | Energy | I | 5 | C | Subpart C—Discrimination on the Basis of Sex in Admission and Recruitment Prohibited | § 5.310 Recruitment. | NRC | (a) Nondiscriminatory recruitment. A recipient to which §§ 5.300 through 5.310 apply shall not discriminate on the basis of sex in the recruitment and admission of students. A recipient may be required to undertake additional recruitment efforts for one sex as remedial action pursuant to § 5.110(a), and may choose to undertake such efforts as affirmative action pursuant to § 5.110(b). (b) Recruitment at certain institutions. A recipient to which §§ 5.300 through 5.310 apply shall not recruit primarily or exclusively at educational institutions, schools, or entities that admit as students only or predominantly members of one sex, if such actions have the effect of discriminating on the basis of sex in violation of §§ 5.300 through 5.310. | ||||||
| 10:10:1.0.1.1.4.4.56.1 | 10 | Energy | I | 5 | D | Subpart D—Discrimination on the Basis of Sex in Education Programs or Activities Prohibited | § 5.400 Education programs or activities. | NRC | (a) General. Except as provided elsewhere in these Title IX regulations, no person shall, on the basis of sex, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any academic, extracurricular, research, occupational training, or other education program or activity operated by a recipient that receives Federal financial assistance. Sections 5.400 through 5.455 do not apply to actions of a recipient in connection with admission of its students to an education program or activity of a recipient to which §§ 5.300 through 5.310 do not apply, or an entity, not a recipient, to which §§ 5.300 through 5.310 would not apply if the entity were a recipient. (b) Specific prohibitions. Except as provided in §§ 5.400 through 5.455, in providing any aid, benefit, or service to a student, a recipient shall not, on the basis of sex: (1) Treat one person differently from another in determining whether such person satisfies any requirement or condition for the provision of such aid, benefit, or service; (2) Provide different aid, benefits, or services or provide aid, benefits, or services in a different manner; (3) Deny any person any such aid, benefit, or service; (4) Subject any person to separate or different rules of behavior, sanctions, or other treatment; (5) Apply any rule concerning the domicile or residence of a student or applicant, including eligibility for in-state fees and tuition; (6) Aid or perpetuate discrimination against any person by providing significant assistance to any agency, organization, or person that discriminates on the basis of sex in providing any aid, benefit, or service to students or employees; (7) Otherwise limit any person in the enjoyment of any right, privilege, advantage, or opportunity. (c) Assistance administered by a recipient educational institution to study at a foreign institution. A recipient educational institution may administer or assist in the administration of scholarships, fellowships, or other awards established by … | ||||||
| 10:10:1.0.1.1.4.4.56.10 | 10 | Energy | I | 5 | D | Subpart D—Discrimination on the Basis of Sex in Education Programs or Activities Prohibited | § 5.445 Marital or parental status. | NRC | (a) Status generally. A recipient shall not apply any rule concerning a student's actual or potential parental, family, or marital status that treats students differently on the basis of sex. (b) Pregnancy and related conditions. (1) A recipient shall not discriminate against any student, or exclude any student from its education program or activity, including any class or extracurricular activity, on the basis of such student's pregnancy, childbirth, false pregnancy, termination of pregnancy, or recovery therefrom, unless the student requests voluntarily to participate in a separate portion of the program or activity of the recipient. (2) A recipient may require such a student to obtain the certification of a physician that the student is physically and emotionally able to continue participation as long as such a certification is required of all students for other physical or emotional conditions requiring the attention of a physician. (3) A recipient that operates a portion of its education program or activity separately for pregnant students, admittance to which is completely voluntary on the part of the student as provided in paragraph (b)(1) of this section, shall ensure that the separate portion is comparable to that offered to non-pregnant students. (4) Subject to § 5.235(d), a recipient shall treat pregnancy, childbirth, false pregnancy, termination of pregnancy and recovery therefrom in the same manner and under the same policies as any other temporary disability with respect to any medical or hospital benefit, service, plan, or policy that such recipient administers, operates, offers, or participates in with respect to students admitted to the recipient's educational program or activity. (5) In the case of a recipient that does not maintain a leave policy for its students, or in the case of a student who does not otherwise qualify for leave under such a policy, a recipient shall treat pregnancy, childbirth, false pregnancy, termination of pregnancy, and recovery therefrom as a justification for… | ||||||
| 10:10:1.0.1.1.4.4.56.11 | 10 | Energy | I | 5 | D | Subpart D—Discrimination on the Basis of Sex in Education Programs or Activities Prohibited | § 5.450 Athletics. | NRC | (a) General. No person shall, on the basis of sex, be excluded from participation in, be denied the benefits of, be treated differently from another person, or otherwise be discriminated against in any interscholastic, intercollegiate, club, or intramural athletics offered by a recipient, and no recipient shall provide any such athletics separately on such basis. (b) Separate teams. Notwithstanding the requirements of paragraph (a) of this section, a recipient may operate or sponsor separate teams for members of each sex where selection for such teams is based upon competitive skill or the activity involved is a contact sport. However, where a recipient operates or sponsors a team in a particular sport for members of one sex but operates or sponsors no such team for members of the other sex, and athletic opportunities for members of that sex have previously been limited, members of the excluded sex must be allowed to try out for the team offered unless the sport involved is a contact sport. For the purposes of these Title IX regulations, contact sports include boxing, wrestling, rugby, ice hockey, football, basketball, and other sports the purpose or major activity of which involves bodily contact. (c) Equal opportunity. (1) A recipient that operates or sponsors interscholastic, intercollegiate, club, or intramural athletics shall provide equal athletic opportunity for members of both sexes. In determining whether equal opportunities are available, the designated agency official will consider, among other factors: (i) Whether the selection of sports and levels of competition effectively accommodate the interests and abilities of members of both sexes; (ii) The provision of equipment and supplies; (iii) Scheduling of games and practice time; (iv) Travel and per diem allowance; (v) Opportunity to receive coaching and academic tutoring; (vi) Assignment and compensation of coaches and tutors; (vii) Provision of locker rooms, practice, and competitive facilities; (viii) Provision of medical and trainin… | ||||||
| 10:10:1.0.1.1.4.4.56.12 | 10 | Energy | I | 5 | D | Subpart D—Discrimination on the Basis of Sex in Education Programs or Activities Prohibited | § 5.455 Textbooks and curricular material. | NRC | Nothing in these Title IX regulations shall be interpreted as requiring or prohibiting or abridging in any way the use of particular textbooks or curricular materials. | ||||||
| 10:10:1.0.1.1.4.4.56.2 | 10 | Energy | I | 5 | D | Subpart D—Discrimination on the Basis of Sex in Education Programs or Activities Prohibited | § 5.405 Housing. | NRC | (a) Generally. A recipient shall not, on the basis of sex, apply different rules or regulations, impose different fees or requirements, or offer different services or benefits related to housing, except as provided in this section (including housing provided only to married students). (b) Housing provided by recipient. (1) A recipient may provide separate housing on the basis of sex. (2) Housing provided by a recipient to students of one sex, when compared to that provided to students of the other sex, shall be as a whole: (i) Proportionate in quantity to the number of students of that sex applying for such housing; and (ii) Comparable in quality and cost to the student. (c) Other housing. (1) A recipient shall not, on the basis of sex, administer different policies or practices concerning occupancy by its students of housing other than that provided by such recipient. (2)(i) A recipient which, through solicitation, listing, approval of housing, or otherwise, assists any agency, organization, or person in making housing available to any of its students, shall take such reasonable action as may be necessary to assure itself that such housing as is provided to students of one sex, when compared to that provided to students of the other sex, is as a whole: (A) Proportionate in quantity; and (B) Comparable in quality and cost to the student. (ii) A recipient may render such assistance to any agency, organization, or person that provides all or part of such housing to students of only one sex. | ||||||
| 10:10:1.0.1.1.4.4.56.3 | 10 | Energy | I | 5 | D | Subpart D—Discrimination on the Basis of Sex in Education Programs or Activities Prohibited | § 5.410 Comparable facilities. | NRC | A recipient may provide separate toilet, locker room, and shower facilities on the basis of sex, but such facilities provided for students of one sex shall be comparable to such facilities provided for students of the other sex. | ||||||
| 10:10:1.0.1.1.4.4.56.4 | 10 | Energy | I | 5 | D | Subpart D—Discrimination on the Basis of Sex in Education Programs or Activities Prohibited | § 5.415 Access to course offerings. | NRC | (a) A recipient shall not provide any course or otherwise carry out any of its education program or activity separately on the basis of sex, or require or refuse participation therein by any of its students on such basis, including health, physical education, industrial, business, vocational, technical, home economics, music, and adult education courses. (b)(1) With respect to classes and activities in physical education at the elementary school level, the recipient shall comply fully with this section as expeditiously as possible but in no event later than one year from September 29, 2000. With respect to physical education classes and activities at the secondary and post-secondary levels, the recipient shall comply fully with this section as expeditiously as possible but in no event later than three years from September 29, 2000. (2) This section does not prohibit grouping of students in physical education classes and activities by ability as assessed by objective standards of individual performance developed and applied without regard to sex. (3) This section does not prohibit separation of students by sex within physical education classes or activities during participation in wrestling, boxing, rugby, ice hockey, football, basketball, and other sports the purpose or major activity of which involves bodily contact. (4) Where use of a single standard of measuring skill or progress in a physical education class has an adverse effect on members of one sex, the recipient shall use appropriate standards that do not have such effect. (5) Portions of classes in elementary and secondary schools, or portions of education programs or activities, that deal exclusively with human sexuality may be conducted in separate sessions for boys and girls. (6) Recipients may make requirements based on vocal range or quality that may result in a chorus or choruses of one or predominantly one sex. | ||||||
| 10:10:1.0.1.1.4.4.56.5 | 10 | Energy | I | 5 | D | Subpart D—Discrimination on the Basis of Sex in Education Programs or Activities Prohibited | § 5.420 Access to schools operated by LEAs. | NRC | A recipient that is a local educational agency shall not, on the basis of sex, exclude any person from admission to: (a) Any institution of vocational education operated by such recipient; or (b) Any other school or educational unit operated by such recipient, unless such recipient otherwise makes available to such person, pursuant to the same policies and criteria of admission, courses, services, and facilities comparable to each course, service, and facility offered in or through such schools. | ||||||
