[Code of Federal Regulations]

[Title 49, Volume 4]

[Revised as of October 1, 2005]

From the U.S. Government Printing Office via GPO Access

[CITE: 49CFR256.11]



[Page 803-808]

 

                        TITLE 49--TRANSPORTATION

 

       CHAPTER II--FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF 

                             TRANSPORTATION

 

PART 256_FINANCIAL ASSISTANCE FOR RAILROAD PASSENGER TERMINALS

--Table of Contents

 

Sec. 256.11  Applications.



    (a) Incorporation by reference in application of previously 

submitted information or material. Any information or material of any 

kind which has been submitted by an applicant need not be resubmitted if 

the prior submission is identified and incorporated by reference in the 

application. Where the prior submission is in need of any changes of any 

kind, the changes may be submitted provided the prior submission is 

identified and incorporated by reference with the changes. Any 

assurance, certification, or affirmation previously made by the 

applicant, in connection with a prior submission, must be reaffirmed by 

the applicant when any identification and incorporation by reference of 

previously submitted materials is made.

    (b) Pre-applications for demonstration funds. In accordance with 

appendix M of Office of Management and Budget Circular A-102, applicants 

shall use the pre-application form directed for use for construction, 

land acquisition, and land development projects when applying for 

demonstration funds under this program. Applicants shall include under 

Part IV (Program Narrative) of the pre-application form:

    (1) A statement of whether the railroad passenger terminal is listed 

in the National Register;

    (2) A statement as to the interest and anticipated cooperation of 

the terminal owner and the relevant transportation companies;

    (3) Where the applicant contemplates using funds it has received or 

will receive from other Federal programs for the planning or 

preservation stage of the projects, a brief description of the sources, 

and total anticipated amount of such funds; and

    (4) A breakdown of the total allowable project costs.

    (c) Applications for demonstration funds. Upon notification of the 

approval of the pre-application, applicants shall submit a final 

application for demonstration funds using the Federal Assistance 

Application for Construction Programs in accordance with appendix M of 

Office of Management and Budget Circular A-102. Applicants shall include 

under Part IV (Program Narrative) of the form:

    (1) A list of all organizations which will participate in the 

planning, implementation, or operation of each project, along with a 

discussion of the role of each organization;

    (2) A full discussion of the desirability and feasibility of the 

project and a summary of the benefits to be derived;

    (3) A summary of each proposed use of the intermodal passenger 

terminal for a civic or cultural activity;

    (4) A description and documentation of existing or potential markets 

for interline intermodal service making use of the project facility, and 

of any changes in existing services which must be provided to achieve 

this potential;

    (5) The proposed period during which the project will be evaluated 

to determine whether it has achieved the goals set forth in Sec. 

256.13(b);

    (6) A detailed description of the rail passenger terminal (including 

where applicable the description on file with the National Register), 

the available transportation facilities, and the proposed intermodal 

passenger transportation improvements;

    (7) Evidence that the architectural integrity of the railroad 

passenger terminal will be preserved;

    (8) A detailed estimate of the total allowable project costs, 

listing and identifying each cost to the maximum possible extent;

    (9) Evidence of the applicant's ability and intent to furnish its 

share of the total allowable costs;



[[Page 804]]



    (10) Evidence that the applicant has established, in accordance with 

Attachment G of Office of Management and Budget Circular A-102, adequate 

procedures for financial control, accounting, and performance 

evaluation, in order to assure proper use of the Federal funds;

    (11) An assurance by the applicant that it will use Federal funds 

provided under the Act solely for the purpose for which assistance is 

sought and in conformance with the limitations on the expenditures 

allowed under the Act and applicable regulations;

    (12) A description of the proposed methods of monitoring and 

evaluating the demonstration;

    (13) Copies of the following: Preliminary architectual and 

engineering design documents, plans, sections, sketches, and outline 

specifications;

