openregs: cfr_sections: 657 rows where part_number = 97 sorted by section

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section_id ▼	title_number	title_name	chapter	subchapter	part_number	part_name	subpart	subpart_name	section_heading	agency	amendment_citations	full_text
14:14:2.0.1.3.15.1.9.1	14	Aeronautics and Space	I	F	97	PART 97—STANDARD INSTRUMENT PROCEDURES	A	Subpart A—General	§ 97.1 Applicability.	FAA	[Docket FAA-2002-14002, 72 FR 31679, June 7, 2007, as amended by FAA-2023-1275, Amdt. 97-1340, 89 FR 92486, Nov. 21, 2024]	(a) This part prescribes standard instrument approach procedures to civil airports in the United States and the weather minimums that apply to landings under IFR at those airports. (b) This part also prescribes obstacle departure procedures (ODPs) for certain civil airports in the United States and the weather minimums that apply to takeoffs under IFR at civil airports in the United States. (c) Additional applicability of copter procedures for powered-lift is set forth in part 194 of this chapter.
14:14:2.0.1.3.15.1.9.2	14	Aeronautics and Space	I	F	97	PART 97—STANDARD INSTRUMENT PROCEDURES	A	Subpart A—General	§ 97.3 Symbols and terms used in procedures.	FAA	[Docket FAA-2002-14002, 72 FR 31679, June 7, 2007]	As used in the standard instrument procedures prescribed in this part— Aircraft approach category means a grouping of aircraft based on a speed of VREF, if specified, or if VREF is not specified, 1.3 V so at the maximum certificated landing weight. VREF, V so , and the maximum certificated landing weight are those values as established for the aircraft by the certification authority of the country of registry. The categories are as follows— (1) Category A: Speed less than 91 knots. (2) Category B: Speed 91 knots or more but less than 121 knots. (3) Category C: Speed 121 knots or more but less than 141 knots. (4) Category D: Speed 141 knots or more but less than 166 knots. (5) Category E: Speed 166 knots or more. Approach procedure segments for which altitudes (minimum altitudes, unless otherwise specified) and paths are prescribed in procedures, are as follows— (1) Initial approach is the segment between the initial approach fix and the intermediate fix or the point where the aircraft is established on the intermediate course or final approach course. (2) Initial approach altitude is the altitude (or altitudes, in high altitude procedure) prescribed for the initial approach segment of an instrument approach. (3) Intermediate approach is the segment between the intermediate fix or point and the final approach fix. (4) Final approach is the segment between the final approach fix or point and the runway, airport, or missed approach point. (5) Missed approach is the segment between the missed approach point, or point of arrival at decision altitude or decision height (DA/DH), and the missed approach fix at the prescribed altitude. Ceiling means the minimum ceiling, expressed in feet above the airport elevation, required for takeoff or required for designating an airport as an alternate airport. Copter procedures means helicopter procedures, with applicable minimums as prescribed in § 97.35. Helicopters may also use other procedures prescribed in subpart C of this part and may use the Category A min…
14:14:2.0.1.3.15.1.9.3	14	Aeronautics and Space	I	F	97	PART 97—STANDARD INSTRUMENT PROCEDURES	A	Subpart A—General	§ 97.5 Bearings, courses, tracks, headings, radials, miles.	FAA	[Docket 561, 32 FR 13912, Oct. 6, 1967, as amended by Amdt. 97-1336, 72 FR 31680, June 7, 2007]	(a) All bearings, courses, tracks, headings, and radials in this part are magnetic, unless otherwise designated. (b) RVR values are stated in feet. Other visibility values are stated in statute miles. All other mileages are stated in nautical miles.
14:14:2.0.1.3.15.2.9.1	14	Aeronautics and Space	I	F	97	PART 97—STANDARD INSTRUMENT PROCEDURES	B	Subpart B—Procedures	§ 97.10 [Reserved]	FAA
14:14:2.0.1.3.15.3.9.1	14	Aeronautics and Space	I	F	97	PART 97—STANDARD INSTRUMENT PROCEDURES	C	Subpart C—TERPS Procedures	§ 97.20 General.	FAA	[Docket FAA-2002-14002, 72 FR 31680, June 7, 2007, as amended by Docket FAA-2018-0119, Amdt. 97-1338, 83 FR 9172, Mar. 5, 2018; Docket FAA-2022-1355, Amdt. 97-1339, 87 FR 75846, Dec. 9, 2022]	(a) This subpart prescribes standard instrument approach procedures and takeoff minimums and obstacle departure procedures (ODPs) based on the criteria contained in FAA Order 8260.3, U.S. Standard for Terminal Instrument Procedures (TERPs), and other related Orders in the 8260 series that also address instrument procedure design criteria. (b) Standard instrument approach procedures and associated supporting data adopted by the FAA are documented on FAA Forms 8260-3, 8260-4, 8260-5. Takeoff minimums and obstacle departure procedures (ODPs) are documented on FAA Form 8260-15A. These forms are incorporated by reference. The Director of the Federal Register approved this incorporation by reference pursuant to 5 U.S.C. 552(a) and 1 CFR part 51. The standard instrument approach procedures and takeoff minimums and obstacle departure procedures (ODPs) are available for examination at the U.S. Department of Transportation, Docket Operations, 1200 New Jersey Avenue SE, West Building Ground Floor, Room W12-140, Washington, DC 20590, and at Aeronautical Information Services, 1305 East-West Highway, Silver Spring, MD 20910, or at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, email: fedreg.legal@nara.gov , or go to http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html. (c) Standard instrument approach procedures and takeoff minimums and obstacle departure procedures (ODPs) are depicted on aeronautical charts published by the FAA. These charts are available from the FAA at https://www.faa.gov/air_traffic/flight_info/aeronav/digital_products/.
28:28:2.0.1.1.41.0.31.1	28	Judicial Administration	I		97	PART 97—STANDARDS FOR PRIVATE ENTITIES PROVIDING PRISONER OR DETAINEE SERVICES			§ 97.1 Purpose.	DOJ		This part implements the provisions of The Interstate Transportation of Dangerous Criminals Act of 2000, Public Law 106-560, 114 Stat. 2784 (42 U.S.C. 13726b) (enacted December 21, 2000) (“the Act”), to provide minimum security and safety standards for private companies that transport violent prisoners on behalf of State and local jurisdictions.
28:28:2.0.1.1.41.0.31.10	28	Judicial Administration	I		97	PART 97—STANDARDS FOR PRIVATE ENTITIES PROVIDING PRISONER OR DETAINEE SERVICES			§ 97.18 Notification of local law enforcement prior to scheduled stops.	DOJ		When transporting violent prisoners, private prisoner transport companies are required to notify local law enforcement officials 24 hours in advance of any scheduled stops in their jurisdiction. For the purposes of this part, a scheduled stop is defined as a predetermined stop at a State, local, or private correctional facility for the purpose of loading or unloading prisoners or using such facilities for overnight, meal, or restroom breaks. Scheduled stops do not include routine fuel stops or emergency stops.
28:28:2.0.1.1.41.0.31.11	28	Judicial Administration	I		97	PART 97—STANDARDS FOR PRIVATE ENTITIES PROVIDING PRISONER OR DETAINEE SERVICES			§ 97.19 Immediate notification of local law enforcement in the event of an escape.	DOJ		Private prisoner transport companies must be sufficiently equipped to provide immediate notification to law enforcement in the event of a prisoner escape. Law enforcement officials must receive notification no later than 15 minutes after an escape is detected unless the company can demonstrate that extenuating circumstances necessitated a longer delay. In the event of the escape of a violent prisoner, a private prisoner transport company must: (a) Ensure the safety and security of the remaining prisoners; (b) Provide notification within 15 minutes to the appropriate State and local law enforcement officials; (c) Provide notification as soon as practicable to the governmental entity or the privately run incarceration facility that contracted with the transport company; and (d) Provide complete descriptions of the escapee and the circumstances surrounding the escape to State and local law enforcement officials if needed.
28:28:2.0.1.1.41.0.31.12	28	Judicial Administration	I		97	PART 97—STANDARDS FOR PRIVATE ENTITIES PROVIDING PRISONER OR DETAINEE SERVICES			§ 97.20 Standards to ensure the safety of violent prisoners during transport.	DOJ		Companies covered under this section must comply with applicable State and federal laws that govern the safety of violent prisoners during transport. In addition, companies covered under this section are to ensure that: (a) Protective measures are in place to ensure that all vehicles are safe and well-maintained; (b) Vehicles are equipped with efficient communications systems that are capable of immediately notifying State and local law enforcement officials in the event of a prisoner escape; (c) Policies, practices, and procedures are in effect to ensure the health and physical safety of the prisoners during transport, including a first-aid kit and employees who are qualified to dispense medications and administer CPR and emergency first-aid; (d) Policies, practices, and procedures are in effect to prohibit the mistreatment of prisoners, including prohibitions against covering a prisoner's mouth with tape, the use of excessive force, and sexual misconduct; (e) Policies, practices, and procedures are in effect to ensure that juvenile prisoners are separated from adult prisoners during transportation, where practicable; (f) Policies, practices, and procedures are in effect to ensure that female prisoners are separated from male prisoners during transportation, where practicable; (g) Policies, practices, and procedures are in effect to ensure that female guards are on duty to supervise the transportation of female violent prisoners, where practicable; (h) Staff are well trained in the handling and restraint of prisoners, including the proper use of firearms and other restraint devices, and have received specialized training in the area of sexual harassment; and (i) Private transport companies are responsible for taking reasonable measures to insure the well being of the prisoners in their custody including, but not limited to, necessary stops for restroom use and meals, proper heating and ventilation of the transport vehicle, climate-appropriate uniforms, and prohibitions on the use of tobacco, in any form…
28:28:2.0.1.1.41.0.31.13	28	Judicial Administration	I		97	PART 97—STANDARDS FOR PRIVATE ENTITIES PROVIDING PRISONER OR DETAINEE SERVICES			§ 97.22 No pre-emption of federal, State, or local laws or regulations.	DOJ		The regulations in this part implement the Act and do not pre-empt any applicable federal, State, or local law that may impose additional obligations on private prisoner transport companies or otherwise regulate the transportation of violent prisoners. All federal laws and regulations governing interstate commerce will continue to apply to private prisoner transport companies including, but not limited to: federal laws regulating the possession of weapons, Federal Aviation Administration or Transportation Security Administration rules and regulations governing travel on commercial aircraft, and all applicable federal, State, or local motor carrier regulations. The regulations in this part in no way pre-empt, displace, or affect the authority of States, local governments, or other federal agencies to address these issues.
28:28:2.0.1.1.41.0.31.14	28	Judicial Administration	I		97	PART 97—STANDARDS FOR PRIVATE ENTITIES PROVIDING PRISONER OR DETAINEE SERVICES			§ 97.24 No civil defense created.	DOJ		The regulations in this part on private prisoner transport companies are not intended to create a defense to any civil action, whether initiated by a unit of government or any other party. Compliance with the regulations in this part is not intended to and does not establish a defense against an allegation of negligence or breach of contract. Regardless of whether a contractual agreement establishes minimum precautions, the companies affected by the regulations in this part will remain subject to the standards of care that are imposed by constitutional, statutory, and common law upon their activities (or other activities of a similarly hazardous nature).
28:28:2.0.1.1.41.0.31.15	28	Judicial Administration	I		97	PART 97—STANDARDS FOR PRIVATE ENTITIES PROVIDING PRISONER OR DETAINEE SERVICES			§ 97.30 Enforcement.	DOJ		Any person who is found in violation of the regulations in this part will: (a) Be liable to the United States for a civil penalty in an amount not to exceed $10,000 for each violation; (b) Be liable to the United States for the costs of prosecution; and (c) Make restitution to any entity of the United States, of a State, or of an inferior political subdivision of a State, that expends funds for the purpose of apprehending any violent prisoner who escapes from a prisoner transport company as the result, in whole or in part, of a violation of the regulations in this part promulgated pursuant to the Act.
28:28:2.0.1.1.41.0.31.2	28	Judicial Administration	I		97	PART 97—STANDARDS FOR PRIVATE ENTITIES PROVIDING PRISONER OR DETAINEE SERVICES			§ 97.2 Definitions.	DOJ		(a) Crime of violence. The term “crime of violence” has the same meaning as in section 924(c)(3) of title 18, United States Code. Section 924(c)(3) states that the term crime of violence means an offense that is a felony and has as an element the use, attempted use, or threatened use of physical force against the person or property of another, or that by its nature, involves a substantial risk that physical force against the person or property of another may be used in the course of committing the offense. (b) Private prisoner transport company. The term “private prisoner transport company” (“company”) means any entity, other than the United States, a State, or an inferior political subdivision of a State, that engages in the business of transporting for compensation individuals committed to the custody of any State or of an inferior political subdivision of a State, or any attempt thereof. (c) Violent prisoner. The term “violent prisoner” means any individual in the custody of a State or an inferior political subdivision of a State who has previously been convicted of or is currently charged with a crime of violence or any similar statute of a State or the inferior political subdivisions of a State, or any attempt thereof.
28:28:2.0.1.1.41.0.31.3	28	Judicial Administration	I		97	PART 97—STANDARDS FOR PRIVATE ENTITIES PROVIDING PRISONER OR DETAINEE SERVICES			§ 97.11 Pre-employment screening.	DOJ		Private prisoner transport companies must adopt pre-employment screening measures for all potential employees. The pre-employment screening measures must include a background check and a test for use of controlled substances. The failure of a potential employee to pass either screening measure will act as a bar to employment. (a) Background checks must include: (1) A fingerprint-based criminal background check that disqualifies persons with either a prior felony conviction or a State or Federal conviction for a misdemeanor crime of domestic violence as defined in 18 U.S.C. 921; (2) A Credit Report check; (3) A physical examination; and (4) A personal interview. (b) Testing for controlled substances. (1) Pre-employment testing for controlled substances must be in accordance with applicable State law. (2) In the event that there is no applicable State law, pre-employment testing for controlled substances must be in accordance with the provisions of Department of Transportation regulations at 49 CFR 382.301 which will apply regardless of whether a private prisoner transport company is covered by Department of Transportation regulations. (c) The criminal background check references in paragraph (a)(1) of this section may not be submitted directly to the FBI or any other Federal agency. The private prisoner transport companies must arrange the procedures for accomplishing the criminal background checks with their contracting governmental agencies. In the event that the private prisoner transport company is contracting with a privately run incarceration facility, and not directly with a governmental entity, the private prisoner transport company will have to make arrangements through the private incarceration facility to have the checks completed by the governmental entity ultimately requesting the transport.