| 10:10:1.0.1.1.4.4.56.6 | 10 | Energy | I | 5 | D | Subpart D—Discrimination on the Basis of Sex in Education Programs or Activities Prohibited | § 5.425 Counseling and use of appraisal and counseling materials. | NRC | (a) Counseling. A recipient shall not discriminate against any person on the basis of sex in the counseling or guidance of students or applicants for admission. (b) Use of appraisal and counseling materials. A recipient that uses testing or other materials for appraising or counseling students shall not use different materials for students on the basis of their sex or use materials that permit or require different treatment of students on such basis unless such different materials cover the same occupations and interest areas and the use of such different materials is shown to be essential to eliminate sex bias. Recipients shall develop and use internal procedures for ensuring that such materials do not discriminate on the basis of sex. Where the use of a counseling test or other instrument results in a substantially disproportionate number of members of one sex in any particular course of study or classification, the recipient shall take such action as is necessary to assure itself that such disproportion is not the result of discrimination in the instrument or its application. (c) Disproportion in classes. Where a recipient finds that a particular class contains a substantially disproportionate number of individuals of one sex, the recipient shall take such action as is necessary to assure itself that such disproportion is not the result of discrimination on the basis of sex in counseling or appraisal materials or by counselors. | ||||||
| 10:10:1.0.1.1.4.4.56.7 | 10 | Energy | I | 5 | D | Subpart D—Discrimination on the Basis of Sex in Education Programs or Activities Prohibited | § 5.430 Financial assistance. | NRC | (a) General. Except as provided in paragraphs (b) and (c) of this section, in providing financial assistance to any of its students, a recipient shall not: (1) On the basis of sex, provide different amounts or types of such assistance, limit eligibility for such assistance that is of any particular type or source, apply different criteria, or otherwise discriminate; (2) Through solicitation, listing, approval, provision of facilities, or other services, assist any foundation, trust, agency, organization, or person that provides assistance to any of such recipient's students in a manner that discriminates on the basis of sex; or (3) Apply any rule or assist in application of any rule concerning eligibility for such assistance that treats persons of one sex differently from persons of the other sex with regard to marital or parental status. (b) Financial aid established by certain legal instruments. (1) A recipient may administer or assist in the administration of scholarships, fellowships, or other forms of financial assistance established pursuant to domestic or foreign wills, trusts, bequests, or similar legal instruments or by acts of a foreign government that require that awards be made to members of a particular sex specified therein; Provided, that the overall effect of the award of such sex-restricted scholarships, fellowships, and other forms of financial assistance does not discriminate on the basis of sex. (2) To ensure nondiscriminatory awards of assistance as required in paragraph (b)(1) of this section, recipients shall develop and use procedures under which: (i) Students are selected for award of financial assistance on the basis of nondiscriminatory criteria and not on the basis of availability of funds restricted to members of a particular sex; (ii) An appropriate sex-restricted scholarship, fellowship, or other form of financial assistance is allocated to each student selected under paragraph (b)(2)(i) of this section; and (iii) No student is denied the award for which he or she was … | ||||||
| 10:10:1.0.1.1.4.4.56.8 | 10 | Energy | I | 5 | D | Subpart D—Discrimination on the Basis of Sex in Education Programs or Activities Prohibited | § 5.435 Employment assistance to students. | NRC | (a) Assistance by recipient in making available outside employment. A recipient that assists any agency, organization, or person in making employment available to any of its students: (1) Shall assure itself that such employment is made available without discrimination on the basis of sex; and (2) Shall not render such services to any agency, organization, or person that discriminates on the basis of sex in its employment practices. (b) Employment of students by recipients. A recipient that employs any of its students shall not do so in a manner that violates §§ 5.500 through 5.550. | ||||||
| 10:10:1.0.1.1.4.4.56.9 | 10 | Energy | I | 5 | D | Subpart D—Discrimination on the Basis of Sex in Education Programs or Activities Prohibited | § 5.440 Health and insurance benefits and services. | NRC | Subject to § 5.235(d), in providing a medical, hospital, accident, or life insurance benefit, service, policy, or plan to any of its students, a recipient shall not discriminate on the basis of sex, or provide such benefit, service, policy, or plan in a manner that would violate §§ 5.500 through 5.550 if it were provided to employees of the recipient. This section shall not prohibit a recipient from providing any benefit or service that may be used by a different proportion of students of one sex than of the other, including family planning services. However, any recipient that provides full coverage health service shall provide gynecological care. | ||||||
| 10:10:1.0.1.1.4.5.56.1 | 10 | Energy | I | 5 | E | Subpart E—Discrimination on the Basis of Sex in Employment in Education Programs or Activities Prohibited | § 5.500 Employment. | NRC | (a) General. (1) No person shall, on the basis of sex, be excluded from participation in, be denied the benefits of, or be subjected to discrimination in employment, or recruitment, consideration, or selection therefor, whether full-time or part-time, under any education program or activity operated by a recipient that receives Federal financial assistance. (2) A recipient shall make all employment decisions in any education program or activity operated by such recipient in a nondiscriminatory manner and shall not limit, segregate, or classify applicants or employees in any way that could adversely affect any applicant's or employee's employment opportunities or status because of sex. (3) A recipient shall not enter into any contractual or other relationship which directly or indirectly has the effect of subjecting employees or students to discrimination prohibited by §§ 5.500 through 5.550, including relationships with employment and referral agencies, with labor unions, and with organizations providing or administering fringe benefits to employees of the recipient. (4) A recipient shall not grant preferences to applicants for employment on the basis of attendance at any educational institution or entity that admits as students only or predominantly members of one sex, if the giving of such preferences has the effect of discriminating on the basis of sex in violation of these Title IX regulations. (b) Application. The provisions of §§ 5.500 through 5.550 apply to: (1) Recruitment, advertising, and the process of application for employment; (2) Hiring, upgrading, promotion, consideration for and award of tenure, demotion, transfer, layoff, termination, application of nepotism policies, right of return from layoff, and rehiring; (3) Rates of pay or any other form of compensation, and changes in compensation; (4) Job assignments, classifications, and structure, including position descriptions, lines of progression, and seniority lists; (5) The terms of any collective bargaining agreement; (6) Granting… | ||||||
| 10:10:1.0.1.1.4.5.56.10 | 10 | Energy | I | 5 | E | Subpart E—Discrimination on the Basis of Sex in Employment in Education Programs or Activities Prohibited | § 5.545 Pre-employment inquiries. | NRC | (a) Marital status. A recipient shall not make pre-employment inquiry as to the marital status of an applicant for employment, including whether such applicant is “Miss” or “Mrs.” (b) Sex. A recipient may make pre-employment inquiry as to the sex of an applicant for employment, but only if such inquiry is made equally of such applicants of both sexes and if the results of such inquiry are not used in connection with discrimination prohibited by these Title IX regulations. | ||||||
| 10:10:1.0.1.1.4.5.56.11 | 10 | Energy | I | 5 | E | Subpart E—Discrimination on the Basis of Sex in Employment in Education Programs or Activities Prohibited | § 5.550 Sex as a bona fide occupational qualification. | NRC | A recipient may take action otherwise prohibited by §§ 5.500 through 5.550 provided it is shown that sex is a bona fide occupational qualification for that action, such that consideration of sex with regard to such action is essential to successful operation of the employment function concerned. A recipient shall not take action pursuant to this section that is based upon alleged comparative employment characteristics or stereotyped characterizations of one or the other sex, or upon preference based on sex of the recipient, employees, students, or other persons, but nothing contained in this section shall prevent a recipient from considering an employee's sex in relation to employment in a locker room or toilet facility used only by members of one sex. | ||||||
| 10:10:1.0.1.1.4.5.56.2 | 10 | Energy | I | 5 | E | Subpart E—Discrimination on the Basis of Sex in Employment in Education Programs or Activities Prohibited | § 5.505 Employment criteria. | NRC | A recipient shall not administer or operate any test or other criterion for any employment opportunity that has a disproportionately adverse effect on persons on the basis of sex unless: (a) Use of such test or other criterion is shown to predict validly successful performance in the position in question; and (b) Alternative tests or criteria for such purpose, which do not have such disproportionately adverse effect, are shown to be unavailable. | ||||||
| 10:10:1.0.1.1.4.5.56.3 | 10 | Energy | I | 5 | E | Subpart E—Discrimination on the Basis of Sex in Employment in Education Programs or Activities Prohibited | § 5.510 Recruitment. | NRC | (a) Nondiscriminatory recruitment and hiring. A recipient shall not discriminate on the basis of sex in the recruitment and hiring of employees. Where a recipient has been found to be presently discriminating on the basis of sex in the recruitment or hiring of employees, or has been found to have so discriminated in the past, the recipient shall recruit members of the sex so discriminated against so as to overcome the effects of such past or present discrimination. (b) Recruitment patterns. A recipient shall not recruit primarily or exclusively at entities that furnish as applicants only or predominantly members of one sex if such actions have the effect of discriminating on the basis of sex in violation of §§ 5.500 through 5.550. | ||||||
| 10:10:1.0.1.1.4.5.56.4 | 10 | Energy | I | 5 | E | Subpart E—Discrimination on the Basis of Sex in Employment in Education Programs or Activities Prohibited | § 5.515 Compensation. | NRC | A recipient shall not make or enforce any policy or practice that, on the basis of sex: (a) Makes distinctions in rates of pay or other compensation; (b) Results in the payment of wages to employees of one sex at a rate less than that paid to employees of the opposite sex for equal work on jobs the performance of which requires equal skill, effort, and responsibility, and that are performed under similar working conditions. | ||||||
| 10:10:1.0.1.1.4.5.56.5 | 10 | Energy | I | 5 | E | Subpart E—Discrimination on the Basis of Sex in Employment in Education Programs or Activities Prohibited | § 5.520 Job classification and structure. | NRC | A recipient shall not: (a) Classify a job as being for males or for females; (b) Maintain or establish separate lines of progression, seniority lists, career ladders, or tenure systems based on sex; or (c) Maintain or establish separate lines of progression, seniority systems, career ladders, or tenure systems for similar jobs, position descriptions, or job requirements that classify persons on the basis of sex, unless sex is a bona fide occupational qualification for the positions in question as set forth in § 5.550. | ||||||
| 10:10:1.0.1.1.4.5.56.6 | 10 | Energy | I | 5 | E | Subpart E—Discrimination on the Basis of Sex in Employment in Education Programs or Activities Prohibited | § 5.525 Fringe benefits. | NRC | (a) “Fringe benefits” defined. For purposes of these Title IX regulations, fringe benefits means: Any medical, hospital, accident, life insurance, or retirement benefit, service, policy or plan, any profit-sharing or bonus plan, leave, and any other benefit or service of employment not subject to the provision of § 5.515. (b) Prohibitions. A recipient shall not: (1) Discriminate on the basis of sex with regard to making fringe benefits available to employees or make fringe benefits available to spouses, families, or dependents of employees differently upon the basis of the employee's sex; (2) Administer, operate, offer, or participate in a fringe benefit plan that does not provide for equal periodic benefits for members of each sex and for equal contributions to the plan by such recipient for members of each sex; or (3) Administer, operate, offer, or participate in a pension or retirement plan that establishes different optional or compulsory retirement ages based on sex or that otherwise discriminates in benefits on the basis of sex. | ||||||
