{"database": "openregs", "table": "cfr_sections", "is_view": false, "human_description_en": "where part_number = 234 sorted by section_id", "rows": [["14:14:4.0.1.1.18.0.1.1", 14, "Aeronautics and Space", "II", "A", "234", "PART 234\u2014AIRLINE SERVICE QUALITY PERFORMANCE REPORTS", "", "", "", "\u00a7 234.1 Purpose.", "FAA", "", "", "", "The purpose of this part is to set forth required data that certain air carriers must submit to the Department and to computer reservations system vendors in computerized form, except as otherwise provided, so that information on air carriers' quality of service can be made available to consumers of air transportation. This part also requires that service quality data be disclosed directly to consumers."], ["14:14:4.0.1.1.18.0.1.10", 14, "Aeronautics and Space", "II", "A", "234", "PART 234\u2014AIRLINE SERVICE QUALITY PERFORMANCE REPORTS", "", "", "", "\u00a7 234.10 Voluntary disclosure of on-time performance codes.", "FAA", "", "", "", "(a) Any air carrier may determine, in accordance with the provisions of \u00a7 234.8 of this part, the on-time performance codes for the flights for which it voluntarily provides flight information to the Department pursuant to \u00a7 234.7 of this part.\n\n(b) A carrier may supply these additional on-time performance codes to system vendors at the same time and in the same manner as the required disclosures are made to system vendors, provided that voluntary disclosures must continue for a period of not less than 12 consecutive months, and must be supplied either\n\n(1) For each of the carrier's reportable flights and each of its single plane one-stop or multi-stop flights, or portions thereof, that it holds out to the public through a CRS, the last segment of which is a reportable flight or\n\n(2) For each of the carrier's domestic flights."], ["14:14:4.0.1.1.18.0.1.11", 14, "Aeronautics and Space", "II", "A", "234", "PART 234\u2014AIRLINE SERVICE QUALITY PERFORMANCE REPORTS", "", "", "", "\u00a7 234.11 Disclosure to consumers.", "FAA", "", "", "[Doc. No. DOT-OST-2007-0022, 74 FR 69002, Dec. 30, 2009, as amended by Doc. No. DOT-OST-2010-0039, 75 FR 17052, Apr. 5, 2010; Doc. No. DOT-OST-2007-0022, 75 FR 34927, June 21, 2010]", "(a) During the course of reservations or ticketing discussions or transactions, or inquiries about flights, between a carrier's employees or contractors and the public, the carrier shall disclose upon reasonable request the on-time performance code for any flight that has been assigned a code pursuant to this part.\n\n(b) For each domestic flight for which schedule information is available on its Web site, including domestic code-share flights, a reporting carrier shall display the following information regarding the flight's performance during the most recent calendar month for which the carrier has reported on-time performance data to the Department: the percentage of arrivals that were on time\u2014 i.e. , within 15 minutes of scheduled arrival time, the percentage of arrivals that were more than 30 minutes late (including special highlighting if the flight was late more than 30 minutes of scheduled arrival time more than 50 percent of the time), and the percentage of flight cancellations if 5 percent or more of the flight's operations were canceled in the month covered. The information must be provided by showing all of the required information on the initial listing of flights or by showing all of the required information via a prominent hyperlink in close proximity to each flight on the page with the initial listing of flights.\n\n(c) The first time each carrier must load the information whose disclosure is required under paragraphs (a) and (b) of this section onto its Web site is on Saturday, July 24, 2010, for June data. Carriers must load all subsequent flight performance information on the fourth Saturday of the month following the month that is being reported.\n\n(d) A reporting carrier must meet the requirements of paragraphs (b) and (c) of this section by June 29, 2010."], ["14:14:4.0.1.1.18.0.1.12", 14, "Aeronautics and Space", "II", "A", "234", "PART 234\u2014AIRLINE SERVICE QUALITY PERFORMANCE REPORTS", "", "", "", "\u00a7 234.12 Waivers.", "FAA", "", "", "[Doc. No. 48524, 59 FR 49798, Sept. 30, 1994, as amended at 60 FR 66722, Dec. 26, 1995]", "Any carrier may request a waiver from the reporting requirements of this part. Such a request, at the discretion of the Director, Bureau of Transportation Statistics may be granted for good cause shown. The requesting party shall state the basis for such a waiver."], ["14:14:4.0.1.1.18.0.1.2", 14, "Aeronautics and Space", "II", "A", "234", "PART 234\u2014AIRLINE SERVICE QUALITY PERFORMANCE REPORTS", "", "", "", "\u00a7 234.2 Definitions.", "FAA", "", "", "[Amdt. 234-1, 52 FR 34071, Sept. 9, 1987, as amended by Doc. No. 48524, 59 FR 49797, Sept. 30, 1994; 60 FR 66722, Dec. 26, 1995; Dockt. No. DOT-RITA-2011-0001, 81 FR 76306, Nov. 2, 2016; Dockt. No. DOT-OST-2014-056; 81 FR 76826, Nov. 3, 2016]", "For the purpose of this part:\n\nCancelled flight  means a flight operation that was not operated, but was listed in a carrier's computer reservation system within seven calendar days of the scheduled departure.\n\nDiscontinued flight  means a flight dropped from a carrier's computer reservation system more than seven calendar days before its scheduled departure.\n\nDiverted flight  means a flight which is operated from the scheduled origin point to a point other than the scheduled destination point in the carrier's published schedule. For example, a carrier has a published schedule for a flight from A to B to C. If the carrier were to actually fly an A to C operation, the A to B segment is a diverted flight, and the B to C segment is a cancelled flight.\n\nExtra-section flight  means a flight conducted as an integral part of scheduled passenger service, that has not been provided for in published schedules and is required for transportation of traffic that cannot be accommodated on the regularly scheduled flight.\n\nFlight  means any nonstop scheduled passenger flight segment with a specific flight number scheduled to be operated pursuant to a published schedule within a specific origin-destination city pair, other than transborder or foreign air transportation. In the case of reporting to computer reservations system vendors,  flight  also means one-stop or multi-stop single plane scheduled operations that include any flight segments for which performance is reported pursuant to this part.\n\nLate  or  late flight  means a flight that arrives at the gate 15 minutes or more after its published arrival time.\n\nMishandled-baggage report  means a report filed with a carrier by or on behalf of a passenger that claims loss, delay, damage or pilferage of baggage.\n\nMishandled checked bag  means a checked bag that is lost, delayed, damaged or pilfered, as reported to a carrier by or on behalf of a passenger.\n\nNew flight  means a flight added to a carrier's schedule to operate in a specific origin-destination city pair and not scheduled to depart within 30 minutes of any discontinued flight that was contained in the carrier's published schedules for the same city pair during the previous month.\n\nOn-time  means a flight that arrives less than 15 mintues after its published arrival time.\n\nOn-time performance  means the percentage of scheduled operations of a specific flight that an air carrier operates on-time during a month.\n\nOn-time performance code  means a single character determined in accordance with the provisions of this part that reflects the monthly on-time performance of certain nonstop flights and single plane one-stop or multi-stop flights, the schedule and availability of which are listed in a computer reservation system ( CRS ) regulated by 14 CFR part 255.\n\nReportable flight.  (1) Reportable flight for air transportation taking place before January 1, 2018 means any nonstop flight, including a mechanically delayed flight, to or from any airport within the contiguous 48 states that accounts for at least 1 percent of domestic scheduled-passenger enplanements in the previous calendar year, as reported to the Department pursuant to part 241 of this title. Qualifying airports will be specified periodically in accounting and reporting directives issued by the Office of Airline Information.\n\n(2) Reportable flight for air transportation taking place on or after January 1, 2018 means any domestic nonstop scheduled passenger flight, including a mechanically delayed flight, held out to the public under the reporting carrier's code, to or from any U.S. large, medium, small, or non-hub airport as defined in 49 U.S.C. 47102. Qualifying airports will be specified periodically in accounting and reporting directives issued by the Office of Airline Information.\n\nReporting carrier.  (1) Reporting carrier for air transportation taking place before January 1, 2018 means an air carrier certificated under 49 U.S.C. 41102 that accounted for at least 1 percent of domestic scheduled-passenger revenues in the most recently reported 12-month period as defined by the Department's Office of Airline Information, and as reported to the Department pursuant to part 241 of this title. Reporting carriers will be identified periodically in accounting and reporting directives issued by the Office of Airline Information.\n\n(2) Reporting carrier for air transportation taking place on or after January 1, 2018 means an air carrier certificated under 49 U.S.C. 41102 that accounted for at least 0.5 percent of domestic scheduled-passenger revenus in the most recently reported 12-month period as defined by the Department's Office of Airline Information, and as reported to the Department pursuant to part 241 of this chapter. Reporting carriers will be identified periodically in accounting and reporting directives issued by the Office of Airline Information."], ["14:14:4.0.1.1.18.0.1.3", 14, "Aeronautics and Space", "II", "A", "234", "PART 234\u2014AIRLINE SERVICE QUALITY PERFORMANCE REPORTS", "", "", "", "\u00a7 234.3 Applicability.", "FAA", "", "", "[Dockt. No. DOT-OST-2014-0056, 81 FR 76826, Nov. 3, 2016]", "For air transportation taking place before January 1, 2018, this part applies to reportable flights as defined in \u00a7 234.2 that are held out to the public by certificated air carriers that account for at least 1 percent of domestic scheduled passenger revenues. As stated in \u00a7 234.7, certain provisions also apply to voluntary reporting of on-time performance by carriers. For air transportation taking place on or after January 1, 2018, this part applies to reportable flights as defined in \u00a7 234.2 that are held out to the public by certificated air carriers that account for at least 0.5 percent of domestic scheduled passenger revenues. As stated in \u00a7 234.7, certain provisions also apply to voluntary reporting of on-time performance by carriers."], ["14:14:4.0.1.1.18.0.1.4", 14, "Aeronautics and Space", "II", "A", "234", "PART 234\u2014AIRLINE SERVICE QUALITY PERFORMANCE REPORTS", "", "", "", "\u00a7 234.4 Reporting of on-time performance.", "FAA", "", "", "[Amdt. 234-1, 52 FR 34071, Sept. 9, 1987, as amended by Doc. No. 48524, 59 FR 49797, Sept. 30, 1994; 60 FR 66722, Dec. 26, 1995; 67 FR 70544, Nov. 25, 2002; Doc. No. RITA 2007-28522, 73 FR 29431, May 21, 2008; Dockt. No. DOT-OST-2014-0056; 81 FR 76826, Nov. 3, 2016]", "(a) Each reporting carrier shall file BTS Form 234 \u201cOn-Time Flight Performance Report\u201d with the Office of Airline Information of the Department's Bureau of Transportation Statistics on a monthly basis, setting forth the information for each of its reportable flights operated by the reporting carrier and held out to the public on the reporting carrier's Web site and the Web sites of major online travel agencies, or in other generally recognized sources of schedule information. (See also paragraph (k) of this section.) The reportable flights include, but are not limited to, cancelled flights, mechanically cancelled flights, diverted flights, new flights and wet-leased flights. The report shall be made in the form and manner set forth in accounting and reporting directives issued by the Director, Office of Airline Statistics, and shall contain the following information:\n\n(1) Carrier and flight number.\n\n(2) Aircraft tail number.\n\n(3) Origin and Destination airport codes.\n\n(4) Published OAG departure and arrival times for each scheduled operation of the flight.\n\n(5) CRS scheduled arrival and departure time for each scheduled operation of the flight.\n\n(6) Actual departure and arrival time for each operation of the flight.\n\n(7) Difference in minutes between OAG and CRS scheduled arrival times.\n\n(8) Difference in minutes between OAG and CRS scheduled departure times.\n\n(9) Actual wheels-off and wheels-on times for each operation of the flight.\n\n(10) Date and day of week of scheduled flight operation.\n\n(11) Scheduled elapsed time, according to CRS schedule.\n\n(12) Actual elapsed time.\n\n(13) Amount of departure delay, if any.\n\n(14) Amount of arrival delay, if any.\n\n(15) Amount of elapsed time difference, if any.\n\n(16) Causal code for cancellation, if any.\n\n(17) Minutes of delay attributed to the air carrier, if any.\n\n(18) Minutes of delay attributed to extreme weather, if any.\n\n(19) Minutes of delay attributed to the national aviation system, if any.\n\n(20) Minutes of delay attributed to security, if any.\n\n(21) Minutes of delay attributed to a previous late arriving aircraft, if any.\n\n(22) For gate returns, first gate-departure time at origin airport.\n\n(23) Total ground time away from gate for all gate/air returns at origin airport, including cancelled flights\u2014actual minutes.\n\n(24) Longest time away from gate for gate return or cancelled flight.\n\n(25) Three-letter code of airport where diverted flight landed.\n\n(26) Wheels-on time at diverted airport.\n\n(27) Total time away from gate at diverted airport.\n\n(28) Longest period of time away from gate at diverted airport.\n\n(29) Wheels-off time at diverted airport.\n\n(b) Repeat fields (25) through (29) for each subsequent diverted airport landing.\n\n(c) When reporting the information specified in paragraph (a) of this section for diverted flights, a reporting carrier shall use the original scheduled flight number and the origin and destination airport codes except for item (25).\n\n(d) A reporting carrier shall report the information specified in paragraph (a) of this section for a new flight beginning with the first day of the new scheduled operation.\n\n(e) A reporting carrier shall not report the information specified in paragraph (a) of this section for any discontinued or extra-section flight.\n\n(f) Actual arrival, departure and elapsed times shall be measured by the times at which the aircraft arrived at and departed from the gate or passenger loading area.\n\n(g) The published arrival time and departure time of a flight shall be, respectively, the scheduled arrival and departure times in effect on the date of the scheduled operation of the flight, as shown in the most recent  Official Airline Guide,  and in computer reservations systems. Each carrier shall designate a single computer reservations system in addition to the  Official Airline Guide  as the sources of scheduled arrival time and departure time data in its reports to the Department and shall report the scheduled arrival times and departure times listed in those sources for each flight. Scheduled elapsed times, amount of departure and/or arrival delay, and elapsed time difference shall be calculated using the scheduled times shown in the designated CRS source.\n\n(h) Reporting carriers should use the following codes to identify causes for cancelled flights:\n\nCode \n \n A\u2014Air Carrier \n \n B\u2014Extreme Weather \n \n C\u2014National Aviation System (NAS). \n \n D-Security\n\nCode\n\nA\u2014Air Carrier\n\nB\u2014Extreme Weather\n\nC\u2014National Aviation System (NAS).\n\nD-Security\n\n(1) Air Carrier cancellations are due to circumstances that were within the control of the air carrier (e.g., lack of flight crew, maintenance, etc.).\n\n(2) Extreme weather cancellations are caused by weather conditions (e.g., significant meteorological conditions), actual or forecasted at the point of departure, en route, or point of arrival that, in accordance with applicable regulatory standards and/or in the judgment of the air carrier, prevents operation of that flight and/or prevents operations of subsequent flights due to the intended aircraft being out of position as a result of a prior cancellation or delay attributable to weather.\n\n(3) NAS cancellations are caused by circumstances within the National Aviation System. This term is used to refer to a broad set of conditions: weather-non-extreme, airport operations, heavy traffic volume, air traffic control, etc.\n\n(4) Security cancellations may be the result of malfunctioning screening or other security equipment or a breech of security that causes the evacuation of the airport or individual concourses, or the need to re-screen passengers.\n\n(i) Reporting carriers should use the following causes to identify the reasons for delayed flights:\n\nCAUSE \n \n Air Carrier \n \n Extreme weather \n \n NAS \n \n Security \n \n Late arriving aircraft\n\nCAUSE\n\nAir Carrier\n\nExtreme weather\n\nNAS\n\nSecurity\n\nLate arriving aircraft\n\n(1) Air carrier delays are due to circumstances within the control of the air carrier.\n\n(2) Extreme weather delays are caused by weather conditions (e.g., significant meteorological conditions, actual or forecasted at the point of departure, en route, or point of arrival that, in accordance with applicable regulatory standards and/or in the judgment of the air carrier, prevents operation of that flight and/or prevents operations of subsequent flights due to the intended aircraft being out of position as a result of a prior cancellation or delay attributable to weather.\n\n(3) NAS delays are caused by circumstances within the National Aviation System. This term is used to refer to a broad set of conditions: weather-non-extreme, airport operations, heavy traffic volume, air traffic control, etc.\n\n(4) Security delays may be the result of malfunctioning screening or other security equipment or a breech of security that causes the evacuation of the airport or individual concourses or the need to re-screen passengers.\n\n(5) Late arriving aircraft delays are the result of a late incoming aircraft from the previous flight.\n\n(j) When reporting causal codes in paragraph (a) of this section, reporting carriers are required to code delays only when the arrival delay is 15 minutes or greater; and reporting carriers must report each causal component of the reportable delay when the causal component is 5 minutes or greater.\n\n(k) For air transportation taking place on or after January 1, 2018, each reporting carrier shall also file a separate BTS Form 234 \u201cOn-Time Flight Performance Report\u201d with the Office of Airline Information on a monthly basis, setting forth the information for each of its reportable flights held out with only the reporting carrier's airline designator code on the reporting carrier's Web site, on the Web sites of major online travel agencies, or in other generally recognized sources of schedule information, and operated by any code-share partner that is a certificated air carrier or commuter air carrier. If the operating carrier of the flight is not a reporting carrier, the non-operating reporting carrier must file a BTS Form 234 \u201cOn-time Flight Performance Report\u201d with the Office of Airline Information on a monthly basis, setting forth the information regarding those flights in a form and manner consistent with the requirements set forth in paragraph (a) through (j) of this section. If the operating carrier of the flight is a reporting carrier, the non-operating reporting carrier must file a simplified BTS Form 234 \u201cOn-Time Flight Performance Report\u201d with the Office of Airline Information on a monthly basis, setting forth the information regarding those flights in a form and manner consistent with the requirements set forth in paragraph (a)(1) through (a)(4) and paragraph (a)(10) of this section, and in accordance with the requirements set forth in accounting and reporting directives issued by the Office of Airline Information."], ["14:14:4.0.1.1.18.0.1.5", 14, "Aeronautics and Space", "II", "A", "234", "PART 234\u2014AIRLINE SERVICE QUALITY PERFORMANCE REPORTS", "", "", "", "\u00a7 234.5 Form of reports.", "FAA", "", "", "[Doc. No. DOT-OST-2000-8164, 67 FR 70545, Nov. 25, 2002]", "Except where otherwise noted, all reports required by this part shall be filed within 15 days of the end of the month for which data are reported. The reports must be submitted to the Office of Airline Information in a format specified in accounting and reporting directives issued by the Bureau of Transportation Statistics' Assistant Director for Airline Information."], ["14:14:4.0.1.1.18.0.1.6", 14, "Aeronautics and Space", "II", "A", "234", "PART 234\u2014AIRLINE SERVICE QUALITY PERFORMANCE REPORTS", "", "", "", "\u00a7 234.6 Baggage-handling statistics.", "FAA", "", "", "[Dockt. No. DOT-OST-2014-0056, 82 FR 14604, Mar. 22, 2017]", "(a) For air transportation taking place before January 1, 2019, an air carrier certificated under 49 U.S.C. 41102 that accounts for at least 1 percent of domestic scheduled-passenger revenues in the most recently reported 12-month period as defined by the Department's Office of Airline Information, and as reported to the Department pursuant to part 241 of this title shall, for the flights it operates, report monthly to the Department on a domestic system basis, excluding charter flights, the total number of passengers enplaned system-wide and the total number of mishandled-baggage reports filed with the carrier for any nonstop flight, including a mechanically delayed flight, to or from any airport within the contiguous 48 states that accounts for at least 1 percent of domestic scheduled-passenger enplanements in the previous calendar year, as reported to the Department pursuant to part 241 of this title.