28:28:2.0.1.1.41.0.31.4	28	Judicial Administration	I		97	PART 97—STANDARDS FOR PRIVATE ENTITIES PROVIDING PRISONER OR DETAINEE SERVICES			§ 97.12 Employee training.	DOJ		Private prisoner transport companies must require the completion of a minimum of 100 hours of employee training before an employee may transport violent prisoners. Training must include instruction in each of these six areas: (a) Use of restraints; (b) Searches of prisoners; (c) Use of force, including use of appropriate weapons and firearms; (d) Cardiopulmonary resuscitation (CPR); (e) Map reading; and (f) Defensive driving.
28:28:2.0.1.1.41.0.31.5	28	Judicial Administration	I		97	PART 97—STANDARDS FOR PRIVATE ENTITIES PROVIDING PRISONER OR DETAINEE SERVICES			§ 97.13 Maximum driving time.	DOJ		Companies covered under this part must adhere to the maximum driving time provisions applicable to commercial motor vehicle operators, as set forth in Department of Transportation regulations at 49 CFR 395.3 which will apply regardless of whether a private prisoner transport company is covered by Department of Transportation regulations.
28:28:2.0.1.1.41.0.31.6	28	Judicial Administration	I		97	PART 97—STANDARDS FOR PRIVATE ENTITIES PROVIDING PRISONER OR DETAINEE SERVICES			§ 97.14 Guard-to-prisoner ratio.	DOJ		Companies covered under this part must adhere to certain minimum standards with respect to the number of employees required to monitor violent prisoners during transportation. Private prisoner transport companies must ensure that at least one guard be on duty for every six violent prisoners transported. This requirement does not preclude a contracting entity from establishing more stringent guard-to-prisoner ratios.
28:28:2.0.1.1.41.0.31.7	28	Judicial Administration	I		97	PART 97—STANDARDS FOR PRIVATE ENTITIES PROVIDING PRISONER OR DETAINEE SERVICES			§ 97.15 Employee uniforms and identification.	DOJ		(a) Employee uniforms. Uniforms used by private prisoner transport companies must meet the following requirements: (1) Uniforms must be readily distinguishable in style and color from official uniforms worn by United States Department of Justice employees who transport violent offenders; (2) Uniforms must prominently feature a badge or insignia that identifies the employee as a prisoner transportation employee; and (3) Uniforms must be worn at all times while the employee is engaged in the transportation of violent prisoners. (b) Employee identification. Identification utilized by private prisoner transport companies must meet the following requirements: (1) The identification credentials must clearly identify the employee as a transportation employee. The credentials must have a photograph of the employee that is at least one inch square, a printed personal description of the employee including the employee's name, the signature of the employee, and date of issuance; and (2) The employee must display proper identification credentials on his or her uniform and ensure that the identification is visible at all times during the transportation of violent prisoners.
28:28:2.0.1.1.41.0.31.8	28	Judicial Administration	I		97	PART 97—STANDARDS FOR PRIVATE ENTITIES PROVIDING PRISONER OR DETAINEE SERVICES			§ 97.16 Clothing requirements for transported violent prisoners.	DOJ		Companies covered under this part must ensure that all violent prisoners they transport are clothed in brightly colored clothing that clearly identifies them as violent prisoners, unless security or other specific considerations make such a requirement inappropriate.
28:28:2.0.1.1.41.0.31.9	28	Judicial Administration	I		97	PART 97—STANDARDS FOR PRIVATE ENTITIES PROVIDING PRISONER OR DETAINEE SERVICES			§ 97.17 Mandatory restraints to be used while transporting violent prisoners.	DOJ		Companies covered under this part must, at a minimum, require that violent prisoners be transported wearing handcuffs, leg irons, and waist chains unless the use of all three restraints would create a serious health risk to the prisoner, or extenuating circumstances (such as pregnancy or physical disability) make the use of all three restraints impracticable.
33:33:1.0.1.6.48.1.26.1	33	Navigation and Navigable Waters	I	F	97	PART 97—RULES FOR THE SAFE OPERATION OF VESSELS, STOWAGE AND SECURING OF CARGOES	A	Subpart A—Cargo Securing Manuals	§ 97.100 Applicability—Electronic documentation.	USCG		(a) This subpart applies to— (1) A self-propelled cargo vessel of 500 gross tons or more, on an international voyage, that must comply with Chapter VI/5.6 or Chapter VII/5 of the International Convention for the Safety of Life at Sea, 1974 as amended (SOLAS), that does not solely carry liquid or solid cargoes in bulk, and that is either a U.S.-flagged self-propelled cargo vessel, or a foreign-flagged self-propelled cargo vessel that is operating in waters subject to the jurisdiction of the United States; (2) A U.S.-flagged self-propelled cargo vessel that chooses to have this subpart applied to it by submitting a cargo securing manual for approval in accordance with § 97.200(a)(3); (3) A foreign-flagged self-propelled cargo vessel of 500 gross tons or more on an international voyage from a country that is not a signatory to SOLAS, that would otherwise be required to comply with Chapter VI/5.6 or Chapter VII/5 of SOLAS, that does not solely carry liquid or solid cargoes in bulk, and that is operating in waters subject to the jurisdiction of the United States; and (4) Any organization applying to be selected as a cargo securing manual approval authority. (b) This subpart does not apply to a vessel owned by the Maritime Administration that is part of the Ready Reserve Force or the title of which is vested in the United States and which is used for public purposes only. (c) Any manual, letter, request, appeal, or ruling required by this subpart may be provided or submitted in electronic form or in printed form.
33:33:1.0.1.6.48.1.26.10	33	Navigation and Navigable Waters	I	F	97	PART 97—RULES FOR THE SAFE OPERATION OF VESSELS, STOWAGE AND SECURING OF CARGOES	A	Subpart A—Cargo Securing Manuals	§§ 97.211-97.299 [Reserved]	USCG
33:33:1.0.1.6.48.1.26.11	33	Navigation and Navigable Waters	I	F	97	PART 97—RULES FOR THE SAFE OPERATION OF VESSELS, STOWAGE AND SECURING OF CARGOES	A	Subpart A—Cargo Securing Manuals	§ 97.300 Authorized cargo securing manual (CSM) approval authorities.	USCG		The following organizations are authorized to act on behalf of the United States for the review and approval of CSMs: (a) Any recognized classification society to which the Coast Guard has delegated issuance of a Cargo Ship Safety Equipment Certificate in accordance with 46 CFR 8.320(b)(4). A list of these organizations can be found at www.uscg.mil/hq/cg5/cg522/cg5222 in the “Summary of Authorizations” link. (b) The National Cargo Bureau, Inc., 17 Battery Place, Suite 1232, New York, NY 10004-1110, 212-785-8300, http://www.natcargo.org.
33:33:1.0.1.6.48.1.26.12	33	Navigation and Navigable Waters	I	F	97	PART 97—RULES FOR THE SAFE OPERATION OF VESSELS, STOWAGE AND SECURING OF CARGOES	A	Subpart A—Cargo Securing Manuals	§ 97.305 Requests for authorization to act as cargo securing manual (CSM) approval authority.	USCG		An organization seeking authorization as a CSM approval authority must make a request to the Commandant for authorization. The request must include, in writing, the items listed in this section or as otherwise specified by the Commandant. (a) A certified copy of the organization's certificate of incorporation or partnership on file with a U.S. State, including the name and address of the organization, with written statements or documents which show that— (1) The organization's owners, managers, and employees are free from influence or control by vessel shipbuilders, owners, operators, lessors, or other related commercial interests as evidenced by past and present business practices; (2) The organization has demonstrated, through other related work, the capability to competently evaluate CSMs for completeness and sufficiency according to the requirements of SOLAS and this part; (3) The organization has an acceptable degree of financial security, based on recent audits by certified public accountants over the last 5 years; and (4) The organization maintains a corporate office in the United States that has adequate resources and staff to support all aspects of CSM review, approval, and recordkeeping. (b) A listing of the names of the organization's principal executives, with titles, telephone, and telefax numbers. (c) A written general description of the organization, covering the ownership, managerial structure, and organization components, including any directly affiliated organizations, and their functions utilized for supporting technical services. (d) A written list of technical services the organization offers. (e) A written general description of the geographical area the organization serves. (f) A written general description of the clients the organization is serving, or intends to serve. (g) A written general description of similar work performed by the organization in the past, noting the amount and extent of such work performed within the previous 3 years. (h) A written listing of the names of…
33:33:1.0.1.6.48.1.26.13	33	Navigation and Navigable Waters	I	F	97	PART 97—RULES FOR THE SAFE OPERATION OF VESSELS, STOWAGE AND SECURING OF CARGOES	A	Subpart A—Cargo Securing Manuals	§ 97.310 Criteria for authorization.	USCG		(a) The Commandant will evaluate the organization's request for authorization and supporting written materials, looking for evidence of— (1) The organization's clear assignment of management duties; (2) Ethical standards for managers and cargo securing manual (CSM) reviewers; (3) Procedures for personnel training, qualification, certification, and re-qualification that are consistent with recognized industry standards; (4) Acceptable standards available for the organization's internal auditing and management review; (5) Recordkeeping standards for CSM review and approval; (6) Methods used to review and certify CSMs; (7) Experience and knowledge demonstrating competency to evaluate CSMs for completeness and sufficiency according to the requirements of SOLAS; (8) Methods for handling appeals; and (9) Overall procedures consistent with Res.A.739(18), (incorporated by reference, see § 97.110). (b) After a favorable evaluation of the organization's request, the Commandant may arrange to visit the organization's corporate and port offices for an on-site evaluation of operations. (c) When a request is approved, the organization and the Coast Guard will enter into the written agreement provided for by 33 CFR 97.315. If the request is not approved, the Commandant will give the organization a written explanation, and the organization may resubmit its request if it corrects any noted deficiencies.
33:33:1.0.1.6.48.1.26.14	33	Navigation and Navigable Waters	I	F	97	PART 97—RULES FOR THE SAFE OPERATION OF VESSELS, STOWAGE AND SECURING OF CARGOES	A	Subpart A—Cargo Securing Manuals	§ 97.315 Requirements for authorized approval organizations.	USCG		Approved organizations will enter into a written agreement with the Coast Guard that specifies— (a) The period the authorization is valid; (b) Which duties and responsibilities the organization may perform and what approval letters it may issue on behalf of the U.S.; (c) Reports and information the organization must send to the Commandant; (d) Actions the organization must take to renew the agreement when it expires; and (e) Actions the organization must take if the Commandant revokes authorization pursuant to 33 CFR 97.320.
33:33:1.0.1.6.48.1.26.15	33	Navigation and Navigable Waters	I	F	97	PART 97—RULES FOR THE SAFE OPERATION OF VESSELS, STOWAGE AND SECURING OF CARGOES	A	Subpart A—Cargo Securing Manuals	§ 97.320 Revocation of authorization.	USCG		The Commandant may revoke a cargo securing manual (CSM) approval authority's authorization and remove it from the list of CSM approval authorities if it fails to maintain acceptable standards. For the purposes of 46 CFR subpart 1.03, such a revocation would be treated as involving the recognition of a classification society and could be appealed pursuant to 46 CFR 1.03-15(h)(4). Upon revocation, the former approval authority must send written notice to each vessel owner whose CSM it approved. The notice must include the current list of CSM approval authorities and state— (a) That its authorization as a CSM approval authority has been revoked; (b) The Coast Guard's explanation for the revocation; and (c) That the vessel's CSM remains valid as long as amendments have not been completed which require it to be re-approved pursuant to 33 CFR 97.200 or 97.205.