| 10:10:1.0.1.1.4.5.56.7 | 10 | Energy | I | 5 | E | Subpart E—Discrimination on the Basis of Sex in Employment in Education Programs or Activities Prohibited | § 5.530 Marital or parental status. | NRC | (a) General. A recipient shall not apply any policy or take any employment action: (1) Concerning the potential marital, parental, or family status of an employee or applicant for employment that treats persons differently on the basis of sex; or (2) Which is based upon whether an employee or applicant for employment is the head of household or principal wage earner in such employee's or applicant's family unit. (b) Pregnancy. A recipient shall not discriminate against or exclude from employment any employee or applicant for employment on the basis of pregnancy, childbirth, false pregnancy, termination of pregnancy, or recovery therefrom. (c) Pregnancy as a temporary disability. Subject to § 5.235(d), a recipient shall treat pregnancy, childbirth, false pregnancy, termination of pregnancy, recovery therefrom, and any temporary disability resulting therefrom as any other temporary disability for all job-related purposes, including commencement, duration, and extensions of leave, payment of disability income, accrual of seniority and any other benefit or service, and reinstatement, and under any fringe benefit offered to employees by virtue of employment. (d) Pregnancy leave. In the case of a recipient that does not maintain a leave policy for its employees, or in the case of an employee with insufficient leave or accrued employment time to qualify for leave under such a policy, a recipient shall treat pregnancy, childbirth, false pregnancy, termination of pregnancy, and recovery therefrom as a justification for a leave of absence without pay for a reasonable period of time, at the conclusion of which the employee shall be reinstated to the status that she held when the leave began or to a comparable position, without decrease in rate of compensation or loss of promotional opportunities, or any other right or privilege of employment. | ||||||
| 10:10:1.0.1.1.4.5.56.8 | 10 | Energy | I | 5 | E | Subpart E—Discrimination on the Basis of Sex in Employment in Education Programs or Activities Prohibited | § 5.535 Effect of state or local law or other requirements. | NRC | (a) Prohibitory requirements. The obligation to comply with §§ 5.500 through 5.550 is not obviated or alleviated by the existence of any State or local law or other requirement that imposes prohibitions or limits upon employment of members of one sex that are not imposed upon members of the other sex. (b) Benefits. A recipient that provides any compensation, service, or benefit to members of one sex pursuant to a State or local law or other requirement shall provide the same compensation, service, or benefit to members of the other sex. | ||||||
| 10:10:1.0.1.1.4.5.56.9 | 10 | Energy | I | 5 | E | Subpart E—Discrimination on the Basis of Sex in Employment in Education Programs or Activities Prohibited | § 5.540 Advertising. | NRC | A recipient shall not in any advertising related to employment indicate preference, limitation, specification, or discrimination based on sex unless sex is a bona fide occupational qualification for the particular job in question. | ||||||
| 10:10:1.0.1.1.4.6.56.1 | 10 | Energy | I | 5 | F | Subpart F—Procedures | § 5.600 Notice of covered programs. | NRC | Within 60 days of September 29, 2000, each Federal agency that awards Federal financial assistance shall publish in the Federal Register a notice of the programs covered by these Title IX regulations. Each such Federal agency shall periodically republish the notice of covered programs to reflect changes in covered programs. Copies of this notice also shall be made available upon request to the Federal agency's office that enforces Title IX. | ||||||
| 10:10:1.0.1.1.4.6.56.2 | 10 | Energy | I | 5 | F | Subpart F—Procedures | § 5.605 Enforcement procedures. | NRC | [65 FR 52875, Aug. 30, 2000] | The investigative, compliance, and enforcement procedural provisions of Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d) (“Title VI”) are hereby adopted and applied to these Title IX regulations. These procedures may be found at 10 CFR 4.21 through 4.75. | |||||
| 14:14:1.0.1.1.3.1.1.1 | 14 | Aeronautics and Space | I | A | 5 | PART 5—SAFETY MANAGEMENT SYSTEMS | A | Subpart A—General | § 5.1 Applicability. | FAA | This part applies to all of the following: (a) Any person that holds or applies for a certificate issued under part 119 of this chapter authorizing the person to conduct operations under part 121 of this chapter. (b) Any person that holds or applies for a certificate issued under part 119 of this chapter authorizing the person to conduct operations under part 135 of this chapter. (c) Any person that holds or applies for a Letter of Authorization issued under § 91.147 of this chapter. (d) Any person that holds both a type certificate and a production certificate issued under part 21 of this chapter for the same product. (e) Any person that holds a production certificate issued under part 21 of this chapter for a product for which the person is a licensee of the type certificate for the same product. (f) Any person that applies for a production certificate under part 21 of this chapter for a product for which the person is the holder or licensee of the type certificate for the same product. (g) Any person that holds a type certificate issued under part 21 of this chapter for a product, except for persons that hold only type certificates issued under § 21.29 of this chapter, that allows another person to use the type certificate to manufacture the same product under a production certificate. | ||||
| 14:14:1.0.1.1.3.1.1.10 | 14 | Aeronautics and Space | I | A | 5 | PART 5—SAFETY MANAGEMENT SYSTEMS | A | Subpart A—General | § 5.19 Implementation plan. | FAA | (a) An implementation plan filed under this part must be based on the organizational system description as defined in § 5.17 and describe the means of compliance (including, but not limited to, new or existing policies, processes, or procedures) used to meet the requirements of this part. (b) A person required to submit an implementation plan under this part must make available to the Administrator, upon request, all necessary information and data that demonstrates that the SMS has been or will be implemented in accordance with the implementation plan. | ||||
| 14:14:1.0.1.1.3.1.1.2 | 14 | Aeronautics and Space | I | A | 5 | PART 5—SAFETY MANAGEMENT SYSTEMS | A | Subpart A—General | § 5.3 Definitions. | FAA | Hazard means a condition or an object that could foreseeably cause or contribute to an incident or aircraft accident, as defined in 49 CFR 830.2. Risk means the composite of predicted severity and likelihood of the potential effect of a hazard. Risk control means a means to reduce or eliminate the effects of hazards. Safety assurance means processes within the SMS that function systematically to ensure the performance and effectiveness of safety risk controls and that the organization meets or exceeds its safety objectives through the collection, analysis, and assessment of information. Safety Management System (SMS) means the formal, top-down, organization-wide approach to managing safety risk and assuring the effectiveness of safety risk controls. It includes systematic procedures, practices, and policies for the management of safety risk. Safety objective means a measurable goal or desirable outcome related to safety. Safety performance means realized or actual safety accomplishment relative to the organization's safety objectives. Safety policy means the person's documented commitment to safety, which defines its safety objectives and the accountabilities and responsibilities of its employees in regards to safety. Safety promotion means a combination of training and communication of safety information to support the implementation and operation of an SMS in an organization. Safety Risk Management means a process within the SMS composed of describing the system, identifying the hazards, and analyzing, assessing, and controlling risk. | ||||
| 14:14:1.0.1.1.3.1.1.3 | 14 | Aeronautics and Space | I | A | 5 | PART 5—SAFETY MANAGEMENT SYSTEMS | A | Subpart A—General | § 5.5 General requirements. | FAA | (a) SMS components. An SMS under this part must be appropriate to the size, scope, and complexity of the person's organization and include, at a minimum, all of the following components: (1) Safety policy that meets the requirements of subpart B of this part. (2) Safety risk management that meets the requirements of subpart C of this part. (3) Safety assurance that meets the requirements of subpart D of this part. (4) Safety promotion that meets the requirements of subpart E of this part. (b) Continuing requirements. Any person required to develop and implement an SMS under this part must maintain the SMS in accordance with this part. | ||||
| 14:14:1.0.1.1.3.1.1.4 | 14 | Aeronautics and Space | I | A | 5 | PART 5—SAFETY MANAGEMENT SYSTEMS | A | Subpart A—General | § 5.7 Requirements for domestic, flag, and supplemental operations. | FAA | (a) Any person authorized to conduct operations under part 121 of this chapter that has an SMS acceptable to the FAA on or before May 28, 2024, must revise its SMS to meet the requirements of this part no later than May 28, 2025. (b) Any person applying for authorization to conduct operations under part 121 of this chapter or with such application pending on or after May 28, 2024, must develop and implement an SMS that meets the requirements of this part. (c) Any person required to develop and implement an SMS under this section must maintain the SMS as long as the person is authorized to conduct operations under part 121 of this chapter. (d) Any person required to develop and implement an SMS under this section must make available to the Administrator, upon request, all necessary information and data that demonstrates that the person has an SMS that meets the requirements set forth in this part. | ||||
| 14:14:1.0.1.1.3.1.1.5 | 14 | Aeronautics and Space | I | A | 5 | PART 5—SAFETY MANAGEMENT SYSTEMS | A | Subpart A—General | § 5.9 Requirements for commuter and on-demand operations or passenger-carrying flights for compensation or hire. | FAA | (a) Any person authorized to conduct operations under part 135 of this chapter or that holds a Letter of Authorization issued under § 91.147 of this chapter before May 28, 2024, must: (1) Develop and implement an SMS that meets the requirements of this part no later than May 28, 2027. (2) Submit to the FAA, a declaration of compliance with this part in a form and manner acceptable to the Administrator no later than May 28, 2027. (b) Any person applying for authorization to conduct operations under part 135 of this chapter or a Letter of Authorization under § 91.147 of this chapter, or with such application pending on or after May 28, 2024, must develop and implement an SMS that meets the requirements of this part. (c) Any person required to develop and implement an SMS under this section must maintain the SMS as long as the person is authorized to conduct operations under either part 135 or § 91.147 of this chapter. (d) Any person required to develop and implement an SMS under this section must make available to the Administrator, upon request, all necessary information and data that demonstrates that the person has an SMS that meets the requirements set forth in this part. (e) The following requirements do not apply to those organizations with a single pilot who is the sole individual performing all necessary functions in the conduct and execution related to, or in direct support of, the safe operation of the aircraft: §§ 5.21(a)(4), 5.21(a)(5), 5.21(c), 5.23(a)(2), 5.23(a)(3), 5.23(b), 5.25(b)(3), 5.25(c), 5.27(a), 5.27(b), 5.71(a)(7), 5.93, and 5.97(d) of this part. | ||||
| 14:14:1.0.1.1.3.1.1.6 | 14 | Aeronautics and Space | I | A | 5 | PART 5—SAFETY MANAGEMENT SYSTEMS | A | Subpart A—General | § 5.11 Requirements for production certificate holders that are holders or licensees of a type certificate for the same product. | FAA | Any person that holds a production certificate issued under part 21 of this chapter for a product for which the person is the holder or licensee of the type certificate for the same product on or before May 28, 2024, must: (a) Develop and maintain an organizational system description in accordance with § 5.17 of this subpart. (b) Submit an implementation plan in accordance with § 5.19 of this subpart for FAA approval in a form and manner acceptable to the Administrator no later than November 28, 2024. (c) Develop an SMS that meets the requirements of this part. (d) Implement the SMS in accordance with this part no later than May 28, 2027. (e) Make available to the Administrator, upon request, all necessary information and data that demonstrates that the person has an SMS that meets the requirements set forth in this part. (f) Maintain the SMS as long as the person is both a holder of a production certificate and a holder or licensee of a type certificate for the same product. | ||||
