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[Code of Federal Regulations]
[Title 49, Volume 4]
[Revised as of October 1, 2003]
[CITE: 49CFR256]

[Page 692-702]
 

TITLE 49--TRANSPORTATION
CHAPTER II--FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF TRANSPORTATION
PART 256--FINANCIAL ASSISTANCE FOR RAILROAD PASSENGER TERMINALS--Table of Contents



Regulations Governing Applications for and Disbursement of Financial Assistance

Sec.
256.1 Purpose.
256.3 Definitions.
256.5 Eligibility.
256.7 Financial assistance.
256.9 [Reserved]
256.11 Applications.
256.13 Review and approval of applications.
256.15 Disbursement of financial assistance.

Appendix A to Part 256--Certificate

    Authority: Sec. 4(i) of the Department of Transportation Act, 49 
U.S.C. 1653(i), as amended by (1) sec. 15 of the Amtrak Improvement Act 
of 1974, Pub. L. 93-496, 88 Stat. 1528; (2) sec. 13 of the Amtrak 
Improvement Act of 1975, Pub. L. 94-25, 89 Stat. 93; (3) sec. 706 of the 
Railroad Revitalization and Regulatory Reform Act of 1976, Pub. L. 94-
210, 90 Stat. 125; and (4) sec. 219(a) of the Rail Transportation 
Improvement Act, Pub. L.

[[Page 693]]

94-555, 90 Stat. 2629; and regulations of the Office of the Secretary of 
Transportation, 49 CFR 1.49(r).

  Regulations Governing Applications for and Disbursement of Financial 
                               Assistance

Sec. 256.1  Purpose.

    The purpose of this part is to establish procedures for implementing 
subsection 4(i) of the Department of Transportation Act as amended (49 
U.S.C. 1653(i)) with respect to all financial assistance provided under 
that subsection.

[40 FR 29080, July 10, 1975]

Sec. 256.3  Definitions.

    As used in this part--
    (a) Act means the Department of Transportation Act, as amended.
    (b) Administrator means the Federal Railroad Administrator, or his 
delegate.
    (c) Allowable project costs means those project costs for which 
Federal financial assistance may be expended under Sec. 256.7.
    (d) Applicant means a governmental entity, a non-profit public-
purpose organization, or any responsible person having the legal, 
financial, and technical capacity to implement an intermodal passenger 
terminal project under this part. The applicant must have legal 
authority to receive and expend Federal funds.
    (e) Chairman means the Chairman of the National Endowment for the 
Arts.
    (f) Civic and cultural activities includes, but is not limited to, 
museums, libraries, musical and dramatic presentations, art exhibitions, 
adult education programs, public meetings of community groups, 
convention visitors and others, and other public activities supported in 
whole or in part under Federal law.
    (g) Council means the Advisory Council on Historic Preservation.
    (h) Demonstration funds means funds authorized for the purpose set 
forth in paragraph (1)(A) of subsection 4(i) of the Act.
    (i) Intermodal passenger terminal means an existing railroad 
passenger terminal which has been or may be modified as necessary to 
accommodate several modes of transportation, including intercity rail 
service and some or all of the following: Intercity bus, commuter rail, 
intra-city rail transit and bus transportation, airport limousine 
service and airline ticket offices, rent-a-car facilities, taxis, 
private parking, and other transportation services.
    (j) National Register means the National Register of Historic Places 
maintained by the Secretary of the Interior.
    (k) Planning funds means funds authorized for the purpose set forth 
in paragraph (1)(D) of subsection 4(i) of the Act.
    (l) Preservation funds means funds authorized for the purpose set 
forth in paragraph (1)(B) of subsection 4(i) of the Act.
    (m) Project means a locally sponsored, coordinated, and administered 
program, or any part thereof, to plan, finance, construct, maintain, or 
improve an intermodal passenger terminal, which may incorporate civic or 
cultural activities where feasible in an architecturally or historically 
distinctive railroad passenger terminal.
    (n) 4R Act means the Railroad Revitalization and Regulatory Reform 
Act of 1976, as amended, Public Law 94-210, 90 Stat. 125, 49 U.S.C. 
1653.
    (o) Sufficient commitments means commitments of a binding nature 
adequate to ensure the successful operation of a project. Such 
commitments may be conditional, requiring, for example, the 
participation of other entities in the project, or action by a date 
certain.