33:33:1.0.1.6.48.1.26.2	33	Navigation and Navigable Waters	I	F	97	PART 97—RULES FOR THE SAFE OPERATION OF VESSELS, STOWAGE AND SECURING OF CARGOES	A	Subpart A—Cargo Securing Manuals	§ 97.105 Definitions.	USCG		As used in this subpart— Approval authority means a CSM approval authority, as that term is defined in this section. Cargo means the goods or merchandise conveyed in a vessel, and includes, but is not limited to, cargo that can be measured as a “cargo unit” as that term is used in the International Maritime Organization's Code of Safe Practice for Cargo Stowage and Securing, 2003 edition: “a vehicle, container, flat, pallet, portable tank, packaged unit, or any other entity, etc., and loading equipment, or any part thereof, which belongs to the ship but is not fixed to the ship . . .”; but it does not include other vessel equipment or the incidental personal possessions of persons on board the vessel. Cargo safe access plan (CSAP) means a plan included in the cargo securing manual that provides detailed information on safe access for persons engaged in work connected with cargo stowage and securing on ships that are specifically designed and fitted for the purpose of carrying containers. Cargo securing manual (CSM) means an electronic or printed manual developed to meet the requirements of SOLAS and this subpart and that is used by the master of a vessel to properly stow and secure cargoes on the vessel for which it is developed. Cargo securing manual approval authority or CSM approval authority means an organization that meets the requirements of this subpart, and that the Commandant has authorized to conduct certain actions and issue electronic or printed approval letters on behalf of the United States. Captain of the Port (COTP) means the U.S. Coast Guard officer as described in 33 CFR 6.01-3. Commandant, except as otherwise specified, means the Chief, Office of Operating and Environmental Standards, whose address is Commandant (CG-OES), 2703 Martin Luther King, Jr. Avenue SE., Stop 7509, Washington, DC 20593-7509 and whose telephone number is 202-372-1404. Container means an article of transport equipment described in 49 CFR 450.3. Container vessel means a vessel specifically designed and …
33:33:1.0.1.6.48.1.26.3	33	Navigation and Navigable Waters	I	F	97	PART 97—RULES FOR THE SAFE OPERATION OF VESSELS, STOWAGE AND SECURING OF CARGOES	A	Subpart A—Cargo Securing Manuals	§ 97.110 Incorporation by reference.	USCG	[USCG-2000-7080, 81 FR 28014, May 9, 2016, as amended by USCG-2024-1103, 90 FR 52876, Nov. 24, 2025]	(a) Certain material is incorporated by reference into this subpart with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. All approved material is available for inspection by contacting Mr. Douglas Lincoln, of the Coast Guard's Vessel and Facility Operating Standards Division, Commandant (CG-OES-2); telephone 571-613-1069, email Douglas.R.Lincoln3@uscg.mil, and is available from the sources listed below. It is also available for inspection at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, email: fr.inspection@nara.gov, or go to: www.archives.gov/federal-register/cfr/ibr-locations. (b) International Maritime Organization (IMO), Publications Section, 4 Albert Embankment, London, SE1 7SR, United Kingdom, +44(0)20 7735 7611, http://www.imo.org. (1) MSC.1/Circ.1352, Amendments to the Code of Safe Practice for Cargo Stowage and Securing (CSS Code), June 30, 2010 (Maritime Safety Committee Circular), IBR approved for § 97.120(b). (2) MSC.1/Circ. 1353/Rev.1, Revised Guidelines for the Preparation of the Cargo Securing Manual, December 15, 2014 (Maritime Safety Committee Circular), IBR approved for § 97.120(a). (3) Resolution A.739(18) (Res.A.739(18)), Guidelines for the Authorization of Organizations Acting on Behalf of the Administration, November 22, 1993 (Assembly Resolution), IBR approved for § 97.310(a).
33:33:1.0.1.6.48.1.26.4	33	Navigation and Navigable Waters	I	F	97	PART 97—RULES FOR THE SAFE OPERATION OF VESSELS, STOWAGE AND SECURING OF CARGOES	A	Subpart A—Cargo Securing Manuals	§ 97.115 Reporting lost or jettisoned cargo.	USCG	[USCG-2000-7080, 81 FR 28014, May 9, 2016; 81 FR 59136, Aug. 29, 2016]	(a) In the event a vessel loses or jettisons at sea any cargo described in paragraph (b) of this section, it must comply with the immediate notification requirements of 33 CFR 160.216, and if the cargo contains hazardous material as defined in paragraph (c) of this section, the vessel must also report it as soon as possible in accordance with 49 CFR 176.48. (b) The cargo to which this section applies includes any container and any other cargo the loss or jettisoning of which could adversely affect the safety of any vessel, bridge, structure, or shore area or the environmental quality of any port, harbor, or navigable waterway of the United States. (c) As used in this section, “hazardous material” means a substance or material designated by the Secretary of Transportation as capable of posing an unreasonable risk to health, safety, and property when transported in commerce. The term includes hazardous substances, hazardous wastes, marine pollutants, and elevated temperature materials as defined in 49 CFR 171.8, materials designated as hazardous under the provisions of 49 CFR 172.101, and materials that meet the defining criteria for hazard classes and divisions in 49 CFR part 173.
33:33:1.0.1.6.48.1.26.5	33	Navigation and Navigable Waters	I	F	97	PART 97—RULES FOR THE SAFE OPERATION OF VESSELS, STOWAGE AND SECURING OF CARGOES	A	Subpart A—Cargo Securing Manuals	§ 97.120 Cargo securing manuals.	USCG		(a) Any vessel to which this subpart applies must have a cargo securing manual (CSM) on board that has been approved by the government of the country whose flag the vessel is entitled to fly; and a CSM approved after June 30, 2010, must, at a minimum, meet the guidelines in MSC.1/Circ. 1353/Rev.1, (incorporated by reference, see 33 CFR 97.110). (b) A container vessel with a keel laid on or after January 1, 2015, must include a cargo safe access plan that, at a minimum, meets the guidelines in MSC.1/Circ.1352, Annex 14, Guidance on Providing Safe Working Conditions for Securing of Containers on Deck (incorporated by reference, see 33 CFR 97.110). (c) While operating in waters under the jurisdiction of the United States, the Coast Guard may board any vessel to which this subpart applies to determine that the vessel has the document(s) required by paragraph (a) of this section on board. Any foreign-flagged vessel found not to be in compliance with paragraph (a) of this section may be detained by order of the Captain of the Port at the port or terminal where the noncompliance is found until the COTP determines that the vessel can go to sea without presenting an unreasonable threat of harm to the port, the marine environment, the vessel, or its crew.
33:33:1.0.1.6.48.1.26.6	33	Navigation and Navigable Waters	I	F	97	PART 97—RULES FOR THE SAFE OPERATION OF VESSELS, STOWAGE AND SECURING OF CARGOES	A	Subpart A—Cargo Securing Manuals	§§ 97.121-97.199 [Reserved]	USCG
33:33:1.0.1.6.48.1.26.7	33	Navigation and Navigable Waters	I	F	97	PART 97—RULES FOR THE SAFE OPERATION OF VESSELS, STOWAGE AND SECURING OF CARGOES	A	Subpart A—Cargo Securing Manuals	§ 97.200 Cargo securing manual (CSM) approval for U.S.-flagged vessels on international voyages.	USCG		(a) Owners of U.S.-flagged vessels on international voyages must have Cargo Securing Manuals (CSMs) approved in accordance with this part. (1) An applicant for CSM approval may be the owner or operator of the vessel, or a person acting on the owner or operator's behalf. (2) The Commandant is responsible for overseeing and managing the review and approval of CSM approval authority applications and providing an up-to-date list of organizations authorized to act under this subpart, which is available at http://www.uscg.mil/hq/cg5/cg522/cg5222, or by requesting it in writing from the Commandant and enclosing a self-addressed, stamped envelope. (3) The applicant must submit two dated copies of a CSM that meets the requirements of this subpart to a CSM approval authority for review and approval. If any amendments are submitted, they must be dated. The CSM must include a “change page” document to ensure continuous documentation of amendments made and the dates they were completed. (4) The approval authority will retain one copy of the CSM for its records. (b) If the approval authority completes the review process and approves the CSM, the approval authority will provide a CSM approval letter on its letterhead, containing— (1) Date of CSM approval; (2) A subject line reading: “APPROVAL OF CARGO SECURING MANUAL (AMENDMENT—if applicable) FOR THE M/V ____, OFFICIAL NUMBER ____”; (3) The following statement: “This is to certify that the Cargo Securing Manual (Amendment—if applicable) dated ____ for the M/V ____, Official Number ____, has been approved on behalf of the United States. The Cargo Securing Manual (Amendment—if applicable) was reviewed for compliance with Maritime Safety Committee Circular 1353 (MSC.1/Circ. 1353/Rev.1) for content, and correctness of the calculations on which the approval is based. This approval letter is to be kept with the Cargo Securing Manual, as proof of compliance with regulations VI/5.6 and VII5 of the 2004 amendments to the International Convention for the Safety of Life at Sea (…
33:33:1.0.1.6.48.1.26.8	33	Navigation and Navigable Waters	I	F	97	PART 97—RULES FOR THE SAFE OPERATION OF VESSELS, STOWAGE AND SECURING OF CARGOES	A	Subpart A—Cargo Securing Manuals	§ 97.205 Requirements for amending an approved cargo securing manual (CSM).	USCG		Resubmission and re-approval by a CSM approval authority are required after any of the following events occurs: (a) Reconfiguration of a vessel from one type of cargo carriage to another ( e.g., a general break-bulk cargo vessel reconfigured to a container or a roll-on/roll-off vessel). (b) Reconfiguration or replacement of 15 percent or more of the vessel's fixed cargo securing or tie-down systems with different types of devices or systems. (c) Replacement of 15 percent or more of the vessel's portable cargo securing devices, with different types of devices for securing the cargo not already used aboard the vessel ( e.g., wire lashings replaced with turnbuckles or chains).
33:33:1.0.1.6.48.1.26.9	33	Navigation and Navigable Waters	I	F	97	PART 97—RULES FOR THE SAFE OPERATION OF VESSELS, STOWAGE AND SECURING OF CARGOES	A	Subpart A—Cargo Securing Manuals	§ 97.210 Appeals.	USCG		(a) A vessel owner or operator, or person acting on their behalf, who disagrees with a decision of a CSM approval authority may submit a written appeal to the approval authority requesting reconsideration of information in dispute. Within 30 days of receiving the appeal, the approval authority must provide the submitter with a final written ruling on the request, with a copy to the Commandant. (b) A submitter who is dissatisfied with the approval authority's final written ruling may appeal directly to the Commandant. The appeal must be made in writing and include the documentation and supporting evidence the submitter wants to be considered, and may ask the Commandant to stay the effect of the appealed decision while it is under review by the Commandant. (c) The Commandant will make a decision on the appeal and send a formal response to the submitter and a copy to the approval authority. The Commandant's decision will constitute final agency action on the appeal request.
34:34:1.1.1.1.30.1.113.1	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	A	Subpart A—Federal Policy for the Protection of Human Subjects (Basic ED Policy for Protection of Human Research Subjects)	§ 97.101 To what does this policy apply?	ED	[82 FR 7272, Jan. 19, 2017, as amended at 83 FR 28516, June 19, 2018]	(a) Except as detailed in § 97.104, this policy applies to all research involving human subjects conducted, supported, or otherwise subject to regulation by any Federal department or agency that takes appropriate administrative action to make the policy applicable to such research. This includes research conducted by Federal civilian employees or military personnel, except that each department or agency head may adopt such procedural modifications as may be appropriate from an administrative standpoint. It also includes research conducted, supported, or otherwise subject to regulation by the Federal Government outside the United States. Institutions that are engaged in research described in this paragraph and institutional review boards (IRBs) reviewing research that is subject to this policy must comply with this policy. (b) [Reserved] (c) Department or agency heads retain final judgment as to whether a particular activity is covered by this policy and this judgment shall be exercised consistent with the ethical principles of the Belmont Report. 62 62 The National Commission for the Protection of Human Subjects of Biomedical and Behavioral Research.- Belmont Report. Washington, DC: U.S. Department of Health and Human Services. 1979. (d) Department or agency heads may require that specific research activities or classes of research activities conducted, supported, or otherwise subject to regulation by the Federal department or agency but not otherwise covered by this policy comply with some or all of the requirements of this policy. (e) Compliance with this policy requires compliance with pertinent federal laws or regulations that provide additional protections for human subjects. (f) This policy does not affect any state or local laws or regulations (including tribal law passed by the official governing body of an American Indian or Alaska Native tribe) that may otherwise be applicable and that provide additional protections for human subjects. (g) This policy does not affect any foreign laws or regulat…
34:34:1.1.1.1.30.1.113.10	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	A	Subpart A—Federal Policy for the Protection of Human Subjects (Basic ED Policy for Protection of Human Research Subjects)	§ 97.111 Criteria for IRB approval of research.	ED		(a) In order to approve research covered by this policy the IRB shall determine that all of the following requirements are satisfied: (1) Risks to subjects are minimized: (i) By using procedures that are consistent with sound research design and that do not unnecessarily expose subjects to risk, and (ii) Whenever appropriate, by using procedures already being performed on the subjects for diagnostic or treatment purposes. (2) Risks to subjects are reasonable in relation to anticipated benefits, if any, to subjects, and the importance of the knowledge that may reasonably be expected to result. In evaluating risks and benefits, the IRB should consider only those risks and benefits that may result from the research (as distinguished from risks and benefits of therapies subjects would receive even if not participating in the research). The IRB should not consider possible long-range effects of applying knowledge gained in the research ( e.g., the possible effects of the research on public policy) as among those research risks that fall within the purview of its responsibility. (3) Selection of subjects is equitable. In making this assessment the IRB should take into account the purposes of the research and the setting in which the research will be conducted. The IRB should be particularly cognizant of the special problems of research that involves a category of subjects who are vulnerable to coercion or undue influence, such as children, prisoners, individuals with impaired decision-making capacity, or economically or educationally disadvantaged persons. (4) Informed consent will be sought from each prospective subject or the subject's legally authorized representative, in accordance with, and to the extent required by, § 97.116. (5) Informed consent will be appropriately documented or appropriately waived in accordance with § 97.117. (6) When appropriate, the research plan makes adequate provision for monitoring the data collected to ensure the safety of subjects. (7) When appropriate, there are adequate p…
34:34:1.1.1.1.30.1.113.11	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	A	Subpart A—Federal Policy for the Protection of Human Subjects (Basic ED Policy for Protection of Human Research Subjects)	§ 97.112 Review by Institution	ED		Research covered by this policy that has been approved by an IRB may be subject to further appropriate review and approval or disapproval by officials of the institution. However, those officials may not approve the research if it has not been approved by an IRB.
34:34:1.1.1.1.30.1.113.12	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	A	Subpart A—Federal Policy for the Protection of Human Subjects (Basic ED Policy for Protection of Human Research Subjects)	§ 97.113 Suspension or Termination of IRB Approval of Research.	ED		An IRB shall have authority to suspend or terminate approval of research that is not being conducted in accordance with the IRB's requirements or that has been associated with unexpected serious harm to subjects. Any suspension or termination of approval shall include a statement of the reasons for the IRB's action and shall be reported promptly to the investigator, appropriate institutional officials, and the department or agency head.