    (14) A proposed draft of an environmental impact statement, 

including documentation that the project includes all possible planning 

to minimize harm to the historic nature of the facility as required by 

section 4(f) of the Act (49 U.S.C. 1653(f)), to be reviewed, analyzed 

and used by the Administrator in preparation of a final Environmental 

Impact Statement under Department of Transportation Order 5610.IB (39 FR 

35234, September 30, 1974);

    (15) Two copies of an affirmative action program prepared in 

accordance with section 905 of the 4R Act (45 U.S.C. 803) and 49 CFR 

part 265;

    (16) Assurances that the applicant will comply with the following 

Federal laws, policies, regulations and pertinent directives:

    (i) Title VI of the Civil Rights Act of 1964 42 U.S.C. 2000d et 

seq., and 49 CFR part 21;

    (ii) Section 905 of the 4R Act (45 U.S.C. 803), and 49 CFR part 265;

    (iii) Executive Order 11246, as amended (30 FR 12319, 32 FR 14303) 

and 41 CFR 60-4, as amended (43 FR 14888, Apr. 7, 1978) which require 

equal employment opportunity in federally-assisted construction 

programs.

    (iv) Titles II and III of the Uniform Relocation Assistance and Real 

Property Acquisition Policies Act of 1970, 42 U.S.C. 4601 et seq., and 

49 CFR part 25;

    (v) 42 U.S.C. 4151 et seq., with regard to Federal policies ensuring 

that physically handicapped persons will have ready access to, and use 

of, public buildings;

    (vi) The Rehabilitation Act of 1973, 29 U.S.C. 794, with regard to 

nondiscrimination under Federal grants;

    (vii) The Hatch Act, 5 U.S.C. 1501 et seq., which limits the 

political activities of employees; and

    (viii) Where applicable, the State and Local Fiscal Assistance Act 

of 1972, 31 U.S.C. 1221 et seq., and 31 CFR part 51.

    (17) Evidence of all legal commitments including, but not limited 

to, operating agreements and right-of-way leases which have been 

obtained from private carriers, public transportation operating 

agencies, and other entities as appropriate, to assure continued 

operation of the transportation services during the evaluation period;

    (18) Evidence (including, but not limited to, copies of leases, 

deeds, easements, certificates of title, and mortgage agreements) that 

the applicant's property interest in the railroad passenger terminal is 

or will be, at the commencement of the project, sufficient for the 

applicant to implement the project;

    (19) A summary of each proposed agreement permitting the use of any 

portion of the imtermodal passenger terminal for commercial purposes 

other than the provision of transportation services (if a standard form 

contract is to be used, applicant may submit a copy of the standard 

contract, a list of parties with whom it has contracted, and a list of 

any terms not common to the standard contract);

    (20) An opinion of the applicant's legal counsel advising that (i) 

counsel is familiar with (A) the applicant's corporate or other 

organization powers; (B) section 4(i) of the Act, as amended (49 U.S.C. 

1653(i)); (C) the other Acts referred to in these regulations; and (D) 

any regulations issued to implement those Acts; (ii) the applicant is 

authorized to make the application including all certifications, 

assurances, and affirmations required; (iii) the applicant has the 

requisite authority to carry out the actions proposed in the application 

and to fulfill the obligations created thereby, including the obligation



[[Page 805]]



to pay a share of the costs of the proposed project; (iv) the applicant 

has the authority to enter into all of the legal commitments referred to 

in paragraph (c)(16) of this section and that these commitments are 

legal and binding by their terms; and (v) the applicant's property 

interest in the railroad passenger terminal is sufficient for the 

applicant to implement the project;

    (21) For projects located in urbanized areas, as defined by the 

Bureau of the Census, a statement that the application has been 

coordinated with the metropolitan planning organization, designated by 

the Governor of the State in which the project is located pursuant to 23 

U.S.C. 104(f)(3);

    (22) A certification by the applicant that, in accordance with 

Office of Management and Budget Circular A-95 (41 FR 2052, Jan. 13, 

1976), section 204 of the Demonstration Cities and Metropolitan 

Development Act of 1966 (42 U.S.C. 3334), and section 401 of the 

Intergovernmental Cooperation Act of 1968 (42 U.S.C. 4231), notification 

of the project has been submitted to, and comments thereon have been 

solicited from, the appropriate State and regional agencies and 

clearinghouses; and

    (23) Any other information that the Administrator may require.

