DOT 49 CFR PART 262-2010 IMPLEMENTATION OF PROGRAM FOR CAPITAL GRANTS FOR RAIL LINE RELOCATION AND IMPROVEMENT PROJECTS.pdf

1、973 Federal Railroad Administration, DOT 262.3 SOURCE: 64 FR 29753, June 2, 1999, unless otherwise noted. 261.1 Cross-reference to credit assist-ance. The regulations in 49 CFR part 80 shall be followed in complying with the requirements of this part. Title 49 CFR part 80 implements the Transportati

2、on Infrastructure Finance and Innovation Act of 1998, secs. 1501 et seq., Pub. L. 105178, 112 Stat. 107, 241. PART 262IMPLEMENTATION OF PROGRAM FOR CAPITAL GRANTS FOR RAIL LINE RELOCATION AND IMPROVEMENT PROJECTS Sec. 262.1 Purpose. 262.3 Definitions. 262.5 Allocation requirements. 262.7 Eligibility

3、. 262.9 Criteria for selection of projects. 262.11 Application process. 262.13 Matching requirements. 262.15 Environmental assessment. 262.17 Combining grant awards. 262.19 Close-out procedures. AUTHORITY: 49 U.S.C. 20154 and 49 CFR 1.49. SOURCE: 73 FR 39886, July 11, 2008, unless otherwise note. 26

4、2.1 Purpose. The purpose of this part is to carry out the statutory mandate set forth in 49 U.S.C. 20154 requiring the Secretary of Transportation to promulgate regu-lations implementing a capital grants program to provide financial assistance for local rail line relocation and im-provement projects

5、. 262.3 Definitions. Administrator means the Federal Rail-road Administrator, or his or her dele-gate. Allowable costs means those project costs for which Federal funding may be expended under this part. Only con-struction and construction-related costs will be allowable. Construction means supervis

6、ing, in-specting, demolition, actually building, and incurring all costs incidental to building a project described in 262.9 of this part, including bond costs and other costs related to the issuance of bonds or other debt financing instru-ments and costs incurred by the Grant-ee in performing proje

7、ct related audits, and includes: (1) Locating, surveying, and mapping; (2) Track and related structure in-stallation, restoration, and rehabilita-tion; (3) Acquisition of rights-of-way; (4) Relocation assistance, acquisition of replacement housing sites, and ac-quisition and rehabilitation, reloca-t

8、ion, and construction of replacement housing; (5) Elimination of obstacles and relo-cation of utilities; and (6) Any other activities as defined by FRA, including architectural and engi-neering costs, and costs associated with compliance with the National En-vironmental Policy Act, National His-tori

9、c Preservation Act, and related statutes, regulations, and orders. FRA means the Federal Railroad Ad-ministration. Improvement means repair or en-hancement to existing rail infrastruc-ture, or construction of new rail infra-structure, that results in improve-ments to the efficiency of the rail sys-t

10、em and the safety of those affected by the system. Non-federal share means the portion of the allowable cost of the local rail line relocation or improvement project that is being paid for through cash or in-kind contributions by a State or other non-Federal entity or any com-bination thereof. Priva

11、te entity means any domestic or foreign nongovernmental for-profit or not-for-profit organization. Project means the local rail line relo-cation or improvement for which a grant is requested under this section. Quality of life means the level of so-cial, environmental and economic sat-isfaction and

12、well being a community experiences, and includes factors such as first responders emergency response time, impact on emergency services, accessibility to the disabled as re-quired under the Americans with Dis-abilities Act and section 504 of the Re-habilitation Act of 1973 (as amended), school acces

13、s, safety, traffic delay and congestion, the environment, grade crossing safety, and noise levels. VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00983 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking p

14、ermitted without license from IHS-,-,-974 49 CFR Ch. II (10110 Edition) 262.5 Real property means land, including land improvements, structures and ap-purtenances thereto, excluding mov-able machinery and equipment. Relocation means moving a rail line vertically or laterally to a new loca-tion. Vert

15、ical relocation refers to rais-ing above the current ground level or sinking below the current ground level a rail line. Lateral relocation refers to moving a rail line horizontally to a new location. Secretary means the Secretary of Transportation. State except as used in 262.17, means any of the f

16、ifty United States, a polit-ical subdivision of a State, and the Dis-trict of Columbia. In 262.17, State means any of the fifty United States and the District of Columbia. Tangible personal property means property, other than real property, that has a physical existence and an in-trinsic value, incl

17、uding machinery, equipment and vehicles. 262.5 Allocation requirements. At least fifty percent of all grant funds awarded under this section out of funds appropriated for a fiscal year shall be provided as grant awards of not more than $20,000,000 each. Des-ignated, high-priority projects will be ex

18、cluded from this allocation formula. FRA will adjust the $20,000,000 amount to reflect inflation for fiscal years be-ginning after fiscal year 2006 based on the materials and supplies component from the all-inclusive index of the AAR Railroad Cost Indexes. 262.7 Eligibility. (a) A State is eligible

19、for a grant from FRA under this section for any construction project for the improve-ment of the route or structure of a rail line that either: (1) Is carried out for the purpose of mitigating the adverse effects of rail traffic on safety, motor vehicle traffic flow, community quality of life, or ec

20、o-nomic development; or (2) Involves a lateral or vertical relo-cation of any portion of the rail line. (b) Only costs associated with con-struction as defined in 262.3 will be considered allowable costs. 262.9 Criteria for selection of projects. Applicants must submit evidence suf-ficient for the F

21、RA to determine whether projects proposed for Federal investment are cost-effective in terms of the benefits achieved in relation to the funds expended. To that end, the FRA will consider the anticipated pub-lic and private benefits associated with each rail line relocation or improve-ment project.