34:34:1.1.1.1.30.1.113.13	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	A	Subpart A—Federal Policy for the Protection of Human Subjects (Basic ED Policy for Protection of Human Research Subjects)	§ 97.114 Cooperative Research.	ED		(a) Cooperative research projects are those projects covered by this policy that involve more than one institution. In the conduct of cooperative research projects, each institution is responsible for safeguarding the rights and welfare of human subjects and for complying with this policy. (b)(1) Any institution located in the United States that is engaged in cooperative research must rely upon approval by a single IRB for that portion of the research that is conducted in the United States. The reviewing IRB will be identified by the Federal department or agency supporting or conducting the research or proposed by the lead institution subject to the acceptance of the Federal department or agency supporting the research. (2) The following research is not subject to this provision: (i) Cooperative research for which more than single IRB review is required by law (including tribal law passed by the official governing body of an American Indian or Alaska Native tribe); or (ii) Research for which any Federal department or agency supporting or conducting the research determines and documents that the use of a single IRB is not appropriate for the particular context. (c) For research not subject to paragraph (b) of this section, an institution participating in a cooperative project may enter into a joint review arrangement, rely on the review of another IRB, or make similar arrangements for avoiding duplication of effort.
34:34:1.1.1.1.30.1.113.14	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	A	Subpart A—Federal Policy for the Protection of Human Subjects (Basic ED Policy for Protection of Human Research Subjects)	§ 97.115 IRB Records.	ED		(a) An institution, or when appropriate an IRB, shall prepare and maintain adequate documentation of IRB activities, including the following: (1) Copies of all research proposals reviewed, scientific evaluations, if any, that accompany the proposals, approved sample consent forms, progress reports submitted by investigators, and reports of injuries to subjects. (2) Minutes of IRB meetings, which shall be in sufficient detail to show attendance at the meetings; actions taken by the IRB; the vote on these actions including the number of members voting for, against, and abstaining; the basis for requiring changes in or disapproving research; and a written summary of the discussion of controverted issues and their resolution. (3) Records of continuing review activities, including the rationale for conducting continuing review of research that otherwise would not require continuing review as described in § 97.109(f)(1). (4) Copies of all correspondence between the IRB and the investigators. (5) A list of IRB members in the same detail as described in § 97.108(a)(2). (6) Written procedures for the IRB in the same detail as described in § 97.108(a)(3) and (4). (7) Statements of significant new findings provided to subjects, as required by § 97.116(c)(5). (8) The rationale for an expedited reviewer's determination under § 97.110(b)(1)(i) that research appearing on the expedited review list described in § 97.110(a) is more than minimal risk. (9) Documentation specifying the responsibilities that an institution and an organization operating an IRB each will undertake to ensure compliance with the requirements of this policy, as described in § 97.103(e). (b) The records required by this policy shall be retained for at least 3 years, and records relating to research that is conducted shall be retained for at least 3 years after completion of the research. The institution or IRB may maintain the records in printed form, or electronically. All records shall be accessible for inspection and copying by authorized repre…
34:34:1.1.1.1.30.1.113.15	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	A	Subpart A—Federal Policy for the Protection of Human Subjects (Basic ED Policy for Protection of Human Research Subjects)	§ 97.116 General Requirements for Informed Consent.	ED		(a) General. General requirements for informed consent, whether written or oral, are set forth in this paragraph and apply to consent obtained in accordance with the requirements set forth in paragraphs (b) through (d) of this section. Broad consent may be obtained in lieu of informed consent obtained in accordance with paragraphs (b) and (c) of this section only with respect to the storage, maintenance, and secondary research uses of identifiable private information and identifiable biospecimens. Waiver or alteration of consent in research involving public benefit and service programs conducted by or subject to the approval of state or local officials is described in paragraph (e) of this section. General waiver or alteration of informed consent is described in paragraph (f) of this section. Except as provided elsewhere in this policy: (1) Before involving a human subject in research covered by this policy, an investigator shall obtain the legally effective informed consent of the subject or the subject's legally authorized representative. (2) An investigator shall seek informed consent only under circumstances that provide the prospective subject or the legally authorized representative sufficient opportunity to discuss and consider whether or not to participate and that minimize the possibility of coercion or undue influence. (3) The information that is given to the subject or the legally authorized representative shall be in language understandable to the subject or the legally authorized representative. (4) The prospective subject or the legally authorized representative must be provided with the information that a reasonable person would want to have in order to make an informed decision about whether to participate, and an opportunity to discuss that information. (5) Except for broad consent obtained in accordance with paragraph (d) of this section: (i) Informed consent must begin with a concise and focused presentation of the key information that is most likely to assist a prospective subject or l…
34:34:1.1.1.1.30.1.113.16	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	A	Subpart A—Federal Policy for the Protection of Human Subjects (Basic ED Policy for Protection of Human Research Subjects)	§ 97.117 Documentation of informed consent.	ED		(a) Except as provided in paragraph (c) of this section, informed consent shall be documented by the use of a written informed consent form approved by the IRB and signed (including in an electronic format) by the subject or the subject's legally authorized representative. A written copy shall be given to the person signing the informed consent form. (b) Except as provided in paragraph (c) of this section, the informed consent form may be either of the following: (1) A written informed consent form that meets the requirements of § 97.116. The investigator shall give either the subject or the subject's legally authorized representative adequate opportunity to read the informed consent form before it is signed; alternatively, this form may be read to the subject or the subject's legally authorized representative. (2) A short form written informed consent form stating that the elements of informed consent required by § 97.116 have been presented orally to the subject or the subject's legally authorized representative, and that the key information required by § 97.116(a)(5)(i) was presented first to the subject, before other information, if any, was provided. The IRB shall approve a written summary of what is to be said to the subject or the legally authorized representative. When this method is used, there shall be a witness to the oral presentation. Only the short form itself is to be signed by the subject or the subject's legally authorized representative. However, the witness shall sign both the short form and a copy of the summary, and the person actually obtaining consent shall sign a copy of the summary. A copy of the summary shall be given to the subject or the subject's legally authorized representative, in addition to a copy of the short form. (c)(1) An IRB may waive the requirement for the investigator to obtain a signed informed consent form for some or all subjects if it finds any of the following: (i) That the only record linking the subject and the research would be the informed consent form and t…
34:34:1.1.1.1.30.1.113.17	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	A	Subpart A—Federal Policy for the Protection of Human Subjects (Basic ED Policy for Protection of Human Research Subjects)	§ 97.118 Applications and proposals lacking definite plans for involvement of human subjects.	ED		Certain types of applications for grants, cooperative agreements, or contracts are submitted to Federal departments or agencies with the knowledge that subjects may be involved within the period of support, but definite plans would not normally be set forth in the application or proposal. These include activities such as institutional type grants when selection of specific projects is the institution's responsibility; research training grants in which the activities involving subjects remain to be selected; and projects in which human subjects' involvement will depend upon completion of instruments, prior animal studies, or purification of compounds. Except for research waived under § 97.101(i) or exempted under § 97.104, no human subjects may be involved in any project supported by these awards until the project has been reviewed and approved by the IRB, as provided in this policy, and certification submitted, by the institution, to the Federal department or agency component supporting the research.
34:34:1.1.1.1.30.1.113.18	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	A	Subpart A—Federal Policy for the Protection of Human Subjects (Basic ED Policy for Protection of Human Research Subjects)	§ 97.119 Research undertaken without the intention of involving human subjects.	ED		Except for research waived under § 97.101(i) or exempted under § 97.104, in the event research is undertaken without the intention of involving human subjects, but it is later proposed to involve human subjects in the research, the research shall first be reviewed and approved by an IRB, as provided in this policy, a certification submitted by the institution to the Federal department or agency component supporting the research, and final approval given to the proposed change by the Federal department or agency component.
34:34:1.1.1.1.30.1.113.19	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	A	Subpart A—Federal Policy for the Protection of Human Subjects (Basic ED Policy for Protection of Human Research Subjects)	§ 97.120 Evaluation and disposition of applications and proposals for research to be conducted or supported by a Federal department or agency.	ED		(a) The department or agency head will evaluate all applications and proposals involving human subjects submitted to the Federal department or agency through such officers and employees of the Federal department or agency and such experts and consultants as the department or agency head determines to be appropriate. This evaluation will take into consideration the risks to the subjects, the adequacy of protection against these risks, the potential benefits of the research to the subjects and others, and the importance of the knowledge gained or to be gained. (b) On the basis of this evaluation, the department or agency head may approve or disapprove the application or proposal, or enter into negotiations to develop an approvable one.
34:34:1.1.1.1.30.1.113.2	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	A	Subpart A—Federal Policy for the Protection of Human Subjects (Basic ED Policy for Protection of Human Research Subjects)	§ 97.102 Definitions for purposes of this policy.	ED		(a) Certification means the official notification by the institution to the supporting Federal department or agency component, in accordance with the requirements of this policy, that a research project or activity involving human subjects has been reviewed and approved by an IRB in accordance with an approved assurance. (b) Clinical trial means a research study in which one or more human subjects are prospectively assigned to one or more interventions (which may include placebo or other control) to evaluate the effects of the interventions on biomedical or behavioral health-related outcomes. (c) Department or agency head means the head of any Federal department or agency, for example, the Secretary of HHS, and any other officer or employee of any Federal department or agency to whom the authority provided by these regulations to the department or agency head has been delegated. (d) Federal department or agency refers to a federal department or agency (the department or agency itself rather than its bureaus, offices or divisions) that takes appropriate administrative action to make this policy applicable to the research involving human subjects it conducts, supports, or otherwise regulates ( e.g., the U.S. Department of Health and Human Services, the U.S. Department of Defense, or the Central Intelligence Agency). (e)(1) Human subject means a living individual about whom an investigator (whether professional or student) conducting research: (i) Obtains information or biospecimens through intervention or interaction with the individual, and uses, studies, or analyzes the information or biospecimens; or (ii) Obtains, uses, studies, analyzes, or generates identifiable private information or identifiable biospecimens. (2) Intervention includes both physical procedures by which information or biospecimens are gathered ( e.g., venipuncture) and manipulations of the subject or the subject's environment that are performed for research purposes. (3) Interaction includes communication or interpersona…
34:34:1.1.1.1.30.1.113.20	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	A	Subpart A—Federal Policy for the Protection of Human Subjects (Basic ED Policy for Protection of Human Research Subjects)	§ 97.121 [Reserved]	ED
34:34:1.1.1.1.30.1.113.21	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	A	Subpart A—Federal Policy for the Protection of Human Subjects (Basic ED Policy for Protection of Human Research Subjects)	§ 97.122 Use of Federal funds.	ED		Federal funds administered by a Federal department or agency may not be expended for research involving human subjects unless the requirements of this policy have been satisfied.
34:34:1.1.1.1.30.1.113.22	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	A	Subpart A—Federal Policy for the Protection of Human Subjects (Basic ED Policy for Protection of Human Research Subjects)	§ 97.123 Early termination of research support: Evaluation of applications and proposals.	ED		(a) The department or agency head may require that Federal department or agency support for any project be terminated or suspended in the manner prescribed in applicable program requirements, when the department or agency head finds an institution has materially failed to comply with the terms of this policy. (b) In making decisions about supporting or approving applications or proposals covered by this policy the department or agency head may take into account, in addition to all other eligibility requirements and program criteria, factors such as whether the applicant has been subject to a termination or suspension under paragraph (a) of this section and whether the applicant or the person or persons who would direct or has/have directed the scientific and technical aspects of an activity has/have, in the judgment of the department or agency head, materially failed to discharge responsibility for the protection of the rights and welfare of human subjects (whether or not the research was subject to federal regulation).
34:34:1.1.1.1.30.1.113.23	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	A	Subpart A—Federal Policy for the Protection of Human Subjects (Basic ED Policy for Protection of Human Research Subjects)	§ 97.124 Conditions.	ED		With respect to any research project or any class of research projects the department or agency head of either the conducting or the supporting Federal department or agency may impose additional conditions prior to or at the time of approval when in the judgment of the department or agency head additional conditions are necessary for the protection of human subjects.
