Union Calendar No. 102

103D CONGRESS

1ST SESSION H. R. 1758

[Report No. 103–180]

A BILL

To revise, codify, and enact without substantive

ments in the Code.tation’’, and to make other technical improveV–X of title 49, United States Code, ‘‘Transporlated to transportation, as subtitles II, III, andchange certain general and permanent laws, reJULY 15, 1993

Reported with an amendment, committed to the Commitordered printed tee of the Whole House on the State of the Union, and
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IB

Union Calendar No. 102

103D CONGRESS

1ST SESSION H. R. 1758

[Report No. 103–180]

To revise, codify, and enact without substantive change certain general and

permanent laws, related to transportation, as subtitles II, III, and V–X

of title 49, United States Code, ‘‘Transportation’’, and to make other technical improvements in the Code.

IN THE HOUSE OF REPRESENTATIVES

APRIL 21, 1993

Mr. BROOKS introduced the following bill; which was referred to the

Committee on the Judiciary

JULY 15, 1993

Reported with an amendment, committed to the Committee of the Whole

House on the State of the Union, and ordered printed

[Strike out all after the enacting clause and insert the part printed in italic]

[For text of introduced bill, see copy of bill as introduced on April 21, 1993]

A BILL

To revise, codify, and enact without substantive change certain general and

permanent laws, related to transportation, as subtitles II, III, and V–

X of title 49, United States Code, ‘‘Transportation’’, and to make other

technical improvements in the Code.
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1 Be it enacted by the Senate and House of Representatives of the United

2 States of America in Congress assembled,

3 SUBTITLES II, III, AND V–X OF TITLE 49, UNITED STATES CODE

4 SECTION 1. (a) Certain general and permanent laws of the United States,

5 related to transportation, are revised, codified, and enacted by subsections

6 (c)–(e) of this section without substantive change as subtitles II, III, and V–

7 X of title 49, United States Code, ‘‘Transportation’’. Those laws may be cited

8 as ‘‘49 U.S.C. ––––––’’.

9 (b) Title 49, United States Code, is amended by striking the table of sub10 titles at the beginning of the title and substituting the following new table

11 of subtitles:

‘‘SUBTITLE Sec.

‘‘I. DEPARTMENT OF TRANSPORTATION ........................................................... 101

‘‘II. OTHER GOVERNMENT AGENCIES .................................................................. 1101

‘‘III. GENERAL AND INTERMODAL PROGRAMS .................................................. 5101

‘‘IV. INTERSTATE COMMERCE ................................................................................. 10101

‘‘V. RAIL PROGRAMS .................................................................................................. 20101

‘‘VI. MOTOR VEHICLE AND DRIVER PROGRAMS ............................................... 30101

‘‘VII. AVIATION PROGRAMS ........................................................................................ 40101

‘‘VIII. PIPELINES ............................................................................................................. 60101

‘‘IX. COMMERCIAL SPACE TRANSPORTATION .................................................... 70101

‘‘X. MISCELLANEOUS ................................................................................................. 80101’’.

12 (c) Title 49, United States Code, is amended by striking subtitle II, except

13 that chapter 31 (comprising sections 3101–3104) of subtitle II is redesignated

14 and restated as chapter 315 (comprising sections 31501–31504) of subtitle VI

15 of title 49, as enacted by subsection (e) of this section.

16 (d) Title 49, United States Code, is amended by adding the following im17 mediately after subtitle I:

18 SUBTITLE II—OTHER GOVERNMENT AGENCIES

CHAPTER Sec.

11. NATIONAL TRANSPORTATION SAFETY BOARD ......................................... 1101

19 CHAPTER 11—NATIONAL TRANSPORTATION SAFETY

20 BOARD

SUBCHAPTER I—GENERAL

Sec.

1101. Definitions.

SUBCHAPTER II—ORGANIZATION AND ADMINISTRATIVE

1111. General organization.

1112. Special boards of inquiry on air transportation safety.

1113. Administrative.

1114. Disclosure, availability, and use of information.

1115. Training.

1116. Reports and studies.

1117. Annual report.

1118. Authorization of appropriations.

SUBCHAPTER III—AUTHORITY

1131. General authority.

1132. Civil aircraft accident investigations.

1133. Review of other agency action.

1134. Inspections and autopsies.

1135. Secretary of Transportation’s responses to safety recommendations.
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SUBCHAPTER IV—ENFORCEMENT AND PENALTIES

1151. Aviation enforcement.

1152. Joinder and intervention in aviation proceedings.

1153. Judicial review.

1154. Discovery and use of cockpit voice and other material.

1155. Aviation penalties.

1 SUBCHAPTER I—GENERAL

2 § 1101. Definitions

3 Section 40102(a) of this title applies to this chapter.

4 SUBCHAPTER II—ORGANIZATION AND ADMINISTRATIVE

5 § 1111. General organization

6 (a) ORGANIZATION.—The National Transportation Safety Board is an

7 independent establishment of the United States Government.

8 (b) APPOINTMENT OF MEMBERS.—The Board is composed of 5 members

9 appointed by the President, by and with the advice and consent of the Senate.

10 Not more than 3 members may be appointed from the same political party.

11 At least 3 members shall be appointed on the basis of technical qualification,

12 professional standing, and demonstrated knowledge in accident reconstruction,

13 safety engineering, human factors, transportation safety, or transportation

14 regulation.

15 (c) TERMS OF OFFICE AND REMOVAL.—The term of office of each member

16 is 5 years. An individual appointed to fill a vacancy occurring before the ex17 piration of the term for which the predecessor of that individual was ap18 pointed, is appointed for the remainder of that term. When the term of office

19 of a member ends, the member may continue to serve until a successor is ap20 pointed and qualified. The President may remove a member for inefficiency,

21 neglect of duty, or malfeasance in office.

