Office; and (4) other information as the Secretary of Transportation may require. States must provide proof of employee experience qualifications and provide a monthly plan of activities. States must maintain a total funding level for the safety program that does not fall below the coverage level or such expenditures for fiscal years 1968 and 1969. Costs will be determined in accordance with OMB Circular No. A-87 for State and local governments. APPLICATION AND AWARD PROCESS: Preapplication Coordination: It is recommended that interested States contact the Associate Administrator for Safety, Planning and Evaluation Division, Federal Railroad Administration, 400 Seventh Street SW., Washington, DC 20590. Telephone: (202) 426-1510. Consultation and assistance is available from the Federal Railroad Administration (FRA) preparing the application form, furnished by the FRA and required by OMB Circular No. A-102 and FRA regulations (49 CFR 212). This program is eligible for coverage under E.O. 12372, "Intergovernmental Review of Federal Programs." An applicant should consult the office or official designated as the single point of contact in the State for more information on the process the State requires to be followed in applying for assistance, if the State has selected the program for review.

Application Procedure: Completion of the form entitled "State Participation Program" is required for certification or agreement under Section 206 of the Act and 49 CFR 212. The information required in this form is specified in 49 CFR 212.105 and 212.107 for the Initial Certification and Report. The form includes provisions for a description of the State's planned program with respect to the investigative and surveillanc activities prescribed for each Federal railroad safety rule, regulation, order, or standard for which a certification is submitted, or into which an agreement is entered.

Award Procedure: The application for payments and approval by the
Federal Railroad Administrator requires certification under Sec-
tion 206, Subsection (a); the report required under Subsection (b);
or agreements with noncertifying States as outlined under Subsec-
tion (c); and satisfactory assurances to the Administrator that the
State agency will provide the remaining costs, of a safety pro-
gram, as reflected under Subsection (d).
Deadlines: Federal appropriations for the State Participation pro-
gram are made on a Federal fiscal year basis for activities to be
conducted in the ensuing fiscal year.

Range of Approval/Disapproval Time: Sixty (60) days.
Appeals: Not applicable.

Renewals: Certification required annually; agreements with noncertifying states required annually. ASSISTANCE CONSIDERATIONS:

Formula and Matching Requirements: The Secretary of Transportation shall pay out of funds appropriated pursuant to this title or otherwise made available, up to 50 percent of cost of the personnel, equipment, and activities of a State agency which are reasonably required, during the ensuing fiscal year, to carry out a safety program under such certification or agreement. No payment may be made unless the State agency making application gives satisfactory assurances to the Secretary of Transportation that the State agency will provide the remaining cost of a safety program and that the aggregate expenditures of State funds exclusive of Federal grants, will be maintained at a level which does not fall below the average level of such expenditures for the last 2 fiscal years preceding the date of enactment of this title.

Length and Time Phasing of Assistance: Annually, subject to certification and the availability of Federal funds.

POST ASSISTANCE REQUIREMENTS:

Reports: The State agency shall submit a copy of each semiannual expenditure/performance report, a monthly work schedule, and a daily inspector log for each State safety inspector to the Federal Railroad Administration.

Audits: The State agency shall maintain a financial management system which is in compliance with the standards listed in Attachment G to OMB Circular No. A-102. In addition, the State agency shall permit authorized representatives of the Federal Railroad

Administration or other Federal Government agencies to review investigative and surveillance activities and to inspect payrolls, personnel records, invoices, and other relevant data and records pertaining to payment agreements and implementation activities. In accordance with the provisions of OMB Circular No. A-128, "Audits of State and Local Governments," State and local governments that receive $100,000 or more a year in Federal financial assistance shall have an audit made for that year. State and local governments that receive between $25,000 and $100,000 a year shall have an audit made in accordance with Circular No. A-128, or in accordance with Federal laws and regulations governing the programs in which they participate. Recipients of more than $100,000 shall submit one copy of the audit report within 30 days after issuance to the Department of Commerce, Bureau of Census, Data Preparation Division, 1201 East 10th Street, Jeffersonville, Indiana 47132, Attn: Single Audit Clearinghouse.

Records: (See Reports and Audits section of the program.) The State agency is authorized to substitute microfilm copies in lieu of original records. The Federal Railroad Administration shall request the State agency to transfer certain records to Federal custody when the FRA determines that the records possess long-term retention value.