\n\n(b) For air transportation taking place on or after January 1, 2019, an air carrier certificated under 49 U.S.C. 41102 that accounts for at least 0.5 percent of domestic scheduled-passenger revenues in the most recently reported 12-month period as defined by the Department's Office of Airline Information, and as reported to the Department pursuant to part 241 of this title shall report monthly to the Department on a domestic system basis, excluding charter flights:\n\n(1) The total number of checked bags enplaned, including gate checked baggage, \u201cvalet bags,\u201d interlined bags, and wheelchairs and scooters enplaned in the aircraft cargo compartment for any domestic nonstop scheduled passenger flight, including a mechanically delayed flight, operated by the carrier to or from any U.S. large, medium, small or non-hub airport as defined in 49 U.S.C. 41702 and separately for any domestic nonstop scheduled passenger flight, including a mechanically delayed flight, held out with only the carrier's designator code to or from any U.S. large, medium, small, or non-hub airport as defined in 49 U.S.C. 47102 and operated by any code-share partner that is a certificated air carrier or commuter air carrier;\n\n(2) The total number of wheelchairs and scooters that were enplaned in the aircraft cargo compartment for any domestic nonstop scheduled passenger flight, including a mechanically delayed flight, operated by the carrier to or from any U.S. large, medium, small or non-hub airport as defined in 49 U.S.C. 41702 and separately for any domestic nonstop scheduled passenger flight, including a mechanically delayed flight, held out with only the carrier's designator code to or from any U.S. large, medium, small, or non-hub airport as defined in 49 U.S.C. 47102 and operated by any code-share partner that is a certificated air carrier or commuter air carrier;\n\n(3) The number of mishandled checked bags, including gate-checked baggage, \u201cvalet bags,\u201d interlined bags and wheelchairs and scooters that were enplaned in the aircraft cargo compartment for any domestic nonstop scheduled passenger flight, including a mechanically delayed flight, operated by the carrier to or from any U.S. large, medium, small or non-hub airport as defined in 49 U.S.C. 41702 and separately for any domestic nonstop scheduled passenger flight, including a mechanically delayed flight, held out with only the carrier's designator code to or from any U.S. large, medium, small, or non-hub airport as defined in 49 U.S.C. 47102 and operated by any code-share partner that is a certificated air carrier or commuter air carrier; and\n\n(4) The number of mishandled wheelchairs and scooters that were enplaned in the aircraft cargo compartment for any domestic nonstop scheduled passenger flight, including a mechanically delayed flight, operated by the carrier to or from any U.S. large, medium, small or non-hub airport as defined in 49 U.S.C. 41702 and separately for any domestic nonstop scheduled passenger flight, including a mechanically delayed flight, held out with only the carrier's designator code to or from any U.S. large, medium, small, or non-hub airport as defined in 49 U.S.C. 47102 and operated by any code-share partner that is a certificated air carrier or commuter air carrier.\n\n(c) The information in paragraphs (a) and (b) of this section shall be submitted to the Department within 15 days after the end of the month to which the information applies and must be submitted with the transmittal accompanying the data for on-time performance in the form and manner set forth in accounting and reporting directives issued by the Director, Office of Airline Information."], ["14:14:4.0.1.1.18.0.1.7", 14, "Aeronautics and Space", "II", "A", "234", "PART 234\u2014AIRLINE SERVICE QUALITY PERFORMANCE REPORTS", "", "", "", "\u00a7 234.7 Voluntary reporting.", "FAA", "", "", "", "(a) In addition to the data for each reportable flight required to be reported by this part, a reporting carrier may report to DOT for every other nonstop domestic flight that it schedules, the reportable flight data specified in this part.\n\n(b) Any air carrier that is not a reporting carrier may file the data specified in this part for every reportable flight that it schedules, or for every nonstop domestic flight that it schedules.\n\n(c) Voluntary reports containing information not required to be filed (1) must be submitted in the same form and manner, and at the same time, as reports containing data required to be filed, and (2) must be accompanied by a written statement describing in detail the information that is being voluntarily submitted. A carrier that files a voluntary report must continue to do so for a period of not less than 12 consecutive months."], ["14:14:4.0.1.1.18.0.1.8", 14, "Aeronautics and Space", "II", "A", "234", "PART 234\u2014AIRLINE SERVICE QUALITY PERFORMANCE REPORTS", "", "", "", "\u00a7 234.8 Calculation of on-time performance codes.", "FAA", "", "", "[Amdt. 234-1, 52 FR 34071, Sept. 9, 1987, as amended by Amdt. 234-3, 52 FR 48397, Dec. 22, 1987; 53 FR 27677, July 22, 1988; Doc. No. 48524, 59 FR 49798, Sept. 30, 1994; 60 FR 66722, Dec. 26, 1995]", "(a) Each reporting carrier shall calculate an on-time performance code in accordance with this section and as provided in more detail in accounting and reporting directives issued by the Director, Office of Airline Information. The calculations shall be performed for each reportable flight, except those scheduled to operate three times or less during a month. In addition, each reporting carrier shall assign an on-time performance code to each of its single plane one-stop or multi-stop flights, or portion thereof, that the carrier holds out to the public through a CRS, the last segment of which is a reportable flight.\n\n(b) The on-time performance code shall be calculated as follows:\n\n(1) Based on reportable flight data provided to the Department, calculate the percentage of on-time arrivals of each nonstop flight. Calculations shall not include discontinued or extra-section flights for which data are not reported to the Department.\n\n(2) Based upon the on-time performance percentage calculated in paragraph (b)(1) of this section, assign a single digit code to each flight that reflects the percentile of on-time performance achieved by the flight, as set forth in the following table:\n\nOn Time Performance\n\n(3) For a one-stop or multi-stop flight, or portion thereof, listed in a CRS, the performance code for the nonstop flight segment arriving at the destination listed in the CRS shall be used.\n\n(4) In the case of a new flight, carriers shall assign a performance code consisting of the letter \u201cN.\u201d A flight that is not a new flight shall be assigned the performance code calculated for the flight that it replaces, even if the two flights do not have the same flight number. In the case of a flight scheduled to operate three times or less during a month, carriers shall assign a performance code consisting of the letter \u201cU.\u201d\n\n(c) Carriers shall calculate on-time performance percentages and assign on-time performance codes on a monthly basis. This process shall be completed no later than the 15th day of each month, when the reports required by this part are due to the Department, and the codes shall reflect the previous month's operations."], ["14:14:4.0.1.1.18.0.1.9", 14, "Aeronautics and Space", "II", "A", "234", "PART 234\u2014AIRLINE SERVICE QUALITY PERFORMANCE REPORTS", "", "", "", "\u00a7 234.9 Reporting of on-time performance codes.", "FAA", "", "", "", "No later than the 15th day of each month, each reporting carrier shall deliver, or arrange to have delivered, to each system vendor, as defined in 14 CFR part 255, the on-time performance codes required to be determined above. Carriers may report the codes by insuring that they are included in basic schedule tapes provided to CRS vendors or by providing a separate tape that will permit the CRS vendors to match the performance codes with basic schedule tapes."], ["20:20:1.0.2.8.26.1.155.1", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "A", "Subpart A\u2014General", "", "\u00a7 234.1 Introduction.", "SSA", "", "", "", "This part contains information about the various lump-sum payments payable under sections 6(a)(1) through 6(d)(2) of the 1974 Act."], ["20:20:1.0.2.8.26.1.155.2", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "A", "Subpart A\u2014General", "", "\u00a7 234.2 Definitions.", "SSA", "", "", "", "As used in this part:\n\nApplicant  means the person who signs an application for an annuity or lump-sum for himself, herself or for some other person.\n\nApply  means to sign a form or statement that the Board accepts as an application.\n\nBurial expenses  means expenses in connection with the actual burial or other disposition of the remains of the deceased employee.\n\nEligible  means a person meets all the requirements for payment of an annuity or a lump-sum, but has not yet applied.\n\nEmployee  means any person who is working or has worked for a railroad employer.\n\nEntitled  means a person who meets all the requirements for an annuity or a lump-sum, and has applied.\n\nEquitably entitled person  means the person whose funds were used to pay the burial expenses of a deceased employee.\n\nLump-sum  means any non-recurring payment due because of an employee's or beneficiary's death.\n\nPerson  means an individual, partnership, trust estate, association, corporation, government unit, or estate of a deceased individual.\n\nReimbursable burial expenses  means that part of the burial expenses not previously reimbursed by another Federal agency."], ["20:20:1.0.2.8.26.2.155.1", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "B", "Subpart B\u2014Lump-Sum Death Payment", "", "\u00a7 234.10 General.", "SSA", "", "", "[51 FR 3036, Jan. 23, 1986, as amended at 52 FR 11017, Apr. 6, 1987]", "A lump-sum death payment (LSDP) is payable when an employee with ten or more years of railroad service and a current connection with the railroad industry dies and is not survived by an individual who is eligible for a monthly annuity in the month the employee died. The amount of the LSDP and the priority for payment depend upon when the employee acquired his or her 120th month of railroad service. If the employee acquired the 120th month of railroad service after 1974, a 1974 Act lump-sum death payment is payable to the employee's widow(er). If the employee acquired the 120th month of railroad service before 1975, a 1937 Act lump-sum death payment is payable to the employee's widow(er), the funeral home or the payer of the employee's burial expenses. An application for an LSDP must be filed within two years after the employee's death."], ["20:20:1.0.2.8.26.2.155.10", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "B", "Subpart B\u2014Lump-Sum Death Payment", "", "\u00a7 234.19 Effect of payment on future entitlement.", "SSA", "", "", "", "Payment of an LSDP does not affect the entitlement of survivors to monthly annuities at a later date."], ["20:20:1.0.2.8.26.2.155.11", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "B", "Subpart B\u2014Lump-Sum Death Payment", "", "\u00a7 234.20 Computation of the employee's 1937 Act LSDP basic amount.", "SSA", "", "", "", "(a) Definition of terms used in this section:\n\nAverage monthly remuneration (AMR)  means the amount obtained by adding together the creditable compensation and wages earned by the employee after 1936 and before the LSDP closing date and dividing that sum by three times the number of calendar quarters in that period. (Refer to part 211 of this chapter for a definition of creditable compensation and section 209 of the Social Security Act for a definition of creditable wages.)\n\nClosing date  means whichever of the following produce the highest AMR:\n\n(1) The first day of the calendar year in which the employee both attained age 65 and was completely insured;\n\n(2) The first day of the calendar year in which the employee died; or\n\n(3) The first day of the calendar year following the year in which the employee died;\n\n(4) However, if paragraphs (a)(1) through (3) of this definition do not occur before January 1, 1975, the closing date is January 1, 1975.\n\n(b)  LSDP basic amount formula.  The basic amount is computed using the following formula:\n\n(1) Determine 52.4% of the AMR up to and including $75.00;\n\n(2) Determine 12.8% of the AMR exceeding $75.00;\n\n(3) Determine 1% of the sum of paragraphs (b)(1) and (2) of this section;\n\n(4) Multiply the result of paragraph (b)(3) of this section by the number of years after 1936 through 1974 in which the employee earned $200 or more;\n\n(5) Add the results of paragraphs (b)(1), (2) and (3) of this section. If the resulting basic amount is less than $18.14, increase it to $18.14."], ["20:20:1.0.2.8.26.2.155.12", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "B", "Subpart B\u2014Lump-Sum Death Payment", "", "\u00a7 234.21 Definitions of \u201cliving with\u201d and \u201cliving in the same household.\u201d", "SSA", "", "", "", "(a)  Living with.  A widow(er) is considered \u201cliving with\u201d the employee at the time of the employee's death, if one of the following conditions applies:\n\n(1) The employee and spouse were members of the same household;\n\n(2) The spouse was receiving regular contributions for support from the employee; or\n\n(3) The employee was under court order to contribute to the spouse's support.\n\n(b)(1)  Living in the same household.  An employee and spouse were \u201cliving in the same household\u201d if they lived together as a married couple in the same residence. However, an employee and spouse, who were temporarily living apart, will be considered \u201cliving in the same household\u201d if there was intent to share the same residence had the employee not died. The Board will usually assume that a married couple was living apart temporarily, if the separation was caused by circumstances beyond their control, for example, ill health, financial difficulties, service with the Armed Forces, or confinement in a curative, custodial, or penal institution.\n\n(2) If the employee and spouse were separated solely for medical reasons, the Board will consider them \u201cliving in the same household,\u201d even if the separation was likely to be permanent."], ["20:20:1.0.2.8.26.2.155.2", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "B", "Subpart B\u2014Lump-Sum Death Payment", "", "\u00a7 234.11 1974 Act lump-sum death payment.", "SSA", "", "", "", "(a) The total amount of the 1974 Act LSDP is payable to the employee's widow(er), if she or he was \u201cliving in the same household\u201d as the employee at the time of the employee's death. (Refer to \u00a7 234.21 for an explanation of \u201cliving in the same household.\u201d)\n\n(b) The amount of the 1974 Act LSDP is equal to three times the amount of the PIA, as determined by section 215 of the Social Security Act, or $255.00, whichever is less."], ["20:20:1.0.2.8.26.2.155.3", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "B", "Subpart B\u2014Lump-Sum Death Payment", "", "\u00a7 234.12 1937 Act lump-sum death payment.", "SSA", "", "", "", "(a) The 1937 Act LSDP is payable in the following order and amounts:\n\n(1) The employee's \u201cliving with\u201d widow(er) is paid the total amount of the LSDP. (Refer to \u00a7 234.21 for an explanation of \u201cliving with.\u201d)\n\n(2) A funeral home, which has unpaid expenses, is paid the amount of the unpaid expenses or the total amount of the LSDP, whichever is less.\n\n(3) An equitably entitled person is paid the total amount of the LSDP or a proportionate share of the LSDP, depending upon the amount of burial expenses he or she paid.\n\n(b) The 1937 Act LSDP is equal to ten times the basic amount. (Refer to \u00a7 234.20 for an explanation of the computation of the employee's basic amount.)"], ["20:20:1.0.2.8.26.2.155.4", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "B", "Subpart B\u2014Lump-Sum Death Payment", "", "\u00a7 234.13 Payment to a funeral home.", "SSA", "", "", "", "The 1937 Act LSDP is paid to a funeral home under the following conditions:\n\n(a) A person who has assumed responsibility for all or part of the burial expenses files an application authorizing payment to the funeral home. Usually, the Board considers the person who makes the arrangements with the funeral home or makes a voluntary payment to the funeral home to be the person who has assumed responsibility for the burial expenses.\n\n(b) An official of the funeral home with unpaid expenses files an application on behalf of the funeral home after 90 days have elapsed from the date of the employee's death, if during that 90-day period no one has assumed responsibility for the payment of the burial expenses."], ["20:20:1.0.2.8.26.2.155.5", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "B", "Subpart B\u2014Lump-Sum Death Payment", "", "\u00a7 234.14 Payment to an equitably entitled person.", "SSA", "", "", "", "(a) An equitably entitled person's funds used to pay burial expenses may consist of:\n\n(1) The individual's own money;\n\n(2) Money in a joint account with the employee or another individual;\n\n(3) Money paid to an individual who was named beneficiary to receive the money;\n\n(4) A promissory note; or\n\n(5) Money which several people placed into a pooled fund.\n\n(b) Payment is made to equitably entitled persons in the following order:\n\n(1) The person who paid the funeral home expenses;\n\n(2) The person who paid the grave opening and closing expenses;\n\n(3) The person who provided the burial plot; and\n\n(4) The person who paid any type of expenses not listed in paragraphs (b)(1) through (3) of this section."], ["20:20:1.0.2.8.26.2.155.6", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "B", "Subpart B\u2014Lump-Sum Death Payment", "", "\u00a7 234.15 When an employee's estate is entitled.", "SSA", "", "", "", "(a) The employee's estate is considered an equitably entitled person if the funds used to pay burial expenses consisted of:\n\n(1) Money in the employee's single-ownership bank account;\n\n(2) Money paid directly to the funeral home by the employee before death;\n\n(3) Money paid by the employee under a contract, plan, system or general practice where no beneficiary was named to receive the money;\n\n(4) Money found among the employee's effects;\n\n(5) Unpaid salary due the employee by the employee's employer;\n\n(6) Money obtained by selling the employee's real or personal property; or\n\n(7) Money from a trust fund.\n\n(b) If the employee's estate is the equitably entitled person, the Board will pay the LSDP to the legal representative of the employee's estate. When no legal representative of the employee's estate has been or is expected to be appointed, the Board will pay the LSDP according to state statutory procedures applicable when no formal probate or administration occurs."], ["20:20:1.0.2.8.26.2.155.7", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "B", "Subpart B\u2014Lump-Sum Death Payment", "", "\u00a7 234.16 When a widow(er) is eligible as an equitably entitled person.", "SSA", "", "", "", "When a widow(er) files for an LSDP and the \u201cliving with\u201d requirement (described in \u00a7 234.21) is not met, the widow(er) could be paid as an equitably entitled person."], ["20:20:1.0.2.8.26.2.155.8", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "B", "Subpart B\u2014Lump-Sum Death Payment", "", "\u00a7 234.17 When an equitably entitled person's estate is payable.", "SSA", "", "", "", "When an equitably entitled person dies before negotiating the LSDP check, that person's share is payable to his or her estate."], ["20:20:1.0.2.8.26.2.155.9", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "B", "Subpart B\u2014Lump-Sum Death Payment", "", "\u00a7 234.18 Payment of a deferred lump-sum to a widow(er).", "SSA", "", "", "", "In certain cases, a deferred LSDP may be payable to the employee's widow(er), even if someone may be entitled to a monthly annuity in the month of the employee's death. A deferred LSDP is the difference between the amount of the LSDP and the total of the monthly survivor annuities paid during the 12-month period which begins in the month of the employee's death."], ["20:20:1.0.2.8.26.3.155.1", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "C", "Subpart C\u2014Annuities Due but Unpaid at Death", "", "\u00a7 234.30 General.", "SSA", "", "", "[51 FR 3036, Jan. 23, 1986, as amended at 52 FR 11017, Apr. 6, 1987]", "When an applicant or an annuitant dies before being paid any annuities that may be due, the total of those annuities become payable to certain survivors in a lump-sum. Refer to \u00a7 234.31 through \u00a7 234.34 for information about when and to whom each type of unpaid annuity is payable. An application for an unpaid annuity must be filed within two years after the death of the person originally entitled to the annuity."], ["20:20:1.0.2.8.26.3.155.2", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "C", "Subpart C\u2014Annuities Due but Unpaid at Death", "", "\u00a7 234.31 Regular employee retirement and supplemental annuities.", "SSA", "", "", "", "A regular employee retirement annuity or a supplemental annuity which is unpaid at the death of the employee is payable in the following order and amounts:\n\n(a) A surviving spouse, who was \u201cliving with\u201d (see \u00a7 234.21) the employee at the time of the employee's death, receives the full amount of the unpaid annuity.\n\n(b) Each person who paid the employee's burial expenses receives a share of the unpaid annuities in the same proportion that he or she paid the burial expenses, but only to the extent that he or she is not reimbursed by the LSDP. If a payer of the employee's burial expenses dies before negotiating his or her check, that payment becomes payable to his or her estate.\n\n(c) Surviving children of the employee receive equal shares.\n\n(d) Surviving grandchildren of the employee receive equal shares.\n\n(e) Surviving parents of the employee each receive equal shares.\n\n(f) Surviving brothers and sisters of the employee receive equal shares. Half blood brothers and sisters share equally with full blood brothers and sisters."], ["20:20:1.0.2.8.26.3.155.3", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "C", "Subpart C\u2014Annuities Due but Unpaid at Death", "", "\u00a7 234.32 Spouse or divorced spouse annuities.", "SSA", "", "", "", "A spouse annuity or divorced spouse annuity which is unpaid at the death of the spouse or divorced spouse is paid in the following order and amounts:\n\n(a) The employee receives the full amount.\n\n(b) If the employee died before negotiating the check in payment of the unpaid annuities, the unpaid spouse annuity or divorced spouse annuity is paid in the same order and amounts as described in \u00a7 234.31 (b) through (f)."], ["20:20:1.0.2.8.26.3.155.4", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "C", "Subpart C\u2014Annuities Due but Unpaid at Death", "", "\u00a7 234.33 Survivor annuities.", "SSA", "", "", "", "Any survivor annuity which is unpaid at the death of the survivor is paid in the same order and amounts as described in \u00a7 234.31(a) and \u00a7 234.31(c) through \u00a7 234.31(f)."], ["20:20:1.0.2.8.26.3.155.5", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "C", "Subpart C\u2014Annuities Due but Unpaid at Death", "", "\u00a7 234.34 When an entitled relative of the employee dies before receiving payment of a due but unpaid annuity.", "SSA", "", "", "", "If a person, who is entitled to unpaid annuities based upon his or her relationship to the employee, dies before negotiating the check in payment of the unpaid annuities, the amount to which he or she was entitled becomes payable to other relatives of the employee in the same degree of relationship. If no relatives in that degree of relationship survive, the amount becomes payable to relatives in the next degree of relationship."], ["20:20:1.0.2.8.26.4.155.1", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "D", "Subpart D\u2014Residual Lump-Sum Payment", "", "\u00a7 234.40 General.", "SSA", "", "", "", "The residual lump-sum (RLS) is the means by which railroad employees and their survivors are guaranteed to receive at least as much in benefits as the employee paid in railroad retirement taxes during the years 1937 through 1974. An RLS payment can be made only if it appears that no other benefits based at least in part on railroad service will be payable under either the Railroad Retirement Act or Social Security Act in the future. The residual is reduced for any retirement benefits that were paid on the basis of the employee's railroad service, and for any survivor benefits based on the employee's earnings already paid by either the Board or the Social Security Administration. A widow(er) or dependent parent can, before attaining age 60, elect to waive future rights to monthly benefits based on the employee's railroad service in order to receive the RLS."], ["20:20:1.0.2.8.26.4.155.2", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "D", "Subpart D\u2014Residual Lump-Sum Payment", "", "\u00a7 234.41 Persons to whom an RLS is payable.", "SSA", "", "", "", "After the death of an employee, the RLS is payable, in the following order, to: beneficiaries designated by the employee; surviving relatives of the employee in order provided by law (see \u00a7 234.44); or the employee's estate."], ["20:20:1.0.2.8.26.4.155.3", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "D", "Subpart D\u2014Residual Lump-Sum Payment", "", "\u00a7 234.42 How the employee may designate beneficiaries.", "SSA", "", "", "", "The employee may designate one or more persons as beneficiaries of the RLS on a form available at any Board office. The employee may specify the share that each beneficiary is to receive. Also, the employee may designate alternate beneficiaries in the event that all primary beneficiaries die before the RLS becomes payable."], ["20:20:1.0.2.8.26.4.155.4", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "D", "Subpart D\u2014Residual Lump-Sum Payment", "", "\u00a7 234.43 Payment to designated beneficiaries.", "SSA", "", "", "", "(a)  How designated beneficiaries are paid.  