22 (d) CHAIRMAN AND VICE CHAIRMAN.—The President shall designate, by

23 and with the advice and consent of the Senate, a Chairman of the Board.

24 The President also shall designate a Vice Chairman of the Board. The terms

25 of office of both the Chairman and Vice Chairman are 2 years. When the

26 Chairman is absent or unable to serve or when the position of Chairman is

27 vacant, the Vice Chairman acts as Chairman.

28 (e) DUTIES AND POWERS OF CHAIRMAN.—The Chairman is the chief execu29 tive and administrative officer of the Board. Subject to the general policies

30 and decisions of the Board, the Chairman shall—

31 (1) appoint, supervise, and fix the pay of officers and employees nec32 essary to carry out this chapter;

33 (2) distribute business among the officers, employees, and administra34 tive units of the Board; and

35 (3) supervise the expenditures of the Board.
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1 (f) QUORUM.—Three members of the Board are a quorum in carrying out

2 duties and powers of the Board.

3 (g) OFFICES, BUREAUS, AND DIVISIONS.—The Board shall establish offices

4 necessary to carry out this chapter, including an office to investigate and re5 port on the safe transportation of hazardous material. The Board shall estab6 lish distinct and appropriately staffed bureaus, divisions, or offices to inves7 tigate and report on accidents involving each of the following modes of trans8 portation:

9 (1) aviation.

10 (2) highway and motor vehicle.

11 (3) rail and tracked vehicle.

12 (4) pipeline.

13 (h) SEAL.—The Board shall have a seal that shall be judicially recognized.

14 § 1112. Special boards of inquiry on air transportation safety

15 (a) ESTABLISHMENT.—If an accident involves a substantial question about

16 public safety in air transportation, the National Transportation Safety Board

17 may establish a special board of inquiry composed of—

18 (1) one member of the Board acting as chairman; and

19 (2) 2 members representing the public, appointed by the President on

20 notification of the establishment of the special board of inquiry.

21 (b) QUALIFICATIONS AND CONFLICTS OF INTEREST.—The public members

22 of a special board of inquiry must be qualified by training and experience

23 to participate in the inquiry and may not have a pecuniary interest in an

24 aviation enterprise involved in the accident to be investigated.

25 (c) AUTHORITY.—A special board of inquiry has the same authority that

26 the Board has under this chapter.

27 § 1113. Administrative

28 (a) GENERAL AUTHORITY.—(1) The National Transportation Safety

29 Board, and when authorized by it, a member of the Board, an administrative

30 law judge employed by or assigned to the Board, or an officer or employee

31 designated by the Chairman of the Board, may conduct hearings to carry out

32 this chapter, administer oaths, and require, by subpena or otherwise, nec33 essary witnesses and evidence.

34 (2) A witness or evidence in a hearing under paragraph (1) of this sub35 section may be summoned or required to be produced from any place in the

36 United States to the designated place of the hearing. A witness summoned

37 under this subsection is entitled to the same fee and mileage the witness would

38 have been paid in a court of the United States.

39 (3) A subpena shall be issued under the signature of the Chairman or the

40 Chairman’s delegate but may be served by any person designated by the

41 Chairman.
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1 (4) If a person disobeys a subpena, order, or inspection notice of the Board,

2 the Board may bring a civil action in a district court of the United States

3 to enforce the subpena, order, or notice. An action under this paragraph may

4 be brought in the judicial district in which the person against whom the ac5 tion is brought resides, is found, or does business. The court may punish a

6 failure to obey an order of the court to comply with the subpena, order, or

7 notice as a contempt of court.

8 (b) ADDITIONAL POWERS.—(1) The Board may—

9 (A) procure the temporary or intermittent services of experts or con10 sultants under section 3109 of title 5;

11 (B) make agreements and other transactions necessary to carry out

12 this chapter without regard to section 3709 of the Revised Statutes (41

13 U.S.C. 5);

14 (C) use, when appropriate, available services, equipment, personnel,

15 and facilities of a department, agency, or instrumentality of the United

16 States Government on a reimbursable or other basis;

17 (D) confer with employees and use services, records, and facilities of

18 State and local governmental authorities;

19 (E) appoint advisory committees composed of qualified private citizens

20 and officials of the Government and State and local governments as ap21 propriate;

22 (F) accept voluntary and uncompensated services notwithstanding an23 other law;

24 (G) accept gifts of money and other property;

25 (H) make contracts with nonprofit entities to carry out studies related

26 to duties and powers of the Board; and

27 (I) require that the departments, agencies, and instrumentalities of the

28 Government, State and local governments, and governments of foreign

29 countries provide appropriate consideration for the reasonable costs of

30 goods and services supplied by the Board.

31 (2) The Board shall deposit in the Treasury amounts received under para32 graph (1)(I) of this subsection to be credited to the appropriation of the

33 Board.

34 (c) SUBMISSION OF CERTAIN COPIES TO CONGRESS.—When the Board sub35 mits to the President or the Director of the Office of Management and Budget

36 a budget estimate, budget request, supplemental budget estimate, other budget

37 information, a legislative recommendation, prepared testimony for congres38 sional hearings, or comments on legislation, the Board must submit a copy

39 to Congress at the same time. An officer, department, agency, or instrumen40 tality of the Government may not require the Board to submit the estimate,

41 request, information, recommendation, testimony, or comments to another of-
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1 ficer, department, agency, or instrumentality of the Government for approval,

2 comment, or review before being submitted to Congress.