FINANCIAL INFORMATION:

Account Identification: 69-0706-0-1-401.

Obligations: (Grants) FY 85 $3,043,152; FY 86 est $3,043,152; and FY 87 est $0.

Range and Average of Financial Assistance: The Federal share is estimated at $30,000 per State inspector.

PROGRAM ACCOMPLISHMENTS: A total of 32 States are participating in the Track Safety, Freight Car, Operating Practices and Signal and Train Control Programs for fiscal years 1985 and 1986, with 102 inspectors (60 track inspectors, 33 equipment inspectors, eight operating practices inspectors, and one signal and train control inspector). Data not available for fiscal year 1987. REGULATIONS, GUIDELINES, AND LITERATURE: Railroad Safety Act of 1970, as amended; the Federal safety standards published thereunder; and the State Participation Regulations, 49 CFR 212.

INFORMATION CONTACTS:

Regional or Local Office: Regional Director of Railroad Safety, 55 Broadway, Room 10-77, Cambridge, MA 02142, Telephone: (617) 494-2302; Regional Director of Railroad Safety, 1020 Independence Bldg., 434 Walnut St., Philadelphia, PA 19106, Telephone: (215) 597-0750. Regional Director of Railroad Safety, Suite 440, North Towers, 1720 Peachtree Rd., NW., Atlanta, GA 30309, Telephone: (404) 881-2751. Regional Director of Railroad Safety, 165 North Canal St., Suite 1400 SA, Chicago, IL 60606, Telephone: (312) 353-6203. Regional Director of Railroad Safety, Room 7A35, Federal Bldg., 819 Taylor St., Ft. Worth, TX 76102, Telephone: (817) 334-3601. Regional Director of Railroad Safety, 211 Main St., Room 1085, San Francisco, CA 94105, Telephone: (415) 974-9845; Regional Director of Railroad Safety, 1807 Federal Building, 911 Walnut St., Kansas City, MO 64106. Telephone: (816) 374-2497; and Regional Director of Railroad Safety, Suite 250 Crown Plaza Annex, 1500 SW First Ave., Portland, OR 97201, Telephone: (503) 221-3011.

Headquarters Office: Associate Administrator for Safety, Federal Railroad Administration, Room 8318-A 400 Seventh St., SW, Washington, DC 20590. Telephone: (202) 426-0895.

RELATED PROGRAMS: 20.301, Railroad Safety; 20.502, Urban Mass Transportation Grants for University Research and Training; 20.900, Air Transportation-Consumer Affairs; 33.001, ShippingInvestigation of Complaints; 41.002, Interstate Commerce-Investigation of Complaints.

erating practices, and one in signal and train control. Of the 31 States aboard, 16 are in both track and freight car. CRITERIA FOR SELECTING PROPOSALS: The application forms for State participation provide the necessary detail for the selection process of State proposals. It is important that the State meet the eligibility requirements and project a comprehensive safety program plan for involvement. Key criteria are listed in the State Participation Regulations, (49 CFR 212), and the State Program Management Manual, which are integral to the selection and qualifying process.

20.308 LOCAL RAIL SERVICE ASSISTANCE
(National Rail Service Continuation Grants)

FEDERAL AGENCY:

FEDERAL RAILROAD ADMINISTRATION, DEPARTMENT OF TRANSPORTATION AUTHORIZATION: Section 5, Department of Transportation Act of 1966, Public Law 89-670, 49 U.S.C. 1654(f)(g), as amended by Title VIII, Section 803 of the Rail Revitalization and Regulatory Reform Act of 1976, Public Law 94-210. Local Rail Service Assistance Act of 1978, Title XI, Subtitle G of the Omnibus Reconciliation Act of 1981.

OBJECTIVES: To maintain efficient local rail freight services.
TYPES OF ASSISTANCE: Formula Grants.

USES AND USE RESTRICTIONS: Formula grants and limited discretionary grants may be used by States to assist in acquiring a line of railroad or other rail properties for existing or future rail freight service; grants may also be used for rehabilitation and improvement on lines certified by the railroad as having carried three million gross ton miles per mile or less during the prior year, and for State rail planning, rail facility construction and substitute service projects; such assistance to be available in accordance with provisions o Section 5, Department of Transportation Act, as amended, and 49 CFR Part 266.