    (d) Applications for preservation funds. Each application for 

preservation assistance shall include:

    (1) The complete name and principal business address of the 

applicant;

    (2) The complete name, title, and address of the person to whom 

correspondence regarding the application should be addressed;

    (3) A list of all organizations which will participate in the 

planning, implementation, or operation of each project, and a discussion 

of each organization's role;

    (4) A full discussion of the desirability and feasibility of the 

project and a summary of the benefits to be derived;

    (5) A detailed description of the rail passenger terminal (including 

where applicable the description on file with the National Register), 

the available transportation facilities, and the proposed intermodal 

passenger transportation improvements;

    (6) Documentation of the threat to the existing terminal, involving 

demolition, dismantling, or further deterioration of the terminal and 

the causes thereof;

    (7) Evidence that the planning for conversion or reuse of the 

terminal has commenced and that it is proceeding in a timely manner, 

including a copy of the projected planning schedule;

    (8) A proposed draft of an environmental impact statement or a 

negative declaration, including documentation that the project includes 

all possible planning to minimize harm to the historic nature of the 

facility as required by section 4(f) of the Act, 49 U.S.C. 1653(f), to 

be reviewed, analyzed, and used by the Administrator in preparation of a 

final Environmental Impact Statement or Negative Declaration as required 

by Department of Transportation Order 5610.1B (39 FR 35234, Sept. 30, 

1974);

    (9) A detailed estimate of the total allowable project costs, 

listing and identifying all anticipated preservation costs to the 

maximum extent possible;

    (10) The total amount of Federal assistance requested;

    (11) Evidence of the applicant's ability and intent to furnish its 

share of the total allowable project costs;

    (12) Where the applicant contemplates using funds which it has 

received or will receive from other Federal programs for the planning or 

demonstration stage of the project, a brief description of the sources, 

use and total anticipated amount of such funds;

    (13) Evidence that the applicant has established in accordance with 

Attachment G of Office of Management and Budget Circular A-102, adequate 

procedures for financial control, accounting, and performance evaluation 

in order to assure proper use of the Federal funds;

    (14) An assurance by the applicant that it will use Federal funds 

provided under the Act solely for the purpose for which assistance is 

sought and in conformance with the limitations on the expenditures 

allowed under the Act and applicable regulations;

    (15) Evidence of substantial local public and/or private interest in 

organizing a project to convert the existing railroad passenger terminal 

to an intermodal passenger terminal, which



[[Page 806]]



may include use for civic or cultural activities;

    (16) An opinion of the applicant's legal counsel stating that:

    (i) Counsel is familiar with (A) the applicant's corporate or other 

organizational powers; (B) section 4(i) of the Act, as amended (49 

U.S.C. 1653(i)), (C) the other Acts referred to in these regulations; 

(D) and any regulation issued to implement those Acts;

    (ii) The applicant is authorized to make this application including 

all certifications, assurances, and affirmations required;

    (iii) The applicant has the requisite authority to carry out the 

actions proposed in its application and to fulfill the obligations 

created thereby, including the obligation to pay a share of the cost of 

the proposed project, and

    (iv) The applicant is empowered, for an interim period pending the 

formulation of plans for the conversion of the existing railroad 

passenger terminal, to maintain the terminal building and prevent its 

demolition, dismantling, or further deterioration;