[40 FR 29080, July 10, 1975, as amended at 43 FR 21887, May 22, 1978; 44 
FR 21647, Apr. 11, 1979]

Sec. 256.5  Eligibility.

    (a) General. A project is eligible for financial assistance under 
subsection 4(i) of the Act if:
    (1) The applicant provides satisfactory assurance that such fiscal 
control and fund accounting procedures will be adopted as may be 
necessary to assure proper disbursement of and accounting for Federal 
financial assistance granted to the applicant under the Act;
    (2) The applicant complies with the regulations of the Administrator 
prescribed in this part, and with such

[[Page 694]]

other terms and conditions as may be included in the grant of 
assistance; and
    (3) The Council is given a reasonable opportunity to review and 
comment upon the project as it affects property listed or eligible for 
listing on the National Register.
    (b) Demonstration funds. A project is eligible for financial 
assistance in accordance with subsection 4(i) of the Act if the 
Administrator determines that:
    (1) The railroad passenger terminal can be converted to an 
intermodal passenger terminal;
    (2) There exist sufficient commitments by Amtrak or other rail 
passenger carriers, and by intercity bus carriers, the local public 
transportation authority, or other public or private transportation 
operators, to provide co-ordinated service for convenient intermodal 
interchange to meet the goals enumerated in paragraph (b) of 
Sec. 256.13;
    (3) The railroad passenger terminal is listed on the National 
Register;
    (4) The architectural integrity of the railroad passenger terminal 
will be preserved, and this determination is concurred in by the 
consultants recommended by the Chairman and Council and retained by the 
Administrator for this purpose;
    (5) To the extent practicable, the use of station facilities for 
transportation purposes may be combined with use for other civic and 
cultural activities, especially when such use is recommended by the 
Council or the Chairman, or the consultants retained by the 
Administrator upon their recommendation;
    (6) The applicant has provided the information and documentation 
required under Sec. 256.11(c).
    (7) The railroad passenger terminal and the conversion project meet 
such other criteria as the Administrator may develop and promulgate in 
consultation with the Chairman and the Council.
    (c) Preservation funds. A project is eligible for financial 
assistance in accordance with subsection 4(i) of the Act if the 
Administrator determines that:
    (1) The applicant is empowered by applicable law, and is qualified, 
prepared, and committed, on an interim basis pending the formulation of 
plans for reuse, to maintain and prevent the demolition, dismantling, or 
further deterioration of, a railroad passenger terminal;
    (2) The railroad passenger terminal is threatened with demolition, 
dismantling, or further deterioration;
    (3) There is a reasonable likelihood that the railroad passenger 
terminal will be converted to or conditioned for reuse as an intermodal 
passenger terminal. The primary use of the terminal shall be for 
intermodal purposes, but facilities for the provision of civic and 
cultural activities may be incorporated to the extent feasible. Such 
dual use of the terminal is particularly encouraged when it is 
recommended by the Council or the Chairman.
    (4) Planning activity aimed at conversion or reuse has commenced and 
is proceeding in a competent manner;
    (5) The expenditure of funds on such project would be in the manner 
most likely to maximize the preservation of railroad passenger terminals 
which are:
    (i) Reasonably capable of conversion to intermodal passenger 
terminals;
    (ii) Listed in the National Register; or
    (iii) Recommended on the basis of architectural integrity and 
quality by the Chairman or the Council; and
    (6) The applicant has provided the information and documentation 
required by Sec. 256.11(d).
    (d) Planning funds. A project is eligible for financial assistance 
in accordance with subsection 4(i)(5) of the Act if the Administrator 
determines that:
    (1) 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;
    (2) The applicant incorporates into its plans for the conversion of 
an historic terminal into an intermodal passenger terminal, features 
which appear reasonably likely to attract private investors willing to 
finance the planned conversion and/or its subsequent maintenance and 
operation. The primary use of the terminal shall be for intermodal 
purposes, but facilities for the provision of civic or cultural 
activities may be incorporated to the extent feasible.