| 14:14:1.0.1.1.3.1.1.7 | 14 | Aeronautics and Space | I | A | 5 | PART 5—SAFETY MANAGEMENT SYSTEMS | A | Subpart A—General | § 5.13 Requirements for type certificate holders or licensees applying for a production certificate for the same product. | FAA | (a) This section applies to any holder or licensee of a type certificate for a product who either: (1) Applies for a production certificate for that same product under part 21 of this chapter on or after May 28, 2024, or (2) Has an application for a production certificate for that same product under part 21 of this chapter pending on May 28, 2024. (b) Any person that meets paragraph (a) of this section must: (1) Develop and maintain an organizational system description in accordance with § 5.17 of this subpart. (2) Submit an implementation plan in accordance with § 5.19 of this subpart for FAA approval in a form and manner acceptable to the Administrator during the certification process. (3) Develop an SMS that meets the requirements of this part. (4) Implement the SMS in accordance with this part no later than 36 months after submission of the implementation plan. (5) Make available to the Administrator, upon request, all necessary information and data that demonstrates that the person has an SMS that meets the requirements set forth in this part. (6) Maintain the SMS as long as the person is both a holder of a production certificate and a holder or licensee of a type certificate for the same product. | ||||
| 14:14:1.0.1.1.3.1.1.8 | 14 | Aeronautics and Space | I | A | 5 | PART 5—SAFETY MANAGEMENT SYSTEMS | A | Subpart A—General | § 5.15 Requirements for type certificate holders that allow another person to use the type certificate to obtain a production certificate for the same product. | FAA | (a) This section applies to any person that holds a type certificate issued under part 21 of this chapter for a product, except for persons that hold only type certificates issued under § 21.29 of this chapter, that allows another person to use the type certificate to manufacture the same product under a production certificate. (b) Any person that meets paragraph (a) of this section and has a licensing agreement in accordance with § 21.55 of this chapter on May 28, 2024, must: (1) Develop and maintain an organizational system description in accordance with § 5.17 of this subpart. (2) Submit an implementation plan in accordance with § 5.19 of this subpart for FAA approval in a form and manner acceptable to the Administrator no later than November 28, 2024. (3) Develop an SMS that meets the requirements of this part. (4) Implement the SMS in accordance with this part no later than May 28, 2027. (5) Make available to the Administrator, upon request, all necessary information and data that demonstrates that the person has an SMS that meets the requirements set forth in this part. (6) Maintain the SMS as long as the person continues to meet paragraph (a) of this section. (c) Any person that meets paragraph (a) of this section and enters into a licensing agreement in accordance with § 21.55 of this chapter after May 28, 2024, must: (1) Develop and maintain an organizational system description in accordance with § 5.17 of this subpart. (2) Submit an implementation plan in accordance with § 5.19 of this subpart for FAA approval in a form and manner acceptable to the Administrator when providing written licensing agreements in accordance with § 21.55 of this chapter. (3) Develop an SMS that meets the requirements of this part. (4) Implement the SMS in accordance with this part no later than 36 months after submission of the person's implementation plan. (5) Make available to the Administrator, upon request, all necessary information and data that demonstrates that the person has an SMS that meets the requirem… | ||||
| 14:14:1.0.1.1.3.1.1.9 | 14 | Aeronautics and Space | I | A | 5 | PART 5—SAFETY MANAGEMENT SYSTEMS | A | Subpart A—General | § 5.17 Organizational system description. | FAA | An organizational system description developed and maintained under this part must include a summary of the following information about the safety of the aviation products or services provided by the person: (a) The person's aviation-related processes, procedures, and activities. (b) The function and purpose of the aviation products or services. (c) The operating environment. (d) The personnel, equipment, and facilities necessary for operation. | ||||
| 14:14:1.0.1.1.3.2.1.1 | 14 | Aeronautics and Space | I | A | 5 | PART 5—SAFETY MANAGEMENT SYSTEMS | B | Subpart B—Safety Policy | § 5.21 Safety policy. | FAA | [Doc. No. FAA-2009-0671, Amdt. 5-1, 80 FR 1326, Jan. 8, 2015, as amended by Amdt. 5-2, 89 FR 33106, Apr. 26, 2024] | (a) Any person required to have an SMS under this part must have a safety policy that includes at least the following: (1) The person's safety objectives. (2) The person's commitment to fulfill the safety objectives. (3) A clear statement about the provision of the necessary resources for the implementation of the SMS. (4) A safety reporting policy that defines requirements for employee reporting of safety hazards or issues. (5) A policy that defines unacceptable behavior and conditions for disciplinary action. (6) An emergency response plan that provides for the safe transition from normal to emergency operations in accordance with the requirements of § 5.27. (7) A code of ethics that is applicable to all employees, including management personnel and officers, which clarifies that safety is the organization's highest priority. (b) The safety policy must be signed by the accountable executive described in § 5.25. (c) The safety policy must be documented and communicated throughout the person's organization. (d) The safety policy must be regularly reviewed by the accountable executive to ensure it remains relevant and appropriate to the person. | |||
| 14:14:1.0.1.1.3.2.1.2 | 14 | Aeronautics and Space | I | A | 5 | PART 5—SAFETY MANAGEMENT SYSTEMS | B | Subpart B—Safety Policy | § 5.23 Safety accountability and authority. | FAA | [Doc. No. FAA-2009-0671, Amdt. 5-1, 80 FR 1326, Jan. 8, 2015, as amended by Amdt. 5-2, 89 FR 33106, Apr. 26, 2024] | (a) Any person required to have an SMS under this part must define in its safety policy the accountability for safety of the following individuals: (1) Accountable executive, as described in § 5.25. (2) All members of management in regard to developing, implementing, and maintaining SMS processes within their area of responsibility, including, but not limited to: (i) Hazard identification and safety risk assessment. (ii) Assuring the effectiveness of safety risk controls. (iii) Promoting safety as required in subpart E of this part. (iv) Advising the accountable executive on the performance of the SMS and on any need for improvement. (3) Employees relative to the person's safety performance. (b) The person must identify the levels of management with the authority to make decisions regarding safety risk acceptance. | |||
| 14:14:1.0.1.1.3.2.1.3 | 14 | Aeronautics and Space | I | A | 5 | PART 5—SAFETY MANAGEMENT SYSTEMS | B | Subpart B—Safety Policy | § 5.25 Designation and responsibilities of required safety management personnel. | FAA | [Doc. No. FAA-2021-0419, Amdt. 5-2, 89 FR 33106, Apr. 26, 2024] | (a) Designation of the accountable executive. Any person required to have an SMS under this part must identify an accountable executive who, irrespective of other functions, satisfies the following: (1) Is the final authority over operations authorized to be conducted under the person's certificate(s) or Letter(s) of Authorization. (2) Controls the financial resources required for the operations to be conducted under the person's certificate(s) or Letter(s) of Authorization. (3) Controls the human resources required for the operations authorized to be conducted under the person's certificate(s) or Letter(s) of Authorization. (4) Retains ultimate responsibility for the safety performance of the operations conducted under the person's certificate(s) or Letter(s) of Authorization. (b) Responsibilities of the accountable executive. The accountable executive must accomplish the following: (1) Ensure that the SMS is properly implemented and is performing across all pertinent areas. (2) Develop and sign the safety policy. (3) Communicate the safety policy throughout the person's organization. (4) Regularly review the safety policy to ensure it remains relevant and appropriate to the person. (5) Regularly review the safety performance and direct actions necessary to address substandard safety performance in accordance with § 5.75. (c) Designation of management personnel. The accountable executive must designate sufficient management personnel who, on behalf of the accountable executive, are responsible for the following: (1) Coordinate implementation, maintenance, and integration of the SMS throughout the person's organization. (2) Facilitate hazard identification and safety risk analysis. (3) Monitor the effectiveness of safety risk controls. (4) Ensure safety promotion throughout the person's organization as required in subpart E of this part. (5) Regularly report to the accountable executive on the performance of the SMS and on any need for improvement. | |||
| 14:14:1.0.1.1.3.2.1.4 | 14 | Aeronautics and Space | I | A | 5 | PART 5—SAFETY MANAGEMENT SYSTEMS | B | Subpart B—Safety Policy | § 5.27 Coordination of emergency response planning. | FAA | [Doc. No. FAA-2021-0419, Amdt. 5-2, 89 FR 33106, Apr. 26, 2024] | Where emergency response procedures are necessary, any person required to have an SMS under this part must develop, and the accountable executive must approve as part of the safety policy, an emergency response plan that addresses at least the following: (a) Delegation of emergency authority throughout the person's organization. (b) Assignment of employee responsibilities during the emergency. (c) Coordination of the emergency response plans with the emergency response plans of other organizations it must interface with during the provision of its services. | |||
| 14:14:1.0.1.1.3.3.1.1 | 14 | Aeronautics and Space | I | A | 5 | PART 5—SAFETY MANAGEMENT SYSTEMS | C | Subpart C—Safety Risk Management | § 5.51 Applicability. | FAA | [Doc. No. FAA-2009-0671, Amdt. 5-1, 80 FR 1326, Jan. 8, 2015, as amended by Amdt. 5-2, 89 FR 33107, Apr. 26, 2024] | Any person required to have an SMS under this part must apply safety risk management to the following: (a) Implementation of new systems. (b) Revision of existing systems. (c) Development of operational procedures. (d) Identification of hazards or ineffective risk controls through the safety assurance processes in subpart D of this part. | |||
| 14:14:1.0.1.1.3.3.1.2 | 14 | Aeronautics and Space | I | A | 5 | PART 5—SAFETY MANAGEMENT SYSTEMS | C | Subpart C—Safety Risk Management | § 5.53 System analysis and hazard identification. | FAA | [Doc. No. FAA-2009-0671, Amdt. 5-1, 80 FR 1326, Jan. 8, 2015, as amended by Amdt. 5-2, 89 FR 33106, Apr. 26, 2024] | (a) When applying safety risk management, any person required to have an SMS under this part must analyze the systems identified in § 5.51. Those system analyses must be used to identify hazards under paragraph (c) of this section and in developing and implementing risk controls related to the system under § 5.55(c). (b) In conducting the system analysis, the following information must be considered: (1) Function and purpose of the system. (2) The system's operating environment. (3) An outline of the system's processes and procedures. (4) The personnel, equipment, and facilities necessary for operation of the system. (5) The interfaces of the system. (c) Any person required to have an SMS under this part must develop and maintain processes to identify hazards within the context of the system analysis. | |||
| 14:14:1.0.1.1.3.3.1.3 | 14 | Aeronautics and Space | I | A | 5 | PART 5—SAFETY MANAGEMENT SYSTEMS | C | Subpart C—Safety Risk Management | § 5.55 Safety risk assessment and control. | FAA | [Doc. No. FAA-2021-0419, Amdt. 5-2, 89 FR 33107, Apr. 26, 2024] | Any person required to have an SMS under this part must: (a) Develop and maintain processes to analyze safety risk associated with the hazards identified in § 5.53(c). (b) Define a process for conducting risk assessment that allows for the determination of acceptable safety risk. (c) Develop and maintain processes to develop safety risk controls that are necessary as a result of the safety risk assessment process under paragraph (b) of this section. (d) Evaluate whether the risk will be acceptable with the proposed safety risk control applied before the safety risk control is implemented. | |||
