[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: 49CFR266.15]



[Page 839-841]

 

                        TITLE 49--TRANSPORTATION

 

       CHAPTER II--FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF 

                             TRANSPORTATION

 

PART 266_ASSISTANCE TO STATES FOR LOCAL RAIL SERVICE UNDER SECTION 5 

OF THE DEPARTMENT OF TRANSPORTATION ACT--Table of Contents

 

Sec. 266.15  Requirements for State Rail Plan.



    (a) State planning process. The State Rail Plan shall be based on a 

comprehensive, coordinated and continuing planning process for all 

transportation services within the State and shall be developed with an 

opportunity for participation by persons interested in rail activity in 

the State and adjacent States where appropriate. At a minimum, the State 

shall hold a public hearing if, on the basis of reasonable public notice 

appearing in the press, there is sufficient public interest to justify a 

hearing. Public notice shall be given, in accordance with applicable 

State law and practice concerning comparable matters, that a draft of 

the State Rail Plan is available for public inspection at a reasonable 

time in advance of the hearing. The State shall enable local and 

regional governmental bodies to review and comment on appropriate 

elements of the State Rail Plan. Provisions shall also be made for 

updating, revising, and amending the State Rail Plan.

    (b) Format of the State Rail Plan. Each item submitted in response 

to a requirement of this section shall reference that requirement by 

subsection, paragraph, and subparagraph.

    (c) Contents of the State Rail Plan. Each State Rail Plan shall:

    (1) Specify the objectives of the State's Rail Service Assistance 

Program and explain how the implementation of the State Rail Plan will 

accomplish these objectives and explain relevant data sources, 

assumptions, analytical methodology, other legal constraints and special 

problems or conditions which will aid the public in understanding the 

State Rail Plan;

    (2) Contain an illustration of the State's entire rail system on 

suitable scale maps of the State highway system (such as a reduction of 

the County Highway Planning Series of maps), designating with respect to 

each line listed under subparagraph (3) of this subsection, including 

all lines connecting to them:

    (i) The operating carrier or carriers;

    (ii) Freight traffic density, and

    (iii) Location of passenger service.





These maps shall be accompanied by a written description of the service 

provided on each line;

    (3) Identify the following classes of rail service within the State:

    (i) Lines in the State which are eligible for assistance under Sec. 

266.7 of this part other than those included in paragraph (c)(3)(ii) of 

this section;

    (ii) Lines in the State which a common carrier has identified on its 

system diagram map submitted under 49 CFR 1121.20(b) (1) and (2) as 

potentially subject to abandonment and lines which are anticipated to be 

the subject of an abandonment or discontinuance application within three 

years following the date of submission;

    (iii) [Reserved]

    (iv) Lines in the State for which abandonment or discontinuance 

applications are pending;

    (v) Lines in the State which are involved in the following kinds of 

proposals that have been submitted to the Commission for approval or are 

in the process of negotiation, to the extent that this information is 

publicly available:

    (A) Mergers;

    (B) Consolidations;

    (C) Reorganizations;

    (D) Purchases by other common carriers; or

    (E) Other unification and coordination projects.

    (vi) Rail projects for which the State plans to request Federal 

assistance or approval as in-kind benefits; and



[[Page 840]]



    (vii) Rail projects for which a State provides or plans to provide 

assistance from sources other than the Rail Service Assistance Program, 

including the estimated cost of the projects;

    (4) Establish and describe screening criteria to be used in 

selecting the eligible lines which the State analyzes in detail, 

identify these lines, and explain how the application of the screening 

criteria resulted in their selection;

    (5) Describe the State's methodology for determining the ratio of 

benefits to the costs of proposed projects eligible under Sec. 266.7 of 

this part (except projects to be funded with rail service continuation 

assistance);

    (6) Include, to the extent that the information is available to the 

State, the following data for each line the State has selected to 

analyze in detail:

    (i) Annual freight tonnage and carloads segregated by commodity type 

and indicating any seasonal traffic fluctuations and the number of 

shippers and receivers on the line aggregated by type (e.g., grain 

elevator, power plant, heavy manufacturing), including identification of 

information which a shipper wishes the Administrator to consider 

confidential to the extent permitted by law;

    (ii) Revenues and costs of providing rail freight service on the 

line;

    (iii) Condition of the related rail facilities and equipment, and 

for a line eligible under Sec. 266.7(b) of this part, a description of 

the particular rail facilities involved in any project a State may be 

considering on the line;

    (iv) When the State is considering a line for rail service 

continuation assistance, projections of freight traffic needs on the 

line for at least the three succeeding calendar years and estimates of 

the amount and type of equipment, the condition of the rail facilities, 

and the level of service necessary to satisfy the projected traffic 

needs as well as estimates of the revenue and costs of providing this 

service; and

    (v) When the State is considering a project eligible under Sec. 