[[Page 695]]

    (3) The applicant will be able to complete the designs and plans for 
such conversion within two years following the approval of the 
application for Federal financial assistance;
    (4) The expenditure of funds on such project would be in the manner 
most likely to maximize the preservation of railroad passenger terminals 
which are listed in the National Register or recommended on the basis of 
architectural integrity and quality by the Chairman or the Council; and
    (5) The applicant has provided the information and documentation 
required under Sec. 256.11(e).

[40 FR 29080, July 10, 1975, as amended at 43 FR 21887, May 22, 1978; 44 
FR 21647, Apr. 11, 1979]

Sec. 256.7  Financial assistance.

    (a) Demonstration funds. Federal financial assistance for the 
conversion of a railroad passenger terminal into an intermodal passenger 
terminal, under subsection 4(i)(2) of the Act, may be expended for the 
following project costs incurred after the date of final project 
approval:
    (1) Acquisition or long-term lease of real property or other 
property interests, including air rights, subterranean rights, or 
easements, where necessary for project implementation;
    (2) Final architectural and engineering construction documentation, 
including all necessary plans, specifications, detailed cost estimates, 
and implementation schedules; and
    (3) Construction, which may include, but is not limited to:
    (i) Complete rehabilitation and refurbishment of the interior and 
exterior of the structure;
    (ii) Provision of necessary public service facilities;
    (iii) Structural modifications and minor additions necessary to 
permit the development of (A) improved rail passenger facilities, (B) 
intercity bus terminal and docking facilities, (C) adequate facilities 
for local mass transit, and (D) parking and access for automobiles and 
bicycles; and
    (iv) Provisions for accommodating major tenants and concessionaires 
such as airline ticket offices, rent-a-car offices, and other 
transportation service facilities.
    (b) Preservation funds. Federal financial assistance under 
subsection 4(i)(3) of the Act, for the preservation of a railroad 
passenger terminal which has a reasonable likelihood of being converted 
or otherwise maintained, may be expended for costs incurred after the 
date of project approval which are necessary to maintain (and prevent 
the demolition, dismantling, or further deterioration of) a railroad 
passenger terminal pending the completion of project planning, for a 
period not to exceed five years.
    (c) Planning funds. Federal financial assistance granted under 
subsection 4(i)(5) of the Act for the development of plans for the 
conversion of a railroad passenger terminal into an intermodal passenger 
terminal, which may incorporate civic and cultural activities where 
feasible, may be expended for the following project costs if incurred 
within two years after project approval:
    (1) Cost of a study or studies to:
    (i) Assess the need for and the feasibility of converting an 
existing railroad passenger terminal into an intermodal passenger 
terminal which may incorporate civic and cultural activities where 
feasible;
    (ii) Develop a fiscal plan and agreements for the plan's 
implementation; and
    (iii)(A) Relate the project to other transportation priorities in 
the area; and
    (B) Evaluate alternate means of providing needed intermodal 
passenger services within the community.
    (2) Costs of preparation of preliminary architectural and 
engineering design documents for the project, including:
    (i) Plans, sections, and sketches illustrating the functional as 
well as preservation aspects of the recommended development;
    (ii) Assessment of the condition of existing structural and 
utilities systems and requirements for their improvement;
    (iii) Outline specifications and preliminary estimates of project 
costs; and
    (iv) Required environmental impact reviews and analyses.

[[Page 696]]

    (d) Federal share. The Federal share of any project under this part 
shall not exceed 80 percent of the total allowable project costs. The 
non-Federal share may not be augmented by any Federal funds, directly or 
indirectly, unless the funds are provided through a Federal program 
which specifically authorizes the augmentation of a non-Federal share of 
a federally-assisted program with such funds.