3 (d) LIAISON COMMITTEES.—The Chairman may determine the number of

4 committees that are appropriate to maintain effective liaison with other de5 partments, agencies, and instrumentalities of the Government, State and local

6 governmental authorities, and independent standard-setting authorities that

7 carry out programs and activities related to transportation safety. The Board

8 may designate representatives to serve on or assist those committees.

9 (e) INQUIRIES.—The Board, or an officer or employee of the Board des10 ignated by the Chairman, may conduct an inquiry to obtain information re11 lated to transportation safety after publishing notice of the inquiry in the

12 Federal Register. The Board or designated officer or employee may require

13 by order a department, agency, or instrumentality of the Government, a State

14 or local governmental authority, or a person transporting individuals or

15 property in commerce to submit to the Board a written report and answers

16 to requests and questions related to a duty or power of the Board. The Board

17 may prescribe the time within which the report and answers must be given

18 to the Board or to the designated officer or employee. Copies of the report and

19 answers shall be made available for public inspection.

20 (f) REGULATIONS.—The Board may prescribe regulations to carry out this

21 chapter.

22 § 1114. Disclosure, availability, and use of information

23 (a) GENERAL.—Except as provided in subsections (b) and (c) of this sec24 tion, a copy of a record, information, or investigation submitted or received

25 by the National Transportation Safety Board, or a member or employee of

26 the Board, shall be made available to the public on identifiable request and

27 at reasonable cost. This subsection does not require the release of information

28 described by section 552(b) of title 5 or protected from disclosure by another

29 law of the United States.

30 (b) TRADE SECRETS.—(1) The Board may disclose information related to

31 a trade secret referred to in section 1905 of title 18 only—

32 (A) to another department, agency, or instrumentality of the United

33 States Government when requested for official use;

34 (B) to a committee of Congress having jurisdiction over the subject

35 matter to which the information is related, when requested by that com36 mittee;

37 (C) in a judicial proceeding under a court order that preserves the

38 confidentiality of the information without impairing the proceeding; and

39 (D) to the public to protect health and safety after giving notice to

40 any interested person to whom the information is related and an oppor41 tunity for that person to comment in writing, or orally in closed session,
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1 on the proposed disclosure, if the delay resulting from notice and oppor2 tunity for comment would not be detrimental to health and safety.

3 (2) Information disclosed under paragraph (1) of this subsection may be

4 disclosed only in a way designed to preserve its confidentiality.

5 (c) COCKPIT VOICE RECORDINGS AND TRANSCRIPTS.—(1) The Board may

6 not disclose publicly any part of a cockpit voice recorder recording or tran7 script of oral communications by and between flight crew members and

8 ground stations related to an accident or incident investigated by the Board.

9 However, the Board shall make public any part of a transcript the Board

10 decides is relevant to the accident or incident—

11 (A) if the Board holds a public hearing on the accident or incident,

12 at the time of the hearing; or

13 (B) if the Board does not hold a public hearing, at the time a majority

14 of the other factual reports on the accident or incident are placed in the

15 public docket.

16 (2) This subsection does not prevent the Board from referring at any time

17 to cockpit voice recorder information in making safety recommendations.

18 (d) DRUG TESTS.—(1) Notwithstanding section 503(e) of the Supplemental

19 Appropriations Act, 1987 (Public Law 100–71, 101 Stat. 471), the Secretary

20 of Transportation shall provide the following information to the Board when

21 requested in writing by the Board:

22 (A) any report of a confirmed positive toxicological test, verified as

23 positive by a medical review officer, conducted on an officer or employee

24 of the Department of Transportation under post-accident, unsafe prac25 tice, or reasonable suspicion toxicological testing requirements of the De26 partment, when the officer or employee is reasonably associated with the

27 circumstances of an accident or incident under the investigative jurisdic28 tion of the Board.

29 (B) any laboratory record documenting that the test is confirmed posi30 tive.

31 (2) Except as provided by paragraph (3) of this subsection, the Board shall

32 maintain the confidentiality of, and exempt from disclosure under section

33 552(b)(3) of title 5—

34 (A) a laboratory record provided the Board under paragraph (1) of

35 this subsection that reveals medical use of a drug allowed under applica36 ble regulations; and

37 (B) medical information provided by the tested officer or employee re38 lated to the test or a review of the test.

39 (3) The Board may use a laboratory record made available under para40 graph (1) of this subsection to develop an evidentiary record in an investiga41 tion of an accident or incident if—
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1 (A) the fitness of the tested officer or employee is at issue in the inves2 tigation; and

3 (B) the use of that record is necessary to develop the evidentiary

4 record.

5 § 1115. Training

6 (a) DEFINITION.—In this section, ‘‘Institute’’ means the Transportation

7 Safety Institute of the Department of Transportation and any successor orga8 nization of the Institute.

9 (b) USE OF INSTITUTE SERVICES.—The National Transportation Safety

10 Board may use, on a reimbursable basis, the services of the Institute. The Sec11 retary of Transportation shall make the Institute available to—

12 (1) the Board for safety training of employees of the Board in carry13 ing out their duties and powers; and

14 (2) other safety personnel of the United States Government, State and

15 local governments, governments of foreign countries, interstate authori16 ties, and private organizations the Board designates in consultation with

17 the Secretary.

