DOT 49 CFR PART 266-2010 ASSISTANCE TO STATES FOR LOCAL RAIL SERVICE UNDER SECTION 5 OF THE DEPARTMENT OF TRANSPORTATION ACT.pdf

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1、976 49 CFR Ch. II (10110 Edition) 262.17 these costs to the extent they other-wise qualify as allowable costs if FRA later approves the project for physical construction and enters into a grant agreement with the State. If a State pays for the compliance work itself, it may apply this cost to the 10

2、% match-ing requirement if a grant is awarded. Applicants should consult with FRA before beginning any environmental or historic preservation analysis. 262.17 Combining grant awards. Two or more States, but not political subdivisions of States, may, pursuant to an agreement entered into by the State

3、s, combine any part of the amounts provided through grants for a project under this section provided: (1) The project will benefit each of the States entering into the agree-ment; and (2) The agreement is not a violation of the law of any such State. 262.19 Close-out procedures. (a) Thirty days befo

4、re the end of the grant period, FRA will notify the State that the period of performance for the grant is about to expire and that close- out procedures will be initiated. (b) Within 90 days after the expira-tion or termination of the grant, the State must submit to FRA any or all of the following i

5、nformation, depending on the terms of the grant: (1) Final performance or progress re-port; (2) Financial Status Report (SF269) or Outlay Report and Request for Re-imbursement for Construction Pro-grams (SF271); (3) Final Request for Payment (SF 270); (4) Patent disclosure (if applicable); (5) Feder

6、ally-owned Property Report (if applicable) (c) If the project is completed, within 90 days after the expiration or termi-nation of the grant, the State shall complete a full inspection of all con-struction work completed under the grant and submit a report to FRA. If the project is not completed, th

7、e State shall submit a report detailing why the project was not completed. (d) FRA will review all close-out in-formation submitted, and adjust pay-ments as necessary. If FRA determines that the State is owed additional funds, FRA will promptly make pay-ment to the State for any unreim-bursed allowa

8、ble costs. If the State has received more funds than the total al-lowable costs, the State must imme-diately refund to the FRA any balance of unencumbered cash advanced that is not authorized to be retained for use on other grants. (e) FRA will notify the State in writ-ing that the grant has been cl

9、osed out. PART 266ASSISTANCE TO STATES FOR LOCAL RAIL SERVICE UNDER SECTION 5 OF THE DEPARTMENT OF TRANSPORTATION ACT Sec. 266.1 Definitions. 266.3 Rail Service Assistance Program. 266.5 State eligibility. 266.7 Project eligibility. 266.9 Federal/State share. 266.11 Allowable costs. 266.13 Distribut

10、ion of funds. 266.15 Requirements for State Rail Plan. 266.17 Applications. 266.19 Environmental impact. 266.21 Grant agreement and disbursement. 266.23 Record, audit, and examination. 266.25 Waivers and modifications. AUTHORITY: Sec. 5 of the Department of Transportation Act (49 U.S.C. 1654), as am

11、ended by the Local Rail Service Assist-ance Act of 1978, Pub. L. 95607, 92 Stat. 3059. SOURCE: 44 FR 51129, Aug. 30, 1979, unless otherwise noted. 266.1 Definitions. As used in this part: Acquisition assistance means funds granted to a State under section 5(f)(2) of the Department of Transportation

12、Act (49 U.S.C. 1654(f)(2) to cover the cost of acquiring by purchase, lease, or in such other manner as the State con-siders appropriate, a line of railroad or other rail properties, or any interest therein for existing or future rail freight service. Act means the Department of Trans-portation Act

13、(49 U.S.C. 1650 et seq.). Administrator means the Adminis-trator of the Federal Railroad Admin-istration or the Administrators dele-gate. Cash means an outlay of funds. VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00986 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PRO

14、D with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-977 Federal Railroad Administration, DOT 266.1 Commission means the Interstate Commerce Commission or any suc-cessor Federal agency to the relevant activity. Common carrier means a person pro-

15、viding railroad transportation for com-pensation who is subject to the juris-diction of the Commission under sub-chapter I of chapter 105 of title 49 of the U.S.C. Designated State Agency means the State agency designated under section 5(j)(2) of the Act (49 U.S.C. 1654(j)(2). Entitlement means the