34:34:1.1.1.1.30.1.113.3	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	A	Subpart A—Federal Policy for the Protection of Human Subjects (Basic ED Policy for Protection of Human Research Subjects)	§ 97.103 Assuring compliance with this policy—research conducted or supported by any Federal department or agency.	ED		(a) Each institution engaged in research that is covered by this policy, with the exception of research eligible for exemption under § 97.104, and that is conducted or supported by a Federal department or agency, shall provide written assurance satisfactory to the department or agency head that it will comply with the requirements of this policy. In lieu of requiring submission of an assurance, individual department or agency heads shall accept the existence of a current assurance, appropriate for the research in question, on file with the Office for Human Research Protections, HHS, or any successor office, and approved for Federal-wide use by that office. When the existence of an HHS-approved assurance is accepted in lieu of requiring submission of an assurance, reports (except certification) required by this policy to be made to department and agency heads shall also be made to the Office for Human Research Protections, HHS, or any successor office. Federal departments and agencies will conduct or support research covered by this policy only if the institution has provided an assurance that it will comply with the requirements of this policy, as provided in this section, and only if the institution has certified to the department or agency head that the research has been reviewed and approved by an IRB (if such certification is required by § 97.103(d)). (b) The assurance shall be executed by an individual authorized to act for the institution and to assume on behalf of the institution the obligations imposed by this policy and shall be filed in such form and manner as the department or agency head prescribes. (c) The department or agency head may limit the period during which any assurance shall remain effective or otherwise condition or restrict the assurance. (d) Certification is required when the research is supported by a Federal department or agency and not otherwise waived under § 97.101(i) or exempted under § 97.104. For such research, institutions shall certify that each proposed research study cover…
34:34:1.1.1.1.30.1.113.4	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	A	Subpart A—Federal Policy for the Protection of Human Subjects (Basic ED Policy for Protection of Human Research Subjects)	§ 97.104 Exempt research.	ED		(a) Unless otherwise required by law or by department or agency heads, research activities in which the only involvement of human subjects will be in one or more of the categories in paragraph (d) of this section are exempt from the requirements of this policy, except that such activities must comply with the requirements of this section and as specified in each category. (b) Use of the exemption categories for research subject to the requirements of subparts B, C, and D: Application of the exemption categories to research subject to the requirements of 45 CFR part 46, subparts B, C, and D, is as follows: (1) Subpart B. Each of the exemptions at this section may be applied to research subject to subpart B if the conditions of the exemption are met. (2) Subpart C. The exemptions at this section do not apply to research subject to subpart C, except for research aimed at involving a broader subject population that only incidentally includes prisoners. (3) Subpart D. The exemptions at paragraphs (d)(1), (4), (5), (6), (7), and (8) of this section may be applied to research subject to subpart D if the conditions of the exemption are met. Paragraphs (d)(2)(i) and (ii) of this section only may apply to research subject to subpart D involving educational tests or the observation of public behavior when the investigator(s) do not participate in the activities being observed. Paragraph (d)(2)(iii) of this section may not be applied to research subject to subpart D. (c) [Reserved] (d) Except as described in paragraph (a) of this section, the following categories of human subjects research are exempt from this policy: (1) Research, conducted in established or commonly accepted educational settings, that specifically involves normal educational practices that are not likely to adversely impact students' opportunity to learn required educational content or the assessment of educators who provide instruction. This includes most research on regular and special education instructional strategies, and research on the …
34:34:1.1.1.1.30.1.113.5	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	A	Subpart A—Federal Policy for the Protection of Human Subjects (Basic ED Policy for Protection of Human Research Subjects)	§§ 97-97.106 [Reserved]	ED
34:34:1.1.1.1.30.1.113.6	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	A	Subpart A—Federal Policy for the Protection of Human Subjects (Basic ED Policy for Protection of Human Research Subjects)	§ 97.107 IRB membership.	ED		(a) Each IRB shall have at least five members, with varying backgrounds to promote complete and adequate review of research activities commonly conducted by the institution. The IRB shall be sufficiently qualified through the experience and expertise of its members (professional competence), and the diversity of its members, including race, gender, and cultural backgrounds and sensitivity to such issues as community attitudes, to promote respect for its advice and counsel in safeguarding the rights and welfare of human subjects. The IRB shall be able to ascertain the acceptability of proposed research in terms of institutional commitments (including policies and resources) and regulations, applicable law, and standards of professional conduct and practice. The IRB shall therefore include persons knowledgeable in these areas. If an IRB regularly reviews research that involves a category of subjects that is vulnerable to coercion or undue influence, such as children, prisoners, individuals with impaired decision-making capacity, or economically or educationally disadvantaged persons, consideration shall be given to the inclusion of one or more individuals who are knowledgeable about and experienced in working with these categories of subjects. (b) Each IRB shall include at least one member whose primary concerns are in scientific areas and at least one member whose primary concerns are in nonscientific areas. (c) Each IRB shall include at least one member who is not otherwise affiliated with the institution and who is not part of the immediate family of a person who is affiliated with the institution. (d) No IRB may have a member participate in the IRB's initial or continuing review of any project in which the member has a conflicting interest, except to provide information requested by the IRB. (e) An IRB may, in its discretion, invite individuals with competence in special areas to assist in the review of issues that require expertise beyond or in addition to that available on the IRB. These individuals may n…
34:34:1.1.1.1.30.1.113.7	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	A	Subpart A—Federal Policy for the Protection of Human Subjects (Basic ED Policy for Protection of Human Research Subjects)	§ 97.108 IRB functions and operations.	ED		(a) In order to fulfill the requirements of this policy each IRB shall: (1) Have access to meeting space and sufficient staff to support the IRB's review and recordkeeping duties; (2) Prepare and maintain a current list of the IRB members identified by name; earned degrees; representative capacity; indications of experience such as board certifications or licenses sufficient to describe each member's chief anticipated contributions to IRB deliberations; and any employment or other relationship between each member and the institution, for example, full-time employee, part-time employee, member of governing panel or board, stockholder, paid or unpaid consultant; (3) Establish and follow written procedures for: (i) Conducting its initial and continuing review of research and for reporting its findings and actions to the investigator and the institution; (ii) Determining which projects require review more often than annually and which projects need verification from sources other than the investigators that no material changes have occurred since previous IRB review; and (iii) Ensuring prompt reporting to the IRB of proposed changes in a research activity, and for ensuring that investigators will conduct the research activity in accordance with the terms of the IRB approval until any proposed changes have been reviewed and approved by the IRB, except when necessary to eliminate apparent immediate hazards to the subject. (4) Establish and follow written procedures for ensuring prompt reporting to the IRB; appropriate institutional officials; the department or agency head; and the Office for Human Research Protections, HHS, or any successor office, or the equivalent office within the appropriate Federal department or agency of (i) Any unanticipated problems involving risks to subjects or others or any serious or continuing noncompliance with this policy or the requirements or determinations of the IRB; and (ii) Any suspension or termination of IRB approval. (b) Except when an expedited review procedure is use…
34:34:1.1.1.1.30.1.113.8	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	A	Subpart A—Federal Policy for the Protection of Human Subjects (Basic ED Policy for Protection of Human Research Subjects)	§ 97.109 IRB review of research.	ED		(a) An IRB shall review and have authority to approve, require modifications in (to secure approval), or disapprove all research activities covered by this policy, including exempt research activities under § 97.104 for which limited IRB review is a condition of exemption (under § 97.104(d)(2)(iii), (d)(3)(i)(C), and (d)(7), and (8)). (b) An IRB shall require that information given to subjects (or legally authorized representatives, when appropriate) as part of informed consent is in accordance with § 97.116. The IRB may require that information, in addition to that specifically mentioned in § 97.116, be given to the subjects when in the IRB's judgment the information would meaningfully add to the protection of the rights and welfare of subjects. (c) An IRB shall require documentation of informed consent or may waive documentation in accordance with § 97.117. (d) An IRB shall notify investigators and the institution in writing of its decision to approve or disapprove the proposed research activity, or of modifications required to secure IRB approval of the research activity. If the IRB decides to disapprove a research activity, it shall include in its written notification a statement of the reasons for its decision and give the investigator an opportunity to respond in person or in writing. (e) An IRB shall conduct continuing review of research requiring review by the convened IRB at intervals appropriate to the degree of risk, not less than once per year, except as described in § 97.109(f). (f)(1) Unless an IRB determines otherwise, continuing review of research is not required in the following circumstances: (i) Research eligible for expedited review in accordance with § 97.110; (ii) Research reviewed by the IRB in accordance with the limited IRB review described in § 97.104(d)(2)(iii), (d)(3)(i)(C), or (d)(7) or (8); (iii) Research that has progressed to the point that it involves only one or both of the following, which are part of the IRB-approved study: (A) Data analysis, including analysis of iden…
34:34:1.1.1.1.30.1.113.9	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	A	Subpart A—Federal Policy for the Protection of Human Subjects (Basic ED Policy for Protection of Human Research Subjects)	§ 97.110 Expedited review procedures for certain kinds of research involving no more than minimal risk, and for minor changes in approved research.	ED		(a) The Secretary of HHS has established, and published as a Notice in the Federal Register, a list of categories of research that may be reviewed by the IRB through an expedited review procedure. The Secretary will evaluate the list at least every 8 years and amend it, as appropriate, after consultation with other federal departments and agencies and after publication in the Federal Register for public comment. A copy of the list is available from the Office for Human Research Protections, HHS, or any successor office. (b)(1) An IRB may use the expedited review procedure to review the following: (i) Some or all of the research appearing on the list described in paragraph (a) of this section, unless the reviewer determines that the study involves more than minimal risk; (ii) Minor changes in previously approved research during the period for which approval is authorized; or (iii) Research for which limited IRB review is a condition of exemption under § 97.104(d)(2)(iii), (d)(3)(i)(C), and (d)(7) and (8). (2) Under an expedited review procedure, the review may be carried out by the IRB chairperson or by one or more experienced reviewers designated by the chairperson from among members of the IRB. In reviewing the research, the reviewers may exercise all of the authorities of the IRB except that the reviewers may not disapprove the research. A research activity may be disapproved only after review in accordance with the nonexpedited procedure set forth in § 97.108(b). (c) Each IRB that uses an expedited review procedure shall adopt a method for keeping all members advised of research proposals that have been approved under the procedure. (d) The department or agency head may restrict, suspend, terminate, or choose not to authorize an institution's or IRB's use of the expedited review procedure.
34:34:1.1.1.1.30.3.113.1	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	D	Subpart D—Additional ED Protections for Children Who Are Subjects in Research	§ 97.401 To what do these regulations apply?	ED		(a) This subpart applies to all research involving children as subjects conducted or supported by the Department of Education. (1) This subpart applies to research conducted by Department employees. (2) This subpart applies to research conducted or supported by the Department of Education outside the United States, but in appropriate circumstances the Secretary may, under § 97.101(i), waive the applicability of some or all of the requirements of the regulations in this subpart for that research. (b) Exemptions in § 97.101(b)(1) and (b)(3) through (b)(6) are applicable to this subpart. The exemption in § 97.101(b)(2) regarding educational tests is also applicable to this subpart. The exemption in § 97.101(b)(2) for research involving survey or interview procedures or observations of public behavior does not apply to research covered by this subpart, except for research involving observation of public behavior when the investigator or investigators do not participate in the activities being observed. (c) The exceptions, additions, and provisions for waiver as they appear in § 97.101(c) through (i) are applicable to this subpart.
34:34:1.1.1.1.30.3.113.2	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	D	Subpart D—Additional ED Protections for Children Who Are Subjects in Research	§ 97.402 Definitions.	ED		The definitions in § 97.102 apply to this subpart. In addition, the following definitions also apply to this subpart: (a) Children are persons who have not attained the legal age for consent to treatments or procedures involved in the research, under the applicable law of the jurisdiction in which the research will be conducted. (b) Assent means a child's affirmative agreement to participate in research. Mere failure to object should not, absent affirmative agreement, be construed as assent. (c) Permission means the agreement of parent(s) or guardian to the participation of their child or ward in research. (d) Parent means a child's biological or adoptive parent. (e) Guardian means an individual who is authorized under applicable State or local law to consent on behalf of a child to general medical care.
34:34:1.1.1.1.30.3.113.3	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	D	Subpart D—Additional ED Protections for Children Who Are Subjects in Research	§ 97.403 IRB duties.	ED		In addition to other responsibilities assigned to IRBs under this part, each IRB shall review research covered by this subpart and approve only research that satisfies the conditions of all applicable sections of this subpart.
34:34:1.1.1.1.30.3.113.4	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	D	Subpart D—Additional ED Protections for Children Who Are Subjects in Research	§ 97.404 Research not involving greater than minimal risk.	ED		ED conducts or funds research in which the IRB finds that no greater than minimal risk to children is presented, only if the IRB finds that adequate provisions are made for soliciting the assent of the children and the permission of their parents or guardians, as set forth in § 97.408.
34:34:1.1.1.1.30.3.113.5	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	D	Subpart D—Additional ED Protections for Children Who Are Subjects in Research	§ 97.405 Research involving greater than minimal risk but presenting the prospect of direct benefit to the individual subjects.	ED		ED conducts or funds research in which the IRB finds that more than minimal risk to children is presented by an intervention or procedure that holds out the prospect of direct benefit for the individual subject, or by a monitoring procedure that is likely to contribute to the subject's well-being, only if the IRB finds that— (a) The risk is justified by the anticipated benefit to the subjects; (b) The relation of the anticipated benefit to the risk is at least as favorable to the subjects as that presented by available alternative approaches; and (c) Adequate provisions are made for soliciting the assent of the children and permission of their parents or guardians, as set forth in § 97.408.
34:34:1.1.1.1.30.3.113.6	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	D	Subpart D—Additional ED Protections for Children Who Are Subjects in Research	§ 97.406 Research involving greater than minimal risk and no prospect of direct benefit to individual subjects, but likely to yield generalizable knowledge about the subject's disorder or condition.	ED		ED conducts or funds research in which the IRB finds that more than minimal risk to children is presented by an intervention or procedure that does not hold out the prospect of direct benefit for the individual subject, or by a monitoring procedure which is not likely to contribute to the well-being of the subject, only if the IRB finds that— (a) The risk represents a minor increase over minimal risk; (b) The intervention or procedure presents experiences to subjects that are reasonably commensurate with those inherent in their actual or expected medical, dental, psychological, social, or educational situations; (c) The intervention or procedure is likely to yield generalizable knowledge about the subjects' disorder or condition that is of vital importance for the understanding or amelioration of the subjects' disorder or condition; and (d) Adequate provisions are made for soliciting assent of the children and permission of their parents or guardians, as set forth in § 97.408.
34:34:1.1.1.1.30.3.113.7	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	D	Subpart D—Additional ED Protections for Children Who Are Subjects in Research	§ 97.407 Research not otherwise approvable which presents an opportunity to understand, prevent, or alleviate a serious problem affecting the health or welfare of children.	ED		ED conducts or funds research that the IRB does not believe meets the requirements of § 97.404, § 97.405, or § 97.406 only if— (a) The IRB finds that the research presents a reasonable opportunity to further the understanding, prevention, or alleviation of a serious problem affecting the health or welfare of children; and (b) The Secretary, after consultation with a panel of experts in pertinent disciplines (for example: science, medicine, education, ethics, law) and following opportunity for public review and comment, has determined either that— (1) The research in fact satisfies the conditions of § 97.404, § 97.405, or § 97.406, as applicable; or (2)(i) The research presents a reasonable opportunity to further the understanding, prevention, or alleviation of a serious problem affecting the health or welfare of children; (ii) The research will be conducted in accordance with sound ethical principles; and (iii) Adequate provisions are made for soliciting the assent of children and the permission of their parents or guardians, as set forth in § 97.408.