18 (c) FEES.—(1) Training at the Institute for safety personnel (except em19 ployees of the Government) shall be provided at a reasonable fee established

20 periodically by the Board in consultation with the Secretary. The fee shall

21 be paid directly to the Secretary, and the Secretary shall deposit the fee in

22 the Treasury. The amount of the fee—

23 (A) shall be credited to the appropriate appropriation (subject to the

24 requirements of any annual appropriation); and

25 (B) is an offset against any annual reimbursement agreement between

26 the Board and the Secretary to cover all reasonable costs of providing

27 training under this subsection that the Secretary incurs in operating the

28 Institute.

29 (2) The Board shall maintain an annual record of offsets under paragraph

30 (1)(B) of this subsection.

31 § 1116. Reports and studies

32 (a) PERIODIC REPORTS.—The National Transportation Safety Board shall

33 report periodically to Congress, departments, agencies, and instrumentalities

34 of the United States Government and State and local governmental authori35 ties concerned with transportation safety, and other interested persons. The

36 report shall—

37 (1) advocate meaningful responses to reduce the likelihood of transpor38 tation accidents similar to those investigated by the Board; and

39 (2) propose corrective action to make the transportation of individuals

40 as safe and free from risk of injury as possible, including action to mini41 mize personal injuries that occur in transportation accidents.
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1 (b) STUDIES, INVESTIGATIONS, AND OTHER REPORTS.—The Board also

2 shall—

3 (1) carry out special studies and investigations about transportation

4 safety, including avoiding personal injury;

5 (2) examine techniques and methods of accident investigation and pe6 riodically publish recommended procedures for accident investigations;

7 (3) prescribe requirements for persons reporting accidents and avia8 tion incidents that—

9 (A) may be investigated by the Board under this chapter; or

10 (B) involve public aircraft (except aircraft of the armed forces

11 and the intelligence agencies);

12 (4) evaluate, examine the effectiveness of, and publish the findings of

13 the Board about the transportation safety consciousness of other depart14 ments, agencies, and instrumentalities of the Government and their effec15 tiveness in preventing accidents; and

16 (5) evaluate the adequacy of safeguards and procedures for the trans17 portation of hazardous material and the performance of other depart18 ments, agencies, and instrumentalities of the Government responsible for

19 the safe transportation of that material.

20 § 1117. Annual report

21 The National Transportation Safety Board shall submit a report to Con22 gress on July 1 of each year. The report shall include—

23 (1) a statistical and analytical summary of the transportation acci24 dent investigations conducted and reviewed by the Board during the

25 prior calendar year;

26 (2) a survey and summary of the recommendations made by the Board

27 to reduce the likelihood of recurrence of those accidents together with the

28 observed response to each recommendation;

29 (3) a detailed appraisal of the accident investigation and accident pre30 vention activities of other departments, agencies, and instrumentalities

31 of the United States Government and State and local governmental au32 thorities having responsibility for those activities under a law of the

33 United States or a State; and

34 (4) an evaluation conducted every 2 years of transportation safety and

35 recommendations for legislative and administrative action and change.

36 § 1118. Authorization of appropriations

37 (a) GENERAL.—Not more than $38,800,000 may be appropriated to the

38 National Transportation Safety Board for the fiscal year ending September

39 30, 1993, to carry out this chapter.

40 (b) EMERGENCY FUND.—The Board has an emergency fund of $1,000,000

41 available for necessary expenses of the Board, not otherwise provided for, for
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1 accident investigations. The following amounts may be appropriated to the

2 fund:

3 (1) $1,000,000 to establish the fund.

4 (2) amounts equal to amounts expended annually out of the fund.

5 (c) AVAILABILITY OF AMOUNTS.—Amounts appropriated under this section

6 remain available until expended.

7 SUBCHAPTER III—AUTHORITY

8 § 1131. General authority

9 (a) GENERAL.—(1) The National Transportation Safety Board shall inves10 tigate or have investigated (in detail the Board prescribes) and establish the

11 facts, circumstances, and cause or probable cause of—

12 (A) an aircraft accident the Board has authority to investigate under

13 section 1132 of this title;

14 (B) a highway accident, including a railroad grade crossing accident,

15 the Board selects in cooperation with a State;

16 (C) a railroad accident in which there is a fatality or substantial

17 property damage, or that involves a passenger train;

18 (D) a pipeline accident in which there is a fatality, substantial prop19 erty damage, or significant injury to the environment;

20 (E) a major marine casualty (except a casualty involving only public

21 vessels) occurring on the navigable waters or territorial sea of the United

22 States, or involving a vessel of the United States, under regulations pre23 scribed jointly by the Board and the head of the department in which

24 the Coast Guard is operating; and

25 (F) any other accident related to the transportation of individuals or

26 property when the Board decides—

27 (i) the accident is catastrophic;

28 (ii) the accident involves problems of a recurring character; or

29 (iii) the investigation of the accident would carry out this chap30 ter.

31 (2) An investigation by the Board under paragraph (1)(A)–(D) or (F) of

32 this subsection has priority over any investigation by another department,

33 agency, or instrumentality of the United States Government. The Board shall

34 provide for appropriate participation by other departments, agencies, or in35 strumentalities in the investigation. However, those departments, agencies, or

36 instrumentalities may not participate in the decision of the Board about the

37 probable cause of the accident.

38 (3) This section and sections 1113, 1116(b), 1133, and 1134(a) and (c)–

39 (e) of this title do not affect the authority of another department, agency, or

40 instrumentality of the Government to investigate an accident under applica41 ble law or to obtain information directly from the parties involved in, and
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1 witnesses to, the accident. The Board and other departments, agencies, and

2 instrumentalities shall ensure that appropriate information developed about

3 the accident is exchanged in a timely manner.