    (17) For projects located in urbanized areas, as defined by the 

Bureau of the Census, a statement that the application has been 

coordinated with the metropolitan planning organization, designated by 

the Governor of the State in which the project is located, pursuant to 

23 U.S.C. 104(f)(3);

    (18) A certification by the applicant that, in accordance with 

Office of Management and Budget Circular A-95 (41 FR 2052, Jan. 13, 

1976), section 204 of the Demonstration Cities and Metropolitan 

Development Act of 1966 (42 U.S.C. 3334), and section 401 of the 

Intergovernmental Cooperation Act of 1968 (42 U.S.C. 4231), notification 

of the project has been submitted to, and comments thereon have been 

solicited from, the appropriate State and regional agencies and 

clearinghouses;

    (19) Two copies of an affirmative action program prepared in 

accordance with section 905 of the 4R Act (45 U.S.C. 803) and 49 CFR 

part 265;

    (20) Assurances that the applicant will comply with the following 

Federal laws, policies, regulations and pertinent directives:

    (i) Title VI of the Civil Rights Act of 1964, 42 U.S.C. 2000d et 

seq., and 49 CFR part 21;

    (ii) Section 905 of the 4R Act (45 U.S.C. 803) and 49 CFR part 265;

    (iii) Executive Order 11246, as amended (30 FR 12319, 32 FR 14303) 

and 41 CFR 60-4, as amended (43 FR 14888, Apr. 7, 1978), which requires 

equal employment opportunity in federally-assisted construction 

programs.

    (iv) Titles II and III of the Uniform Relocation Assistance and Real 

Property Acquisition Policies Act of 1970, 42 U.S.C. 4601 et seq., and 

49 CFR part 25;

    (v) 42 U.S.C. 4151 et seq., with regard to Federal policies ensuring 

that physically handicapped persons will have ready access to, and use 

of, public buildings;

    (vi) The Rehabilitation Act of 1973, 29 U.S.C. 794, with regard to 

nondiscrimination under Federal grants;

    (vii) The Hatch Act, 5 U.S.C. 1501 et seq., which limits the 

political activities of employees; and

    (viii) Where applicable, the State and Local Fiscal Assistance Act 

of 1972, 31 U.S.C. 1221 et seq., and 31 CFR part 51; and

    (21) Any other information that the Administrator may require.

    (e) Applications for planning funds. Each application for planning 

assistance shall include:

    (1) The complete name and principal business address of the 

applicant;

    (2) The name, title, and address of the person to whom 

correspondence regarding the application should be addressed;

    (3) A list of all organizations which will participate in the 

planning, implementation, or operation of each project, and a discussion 

of each organization's role;

    (4) A preliminary statement of work, and a detailed estimate of all 

planning costs broken down by project task;

    (5) A proposed schedule for the planning process;

    (6) A full discussion of the desirability and feasibility of the 

project and a summary of the benefits to be derived;

    (7) A detailed description of the rail passenger terminal 

(including, where applicable, the description on file with the National 

Register), the available



[[Page 807]]



transportation facilities, and the proposed intermodal passenger 

transportation improvements;

    (8) The total amount of Federal assistance requested;

    (9) Evidence of the applicant's ability and intent to furnish its 

share of the total allowable project costs;

    (10) Where the applicant contemplates using funds which it has 

received or will receive from other Federal programs for the 

preservation or demonstration stages of the project, a brief description 

of the sources, use, and anticipated amount of such funds;

    (11) Evidence that the applicant has established, in accordance with 

Attachment G of Office of Management and Budget Circular A-102, adequate 

procedures for financial control, accounting, and performance 

evaluation, in order to assure proper use of the Federal funds;

    (12) An assurance by the applicant that it will use Federal funds 

provided under the Act solely for the purpose for which assistance is 

sought and in conformance with the limitations on the expenditures 

allowed under the Act and applicable regulations;

    (13) An opinion of the applicant's legal counsel stating that:

    (i) Counsel is familiar with (A) the applicant's corporate or other 

organization powers; (B) section 4(i) of the Act, as amended, 49 U.S.C. 