ELIGIBILITY REQUIREMENTS:

Applicant Eligibility: A State agency designated by the Governor is eligible for assistance if it meets requirements contained in 49 CFR Part 266.

Beneficiary Eligibility: Beneficiaries are all users of rail freight service assisted by these grants. Credentials/Documentation: The Federal Railroad Administration's Office of Passenger and Freight Services is responsible for reviewing the State Rail Plan. Costs will be determined in accordance with OMB Circular No. A-87 for State and local governments. APPLICATION AND AWARD PROCESS:

Preapplication Coordination: This program is eligible for coverage under E.O. 12372, "Intergovernmental Review of Federal Programs." An applicant should consult the office or official designated as the single point of contact in his or her State for more information on the process the State requires to be followed in applying for assistance, if the State has selected the program for review. States will satisfy preapplication requirements through submission of a State Rail Plan. The State Rail Plan is required to be submitted in accordance with Executive Order 12372. The standard application forms as furnished by the Federal agency and required by OMB Circular No. A-102 must be used for this program. Application Procedure: Applications shall be completed in accordance with procedures contained in 49 CFR Part 266. The standard application forms as required by OMB Circular No. A-102 and program procedures are available from the Federal Railroad Administration.

Award Procedure: Grants are awarded by Federal Railroad Administration Headquarters office.

Deadlines: Project applications should be submitted in a timely manner so as to assure rail freight service is continued. Planning applications must be submitted on or before the first day of the Fiscal Year (October 1).

Range of Approval/Disapproval Time: Fourty-five days.
Appeals: Not applicable.

Renewals: New applications shall be contingent upon an annual
State Rail Plan Update.

ASSISTANCE CONSIDERATIONS:

Formula and Matching Requirements: Assistance shall be available to each State and the District of Columbia in the ratio which such State's eligible mileage bears to the total eligible mileage in all of the States, except that no State shall receive less than 1 percent of such assistance. The Federal share of the costs of providing rail service assistance under Section 5(h) of the Act will be 70 percent. This program operates under a statutory formula the statistical factor used for allocation is data obtained from ICC newsletter, "Certificate and Decision" and the System Diagram Map filed annually. There are no statistical factors used for eligibility. Length and Time Phasing of Assistance: Funds authorized for the program are available until expended.

POST ASSISTANCE REQUIREMENTS:

Reports: States receiving assistance by advance payment shall file the Report of Federal Cash Transaction and a Financial Status Report quarterly.

Audits: In accordance with the provisions of OMB Circular No. A128, "Audits of State and Local Governments," State and local governments that receive $100,000 or more a year in Federal financial assistance shall have an audit made for that year. State and local governments that receive between $25,000 and $100,000 a year shall have an audit made in accordance with Circular No. A128, or in accordance with Federal laws and regulations governing the programs in which they participate.

Records: Record procedures are specified in 49 CFR Part 266, "Assistance to States for Rail Service under Section 5 of the Department of Transportation Act." FINANCIAL INFORMATION:

Account Identification: 69-0700-0-1-401.

Obligations: (Grants) FY 85 $17,605,713; FY 86 est $8,950,000; and FY 87 est $0.

Range and Average of Financial Assistance: $100,000 to $800,000 and $212,960.

PROGRAM ACCOMPLISHMENTS: In fiscal year 1985, 74 applications were submitted and 59 grants were approved under the Section 5 program: $2,666,815 for planning; $14,533,582 for rehabilitations; $44,900 for substitute service; $120,000 for acquisition; and $360,140 for rail facility construction. Fiscal year 1986 to date: 37 applications for rail assistance totaling $3,595,211 have been submitted. Fiscal year 1987 estimates not available. REGULATIONS, GUIDELINES, AND LITERATURE: Regulations were published as 49 CFR Part 266, "Assistance to States for Rail Service under Section 5 of the Department of Transportation Act."

INFORMATION CONTACTS:

Regional or Local Office: Not applicable.