4 (b) ACCIDENTS INVOLVING PUBLIC VESSELS.—(1) The Board or the head

5 of the department in which the Coast Guard is operating shall investigate and

6 establish the facts, circumstances, and cause or probable cause of a marine

7 accident involving a public vessel and any other vessel. The results of the in8 vestigation shall be made available to the public.

9 (2) Paragraph (1) of this subsection and subsection (a)(1)(E) of this section

10 do not affect the responsibility, under another law of the United States, of

11 the head of the department in which the Coast Guard is operating.

12 (c) ACCIDENTS NOT INVOLVING GOVERNMENT MISFEASANCE OR NONFEA13 SANCE.—(1) When asked by the Board, the Secretary of Transportation

14 may—

15 (A) investigate an accident described under subsection (a) or (b) of

16 this section in which misfeasance or nonfeasance by the Government has

17 not been alleged; and

18 (B) report the facts and circumstances of the accident to the Board.

19 (2) The Board shall use the report in establishing cause or probable cause

20 of an accident described under subsection (a) or (b) of this section.

21 (d) ACCIDENT REPORTS.—The Board shall report on the facts and cir22 cumstances of each accident investigated by it under subsection (a) or (b) of

23 this section. The Board shall make each report available to the public at rea24 sonable cost.

25 § 1132. Civil aircraft accident investigations

26 (a) GENERAL AUTHORITY.—(1) The National Transportation Safety Board

27 shall investigate—

28 (A) each accident involving civil aircraft; and

29 (B) with the participation of appropriate military authorities, each

30 accident involving both military and civil aircraft.

31 (2) A person employed under section 1113(b)(1) of this title that is conduct32 ing an investigation or hearing about an aircraft accident has the same au33 thority to conduct the investigation or hearing as the Board.

34 (b) NOTIFICATION AND REPORTING.—The Board shall prescribe regulations

35 governing the notification and reporting of accidents involving civil aircraft.

36 (c) PARTICIPATION OF SECRETARY.—The Board shall provide for the par37 ticipation of the Secretary of Transportation in the investigation of an air38 craft accident under this chapter when participation is necessary to carry out

39 the duties and powers of the Secretary. However, the Secretary may not par40 ticipate in establishing probable cause.
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1 (d) ACCIDENTS INVOLVING ONLY MILITARY AIRCRAFT.—If an accident in2 volves only military aircraft and a duty of the Secretary is or may be in3 volved, the military authorities shall provide for the participation of the Sec4 retary. In any other accident involving only military aircraft, the military

5 authorities shall give the Board or Secretary information the military au6 thorities decide would contribute to the promotion of air safety.

7 § 1133. Review of other agency action

8 The National Transportation Safety Board shall review on appeal—

9 (1) the denial, amendment, modification, suspension, or revocation of

10 a certificate issued by the Secretary of Transportation under section

11 44703, 44709, or 44710 of this title;

12 (2) the revocation of a certificate of registration under section 44106

13 of this title;

14 (3) a decision of the head of the department in which the Coast Guard

15 is operating on an appeal from the decision of an administrative law

16 judge denying, revoking, or suspending a license, certificate, document,

17 or register in a proceeding under section 6101, 6301, or 7503, chapter

18 77, or section 9303 of title 46; and

19 (4) under section 46301(d)(5) of this title, an order imposing a pen20 alty under section 46301.

21 § 1134. Inspections and autopsies

22 (a) ENTRY AND INSPECTION.—An officer or employee of the National

23 Transportation Safety Board—

24 (1) on display of appropriate credentials and written notice of inspec25 tion authority, may enter property where a transportation accident has

26 occurred or wreckage from the accident is located and do anything nec27 essary to conduct an investigation; and

28 (2) during reasonable hours, may inspect any record, process, control,

29 or facility related to an accident investigation under this chapter.

30 (b) INSPECTION, TESTING, PRESERVATION, AND MOVING OF AIRCRAFT AND

31 PARTS.—(1) In investigating an aircraft accident under this chapter, the

32 Board may inspect and test, to the extent necessary, any civil aircraft, air33 craft engine, propeller, appliance, or property on an aircraft involved in an

34 accident in air commerce.

35 (2) Any civil aircraft, aircraft engine, propeller, appliance, or property on

36 an aircraft involved in an accident in air commerce shall be preserved, and

37 may be moved, only as provided by regulations of the Board.

38 (c) AVOIDING UNNECESSARY INTERFERENCE AND PRESERVING EVI39 DENCE.—In carrying out subsection (a)(1) of this section, an officer or em40 ployee may examine or test any vehicle, vessel, rolling stock, track, or pipeline

41 component. The examination or test shall be conducted in a way that—
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1 (1) does not interfere unnecessarily with transportation services pro2 vided by the owner or operator of the vehicle, vessel, rolling stock, track,

3 or pipeline component; and

4 (2) to the maximum extent feasible, preserves evidence related to the

5 accident, consistent with the needs of the investigation and with the co6 operation of that owner or operator.

7 (d) EXCLUSIVE AUTHORITY OF BOARD.—Only the Board has the authority

8 to decide on the way in which testing under this section will be conducted,

9 including decisions on the person that will conduct the test, the type of test

10 that will be conducted, and any individual who will witness the test. Those

11 decisions are committed to the discretion of the Board. The Board shall make

12 any of those decisions based on the needs of the investigation being conducted

13 and, when applicable, subsections (a), (c), and (e) of this section.

14 (e) PROMPTNESS OF TESTS AND AVAILABILITY OF RESULTS.—An inspec15 tion, examination, or test under subsection (a) or (c) of this section shall be

16 started and completed promptly, and the results shall be made available.