16、amount of as-sistance which a State is eligible to re-ceive annually under section 5(h) of the Act (49 U.S.C. 1654(h). Equipment means rolling stock of the kind generally used by American rail-roads in revenue freight service. Facilities means track, ties, roadbed and related structures including te

17、rmi-nals, team tracks and appurtenances, bridges and tunnels, and other struc-tures used or usable for rail service op-erations. FRA means the Federal Railroad Ad-ministration. Federal Share means the contribution by the Administrator under section 5(g) of the Act (49 U.S.C. 1654(g) to a States rail

18、 service assistance program. Final System Plan means the plan ap-proved by the Congress under section 208 of the Regional Rail Reorganization Act of 1973 (45 U.S.C. 718). Gross ton miles per mile means the combined weight of locomotives and all trailing cars and their contents used in revenue freigh

19、t trains multiplied by the number of route miles traveled and divided by the number of route miles of the line. Line means a line of railroad. Maintenance means inspection and light repairs, emergency repairs and a planned program of periodic mainte-nance which is necessary to keep a line at its exi

20、sting condition or to comply with FRA Class 1 Safety Standards. Planning assistance means funds granted to a State under section 5(i) of the Act (49 U.S.C. 1654(i) to meet the cost of establishing (including devel-oping a planning application), imple-menting, revising, and updating the State Rail Pl

21、an required by section 5(j) of the Act (49 U.S.C. 1654(j). Planning Work Program means that portion of a States planning applica-tion which outlines the States plan for establishing, implementing, revising, or updating a State Rail Plan which meets the requirements of section 5(i) of the Act, (49 U.

22、S.C. 1654(i). Program operation assistance means funds granted to a State to cover those administrative costs allowable under Federal Management Circular 744. Rail Act means the Regional Rail Re-organization Act of 1973 (45 U.S.C. 701 et seq.). Rail banking means the acquisition of an interest in a

23、rail right-of-way suffi-cient to ensure its preservation for fu-ture rail freight service. Rail facility construction assistance means funds granted to a State under section 5(f)(5) of the Act (49 U.S.C. 1654(f)(5) to cover the cost of con-structing rail or rail related facilities (including new con

24、nections between two or more existing lines, intermodal freight terminals, sidings, and reloca-tion of existing lines) for the purpose of improving the quality and efficiency of rail freight service. Rail service continuation assistance means funds granted to a State under section 5(f)(1) of the Act

25、 (49 U.S.C. 1654(f)(1) to cover rail service continu-ation payments for the difference be-tween the revenue attributable to a line of railroad and the avoidable costs of providing rail service on that line, together with a reasonable return on the value of the line and other rail properties related

26、to that line, all as determined in accordance with 49 CFR part 1121 with the following exceptions: (1) Where service was eligible to be subsidized under section 402(c)(2) (A) and (B) of the Rail Act, rail service continuation assistance means funds for payments determined in accordance with 49 CFR p

27、art 1125; and (2) Where service was eligible to be subsidized under section 402(c)(2)(C) of the Rail Act, rail service continuation assistance means funds for payments calculated, to the greatest extent pos-sible, in a manner consistent with 49 CFR part 1121. Rehabilitation or improvement assist-anc

28、e means funds granted to a State under section 5(f)(3) of the Act (49 VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00987 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from

29、 IHS-,-,-978 49 CFR Ch. II (10110 Edition) 266.3 U.S.C. 1654(f)(3) to cover the cost of re-placing or upgrading, to the extent necessary to permit adequate and effi-cient rail freight service, facilities needed to provide service on a line. Relocation costs means actual ex-penses directly incurred i

30、n moving shippers from a line to a new location. State means any State or the District of Columbia in which a common carrier maintains any line. State Rail Plan means the current plan, including all updates, revisions, and amendments required by section 5(j)(1) of the Act (49 U.S.C. 1654(j)(1). Subs

31、titute service assistance means funds granted to a State under section 5(f)(4) of the Act (49 U.S.C. 1654(f)(4) to cover the cost of reducing the costs of lost rail service in a manner less expen-sive than continuing rail service and includes (but is not limited to) the ac-quisition, construction, o

32、r improve-ment of facilities for the provision of substitute freight transportation serv-ices and relocation costs. 266.3 Rail Service Assistance Pro-gram. (a) Scope of the program. The Rail Service Assistance Program includes: (1) Rail service continuation assist-ance; (2) Acquisition assistance; (