34:34:1.1.1.1.30.3.113.8	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	D	Subpart D—Additional ED Protections for Children Who Are Subjects in Research	§ 97.408 Requirements for permission by parents or guardians and for assent by children.	ED		(a) In addition to the determinations required under other applicable sections of this subpart, the IRB shall determine that adequate provisions are made for soliciting the assent of the children, if in the judgment of the IRB the children are capable of providing assent. In determining whether children are capable of assenting, the IRB shall take into account the ages, maturity, and psychological state of the children involved. This judgment may be made for all children to be involved in research under a particular protocol, or for each child, as the IRB deems appropriate. If the IRB determines that the capability of some or all of the children is so limited that they cannot reasonably be consulted or that the intervention or procedure involved in the research holds out a prospect of direct benefit that is important to the health or well-being of the children and is available only in the context of the research, the assent of the children is not a necessary condition for proceeding with the research. Even if the IRB determines that the subjects are capable of assenting, the IRB may still waive the assent requirement under circumstances in which consent may be waived in accord with § 97.116. (b) In addition to the determinations required under other applicable sections of this subpart, the IRB shall determine, in accordance with and to the extent that consent is required by § 97.116, that adequate provisions are made for soliciting the permission of each child's parent(s) or guardian(s). If parental permission is to be obtained, the IRB may find that the permission of one parent is sufficient for research to be conducted under § 97.404 or § 97.405. If research is covered by §§ 97.406 and 97.407 and permission is to be obtained from parents, both parents must give their permission unless one parent is deceased, unknown, incompetent, or not reasonably available, or if only one parent has legal responsibility for the care and custody of the child. (c) In addition to the provisions for waiver contained in § 97.116,…
34:34:1.1.1.1.30.3.113.9	34	Education			97	PART 97—PROTECTION OF HUMAN SUBJECTS	D	Subpart D—Additional ED Protections for Children Who Are Subjects in Research	§ 97.409 Wards.	ED		(a) Children who are wards of the State or any other agency, institution, or entity may be included in research approved under § 97.406 or § 97.407 only if that research is— (1) Related to their status as wards; or (2) Conducted in schools, camps, hospitals, institutions, or similar settings in which the majority of children involved as subjects are not wards. (b) If research is approved under paragraph (a) of this section, the IRB shall require appointment of an advocate for each child who is a ward, in addition to any other individual acting on behalf of the child as guardian or in loco parentis. One individual may serve as advocate for more than one child. The advocate must be an individual who has the background and experience to act in, and agrees to act in, the best interest of the child for the duration of the child's participation in the research and who is not associated in any way (except in the role as advocate or member of the IRB) with the research, the investigator or investigators, or the guardian organization.
40:40:23.0.1.1.1.1.1.1	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	A	Subpart A—NO	§ 97.1 Purpose.	EPA		This part establishes general provisions and the applicability, permitting, allowance, excess emissions, monitoring, and opt-in provisions for the federal NO X Budget Trading Program, under section 126 of the CAA and § 52.34 of this chapter, as a means of mitigating the interstate transport of ozone and nitrogen oxides, an ozone precursor.
40:40:23.0.1.1.1.1.1.2	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	A	Subpart A—NO	§ 97.2 Definitions.	EPA	[65 FR 2727, Jan. 18, 2000, as amended at 69 FR 21645, Apr. 21, 2004]	The terms used in this part shall have the meanings set forth in this section as follows: Account number means the identification number given by the Administrator to each NO X Allowance Tracking System account. Acid Rain emissions limitation means, as defined in § 72.2 of this chapter, a limitation on emissions of sulfur dioxide or nitrogen oxides under the Acid Rain Program under title IV of the Clean Air Act. Administrator means the Administrator of the United States Environmental Protection Agency or the Administrator's duly authorized representative. Allocate or allocation means, with regard to NO X allowances, the determination by the Administrator of the number of NO X allowances to be initially credited to a NO X Budget unit or an allocation set-aside. Automated data acquisition and handling system or DAHS means that component of the CEMS, or other emissions monitoring system approved for use under subpart H of this part, designed to interpret and convert individual output signals from pollutant concentration monitors, flow monitors, diluent gas monitors, and other component parts of the monitoring system to produce a continuous record of the measured parameters in the measurement units required by subpart H of this part. Boiler means an enclosed fossil or other fuel-fired combustion device used to produce heat and to transfer heat to recirculating water, steam, or other medium. Clean Air Act means the Clean Air Act, 42 U.S.C. 7401 et seq. Combined cycle system means a system comprised of one or more combustion turbines, heat recovery steam generators, and steam turbines configured to improve overall efficiency of electricity generation or steam production. Combustion turbine means an enclosed fossil or other fuel-fired device that is comprised of a compressor, a combustor, and a turbine, and in which the flue gas resulting from the combustion of fuel in the combustor passes through the turbine, rotating the turbine. Commence commercial operation means, with regard to a unit t…
40:40:23.0.1.1.1.1.1.3	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	A	Subpart A—NO	§ 97.3 Measurements, abbreviations, and acronyms.	EPA		Measurements, abbreviations, and acronyms used in this part are defined as follows: Btu-British thermal unit. CO 2 -carbon dioxide. hr-hour. kW-kilowatt electrical. kWh-kilowatt hour. lb-pounds. mmBtu-million Btu. MWe-megawatt electrical. NO X -nitrogen oxides. O 2 -oxygen. ton-2000 pounds. Btu-British thermal unit. CO 2 -carbon dioxide. hr-hour. kW-kilowatt electrical. kWh-kilowatt hour. lb-pounds. mmBtu-million Btu. MWe-megawatt electrical. NO X -nitrogen oxides. O 2 -oxygen. ton-2000 pounds.
40:40:23.0.1.1.1.1.1.4	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	A	Subpart A—NO	§ 97.4 Applicability.	EPA	[65 FR 2727, Jan. 18, 2000, as amended at 67 FR 21529, Apr. 30, 2002; 69 FR 21645, Apr. 21, 2004]	(a) The following units in a State shall be a NO X Budget unit, and any source that includes one or more such units shall be a NO X Budget source, subject to the requirements of this part: (1)(i) For units other than cogeneration units— (A) For units commencing operation before January 1, 1997, a unit serving during 1995 or 1996 a generator— ( 1 ) With a nameplate capacity greater than 25 MWe and ( 2 ) Producing electricity for sale under a firm contract to the electric grid. (B) For units commencing operation in 1997 or 1998, a unit serving during 1997 or 1998 a generator— ( 1 ) With a nameplate capacity greater than 25 MWe and ( 2 ) Producing electricity for sale under a firm contract to the electric grid. (C) For units commencing operation on or after January 1, 1999, a unit serving at any time a generator— ( 1 ) With a nameplate capacity greater than 25 MWe and ( 2 ) Producing electricity for sale. (ii) For cogeneration units— (A) For units commencing operation before January 1, 1997, a unit serving during 1995 or 1996 a generator with a nameplate capacity greater than 25 MWe and failing to qualify as an unaffected unit under § 72.6(b)(4) of this chapter for 1995 or 1996 under the Acid Rain Program. (B) For units commencing operation in 1997 or 1998, a unit serving during 1997 or 1998 a generator with a nameplate capacity grater than 25 MWe and failing to qualify as an unaffected unit under § 72.6(b)(4) of this chapter for 1997 or 1998 under the Acid Rain Program. (C) For units commencing operation on or after January 1, 1999, a unit serving at any time a generator with a nameplate capacity greater than 25 MWe and failing to qualify as an unaffected unit under § 72.6(b)(4) of this chapter under the Acid Rain Program for any year. (2)(i) For units other than cogeneration units— (A) For units commencing operation before January 1, 1997, a unit— ( 1 ) With a maximum design heat input greater than 250 mmBtu/hr and ( 2 ) Not serving during 1995 or 1996 a generator producing electricity for sale…
40:40:23.0.1.1.1.1.1.5	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	A	Subpart A—NO	§ 97.5 Retired unit exemption.	EPA	[65 FR 2727, Jan. 18, 2000, as amended at 67 FR 21529, Apr. 30, 2002; 69 FR 21646, Apr. 21, 2004]	(a) This section applies to any NO X Budget unit, other than a NO X Budget opt-in unit, that is permanently retired. (b)(1) Any NO X Budget unit, other than a NO X Budget opt-in unit, that is permanently retired shall be exempt from the NO X Budget Trading Program, except for the provisions of this section, § 97.2, § 97.3, § 97.4, § 97.7, and subparts E, F, and G of this part. (2) The exemption under paragraph (b)(1) of this section shall become effective the day on which the unit is permanently retired. Within 30 days of permanent retirement, the NO X authorized account representative (authorized in accordance with subpart B of this part) shall submit a statement to the permitting authority otherwise responsible for administering any NO X Budget permit for the unit. The NO X authorized account representative shall submit a copy of the statement to the Administrator. The statement shall state, in a format prescribed by the permitting authority, that the unit is permanently retired and will comply with the requirements of paragraph (c) of this section. (3) After receipt of the notice under paragraph (b)(2) of this section, the permitting authority will amend any permit covering the source at which the unit is located to add the provisions and requirements of the exemption under paragraphs (b)(1) and (c) of this section. (c) Special provisions. (1) A unit exempt under this section shall not emit any nitrogen oxides, starting on the date that the exemption takes effect. (2) The Administrator will allocate NO X allowances under subpart E of this part to a unit exempt under this section. For each control period for which the unit is allocated one or more NO X allowances, the owners and operators of the unit shall specify a general account, in which the Administrator will record such NO X allowances. (3) For a period of 5 years from the date the records are created, the owners and operators of a unit exempt under this section shall retain at the source that includes the unit, records demonstrating th…
40:40:23.0.1.1.1.1.1.6	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	A	Subpart A—NO	§ 97.6 Standard requirements.	EPA	[65 FR 2727, Jan. 18, 2000, as amended at 67 FR 21529, Apr. 30, 2002]	(a) Permit requirements. (1) The NO X authorized account representative of each NO X Budget source required to have a federally enforceable permit and each NO X Budget unit required to have a federally enforceable permit at the source shall: (i) Submit to the permitting authority a complete NO X Budget permit application under § 97.22 in accordance with the deadlines specified in § 97.21(b) and (c); (ii) Submit in a timely manner any supplemental information that the permitting authority determines is necessary in order to review a NO X Budget permit application and issue or deny a NO X Budget permit. (2) The owners and operators of each NO X Budget source required to have a federally enforceable permit and each NO X Budget unit required to have a federally enforceable permit at the source shall have a NO X Budget permit issued by the permitting authority and operate the unit in compliance with such NO X Budget permit. (3) The owners and operators of a NO X Budget source that is not otherwise required to have a federally enforceable permit are not required to submit a NO X Budget permit application, and to have a NO X Budget permit, under subpart C of this part for such NO X Budget source. (b) Monitoring requirements. (1) The owners and operators and, to the extent applicable, the NO X authorized account representative of each NO X Budget source and each NO X Budget unit at the source shall comply with the monitoring requirements of subpart H of this part. (2) The emissions measurements recorded and reported in accordance with subpart H of this part shall be used to determine compliance by the unit with the NO X Budget emissions limitation under paragraph (c) of this section. (c) Nitrogen oxides requirements. (1) The owners and operators of each NO X Budget source and each NO X Budget unit at the source shall hold NO X allowances available for compliance deductions under § 97.54(a), (b), (e), or (f) as of the NO X allowance transfer deadline, in the unit's compliance account and…
40:40:23.0.1.1.1.1.1.7	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	A	Subpart A—NO	§ 97.7 Computation of time.	EPA		(a) Unless otherwise stated, any time period scheduled, under the NO X Budget Trading Program, to begin on the occurrence of an act or event shall begin on the day the act or event occurs. (b) Unless otherwise stated, any time period scheduled, under the NO X Budget Trading Program, to begin before the occurrence of an act or event shall be computed so that the period ends the day before the act or event occurs. (c) Unless otherwise stated, if the final day of any time period, under the NO X Budget Trading Program, falls on a weekend or a State or Federal holiday, the time period shall be extended to the next business day.
40:40:23.0.1.1.1.10.1.1	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	J	Subpart J—Appeal Procedures	§ 97.90 Appeal procedures.	EPA	[69 FR 21648, Apr. 21, 2004]	The appeal procedures for the NO X Budget Trading Program are set forth in part 78 of this chapter.
40:40:23.0.1.1.1.11.1.1	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	AA	Subpart AA—CAIR NO	§ 97.101 Purpose.	EPA		This subpart and subparts BB through II set forth the general provisions and the designated representative, permitting, allowance, monitoring, and opt-in provisions for the Federal Clean Air Interstate Rule (CAIR) NO X Annual Trading Program, under section 110 of the Clean Air Act and § 52.35 of this chapter, as a means of mitigating interstate transport of fine particulates and nitrogen oxides.