17 (f) AUTOPSIES.—(1) The Board may order an autopsy to be performed and

18 have other tests made when necessary to investigate an accident under this

19 chapter. However, local law protecting religious beliefs related to autopsies

20 shall be observed to the extent consistent with the needs of the accident inves21 tigation.

22 (2) With or without reimbursement, the Board may obtain a copy of an

23 autopsy report performed by a State or local official on an individual who

24 died because of a transportation accident investigated by the Board under this

25 chapter.

26 § 1135. Secretary of Transportation’s responses to safety rec27 ommendations

28 (a) GENERAL.—When the National Transportation Safety Board submits

29 a recommendation about transportation safety to the Secretary of Transpor30 tation, the Secretary shall give a formal written response to each rec31 ommendation not later than 90 days after receiving the recommendation. The

32 response shall indicate whether the Secretary intends—

33 (1) to carry out procedures to adopt the complete recommendation;

34 (2) to carry out procedures to adopt a part of the recommendation;

35 or

36 (3) to refuse to carry out procedures to adopt the recommendation.

37 (b) TIMETABLE FOR COMPLETING PROCEDURES AND REASONS FOR REFUS38 ALS.—A response under subsection (a)(1) or (2) of this section shall include

39 a copy of a proposed timetable for completing the procedures. A response

40 under subsection (a)(2) of this section shall detail the reasons for the refusal

41 to carry out procedures on the remainder of the recommendation. A response
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1 under subsection (a)(3) of this section shall detail the reasons for the refusal

2 to carry out procedures.

3 (c) PUBLIC AVAILABILITY.—The Board shall make a copy of each rec4 ommendation and response available to the public at reasonable cost.

5 (d) REPORTS TO CONGRESS.—The Secretary shall submit to Congress on

6 January 1 of each year a report containing each recommendation on trans7 portation safety made by the Board to the Secretary during the prior year

8 and a copy of the Secretary’s response to each recommendation.

9 SUBCHAPTER IV—ENFORCEMENT AND PENALTIES

10 § 1151. Aviation enforcement

11 (a) CIVIL ACTIONS BY BOARD.—The National Transportation Safety Board

12 may bring a civil action in a district court of the United States against a

13 person to enforce section 1132, 1134(b) or (f)(1)(related to an aircraft acci14 dent), or 1155(a) of this title or a regulation prescribed or order issued under

15 any of those sections. An action under this subsection may be brought in the

16 judicial district in which the person does business or the violation occurred.

17 (b) CIVIL ACTIONS BY ATTORNEY GENERAL.—On request of the Board, the

18 Attorney General may bring a civil action in an appropriate court—

19 (1) to enforce section 1132, 1134(b) or (f)(1)(related to an aircraft ac20 cident), or 1155(a) of this title or a regulation prescribed or order issued

21 under any of those sections; and

22 (2) to prosecute a person violating those sections or a regulation pre23 scribed or order issued under any of those sections.

24 (c) PARTICIPATION OF BOARD.—On request of the Attorney General, the

25 Board may participate in a civil action to enforce section 1132, 1134(b) or

26 (f)(1)(related to an aircraft accident), or 1155(a) of this title.

27 § 1152. Joinder and intervention in aviation proceedings

28 A person interested in or affected by a matter under consideration in a

29 proceeding or a civil action to enforce section 1132, 1134(b) or (f)(1)(related

30 to an aircraft accident), or 1155(a) of this title, or a regulation prescribed

31 or order issued under any of those sections, may be joined as a party or per32 mitted to intervene in the proceeding or civil action.

33 § 1153. Judicial review

34 (a) GENERAL.—The appropriate court of appeals of the United States or

35 the United States Court of Appeals for the District of Columbia Circuit may

36 review a final order of the National Transportation Safety Board under this

37 chapter. A person disclosing a substantial interest in the order may apply

38 for review by filing a petition not later than 60 days after the order of the

39 Board is issued.

40 (b) PERSONS SEEKING JUDICIAL REVIEW OF AVIATION MATTERS.—(1) A

41 person disclosing a substantial interest in an order related to an aviation
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1 matter issued by the Board under this chapter may apply for review of the

2 order by filing a petition for review in the United States Court of Appeals

3 for the District of Columbia Circuit or in the court of appeals of the United

4 States for the circuit in which the person resides or has its principal place

5 of business. The petition must be filed not later than 60 days after the order

6 is issued. The court may allow the petition to be filed after the 60 days only

7 if there was a reasonable ground for not filing within that 60-day period.

8 (2) When a petition is filed under paragraph (1) of this subsection, the

9 clerk of the court immediately shall send a copy of the petition to the Board.

10 The Board shall file with the court a record of the proceeding in which the

11 order was issued.

12 (3) When the petition is sent to the Board, the court has exclusive jurisdic13 tion to affirm, amend, modify, or set aside any part of the order and may

14 order the Board to conduct further proceedings. After reasonable notice to the

15 Board, the court may grant interim relief by staying the order or taking other

16 appropriate action when cause for its action exists. Findings of fact by the

17 Board, if supported by substantial evidence, are conclusive.

18 (4) In reviewing an order under this subsection, the court may consider

19 an objection to an order of the Board only if the objection was made in the

20 proceeding conducted by the Board or if there was a reasonable ground for

21 not making the objection in the proceeding.

22 (5) A decision by a court under this subsection may be reviewed only by

23 the Supreme Court under section 1254 of title 28.