Primary beneficiaries are paid the RLS to the exclusion of alternate beneficiaries. If a designated beneficiary dies before the date on which the RLS becomes payable, his or her share of the RLS becomes payable to any other designated beneficiaries. If an entitled designated beneficiary dies before negotiating the RLS check, that share is payable to his or her estate.\n\n(b)  Amount designated beneficiaries are paid.  If the employee specified the share that each beneficiary is to receive, payment is made in the proportion specified. Otherwise, if there is more than one designated beneficiary, each is paid an equal share of the RLS."], ["20:20:1.0.2.8.26.4.155.5", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "D", "Subpart D\u2014Residual Lump-Sum Payment", "", "\u00a7 234.44 Payment to surviving relatives.", "SSA", "", "", "", "(a)  How surviving relatives are paid.  If the employee either did not designate a beneficiary or was not survived by a designated beneficiary, the RLS is payable to surviving relatives of the employee in the following order of relationship to the employee:\n\n(1) Widow(er) who was \u201cliving with\u201d the employee at the time of the employee's death (see \u00a7 234.21 for a definition of \u201cliving with\u201d);\n\n(2) Child;\n\n(3) Grandchild;\n\n(4) Parent;\n\n(5) Brother or sister, including half blood brother or sister.\n\n(b)  Amount surviving relatives are paid.  If more than one relative in an equal degree of relationship survives the employee, each one is paid an equal share of the RLS. If an entitled relative of the employee dies before negotiating the RLS check, that share becomes payable to other surviving relatives of the employee in the same degree of relationship. If no relatives in that degree of relationship survive, relatives in the next degree of relationship are payable."], ["20:20:1.0.2.8.26.4.155.6", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "D", "Subpart D\u2014Residual Lump-Sum Payment", "", "\u00a7 234.45 Payment to the employee's estate.", "SSA", "", "", "", "(a)  When the employee's estate is paid.  If no designated beneficiaries or relatives survive the employee when the RLS becomes payable, the employee's estate may be paid the RLS. Employees may also designate their estates to receive all or a share of the RLS as beneficiaries.\n\n(b)  How the employee's estate is paid.  If a legal representative of the employee's estate has been appointed and has not been discharged, the Board will pay the RLS to the legal representative. When no legal representative of the employee's estate has been or is expected to be appointed, or the estate of the deceased employee has been closed and reopening is not expected, the Board will pay the RLS according to state statutory procedures applicable when no formal probate or administration occurs."], ["20:20:1.0.2.8.26.4.155.7", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "D", "Subpart D\u2014Residual Lump-Sum Payment", "", "\u00a7 234.46 Amount of the RLS payable.", "SSA", "", "", "", "The gross RLS amount is equal to certain percentages of the employee's creditable compensation, including military service, as described in \u00a7 234.48. (Creditable compensation and military service are discussed in parts 211 and 212 of this chapter, respectively.) The amount of the RLS payable is equal to the gross RLS minus the sum of all retirement benefits that have been paid on the basis of the employee's railroad service and all survivor benefits based on the employee's earnings previously paid by either the Board or the Social Security Administration."], ["20:20:1.0.2.8.26.4.155.8", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "D", "Subpart D\u2014Residual Lump-Sum Payment", "", "\u00a7 234.47 Election of the RLS by a widow(er) or parent.", "SSA", "", "", "", "(a) An RLS cannot be paid if it appears that there are immediate or future monthly survivor benefits payable to anyone other than a widow(er) or parent. A widow(er) or parent can elect to have the RLS paid in lieu of future monthly benefits based on the employee's railroad earnings under either the Railroad Retirement Act or Social Security Act.\n\n(b)  When an election must be filed.  An election to have the RLS paid must be filed before the widow(er) or parent attains age 60 if he or she would be entitled to benefits under the Railroad Retirement Act, or before the age of eligibility if he or she would be entitled to future benefits under the Social Security Act instead of the Railroad Retirement Act.\n\n(c)  Filing an election.  An election to have the RLS paid must be made on the certification provided by the Board for that purpose, and must contain an irrevocable election to have the RLS paid in lieu of all benefits based on the employee's railroad service to which the widow(er) or parent might otherwise become entitled. Once the RLS check is negotiated, the election cannot be revoked."], ["20:20:1.0.2.8.26.4.155.9", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "D", "Subpart D\u2014Residual Lump-Sum Payment", "", "\u00a7 234.48 Computation of the gross RLS amount.", "SSA", "", "", "", "The amount of the gross RLS is equal to the percentages of the employee's creditable compensation shown in Table I. However, compensation may only be credited up to the maximum amounts shown in Table II.\n\n(a)  Percentages of the employee's creditable compensation and the periods to which those percentages apply:\n\nTable I\n\n(b)  Maximum compensation which may be credited per month:\n\nTable II"], ["20:20:1.0.2.8.26.5.155.1", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "E", "Subpart E\u2014Lump-Sum Refund Payment", "", "\u00a7 234.50 General.", "SSA", "", "", "", "Under the 1974 Act, railroad employees with 10 or more years of railroad service, who are not entitled to a vested dual benefit payment, may be eligible for a lump-sum refund payment if they had concurrent railroad and social security earnings within the period 1951 through 1974. The combined earnings from the railroad retirement and social security systems in any of those years must exceed the maximums given in \u00a7 234.53. The lump-sum refund is payable to either the employee or the employee's survivors."], ["20:20:1.0.2.8.26.5.155.2", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "E", "Subpart E\u2014Lump-Sum Refund Payment", "", "\u00a7 234.51 Persons to whom a lump-sum refund payment is payable.", "SSA", "", "", "", "Employees receive their lump-sum refund payment from the Board, without applying for it, at the time their regular annuity is awarded. If an employee dies without receiving payment of a regular annuity, the lump-sum refund payment is payable to the employee's survivors in the same order of priority as shown for the RLS in \u00a7 234.44."], ["20:20:1.0.2.8.26.5.155.3", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "E", "Subpart E\u2014Lump-Sum Refund Payment", "", "\u00a7 234.52 Effect of payment on other benefits.", "SSA", "", "", "", "The lump-sum refund payment is deductible from the RLS; however, it has no effect on the payment of other benefits."], ["20:20:1.0.2.8.26.5.155.4", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "E", "Subpart E\u2014Lump-Sum Refund Payment", "", "\u00a7 234.53 Computation of the lump-sum refund payment.", "SSA", "", "", "", "(a) The lump-sum refund payment is calculated as follows:\n\n(1) Combine the railroad employee's creditable earnings, including military service, under the Social Security Act and Railroad Retirement Act for each of the years 1951 through 1974;\n\n(2) Determine the amount of the employee's creditable earnings in excess of the amounts for each year shown in the chart in paragraph (b) of this section;\n\n(3) Multiply the results of paragraph (a)(2) of this section by the percentage shown in the chart in paragraph (b) of this section; and\n\n(4) Add the results of paragraph (a)(3) of this section. The total is the amount of the lump-sum refund payment.\n\n(b)  Chart for calculation of lump-sum refund payment."], ["20:20:1.0.2.8.26.6.155.1", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "F", "Subpart F\u2014Tier II Separation Allowance Lump-Sum Payment", "", "\u00a7 234.55 General.", "SSA", "", "", "", "Under the Railroad Retirement Act certain railroad employees who have received separation or severance payments may be entitled to a lump-sum payment if tier II railroad retirement taxes were deducted from these payments. This part sets forth the conditions for entitlement to the lump-sum payment and explains how the payment is computed."], ["20:20:1.0.2.8.26.6.155.2", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "F", "Subpart F\u2014Tier II Separation Allowance Lump-Sum Payment", "", "\u00a7 234.56 Persons to whom a separation allowance lump-sum payment is payable.", "SSA", "", "", "", "(a) An employee who has completed 10 years of service at the time of his or her retirement or death and who has received on or after January 1, 1985, a separation allowance or severance payment (see \u00a7 210.11 of this chapter) which would have been used to increase his or her tier II benefit, except for the fact that he or she was neither in an employment relation to one or more employers as defined in part 204 of this chapter nor an employee representative (see part 205 of this chapter), shall be entitled to a lump sum in the amount provided for in \u00a7 234.58.\n\n(b) If an employee, otherwise eligible for the lump sum provided for in this section, dies before he or she becomes entitled to a regular annuity or before he or she receives payment of the lump sum, the lump sum is payable to the employee's widow or widower who will not have died before receiving payment. If the employee is not survived by a widow or widower who will not have died before receiving payment, the lump sum is payable to the employee's survivors in the same order of priority as shown for the residual lump-sum (RLS) in \u00a7 234.44."], ["20:20:1.0.2.8.26.6.155.3", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "F", "Subpart F\u2014Tier II Separation Allowance Lump-Sum Payment", "", "\u00a7 234.57 Effect of payment on other benefits.", "SSA", "", "", "", "The tier II separation allowance lump-sum payment has no effect on the payment of other benefits."], ["20:20:1.0.2.8.26.6.155.4", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "F", "Subpart F\u2014Tier II Separation Allowance Lump-Sum Payment", "", "\u00a7 234.58 Computation of the separation allowance lump-sum payment.", "SSA", "", "", "", "The separation allowance lump-sum payment is calculated as follows:\n\n(a) Determine the amount of the compensation due to the receipt of separation or severance pay that could not be considered in the computation of tier II;\n\n(b) Multiply this amount by the rate or rates of tax imposed by section 3201(b) of the Internal Revenue Code of 1954 or 1986 on the compensation (tier II tax); and\n\n(c) The product is the amount of the separation allowance lump-sum payment."], ["20:20:1.0.2.8.26.7.155.1", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "G", "Subpart G\u2014Miscellaneous", "", "\u00a7 234.60 Escheat.", "SSA", "", "", "", "Any payment under this part which would be payable to any state, political subdivision of a state, the U.S. government or a foreign government because of the lack of a legal heir, shall remain in the Railroad Retirement Account."], ["20:20:1.0.2.8.26.7.155.2", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "G", "Subpart G\u2014Miscellaneous", "", "\u00a7 234.61 Assignment of interest by an eligible person.", "SSA", "", "", "", "(a) Any person who is eligible to receive a share of a lump-sum payment may assign his or her share to another eligible applicant, provided the share is not more than $500.\n\n(b) If an LSDP or accrued annuity is payable, the request that a share be assigned must be received at a Board office no later than two years after the death of the employee or the originally entitled person."], ["20:20:1.0.2.8.26.7.155.3", 20, "Employees' Benefits", "II", "B", "234", "PART 234\u2014LUMP-SUM PAYMENTS", "G", "Subpart G\u2014Miscellaneous", "", "\u00a7 234.62 Effect of conviction of a felony on entitlement.", "SSA", "", "", "", "A person who has been convicted of a felony or an act in the nature of a felony of intentionally causing the employee's death shall not be entitled to any benefits under the Railroad Retirement Act. If a charge of felony is pending against an applicant for a lump-sum payment, the Board will make no payment until the applicant submits proof that the charge has been withdrawn, that no further action will be taken on the charge, or that he or she has been cleared of the charge."], ["24:24:2.1.1.2.16.1.187.1", 24, "Housing and Urban Development", "II", "B", "234", "PART 234\u2014CONDOMINIUM OWNERSHIP MORTGAGE INSURANCE", "A", "Subpart A\u2014Eligibility Requirements\u2014Individually Owned Units", "", "\u00a7 234.1 Cross-reference.", "HUD", "", "", "[61 FR 60161, Nov. 26, 1996, as amended at 64 FR 56111, Oct. 15, 1999]", "(a) All of the provisions of subpart A of part 203 of this chapter concerning eligibility requirements of mortgages covering one- to four-family dwellings under section 203 of the National Housing Act (12 U.S.C. 1709) apply to mortgages on individually owned units insured under section 234 of the National Housing Act (12 U.S.C. 1715y), except the following provisions:\n\nSec.\n \n 203.12 Mortgage insurance on proposed or new construction.\n \n 203.14 Builders' warranty.\n \n 203.18a Solar energy system.\n \n 203.18c One-time or up-front mortgage insurance premium excluded from limitations on maximum mortgage amounts.\n \n 203.38 Location of dwelling.\n \n 203.42 Rental properties.\n \n 203.43c Eligibility of mortgages involving a dwelling unit in a cooperative housing development.\n \n 203.43d Eligibility of mortgages in certain communities.\n \n 203.43f Eligibility of mortgages covering manufactured homes.\n \n 203.43g Eligibility of mortgages in certain communities.\n \n 203.43h Eligibility of mortgages on Indian land insured pursuant to section 248 of the National Housing Act.\n \n 203.43i Eligibility of mortgages on Hawaiian Home Lands insured pursuant to section 247 of the National Housing Act.\n \n 203.43j Eligibility of mortgages on Allegany Reservation of Seneca Nation of Indians.\n \n 203.50 Eligibility of rehabilitation loans.\n\nSec.\n\n203.12 Mortgage insurance on proposed or new construction.\n\n203.14 Builders' warranty.\n\n203.18a Solar energy system.\n\n203.18c One-time or up-front mortgage insurance premium excluded from limitations on maximum mortgage amounts.\n\n203.38 Location of dwelling.\n\n203.42 Rental properties.\n\n203.43c Eligibility of mortgages involving a dwelling unit in a cooperative housing development.\n\n203.43d Eligibility of mortgages in certain communities.\n\n203.43f Eligibility of mortgages covering manufactured homes.\n\n203.43g Eligibility of mortgages in certain communities.\n\n203.43h Eligibility of mortgages on Indian land insured pursuant to section 248 of the National Housing Act.\n\n203.43i Eligibility of mortgages on Hawaiian Home Lands insured pursuant to section 247 of the National Housing Act.\n\n203.43j Eligibility of mortgages on Allegany Reservation of Seneca Nation of Indians.\n\n203.50 Eligibility of rehabilitation loans.\n\n(b) For the purposes of this subpart, all references in part 203 of this chapter to section 203 of the Act shall be construed to refer to section 234 of the Act."], ["24:24:2.1.1.2.16.1.187.2", 24, "Housing and Urban Development", "II", "B", "234", "PART 234\u2014CONDOMINIUM OWNERSHIP MORTGAGE INSURANCE", "A", "Subpart A\u2014Eligibility Requirements\u2014Individually Owned Units", "", "\u00a7 234.2 Savings clause.", "HUD", "", "", "[84 FR 41877, Aug. 15, 2019]", "HUD's regulations at \u00a7 203.43b of this chapter govern approval of real estate consisting of a one-family unit in a multifamily project, and an undivided interest in the common areas and facilities which serve the project, except where the project has a blanket mortgage insured under section 234(d) of the National Housing Act, 12 U.S.C. 1715y(d) (section 234(d)). Where the project has a blanket mortgage insured by HUD under section 234(d), this 24 CFR part 234 applies to the approval of a one-family unit in such project."], ["24:24:2.1.1.2.16.1.187.3", 24, "Housing and Urban Development", "II", "B", "234", "PART 234\u2014CONDOMINIUM OWNERSHIP MORTGAGE INSURANCE", "A", "Subpart A\u2014Eligibility Requirements\u2014Individually Owned Units", "", "\u00a7 234.3 Definitions.", "HUD", "", "", "[61 FR 60161, Nov. 26, 1996, as amended at 68 FR 6597, Feb. 7, 2003]", "The terms  Act, Beginning of amortization, Commissioner, FHA, Insured Mortgage, Mortgage, Mortgagee, Mortgagor,  and  State,  as used in this part, are defined in \u00a7 203.251 of this chapter. The following terms, as used in this part, are defined as follows:\n\nBona fide tenants' organization  means an association of tenants formed by the tenants to promote their interests in a particular project, with membership in the association open to each tenant, and all requirements of the association applying equally to every tenant.\n\nCommon areas and facilities  means those areas of the project and of the property upon which it is located that are for the use and enjoyment of the owners of family units located in the project. The areas may include the land, roofs, main walls, elevators, staircases, lobbies, halls, parking space and community and commercial facilities.\n\nConversion  means the date on which all documents necessary to create a condominium under state law (and under local law, where applicable) have been recorded, except that in the case of the Commonwealth of Puerto Rico,  conversion  is defined as the date on which the legal documents (which must be in compliance with applicable law) to create a condominium are presented for inscription ( i.e.,  recordation) to the Commonwealth Office of the Property Registry.\n\nFamily unit  means a one-family unit including the undivided interest in the common areas and facilities, and such restricted common areas and facilities as may be designated.\n\nProject  means a structure or structures containing four or more family units.\n\nProject mortgage  means a mortgage which is or has been insured under any of the FHA multifamily housing programs, other than sections 213(a)(1) and 213(a)(2) of the Act (12 U.S.C. 1715e).\n\nRestricted common areas and facilities  means those areas and facilities restricted to a particular family unit or number of family units.\n\nTenant  means the occupant(s) named in the lease or rental agreement of a housing unit in a project as of the date the condominium conversion documents are properly filed for the project, or as of the date on which the occupants are notified by management of intent to convert the project to a condominium, whichever is earlier."], ["24:24:2.1.1.2.16.1.187.4", 24, "Housing and Urban Development", "II", "B", "234", "PART 234\u2014CONDOMINIUM OWNERSHIP MORTGAGE INSURANCE", "A", "Subpart A\u2014Eligibility Requirements\u2014Individually Owned Units", "", "\u00a7 234.17 Mortgagor and mortgagee requirements for maintaining flood insurance coverage.", "HUD", "", "", "", "The maintenance of flood insurance coverage on the project by the condominium association will satisfy the requirements of \u00a7 203.16a of this chapter if such coverage protects the interest of the mortgagor in the family unit. For this purpose, \u201cthe interest of the mortgagor\u201d is defined as insurance coverage equal to the replacement cost of the project less land costs."], ["24:24:2.1.1.2.16.1.187.5", 24, "Housing and Urban Development", "II", "B", "234", "PART 234\u2014CONDOMINIUM OWNERSHIP MORTGAGE INSURANCE", "A", "Subpart A\u2014Eligibility Requirements\u2014Individually Owned Units", "", "\u00a7 234.26 Project requirements.", "HUD", "", "", "[61 FR 60161, Nov. 26, 1996, as amended at 72 FR 16689, Apr. 4, 2007]", "No mortgage shall be eligible for insurance unless the following requirements are met:\n\n(a)  Location of family unit.  The family unit shall be located in a project that the Commissioner determines to be acceptable.\n\n(b)  Plan of condominium ownership.  The project in which the unit is located shall have been committed to a plan of condominium ownership by a deed, or other recorded instrument, that is acceptable to the Commissioner. In the case of condominium documents in the Commonwealth of Puerto Rico, the Commissioner will accept documents presented for inscription (recordation) to the Commonwealth Office of the Property Registry so long as the mortgagor obtains a title insurance policy that reflects the condominium regime.\n\n(c)  Releases.  The family unit shall have been released from any mortgage covering the project or any part of the project.\n\n(d)  Certificate by mortgagee.  The mortgagee shall certify that:\n\n(1) The deed of the family unit and the deed or other recorded instrument committing the project to a plan of condominium ownership must comply with legal requirements of the jurisdiction. In the case of condominium documents in the Commonwealth of Puerto Rico, the Department will accept documents presented for inscription (recordation) to the Commonwealth Office of Property Registry for certification purposes so long as the mortgagor obtains a title insurance policy that reflects the condominium regime.\n\n(2) The mortgagor has good marketable title to the family unit, subject only to a mortgage that is a valid first lien on the family unit.\n\n(3) The family unit is assessed and subject to assessment for taxes pertaining only to that unit.\n\n(e)  Conditions and provisions.  (1) The Commissioner may require such conditions and provisions as the Commissioner determines are necessary for the protection of consumers and the public interest.\n\n(2) An application for mortgage insurance of a unit will not be approved if approval would result in less than 80 percent of the FHA-insured mortgages covering units in the project being occupied by mortgagors or co-mortgagors as a principal residence or a secondary residence (as these terms are defined in \u00a7 203.18 of this chapter).\n\n(3) In addition to the other requirements of this section, in order for a project to be acceptable to the Secretary, at least 51 percent of all family units (including units not covered by FHA-insured mortgages) must be occupied by the owners as a principal residence or a secondary residence (as these terms are defined in \u00a7 203.18 of this chapter), or must have been sold to owners who intend to meet this occupancy requirement.