DOT 23 CFR PART 505-2011 PROJECTS OF NATIONAL AND REGIONAL SIGNIFICANCE EVALUATION AND RATING.pdf

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1、146 23 CFR Ch. I (4111 Edition) Pt. 505 or travel estimates discussed in para-graph (g) of this section remain cur-rent. Copies of the States documenta-tion shall be provided to the FHWA Di-vision Administrator when it is ini-tially developed and after each revi-sion. PART 505PROJECTS OF NA-TIONAL A

2、ND REGIONAL SIGNIFI-CANCE EVALUATION AND RAT-ING Sec. 505.1 Purpose. 505.3 Policy. 505.5 Definitions. 505.7 Eligibility. 505.9 Criteria for grants. 505.11 Project evaluation and rating. 505.13 Federal Governments share of project cost. 505.15 Full funding grant agreement. 505.17 Applicability of Tit

3、le 23, U.S. Code. AUTHORITY: Section 1301 of the Safe, Ac-countable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (Pub. L. 109 59; 119 Stat. 1144); 23 U.S.C. 315; 49 CFR 1.48. SOURCE: 73 FR 63370, Oct. 24, 2008, unless otherwise noted. 505.1 Purpose. The purpose of this part is

4、to estab-lish evaluation, rating, and selection guidelines for funding proposed Projects of National and Regional Sig-nificance (PNRS). 505.3 Policy. A Project of National and Regional Significance should quantitatively im-prove the throughput or provide long term congestion relief for passenger or

5、freight movement for a part of the transportation network and clearly connect this improvement to sustain-able economic productivity for the na-tion or the region in which it is lo-cated. 505.5 Definitions. Unless otherwise specified in this part, the definitions contained in 23 U.S.C. 101(a) are ap

6、plicable to this part. In addition, the following definitions apply: Applicant means either: (1) A State Transportation Depart-ment, or (2) A group of State Transportation Departments, with one State acting as the project lead. Eligible project means any surface transportation project or set of inte

7、-grated surface transportation projects closely related in the function they perform eligible for Federal assistance under title 23, United States Code, in-cluding public or private rail facilities providing benefits to highway users, surface transportation infrastructure modifications to facilitate

8、 intermodal interchange, transfer, and access into and out of ports and other activities el-igible under such title. Eligible project costs means the costs pertaining to an eligible project for: (1) Development phase activities, in-cluding planning, feasibility analysis, revenue forecasting, environ

9、mental re-view, preliminary engineering and de-sign work, and other preconstruction activities; (2) Construction, reconstruction, re-habilitation, and acquisition of real property (including land related to the project and improvements to land), en-vironmental mitigation, construction contingencies,

10、 acquisition of equip-ment, and operational improvements; and (3) all debt financing costs authorized by 23 U.S.C. 122. Full Funding Grant Agreement (FFGA) means the agreement used to provide Federal financial assistance under title 23, United States Code, for Projects of National and Regional Signi

11、ficance. An FFGA defines the scope of the project, establishes the maximum amount of Government financial assistance for the project, covers the period of time for completion of the project, facili-tates the efficient management of the project in accordance with applicable Federal statutes, regulati

12、ons, and pol-icy, including oversight roles and re-sponsibilities, and other terms and con-ditions. 505.7 Eligibility. To be eligible for assistance under this program: (a) A project meeting the definition of an eligible project under 505.5 of this section located fully within one State shall have e

13、ligible project costs that VerDate Mar2010 09:39 May 11, 2011 Jkt 223076 PO 00000 Frm 00156 Fmt 8010 Sfmt 8010 Y:SGML223076.XXX 223076wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-147 Federal Highway Administration

14、, DOT 505.9 are quantified in the project proposal as equal to or exceeding the lesser of: (1) $500,000,000; or (2) 75 percent of the amount of Fed-eral highway assistance funds appor-tioned for the most recently completed fiscal year to the State in which the project is located. (b) A multi-State p

15、roject meeting the definition of an eligible project under 505.5 of this section shall have eligible project costs that are quantified in the project proposal as equal to or exceed-ing the lesser of: (1) $500,000,000; or (2) 75 percent of the amount of Fed-eral highway assistance funds appor-tioned

16、for the most recently completed fiscal year to the State in which the project is located that has the largest apportionment. 505.9 Criteria for grants. (a) The Secretary will approve a grant for a Project of National and Re-gional Significance project only if the Secretary determines, based upon in-

17、formation submitted by the applicant, that the project: (1) Is based on the results of prelimi-nary engineering; (2) Is supported by an acceptable de-gree of non-Federal financial commit-ments, including evidence of stable and dependable financing sources to con-struct, maintain, and operate the inf

18、ra-structure facility. In evaluating a non- Federal financial commitment, the Secretary shall require that: (i) The proposed project plan provides for the availability of contingency amounts that the Secretary determines to be reasonable to cover unanticipated cost increases; and (ii) Each proposed

19、non-Federal source of capital and operating financing is stable, reliable, and available within the proposed project timetable. In as-sessing the stability, reliability, and availability of proposed sources of non- Federal financing, the Secretary will consider: (A) Existing financial commitments; (

20、B) The degree to which financing sources are dedicated to the purposes proposed; (C) Any debt obligation that exists or is proposed by the recipient for the pro-posed project; and (D) The extent to which the project has a non-Federal financial commit-ment that exceeds the required non- Federal share