| 14:14:1.0.1.1.3.3.1.4 | 14 | Aeronautics and Space | I | A | 5 | PART 5—SAFETY MANAGEMENT SYSTEMS | C | Subpart C—Safety Risk Management | § 5.57 Notification of hazards to interfacing persons. | FAA | [Doc. No. FAA-2021-0419, Amdt. 5-2, 89 FR 33107, Apr. 26, 2024] | If a person required to have an SMS under this part identifies a hazard in the operating environment, the person must provide notice of the hazard to any interfacing person that, to the best of the person's knowledge, could address the hazard or mitigate the risk. For the purpose of this section, interfacing persons are those that contribute to the safety of the certificate or Letter of Authorization holder's aviation-related products and services. | |||
| 14:14:1.0.1.1.3.4.1.1 | 14 | Aeronautics and Space | I | A | 5 | PART 5—SAFETY MANAGEMENT SYSTEMS | D | Subpart D—Safety Assurance | § 5.71 Safety performance monitoring and measurement. | FAA | [Doc. No. FAA-2021-0419, Amdt. 5-2, 89 FR 33107, Apr. 26, 2024] | (a) Any person required to have an SMS under this part must develop and maintain processes and systems to acquire data with respect to its operations, products, and services to monitor the safety performance of the organization. These processes and systems must include, at a minimum, the following: (1) Monitoring of operational processes. (2) Monitoring of the operational environment to detect changes. (3) Auditing of operational processes and systems. (4) Evaluations of the SMS and operational processes and systems. (5) Investigations of incidents and accidents. (6) Investigations of reports regarding potential non-compliance with regulatory standards or other safety risk controls established by the person through the safety risk management process established in subpart C of this part. (7) A confidential employee reporting system in which employees can report hazards, issues, concerns, occurrences, incidents, as well as propose solutions and safety improvements, without concern of reprisal for reporting. (8) Investigations of hazard notifications that have been received from external sources. (b) Any person required to have an SMS under this part must develop and maintain processes that analyze the data acquired through the processes and systems identified under paragraph (a) of this section and any other relevant data with respect to its operations, products, and services. (c) Any person that holds both a type certificate and a production certificate issued under part 21 of this chapter for the same product must submit a summary of the confidential employee reports received under paragraph (a)(7) of this section to the Administrator once every 6 months. | |||
| 14:14:1.0.1.1.3.4.1.2 | 14 | Aeronautics and Space | I | A | 5 | PART 5—SAFETY MANAGEMENT SYSTEMS | D | Subpart D—Safety Assurance | § 5.73 Safety performance assessment. | FAA | [Doc. No. FAA-2009-0671, Amdt. 5-1, 80 FR 1326, Jan. 8, 2015, as amended by Amdt. 5-2, 89 FR 33108, Apr. 26, 2024] | (a) Any person required to have an SMS under this part must conduct assessments of its safety performance against its safety objectives, which include reviews by the accountable executive, to: (1) Ensure compliance with the safety risk controls established by the person. (2) Evaluate the performance of the SMS. (3) Evaluate the effectiveness of the safety risk controls established under § 5.55(c) and identify any ineffective controls. (4) Identify changes in the operational environment that may introduce new hazards. (5) Identify new hazards. (b) Upon completion of the assessment, if ineffective controls or new hazards are identified under paragraphs (a)(2) through (5) of this section, the person must use the safety risk management process described in subpart C of this part. | |||
| 14:14:1.0.1.1.3.4.1.3 | 14 | Aeronautics and Space | I | A | 5 | PART 5—SAFETY MANAGEMENT SYSTEMS | D | Subpart D—Safety Assurance | § 5.75 Continuous improvement. | FAA | [Doc. No. FAA-2021-0419, Amdt. 5-2, 89 FR 33108, Apr. 26, 2024] | Any person required to have an SMS under this part must establish and implement processes to correct safety performance deficiencies identified in the assessments conducted under § 5.73. | |||
| 14:14:1.0.1.1.3.5.1.1 | 14 | Aeronautics and Space | I | A | 5 | PART 5—SAFETY MANAGEMENT SYSTEMS | E | Subpart E—Safety Promotion | § 5.91 Competencies and training. | FAA | [Doc. No. FAA-2021-0419, Amdt. 5-2, 89 FR 33108, Apr. 26, 2024] | Any person required to have an SMS under this part must provide training to each individual identified in § 5.23 of this part to ensure the individuals attain and maintain the competencies necessary to perform their duties relevant to the operation and performance of the SMS. | |||
| 14:14:1.0.1.1.3.5.1.2 | 14 | Aeronautics and Space | I | A | 5 | PART 5—SAFETY MANAGEMENT SYSTEMS | E | Subpart E—Safety Promotion | § 5.93 Safety communication. | FAA | [Doc. No. FAA-2009-0671, Amdt. 5-1, 80 FR 1326, Jan. 8, 2015, as amended by Amdt. 5-2, 89 FR 33108, Apr. 26, 2024] | Any person required to have an SMS under this part must develop and maintain means for communicating safety information that, at a minimum: (a) Ensures that employees are aware of the SMS policies, processes, and tools that are relevant to their responsibilities. (b) Conveys hazard information relevant to the employee's responsibilities. (c) Explains why safety actions have been taken. (d) Explains why safety procedures are introduced or changed. | |||
| 14:14:1.0.1.1.3.6.1.1 | 14 | Aeronautics and Space | I | A | 5 | PART 5—SAFETY MANAGEMENT SYSTEMS | F | Subpart F—SMS Documentation and Recordkeeping | § 5.95 SMS documentation. | FAA | [Doc. No. FAA-2009-0671, Amdt. 5-1, 80 FR 1326, Jan. 8, 2015, as amended by Amdt. 5-2, 89 FR 33108, Apr. 26, 2024] | Any person required to have an SMS under this part must develop and maintain the following SMS documentation: (a) Safety policy. (b) SMS processes and procedures. | |||
| 14:14:1.0.1.1.3.6.1.2 | 14 | Aeronautics and Space | I | A | 5 | PART 5—SAFETY MANAGEMENT SYSTEMS | F | Subpart F—SMS Documentation and Recordkeeping | § 5.97 SMS records. | FAA | [Doc. No. FAA-2021-0419, Amdt. 5-2, 89 FR 33108, Apr. 26, 2024] | Any person required to have an SMS under this part must: (a) Maintain records of outputs of safety risk management processes as described in subpart C of this part. Such records must be retained for as long as the control remains relevant to the operation. (b) Maintain records of outputs of safety assurance processes as described in subpart D of this part. Such records must be retained for a minimum of 5 years. (c) Maintain a record of all training provided under § 5.91 for each individual. Such records must be retained for as long as the individual is employed by the person. (d) Retain records of all communications provided under § 5.93 or § 5.57 for a minimum of 24 consecutive calendar months. | |||
| 15:15:1.1.1.1.7.0.1.1 | 15 | Commerce and Foreign Trade | 5 | PART 5—OPERATION OF VENDING STANDS | § 5.1 Purpose. | DOC | This part prescribes regulations to assure the granting of preference to blind persons licensed under the provisions of the Randolph-Sheppard Vending Stand Act (49 Stat. 1559, as amended by the act of August 3, 1954, 68 Stat. 663; 20 U.S.C. 107) for the operation of vending stands (which term as used in this order includes vending machines). | ||||||||
| 15:15:1.1.1.1.7.0.1.2 | 15 | Commerce and Foreign Trade | 5 | PART 5—OPERATION OF VENDING STANDS | § 5.2 Policy. | DOC | [28 FR 7772, July 31, 1963, as amended at 55 FR 53489, Dec. 31, 1990] | (a) The Department adopts the Federal policy announced in the Randolph-Sheppard Vending Stand Act, as amended, to provide blind persons with remunerative employment to enlarge the economic opportunities of the blind and to stimulate the blind to greater efforts in striving to make themselves self-supporting. (b) It shall be the policy of the Department to authorize blind persons licensed under the provisions of the Randolph-Sheppard Vending Stand Act, as amended to operate vending stands without any charge for space or necessary utilities on properties owned and occupied by the Department or on which the Department controls maintenance, operation, and protection. (c) The Department will cooperate with the Department of Education and State licensing agencies in making surveys to determine whether and where vending stands may be properly and profitably operated by licensed blind persons. (d) The application of a State licensing agency for a permit may be denied or revoked if it is determined that the interests of the United States would be adversely affected or the Department would be unduly inconvenienced by the issuance of a permit or its continuance. (e) Disagreements concerning the denial, revocation, or modification of a permit may be appealed by the State licensing agency as set forth in § 5.6. | |||||||
| 15:15:1.1.1.1.7.0.1.3 | 15 | Commerce and Foreign Trade | 5 | PART 5—OPERATION OF VENDING STANDS | § 5.3 Assignment of functions and authorities. | DOC | [28 FR 7772, July 31, 1963, as amended at 55 FR 53489, Dec. 31, 1990] | (a) The Director, Office of Administrative Services, shall carry out the Department's responsibility to provide, in accordance with applicable law and regulation, the maximum opportunity for qualified blind persons to operate vending stands. (b) Subject to instructions issued by the Director, Office of Administrative Services, the head of each primary organization unit shall be responsible for implementing this program within his area. (c) The Director, Office of Administrative Services for the primary organization units located in the main Commerce building and the head of each other primary organization unit will make determinations with respect to the terms of permits including the location and operation of vending stands and machines in their respective areas. (d) Unresolved differences and significant violations of the terms of permits shall be reported to the State licensing agency. Where no corrective action is forthcoming, the matter shall be referred to the Office of Vocational Rehabilitation, Department of Education for consideration prior to further action. | |||||||
| 15:15:1.1.1.1.7.0.1.4 | 15 | Commerce and Foreign Trade | 5 | PART 5—OPERATION OF VENDING STANDS | § 5.4 Permits. | DOC | (a) No permit, lease, or other arrangement for the operation of a vending stand on property under control of the Department shall be entered into or renewed without first consulting the State licensing agency or equivalent authority. (b) The permit shall be conditioned upon the vending stand meeting specified standards, including standards relating to appearance, safety, sanitation, maintenance, and efficiency of operation. Due regard shall be given to laws and regulations for the public welfare which are applicable, or would be applicable, if the property involved was not owned or controlled by the Federal Government. (c) The permit shall specify the types of articles specified in section 2(a)(4) of the Act as amended (newspapers, periodicals, confections, tobacco products, articles dispensed automatically or in containers or wrappings in which they are placed before delivery to the vending stand). Such other related articles as the State licensing agency asks to be included shall be permitted to be sold, unless such factors as inadequacy of available facilities, safety, health, public welfare, or legal requirements demand otherwise. (d) The permit shall contain a provision that alterations made by other than the United States shall be approved by and conducted under the supervision of an appropriate official of the Department or the primary organization unit concerned. (e) The permit may contain other reasonable conditions necessary for the protection of the Government and prospective patrons of the stand. (f) The permit shall describe the location of the stand proper and the location of any vending machines which are operated in conjunction with it. | ||||||||
| 15:15:1.1.1.1.7.0.1.5 | 15 | Commerce and Foreign Trade | 5 | PART 5—OPERATION OF VENDING STANDS | § 5.5 Vending machines. | DOC | (a) The income from any vending machines which are located within reasonable proximity to and are in direct competition with a vending stand for which a permit has been issued under these regulations shall be assigned to the operator of such stand. (b) If a vending machine vends articles of a type authorized by the permit and is so located that it attracts customers who would otherwise patronize the vending stand, such machine shall be deemed to be in reasonable proximity to and direct competition with the stand. | ||||||||
| 15:15:1.1.1.1.7.0.1.6 | 15 | Commerce and Foreign Trade | 5 | PART 5—OPERATION OF VENDING STANDS | § 5.6 Appeals. | DOC | [28 FR 7772, July 31, 1963, as amended at 55 FR 53489, Dec. 31, 1990] | (a) In any instance where the Department of Commerce official as provided in § 5.3(c) and the State licensing agency fail to reach agreement concerning the granting, revocation, or modification of a permit, the location, method of operation, assignment of proceeds, or other terms of a permit (including articles which may be sold), the State licensing agency shall be notified in writing by the Commerce official concerned that it has the right to appeal such disagreements, within 30 days of the notice, to the Assistant Secretary for Administration for investigation and final decision. (b) Upon receipt of a timely appeal the Assistant Secretary for Administration will cause a full investigation to be made. The State licensing agency shall be given an opportunity to present information pertinent to the facts and circumstances of the case. The complete investigation report including the recommendations of the investigating officer shall be submitted to the Assistant Secretary for Administration within 60 days from the date of the appeal. (c) The Assistant Secretary for Administration will render a final decision on the appeal within 90 days of the date of appeal. (d) The State licensing agency will be informed of the final decision on its appeal. Copies of the decision will be forwarded to the Department of Commerce official concerned and the Department of Education. | |||||||