\n\n(f)  Limitations on conversion of rental housing to condominium use.  With respect to a family unit in any project that was converted from rental housing, no insurance will be provided under this section unless:\n\n(1) The conversion occurred more than one year before the application for insurance; or\n\n(2) The mortgagor or comortgagor was a tenant of a unit in the rental housing project converted to condominium use; or\n\n(3) The conversion of the property is sponsored by a bona fide tenants' organization representing a majority of the households in the project.\n\n(g)  Projects covered by an insured or Secretary-held mortgage.  In addition to the requirements contained in paragraphs (a) through (f) of this section, projects which are covered by an FHA-insured project mortgage, or by a mortgage held by the Secretary, must be in compliance with a conversion plan approved by the Commissioner. The conversion plan shall provide for:\n\n(1) The termination by payment in full of the mortgage or by voluntary termination of the insurance contract covering any HUD/FHA-insured or Secretary-held mortgage on the project, unless the Commissioner determines that the Commissioner's interests, and those of the individuals purchasing the family units, are best served by not requiring the termination of the insurance or payment in full of the mortgage.\n\n(2) On release of a family unit from the project mortgage, payment shall be made on the outstanding balance of the project mortgage in an amount equal to the share of the balance determined by HUD to be attributable to the family unit.\n\n(3) The project mortgagee shall certify that, notwithstanding any provisions of the mortgage covering prepayment, no charge is contemplated or has been collected for prepayment in full of the project mortgage.\n\n(h)  Projects not covered by an insured or Secretary-held mortgage.  In addition to the requirements contained in paragraphs (a) through (f) of this section, projects which are not covered by an insured project mortgage or by a Secretary-held mortgage and which have not been approved by the Department of Veterans Affairs for its guaranty, insurance, or direct loan programs shall meet the requirements of this paragraph. Except with the approval of the Commissioner for the purpose of constructing or converting the project in phases or stages, any special right of the declarant (as declarant and not as a unit owner) to do any or all of the following must have expired or must have been waived in a recorded instrument:\n\n(1) Add land or units to the condominium;\n\n(2) Convert common elements into additional units or limited common elements;\n\n(3) Withdraw land from the condominium;\n\n(4) Use easements through the common elements for the purpose of making improvements within the condominium or within any adjacent land; or\n\n(5) Convert a unit into two or more units, common elements, or into two or more units and common elements.\n\n(i) Notwithstanding the requirements of paragraphs (a) through (h) of this section, a loan on a single unit in an unapproved condominium project (spot loan) may qualify for mortgage insurance under this part.\n\n(1) The project must meet the following criteria:\n\n(i) All units, common elements, and facilities\u2014including those that are part of any master association\u2014must have been completed, and the project cannot be subject to additional phasing or annexation. The project must provide for undivided ownership of common areas by unit owners;\n\n(ii) Control of the owners' association must have been turned over to the unit purchasers, and the unit purchasers must have been in control for at least one year;\n\n(iii) At least 90 percent of the total units in the project must have been conveyed to the unit purchasers, and at least 51 percent of the total units in the project must have been conveyed to purchasers who are occupying the units as their principal residences or second homes. No single entity (the same individual, investor group, partnership, or corporation) may own more than 10 percent of the total units in the project;\n\n(iv) The units in the project must be owned in fee simple or be an eligible leasehold interest, as described in \u00a7 234.65, and the unit owners must have sole ownership interest in, and right to the use of, the project's facilities, common elements, and limited common elements including parking, recreational facilities, etc.;\n\n(v) The project must be covered by hazard, flood, and liability insurance acceptable to the Commissioner;\n\n(vi) For projects with more than 30 units, no more than 10 percent of the total units in the project may be encumbered by FHA-insured mortgages. (If endorsement would result in more than 10 percent of the units in such a project being encumbered by FHA-insured mortgages, the condominium project must be approved under paragraphs (a) through (h) of this section.) For projects with between 5 and 30 units inclusive, no more than 20 percent of the total units may be encumbered by FHA-insured mortgages. For projects with four units, only one unit may be encumbered by an FHA-insured mortgage under the spot loan procedure of this paragraph (i); and\n\n(vii) The assumability provisions of \u00a7 234.66 must be satisfied.\n\n(2) Lenders must perform an underwriting analysis and certify that a project satisfies the eligibility criteria for a spot loan in a condominium project that has not been approved by FHA. Lenders may use information from the appraiser, the owners' association, the management company, the real estate broker, and the project developer, but the lender must ensure the accuracy of the information obtained from these sources."], ["24:24:2.1.1.2.16.1.187.6", 24, "Housing and Urban Development", "II", "B", "234", "PART 234\u2014CONDOMINIUM OWNERSHIP MORTGAGE INSURANCE", "A", "Subpart A\u2014Eligibility Requirements\u2014Individually Owned Units", "", "\u00a7 234.54 Eligibility of assigned mortgages and mortgages covering acquired property.", "HUD", "", "", "", "The Commissioner may insure under this part, without regard to any limitation upon eligibility contained in this subpart (except that the property must be located in a condominium project approved under \u00a7 234.26), any mortgage assigned to the Commissioner in connection with payment under a contract of mortgage insurance, or executed in connection with a sale by the Commissioner of any property acquired in the settlement of an insurance claim under any section or title of the Act."], ["24:24:2.1.1.2.16.1.187.7", 24, "Housing and Urban Development", "II", "B", "234", "PART 234\u2014CONDOMINIUM OWNERSHIP MORTGAGE INSURANCE", "A", "Subpart A\u2014Eligibility Requirements\u2014Individually Owned Units", "", "\u00a7 234.63 Location of property.", "HUD", "", "", "", "The mortgage, to be eligible for insurance, shall be on property located in a State, as defined in \u00a7 203.251 of this chapter, and not located on \u201cHawaiian home lands,\u201d as that term is defined in section 247(d)(2) of the Act."], ["24:24:2.1.1.2.16.1.187.8", 24, "Housing and Urban Development", "II", "B", "234", "PART 234\u2014CONDOMINIUM OWNERSHIP MORTGAGE INSURANCE", "A", "Subpart A\u2014Eligibility Requirements\u2014Individually Owned Units", "", "\u00a7 234.65 Nature of title.", "HUD", "", "", "", "A mortgage, to be eligible for insurance, shall be on a fee interest in, or on a leasehold interest in, a one-family unit in a project including an undivided interest in the common areas and facilities, and such restricted common areas and facilities as may be designated. To be eligible, a leasehold interest shall be under a lease for not less than 99 years which is renewable, or under a lease having a period of not less than 10 years to run beyond the maturity date of the mortgage."], ["24:24:2.1.1.2.16.1.187.9", 24, "Housing and Urban Development", "II", "B", "234", "PART 234\u2014CONDOMINIUM OWNERSHIP MORTGAGE INSURANCE", "A", "Subpart A\u2014Eligibility Requirements\u2014Individually Owned Units", "", "\u00a7 234.66 Free assumability; exceptions.", "HUD", "", "", "", "For purposes of HUD's policy of free assumability with no restrictions, as provided in \u00a7 203.41 of this chapter, the definition of  Legal restrictions on conveyance  in \u00a7 203.41(a)(3) of this chapter does not include rights of first refusal held by a condominium association for a project approved by the Secretary under this subpart prior to September 10, 1993."], ["24:24:2.1.1.2.16.2.187.1", 24, "Housing and Urban Development", "II", "B", "234", "PART 234\u2014CONDOMINIUM OWNERSHIP MORTGAGE INSURANCE", "B", "Subpart B\u2014Contract Rights and Obligations\u2014Individually Owned Units", "", "\u00a7 234.251 Definitions.", "HUD", "", "", "[61 FR 60163, Nov. 26, 1996]", "The definitions in \u00a7 203.251 of this chapter apply to this subpart."], ["24:24:2.1.1.2.16.2.187.10", 24, "Housing and Urban Development", "II", "B", "234", "PART 234\u2014CONDOMINIUM OWNERSHIP MORTGAGE INSURANCE", "B", "Subpart B\u2014Contract Rights and Obligations\u2014Individually Owned Units", "", "\u00a7 234.274 Certificate of tax assessment.", "HUD", "", "", "", "The mortgagee shall certify, as of the date of filing for record of the deed or assignment of the mortgage to the Commissioner, that the family unit is assessed and subject to assessment for taxes pertaining only to that unit."], ["24:24:2.1.1.2.16.2.187.11", 24, "Housing and Urban Development", "II", "B", "234", "PART 234\u2014CONDOMINIUM OWNERSHIP MORTGAGE INSURANCE", "B", "Subpart B\u2014Contract Rights and Obligations\u2014Individually Owned Units", "", "\u00a7 234.275 Certificate or statement of condition.", "HUD", "", "", "[42 FR 29305, June 8, 1977]", "The mortgagee shall either certify that as of the date of the filing of deed for record, or assignment of the mortgage to the Secretary, the property was (a) undamaged by fire, flood, earthquake, tornado or boiler explosion, and (b) as to mortgages insured or for which commitments to insure are issued on or after June 8, 1977, undamaged due to failure of the mortgagee to take action as required by \u00a7 203.377, or its claim shall be accompanied by a statement describing any such damage that may still exist together with a copy of the Secretary's authorization to convey the property in damaged condition. In the absence of evidence to the contrary, the mortgagee's certificate or its statement as to damage shall be accepted by the Secretary as establishing the condition of the family unit and the common areas and facilities designated for the particular unit."], ["24:24:2.1.1.2.16.2.187.12", 24, "Housing and Urban Development", "II", "B", "234", "PART 234\u2014CONDOMINIUM OWNERSHIP MORTGAGE INSURANCE", "B", "Subpart B\u2014Contract Rights and Obligations\u2014Individually Owned Units", "", "\u00a7 234.280 Cancellation of hazard insurance.", "HUD", "", "", "", "The provisions of \u00a7 203.382 incorporated by reference shall apply to hazard insurance policies carried solely for the family unit."], ["24:24:2.1.1.2.16.2.187.13", 24, "Housing and Urban Development", "II", "B", "234", "PART 234\u2014CONDOMINIUM OWNERSHIP MORTGAGE INSURANCE", "B", "Subpart B\u2014Contract Rights and Obligations\u2014Individually Owned Units", "", "\u00a7 234.285 Waived title objections.", "HUD", "", "", "[36 FR 24628, Dec. 22, 1971, as amended at 42 FR 29305, June 8, 1977]", "The Commissioner shall not object to title by reason of the following matters:\n\n(a) Violations of a restriction based on race, color or creed, even where such restriction provides for a penalty of reversion or forfeiture of title or a lien for liquidated damage.\n\n(b) Easements for public utilities along one or more of the property lines, provided the exercise of the rights thereunder do not interfere with any of the buildings or improvements located on the subject property.\n\n(c) Encroachment on the subject property by improvements on adjoining property, provided such encroachments do not interfere with the use of any improvements on the subject property.\n\n(d) Variations between the length of the subject property lines as shown on the application for insurance and as shown by the record or possession lines, provided such variations do not interfere with the use of any of the improvements on the subject property.\n\n(e) Customary building or use restrictions for breach of which there is no reversion and which have not been violated to a material extent.\n\n(f) Federal tax liens and rights of redemption arising therefrom if the following conditions are observed. If the mortgagee acquires the property by foreclosure the mortgagee shall give notice to the Internal Revenue Service (IRS) of the foreclosure action. The Commissioner will not object to an outstanding right of redemption in IRS if: (1) The Federal tax lien was perfected subsequent to the date of the mortgage lien, and (2) the mortgagee has bid an amount sufficient to make the mortgagee whole if the property is in fact redeemed by the IRS."], ["24:24:2.1.1.2.16.2.187.2", 24, "Housing and Urban Development", "II", "B", "234", "PART 234\u2014CONDOMINIUM OWNERSHIP MORTGAGE INSURANCE", "B", "Subpart B\u2014Contract Rights and Obligations\u2014Individually Owned Units", "", "\u00a7 234.255 Cross-reference.", "HUD", "", "", "[36 FR 24628, Dec. 22, 1971, as amended at 41 FR 42949, Sept. 29, 1976; 42 FR 29305, June 8, 1977; 48 FR 28807, June 23, 1983; 55 FR 34814, Aug. 24, 1990]", "(a)  Provisions.  All of the provisions of \u00a7\u00a7 203.251 through 203.436 of this chapter (part 203, subpart B) covering mortgages insured under section 203 of the National Housing Act shall apply to mortgages insured under section 234(c) of the National Housing Act except the following provisions:\n\nSec. \n \n 203.258 Substitute mortgagors.\n \n 203.259a Scope.\n \n 203.280 One-time MIP.\n \n 203.281 Calculation of one-time MIP.\n \n 203.282 Mortgagee's late charge and interest.\n \n 203.283 Refund of one-time MIP.\n \n 203.357 Deed in lieu of foreclosure. \n \n 203.378 Property condition.\n \n 203.379 Adjustment for damage or neglect. \n \n 203.380 Certificate of property condition. \n \n 203.389 Waived title objections. \n \n 203.420 Nature of Mutual Mortgage Insurance Fund. \n \n 203.421 Allocation of Mutual Mortgage Insurance Fund income or loss. \n \n 203.422 Right and liability under Mutual Mortgage Insurance Fund. \n \n 203.423 Distribution of distributive shares. \n \n 203.424 Maximum amount of distributive shares. \n \n 203.425 Finality of determination. \n \n 203.440  et seq.  Insured home improvement loans.\n\nSec.\n\n203.258 Substitute mortgagors.\n\n203.259a Scope.\n\n203.280 One-time MIP.\n\n203.281 Calculation of one-time MIP.\n\n203.282 Mortgagee's late charge and interest.\n\n203.283 Refund of one-time MIP.\n\n203.357 Deed in lieu of foreclosure.\n\n203.378 Property condition.\n\n203.379 Adjustment for damage or neglect.\n\n203.380 Certificate of property condition.\n\n203.389 Waived title objections.\n\n203.420 Nature of Mutual Mortgage Insurance Fund.\n\n203.421 Allocation of Mutual Mortgage Insurance Fund income or loss.\n\n203.422 Right and liability under Mutual Mortgage Insurance Fund.\n\n203.423 Distribution of distributive shares.\n\n203.424 Maximum amount of distributive shares.\n\n203.425 Finality of determination.\n\n203.440  et seq.  Insured home improvement loans.\n\n(b)  References.  For the purposes of this subpart, all references in \u00a7\u00a7 203.251 through 203.436 of this chapter (part 203, subpart B) to section 203 of the Act, one- to four-family, and the Mutual Mortgage Insurance Fund, shall be construed to refer to section 234 of the act, one-family unit, and the General Insurance Fund. The term  property  or  each family dwelling unit  as used in \u00a7\u00a7 203.251 through 203.436 of this chapter (part 203, subpart B) shall be construed to include \u201cthe one-family unit and the undivided interest in the common areas and facilities as may be designated\u201d."], ["24:24:2.1.1.2.16.2.187.3", 24, "Housing and Urban Development", "II", "B", "234", "PART 234\u2014CONDOMINIUM OWNERSHIP MORTGAGE INSURANCE", "B", "Subpart B\u2014Contract Rights and Obligations\u2014Individually Owned Units", "", "\u00a7 234.256 Substitute mortgagors.", "HUD", "", "", "[55 FR 34814, Aug. 24, 1990, as amended at 57 FR 38352, Dec. 9, 1992; 61 FR 60163, Nov. 26, 1996]", "(a)  Selling mortgagor.  The requirements for the selling mortgagor are set forth in \u00a7 203.258(a) of this chapter.\n\n(b)  Purchasing mortgagor.  (1) If the dwelling is a principal or secondary place of residence, the requirements for the purchasing mortgagor are set forth in \u00a7 203.258(b)(1) of this chapter.\n\n(2) [Reserved]\n\n(c)  Applicability\u2014current mortgagor.  Paragraph (b) of this section applies to the Commissioner's approval of a substitute mortgagor only if the mortgage executed by the original mortgagor met the conditions of \u00a7 203.258(c) of this chapter.\n\n(d)  Applicability\u2014earlier mortgagor.  The occupancy and similar requirements set forth in \u00a7 203.258(d) of this chapter apply to mortgages insured under subpart A of this part.\n\n(e)  Direct endorsement.  Requirements for the direct endorsement program are set forth in \u00a7 203.258(f) of this chapter.\n\n(f)  Substitute mortgagor  is defined in \u00a7 203.258(f) of this chapter."], ["24:24:2.1.1.2.16.2.187.4", 24, "Housing and Urban Development", "II", "B", "234", "PART 234\u2014CONDOMINIUM OWNERSHIP MORTGAGE INSURANCE", "B", "Subpart B\u2014Contract Rights and Obligations\u2014Individually Owned Units", "", "\u00a7 234.259 Claim procedure\u2014graduated payment mortgages.", "HUD", "", "", "[61 FR 60163, Nov. 26, 1996]", "Section 203.436 of this chapter applies to mortgages under this subpart."], ["24:24:2.1.1.2.16.2.187.5", 24, "Housing and Urban Development", "II", "B", "234", "PART 234\u2014CONDOMINIUM OWNERSHIP MORTGAGE INSURANCE", "B", "Subpart B\u2014Contract Rights and Obligations\u2014Individually Owned Units", "", "\u00a7 234.260 Assignment of mortgage and certificate by mortgagee.", "HUD", "", "", "[36 FR 24628, Dec. 21, 1971, as amended at 42 FR 29305, June 8, 1977]", "In addition to the requirements of \u00a7\u00a7 203.350 through 203.353 incorporated by reference, the mortgagee shall certify as to any changes in the plan of apartment ownership including the administration of the property. Any changes shall require FHA approval."], ["24:24:2.1.1.2.16.2.187.6", 24, "Housing and Urban Development", "II", "B", "234", "PART 234\u2014CONDOMINIUM OWNERSHIP MORTGAGE INSURANCE", "B", "Subpart B\u2014Contract Rights and Obligations\u2014Individually Owned Units", "", "\u00a7 234.262 Exception to deed in lieu of foreclosure.", "HUD", "", "", "", "All of the provisions of \u00a7 203.357 of this chapter relating to acceptance of a deed in lieu of foreclosure shall apply to mortgages insured under this part only if the mortgagee establishes to the satisfaction of the Commissioner that there are no unpaid assessments owed the Association or Cooperative of Owners."], ["24:24:2.1.1.2.16.2.187.7", 24, "Housing and Urban Development", "II", "B", "234", "PART 234\u2014CONDOMINIUM OWNERSHIP MORTGAGE INSURANCE", "B", "Subpart B\u2014Contract Rights and Obligations\u2014Individually Owned Units", "", "\u00a7 234.265 Contents of deed and supporting documents.", "HUD", "", "", "", "In addition to the requirements of \u00a7 203.367, incorporated by reference, the deed shall comply with the plan of apartment ownership. Any changes therein, including the administration of the property, shall require FHA approval."], ["24:24:2.1.1.2.16.2.187.8", 24, "Housing and Urban Development", "II", "B", "234", "PART 234\u2014CONDOMINIUM OWNERSHIP MORTGAGE INSURANCE", "B", "Subpart B\u2014Contract Rights and Obligations\u2014Individually Owned Units", "", "\u00a7 234.270 Condition of the multifamily structure.", "HUD", "", "", "[36 FR 24628, Dec. 22, 1971, as amended at 42 FR 29305, June 8, 1977]", "(a) When a family unit is conveyed or a mortgage is assigned to the Commissioner, the family unit and the common areas and facilities designated for the particular unit shall be undamaged by fire, flood, earthquake, tornado, or boiler explosion, or, as to mortgages insured on or after January 1, 1977, due to failure of the mortgagee to take action as required by \u00a7 203.377. If the property has been damaged, either of the following actions shall be taken:\n\n(1) The property may be repaired prior to its conveyance or prior to the assignment of the mortgage to the Commissioner.\n\n(2) If the prior approval of the Commissioner is obtained, the damaged property may be conveyed or the mortgage assigned to the Secretary without repairing the damage. In such instances, the Commissioner shall deduct from the insurance benefits either his estimate of the decrease in value of the family unit or the amount of any insurance recovery received by the mortgagee, whichever is the greater.\n\n(b) If the property has been damaged by fire and such property was not covered by fire insurance at the time of the damage, the mortgagee may convey the property or assign the mortgage to the Commissioner without deduction from the insurance benefits for any loss occasioned by such fire if the following conditions are met:\n\n(1) The property shall have been covered by fire insurance at the time the mortgage was insured.\n\n(2) The fire insurance shall have been later cancelled or renewal shall have been refused by the insuring company.\n\n(3) The mortgagee shall have notified the Commissioner within 30 days (or within such further time as the Commissioner may approve) of the cancellation of the fire insurance or of the refusal of the insuring company to renew the fire insurance. This notification shall have been accompanied by a certification of the mortgagee that diligent efforts were made, but it was unable to obtain fire insurance coverage at reasonably competitive rates and that it will continue its efforts to obtain adequate fire insurance coverage at competitive rates, including coverage under the FAIR Plan. A  reasonable rate  is a rate not more than 25 percent in excess of the rate or the advisory rate filed or used by the principal rating organization doing business in the state. If the property is located in a state which has no rate or advisory rate as provided in the preceding sentence, the mortgagee shall consult the Director of the local HUD office as to a reasonable rate. When hazard insurance coverage cannot be obtained in an amount equal to the unpaid principal balance of the loan but insurance can be obtained in a reduced amount from a FAIR Plan or another insurance carrier, the Secretary will accept the reduced coverage without reduction of mortgage, insurance benefits, if the rates do not exceed the guidelines stated herein. If coverage in any amount is only available at rates in excess of a reasonable rate as defined herein, the mortgagor may but shall not be required to purchase such coverage. If coverage is purchased, the amount of any claim for insurance benefits under this part shall be reduced by the amount of any recovery of hazard insurance benefits by the mortgagee.\n\n(c) The provisions in paragraph (b) of this section shall be applicable with respect to the insurance of all mortgages whether insured prior to May 8, 1968, or insured on or after such date.