33、3) Rehabilitation or improvement assistance; (4) Substitute service assistance; (5) Rail facility construction assist-ance; (6) Planning assistance; and (7) Program operations assistance. (b) Special limitations on planning as-sistance and program operation assist-ance. (1) A State is eligible to re

34、ceive up to $100,000, or 5 percent of its enti-tlement, whichever is greater, as plan-ning assistance; and (2) A State is eligible to receive up to 5 percent of the total amount of funds granted to it each fiscal year under paragraphs (a)(1) to (5) of this section as program operation assistance. 26

35、6.5 State eligibility. (a) General eligibility requirements under the rail service assistance program. A State is eligible for assistance if: (1) The State has certified pursuant to section 5(j)(4) of the Act that it has or will adopt and maintain adequate procedures for financial control, ac-counti

36、ng and performance evaluation in order to assure proper use of Federal funds; (2) For purpose of establishing a State Rail Plan, the State has sub-mitted, in accordance with 266.17(e) of this part, a planning application; and (3) For any other assistance, (i) The State has established an ade-quate p

37、lan for rail services in the State which: (A) Meets the requirements of 266.15 of this part; (B) Is part of an overall planning process for all transportation services in the State; (C) Includes a suitable procedure for updating, revising, and amending such plan; and (D) As updated, revised, or amen

38、ded has been approved by the Adminis-trator; (ii) Such State Rail Plan: (A) Is administered or coordinated by a designated State agency; (B) Provides for the equitable dis-tribution of resources; and (C) Includes a methodology for deter-mining the ratio of benefits to costs of projects for which acq

39、uisition assist-ance, rehabilitation or improvement assistance, substitute service assist-ance, and rail facility construction as-sistance is sought; (iii) The State agency: (A) Has authority and administrative jurisdiction to develop, promote, super-vise, and support safe, adequate, and efficient r

40、ail transportation services; (B) Employs or will employ, directly or indirectly, sufficient trained and qualified personnel; (C) Maintains or will maintain ade-quate programs of investigation, re-search, promotion, and development with provision for public participation; and (D) Is designated and di

41、rected solely or in cooperation with other State agencies to take all practicable steps to improve transportation safety and to reduce transportation-related en-ergy utilization and pollution; and (iv) The State undertakes to imme-diately notify the Administrator of any changes in conditions which m

42、ight af-fect its compliance with this section. VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00988 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-979 Federal Ra

43、ilroad Administration, DOT 266.9 266.7 Project eligibility. (a) Rail service continuation assistance, acquisition assistance and substitute serv-ice assistance. A project is eligible for assistance under 266.3(a) (1), (2), and (4) of this part, respectively, if: (1) The Commission pursuant to 49 U.S

44、.C. 10903 has found since February 5, 1976, that the public convenience and necessity permit the abandonment and discontinuance of rail service on the line related to the project, except that any such line or related project eligible prior to October 1, 1978, is eligible only until September 30, 198

45、1 and any such line eligible for rail service continu-ation assistance shall receive such as-sistance for no more than 36 months after October 1, 1978; (2) The line related to the project was eligible for assistance under section 402 of the Rail Act (45 U.S.C. 762), except that any such line or rela

46、ted project is eligible only until September 30, 1981; or (3) For purposes of acquisition assist-ance, the line related to the project is listed for possible inclusion in a rail bank in Part III, Section C of the Final System Plan. (b) Rehabilitation and improvement as-sistance and rail facility con

47、struction as-sistance. A project is eligible for assist-ance under 266.3(a) (3) and (5) of this part, respectively, if: (1)(i) The Commission has not made a finding that the public convenience and necessity would require or permit abandonment or discontinuance of rail service on the line related to

48、the project; (ii) Any pending application for a certificate of abandonment or dis-continuance of rail service on the line related to the project is withdrawn within a reasonable period (as deter-mined by the Administrator) following the execution of the grant agreement and before Federal funds are d

49、isbursed for the project; and (iii)(A) The line related to the project is certified by the railroad as having carried three million gross ton miles per mile or less during the prior year; or (B) The line related to the project is certified by the railroad in a written statement which identifies the name of the line, the State or States in which it is located, its length, termini, and ter-mini mile posts as having carried be-tween three and five million