| 15:15:1.1.1.1.7.0.1.7 | 15 | Commerce and Foreign Trade | 5 | PART 5—OPERATION OF VENDING STANDS | § 5.7 Reports. | DOC | No later than fifteen days following the end of each fiscal year the responsible officials set forth in § 5.3(c) shall forward to the Director, Office of Administrative Services a report on activities under this order. The report shall include: (a) The number of applications, including requests for installations initiated by the Department, for vending stands received from State licensing agencies; (b) The number of such requests accepted or approved; (c) The number denied, on which no appeal was made and the number denied on which an appeal was made; and (d) The number and status of any requests still pending. | ||||||||
| 15:15:1.1.1.1.7.0.1.8 | 15 | Commerce and Foreign Trade | 5 | PART 5—OPERATION OF VENDING STANDS | § 5.8 Approval of regulations. | DOC | The provisions of this part have been approved by the Director, Bureau of the Budget, pursuant to Executive Order 10604, of April 22, 1955. | ||||||||
| 17:17:1.0.1.1.5.0.7.1 | 17 | Commodity and Securities Exchanges | I | 5 | PART 5—OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS | § 5.1 Definitions. | CFTC | [75 FR 55432, Sept. 10, 2010, as amended at 77 FR 66332, Nov. 2, 2012] | (a) Affiliated person of a futures commission merchant means a person described in section 2(c)(2)(B)(i)(II)(cc)(BB) of the Act; (b) Aggregate retail forex assets means an amount of liquid assets held in accordance with § 5.8 of this part; (c) Associated person of an affiliated person of a futures commission merchant means any natural person associated with an affiliated person of a futures commission merchant as a partner, officer or employee (or any natural person occupying a similar status or performing similar functions), in any capacity which involves: (1) The solicitation or acceptance of retail forex customers' orders (other than in a clerical capacity); or (2) The supervision of any person or persons so engaged; (d)(1) Commodity pool operator, for purposes of this part, means any person who operates or solicits funds, securities, or property for a pooled investment vehicle that is not an eligible contract participant as defined in section 1a(18) of the Act, and that engages in retail forex transactions; (2) Associated person of a commodity pool operator, for purposes of this part, means any natural person associated with a commodity pool operator as defined in paragraph (d)(1) of this section as a partner, officer, employee, consultant or agent (or any natural person occupying a similar status or performing similar functions), in any capacity which involves: (i) The solicitation of funds, securities, or property for a participation in a pooled investment vehicle; or (ii) The supervision of any person or persons so engaged; (e)(1) Commodity trading advisor, for purposes of this part, means any person who exercises discretionary trading authority or obtains written authorization to exercise discretionary trading authority over any account for or on behalf of any person that is not an eligible contract participant as defined in section 1a(18) of the Act, in connection with retail forex transactions; (2) Associated person of a commodity trading advisor, for purposes of this part, means… | ||||||
| 17:17:1.0.1.1.5.0.7.10 | 17 | Commodity and Securities Exchanges | I | 5 | PART 5—OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS | § 5.10 Risk assessment recordkeeping requirements for retail foreign exchange dealers. | CFTC | [75 FR 55432, Sept. 10, 2010, as amended at 76 FR 56106, Sept. 12, 2011] | (a) Requirement to maintain and preserve information. (1) Each retail foreign exchange dealer registered with the Commission pursuant to section 2(c)(2)(B)(i)(II)(ff) of the Act shall prepare, maintain and preserve the following information: (i) An organizational chart which includes the retail foreign exchange dealer and each of its affiliated persons. Included in the organizational chart shall be a designation of which affiliated persons are “Material Affiliated Persons” as that term is used in paragraph (a)(2) of this section, which Material Affiliated Persons file routine financial or risk exposure reports with the Securities and Exchange Commission, a federal banking agency, an insurance commissioner or other similar official or agency of a state, or a foreign regulatory authority, and which Material Affiliated Persons are dealers in financial instruments with off-balance sheet risk and, if a Material Affiliated Person is such a dealer, whether it is also an end-user of such instruments; (ii) Written policies, procedures, or systems concerning the retail foreign exchange dealer's: (A) Method(s) for monitoring and controlling financial and operational risks to it resulting from the activities of any of its affiliated persons; (B) Financing and capital adequacy, including information regarding sources of funding, together with a narrative discussion by management of the liquidity of the material assets of the retail foreign exchange dealer, the structure of debt capital, and sources of alternative funding; (C) Establishing and maintaining internal controls with respect to market risk, credit risk, and other risks created by the retail foreign exchange dealer's trading activities, including systems and policies for supervising, monitoring, reporting and reviewing trading activities in forex transactions, securities, futures contracts, commodity options, forward contracts and financial instruments; policies for hedging or managing risks created by trading activities or supervising accounts carried for aff… | ||||||
| 17:17:1.0.1.1.5.0.7.11 | 17 | Commodity and Securities Exchanges | I | 5 | PART 5—OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS | § 5.11 Risk assessment reporting requirements for retail foreign exchange dealers. | CFTC | [75 FR 55432, Sept. 10, 2010, as amended at 76 FR 56106, Sept. 12, 2011] | (a) Reporting requirements with respect to information required to be maintained by § 5.10 of this part. (1) Each retail foreign exchange dealer registered with the Commission pursuant to Section 2(c)(2)(B)(i)(II)(ff) of the Act shall file the following with the regional office of the Commission with which it files periodic financial reports within 60 calendar days after the effective date of such registration: (i) A copy of the organizational chart maintained by the retail foreign exchange dealer pursuant to § 5.10(a)(l)(i) of this part. Where there is a material change in information provided, an updated organizational chart shall be filed within sixty calendar days after the end of the fiscal quarter in which the change has occurred; and (ii) Copies of the financial, operational, and risk management policies, procedures and systems maintained by the retail foreign exchange dealer pursuant to § 5.10(a)(l)(ii) of this part. If the retail foreign exchange dealer has no such written policies, procedures or systems, it must file a statement so indicating. Where there is a material change in information provided, such change shall be reported within sixty calendar days after the end of the fiscal quarter in which the change has occurred. (2) Each retail foreign exchange dealer registered with the Commission pursuant to section 2(c)(2)(B)(i)(II)(ff) of the Act shall file the following with the regional office with which it files periodic financial reports within 105 calendar days after the end of each fiscal year or, if a filing is made pursuant to a written notice issued under paragraph (a)(2)(iii) of this section, within the time period specified in the written notice: (i) Fiscal year-end consolidated and consolidating balance sheets for the highest level Material Affiliated Person within the retail foreign exchange dealer's organizational structure, which shall include the retail foreign exchange dealer and its other Material Affiliated Persons, prepared in accordance with generally accepted accounting princ… | ||||||
| 17:17:1.0.1.1.5.0.7.12 | 17 | Commodity and Securities Exchanges | I | 5 | PART 5—OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS | § 5.12 Financial reports of retail foreign exchange dealers. | CFTC | (a)(1) Each person who files an application for registration as a retail foreign exchange dealer with the National Futures Association shall submit, concurrently with the filing of such application, either: (i) A Form 1-FR-FCM certified by an independent public accountant as of a date not more than 45 days prior to the date on which such report is filed; or (ii) A Form 1-FR-FCM as of a date not more than 17 business days prior to the date on which such report is filed and a Form 1-FR-FCM certified by an independent public accountant as of a date not more than one year prior to the date on which such report is filed. (2) Each such person must include with such financial report a statement describing the source of his current assets and representing that his capital has been contributed for the purpose of operating his business and will continue to be used for such purpose. (3) The provisions of paragraph (a)(1) of this section do not apply to any person succeeding to and continuing the business of another retail foreign exchange dealer. (b)(1) Each person registered as a retail foreign exchange dealer must file a Form 1-FR-FCM as of the close of business each month. Each Form 1-FR must be filed no later than 17 business days after the date for which the report is made. (2) In addition to the monthly financial reports required by paragraph (b)(1) of this section, each person registered as a retail foreign exchange dealer must file a Form 1-FR-FCM as of the close of its fiscal year, which must be certified by an independent public accountant and must be filed no later than 90 days after the close of the retail foreign exchange dealer's fiscal year. (3) A Form 1-FR-FCM required to be certified by an independent public accountant which is filed by a retail foreign exchange dealer must be filed in paper form and may not be filed electronically with the Commission. A Form 1-FR-FCM required to be certified by an independent public accountant which is filed by an applicant for registration as a retail foreign excha… | |||||||
| 17:17:1.0.1.1.5.0.7.13 | 17 | Commodity and Securities Exchanges | I | 5 | PART 5—OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS | § 5.13 Reporting to customers of retail foreign exchange dealers and futures commission merchants; monthly and confirmation statements. | CFTC | (a) Monthly statements. Each retail foreign exchange dealer or futures commission merchant must promptly furnish in writing to each retail forex customer, as of the close of the last business day of each month or as of any regular monthly date selected, except for accounts in which there are neither open positions at the end of the statement period nor any changes to the account balance since the prior statement period, but in any event not less frequently than once every three months, a statement which clearly shows: (1) For each retail forex customer: (i) The open retail forex transactions with prices at which acquired; (ii) The net unrealized profits or losses in all open retail forex transactions marked to the market; and (iii) Any money, securities or other property carried with the retail foreign exchange dealer or futures commission merchant; and (iv) A detailed accounting of all financial charges and credits to such retail forex accounts during the monthly reporting period, including money, securities or property received from or disbursed to such customer and realized profits and losses; and (2) For each retail forex customer engaging in forex options transactions: (i) All forex options purchased, sold, exercised, or expired during the monthly reporting period, identified by underlying retail forex transaction or underlying currency, strike price, transaction date, and expiration date; (ii) The open forex option positions carried for such customer as of the end of the monthly reporting period, identified by underlying retail forex transaction or underlying currency, strike price, transaction date, and expiration date; (iii) All open forex option positions marked to the market and the amount each position is in the money, if any; (iv) Any money, securities or other property carried with the retail foreign exchange dealer or futures commission merchant; and (v) A detailed accounting of all financial charges and credits to such retail forex account(s) during the monthly reporting period, includ… | |||||||