Headquarters Office: Office of Passenger and Freight Services, Federal Railroad Administration, 400 Seventh St., SW., Room 5410, Washington, DC 20590. Telephone: (202) 426-1677. RELATED PROGRAMS: None. EXAMPLES OF FUNDED PROJECTS: (1) Purchase of an eligible line of railroad or other rail properties. (2) Rehabilitation and improvement of rail lines. (3) Rail facility construction: construction of connections between rail lines and intermodal terminals. (4) substitute service programs which reduce the cost of lost rail freight service in a manner less expensive than continuing rail service. Projects are approved if the State has analyzed their benefits and costs pursuant to a benefit/cost methodology contained in the State Rail Plan.

CRITERIA FOR SELECTING PROPOSALS: The local rail service assistance program is an entitlement program that allocates a specific funding level to each State based on the State's eligible mileage. The order of priority for projects is established by each State in their rail plan. Upon the approval of the rail plan, each State may apply for a project that is contained in the approved plan. Statutory discretionary considerations are the percent of rail lines filed with the Interstate Commerce Commission for abandonment or potential abandonment in the State, the likelihood or future abandonments, benefit-cost ratio of the project, the likelihood the related line will continue operating with freight assistance, and the

impact of rail bankruptcies, rail restructuring and mergers on the State.

20.309 RAILROAD REHABILITATION AND

IMPROVEMENT-GUARANTEE OF
OBLIGATIONS

FEDERAL AGENCY: FEDERAL RAILROAD ADMINISTRA-
TION, DEPARTMENT OF TRANSPORTATION
AUTHORIZATION: Title V, Section 511 of the Railroad Revitaliza-
tion and Regulatory Reform Act of 1976; Public Law 94-210; 45
U.S.C. 831.

OBJECTIVES: To (1) provide financial assistance for the acquisition or rehabilitation and improvement of railroad facilities or equipment; and (2) develop new railroad facilities.

TYPES OF ASSISTANCE: Guaranteed/Insured Loans.

USES AND USE RESTRICTIONS: Funds received by applicants must be used for acquisition or rehabilitation and improvement of facilities or equipment or development of new railroad facilities. Equipment and facilities include: locomotives; freight cars; track; roadbed and related structures; communication and power transmission systems; signals, yard and terminal facilities; and shop and repair facilities.

ELIGIBILITY REQUIREMENTS:

Applicant Eligibility: Applicant is defined to mean any railroad or other person, including State and local government entities, which submits an application to the Administrator for the guarantee of an obligation under which it is an obligor. Under this definition of applicant, a government entity may apply for and receive guarantees. However, the policy of Federal Railroad Administration is not to guarantee tax exempt obligations unless the applicant can demonstrate compelling reasons why such a guarantee should be extended.

Beneficiary Eligibility: Beneficiaries are the users of rail properties which have been acquired or modernized with Federal assistance. The ultimate purpose is to provide the means to rehabilitate and maintain the physical facilities, improve the operations and structure, and restore the financial stability of the railway system of the United States, and to promote the revitalization of such railway system so that this mode of transportation will remain viable in the private sector of the economy and will be able to provide energy-efficient, ecologically compatible transportation services with greater efficiency, effectiveness and economy. Credentials/Documentation: Applicants must submit documentation supporting their status as a common carrier, trustee or other organization obligated for the payment of principal balance of, and any interest on, funds used for purpose of the Act.

APPLICATION AND AWARD PROCESS:

Preapplication Coordination: When applicants have developed plans for a project for which they have decided to seek assistance, that applicant shall notify the Federal Railroad Administration Director of Freight Services at Room 5410, 400 Seventh Street, SW, Washington, DC 20590. A meeting will then be scheduled at which the applicant will present the project and discuss with Federal Railroad Administration the information that must accompany the application. An environmental assessment is required and an environmental impact statement may be required for this program. Application Procedure: Applications shall be completed in accordance with the procedures and requirements contained in 49 CFR, Part 260.

Award Procedure: The Administrator, subject to availability of obligation guarantee authority, will approve projects found to meet the eligibility requirements.

Deadlines: None.

Range of Approval/Disapproval Time: Subject to availability of obligation guarantee authority and Congressional action pursuant to studies mandated by RRRR Act of 1976.

Appeals: None.

Renewals: Modified applications may be submitted. Financing agree

ment subject to modification.