\n\n(d) The mortgagee shall not be liable for damage to the property by waste in connection with mortgage insurance claims paid on or after July 2, 1968. However, the mortgagee shall be responsible for damage to or destruction of security properties on which the loans are in default and which properties are vacant or abandoned due to the mortgagee's failure to take reasonable action to inspect, protect and preserve such properties as required by \u00a7 203.377, as to all mortgages insured on or after June 8, 1977, but such responsibility shall not exceed the amount of its insurance claim as to a particular property."], ["24:24:2.1.1.2.16.2.187.9", 24, "Housing and Urban Development", "II", "B", "234", "PART 234\u2014CONDOMINIUM OWNERSHIP MORTGAGE INSURANCE", "B", "Subpart B\u2014Contract Rights and Obligations\u2014Individually Owned Units", "", "\u00a7 234.273 Assessment of taxes.", "HUD", "", "", "", "When a family unit is conveyed to the Commissioner or a mortgage is assigned to the Commissioner, the unit shall be assessed and subject to assessment for taxes pertaining only to that unit."], ["24:24:2.1.1.2.16.3.187.1", 24, "Housing and Urban Development", "II", "B", "234", "PART 234\u2014CONDOMINIUM OWNERSHIP MORTGAGE INSURANCE", "C", "Subpart C\u2014Eligibility Requirements\u2014Projects\u2014Conversion Individual Sales Units", "", "\u00a7 234.501 Eligibility requirements.", "HUD", "", "", "[61 FR 14406, Apr. 1, 1996]", "The requirements set forth in 24 CFR part 200, subpart A, apply to blanket mortgages on condominium projects insured under section 234 of the National Housing Act (12 U.S.C. 1715y), as amended."], ["24:24:2.1.1.2.16.4.187.1", 24, "Housing and Urban Development", "II", "B", "234", "PART 234\u2014CONDOMINIUM OWNERSHIP MORTGAGE INSURANCE", "D", "Subpart D\u2014Contract Rights and Obligations\u2014Projects", "", "\u00a7 234.751 Cross-reference.", "HUD", "", "", "[36 FR 24628, Dec. 22, 1971, as amended at 50 FR 38787, Sept. 25, 1985]", "(a) All of the provisions, except \u00a7 207.258(b) of subpart B of this chapter, covering mortgages insured under section 207 of the National Housing Act shall apply to mortgages insured under section 234(d) of such Act.\n\n(b) For the purposes of this subpart, all references in part 207 of this chapter to section 207 of the National Housing Act shall be construed to refer to section 234(d) of the act."], ["24:24:2.1.1.2.16.5.187.1", 24, "Housing and Urban Development", "II", "B", "234", "PART 234\u2014CONDOMINIUM OWNERSHIP MORTGAGE INSURANCE", "E", "Subpart E\u2014Servicing Responsibilities\u2014Individually Owned Units", "", "\u00a7 234.800 Cross-reference.", "HUD", "", "", "[42 FR 29306, June 8, 1977]", "All of the provisions of subpart C, part 203 of this chapter covering mortgages insured under section 203 of the National Housing Act apply to mortgages insured under section 234(c) of the National Housing Act."], ["33:33:3.0.1.1.9.0.1.1", 33, "Navigation and Navigable Waters", "II", "", "234", "PART 234\u2014CORPS OF ENGINEERS AGENCY SPECIFIC PROCEDURES TO IMPLEMENT THE PRINCIPLES, REQUIREMENTS AND GUIDELINES FOR FEDERAL INVESTMENTS IN WATER RESOURCES", "", "", "", "\u00a7 234.1 General.", "USACE", "", "", "", "(a) This part prescribes the Agency Specific Procedures (ASPs) for the United States Army Corps of Engineers (Corps) to execute its Civil Works mission, in accordance with the Water Resources Principles and Guidelines defined in section 2031 of the Water Resources and Development Act (WRDA) of 2007 (Pub. L. 110-114; 42 U.S.C. 1962-3), the Principles, Requirements and Guidelines (PR&G) issued by the Council on Environmental Quality and approved by the Water Resources Council, and as called for in section 110 of WRDA 2020 (Division AA of Pub. L. 116-260).\n\n(b) Section 2031 of the WRDA of 2007 (Pub. L. 110-114) directed the Secretary of the Army to revise the March 10, 1983, Economic and Environmental Principles and Guidelines for Water and Related Land Resources Implementation Studies (P&G) for Corps use and to address the following considerations: advancements in economic and analytic techniques; public safety; low-income communities; nonstructural approaches; interaction with other water resources projects and programs; integrated and adaptive management; and use of public benefits to justify projects. This WRDA provision also provided that the Federal Objective is to reflect national priorities, encourage economic development, and protect the environment by seeking to maximize sustainable economic development, avoid the unwise use of floodplains, and protect and restore natural ecosystems.\n\n(c) The PR&G was issued as an interagency effort to modernize the P&G. The PR&G is comprised of the Principles and Requirements (P&R) issued in March 2013 and the Interagency Guidelines issued in December 2014. The PR&G emphasizes that water resources projects should strive to meet the Federal Objective and maximize public benefits relative to public costs. The PR&G is designed to support water infrastructure projects with the greatest public benefits (economic, environmental, and social benefits) relative to costs.\n\n(d) Congress directed the Secretary of the Army to issue ASPs to implement the PR&G in section 110 of WRDA 2020 (Division AA of Pub. L. 116-260)."], ["33:33:3.0.1.1.9.0.1.10", 33, "Navigation and Navigable Waters", "II", "", "234", "PART 234\u2014CORPS OF ENGINEERS AGENCY SPECIFIC PROCEDURES TO IMPLEMENT THE PRINCIPLES, REQUIREMENTS AND GUIDELINES FOR FEDERAL INVESTMENTS IN WATER RESOURCES", "", "", "", "\u00a7 234.10 Compare alternatives.", "USACE", "", "", "", "(a)  Comparing alternatives.  Alternatives shall be compared to each other and to the No Action alternative and shall include a comparison of the ability of the alternatives to perform under changing conditions, including climate change. The alternative (or alternatives) that reasonably meets the Federal Objective and maximizes net public benefits shall be identified. In addition, alternatives may be evaluated separately with respect to other considerations, including distributional effects. These considerations may include:\n\n(1) Temporal factors, since certain effects may occur at different points in time.\n\n(2) Spatial factors, since certain costs, benefits, and transfers may accrue to different regions. Regional-scale analyses may be useful to inform regional-level economic development objectives. It is important to note that such regional analyses, while useful, are completely separate from the calculation of net public benefits described in \u00a7 234.4(c).\n\n(3) Beneficiaries. Tribal Nations and stakeholders (including other governmental agencies and communities with environmental justice concerns) may indicate different tradeoffs among the various benefits and costs of a Federal action. Tribal reserved rights, including treaty-protected resources and habitats, are not benefits to the Tribal Nation, rather, they are guaranteed by such treaties. Robust engagement at this stage shall focus on eliciting preferences among the alternatives, their component elements, and their effects. When calculating net benefits, these distributional effects can be examined using techniques like income weighting.\n\n(b)  Tradeoffs.  Tradeoffs among potential alternatives will be assessed and described throughout the decision-making process and in a manner that informs decision-making. Based on the available analytical information, the Corps would use its professional judgment in making its recommendations on decisions among tradeoffs. The tradeoff displays shall be understandable, transparent, and constructed in a generally consistent fashion for all analyses. The analysis shall include a combination of both tables and explanatory materials to help inform a decision. Displays shall facilitate the evaluation and comparison of alternatives necessary to make the following determination and reflect the following:\n\n(1) The effectiveness of alternatives in solving the water resources problem and taking advantage of the opportunities identified in the planning process.\n\n(2) What must be given up in monetary and nonmonetary terms to enjoy the benefits of the various alternatives, relative to the baseline.\n\n(3) The differences among alternatives.\n\n(c)  Information for inclusion in the analysis.  To promote consistency across the Corps, the following tables and information shall be included in the analysis and documentation prepared for a decision process:\n\n(1)  Criteria.  The analysis must explicitly address the extent to which an alternative achieves each of the following criteria: completeness, effectiveness, efficiency, and acceptability. This evaluation must be systematic and can include both quantitative and qualitative components.\n\n(2)  Effects matrix.  A matrix summarizing the tradeoffs, relative to the baseline, effect-by-effect must be included in the integrated report.\n\n(3)  Additional trade-off displays.  Additional text and tables should display other important trade-offs, such as trade-offs along temporal, spatial, and beneficiary dimensions.\n\n(4)  Summary table.  A summary table displaying the economic, environmental, and social costs and benefits as measured (monetized, quantified, quantitative) for each alternative. In addition, the summary table will display the economic, environmental, and social costs and benefits which were derived qualitatively. The summary table will also separately include information on the level of risk or uncertainty for each alternative.\n\n(5)  Achievement of objectives table.  A table indicating the extent to which the Guiding Principles have been achieved."], ["33:33:3.0.1.1.9.0.1.11", 33, "Navigation and Navigable Waters", "II", "", "234", "PART 234\u2014CORPS OF ENGINEERS AGENCY SPECIFIC PROCEDURES TO IMPLEMENT THE PRINCIPLES, REQUIREMENTS AND GUIDELINES FOR FEDERAL INVESTMENTS IN WATER RESOURCES", "", "", "", "\u00a7 234.11 Select the recommended plan.", "USACE", "", "", "", "(a)  Recommended plan.  (1) Plan selection will require decision-makers to assess tradeoffs and to consider the extent of both monetized and non-monetized effects. The basis for selection of the recommended plan should be fully reported and documented in a transparent manner, including the criteria and considerations used. This section must provide a discussion about the extent to which the alternatives achieve the Federal Objective and maximize net public benefits to society. The report must include an explanation of the assumptions in the evaluation of monetized and non-monetized benefits and costs. This section will include a summary of elicited Tribal Nation and stakeholder perspectives on the alternatives and their effects.\n\n(2) The Corps should recommend:\n\n(i) Authorization of an alternative project, program, or plan;\n\n(ii) Implementation of an alternative under existing law;\n\n(iii) Implementation of a project, program or plan by others; or\n\n(iv) No action.\n\n(3) In its studies, the Corps shall analyze, evaluate, fully consider, and justify each separable element of the proposed investment independently of the other separable elements, based on its social, environmental, and economic benefits and costs to society.\n\n(4) The Corps should seek to meet water resources objectives and maximize net public benefits, relative to public costs. It is possible that more than one alternative might reasonably and approximately meet these conditions. \u201cNet public benefits\u201d implies that the anticipated benefits will be presented relative to the costs associated with the accrual of those benefits. Net public benefits can include both quantified and non-quantified benefits. Any recommendation will clearly delineate the Federal water resources project(s) or actions being recommended, including any condition precedent for construction.\n\n(b)  Exceptions.  A recommended plan for a Federal water resources investment that does not maximize net public benefits requires an exception from the Assistant Secretary of the Army for Civil Works. Requests for exception should describe the project or activity, the rationale for the exception, and present relevant data and analysis to support the request."], ["33:33:3.0.1.1.9.0.1.2", 33, "Navigation and Navigable Waters", "II", "", "234", "PART 234\u2014CORPS OF ENGINEERS AGENCY SPECIFIC PROCEDURES TO IMPLEMENT THE PRINCIPLES, REQUIREMENTS AND GUIDELINES FOR FEDERAL INVESTMENTS IN WATER RESOURCES", "", "", "", "\u00a7 234.2 Definitions.", "USACE", "", "", "", "Acceptability.  The viability and appropriateness of an alternative from the perspective of the Nation's general public and consistency with existing Federal laws, authorities, and public policies. It does not include local or regional preferences for solutions or political expediency.\n\nAdaptive management.  A deliberate, iterative, and scientific-based process of designing, implementing, monitoring, and adjusting an action, measure, or project to address changing circumstances and outcomes, reduce uncertainty, and maximize one or more goals over time.\n\nCompleteness.  The extent to which an alternative provides and accounts for all features, investments, and/or other actions necessary to realize the planned effects, including any necessary actions by others. It does not necessarily mean that alternative actions need to be large in scope or scale.\n\nEffectiveness.  The extent to which an alternative alleviates the specified problems and achieves the specified opportunities.\n\nEfficiency.  The extent to which an alternative alleviates the specified problems and realizes the specified opportunities at the least cost.\n\nFederal investment.  Investments made by the Corps related to water resources development projects, including flood and storm risk management, ecosystem restoration, land management activities, navigation, recreation, and hydropower.\n\nFederal Objective.  The fundamental goal of Federal investments in water resources. Federal water resources investments shall reflect national priorities, encourage economic development, and protect the environment. Federal investments should strive to maximize net public benefits.\n\nIndigenous Knowledge.  Indigenous Knowledge may be described as a body of observations, oral and written knowledge, innovations, practices, and beliefs developed by Tribes and Indigenous Peoples through interaction and experience with the environment, consistent with the definitions used in 43 CFR 2361.5 and 6101.4(h) and the Guidance for Federal Departments and Agencies on Indigenous Knowledge, issued November 30, 2022. It is applied to phenomena across biological, physical, social, cultural, and spiritual systems. Indigenous Knowledge can be developed over millennia, continues to develop, and includes understanding based on evidence acquired through direct contact with the environment and long-term experiences, as well as extensive observations, lessons, and skills passed from generation to generation.\n\nNature-based alternatives.  An alternative comprised of actions to protect, sustainably manage, or restore natural or modified ecosystems to address societal challenges, while simultaneously providing benefits for people and the environment.\n\nNon-Federal interest.  (1) A legally constituted public body (including an Indian Tribe and a Tribal Organization (as those terms are defined in 25 U.S.C. 5304)); or\n\n(2) A nonprofit entity with the consent of the affected local government, that has full authority and capability to perform the terms of its agreement and to pay damages, if necessary, in the event of failure to perform.\n\nNonstructural alternative.  An alternative comprised of a nonstructural approach or combination of nonstructural approaches that addresses the water resources problem.\n\nNonstructural approach.  An approach that alters the use of existing infrastructure or human activities to generally avoid or minimize adverse changes to existing hydrologic, geomorphic, and ecological processes. This may include measures such as certain forms of nature-based solutions; modified floodplain practices; policy modifications; vessel speed limits; traffic management and tidal navigation restrictions; the reoperation of dams and reservoirs to restore or better mimic natural hydrology and flow patterns; invasive plant removal; signage to limit public access at an aquatic ecosystem restoration site; setbacks; elevations; relocation; buyout/acquisition including the acquisition of flowage easements; dry flood proofing; and wet flood proofing. They may also include actions that are not the responsibility of the Corps such as providing flood insurance, establishing building codes for new construction, and other local floodplain management practices, installing early warning systems, and developing emergency evacuation plans.\n\nProfessional judgment.  An evidence-based decision that relies on appropriate training and experience.\n\nPublic benefits.  Encompasses economic, environmental, and social impacts, and includes those that can be quantified in monetary terms, as well as those that can be quantified or described qualitatively.\n\nRegional economic development effects.  The changes in the distribution of regional economic activity that would result from implementation of an alternative plan. These economic effects amount to a transfer of resources from one part of the Nation to another (either from one region of the country to another, or within a region). They accrue in a local area or region but are offset by equivalent losses elsewhere in the country.\n\nRegulatory.  Generally, those activities subject to legal restrictions promulgated by the Federal Government.\n\nResilience.  Resilience is the ability to prepare for threats and hazards, adapt to changing conditions, and withstand and recover rapidly from adverse conditions and disruptions.\n\nSustainable.  The creation and maintenance of conditions under which humans and nature can coexist in the present and into the future.\n\nTribal Nation (Federally recognized Indian Tribe or Tribal Organization).  An Indian or Alaska Native tribe, band, nation, pueblo, village, or community that the Secretary of the Interior acknowledges to exist as an Indian Tribe pursuant to the Federally Recognized Indian Tribe List Act of 1994, 25 U.S.C. 5130.\n\nUnwise use of floodplains.  Any action or change that diminishes public health and safety, or an action that is incompatible with or adversely impacts one or more floodplain functions that leads to a floodplain that is no longer self-sustaining or degrades ecosystem services.\n\nWatershed.  A land area that drains to a common waterbody."], ["33:33:3.0.1.1.9.0.1.3", 33, "Navigation and Navigable Waters", "II", "", "234", "PART 234\u2014CORPS OF ENGINEERS AGENCY SPECIFIC PROCEDURES TO IMPLEMENT THE PRINCIPLES, REQUIREMENTS AND GUIDELINES FOR FEDERAL INVESTMENTS IN WATER RESOURCES", "", "", "", "\u00a7 234.3 Exceptions.", "USACE", "", "", "", "Exceptions to any requirements or policy contained in this part may be requested by the Corps or the non-Federal interest or responsible Tribal, State, or local government. Exceptions must be requested in writing and will be reviewed for a decision by the Assistant Secretary of the Army for Civil Works."], ["33:33:3.0.1.1.9.0.1.4", 33, "Navigation and Navigable Waters", "II", "", "234", "PART 234\u2014CORPS OF ENGINEERS AGENCY SPECIFIC PROCEDURES TO IMPLEMENT THE PRINCIPLES, REQUIREMENTS AND GUIDELINES FOR FEDERAL INVESTMENTS IN WATER RESOURCES", "", "", "", "\u00a7 234.4 Objectives and applicability.", "USACE", "", "", "", "(a)  Introduction.  The goal of the Department of the Army's ASPs is to ensure that Army Civil Works consistently applies a common framework for analyzing a diverse range of water resources development projects, programs, activities, and related actions involving Federal investments. The ASPs will advance transparency and consistency of the Corps' Federal investments in water resources. The intention of the ASPs is to outline the steps to apply the PR&G to Corps water resources investments, including a determination of the applicability of the PR&G in the context of the Corps' missions and authorities, to provide a common framework for evaluation of investment alternatives, and to ensure that the Corps adequately addresses the Guiding Principles identified in the P&R.\n\n(b)  Objectives for Federal water resources investments.  Section 2031 of WRDA 2007 (Pub. L. 110-114; 42 U.S.C. 1962-3) specifies that Federal water resources investments shall reflect national priorities, encourage economic development, and protect the environment. The Corps shall accomplish this Federal Objective of water resources planning policy by:\n\n(1) Seeking to maximize sustainable economic development;\n\n(2) Seeking to avoid the unwise use of floodplains and flood-prone areas and minimizing adverse impacts and vulnerabilities in any case in which a floodplain or flood-prone area must be used; and\n\n(3) Protecting and restoring the functions of natural systems and mitigating any unavoidable damage to natural systems.\n\n(c)  Net public benefits.  The Corps shall strive to maximize net public benefits to society. Public benefits encompass economic, environmental, and social goals, include monetized and un-monetized effects, and allow for the consideration of both quantified and unquantified effects.\n\n(d)  Applicability.  (1) The objectives in paragraph (b) of this section shall be embodied in all new Army Civil Works' water resources investments, which include both structural and nonstructural approaches to water resources problems. The PR&G analysis under the Corps' ASPs described in this part is generally required for feasibility studies; general re-evaluation reports; major rehabilitation reports; studies performed under the continuing authorities program of the Corps; studies to support significant changes to project operations including any such changes that warrant preparation of an environmental impact statement, re-allocation studies, and studies conducted under section 216 of the Flood Control Act of 1970 (33 U.S.C. 549a); and any other project or program not otherwise excluded under paragraph (d)(2) of this section.\n\n(2) The PR&G is not intended to apply to all Federal actions. The following types of Federal investments are identified as excluded from the requirements of this part:\n\n(i) Regulatory actions, such as the issuance of permits associated with section 404 of the Clean Water Act (33 U.S.C. 1344).\n\n(ii) Real estate actions.\n\n(iii) Planning Assistance to States program.\n\n(iv) Flood Plain Management Services program.\n\n(v) Section 14 of the Rivers and Harbors Act of 1899 (33 U.S.C. 408) program.\n\n(vi) Public Law 84-99 program.\n\n(vii) Water Infrastructure Finance and Innovation Act Program.\n\n(viii) Environmental Infrastructure projects.\n\n(ix) Land management plans.\n\n(x) Operation and maintenance activities that are carried out in a manner consistent with the existing approved operation and maintenance manual or plan for an authorized project. This exclusion does not apply to significant proposed changes to an existing O&M plan including proposals that may be controversial, significant changes to the existing plan to meet new goals, and other significant changes that may warrant a further analysis of the options for operation and maintenance.\n\n(xi) International and Interagency Services and Support for Others actions.\n\n(xii) Research or monitoring activities.\n\n(xiii) Emergency actions.\n\n(xiv) Projects, programs, or plans that fall below the thresholds identified in table 1 to \u00a7 234.5(c). These excluded actions generally occur when investments are routine and have inconsequential effects on water resources.