| 17:17:1.0.1.1.5.0.7.14 | 17 | Commodity and Securities Exchanges | I | 5 | PART 5—OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS | § 5.14 Records to be kept by retail foreign exchange dealers and futures commission merchants. | CFTC | (a) No person shall be registered as a retail foreign exchange dealer under the Act unless, commencing on the date his application for such registration is filed, he prepares and keeps current ledgers or other similar records which show or summarize, with appropriate references to supporting documents, each transaction affecting his asset, liability, income, expense and capital accounts, and in which (except as otherwise permitted in writing by the Commission) all his asset, liability and capital accounts are classified into either the account classification subdivisions specified on Form 1-FR-FCM or categories that are in accord with generally accepted accounting principles as applicable. Each person so registered shall prepare and keep current such records. (b) Each applicant or registrant must make and keep as a record in accordance with § 1.31 of this chapter formal computations of its adjusted net capital and of its minimum financial requirements pursuant to § 1.17 or § 5.7 of this chapter, or the requirements of the designated self-regulatory organization to which it is subject, as applicable, as of the close of business each month. Such computations must be completed and made available for inspection by any representative of the National Futures Association, in the case of an applicant, or of the Commission or designated self-regulatory organization, if any, in the case of a registrant, within 17 business days after the date for which the computations are made, commencing the first month end after the date the application for registration is filed. | |||||||
| 17:17:1.0.1.1.5.0.7.15 | 17 | Commodity and Securities Exchanges | I | 5 | PART 5—OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS | § 5.15 Unlawful representations. | CFTC | It shall be unlawful for any person registered pursuant to the requirements of this part to represent or imply in any manner whatsoever that such person has been sponsored, recommended or approved, or that its abilities or qualifications have been reviewed or evaluated, by the Commission, the Federal government or any agency thereof. | |||||||
| 17:17:1.0.1.1.5.0.7.16 | 17 | Commodity and Securities Exchanges | I | 5 | PART 5—OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS | § 5.16 Prohibition of guarantees against loss. | CFTC | (a) No retail foreign exchange dealer, futures commission merchant or introducing broker may in any way represent that it will, with respect to any retail foreign exchange transaction in any account carried by a retail foreign exchange dealer or futures commission merchant for or on behalf of any person: (1) Guarantee such person against loss; (2) Limit the loss of such person; or (3) Not call for or attempt to collect security deposits, margin, or other deposits as established for retail forex customers. (b) No person may in any way represent that a retail foreign exchange dealer, futures commission merchant or introducing broker will engage in any of the acts or practices described in paragraph (a) of this section. (c) This section shall not be construed to prevent a retail foreign exchange dealer, futures commission merchant or introducing broker from assuming or sharing in the losses resulting from an error or mishandling of an order. (d) This section shall not affect any guarantee entered into prior to October 18, 2010, but this section shall apply to any extension, modification or renewal thereof entered into after such date. | |||||||
| 17:17:1.0.1.1.5.0.7.17 | 17 | Commodity and Securities Exchanges | I | 5 | PART 5—OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS | § 5.17 Authorization to trade. | CFTC | No retail foreign exchange dealer, futures commission merchant, introducing broker or any of their associated persons may directly or indirectly effect a retail forex transaction for the account of any customer unless before the transaction the customer, or person designated by the customer to control the account specifically authorized the retail foreign exchange dealer, futures commission merchant, introducing broker or any of their associated persons to effect the transaction. A transaction is “specifically authorized” if the customer or person designated by the customer to control the account specifies: (a) The precise retail forex transaction to be effected; (b) The exact amount of the foreign currency to be purchased or sold; and (c) In the case of an option, the identity of the foreign currency or contract that underlies the option. | |||||||
| 17:17:1.0.1.1.5.0.7.18 | 17 | Commodity and Securities Exchanges | I | 5 | PART 5—OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS | § 5.18 Trading and operational standards. | CFTC | [75 FR 55432, Sept. 10, 2010, as amended at 76 FR 56106, Sept. 12, 2011] | (a) For purposes of this section: (1) The term retail forex counterparty includes, as appropriate: (i) A retail foreign exchange dealer as defined in § 5.1 of this part; (ii) A futures commission merchant as defined in section 1a(28) of the Act; and (iii) An affiliated person of a futures commission merchant as defined in § 5.1 of this part. (2) The term related person when used in reference to a retail forex counterparty means any general partner, officer, director, owner of more than ten percent of the equity interest, associated person or employee of the retail forex counterparty, and any relative or spouse of any of the foregoing persons, or any relative of such spouse, who shares the same home as any of the foregoing persons. (b) Prior to engaging in a retail forex transaction, each retail forex counterparty shall, at a minimum, establish and enforce internal rules, procedures and controls to: (1) Ensure, to the extent possible, that each order received from a retail forex customer which order is executable at or near the price that the retail forex counterparty has quoted to the customer is entered for execution before any order in any retail forex transaction for any proprietary account, any other account in which a related person of the retail forex counterparty has an interest, or any account for which such a related person may originate orders without the prior specific consent of the account owner (if such related person has gained knowledge of the retail forex customer's order prior to the transmission of an order for a proprietary account), an account in which such a related person has an interest, or an account in which such a related person may originate orders without the prior specific consent of the account owner; and (2) Prevent related persons of forex counterparties from placing orders, directly or indirectly, with another person in a manner designed to circumvent the provisions of paragraph (b)(1) of this section; (3) Fairly and objectively establish settlement prices for retail… | ||||||
| 17:17:1.0.1.1.5.0.7.19 | 17 | Commodity and Securities Exchanges | I | 5 | PART 5—OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS | § 5.19 Pending legal proceedings. | CFTC | (a) Every retail foreign exchange dealer or futures commission merchant and each CPO, CTA or IB subject to this part 5 shall submit to the Commission copies of any dispositive or partially dispositive decision for which a notice of appeal has been filed, the notice of appeal and such further documents as the Commission may thereafter request filed in any material legal proceeding to which the retail foreign exchange dealer, futures commission merchant, CPO, CTA or IB is a party or to which its property or assets is subject with respect to retail forex transactions. (b) Every retail foreign exchange dealer or futures commission merchant and each CPO, CTA or IB subject to this part 5 shall submit to the Commission copies of any dispositive or partially dispositive decision concerning which a notice of appeal has been filed, the notice of appeal, and such further documents as the Commission may thereafter request filed in any material legal proceeding instituted against any person who is a principal of the retail foreign exchange dealer, futures commission merchant CPO, CTA or IB (as the term “principal” is defined in § 3.1(a) of this chapter) arising from conduct in such person's capacity as a principal of the retail foreign exchange dealer, futures commission merchant, CPO, CTA or IB and alleging violations, with regard to retail forex transactions, of: (1) The Act or any rule, regulation, or order thereunder; or (2) Provisions of state law relating to a duty or obligation owed by such a principal. (c) All documents required by this section to be submitted to the Commission shall be mailed via first-class or submitted by other more expeditious means to the Commission's headquarters office in Washington, DC, Attention: Director, Division of Enforcement. All documents required by this section to be submitted to the Commission as to matters pending on October 18, 2010 shall be mailed to the Commission within 45 days of that effective date. Thereafter, all decisions and notices of appeal required to be submitted b… | |||||||
| 17:17:1.0.1.1.5.0.7.2 | 17 | Commodity and Securities Exchanges | I | 5 | PART 5—OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS | § 5.2 Prohibited transactions. | CFTC | (a) Scope. The provisions of this section shall be applicable to any retail forex transaction. (b) Fraudulent conduct prohibited. It shall be unlawful for any person, by use of the mails or by any means or instrumentality of interstate commerce, directly or indirectly, in or in connection with any retail forex transaction: (1) To cheat or defraud or attempt to cheat or defraud any person; (2) Willfully to make or cause to be made to any person any false report or statement or cause to be entered for any person any false record; or (3) Willfully to deceive or attempt to deceive any person by any means whatsoever. (c) Acting as counterparty and exercising discretion prohibited. (1) No person who acts as the counterparty for any retail forex transaction may do so for an account for which the person or any affiliate of the person is authorized (by contract, power of attorney or otherwise) to cause transactions to be effected without the client's specific authorization. (2) For purposes of this paragraph (c), an “affiliate” of a person means a person controlling, controlled by or under common control with, the first person. | |||||||
| 17:17:1.0.1.1.5.0.7.20 | 17 | Commodity and Securities Exchanges | I | 5 | PART 5—OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS | § 5.20 Special calls for account and transaction information. | CFTC | [75 FR 55432, Sept. 10, 2010, as amended at 78 FR 22419, Apr. 16, 2013; 82 FR 28767, June 26, 2017; 89 FR 71807, Sept. 4, 2024] | (a) Preparation and transmission of information upon special call. All information required upon special call shall be prepared in such form and manner and in accordance with such instructions, and shall be transmitted at such time and to such office of the Commission, as may be specified in the call. (b) Special calls for information on controlled accounts from retail foreign exchange dealers, futures commission merchants and introducing brokers. Upon call by the Commission, each retail foreign exchange dealer, futures commission merchant and introducing broker shall file with the Commission the names and addresses of all persons who, by power of attorney or otherwise, exercise trading control over any customer's account in retail forex transactions. (c) Special calls for information on open transactions in accounts carried or introduced by retail foreign exchange dealers, futures commission merchants, and introducing brokers. Upon special call by the Commission for information relating to retail forex transactions held or introduced on the dates specified in the call, each retail foreign exchange dealer, futures commission merchant, or introducing broker shall furnish to the Commission the following information concerning accounts of traders owning or controlling such retail forex transaction positions, as may be specified in the call: (1) The name, address, and telephone number of the person for whom each account is carried; (2) The principal business or occupation of the person for whom each account is introduced or carried, as specified in the call; (3) The name, address and principal business or occupation of any person who controls the trading of each account; (4) The name and address of any person having a financial interest of ten percent or more in each account; (5) The number of open retail forex transaction positions introduced or carried in each account, as specified in the call; and (6) The total number of retail forex transactions against which delivery has been made. (d) Delegation… | ||||||