266.7(b) of this part, the amount of funds expended for the maintenance 

of the line and the kinds of work performed during the five year period 

preceding its eligibility.

    (vi) When the State is considering a line for rail banking, a 

description of the line's future economic potential, such as the 

existence of fossil fuel reserves or agricultural production likely to 

be served;

    (7) Describe the alternatives which the State will analyze in 

applying the methodology described in paragraph (c)(5) of this section, 

such as: Rail service continuation payments, rehabilitation or 

improvement, acquisition, rail facility construction, potential for 

moving freight by alternate modes, or abandonment or discontinuance of 

rail freight service;

    (8) Apply the methodology described in paragraph (c)(5) of this 

section to each line the State has selected to analyze in detail;

    (9) Specify the State's decision regarding the alternative selected 

for each line the State has analyzed in detail and include the 

following:

    (i) An indication of whether Federal assistance will be requested or 

other funds will be used to implement the alternative selected;

    (ii) An identification of lines which may be affected by the 

alternative selected;

    (iii) An explanation of how the alternative selected contributes to 

the accomplishment of the State's objectives as stated in paragraph 

(c)(1) of this section; and

    (iv) A statement of the projected future of the line after the 

alternative selected is implemented and the line is no longer eligible 

for rail service continuation assistance under Sec. 266.7(a) of this 

part or after the payback period used in the State's benefit-cost 

analysis, whichever is appropriate;

    (10) Describe the planning process participation of local and 

regional governmental bodies, the railroads, railroad labor, rail 

service users, and the public in general;

    (11) Describe the overall planning process for all transportation 

services in the State; and

    (11A) Indicate how the overall planning process in the State 

addresses the need to improve national energy efficiency, reduce the 

national use of petroleum and natural gas, and increase the national use 

of coal.



[[Page 841]]



    (12) Include a program of projects which identifies the projects for 

which the State expects to submit applications and the anticipated 

submission date. The program shall group the proposed projects in the 

order they comply with the State's criteria and goals for assistance, 

and shall:

    (i) Identify the type of project (i.e., rail service continuation 

payments, acquisition, rehabilitation or improvement, rail facility 

construction, or substitute service), its location, and duration; and

    (ii) Include the anticipated amount of funds to be requested for 

each project:

    (d) Updates, revisions, and amendments of the State Rail Plan--(1) 

General. As provided for in paragraph (e) of this section, State Rail 

Plans shall be updated at least on an annual basis but may be revised 

more frequently at the discretion of the State in accordance with its 

program needs. Such updates shall be subject to the same review, public 

participation and approval procedures by the State and FRA as the 

original State Rail Plan.

    (2) Contents. Annual updates shall include the following:

    (i) A response to unanswered FRA comments on previously submitted 

updates, revisions, amendments, or the original State Rail Plan;

    (ii) An update of information in previous submittals which is no 

longer accurate as a result of plan implementation, action by a 

governmental entity or railroad, or changed conditions;

    (iii) For lines receiving rail service continuation assistance, 

inclusion of revenue and cost information from the past year's operating 

experience and a reevaluation of service based on these new data;

    (iv) Updating of the maps and descriptions required under paragraph 

(c)(2) of this section;

    (v) Analysis of any new projects developed by the State in 

accordance with paragraphs (c)(4), (5) and (6) of this section;

    (vi) Changes in agency responsibilities and authority including 

ability to provide the non-Federal share; and

    (vii) Revisions in the State's policies, objectives or long-range 

expectations.

    (e) Adoption and submission of State Rail Plan and annual updates. 

An original and five copies of the State Rail Plan, and any amendments, 

revisions, or updates shall be submitted to FRA for review and approval 

with a certification by the Governor, or by the Governor's delegate, 

that the submission constitutes the State Rail Plan established by the 

State as provided in section 5(j) of the Act. The State Rail plan, and 

all amendments, revisions, and updates shall be submitted to the FRA 

through the appropriate Federal Highway Division Office. A current list 

of mailing addresses of the above offices will be provided by FRA to 

each State.

    (f) Review of the State Rail Plan and Updates. The State Rail Plan 

and all amendments, revisions, and updates shall analyze in accordance 

with this section all projects for which the State anticipates 

requesting rail service assistance, other than planning assistance, 

during the fiscal year. In accordance with Sec. 266.17(b) of this part, 

a project for which funds are requested must have been addressed in a 

previously approved State Rail Plan or update. If the Administrator 

determines that the State Rail Plan or update is not in accordance with 

this part, the Administrator will notify the State in writing setting 

forth the Administrator's reasons for such a determination.



[44 FR 51129, Aug. 30, 1979, as amended at 45 FR 58038, Aug. 29, 1980; 

48 FR 29274, June 24, 1983]