\n\n(xv) Additional programs, plans, or projects which the Assistant Secretary of the Army for Civil Works determines do not require analysis pursuant to \u00a7 234.3."], ["33:33:3.0.1.1.9.0.1.5", 33, "Navigation and Navigable Waters", "II", "", "234", "PART 234\u2014CORPS OF ENGINEERS AGENCY SPECIFIC PROCEDURES TO IMPLEMENT THE PRINCIPLES, REQUIREMENTS AND GUIDELINES FOR FEDERAL INVESTMENTS IN WATER RESOURCES", "", "", "", "\u00a7 234.5 Level of analysis.", "USACE", "", "", "", "(a)  Standard and scaled levels of analysis.  Once a determination has been made that the PR&G does apply, the level of analysis shall be determined. The level of PR&G analysis required will vary in scope and magnitude across programs and activities. There are two levels of analysis: standard and scaled. In general, the level of analysis should be commensurate with the significance of the Federal investment in terms of dollar value and the potential environmental impacts. While there is not a clear distinction between the different levels of analysis, the two types of analysis can generally be distinguished in several ways:\n\n(1) A standard analysis seeks to evaluate all the relevant benefits and costs associated with the project or activity using original or secondary data. This type of analysis is typically used for new or significantly modified actions. The Corps would conduct a benefit-cost analysis of programs and activities that have some effect on the environment. For projects/activities that fall into the category of standard analysis, the analysis should make significantly greater efforts to quantify and monetize impacts. The extent to which effects can and should be monetized should be made on a resource-by-resource basis and should consider the estimated present value cost of the project/activity and the significance of the effects.\n\n(2) A scaled analysis is an analysis that is more limited in scope for projects, programs, or plans that have low risk/low cost, have minimal consequences of failure, pose minimal threats to human life or safety, or do not result in significant impacts to the environment. A scaled analysis may rely on benefits function transfer methods and readily available secondary data sources. Benefits function transfer methods are used to estimate monetary values by transferring available information about relationships from studies already completed to another location, context, or issue. Best practices would be applied when using this approach to avoid common pitfalls.\n\n(b)  Determining the appropriate level of analysis.  In many cases, professional judgment and available resources will be important factors in determining the appropriate level of analysis. The Corps will ensure that cumulative effects of many small, routine actions would not in itself elevate those investments to a scaled or standard analysis. Many of those small, routine actions would be excluded from PR&G analysis.\n\n(c)  Scope and magnitude of analysis required.  The threshold criteria for project, programmatic, and individual plan level analysis for Army Civil Works is shown in table 1 to this paragraph (c). These thresholds represent guidelines for the level of analysis that is likely to be most appropriate for an activity, given the level of investment in, appropriations for, or cost of that activity. In determining whether a given activity or project falls under or exceeds the financial thresholds, it is the level of the present value of Federal investment that is the relevant criterion to use. However, for a particular activity, a different level of analysis may be more appropriate, and projects/programs may depart from these guidelines where such a departure is justified. In general, a scoping effort should be undertaken to evaluate the level of effort needed to analyze the full range of potential effects. Project-level analysis should generally be used for water resources investments when the Corps has discretion in site-specific investment decisions. A programmatic-level analysis generally has a broader scale and/or scope than a project-level analysis. Programmatic-level analysis generally relates to funding programs or where a proposal for a set of similar actions analyzed under one decision document may occur.\n\nTable 1 to Paragraph ( c )\u2014Monetary Threshold Criteria"], ["33:33:3.0.1.1.9.0.1.6", 33, "Navigation and Navigable Waters", "II", "", "234", "PART 234\u2014CORPS OF ENGINEERS AGENCY SPECIFIC PROCEDURES TO IMPLEMENT THE PRINCIPLES, REQUIREMENTS AND GUIDELINES FOR FEDERAL INVESTMENTS IN WATER RESOURCES", "", "", "", "\u00a7 234.6 The planning process.", "USACE", "", "", "", "(a)  Introduction.  The following planning process will be used to implement the common framework summarized in the Interagency Guidelines for analyzing Federal investments in applicable water resources. The planning process will ensure that plan formulation, evaluation, and recommendations for proposed Corps investments reflect the Guiding Principles identified in the P&R: healthy and resilient ecosystems, sustainable economic development, floodplains, public safety, environmental justice, and a watershed approach. The planning process consists of a series of steps that identify or respond to problems and opportunities, as well as specific Tribal, State, and local concerns, and, in most cases, culminates in a recommended plan. The process involves an orderly and systematic approach to making determinations and decisions at each step so that the interested public and decision-makers in the planning organization can be fully aware of the following: the basic assumptions employed; the data and information analyzed; the areas of risk and uncertainty; the reasons and rationales used; and the significant implications of each alternative. The Corps will identify impacts to Tribal treaty and water rights at the earliest phases and throughout the plan evaluation process, screening alternatives that impact Tribal treaty and water rights. The planning process is iterative to adapt to new information and understanding. The result of the planning process is investment advice. The advice may be a recommended plan or plans that seek to maximize net public benefits in addressing the identified water resources problem and a description of the analysis of the benefits and costs of that and other potential plans.\n\n(b)  National Environmental Policy Act (NEPA).  Where Federal investments in water resources require analysis under NEPA and this part, Army Civil Works should integrate, to the extent possible, the analysis in this part into existing planning processes, and may integrate this part and NEPA analyses in a single analytical document that reflects both processes. Army Civil Works shall seek opportunities to integrate other required Federal and State environmental reviews with their combined analyses.\n\n(c)  Guiding Principles.  The Guiding Principles provide the overarching concepts that the Corps seeks to promote through investments in water resources.\n\n(1)  Environmental justice.  Environmental justice refers to the just treatment and meaningful involvement of all people regardless of income, race, color, national origin, Tribal affiliation, or disability, in agency decision-making and other Federal activities that affect human health and the environment so that people:\n\n(i) Are fully protected from disproportionate and adverse human health and environmental effects (including risks) and hazards, including those related to climate change, the cumulative impacts of environmental and other burdens, and the legacy of racism or other structural or systemic barriers; and\n\n(ii) Have equitable access to a healthy, sustainable, and resilient environment in which to live, play, work, learn, grow, worship, and engage in cultural and subsistence practices. Environmental justice shall be considered throughout the Civil Works program and in all phases of project planning and decision-making. Army Civil Works projects and programs shall advance equity by meeting the needs of communities, such as by reducing disparate environmental burdens, protecting Tribal treaty rights, removing barriers to participation in decision-making, and increasing access to benefits provided by Civil Works programs, including for disadvantaged communities. The planning process shall put these communities at the front and center of studies, providing robust opportunities for effective participation in the planning and decision-making processes. Any disproportionate adverse public safety, human health, or environmental burdens of project alternatives on communities with environmental justice concerns shall be avoided, minimized, or mitigated to the greatest extent reasonable. The Corps shall ensure that communities with environmental justice concerns have meaningful opportunities to identify potential alternatives, effects, and mitigation measures. The Corps shall also be transparent in fully displaying, disclosing and considering the potential effects of alternative actions on communities with environmental justice concerns.\n\n(2)  Floodplains.  All future Federal investments in and affecting floodplains must meet some level of floodplain resilience. Alternatives affecting floodplains should aim to improve floodplain resilience if possible and also should avoid the unwise use of floodplains. To identify floodplain areas for the purpose of this section, the Corps will use the best-available and actionable science including a climate-informed science approach. If construction in the floodplain or adverse impacts to a floodplain's natural and beneficial functions cannot be avoided, then the alternative must minimize adverse impacts to these areas and mitigate unavoidable impacts using nature-based approaches where possible. The Corps shall identify and communicate potential adverse effects on floodplain functions for the various alternatives under consideration. Where the Corps proposes to construct a project feature in a floodplain because that is the best way to achieve flood risk reduction or other public purposes, that proposed Corps project is not automatically considered an unwise use of the floodplain. The Corps shall strive to sustain the floodplain's natural and beneficial functions to the maximum extent practicable given the project's purpose and need.\n\n(3)  Healthy and resilient ecosystems.  Alternatives shall protect the existing functions of ecosystems and may restore the health of damaged ecosystems to a less degraded and more natural state where feasible and in accordance with current study and cost-sharing authorities. When adverse environmental impacts cannot be completely avoided, alternatives shall strive to minimize environmental impacts. When a particular alternative will cause unavoidable damage to the environment, mitigation to offset damages shall be incorporated into that alternative and evaluated as part of that alternative. In developing alternatives, consideration shall be given to ecosystem resilience, including acknowledging the value of ecosystem services to people. When evaluating alternatives, the health of the affected ecosystem shall be measured in its current condition as the baseline and projected under the alternatives being considered, including the No Action alternative.\n\n(4)  Public safety.  Alternative solutions shall strive to avoid, reduce, or mitigate significant risks to public safety, including both loss of life and injury, and shall include measures to manage and communicate the residual risks. The impact and reliability of alternatives on significant risks to public safety must be evaluated for both existing and future conditions, considered in decision-making, and documented.\n\n(5)  Sustainable economic development.  The Corps' investments in water resources shall encourage sustainable economic development. This is accomplished through the sustainable use and management of water resources, ensuring overall water resources resilience. Sustainable economic development creates and maintains conditions under which humans and nature can coexist. Analysis under sustainable economic development shall present, where feasible, information about the environmental resources in the project area or the area where activities are occurring, and how the resources and their value might be expected to change over time. Physical capital information may also be included where relevant. Analysis shall also include information on socio-economic conditions under current and projected conditions. Economic, social, and environmental effects and benefits shall be incorporated into the analysis of alternatives.\n\n(6)  Watershed approach.  When developing alternatives, the water resources problem being addressed should be analyzed on a watershed-based level to facilitate inclusion of a complete range of solutions, after considering the breadth of impacts across the watershed. A key aspect of the watershed approach is the analysis of information regarding watershed conditions and needs, allowing for consideration of upstream and downstream conditions and needs; consideration of other projects and actions in place, underway or planned by other agencies within the watershed; and the more thorough addressing of the potential impacts of a proposed action. The scale of the watershed used to develop alternatives can vary. The appropriately sized watershed for the particular need being addressed shall be a case-specific determination based on the relevant facts and circumstances. The watershed scale used to develop alternatives should encompass a geographical area large enough to ensure plans address cause and effect relationships among affected resources and activities, both upstream and downstream, and cumulative in nature, that are important to gaining public benefits or avoiding harm from the project. The watershed approach ensures that the interconnectedness of systems is evaluated to fully understand the root causes and symptoms of the water resources problem and the full range of potential public benefits. Communication starting in the scoping phase with other agencies or Tribal, territorial, State, and local government partners working in the watershed will help realize a watershed approach. In addition, other potential investments in the watershed shall also be accounted for under the watershed approach.\n\n(d)  Collaboration.  (1) The planning process will seek to achieve full collaboration with a wide range of affected Tribes, governmental and non-governmental stakeholders, communities with environmental justice concerns, and the public in all stages of the planning process. Collaboration with Tribes, governmental and non-governmental stakeholders, communities with environmental justice concerns, and the general public throughout the planning process allows consideration of multiple perspectives and information sources, such as Indigenous Knowledge, and shall be emphasized throughout the planning process. Collaboration with Tribes, communities, and local and State governments is a critical element to help identify specific problems, opportunities, and significant constraints within the study area, and to help establish planning goals and objectives that are consistent with the objectives of this part and are locally appropriate. Starting at the earliest phase in the planning process, Tribes and other communities with environmental justice concerns shall have an opportunity to play a key role in identifying alternatives, enhancing the positive benefits to their communities from potential Federal investment, and describing any concerns they may have with a potential project. Such early, meaningful, and robust engagement will help identify and address problems, possible solutions, and scope studies. Robust, early collaboration with Tribes does not negate the need for Tribal consultation. Robust, early collaboration with Tribes is in addition to the requirement to conduct early, meaningful, and robust Government-to-Government consultation with Tribal Nations when appropriate.\n\n(2) To improve Federal decision-making and to promote transparency, Army Civil Works shall seek to meaningfully collaborate with other Federal and non-Federal entities. Engagement methods and scope of engagement will depend on the stage of the planning process, the issues, and the groups that will be contributing ideas and information to the planning process, and shall use best practices and techniques for engagement. Engagement strategies shall consider Corps, Tribal, and community resource constraints. Indigenous Knowledge, information from Tribal Nations, local and State governments, non-governmental organizations, and the public shall be incorporated into the problem definition and forecasting of future conditions as well as the development and analysis of alternatives. Robust engagement and transparency throughout the planning process, including during the evaluation and comparison of alternatives, will help deliver sound investment advice for water resources solutions that maximize net public benefits.\n\n(e)  Investigations and data collection.  Investigations, data collection, and analysis should be ongoing and integrated early in the planning process. Investigations should be relevant to the planning objectives and constraints. The interdisciplinary study team should identify the most important areas to focus on in the study, such as: engineering and design; surface water and groundwater hydrology; hydraulics; geology; operations; water quality; land resources; power generation and conservation; economics; financing; environmental, social, and cultural impacts and mitigation; opportunities for recreation; cost estimation for construction, operation, maintenance, replacement, and energy consumption; and climate change (to include greenhouse gas emissions). Investigation, data collection, and analysis should leverage and incorporate information from Tribal, State, local, non-governmental sources, and the public. Additional investigations should be performed as necessary.\n\n(f)  Identify purpose, problems, needs, and opportunities.  To identify purpose, problems, needs, and opportunities, the Corps shall:\n\n(1) Ensure that the planning goals and objectives are consistent with the study authority.\n\n(2) Clearly identify the purpose of the study, the role of the Federal Government, as well as the views of the non-Federal interest (if any), cooperating agencies, Tribes, various stakeholders, and the public.\n\n(3) Describe the problems and opportunities to which the agency is responding in a manner that will not foreclose consideration of the full range of reasonable alternatives, including options that the non-Federal sponsor may not support.\n\n(4) Define the study area, including activities within the watershed that are relevant to the proposed project and areas where impacts should be avoided.\n\n(5) Describe the plans for stakeholder involvement.\n\n(6) Prepare a summary of the planning objectives and constraints to be used in the analysis of the Federal investment. This summary should include a discussion of stakeholder, partner, and public input.\n\n(7) Include a discussion of the social and cultural context of the region and resources.\n\n(g)  Inventory existing resources and forecast future conditions.  A summary of the specific economic, environmental, and social setting within the study area shall cover the condition and functional relationships of affected resources; their development potential and possible conflicts in producing affected ecosystem services; and the local situation with respect to investment, climate, markets, affected communities, and basic economic productivity.\n\n(1) The phrase \u201cforecast future conditions\u201d generally relates to the identification of impacts associated with the alternatives, including the No Action alternative. Future conditions should be assessed and analyzed as part of the evaluation process, and the best available data and forecast should be used to complete an analysis of these uncertain conditions.\n\n(2) This exercise of identifying existing resources and forecasting future conditions will quantify, to the extent practicable, relevant water and related resource conditions as they currently exist within the study area, and forecast future conditions over the period of analysis. This would also include resources and conditions regarding the economic, environmental, and social aspects within the study area, as well as ecosystem services and climate-related scenarios. The existing resources and future conditions will be established using generally accepted sources that are national, State, or regional in scope, such as from peer-reviewed sources or sources which are government-produced.\n\n(3) The \u201cwithout-project condition\u201d is the most likely condition expected to exist in the future over the period of analysis in the absence of a Federal investment by the Corps (through the proposed Corps project, action, or program that is under consideration), given current laws, policies, projects under construction, and any existing resources/conditions. It considers expected actions that may be executed by others, including potential future land use conditions, and shall consider effects of climate change using multiple scenario analyses.\n\n(4) The \u201cwith-project condition\u201d is the most likely condition expected to exist in the future, over the period of analysis, with a specific Corps project or program in place. It considers expected actions that may be executed by others, including potential future land use conditions, and shall consider effects of climate change using multiple scenario analyses.\n\n(5) To ensure that the appropriate criteria and problems are incorporated into the analytical framework, a summary of the process used to define the relevant existing conditions and foreseeable future conditions shall be prepared and made available to the public and shared with stakeholders.\n\n(h)  Formulate alternatives.  The primary goal of an alternative is to address a water resources challenge, consistent with the Federal Objective and Guiding Principles. The primary function of an alternative must be to alleviate unsatisfactory conditions or address a problem or opportunity that exists or will exist in the future without the proposed Federal investment that is under consideration. Alternatives should address the defined water resources challenge that is the subject of the analysis, and may achieve multiple purposes. Alternative formulations should focus on solutions that are feasible and meet the planning objectives of the study, based on the most likely future conditions expected with and without implementation of an alternative. The viability of an alternative should be determined through an evaluation of its acceptability, efficiency, effectiveness, and completeness, as required in the PR&G. The period of analysis should be the same for each alternative and sufficient to encompass the lifespan and significant long-term impacts of the project. In addition, alternatives may also include actions which are beyond the missions of the Corps where others may help provide solutions to the identified problem and meet the goals of the PR&G. However, such alternatives shall identify the relevant parties with requisite responsibility for those actions beyond Corps missions (such as other Federal agencies and non-Federal partners), their authority for that action, the interrelation between that action and the recommended Corps project, action, or program and appropriate sequencing of implementation. For Corps investments, the Corps will be the designated lead for completing PR&G analysis.