24 (c) ADMINISTRATOR SEEKING JUDICIAL REVIEW OF AVIATION MATTERS.—

25 When the Administrator of the Federal Aviation Administration decides that

26 an order of the Board under section 44709 or 46301(d)(5) of this title will

27 have a significant adverse impact on carrying out this chapter related to an

28 aviation matter, the Administrator may obtain judicial review of the order

29 under section 46110 of this title. The Administrator shall be made a party

30 to the judicial review proceedings. Findings of fact of the Board are conclusive

31 if supported by substantial evidence.

32 § 1154. Discovery and use of cockpit voice and other material

33 (a) TRANSCRIPTS AND RECORDINGS.—(1) Except as provided by this sub34 section, a party in a judicial proceeding may not use discovery to obtain—

35 (A) any part of a cockpit voice recorder transcript that the National

36 Transportation Safety Board has not made available to the public under

37 section 1114(c) of this title; and

38 (B) a cockpit voice recorder recording.

39 (2)(A) Except as provided in paragraph (4)(A) of this subsection, a court

40 may allow discovery by a party of a cockpit voice recorder transcript if, after

41 an in camera review of the transcript, the court decides that—
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1 (i) the part of the transcript made available to the public under sec2 tion 1114(c) of this title does not provide the party with sufficient infor3 mation for the party to receive a fair trial; and

4 (ii) discovery of additional parts of the transcript is necessary to pro5 vide the party with sufficient information for the party to receive a fair

6 trial.

7 (B) A court may allow discovery, or require production for an in camera

8 review, of a cockpit voice recorder transcript that the Board has not made

9 available under section 1114(c) of this title only if the cockpit voice recorder

10 recording is not available.

11 (3) Except as provided in paragraph (4)(A) of this subsection, a court may

12 allow discovery by a party of a cockpit voice recorder recording if, after an

13 in camera review of the recording, the court decides that—

14 (A) the parts of the transcript made available to the public under sec15 tion 1114(c) of this title and to the party through discovery under para16 graph (2) of this subsection do not provide the party with sufficient in17 formation for the party to receive a fair trial; and

18 (B) discovery of the cockpit voice recorder recording is necessary to

19 provide the party with sufficient information for the party to receive a

20 fair trial.

21 (4)(A) When a court allows discovery in a judicial proceeding of a part

22 of a cockpit voice recorder transcript not made available to the public under

23 section 1114(c) of this title or a cockpit voice recorder recording, the court

24 shall issue a protective order—

25 (i) to limit the use of the part of the transcript or the recording to

26 the judicial proceeding; and

27 (ii) to prohibit dissemination of the part of the transcript or the re28 cording to any person that does not need access to the part of the tran29 script or the recording for the proceeding.

30 (B) A court may allow a part of a cockpit voice recorder transcript not

31 made available to the public under section 1114(c) of this title or a cockpit

32 voice recorder recording to be admitted into evidence in a judicial proceeding,

33 only if the court places the part of the transcript or the recording under seal

34 to prevent the use of the part of the transcript or the recording for purposes

35 other than for the proceeding.

36 (5) This subsection does not prevent the Board from referring at any time

37 to cockpit voice recorder information in making safety recommendations.

38 (b) REPORTS.—No part of a report of the Board, related to an accident

39 or an investigation of an accident, may be admitted into evidence or used

40 in a civil action for damages resulting from a matter mentioned in the report.
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1 § 1155. Aviation penalties

2 (a) CIVIL PENALTY.—(1) A person violating section 1132 or 1134(b) or

3 (f)(1)(related to an aircraft accident) of this title or a regulation prescribed

4 or order issued under either of those sections is liable to the United States

5 Government for a civil penalty of not more than $1,000. A separate violation

6 occurs for each day a violation continues.

7 (2) This subsection does not apply to a member of the armed forces of the

8 United States or an employee of the Department of Defense subject to the Uni9 form Code of Military Justice when the member or employee is performing

10 official duties. The appropriate military authorities are responsible for taking

11 necessary disciplinary action and submitting to the National Transportation

12 Safety Board a timely report on action taken.

13 (3) The Board may compromise the amount of a civil penalty imposed

14 under this subsection.

15 (4) The Government may deduct the amount of a civil penalty imposed or

16 compromised under this subsection from amounts it owes the person liable for

17 the penalty.

18 (5) A civil penalty under this subsection may be collected by bringing a

19 civil action against the person liable for the penalty. The action shall conform

20 as nearly as practicable to a civil action in admiralty.

21 (b) CRIMINAL PENALTY.—A person that knowingly and without authority

22 removes, conceals, or withholds a part of a civil aircraft involved in an acci23 dent, or property on the aircraft at the time of the accident, shall be fined

24 under title 18, imprisoned for not more than 10 years, or both.

25 SUBTITLE III—GENERAL AND INTERMODAL

26 PROGRAMS

CHAPTER Sec.

51. TRANSPORTATION OF HAZARDOUS MATERIAL ....................................... 5101

53. MASS TRANSPORTATION .................................................................................. 5301

55. INTERMODAL TRANSPORTATION .................................................................. 5501

57. SANITARY FOOD TRANSPORTATION ............................................................. 5701

59. INTERMODAL SAFE CONTAINER TRANSPORTATION .............................. 5901

27 CHAPTER 51—TRANSPORTATION OF HAZARDOUS

28 MATERIAL

Sec.

5101. Purpose.

5102. Definitions.

5103. General regulatory authority.

5104. Representation and tampering.

5105. Transporting certain highly radioactive material.

5106. Handling criteria.

5107. Hazmat employee training requirements and grants.

5108. Registration.

5109. Motor carrier safety permits.

5110. Shipping papers and disclosure.

5111. Rail tank cars.

5112. Highway routing of hazardous material.
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5113. Unsatisfactory safety rating.