| 17:17:1.0.1.1.5.0.7.21 | 17 | Commodity and Securities Exchanges | I | 5 | PART 5—OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS | § 5.21 Supervision. | CFTC | Each Commission registrant subject to this part 5, except an associated person who has no supervisory duties, must diligently supervise the handling by its partners, officers, employees and agents (or persons occupying a similar status or performing a similar function) of all retail forex accounts carried, operated, advised or introduced by the registrant and all other activities of its partners, officers, employees and agents (or persons occupying a similar status or performing a similar function) relating to its business as a Commission registrant. | |||||||
| 17:17:1.0.1.1.5.0.7.22 | 17 | Commodity and Securities Exchanges | I | 5 | PART 5—OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS | § 5.22 Registered futures association membership. | CFTC | (a) Each person registered as a retail foreign exchange dealer must become and remain a member of at least one futures association that is registered under section 17 of the Act and that provides for the membership therein of such retail foreign exchange dealer. (b) Each person required to register as: (1) An introducing broker, because the person solicits or accepts orders for retail forex transactions; (2) A commodity pool operator because the person operates, or solicits funds, securities, or property for, a pooled investment vehicle that engages in retail forex transactions; or (3) A commodity trading advisor because the person exercises discretionary trading authority, or obtains written authorization to exercise discretionary trading authority over, an account in connection with retail forex transactions, must become and remain a member of at least one futures association that is registered under section 17 of the Act and that provides for the membership therein of such person. | |||||||
| 17:17:1.0.1.1.5.0.7.23 | 17 | Commodity and Securities Exchanges | I | 5 | PART 5—OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS | § 5.23 Notice of bulk transfers and bulk liquidations. | CFTC | [75 FR 55432, Sept. 10, 2010, as amended at 78 FR 22419, Apr. 16, 2013; 89 FR 71807, Sept. 4, 2024] | (a) Notice and disclosure to retail forex customers of a bulk transfer. (1) A retail foreign exchange dealer, futures commission merchant or introducing broker must obtain the written prior and specific consent of its retail forex customer to the assignment of any position or transfer of any account of the retail forex customer to another retail foreign exchange dealer, futures commission merchant or introducing broker, unless made at the retail forex customer's request. (2) Absent a request of the retail forex customer or the consent described in paragraph (a)(1) of this section, assignments of positions and transfers of accounts of retail forex customers may be permitted under rules of the retail forex dealer's, futures commission merchant's, or introducing broker's designated self-regulatory organization that establish notice and other requirements with respect to the assignment of positions and transfers of accounts of retail forex customers. If such rules permit implied consent as a result of the failure of the retail forex customer to object after having received notice of the proposed assignment or transfer, such rules must provide that the notice must include a statement that the retail forex customer is not required to accept the proposed assignment or transfer and may direct the transferor firm to liquidate the positions of the retail forex customer or transfer the account to a firm of the retail forex customer's selection. (3) For assignments and transfers made under this section, other than at the retail forex customer's request, the transferee retail foreign exchange dealer, futures commission merchant or introducing broker must provide to the retail forex customer the risk disclosure statements and forms of acknowledgment required by part 5 of this chapter and receive the required signed acknowledgments within sixty days of such assignments or transfers. This requirement shall not apply: (i) If the transferee retail foreign exchange dealer, futures commission merchant or introducing broker has … | ||||||
| 17:17:1.0.1.1.5.0.7.24 | 17 | Commodity and Securities Exchanges | I | 5 | PART 5—OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS | § 5.24 Applicability of other parts of this chapter | CFTC | Insofar as it is consistent with the requirements of this part, all other provisions of this chapter that apply to a person shall apply to such person as though such provisions were expressly set forth in this part. | |||||||
| 17:17:1.0.1.1.5.0.7.25 | 17 | Commodity and Securities Exchanges | I | 5 | PART 5—OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS | § 5.25 Applicability of the Act. | CFTC | Except as otherwise specified in this part and unless the context otherwise requires, the provisions of Sections 4b, 4c(b), 4f, 4g, 4k, 4m, 4n, 4o, 6(c)-(e), 6b, 6c, 8(a)-(e), 8a and 12(f) of the Act shall apply to retail forex transactions that are subject to the requirements of this part as though such provisions were set forth herein and included specific references to retail forex transactions and the persons defined in § 5.1 of this part. | |||||||
| 17:17:1.0.1.1.5.0.7.3 | 17 | Commodity and Securities Exchanges | I | 5 | PART 5—OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS | § 5.3 Registration of persons engaged in retail forex transactions. | CFTC | [75 FR 55432, Sept. 10, 2010, as amended at 76 FR 56106, Sept. 12, 2011] | (a) Subject to paragraph (b) of this section, each of the following is subject to the registration provisions under the Act and to part 3 of this chapter: (1)(i) Any affiliated person of a futures commission merchant, as defined in § 5.1(a) of this part, which affiliated person: (A) Solicits or accepts orders from any person that is not an eligible contract participant in connection with any retail forex transaction; or (B) Accepts money, securities, or property (or extends credit in lieu thereof) in connection with such solicitation or acceptance of orders in order to engage in any retail forex transaction, is required to register as a retail foreign exchange dealer; and (ii) Any associated person of an affiliated person of a futures commission merchant, as defined in § 5.1(c) of this part, is required to register as an associated person of an affiliated person of a futures commission merchant. (2)(i) Any commodity pool operator, as defined in § 5.1(d)(1) of this part, is required to register as a commodity pool operator; (ii) Any associated person of a commodity pool operator, as defined in § 5.1(d)(2) of this part, is required to register as an associated person of a commodity pool operator; (3)(i) Any commodity trading advisor, as defined in § 5.1(e)(1) of this part, is required to register as a commodity trading advisor; (ii) Any associated person of a commodity trading advisor, as defined in § 5.1(e)(2) of this part, is required to register as an associated person of a commodity trading advisor; (4)(i) Any person registered as a futures commission merchant: (A) That is not primarily or substantially engaged in the business activities described in section 1a(28)(A)(i)(I)(aa)(AA) of the Act and section 1a(28)(A)(i)(II) of the Act insofar as that section references the activities described in section 1a(28)(A)(i)(I)(aa)(AA); (B) That solicits or accepts orders from any person that is not an eligible contract participant in connection with any retail forex transaction; and (C) That accepts money, se… | ||||||
| 17:17:1.0.1.1.5.0.7.4 | 17 | Commodity and Securities Exchanges | I | 5 | PART 5—OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS | § 5.4 Applicability of part 4 of this chapter to commodity pool operators and commodity trading advisors. | CFTC | Part 4 of this chapter applies to any person required pursuant to the provisions of this part 5 to register as a commodity pool operator or as a commodity trading advisor. Failure by any such person to comply with the requirements of part 4 will constitute a violation of this section and the relevant section of part 4. | |||||||
| 17:17:1.0.1.1.5.0.7.5 | 17 | Commodity and Securities Exchanges | I | 5 | PART 5—OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS | § 5.5 Distribution of “Risk Disclosure Statement” by retail foreign exchange dealers, futures commission merchants and introducing brokers regarding retail forex transactions. | CFTC | [75 FR 55432, Sept. 10, 2010, as amended at 83 FR 7996, Feb. 23, 2018] | (a) Except as provided in § 5.23 of this part, no retail foreign exchange dealer, futures commission merchant, or in the case of an introduced account no introducing broker, may open an account that will engage in retail forex transactions for a retail forex customer, unless the retail foreign exchange dealer, futures commission merchant or introducing broker first: (1)(i) In the case of a retail foreign exchange dealer or a person required to register as an introducing broker solely by reason of this part, furnishes the retail forex customer with a separate written disclosure statement containing only the language set forth in paragraph (b) of this section and the disclosure required by paragraph (e) of this section; (ii) In the case of a futures commission merchant or a person required to register as an introducing broker because it engages in the activities described in § 1.3 of this chapter, furnishes the retail forex customer with a separate written disclosure statement containing only the language set forth in paragraph (b) of this section and the disclosure required by paragraph (e) of this section; Provided, however, that the disclosure statement may be attached to other documents as the initial page(s) of such documents and as the only material on such page(s); and (2) Receives from the retail forex customer an acknowledgment signed and dated by the retail forex customer that he received and understood the disclosure statement. (b) The language set forth in the written disclosure statement required by paragraph (a) of this section shall be as follows: RISK DISCLOSURE STATEMENT OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS INVOLVE THE LEVERAGED TRADING OF CONTRACTS DENOMINATED IN FOREIGN CURRENCY CONDUCTED WITH A FUTURES COMMISSION MERCHANT OR A RETAIL FOREIGN EXCHANGE DEALER AS YOUR COUNTERPARTY. BECAUSE OF THE LEVERAGE AND THE OTHER RISKS DISCLOSED HERE, YOU CAN RAPIDLY LOSE ALL OF THE FUNDS YOU DEPOSIT FOR SUCH TRADING AND YOU MAY LOSE MORE THAN YOU DEPOSIT. YOU SHOULD BE AWARE OF AND CAREFUL… | ||||||
| 17:17:1.0.1.1.5.0.7.6 | 17 | Commodity and Securities Exchanges | I | 5 | PART 5—OFF-EXCHANGE FOREIGN CURRENCY TRANSACTIONS | § 5.6 Maintenance of minimum financial requirements by retail foreign exchange dealers and futures commission merchants offering or engaging in retail forex transactions. | CFTC | [75 FR 55432, Sept. 10, 2010, as amended at 78 FR 22419, Apr. 16, 2013; 89 FR 71807, Sept. 4, 2024] | (a) Each futures commission merchant offering or engaging in retail forex transactions or who files an application for registration as a futures commission merchant that will offer or engage in retail forex transactions and each person registered as a retail foreign exchange dealer or who files an application for registration as a retail foreign exchange dealer, who knows or should have known that its adjusted net capital at any time is less than the minimum required by § 5.7 of this part or by the capital rule of a registered futures association of which it is a member, must: (1) Give telephonic notice, to be confirmed in writing by facsimile notice, that the applicant's or registrant's adjusted net capital is less than that required by § 5.7 of this part. The notice must be given immediately after the applicant or registrant knows or should know that its adjusted net capital is less than that required by any of the aforesaid rules to which the applicant or registrant is subject; and (2) Provide together with such notice documentation in such form as necessary to adequately reflect the applicant's or registrant's capital condition as of any date such person's adjusted net capital is less than the minimum required. The applicant or registrant must provide similar documentation for other days as the Commission may request. (b) Each applicant or registrant, who knows or should have known that its adjusted net capital at any time is less than the greatest of: (1) $22,000,000; (2) 110 percent of the amount required by § 5.7(a)(1)(i)(B) of this part; or (3) 110 percent of the amount of adjusted net capital required by a registered futures association of which the futures commission merchant or retail foreign exchange dealer is a member, must file written notice to that effect within 24 hours of such event. (c) If an applicant or registrant at any time fails to make or keep current the books and records required by these regulations, such applicant or registrant must, on the same day such event occurs, provide f… |
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