\n\n(1) Alternatives are to be developed in a systematic manner that ensures that the Corps has identified and considered the full range of reasonable alternatives. A range of potential alternatives should be initially investigated reflecting a range of scales and measures, and as alternatives are refined, some would be screened out for reasons such as having excessive cost or unavoidable impacts, not sufficiently addressing the identified problem or opportunity, or other factors. The study report should include some analysis of the eliminated alternatives and reasons for their elimination. The plans that are retained for additional analysis will comprise the range of reasonable alternatives required for the NEPA analysis. Section 234.8 describes the alternatives required in the final array.\n\n(2) Consideration of nonstructural approaches and nature-based solutions that meet the planning objectives shall be an integral part of the development and evaluation of Federal investments in water resources.\n\n(3) Each alternative formulated for the PR&G analysis should align with the alternatives evaluated in the corresponding NEPA document.\n\n(4) The Corps should formulate the alternatives based on an incremental analysis of their benefits and costs to society. The economic, environmental, and social effects of a water resources development project are interrelated. In formulating alternatives to address the identified water resources problem or opportunity, the Corps shall consider each of these effects and seek to maximize net public benefits."], ["33:33:3.0.1.1.9.0.1.7", 33, "Navigation and Navigable Waters", "II", "", "234", "PART 234\u2014CORPS OF ENGINEERS AGENCY SPECIFIC PROCEDURES TO IMPLEMENT THE PRINCIPLES, REQUIREMENTS AND GUIDELINES FOR FEDERAL INVESTMENTS IN WATER RESOURCES", "", "", "", "\u00a7 234.7 Evaluation framework.", "USACE", "", "", "", "(a)  General.  To inform the overall decision-making process, this section describes the common framework and general requirements to be used by the Corps in evaluating and ensuring full consideration of the social, environmental, and economic benefits and costs to society of any separable elements and potential alternatives for Federal investment. This will include their performance with respect to the Guiding Principles and their contributions to the Federal Objective. Any key assumptions that affect the analysis of alternatives shall be clearly described in the study.\n\n(b)  Economic, environmental, and social effects.  (1) The Corps' analytical framework for evaluating Federal investments should focus on the key economic, environmental, and social effects that are relevant to the investment decision. Typical NEPA analyses emphasize environmental effects and benefits, including ecosystem services, and these should also be used as a core part of water resources alternatives analysis. A benefit-cost analysis would be conducted for each alternative. Ecosystem services are an important benefit-cost category that should be included in the benefit-cost analysis.\n\n(2) In addition, the scale of the analysis can be adjusted for a given study. While all analyses should share common elements, how these elements are achieved can depend on the identified problem or opportunity. It is important to establish a consistent analytic approach for each study. When implementing its ASPs, the Corps will consider and, where it deems appropriate, align with the latest Federal methods and guidance (for example, updated OMB Circulars and applicable interagency guidance) to ensure that the analytical framework accounts for all significant economic, environmental, and social costs and benefits, including ecosystem services. Where possible, monetization enables the incorporation of the values placed on the benefits and costs evaluated and provides a way to evaluate trade-offs in common analytical units (dollars). OMB Circulars A-4 and A-94 provide guidance on appropriate use of monetization methods. The Corps anticipates that it will not be possible to monetize all social and environmental costs and benefits of the alternatives. In these cases, the Corps should quantify the social and environmental costs and benefits and when neither monetization nor quantification is possible, the Corps should qualitatively describe the social and environmental costs and benefits in sufficient detail to allow differentiation across alternatives. Relevant monetary, quantitative, and descriptive information will be fully assessed and considered in the analysis.\n\n(c)  Best available actionable science and commensurate level of detail.  (1) Analysis to support the evaluation of alternatives shall use the best available actionable science, to include Indigenous Knowledge, data, analytical techniques, procedures, models, and tools in ecology, hydrology, economics, engineering, biology, and other disciplines to the extent that sufficient funding is available, and to the extent such information is relevant and appropriate to the subject investment. To the extent feasible, the effects of the alternatives should be monetized. Effects will be monetized, quantified, or described, in that order.\n\n(2) The level of detail required to support alternatives analysis may vary but should be sufficient to inform the decision-making process efficiently and effectively. The level of detail, scope, and complexity of analyses should be commensurate with the scale, impacts, costs, scientific complexities, uncertainties, risk, and other aspects (such as public concern) inherent in potential decisions.\n\n(d)  Risk and uncertainty.  When analyzing potential Federal water resources investments, the Corps shall identify, describe, and quantify (if feasible) areas of risk and uncertainty and consider them in decision-making. Risks and uncertainties shall be identified and described in a manner that is clear and understandable to the public and decision-makers. This includes describing the nature, likelihood, and magnitude of risks, as well as the uncertainties associated with key supporting data, projections, and evaluations of competing alternatives. Risk and uncertainty are inherent in economic analyses as well as the analysis of physical and biological factors, no matter the technique or methodology employed. The study should estimate the extent to which the outcomes from an investment may vary over time from the estimates provided in the study, both in the short-term and in the less predictable future, due to uncertainty. Knowledge of risk and uncertainty and the degree of reliability of the estimated consequences will better inform decision-making. When there are considerable uncertainties concerning the ability of an alternative to function as desired (such as producing the desired outputs and/or the general acceptability of the alternative) the option of pursuing improved data or models should be considered. Reducing risk and uncertainty may involve increased costs or loss of benefits. The advantages and costs of reducing risk and uncertainty should be explicitly considered in formulating alternatives and the overall decision-making process.\n\n(e)  Adaptive management.  Adaptive management measures shall be clearly identified and evaluated as part of alternatives to the extent that such measures are commensurate with the significance of the proposed activity and available resources. Adaptive management measures are particularly useful when making management choices in the face of uncertainty, such as when detailed information and tools are not readily available.\n\n(f)  Climate change.  Conditions resulting from a changing climate shall be identified and accounted for in all stages of the planning process, and uncertainties associated with climate change will be identified and described. Analysis of climate change impacts shall reflect the best available actionable science and will leverage region-specific information from Federal, Tribal, State, local, and non-governmental partners. The Corps shall incorporate a climate-informed science approach considering impacts such as inland and coastal climate change impacts on flood and drought hazards using the most up-to-date science, policies, and tools available. The Corps shall also ensure climate resilience and adaptation are incorporated and considered throughout the planning process and across alternatives, including a discussion on how climate, drought, and ecosystem resilience may intersect for that particular action and can contribute to the economic vitality and water resources resilience of the Nation. The changing climate should inform the understanding of water resources needs and how those needs can potentially be addressed.\n\n(g)  Water availability, water uses, and resilience.  The consideration of multiple uses, competing demands, and the potential future uses of the water resources shall be taken into account when formulating and evaluating solutions to a water resources problem or challenge. Water availability and efficient use of water shall be considered in designing the alternatives, as shall resilience, when applicable to the purpose of the study. The analysis shall consider water availability, water uses, and resilience over a range of conditions, from too little water in drought and multiple-use scenarios, to too much water in flood scenarios.\n\n(h)  Nonstructural and nature-based solutions.  Nonstructural measures alter the use of existing infrastructure or human activities to generally improve, avoid, or minimize adverse changes to existing hydrologic, geomorphic, and ecological processes. Nonstructural measures may be combined with fewer or smaller traditional structural project components to produce a complete alternative plan or may be used instead of a structural project. In the development of alternatives, the use of natural systems, ecosystem processes, and nature-based solutions shall be considered. Full consideration and reporting on nonstructural and nature-based alternative actions shall be an integral part of the evaluation of Federal water resources investment alternatives, and a full nonstructural in addition to a full nature-based alternative will be included in the final array of alternatives. Nonstructural and nature-based aspects should also be included in the other alternatives in the final array when appropriate.\n\n(i)  Tribal treaty rights.  Each of the alternatives considered for a water resources investment must be consistent with the protection of Tribal treaty rights. Alternatives that impact Tribal treaty and water rights should be screened out as soon as the Corps becomes aware of such impacts, and the study will document why the alternatives have been screened.\n\n(j)  State water law.  Alternatives for water resources investments must be consistent with applicable State laws, including water rights and decrees, to the extent that these do not conflict with Federal laws and regulations. Analyses should identify legal constraints that preclude selection of an otherwise viable alternative.\n\n(k)  International obligations.  Alternatives for water resources investments must be consistent with meeting treaty and other international obligations. Analyses should identify international obligations that preclude selection of an otherwise viable alternative.\n\n(l)  Period of analysis.  The period of analysis for the study shall be documented with an appropriate justification, and used to evaluate each alternative."], ["33:33:3.0.1.1.9.0.1.8", 33, "Navigation and Navigable Waters", "II", "", "234", "PART 234\u2014CORPS OF ENGINEERS AGENCY SPECIFIC PROCEDURES TO IMPLEMENT THE PRINCIPLES, REQUIREMENTS AND GUIDELINES FOR FEDERAL INVESTMENTS IN WATER RESOURCES", "", "", "", "\u00a7 234.8 Final array of alternatives.", "USACE", "", "", "", "(a) Except as provided in paragraphs (c) and (f) of this section, the final array of alternatives shall include, at a minimum, the following six alternatives:\n\n(1) A No Action alternative.\n\n(2) A nonstructural alternative: An alternative that can effectively address the problem through the feasible use of nonstructural approaches.\n\n(3) A nature-based solution alternative: An alternative that can effectively address the problem through the feasible use of nature-based solutions (including natural systems and ecosystem processes).\n\n(4) An environmentally preferred alternative.\n\n(5) An alternative that seeks to maximize net public benefits to society. In developing this alternative, the Corps shall not consider regional economic development effects.\n\n(6) An alternative that is locally preferred. If this alternative differs from the net public benefits alternative, it will be required to have a comparable level of detail and analyzed using the same analytical framework as the net public benefits alternative.\n\n(b) The nonstructural and nature-based alternatives do not preclude consideration of these elements in other alternatives. Nonstructural measures and nature-based solutions shall be considered as components of the other alternatives in the final array, essentially providing an integrated or \u201chybrid\u201d of gray (hard) infrastructure with these other measures.\n\n(c) The same alternative may be identified as more than one of these required alternatives.\n\n(d) Mitigation of unavoidable adverse effects associated with each alternative must be included in the alternative and in the analyses.\n\n(e) If an alternative requires changes in existing laws, regulations, or policies, those changes must be clearly identified and explained.\n\n(f) If one or more of the required alternatives is not included because the Corps was not able to identify a potential solution that is feasible and consistent with the purpose of the study, the study must document that decision.\n\n(g) The discussion of the final array of alternatives should include the primary purpose of the analysis; the geographic size of the study area; the types of impacts; the number of people potentially affected and anticipated degree of impact; environmental justice considerations; the size and location of communities potentially affected including the presence of Federally-recognized Tribes or Tribal members; and the type of data and information available from Indigenous Knowledge, collaboration, public involvement, and previous studies."], ["33:33:3.0.1.1.9.0.1.9", 33, "Navigation and Navigable Waters", "II", "", "234", "PART 234\u2014CORPS OF ENGINEERS AGENCY SPECIFIC PROCEDURES TO IMPLEMENT THE PRINCIPLES, REQUIREMENTS AND GUIDELINES FOR FEDERAL INVESTMENTS IN WATER RESOURCES", "", "", "", "\u00a7 234.9 Evaluate effects of alternatives.", "USACE", "", "", "", "(a)  Analysis of alternatives.  For the final array of alternatives, the analysis should describe, evaluate, and estimate the key social, environmental, and economic effects, and assess the contributions of each alternative to the Guiding Principles. The analysis should identify any impacts to Tribal treaty rights which were unknown earlier in the planning process and which prevent the selection of an alternative.\n\n(b)  Evaluation procedures.  In addition to assessing how alternatives perform with respect to the Guiding Principles, the evaluation procedures shall incorporate methods to evaluate:\n\n(1) How public benefits of an alternative compare to its costs, including full consideration of all important social, environmental, and economic benefits and costs.\n\n(2) How alternatives perform against the objectives of the study.\n\n(3) How alternatives perform against the four formulation criteria: completeness, effectiveness, efficiency, and acceptability.\n\n(c)  Consideration of benefits and costs.  The report should fully account for the effects to society of alternative plans and their respective contributions to the Federal Objective, relative to the No Action alternative. The analysis will evaluate the economic benefits and costs, environmental benefits and costs, and social benefits and costs of alternatives, regardless of how they are included (monetized, quantified, or described). The consideration of benefits to federally recognized Tribes will be done in direct consultation with the respective Tribal Nation and will supplement the public benefit analysis. To the extent practicable, such costs and benefits must be quantified in a scientifically valid and acceptable way, and such quantified costs shall be monetized where practicable. When monetization or quantification is not possible, costs and benefits must be described in sufficient detail to enable the decision-maker to understand the importance and magnitude of potential changes. For monetized costs and benefits, the present value cost of each alternative must be compared to the present value of the benefit to the public. For quantified but not monetized benefits and costs, the Corps would present the information on an average annual basis, and would also describe how the benefits and costs would accrue over the period of analysis. For qualitatively described benefits and costs, expectations would be described across the period of analysis. The effects of alternative plans are displayed in terms of costs and benefits."], ["49:49:4.1.1.1.28.1.86.1", 49, "Transportation", "II", "", "234", "PART 234\u2014GRADE CROSSING SAFETY", "A", "Subpart A\u2014General", "", "\u00a7 234.1 Scope.", "FRA", "", "", "[77 FR 35190, June 12, 2012, as amended at 80 FR 786, Jan. 6, 2015; 85 FR 80659, Dec. 14, 2020]", "(a) This part prescribes minimum\u2014\n\n(1) Maintenance, inspection, and testing standards for highway-rail grade crossing warning systems;\n\n(2) Standards for the reporting of failures of highway-rail grade crossing warning systems and for the actions that railroads must take when such systems malfunction;\n\n(3) Requirements for certain identified States to update their existing State highway-rail grade crossing action plans and submit reports about the implementation of their existing plans and for the remaining States and the District of Columbia to develop State highway-rail grade crossing action plans;\n\n(4) Requirements that certain railroads establish systems for receiving toll-free telephone calls reporting various unsafe conditions at highway-rail grade crossings and pathway grade crossings, and for taking certain actions in response to those calls; and\n\n(5) Requirements for reporting to, and periodically updating information contained in, the U.S. DOT National Highway-Rail Crossing Inventory for highway-rail and pathway crossings.\n\n(b) This part does not restrict a railroad from adopting and enforcing additional or more stringent requirements not inconsistent with this part."], ["49:49:4.1.1.1.28.1.86.2", 49, "Transportation", "II", "", "234", "PART 234\u2014GRADE CROSSING SAFETY", "A", "Subpart A\u2014General", "", "\u00a7 234.3 Application and responsibility for compliance.", "FRA", "", "", "[77 FR 35190, June 12, 2012]", "(a) With the exception of \u00a7 234.11, this part applies to all railroads except the following:\n\n(1) Operations of a plant railroad as defined in \u00a7 234.5;\n\n(2) Rapid transit operations in an urban area that are not connected to the general railroad system of transportation; or\n\n(3) Tourist, scenic, historic, or excursion operations conducted only on track used exclusively for that purpose ( i.e.,  there is no freight, intercity passenger, or commuter passenger railroad operation on the track) and only on track inside an installation that is insular;  i.e.,  the operations are limited to a separate enclave in such a way that there is no reasonable expectation that the safety of the public\u2014except a business guest, a licensee of the railroad or an affiliated entity, or a trespasser\u2014would be affected by the operation. An operation will not be considered insular if one or more of the following exists on its line:\n\n(i) A public highway-rail crossing that is in use;\n\n(ii) An at-grade rail crossing that is in use;\n\n(iii) A bridge over a public road or waters used for commercial navigation; or\n\n(iv) A common corridor with a railroad,  i.e.,  its operations are within 30 feet of those of any railroad.\n\n(b) Although the duties imposed by this part are generally stated in terms of the duty of a railroad, each person, including a contractor or subcontractor for a railroad, who performs any task covered by this part, shall perform that task in accordance with this part."], ["49:49:4.1.1.1.28.1.86.3", 49, "Transportation", "II", "", "234", "PART 234\u2014GRADE CROSSING SAFETY", "A", "Subpart A\u2014General", "", "\u00a7 234.5 Definitions.", "FRA", "", "", "[61 FR 31806, June 20, 1996, as amended at 77 FR 35191, June 12, 2012; 85 FR 80659, Dec. 14, 2020]", "As used in this part:\n\nAccident/incident  means any impact between railroad on-track equipment and a highway user at a highway-rail grade crossing or pathway grade crossing. The term \u201chighway user\u201d includes automobiles, buses, trucks, motorcycles, bicycles, farm vehicles, pedestrians, and all other modes of surface transportation motorized and un-motorized.\n\nActivation failure  means the failure of an active highway-rail grade crossing warning system to indicate the approach of a train at least 20 seconds prior to the train's arrival at the crossing, or to indicate the presence of a train occupying the crossing, unless the crossing is provided with an alternative means of active warning to highway users of approaching trains. (This failure indicates to the motorist that it is safe to proceed across the railroad tracks when, in fact, it is not safe to do so.) A grade crossing signal system does not indicate the approach of a train within the meaning of this paragraph if\u2014more than 50% of the flashing lights (not gate arm lights) on any approach lane to the crossing are not functioning as intended, or in the case of an approach lane for which two or more pairs of flashing lights are provided, there is not at least one flashing light pair operating as intended. Back lights on the far side of the crossing are not considered in making these determinations.\n\nAppropriately equipped flagger  means a person other than a train crewmember who is equipped with a vest, shirt, or jacket of a color appropriate for daytime flagging such as orange, yellow, strong yellow green or fluorescent versions of these colors or other generally accepted high visibility colors. For nighttime flagging, similar outside garments shall be retro reflective. Acceptable hand signal devices for daytime flagging include \u201c STOP/SLOW\u201d paddles or red flags. For nighttime flagging, a flashlight, lantern, or other lighted signal shall be used. Inasmuch as Part VI of the Federal Highway Administration's Manual on Uniform Traffic Control Devices addresses standards and guides for flaggers and flagging equipment for highway traffic control, FRA recommends that railroads be aware of the standards and follow them to the greatest extent possible. Copies of the latest MUTCD provisions regarding flagging will be available from FRA, as well as FMCSA, as changes are made in this area.\n\nCredible report of warning system malfunction  or  credible report of warning system malfunction at a highway-rail grade crossing  means a report that contains specific information regarding a malfunction of a highway-rail grade crossing warning system at an identified highway-rail grade crossing, supplied by a railroad employee, law enforcement officer, highway traffic official, or other employee of a public agency acting in an official capacity.\n\nFalse activation  means the activation of a highway-rail grade crossing warning system caused by a condition that requires correction or repair of the grade crossing warning system. (This failure indicates to the motorist that it is not safe to cross the railroad tracks when, in fact, it is safe to do so.)