1653(i); (C) the other Acts referred to in these regulations; and (D) 

any regulations issued to implement those Acts;

    (ii) The applicant is authorized to make this application including 

all certifications, assurances, and affirmations required; and

    (iii) The applicant has the requisite authority to carry out the 

actions proposed in its applications and to fulfill the obligations 

created thereby, including the obligation to pay a share of the costs of 

the proposed project;

    (14) A proposed schedule for the implementation of the applicant's 

completed designs and plans;

    (15) For projects located in urbanized areas, as defined by the 

Bureau of the Census, a statement that the application has been 

coordinated with the metropolitan planning organization, designated by 

the Governor of the State in which the project is located, pursuant to 

23 U.S.C. 104(f)(3);

    (16) A certification by the applicant that, in accordance with 

Office of Management and Budget Circular A-95 (41 FR 2052, Jan. 13, 

1976), section 204 of the Demonstration Cities and Metropolitan 

Development Act of 1966 (42 U.S.C. 3334), and section 401 of the 

Intergovernmental Cooperation Act of 1968 (42 U.S.C. 4231), notification 

of the project has been submitted to, and comments thereon have been 

solicited from, the appropriate State and regional agencies and 

clearinghouses;

    (17) Two copies of an affirmative action program prepared in 

accordance with section 905 of the 4R Act (45 U.S.C. 803) and 49 CFR 

part 265;

    (18) Assurances that the applicant will comply with the following 

Federal laws, policies, regulations, and pertinent directives:

    (i) Title VI of the Civil Rights Act of 1964, 42 U.S.C. 2000d et 

seq. and 49 CFR part 21;

    (ii) Section 905 of the 4R Act (45 U.S.C. 803) and 49 CFR part 265;

    (iii) Title II and title III of the Uniform Relocation Assistance 

and Real Property Acquisition Policies Act of 1970, 42 U.S.C. 4601 et 

seq. and 49 CFR part 25;

    (iv) 42 U.S.C. 4151 et seq., with regard to Federal policies 

ensuring that physically handicapped persons will have ready access to, 

and use of, public buildings;

    (v) The Rehabilitation Act of 1973, 29 U.S.C. 794, with regard to 

nondiscrimination under Federal grants;

    (vi) The Hatch Act, 5 U.S.C. 1501, et seq., which limits the 

political activities of employees; and

    (vii) Where applicable, the State and Local Fiscal Assistance Act of 

1972, 31 U.S.C. 1221 et seq., and 31 CFR part 51;

    (19) A statement that the applicant is prepared to develop 

practicable plans meeting the zoning, land use, and other requirements 

of the applicable State and local jurisdictions in which the rail 

passenger terminal is located.

    (20) An assurance by the applicant that the designs and plans for 

the conversion to an intermodal passenger terminal, including any use 

for civic or cultural activities, will be completed



[[Page 808]]



within two years following the approval of the application for Federal 

financial assistance;

    (21) A description of how the applicant can incorporate features 

which appear reasonably likely to attract private investors willing to 

share in the implementation of the planned conversion and its subsequent 

maintenance and operation;

    (22) An environmental assessment using an interdisciplinary approach 

in identifying the type, degree, effect, and probability of occurrence 

of potential environmental impacts due to the conversion to an 

intermodal passenger terminal; and

    (23) Any other information that the Administrator may require.

    (f) Execution and filing of applications. (1) The original 

application shall bear the date of execution and be signed by the Chief 

Executive Officer of the applicant or by the applicant, where the 

applicant is an individual. Each person required to execute an 

application shall execute a certificate in the form of appendix A 

hereto.

    (2) The original application and two (2) copies shall be filed with 

the Federal Railroad Administrator, Department of Transportation, 400 

7th Street SW., Washington, DC 20590. Each copy shall show the dates and 

signatures that appear in the original and shall be complete in itself.

    (3) Pre-applications for demonstration funds must be submitted to 

the Administrator no later than August 21, 1978. Applications for 

planning, preservation and demonstration funds must be submitted to the 

Administrator no later than September 19, 1978. Applications received 

after these deadlines will not be considered for funding, unless all 

funds are not granted to applicants who have met the application 

deadline.



[43 FR 21887, May 22, 1978]