21、 of the cost of the project. (3) Emerges from the metropolitan and Statewide planning process, con-sistent with 23 CFR Part 450; (4) Is justified based on the ability of the project: (i) To generate national and/or re-gional economic benefits, as evidenced by, but not limited to: (A) The creation of

22、 jobs, expansion of business opportunities, and impacts to the gross domestic product due to quantitatively increased throughput; (B) The amount and importance of freight and passenger travel served; and (C) The demographic and economic characteristics of the area served. (ii) To allocate public and

23、 private costs commensurate with the share of public and private benefits and risks; (iii) To generate long-term conges-tion relief that impacts the State, the region, and the Nation, as evidenced by, but not limited to: (A) Congestion levels, delay and con-sequences of delay; (B) Efficiency and eff

24、ectiveness of congestion mitigation; and (C) Travel time reliability. (iv) To improve transportation safe-ty, including reducing transportation accidents, injuries, and fatalities, as evidenced by, but not limited to, num-ber, rate and consequences of crashes, injuries and fatalities in the affected

25、 region and corridor; (v) To otherwise enhance the na-tional transportation system by im-proving throughput; and (vi) To garner support for non-Fed-eral financial commitments and pro-vide evidence of stable and dependable financing sources to construct, main-tain, and operate the infrastructure fa-c

26、ility. (b) In selecting projects under this section, the Secretary will consider the extent to which the project: (1) Leverages Federal investment by encouraging non-Federal contributions to the project, including contributions from public-private partnerships; (2) Uses new technologies, including i

27、ntelligent transportation systems, VerDate Mar2010 09:39 May 11, 2011 Jkt 223076 PO 00000 Frm 00157 Fmt 8010 Sfmt 8010 Y:SGML223076.XXX 223076wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-148 23 CFR Ch. I (4111 Edi

28、tion) 505.11 that enhance the efficiency of the project; (3) Helps maintain or protect the en-vironment; and (4) Demonstrates that the proposed project cannot be readily and effi-ciently realized without Federal sup-port and participation. (c) All information submitted as part of or in support of an

29、 application shall use publicly available data or data that can be made public and methodologies that are accepted by industry practice and standards. (d) Measures for the selection cri-teria shall include projections for both the build and no-build scenarios. (e) PNRS solicitations or guidance docu

30、ments will contain, as needed, ad-ditional specific information regarding measures, weighting, and use of these criteria. (f) All proposed PNRS projects are re-quired to comply with the require-ments of 23 U.S.C. 106(h) regardless of whether the project meets project cost threshold for classificatio

31、n as a major project. 505.11 Project evaluation and rating. (a) The Secretary shall evaluate and rate each proposed project as highly recommended, recommended, or not recommended based on the cri-teria in section 505.9 of this part. Indi-vidual ratings of highly rec-ommended, recommended, or not rec

32、ommended will be conducted for each of the selection criteria. (b) In response to a PNRS project so-licitation a State may submit a project for a non-binding preliminary rating and evaluation at any point in the project development after the projects concept plan is developed. (c) Non-binding prelim

33、inary rating and evaluation will be reported in the appendix of the Secretarys Annual Re-port on PNRS. (d) A rating and evaluation will be considered complete and listed in the Secretarys Annual Report on PNRS only after preliminary engineering is completed. (e) The rating and evaluation for a propo

34、sed project will remain valid until the closing date of the next PNRS solicitation. 505.13 Federal Governments share of project cost. (a) Based on engineering studies, studies of economic feasibility, and in-formation on the expected use of equip-ment or facilities, the Secretary shall estimate the

35、projects eligible costs. (b) A FFGA for the project shall not exceed 80 percent of the eligible project cost. A refund or reduction of the re-mainder may only be made if a refund of a proportional amount of the grant of the Federal Government is made at the same time. 505.15 Full funding grant agree

36、ment. (a) A proposed project may not be funded under this program unless the Secretary finds that the project meets the requirements of this part and there is a reasonable likelihood that the project will continue to meet such re-quirements. (b) A project financed under this sec-tion shall be carrie

37、d out through a FFGA. The Secretary shall enter into a FFGA based on the evaluations and ratings required herein, and in accord-ance with the terms specified in sec-tion 1301(g)(2) of the Safe, Accountable, Flexible, Efficient Transportation Eq-uity Act: A Legacy for Users, (Pub. L. 10959; 119 Stat.

38、 1144). (c) A FFGA will be entered into only after the project has commitments for non-Federal funding in place and all other requirements are met. (d) A State may request the use of Advanced Construction for the project and subsequently convert those funds to an eligible Federal-aid funding cat-ego

39、ry or to PNRS funding as part of the FFGA. 505.17 Applicability of Title 23, U.S. Code. Funds made available to carry out this section shall be available for obli-gation in the same manner as if such funds were apportioned under chapter 1 of title 23, United States Code; except that such funds shall

40、 not be transfer-able to other agencies and shall remain available until expended and the Fed-eral share of the cost of a Project of National and Regional Significance shall be as provided in section 505.13. VerDate Mar2010 09:39 May 11, 2011 Jkt 223076 PO 00000 Frm 00158 Fmt 8010 Sfmt 8010 Y:SGML223076.XXX 223076wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-