ASSISTANCE CONSIDERATIONS:

Formula and Matching Requirements: Funding may be provided for 100 percent of the project cost.

Length and Time Phasing of Assistance: Terms and conditions are agreed on by Federal Railroad Administration and the applicants. Payment of obligation is required to be made within 25 years from date of execution of financing agreement.

POST ASSISTANCE REQUIREMENTS:

Reports: Monthly expenditure, progress and cash reports will be required. Other details will be contained in the financing agreement. Audits: In accordance with the provisions of OMB Circular No. A128, “Audits of State and Local Governments," State and local governments that receive $100,000 or more a year in Federal financial assistance shall have an audit made for that year. State and local governments that receive between $25,000 and $100,000 a year shall have an audit made in accordance with Circular No. A128, or in accordance with Federal laws and regulations governing the programs in which they participate.

Records: Each recipient of financial assistance must keep records that will facilitate an effective audit. FINANCIAL INFORMATION:

Account Identification: 69-4411-0-3-401. Obligations: (Loans) FY 85 $2,500,000; FY 86 est $4,000,000; and FY 87 est $0.

Range and Average of Financial Assistance: $75,000,000; $20,000,000.

PROGRAM ACCOMPLISHMENTS:

$5,000,000 to

Provided guarantees for $2,500,000 in new loans made by the Federal Financing Bank in fiscal year 1985; expect to provide guarantees for $4,000,000 in fiscal year 1986 and none in fiscal year in 1987. REGULATIONS, GUIDELINES, AND LITERATURE: 49 CFR, Part 260.

INFORMATION CONTACTS:

Regional or Local Office: Not applicable.

Headquarters Office: Office of Freight Services, Room 5410, 400 Seventh St., SW., Washington, DC 20590. Telephone: (202) 4269657.

RELATED PROGRAMS: None. EXAMPLES OF FUNDED PROJECTS: Rehabilitation of freight cars and locomotives for Milwaukee Road; Chicago and North Western Transportation Company; Rock Island Railroad. Rehabilitation of track for Missouri-Kansas-Texas Railroad Company. CRITERIA FOR SELECTING PROPOSALS: Administrator must make findings required in section 511(g) of the Act. The findings relate to security for the Government's investment; repayment of the obligation; financing being justified by present and probable demand for rail service; efficient utilization of equipment and an improved ability of the railroad to transport freight or passengers.

20.500 URBAN MASS TRANSPORTATION CAPITAL IMPROVEMENT GRANTS

(Capital Grants)

FEDERAL AGENCY: URBAN MASS TRANSPORTATION ADMINISTRATION, DEPARTMENT OF TRANSPORTATION AUTHORIZATION: Urban Mass Transportation Act of 1964; Public Law 88-365, as amended; 49 U.S.C. 1601 et seq. OBJECTIVES: To assist in financing the acquisition, construction, reconstruction, and improvement of facilities and equipment for use, by operation, lease, or otherwise, in mass transportation service in urban areas and in coordinating service with highway and other transportation in such areas.

TYPES OF ASSISTANCE: Project Grants (Discretionary). USES AND USE RESTRICTIONS: Eligible facilities and equipment include land, buses, other rolling stock, new technological methods and techniques, and other real and personal property needed for an efficient and coordinated mass transportation system. Adequate public notice must be given of intent; social, economic and environmental impact must be considered; project must be consistent with official plans for comprehensive development of urban

areas.

ELIGIBILITY REQUIREMENTS:

Applicant Eligibility: Public agencies, including States; municipalities and other subdivisions of States; public agencies and instrumentalities of one or more States; and public corporations, boards, and commissions established under State law. Applicant must have legal, financial, and technical capacity to carry out proposed project and maintain facilities and equipment purchased with Federal assistance.

Beneficiary Eligibility: Public agencies, although private transportation companies may participate through contractual arrangements with public agency grantee. Capital funds are also available through the States to private, nonprofit organizations for the purpose of providing transportation services to the elderly and the handicapped.

Credentials/Documentation: Resolution by an authorized public body approving the filing for an application; information on labor and relocation; environmental impact statement; legal opinion; coordinated regional planning documentation; maintenance certification; standard assurances; private enterprise participation. Cost will be in accordance with OMB Circular No. A-87 for State and local governments.