40:40:23.0.1.1.1.11.1.2	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	AA	Subpart AA—CAIR NO	§ 97.102 Definitions.	EPA	[65 FR 2727, Jan. 18, 2000, as amended at 71 FR 74795, Dec. 13, 2006; 72 FR 59206, Oct. 19, 2007]	The terms used in this subpart and subparts BB through II shall have the meanings set forth in this section as follows: Account number means the identification number given by the Administrator to each CAIR NO X Allowance Tracking System account. Acid Rain emissions limitation means a limitation on emissions of sulfur dioxide or nitrogen oxides under the Acid Rain Program. Acid Rain Program means a multi-state sulfur dioxide and nitrogen oxides air pollution control and emission reduction program established by the Administrator under title IV of the CAA and parts 72 through 78 of this chapter. Actual weighted average NO X emission rate means, for a NO X averaging plan under § 76.11 of this chapter and for a year: (1) The sum of the products of the actual annual average NO X emission rate and actual annual heat input (as determined in accordance with part 75 of this chapter) for all units in the NO X averaging plan for the year; divided by (2) The sum of the actual annual heat input (as determined in accordance with part 75 of this chapter) for all units in the NO X averaging plan for the year. Administrator means the Administrator of the United States Environmental Protection Agency or the Administrator's duly authorized representative. Allocate or allocation means, with regard to CAIR NO X allowances, the determination by a permitting authority or the Administrator of the amount of such CAIR NO X allowances to be initially credited to a CAIR NO X unit, a new unit set-aside, or other entity. Allowance transfer deadline means, for a control period, midnight of March 1 (if it is a business day), or midnight of the first business day thereafter (if March 1 is not a business day), immediately following the control period and is the deadline by which a CAIR NO X allowance transfer must be submitted for recordation in a CAIR NO X source's compliance account in order to be used to meet the source's CAIR NO X emissions limitation for such control period in accordance with § 97.154. Altern…
40:40:23.0.1.1.1.11.1.3	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	AA	Subpart AA—CAIR NO	§ 97.103 Measurements, abbreviations, and acronyms.	EPA		Measurements, abbreviations, and acronyms used in this subpart and subparts BB through II are defined as follows: Btu—British thermal unit CO 2 —carbon dioxide H 2 O—water Hg—mercury hr—hour kW—kilowatt electrical kWh—kilowatt hour lb—pound mmBtu—million Btu MWe—megawatt electrical MWh—megawatt hour NO X —nitrogen oxides O 2 —oxygen ppm—parts per million scfh—standard cubic feet per hour SO 2 —sulfur dioxide yr—year
40:40:23.0.1.1.1.11.1.4	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	AA	Subpart AA—CAIR NO	§ 97.104 Applicability.	EPA		(a) Except as provided in paragraph (b) of this section: (1) The following units in a State shall be CAIR NO X units, and any source that includes one or more such units shall be a CAIR NO X source, subject to the requirements of this subpart and subparts BB through HH of this part: any stationary, fossil-fuel-fired boiler or stationary, fossil-fuel-fired combustion turbine serving at any time, since the later of November 15, 1990 or the start-up of the unit's combustion chamber, a generator with nameplate capacity of more than 25 MWe producing electricity for sale. (2) If a stationary boiler or stationary combustion turbine that, under paragraph (a)(1) of this section, is not a CAIR NO X unit begins to combust fossil fuel or to serve a generator with nameplate capacity of more than 25 MWe producing electricity for sale, the unit shall become a CAIR NO X unit as provided in paragraph (a)(1) of this section on the first date on which it both combusts fossil fuel and serves such generator. (b) The units in a State that meet the requirements set forth in paragraph (b)(1)(i), (b)(2)(i), or (b)(2)(ii) of this section shall not be CAIR NO X units: (1)(i) Any unit that is a CAIR NO X unit under paragraph (a)(1) or (2) of this section: (A) Qualifying as a cogeneration unit during the 12-month period starting on the date the unit first produces electricity and continuing to qualify as a cogeneration unit; and (B) Not serving at any time, since the later of November 15, 1990 or the start-up of the unit's combustion chamber, a generator with nameplate capacity of more than 25 MWe supplying in any calendar year more than one-third of the unit's potential electric output capacity or 219,000 MWh, whichever is greater, to any utility power distribution system for sale. (ii) If a unit qualifies as a cogeneration unit during the 12-month period starting on the date the unit first produces electricity and meets the requirements of paragraphs (b)(1)(i) of this section for at least one calendar year, but subsequently no…
40:40:23.0.1.1.1.11.1.5	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	AA	Subpart AA—CAIR NO	§ 97.105 Retired unit exemption.	EPA		(a)(1) Any CAIR NO X unit that is permanently retired and is not a CAIR NO X opt-in unit under subpart II of this part shall be exempt from the CAIR NO X Annual Trading Program, except for the provisions of this section, §§ 97.102, 97.103, 97.104, 97.106(c)(4) through (7), 97.107, 97.108, and subparts BB and EE through GG of this part. (2) The exemption under paragraph (a)(1) of this section shall become effective the day on which the CAIR NO X unit is permanently retired. Within 30 days of the unit's permanent retirement, the CAIR designated representative shall submit a statement to the permitting authority otherwise responsible for administering any CAIR permit for the unit and shall submit a copy of the statement to the Administrator. The statement shall state, in a format prescribed by the permitting authority, that the unit was permanently retired on a specific date and will comply with the requirements of paragraph (b) of this section. (3) After receipt of the statement under paragraph (a)(2) of this section, the permitting authority will amend any permit under subpart CC of this part covering the source at which the unit is located to add the provisions and requirements of the exemption under paragraphs (a)(1) and (b) of this section. (b) Special provisions. (1) A unit exempt under paragraph (a) of this section shall not emit any nitrogen oxides, starting on the date that the exemption takes effect. (2) The Administrator or the permitting authority will allocate CAIR NO X allowances under subpart EE of this part to a unit exempt under paragraph (a) of this section. (3) For a period of 5 years from the date the records are created, the owners and operators of a unit exempt under paragraph (a) of this section shall retain, at the source that includes the unit, records demonstrating that the unit is permanently retired. The 5-year period for keeping records may be extended for cause, at any time before the end of the period, in writing by the permitting authority or the Administrator. The owners …
40:40:23.0.1.1.1.11.1.6	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	AA	Subpart AA—CAIR NO	§ 97.106 Standard requirements.	EPA		(a) Permit requirements. (1) The CAIR designated representative of each CAIR NO X source required to have a title V operating permit and each CAIR NO X unit required to have a title V operating permit at the source shall: (i) Submit to the permitting authority a complete CAIR permit application under § 97.122 in accordance with the deadlines specified in § 97.121; and (ii) Submit in a timely manner any supplemental information that the permitting authority determines is necessary in order to review a CAIR permit application and issue or deny a CAIR permit. (2) The owners and operators of each CAIR NO X source required to have a title V operating permit and each CAIR NO X unit required to have a title V operating permit at the source shall have a CAIR permit issued by the permitting authority under subpart CC of this part for the source and operate the source and the unit in compliance with such CAIR permit. (3) Except as provided in subpart II of this part, the owners and operators of a CAIR NO X source that is not otherwise required to have a title V operating permit and each CAIR NO X unit that is not otherwise required to have a title V operating permit are not required to submit a CAIR permit application, and to have a CAIR permit, under subpart CC of this part for such CAIR NO X source and such CAIR NO X unit. (b) Monitoring, reporting, and recordkeeping requirements. (1) The owners and operators, and the CAIR designated representative, of each CAIR NO X source and each CAIR NO X unit at the source shall comply with the monitoring, reporting, and recordkeeping requirements of subpart HH of this part. (2) The emissions measurements recorded and reported in accordance with subpart HH of this part shall be used to determine compliance by each CAIR NO X source with the CAIR NO X emissions limitation under paragraph (c) of this section. (c) Nitrogen oxides emission requirements. (1) As of the allowance transfer deadline for a control period, the owners and operators of each CAIR NO X sou…
40:40:23.0.1.1.1.11.1.7	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	AA	Subpart AA—CAIR NO	§ 97.107 Computation of time.	EPA		(a) Unless otherwise stated, any time period scheduled, under the CAIR NO X Annual Trading Program, to begin on the occurrence of an act or event shall begin on the day the act or event occurs. (b) Unless otherwise stated, any time period scheduled, under the CAIR NO X Annual Trading Program, to begin before the occurrence of an act or event shall be computed so that the period ends the day before the act or event occurs. (c) Unless otherwise stated, if the final day of any time period, under the CAIR NO X Annual Trading Program, falls on a weekend or a State or Federal holiday, the time period shall be extended to the next business day.
40:40:23.0.1.1.1.11.1.8	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	AA	Subpart AA—CAIR NO	§ 97.108 Appeal procedures.	EPA		The appeal procedures for decisions of the Administrator under the CAIR NO X Annual Trading Program are set forth in part 78 of this chapter.
40:40:23.0.1.1.1.12.1.1	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	BB	Subpart BB—CAIR Designated Representative for CAIR NO	§ 97.110 Authorization and responsibilities of CAIR designated representative.	EPA		(a) Except as provided under § 97.111, each CAIR NO X source, including all CAIR NO X units at the source, shall have one and only one CAIR designated representative, with regard to all matters under the CAIR NO X Annual Trading Program concerning the source or any CAIR NO X unit at the source. (b) The CAIR designated representative of the CAIR NO X source shall be selected by an agreement binding on the owners and operators of the source and all CAIR NO X units at the source and shall act in accordance with the certification statement in § 97.113(a)(4)(iv). (c) Upon receipt by the Administrator of a complete certificate of representation under § 97.113, the CAIR designated representative of the source shall represent and, by his or her representations, actions, inactions, or submissions, legally bind each owner and operator of the CAIR NO X source represented and each CAIR NO X unit at the source in all matters pertaining to the CAIR NO X Annual Trading Program, notwithstanding any agreement between the CAIR designated representative and such owners and operators. The owners and operators shall be bound by any decision or order issued to the CAIR designated representative by the permitting authority, the Administrator, or a court regarding the source or unit. (d) No CAIR permit will be issued, no emissions data reports will be accepted, and no CAIR NO X Allowance Tracking System account will be established for a CAIR NO X unit at a source, until the Administrator has received a complete certificate of representation under § 97.113 for a CAIR designated representative of the source and the CAIR NO X units at the source. (e)(1) Each submission under the CAIR NO X Annual Trading Program shall be submitted, signed, and certified by the CAIR designated representative for each CAIR NO X source on behalf of which the submission is made. Each such submission shall include the following certification statement by the CAIR designated representative: “I am authorized to make this submission on behalf of t…
40:40:23.0.1.1.1.12.1.2	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	BB	Subpart BB—CAIR Designated Representative for CAIR NO	§ 97.111 Alternate CAIR designated representative.	EPA		(a) A certificate of representation under § 97.113 may designate one and only one alternate CAIR designated representative, who may act on behalf of the CAIR designated representative. The agreement by which the alternate CAIR designated representative is selected shall include a procedure for authorizing the alternate CAIR designated representative to act in lieu of the CAIR designated representative. (b) Upon receipt by the Administrator of a complete certificate of representation under § 97.113, any representation, action, inaction, or submission by the alternate CAIR designated representative shall be deemed to be a representation, action, inaction, or submission by the CAIR designated representative. (c) Except in this section and §§ 97.102, 97.110(a) and (d), 97.112, 97.113, 97.115, 97.151 and 97.182, whenever the term “CAIR designated representative” is used in subparts AA through II of this part, the term shall be construed to include the CAIR designated representative or any alternate CAIR designated representative.
40:40:23.0.1.1.1.12.1.3	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	BB	Subpart BB—CAIR Designated Representative for CAIR NO	§ 97.112 Changing CAIR designated representative and alternate CAIR designated representative; changes in owners and operators.	EPA		(a) Changing CAIR designated representative. The CAIR designated representative may be changed at any time upon receipt by the Administrator of a superseding complete certificate of representation under § 97.113. Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous CAIR designated representative before the time and date when the Administrator receives the superseding certificate of representation shall be binding on the new CAIR designated representative and the owners and operators of the CAIR NO X source and the CAIR NO X units at the source. (b) Changing alternate CAIR designated representative. The alternate CAIR designated representative may be changed at any time upon receipt by the Administrator of a superseding complete certificate of representation under § 97.113. Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous alternate CAIR designated representative before the time and date when the Administrator receives the superseding certificate of representation shall be binding on the new alternate CAIR designated representative and the owners and operators of the CAIR NO X source and the CAIR NO X units at the source. (c) Changes in owners and operators. (1) In the event an owner or operator of a CAIR NO X source or a CAIR NO X unit is not included in the list of owners and operators in the certificate of representation under § 97.113, such owner or operator shall be deemed to be subject to and bound by the certificate of representation, the representations, actions, inactions, and submissions of the CAIR designated representative and any alternate CAIR designated representative of the source or unit, and the decisions and orders of the permitting authority, the Administrator, or a court, as if the owner or operator were included in such list. (2) Within 30 days following any change in the owners and operators of a CAIR NO X source or a CAIR NO X unit, including the addition of a new ow…
40:40:23.0.1.1.1.12.1.4	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	BB	Subpart BB—CAIR Designated Representative for CAIR NO	§ 97.113 Certificate of representation.	EPA	[65 FR 2727, Jan. 18, 2000, as amended at 71 FR 74795, Dec. 13, 2006]	(a) A complete certificate of representation for a CAIR designated representative or an alternate CAIR designated representative shall include the following elements in a format prescribed by the Administrator: (1) Identification of the CAIR NO X source, and each CAIR NO X unit at the source, for which the certificate of representation is submitted, including identification and nameplate capacity of each generator served by each such unit. (2) The name, address, e-mail address (if any), telephone number, and facsimile transmission number (if any) of the CAIR designated representative and any alternate CAIR designated representative. (3) A list of the owners and operators of the CAIR NO X source and of each CAIR NO X unit at the source. (4) The following certification statements by the CAIR designated representative and any alternate CAIR designated representative— (i) “I certify that I was selected as the CAIR designated representative or alternate CAIR designated representative, as applicable, by an agreement binding on the owners and operators of the source and each CAIR NO X unit at the source.” (ii) “I certify that I have all the necessary authority to carry out my duties and responsibilities under the CAIR NO X Annual Trading Program on behalf of the owners and operators of the source and of each CAIR NO X unit at the source and that each such owner and operator shall be fully bound by my representations, actions, inactions, or submissions.” (iii) “I certify that the owners and operators of the source and of each CAIR NO X unit at the source shall be bound by any order issued to me by the Administrator, the permitting authority, or a court regarding the source or unit.” (iv) Where there are multiple holders of a legal or equitable title to, or a leasehold interest in, a CAIR NO X unit, or where a utility or industrial customer purchases power from a CAIR NO X unit under a life-of-the-unit, firm power contractual arrangement, I certify that: I have given a written notice of my selection as t…
40:40:23.0.1.1.1.12.1.5	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	BB	Subpart BB—CAIR Designated Representative for CAIR NO	§ 97.114 Objections concerning CAIR designated representative.	EPA		(a) Once a complete certificate of representation under § 97.113 has been submitted and received, the permitting authority and the Administrator will rely on the certificate of representation unless and until a superseding complete certificate of representation under § 97.113 is received by the Administrator. (b) Except as provided in § 97.112(a) or (b), no objection or other communication submitted to the permitting authority or the Administrator concerning the authorization, or any representation, action, inaction, or submission, of the CAIR designated representative shall affect any representation, action, inaction, or submission of the CAIR designated representative or the finality of any decision or order by the permitting authority or the Administrator under the CAIR NO X Annual Trading Program. (c) Neither the permitting authority nor the Administrator will adjudicate any private legal dispute concerning the authorization or any representation, action, inaction, or submission of any CAIR designated representative, including private legal disputes concerning the proceeds of CAIR NO X allowance transfers.