22、In evaluating applica-tions, FRA will consider the following factors in determining whether to grant an award to a State under this part. (a) The capability of the State to fund the rail line relocation project without Federal grant funding; (b) The requirement and limitation relating to allocation

23、of grant funds provided in 262.5; (c) Equitable treatment of various re-gions of the United States; (d) The effects of the rail line, relo-cated or improved as proposed, on motor vehicle and pedestrian traffic, safety, community quality of life, and area commerce; (e) The effects of the rail line, r

24、elo-cated as proposed, on the freight rail and passenger rail operations on the line; (f) Any other factors FRA determines to be relevant to assessing the effec-tiveness and/or efficiency of the grant application in achieving the goals of the national program, including the level of commitment of no

25、n-Federal and/or private funds to a project and the anticipated public and private ben-efits. 262.11 Application process. (a) All grant applications for oppor-tunities funded under this subsection must be submitted to FRA through www.grants.gov. Opportunities to apply will be posted by FRA on www.gr

26、ants.gov only after funds have been appropriated for Capital Grants for Rail Line Relocation Projects. The electronic posting will contain all of the information needed to apply for the grant, including required supporting documentation. (b) In addition to the information re-quired with an individua

27、l application, a State must submit a description of the VerDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00984 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-975 F

28、ederal Railroad Administration, DOT 262.15 anticipated public and private benefits associated with each rail line reloca-tion or improvement project described in 262.7(a)(1) and (2) and the States assessment of how those benefits out-weigh the costs of the proposed project. The determination of such

29、 benefits shall be developed in consultation with the owner and user of the rail line being relocated or improved or other private entity involved in the project. The State should also identify any fi-nancial contributions or commitments it has secured from private entities that are expected to bene

30、fit from the proposed project. (c) Potential applicants may request a meeting with the FRA Associate Ad-ministrator for Railroad Development or his designee to discuss the nature of the project being considered. 262.13 Matching requirements. (a) A State or other non-Federal enti-ty shall pay at leas

31、t ten percent of the construction costs of a project that is funded in part by the grant awarded under this section. (b) The non-Federal share required by paragraph (a) of this section may be paid in cash or in-kind. In-kind con-tributions that are permitted to be counted under this section are as f

32、ol-lows: (1) A contribution of real property or tangible personal property (whether provided by the State or a person for the state) needed for the project; (2) A contribution of the services of employees of the State or other non- Federal entity or allowable costs, cal-culated on the basis of costs

33、 incurred by the State or other non-Federal enti-ty for the pay and benefits of the em-ployees, but excluding overhead and general administrative costs; (3) A payment of any allowable costs that were incurred for the project be-fore the filing of an application for a grant for the project under this

34、 part, and any in-kind contributions that were made for the project before the filing of the application; if and to the extent that the costs were incurred or in-kind contributions were made, as the case may be, to comply with a pro-vision of a statute required to be satis-fied in order to carry out

35、 the project. (c) In determining whether to ap-prove an application, FRA will con-sider the feasibility of seeking finan-cial contributions or commitments from private entities involved with the project in proportion to the expected benefits determined under 262.11(b) that accrue to such entities fr

36、om the project. 262.15 Environmental assessment. (a) The provision of grant funds by FRA under this Part is subject to a va-riety of environmental and historic preservation statutes and imple-menting regulations including, but not limited to, the National Environmental Policy Act (NEPA) (42 U.S.C. 4

37、332 et seq.), Section 4(f) of the Department of Transportation Act (49 U.S.C. 303(c), the National Historic Preservation Act (16 U.S.C. 470(f), and the Endangered Species Act (16 U.S.C. 1531). Appro-priate environmental and historic doc-umentation must be completed and ap-proved by the Administrator

38、 prior to a decision by FRA to approve a project for physical construction. FRAs Pro-cedures for Considering Environmental Impacts, as posted at http:/ www.fra.dot.gov/us/content/252, the NEPA regulation of the Council on En-vironmental Quality (40 CFR part 1500) and the Advisory Council on Historic

39、 Preservation Protection of Historic Properties regulation (36 CFR part 800) will govern FRAs compliance with ap-plicable environmental and historic preservation review requirements. (b) States have two options for pro-ceeding with environmental/historic preservation reviews. A State may file an app

40、lication under subsection 262.11 seeking funds for preliminary design and environmental/historic preserva-tion compliance for a potentially eligi-ble project and FRA will review and de-cide on the application as outlined in this Part. Alternatively, a State may proceed with and fund any costs associ

41、-ated with environmental/historic pres-ervation reviews (including environ-mental assessments and categorical ex-cisions, but not environmental impact statements since there are restrictions on what types of entities can manage an environmental impact statement) and seek reimbursement from FRA for V

42、erDate Mar2010 09:47 Dec 14, 2010 Jkt 220215 PO 00000 Frm 00985 Fmt 8010 Sfmt 8010 Y:SGML220215.XXX 220215jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-976 49 CFR Ch. II (10110 Edition) 262.17 these costs to the ex

43、tent 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% match-ing requirement if a grant is awarded. Applicants shou

44、ld 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 States, combine any part of the amounts provided through grants for

45、 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 before the end of the grant period, FRA will notify the State that

46、 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 information, depending on the terms of the grant: (1) Final per

47、formance 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) Federally-owned Property Report (if applicable) (c) If the project

48、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, the State shall submit a report detailing why the project was no

49、t 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 allowable 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