APPLICATION AND AWARD PROCESS:

Preapplication Coordination: This program is eligible for coverage under E.O. 12372, "Intergovernmental Review of Federal Programs." An applicant should consult the office or official designated as the single point of contact in his or her State for more information on the process the State requires to be followed in applying for assistance, if the State has selected the program for review. The standard application forms as furnished by the Federal agency and required by OMB Circular No. A-102 must be used for this program. An environmental impact assessment is required for this program. An environmental impact statement may also be required upon completion of review of the assessment. Application Procedure: This program is subject to the provisions of OMB Circulars No. A-87 and A-102. Applications are made to the regional offices of the Urban Mass Transportation Administration listed in Appendix IV of the Catalog.

Award Procedure: The Administrator, UMTA, makes the final decision to approve major projects. UMTA is responsible for providing notification of grant approval to the public body. Deadlines: None.

Range of Approval/Disapproval Time: Not applicable.

Appeals: Not applicable.

Renewals: Amendments may be granted.

ASSISTANCE CONSIDERATIONS:

Formula and Matching Requirements: A grant may be made for not more than 75 percent of net project cost.

Length and Time Phasing of Assistance: Terms and conditions are contractually agreed on between UMTA and the applicant. POST ASSISTANCE REQUIREMENTS:

Reports: (1) Progress reports; (2) Financial status reports. Audits: In accordance with the provisions of OMB Circular No. 128, "Audits of State and Local Govenments," State and local governments that receive $100,000 or more a year in Federal financial assistance shall have an audit made for that year. State and local governments that receive between $25,000 and $100,000 a year shall have an audit made in accordance with Circular No. A-128, or in accordance with Federal laws and regulations governing the programs in which they participate.

Records: Recipient is required to retain intact, until the project is closed and any audit conducted, all project contract documents, financial records, and supporting documents.

FINANCIAL INFORMATION:

Account Identification: 69-8191-0-7-401.

Obligations: (Discretionary grants) FY 85 $746,117,000; FY 86 est $634,068,000; and FY 87 est $404,512,000.

Range and Average of Financial Assistance: $1,216 to $800,000,000; $5,000,000.

PROGRAM ACCOMPLISHMENTS: In fiscal year 1985, $746 million had been obligated under the capital grant program. Data unavailable for fiscal years 1986 and 1987. REGULATIONS, GUIDELINES, AND LITERATURE: "Guidelines for Project Administrations." These may be secured at no charge from the UMTA Regional Offices. INFORMATION CONTACTS:

Regional or Local Office: See Appendix IV of the Catalog for a listing of the Urban Mass Transportation regional offices. Headquarters Office: None.

RELATED PROGRAMS: 20.205, Highway Planning and Construction; 20.505, Urban Mass Transportation Technical Studies Grants; 20.507, Urban Mass Transportation Capital and Operating Assistance Formula Grants.

EXAMPLES OF FUNDED PROJECTS: Not available. CRITERIA FOR SELECTING PROPOSALS: 1. Major, non-recurring capital investments. 2. Prior programming of all formula funds. 20.502 URBAN MASS TRANSPORTATION GRANTS FOR UNIVERSITY RESEARCH AND TRAINING (Mass Transit Technology and Technical Assistance Program)

FEDERAL AGENCY: URBAN MASS TRANSPORTATION ADMINISTRATION, DEPARTMENT OF TRANSPORTATION AUTHORIZATION: Urban Mass Transportation Act of 1964; Public Law 88-365, as amended; 49 U.S.C. 1601 et seq. OBJECTIVES: To sponsor research studies and training in the problems of transportation in urban and rural areas; to encourage students to seek careers in transit; and to increase cooperative interchanges between transit; operators and the academic community. TYPES OF ASSISTANCE: Project Grants. USES AND USE RESTRICTIONS: To conduct competent and qualified research and investigations into the theoretical and practical problems of urban transportation, and to provide for the training of persons to carry on further research or to obtain employment in private or public organizations which plan, construct, operate, or manage urban and rural transportation systems. Total value of grants under this program is approximately $1,500,000 per annum. ELIGIBILITY REQUIREMENTS:

Applicant Eligibility: Accredited public and private nonprofit institutions of higher learning, offering baccalaureate or higher degrees.