40:40:23.0.1.1.1.12.1.6	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	BB	Subpart BB—CAIR Designated Representative for CAIR NO	§ 97.115 Delegation by CAIR designated representative and alternate CAIR designated representative.	EPA		(a) A CAIR designated representative may delegate, to one or more natural persons, his or her authority to make an electronic submission to the Administrator provided for or required under this part. (b) An alternate CAIR designated representative may delegate, to one or more natural persons, his or her authority to make an electronic submission to the Administrator provided for or required under this part. (c) In order to delegate authority to make an electronic submission to the Administrator in accordance with paragraph (a) or (b) of this section, the CAIR designated representative or alternate CAIR designated representative, as appropriate, must submit to the Administrator a notice of delegation, in a format prescribed by the Administrator, that includes the following elements: (1) The name, address, e-mail address, telephone number, and facsimile transmission number (if any) of such CAIR designated representative or alternate CAIR designated representative; (2) The name, address, e-mail address, telephone number, and facsimile transmission number (if any) of each such natural person (referred to as an “agent”); (3) For each such natural person, a list of the type or types of electronic submissions under paragraph (a) or (b) of this section for which authority is delegated to him or her; and (4) The following certification statements by such CAIR designated representative or alternate CAIR designated representative: (i) “I agree that any electronic submission to the Administrator that is by an agent identified in this notice of delegation and of a type listed for such agent in this notice of delegation and that is made when I am a CAIR designated representative or alternate CAIR designated representative, as appropriate, and before this notice of delegation is superseded by another notice of delegation under 40 CFR 97.115(d) shall be deemed to be an electronic submission by me.” (ii) “Until this notice of delegation is superseded by another notice of delegation under 40 CFR 97.115(d), I agree to maint…
40:40:23.0.1.1.1.13.1.1	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	CC	Subpart CC—Permits	§ 97.120 General CAIR NO	EPA		(a) For each CAIR NO X source required to have a title V operating permit or required, under subpart II of this part, to have a title V operating permit or other federally enforceable permit, such permit shall include a CAIR permit administered by the permitting authority for the title V operating permit or the federally enforceable permit as applicable. The CAIR portion of the title V permit or other federally enforceable permit as applicable shall be administered in accordance with the permitting authority's title V operating permits regulations promulgated under part 70 or 71 of this chapter or the permitting authority's regulations for other federally enforceable permits as applicable, except as provided otherwise by § 97.105, this subpart, and subpart II of this part. (b) Each CAIR permit shall contain, with regard to the CAIR NO X source and the CAIR NO X units at the source covered by the CAIR permit, all applicable CAIR NO X Annual Trading Program, CAIR NO X Ozone Season Trading Program, and CAIR SO 2 Trading Program requirements and shall be a complete and separable portion of the title V operating permit or other federally enforceable permit under paragraph (a) of this section.
40:40:23.0.1.1.1.13.1.2	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	CC	Subpart CC—Permits	§ 97.121 Submission of CAIR permit applications.	EPA		(a) Duty to apply. The CAIR designated representative of any CAIR NO X source required to have a title V operating permit shall submit to the permitting authority a complete CAIR permit application under § 97.122 for the source covering each CAIR NO X unit at the source at least 18 months (or such lesser time provided by the permitting authority) before the later of January 1, 2009 or the date on which the CAIR NO X unit commences commercial operation, except as provided in § 97.183(a). (b) Duty to reapply. For a CAIR NO X source required to have a title V operating permit, the CAIR designated representative shall submit a complete CAIR permit application under § 97.122 for the source covering each CAIR NO X unit at the source to renew the CAIR permit in accordance with the permitting authority's title V operating permits regulations addressing permit renewal, except as provided in § 97.183(b).
40:40:23.0.1.1.1.13.1.3	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	CC	Subpart CC—Permits	§ 97.122 Information requirements for CAIR permit applications.	EPA		A complete CAIR permit application shall include the following elements concerning the CAIR NO X source for which the application is submitted, in a format prescribed by the permitting authority: (a) Identification of the CAIR NO X source; (b) Identification of each CAIR NO X unit at the CAIR NO X source; and (c) The standard requirements under § 97.106.
40:40:23.0.1.1.1.13.1.4	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	CC	Subpart CC—Permits	§ 97.123 CAIR permit contents and term.	EPA		(a) Each CAIR permit will contain, in a format prescribed by the permitting authority, all elements required for a complete CAIR permit application under § 97.122. (b) Each CAIR permit is deemed to incorporate automatically the definitions of terms under § 97.102 and, upon recordation by the Administrator under subpart EE, FF, GG, or II of this part, every allocation, transfer, or deduction of a CAIR NO X allowance to or from the compliance account of the CAIR NO X source covered by the permit. (c) The term of the CAIR permit will be set by the permitting authority, as necessary to facilitate coordination of the renewal of the CAIR permit with issuance, revision, or renewal of the CAIR NO X source's title V operating permit or other federally enforceable permit as applicable.
40:40:23.0.1.1.1.13.1.5	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	CC	Subpart CC—Permits	§ 97.124 CAIR permit revisions.	EPA		Except as provided in § 97.123(b), the permitting authority will revise the CAIR permit, as necessary, in accordance with the permitting authority's title V operating permits regulations or the permitting authority's regulations for other federally enforceable permits as applicable addressing permit revisions.
40:40:23.0.1.1.1.15.1.1	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	EE	Subpart EE—CAIR NO	§ 97.140 State trading budgets.	EPA		The State trading budgets for annual allocations of CAIR NO X allowances for the control periods in 2009 through 2014 and in 2015 and thereafter are respectively as follows:
40:40:23.0.1.1.1.15.1.2	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	EE	Subpart EE—CAIR NO	§ 97.141 Timing requirements for CAIR NO	EPA		(a) The Administrator will determine by order the CAIR NO X allowance allocations, in accordance with § 97.142(a) and (b), for the control periods in 2009, 2010, 2011, 2012, 2013, and 2014. (b) By July 31, 2011 and July 31 of each year thereafter, the Administrator will determine by order the CAIR NO X allowance allocations, in accordance with § 97.142(a) and (b), for the control period in the fourth year after the year of the applicable deadline for determination under this paragraph. (c) By July 31, 2009 and July 31 of each year thereafter, the Administrator will determine by order the CAIR NO X allowance allocations, in accordance with § 97.142(a),(c), and (d), for the control period in the year of the applicable deadline for determination under this paragraph. (d) The Administrator will make available to the public each determination of CAIR NO X allowances under paragraph (a), (b), or (c) of this section and will provide an opportunity for submission of objections to the determination. Objections shall be limited to addressing whether the determination is in accordance with § 97.142. Based on any such objections, the Administrator will adjust each determination to the extent necessary to ensure that it is in accordance with § 97.142.
40:40:23.0.1.1.1.15.1.3	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	EE	Subpart EE—CAIR NO	§ 97.142 CAIR NO	EPA		(a)(1) The baseline heat input (in mmBtu) used with respect to CAIR NO X allowance allocations under paragraph (b) of this section for each CAIR NO X unit will be: (i) For units commencing operation before January 1, 2001 the average of the 3 highest amounts of the unit's adjusted control period heat input for 2000 through 2004, with the adjusted control period heat input for each year calculated as follows: (A) If the unit is coal-fired during the year, the unit's control period heat input for such year is multiplied by 100 percent; (B) If the unit is oil-fired during the year, the unit's control period heat input for such year is multiplied by 60 percent; and (C) If the unit is not subject to paragraph (a)(1)(i)(A) or (B) of this section, the unit's control period heat input for such year is multiplied by 40 percent. (ii) For units commencing operation on or after January 1, 2001 and operating each calendar year during a period of 5 or more consecutive calendar years, the average of the 3 highest amounts of the unit's total converted control period heat input over the first such 5 years. (2)(i) A unit's control period heat input, and a unit's status as coal-fired or oil-fired, for a calendar year under paragraph (a)(1)(i) of this section, and a unit's total tons of NO X emissions during a calendar year under paragraph (c)(3) of this section, will be determined in accordance with part 75 of this chapter, to the extent the unit was otherwise subject to the requirements of part 75 of this chapter for the year, or will be based on the best available data reported to the Administrator for the unit (in a format prescribed by the Administrator), to the extent the unit was not otherwise subject to the requirements of part 75 of this chapter for the year. (ii) A unit's converted control period heat input for a calendar year specified under paragraph (a)(1)(ii) of this section equals: (A) Except as provided in paragraph (a)(2)(ii)(B) or (C) of this section, the control period gross electrical output of the gen…
40:40:23.0.1.1.1.15.1.4	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	EE	Subpart EE—CAIR NO	§ 97.143 Compliance supplement pool.	EPA	[65 FR 2727, Jan. 18, 2000, as amended at 71 FR 74795, Dec. 13, 2006]	(a) In addition to the CAIR NO X allowances allocated under § 97.142, the Administrator may allocate for the control period in 2009 up to the following amount of CAIR NO X allowances to CAIR NO X units in the respective State: (b) For any CAIR NO X unit in a State, if the unit's average annual NO X emission rate for 2007 or 2008 is less than 0.25 lb/mmBtu and, where such unit is included in a NO X averaging plan under § 76.11 of this chapter under the Acid Rain Program for such year, the unit's NO X averaging plan has an actual weighted average NO X emission rate for such year equal to or less than the actual weighted average NO X emission rate for the year before such year and if the unit achieves NO X emission reductions in 2007 and 2008, the CAIR designated representative of the unit may request early reduction credits, and allocation of CAIR NO X allowances from the compliance supplement pool under paragraph (a) of this section for such early reduction credits, in accordance with the following: (1) The owners and operators of such CAIR NO X unit shall monitor and report the NO X emissions rate and the heat input of the unit in accordance with subpart HH of this part in each control period for which early reduction credit is requested. (2) The CAIR designated representative of such CAIR NO X unit shall submit to the Administrator by May 1, 2009 a request, in a format specified by the Administrator, for allocation of an amount of CAIR NO X allowances from the compliance supplement pool not exceeding the sum of the unit's heat input for the control period in 2007 multiplied by the difference (if any greater than zero) between 0.25 lb/mmBtu and the unit's NO X emission rate for the control period in 2007 plus the unit's heat input for the control period in 2008 multiplied by the difference (if any greater than zero) between 0.25 lb/mmBtu and the unit's NO X emission rate for the control period in 2008, determined in accordance with subpart HH of this part and with the sum divided by 2,000 lb/t…
40:40:23.0.1.1.1.15.1.5	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	EE	Subpart EE—CAIR NO	§ 97.144 Alternative of allocation of CAIR NO	EPA	[65 FR 2727, Jan. 18, 2000, as amended at 71 FR 74795, Dec. 13, 2006]	(a) Notwithstanding §§ 97.141, 97.142, and 97.153 if a State submits, and the Administrator approves, a State implementation plan revision in accordance with § 51.123(p)(1) of this chapter providing for allocation of CAIR NO X allowances by the permitting authority, then the permitting authority shall make such allocations in accordance with such approved State implementation plan revision, the Administrator will not make allocations under §§ 97.141 and 97.142 for the CAIR NO X units in the State, and under § 97.153, the Administrator will record the allocations made under such approved State implementation plan revision instead of allocations made under §§ 97.141 and 97.142. (b) Notwithstanding § 97.143, if a State submits, and the Administrator approves, a State implementation plan revision in accordance with § 51.123(p)(2) of this chapter providing for allocation of the State's compliance supplement pool by the permitting authority, then the permitting authority shall make such allocations in accordance with such approved State implementation plan revision, the Administrator will not make allocations under § 97.143(d)(4) for the CAIR NO X units in the State, and under § 97.143(d)(5), the Administrator will record the allocations of the State's compliance supplement pool made under such approved State implementation plan revision instead of allocations made under § 97.143(d)(4). (c)(1) In implementing paragraph (a) of this section and §§ 97.141, 97.142, and 97.153, the Administrator will ensure that the total amount of CAIR NO X allowances allocated, under such provisions and under a State's State implementation plan revision approved in accordance with § 51.123(p)(1) of this chapter, for a control period for CAIR NO X sources in the State or for other entities specified by the permitting authority will not exceed the State's State trading budget for the year of the control period. (2) In implementing paragraph (b) of this section and § 97.143, the Administrator will ensure that the total amount of CAIR…
40:40:23.0.1.1.1.16.1.1	40	Protection of Environment	I	C	97	PART 97—FEDERAL NOX BUDGET TRADING PROGRAM, CAIR NOX AND SO2 TRADING PROGRAMS, CSAPR NOX AND SO2 TRADING PROGRAMS, AND TEXAS SO2 TRADING PROGRAM	FF	Subpart FF—CAIR NO	§ 97.150 [Reserved]	EPA

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