\n\nFRA  means the Office of Railroad Safety, Federal Railroad Administration, 1200 New Jersey Avenue SE., Washington, DC 20590.\n\nHighway-rail grade crossing  means a location where a public highway, road, street, or private roadway, including associated sidewalks and pathways, crosses one or more railroad tracks at grade.\n\nPartial activation  means activation of a highway-rail grade crossing warning system indicating the approach of a train, however, the full intended warning is not provided due to one of the following conditions:\n\n(1) At non-gated crossings equipped with one pair of lights designed to flash alternately, one of the two lights does not operate properly (and approaching motorists can not clearly see flashing back lights from the warning lights on the other side of the crossing);\n\n(2) At gated crossings, the gate arm is not in a horizontal position; or\n\n(3) At gated crossings, any portion of a gate arm is missing if that portion normally had a gate arm flashing light attached.\n\nPathway grade crossing  means a pathway that crosses one or more railroad tracks at grade and that is\u2014\n\n(1) Explicitly authorized by a public authority or a railroad;\n\n(2) Dedicated for the use of non-vehicular traffic, including pedestrians, bicyclists, and others; and\n\n(3) Not associated with a public highway, road, or street, or a private roadway.\n\nPlant railroad  means a plant or installation that owns or leases a locomotive, uses that locomotive to switch cars throughout the plant or installation, and is moving goods solely for use in the facility's own industrial processes. The plant or installation could include track immediately adjacent to the plant or installation if the plant railroad leases the track from the general system railroad and the lease provides for (and actual practice entails) the exclusive use of that trackage by the plant railroad and the general system railroad for purposes of moving only cars shipped to or from the plant. A plant or installation that operates a locomotive to switch or move cars for other entities, even if solely within the confines of the plant or installation, rather than for its own purposes or industrial processes, will not be considered a plant railroad because the performance of such activity makes the operation part of the general railroad system of transportation.\n\nState highway-rail grade crossing action plan or Action Plan  means a document submitted to FRA for review and approval by a State of the United States (or the District of Columbia), which contains the elements required by \u00a7 234.11(e) to address safety at highway-rail and pathway grade crossings.\n\nTrain  means one or more locomotives, with or without cars.\n\nWarning system malfunction  or  warning system malfunction at a highway-rail grade crossing  means an activation failure, a partial activation, or a false activation of a highway-rail grade crossing warning system."], ["49:49:4.1.1.1.28.1.86.4", 49, "Transportation", "II", "", "234", "PART 234\u2014GRADE CROSSING SAFETY", "A", "Subpart A\u2014General", "", "\u00a7 234.6 Penalties.", "FRA", "", "", "[74 FR 36558, June 28, 2010, as amended at 77 FR 24422, Apr. 24, 2012; 81 FR 43111, July 1, 2016; 82 FR 16134, Apr. 3, 2017; 83 FR 60749, Nov. 27, 2018; 84 FR 23736, May 23, 2019; 84 FR 37074, July 31, 2019; 86 FR 1759, Jan. 11, 2021; 86 FR 23255, May 3, 2021; 87 FR 15869, Mar. 21, 2022; 88 FR 1128, Jan. 6, 2023; 88 FR 89563, Dec. 28, 2023; 89 FR 106297, Dec. 30, 2024; 90 FR 28176, July 1, 2025]", "(a)  Civil penalty.  Any person (an entity of any type covered under 49 U.S.C. 21301, including the following: A railroad; a manager, supervisor, official, or other employee or agent of a railroad; any owner, manufacturer, lessor, or lessee of railroad equipment, track, or facilities; any independent contractor providing goods or services to a railroad; and any employee of such owner, manufacturer, lessor, lessee, or independent contractor) who violates any requirement of this part, except for any violation of \u00a7 234.11, or causes the violation of any such requirement is subject to a civil penalty of at least the minimum civil monetary penalty and not more than the ordinary maximum civil monetary penalty per violation. However, penalties may be assessed against individuals only for willful violations, and a penalty not to exceed the aggravated maximum civil monetary penalty per violation may be assessed, where: A grossly negligent violation, or a pattern of repeated violations, has created an imminent hazard of death or injury to persons; or a death or injury has occurred. See 49 CFR part 209, appendix A. Each day a violation continues shall constitute a separate offense. FRA's website at  https://railroads.dot.gov/  contains a schedule of civil penalty amounts used in connection with this part. The railroad is not responsible for compliance with respect to any condition inconsistent with the technical standards set forth in this part where such variance arises as a result of actions beyond the control of the railroad and the railroad could not have prevented the variance through the exercise of due diligence. The foregoing sentence does not excuse any instance of noncompliance resulting from the actions of the railroad's employees, agents, or contractors.\n\n(b)  Criminal penalty.  Whoever knowingly and willfully makes, causes to be made, or participates in the making of a false entry in reports required to be filed by this part, or files a false report or other document required to be filed by this part, except for any document filed pursuant to \u00a7 234.11, is subject to a $5,000 fine and 2 years imprisonment as prescribed by 49 U.S.C. 522(a) and 21311(a)."], ["49:49:4.1.1.1.28.2.86.1", 49, "Transportation", "II", "", "234", "PART 234\u2014GRADE CROSSING SAFETY", "B", "Subpart B\u2014Reports and Plans", "", "\u00a7 234.7 Accidents involving grade crossing signal failure.", "FRA", "", "", "", "(a) Each railroad shall report to FRA every impact between on-track railroad equipment and an automobile, bus, truck, motorcycle, bicycle, farm vehicle, or pedestrian at a highway-rail grade crossing involving an activation failure. Notification shall be provided to the National Response Center within 24 hours of occurrence at (800) 424-0201. Complete reports shall thereafter be filed with FRA pursuant to \u00a7 234.9 of this part (activation failure report) and 49 CFR 225.11 (accident/ incident report).\n\n(b) Each telephone report must state the:\n\n(1) Name of the railroad;\n\n(2) Name, title, and telephone number of the individual making the report;\n\n(3) Time, date, and location of accident;\n\n(4) U. S. DOT-AAR Grade Crossing Identification Number;\n\n(5) Circumstances of the accident, including operating details of the grade crossing warning device;\n\n(6) Number of persons killed or injured, if any;\n\n(7) Maximum authorized train speed; and\n\n(8) Posted highway speed limit, if known."], ["49:49:4.1.1.1.28.2.86.2", 49, "Transportation", "II", "", "234", "PART 234\u2014GRADE CROSSING SAFETY", "B", "Subpart B\u2014Reports and Plans", "", "\u00a7 234.9 Grade crossing signal system failure reports.", "FRA", "", "", "", "Each railroad shall report to FRA within 15 days each activation failure of a highway-rail grade crossing warning system. FRA Form No. 6180-83, \u201cHighway-Rail Grade Crossing Warning System Failure Report,\u201d shall be used for this purpose and completed in accordance with instructions printed on the form."], ["49:49:4.1.1.1.28.2.86.3", 49, "Transportation", "II", "", "234", "PART 234\u2014GRADE CROSSING SAFETY", "B", "Subpart B\u2014Reports and Plans", "", "\u00a7 234.11 State highway-rail grade crossing action plans.", "FRA", "", "", "[85 FR 80659, Dec. 14, 2020; 86 FR 10857, Feb. 23, 2021]", "(a)  Purpose.  The purpose of this section is to reduce accident/incidents at highway-rail and pathway grade crossings nationwide by requiring States and the District of Columbia to develop or update highway-rail grade crossing action plans and implement them. This section does not restrict any other entity from adopting a highway-rail grade crossing action plan. This section also does not restrict any State or the District of Columbia from adopting a highway-rail grade crossing action plan with additional or more stringent requirements not inconsistent with this section.\n\n(b)  New Action Plans.  (1) Except for the 10 States identified in paragraph (c)(3) of this section, each State and the District of Columbia shall develop a State highway-rail grade crossing action plan that addresses each of the required elements listed in paragraph (e) of this section and submit such plan to FRA for review and approval not later than February 14, 2022.\n\n(2) Each State and the District of Columbia shall submit its highway-rail grade crossing action plan electronically through FRA's website in Portable Document Format (PDF).\n\n(c)  Updated Action Plan and implementation report.  (1) Each of the 10 States listed in paragraph (c)(3) of this section shall develop and submit to FRA for review and approval an updated State highway-rail grade crossing action plan that addresses each of the required elements listed in paragraph (e) of this section, not later than February 14, 2022.\n\n(2) Each of the 10 States listed in paragraph (c)(3) of this section shall also develop and submit to FRA, not later than February 14, 2022, a report describing:\n\n(i) How the State implemented the State highway-rail grade crossing action plan that it previously submitted to FRA for review and approval; and\n\n(ii) How the State will continue to reduce highway-rail and pathway grade crossing safety risks.\n\n(3) The requirements of this paragraph (c) apply to the following States: Alabama, California, Florida, Georgia, Illinois, Indiana, Iowa, Louisiana, Ohio, and Texas.\n\n(d)  Electronic submission of updated Action Plan and implementation report.  Each of the 10 States listed in paragraph (c)(3) of this section shall submit its updated highway-rail grade crossing action plan and implementation report electronically through FRA's website in PDF form.\n\n(e)  Required elements for State highway-rail grade crossing action plans.  Each State highway-rail grade crossing action plan described in paragraphs (b) and (c) of this section shall:\n\n(1) Identify highway-rail and pathway grade crossings that:\n\n(i) Have experienced at least one accident/incident within the previous 3 years;\n\n(ii) Have experienced more than one accident/incident within the previous 5 years; or\n\n(iii) Are at high-risk for accidents/incidents as defined in the Action Plan. Each State or the District of Columbia that identifies highway-rail and pathway grade crossings that are at high-risk for accidents/incidents in its Action Plan shall provide a list of the factors that were considered when making this determination. At a minimum, these factors shall include:\n\n(A) Average annual daily traffic;\n\n(B) Total number of trains per day that travel through each crossing;\n\n(C) Total number of motor vehicle collisions at each crossing during the previous 5-year period;\n\n(D) Number of main tracks at each crossing;\n\n(E) Number of roadway lanes at each crossing;\n\n(F) Sight distance (stopping, corner and clearing) at each crossing;\n\n(G) Roadway geometry (vertical and horizontal) at each crossing; and\n\n(H) Maximum timetable speed;\n\n(2) Identify data sources used to categorize the highway-rail and pathway grade crossings in paragraph (e)(1) of this section;\n\n(3) Discuss specific strategies, including highway-rail grade crossing closures or grade separations, to improve safety at those crossings over a period of at least four years;\n\n(4) Provide an implementation timeline for the strategies discussed in paragraph (e)(3) of this section; and\n\n(5) Designate an official responsible for managing implementation of the State highway-rail grade crossing action plan.\n\n(f)  Point of contact for State highway-rail grade crossing action plans.  (1) When the State or the District of Columbia submits its highway-rail grade crossing action plan or updated Action Plan and implementation report electronically through FRA's website, the following information shall be provided to FRA for the designated official described in paragraph (e)(5) of this section:\n\n(i) The name and title of the designated official;\n\n(ii) The business mailing address for the designated official;\n\n(iii) The email address for the designated official; and\n\n(iv) The daytime business telephone number for the designated official.\n\n(2) If the State or the District of Columbia designates another official to assume the responsibilities described in paragraph (e)(5) of this section before December 16, 2024, the State or the District of Columbia shall contact FRA and provide the information listed in paragraph (f)(1) of this section for the new designated official.\n\n(g)  Review and approval.  (1) FRA will update its website to reflect receipt of each new, updated, or corrected highway-rail grade crossing action plan submitted pursuant to this section.\n\n(2)(i) Within 60 days of receipt of each new, updated, or corrected highway-rail grade crossing action plan, FRA will conduct a preliminary review of the Action Plan to ascertain whether the elements prescribed in paragraph (e) of this section are adequately addressed in the plan.\n\n(ii) Each new, updated, or corrected State highway-rail grade crossing action plan shall be considered conditionally approved for purposes of this section sixty (60) days after receipt by FRA unless FRA notifies the designated official described in paragraph (e)(5) of this section that the highway-rail grade crossing action plan is incomplete or deficient.\n\n(iii) FRA reserves the right to conduct a more comprehensive review of each new, updated, or corrected State highway-rail grade crossing action plan within 120 days of receipt.\n\n(3) If FRA determines that the new, updated, or corrected highway-rail grade crossing action plan is incomplete or deficient:\n\n(i) FRA will provide email notification to the designated official described in paragraph (e)(5) of this section of the specific areas in which the Action Plan is deficient or incomplete and allow the State or the District of Columbia to complete the plan and correct the deficiencies identified.\n\n(ii) Within 60 days of the date of FRA's email notification identifying the specific areas in which the highway-rail grade crossing action plan is incomplete or deficient, the State or District of Columbia shall correct all deficiencies and submit the corrected State highway-rail grade crossing action plan to FRA for approval. The corrected highway-rail grade crossing action plan shall be submitted electronically through FRA's website in PDF format.\n\n(4)(i) When a new, updated, or corrected State highway-rail grade crossing action plan is fully approved, FRA will provide email notification to the designated official described in paragraph (e)(5) of this section.\n\n(ii) FRA will make each fully-approved State highway-rail grade crossing action plan publicly available for online viewing.\n\n(iii) Each State and the District of Columbia shall implement its fully-approved highway-rail grade crossing action plan.\n\n(h)  Condition for grants.  The Secretary of Transportation may condition the awarding of any grants under 49 U.S.C. ch. 244 on the State's or District of Columbia's submission of an FRA-approved State highway-rail grade crossing action plan under this section."], ["49:49:4.1.1.1.28.3.86.1", 49, "Transportation", "II", "", "234", "PART 234\u2014GRADE CROSSING SAFETY", "C", "Subpart C\u2014Response to Credible Reports of Warning System Malfunction at Highway-Rail Grade Crossings", "", "\u00a7 234.101 Employee notification rules.", "FRA", "", "", "", "Each railroad shall issue rules requiring its employees to report to persons designated by that railroad, by the quickest means available, any warning system malfunction."], ["49:49:4.1.1.1.28.3.86.2", 49, "Transportation", "II", "", "234", "PART 234\u2014GRADE CROSSING SAFETY", "C", "Subpart C\u2014Response to Credible Reports of Warning System Malfunction at Highway-Rail Grade Crossings", "", "\u00a7 234.103 Timely response to report of malfunction.", "FRA", "", "", "", "(a) Upon receipt of a credible report of a warning system malfunction, a railroad having maintenance responsibility for the warning system shall promptly investigate the report and determine the nature of the malfunction. The railroad shall take appropriate action as required by \u00a7 234.207.\n\n(b) Until repair or correction of the warning system is completed, the railroad shall provide alternative means of warning highway traffic and railroad employees in accordance with \u00a7\u00a7 234.105, 234.106 or 234.107 of this part.\n\n(c) Nothing in this subpart requires repair of a warning system, if, acting in accordance with applicable State law, the railroad proceeds to discontinue or dismantle the warning system. However, until repair, correction, discontinuance, or dismantling of the warning system is completed, the railroad shall comply with this subpart to ensure the safety of the traveling public and railroad employees."], ["49:49:4.1.1.1.28.3.86.3", 49, "Transportation", "II", "", "234", "PART 234\u2014GRADE CROSSING SAFETY", "C", "Subpart C\u2014Response to Credible Reports of Warning System Malfunction at Highway-Rail Grade Crossings", "", "\u00a7 234.105 Activation failure.", "FRA", "", "", "", "Upon receipt of a credible report of warning system malfunction involving an activation failure, a railroad having maintenance responsibility for the warning system shall promptly initiate efforts to warn highway users and railroad employees at the subject crossing by taking the following actions:\n\n(a) Prior to any train's arrival at the crossing, notify the train crew of the report of activation failure and notify any other railroads operating over the crossing;\n\n(b) Notify the law enforcement agency having jurisdiction over the crossing, or railroad police capable of responding and controlling vehicular traffic; and\n\n(c) Provide for alternative means of actively warning highway users of approaching trains, consistent with the following requirements (see appendix B for a summary chart of alternative means of warning):\n\n(1)(i) If an appropriately equipped flagger provides warning for each direction of highway traffic, trains may proceed through the crossing at normal speed.\n\n(ii) If at least one uniformed law enforcement officer (including a railroad police officer) provides warning to highway traffic at the crossing, trains may proceed through the crossing at normal speed.\n\n(2) If an appropriately equipped flagger provides warning for highway traffic, but there is not at least one flagger providing warning for each direction of highway traffic, trains may proceed with caution through the crossing at a speed not exceeding 15 miles per hour. Normal speed may be resumed after the locomotive has passed through the crossing.\n\n(3) If there is not an appropriately equipped flagger or uniformed law enforcement officer providing warning to highway traffic at the crossing, each train must stop before entering the crossing and permit a crewmember to dismount to flag highway traffic to a stop. The locomotive may then proceed through the crossing, and the flagging crewmember may reboard the locomotive before the remainder of the train proceeds through the crossing.\n\n(d) A locomotive's audible warning device shall be activated in accordance with railroad rules regarding the approach to a grade crossing."], ["49:49:4.1.1.1.28.3.86.4", 49, "Transportation", "II", "", "234", "PART 234\u2014GRADE CROSSING SAFETY", "C", "Subpart C\u2014Response to Credible Reports of Warning System Malfunction at Highway-Rail Grade Crossings", "", "\u00a7 234.106 Partial activation.", "FRA", "", "", "", "Upon receipt of a credible report of a partial activation, a railroad having maintenance responsibility for the warning system shall promptly initiate efforts to warn highway users and railroad employees at the subject crossing in the same manner as required for false activations (\u00a7 234.107)."], ["49:49:4.1.1.1.28.3.86.5", 49, "Transportation", "II", "", "234", "PART 234\u2014GRADE CROSSING SAFETY", "C", "Subpart C\u2014Response to Credible Reports of Warning System Malfunction at Highway-Rail Grade Crossings", "", "\u00a7 234.107 False activation.", "FRA", "", "", "", "Upon receipt of a credible report of a false activation, a railroad having maintenance responsibility for the highway-rail grade crossing warning system shall promptly initiate efforts to warn highway users and railroad employees at the crossing by taking the following actions:\n\n(a) Prior to a train's arrival at the crossing, notify the train crew of the report of false activation and notify any other railroads operating over the crossing;\n\n(b) Notify the law enforcement agency having jurisdiction over the crossing, or railroad police capable of responding and controlling vehicular traffic; and\n\n(c) Provide for alternative means of actively warning highway users of approaching trains, consistent with the following requirements (see Appendix B for a summary chart of alternative means of warning).\n\n(1)(i) If an appropriately equipped flagger is providing warning for each direction of highway traffic, trains may proceed through the crossing at normal speed.\n\n(ii) If at least one uniformed law enforcement officer (including a railroad police officer) provides warning to highway traffic at the crossing, trains may proceed through the crossing at normal speed.\n\n(2) If there is not an appropriately equipped flagger providing warning for each direction of highway traffic, or if there is not at least one uniformed law enforcement officer providing warning, trains with the locomotive or cab car leading, may proceed with caution through the crossing at a speed not exceeding 15 miles per hour. Normal speed may be resumed after the locomotive has passed through the crossing. In the case of a shoving move, a crewmember shall be on the ground to flag the train through the crossing.\n\n(3) In lieu of complying with paragraphs (c) (1) or (2) of this section, a railroad may temporarily take the warning system out of service if the railroad complies with all requirements of \u00a7 234.105, \u201cActivation failure.\u201d\n\n(d) A locomotive's audible warning device shall be activated in accordance with railroad rules regarding the approach to a grade crossing."], ["49:49:4.1.1.1.28.3.86.6", 49, "Transportation", "II", "", "234", "PART 234\u2014GRADE CROSSING SAFETY", "C", "Subpart C\u2014Response to Credible Reports of Warning System Malfunction at Highway-Rail Grade Crossings", "", "\u00a7 234.109 Recordkeeping.", "FRA", "", "", "", "(a) Each railroad shall keep records pertaining to compliance with this subpart. Records may be kept on forms provided by the railroad or by electronic means. Each railroad shall keep the following information for each credible report of warning system malfunction:\n\n(1) Location of crossing (by highway name and DOT/AAR Crossing Inventory Number);\n\n(2) Time and date of receipt by railroad of report of malfunction;\n\n(3) Actions taken by railroad prior to repair and reactivation of repaired system; and\n\n(4) Time and date of repair.\n\n(b) Each railroad shall retain for at least one year (from the latest date of railroad activity in response to a credible report of malfunction) all records referred to in paragraph (a) of this section. 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