[Code of Federal Regulations]
[Title 49, Volume 4]
[Revised as of October 1, 2007]
From the U.S. Government Printing Office via GPO Access
[CITE: 49CFR266.15]

[Page 897-900]
 
                        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 
 
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;

[[Page 898]]

    (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
    (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

[[Page 899]]

(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.
    (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

[[Page 900]]

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]