[40 FR 29080, July 10, 1975, as amended at 43 FR 21887, May 22, 1978; 44 
FR 21647, Apr. 11, 1979]

Sec. 256.9  [Reserved]

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 697]]

    (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 698]]

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 699]]

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 700]]

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 701]]

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]

Sec. 256.13  Review and approval of applications.

    (a) Pre-applications. Pre-applications for demonstration funds shall 
be reviewed by the Administrator in consultation with the Chairman and 
the Council.
    (b) Applications. The Administrator shall review applications in 
consultation with the Chairman and the Council and select and monitor 
projects most likely to accomplish the following goals:
    (1) Demonstrate the capabilities of intermodal terminals to provide 
a more effective means of passenger interchange between various modes of 
transportation;
    (2) Demonstrate the advantages of joint use terminal facilities to 
carriers;
    (3) Demonstrate a more comprehensive and effective network of energy 
efficient surface common carrier transportation services through 
improving coordinated interline intermodal exchange at selected 
intermodal passenger terminals distinguished by coordinated information 
systems, schedules, and through ticketing and baggage handling;
    (4) Evaluate user response to such coordinated interline intermodal 
transportation services, and to joint carrier use of terminal 
facilities;
    (5) Demonstrate the potential of underutilized railroad passenger 
terminals of historical and architectural distinction for improving 
intermodal passenger transportation services and for providing an 
appropriate focal point for civic and cultural activities;
    (6) Stimulate local public and private investment, by transportation 
carriers and others, in improved intercity and local public 
transportation facilities and services;
    (7) Encourage the preservation of railroad passenger terminals 
pending the formulation of plans for reuse; and
    (8) Encourage the development of plans for the conversion of 
railroad passenger terminals into intermodal passenger terminals, which 
may incorporate civic and cultural activities where feasible.
    (c) Preferential consideration. In reviewing applications for 
planning funds, the Administrator shall give preferential consideration 
to applicants whose completed designs and plans will be implemented and 
effectuated within three years after the date of completion.
    (d) Approval within 90 days. The Administrator will approve or deny 
each application within 90 days of the submission dates set forth in 
Sec. 256.11(f)(3) and the Administrator will promptly

[[Page 702]]

notify in writing each applicant whose application has been approved.

[40 FR 29080, July 10, 1975, as amended at 43 FR 21890, May 22, 1978; 44 
FR 21647, Apr. 11, 1979]

Sec. 256.15  Disbursement of financial assistance.

    (a) Grant agreement. After receipt, review, and approval of an 
application, the Administrator will enter into a grant agreement with an 
applicant for the Federal share of the total allowable project costs. 
The terms and conditions of payment of the Federal share shall be set 
forth in the grant agreement.
    (b) Record retention. Each recipient of financial assistance under 
this part shall keep such records as the Administrator shall prescribe, 
including records which fully disclose the amount and disposition by 
such recipient of the proceeds of such assistance, the total cost of the 
project or undertaking in connection with which such assistance was 
given or used, the amount of that portion of the cost of the project or 
undertaking supplied by other sources, and such other records as will 
facilitate an effective audit.
    (c) Audit and examination. Until the expiration of three years after 
the completion of the project or undertaking referred to in paragraph 
(b) of this section, the Administrator and the Comptroller General of 
the United States, or any of their duly authorized representatives, 
shall have access for the purpose of aduit and examination to any books, 
documents, papers, and records of such receipts which, in the opinion of 
the Administrator or the Comptroller General, may be related or 
pertinent to such financial assistance.

[40 FR 29080, July 10, 1975, as amended at 43 FR 21890, May 22, 1978]

                   Appendix A to Part 256--Certificate

    The following is the form of the certificate to be executed by each 
person signing a pre-application or application:

    -------------- (Name of Person) certifies that he is the Chief 
Executive Officer of -------------- (Name of Agency or Organization); 
that he is authorized to sign and file with the Federal Railroad 
Administrator this (pre-application or application); that he has 
carefully examined all of the statements contained in the (pre-
application or application) relating to --------------; that he has 
knowledge of the matters set forth therein and that all statements made 
and matters set forth therein are true and correct to the best of his 
knowledge, information and belief.

[43 FR 21890, May 22, 1978]



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