5114. Air transportation of ionizing radiation material.

5115. Training curriculum for the public sector.

5116. Planning and training grants, monitoring, and review.

5117. Exemptions and exclusions.

5118. Inspectors.

5119. Uniform forms and procedures.

5120. International uniformity of standards and requirements.

5121. Administrative.

5122. Enforcement.

5123. Civil penalty.

5124. Criminal penalty.

5125. Preemption.

5126. Relationship to other laws.

5127. Authorization of appropriations.

1 § 5101. Purpose

2 The purpose of this chapter is to provide adequate protection against the

3 risks to life and property inherent in the transportation of hazardous mate4 rial in commerce by improving the regulatory and enforcement authority of

5 the Secretary of Transportation.

6 § 5102. Definitions

7 In this chapter—

8 (1) ‘‘commerce’’ means trade or transportation in the jurisdiction of

9 the United States—

10 (A) between a place in a State and a place outside of the State;

11 or

12 (B) that affects trade or transportation between a place in a

13 State and a place outside of the State.

14 (2) ‘‘hazardous material’’ means a substance or material the Secretary

15 of Transportation designates under section 5103(a) of this title.

16 (3) ‘‘hazmat employee’’—

17 (A) means an individual—

18 (i) employed by a hazmat employer; and

19 (ii) who during the course of employment directly affects

20 hazardous material transportation safety as the Secretary de21 cides by regulation;

22 (B) includes an owner-operator of a motor vehicle transporting

23 hazardous material in commerce; and

24 (C) includes an individual, employed by a hazmat employer, who

25 during the course of employment—

26 (i) loads, unloads, or handles hazardous material;

27 (ii) manufactures, reconditions, or tests containers, drums,

28 and packages represented as qualified for use in transporting

29 hazardous material;

30 (iii) prepares hazardous material for transportation;
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1 (iv) is responsible for the safety of transporting hazardous

2 material; or

3 (v) operates a vehicle used to transport hazardous material.

4 (4) ‘‘hazmat employer’’—

5 (A) means a person using at least one employee of that person

6 in connection with—

7 (i) transporting hazardous material in commerce;

8 (ii) causing hazardous material to be transported in com9 merce; or

10 (iii) manufacturing, reconditioning, or testing containers,

11 drums, and packages represented as qualified for use in trans12 porting hazardous material;

13 (B) includes an owner-operator of a motor vehicle transporting

14 hazardous material in commerce; and

15 (C) includes a department, agency, or instrumentality of the

16 United States Government, or an authority of a State, political sub17 division of a State, or Indian tribe, carrying out an activity de18 scribed in subclause (A)(i), (ii), or (iii) of this clause (4).

19 (5) ‘‘imminent hazard’’ means the existence of a condition that pre20 sents a substantial likelihood that death, serious illness, severe personal

21 injury, or a substantial endangerment to health, property, or the envi22 ronment may occur before the reasonably foreseeable completion date of

23 a formal proceeding begun to lessen the risk of that death, illness, injury,

24 or endangerment.

25 (6) ‘‘Indian tribe’’ has the same meaning given that term in section

26 4 of the Indian Self-Determination and Education Assistance Act (25

27 U.S.C. 450b).

28 (7) ‘‘motor carrier’’ means a motor common carrier, motor contract

29 carrier, motor private carrier, and freight forwarder as those terms are

30 defined in section 10102 of this title.

31 (8) ‘‘national response team’’ means the national response team estab32 lished under the national contingency plan established under section 105

33 of the Comprehensive Environmental Response, Compensation, and Li34 ability Act of 1980 (42 U.S.C. 9605).

35 (9) ‘‘person’’, in addition to its meaning under section 1 of title 1—

36 (A) includes a government, Indian tribe, or authority of a gov37 ernment or tribe offering hazardous material for transportation in

38 commerce or transporting hazardous material to further a commer39 cial enterprise; but

40 (B) does not include—

41 (i) the United States Postal Service; and
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1 (ii) in sections 5123 and 5124 of this title, a department,

2 agency, or instrumentality of the Government.

3 (10) ‘‘public sector employee’’—

4 (A) means an individual employed by a State, political subdivi5 sion of a State, or Indian tribe and who during the course of em6 ployment has responsibilities related to responding to an accident

7 or incident involving the transportation of hazardous material;

8 (B) includes an individual employed by a State, political sub9 division of a State, or Indian tribe as a firefighter or law enforce10 ment officer; and

11 (C) includes an individual who volunteers to serve as a firefighter

12 for a State, political subdivision of a State, or Indian tribe.

13 (11) ‘‘State’’ means—

14 (A) except in section 5119 of this title, a State of the United

15 States, the District of Columbia, Puerto Rico, the Northern Mariana

16 Islands, the Virgin Islands, American Samoa, Guam, and any other

17 territory or possession of the United States designated by the Sec18 retary; and

19 (B) in section 5119 of this title, a State of the United States and

20 the District of Columbia.

21 (12) ‘‘transports’’ or ‘‘transportation’’ means the movement of prop22 erty and loading, unloading, or storage incidental to the movement.

23 (13) ‘‘United States’’ means all of the States.

24 § 5103. General regulatory authority

25 (a) DESIGNATING MATERIAL AS HAZARDOUS.—The Secretary of Transpor26 tation shall designate material (including an explosive, radioactive material,

27 etiologic agent, flammable or combustible liquid or solid, poison, oxidizing or

28 corrosive material, and compressed gas) or a group or class of material as

29 hazardous when the Secretary decides that transporting the material in com30 merce in a particular amount and form may pose an unreasonable risk to

31 health and safety or property.

32 (b) REGULATIONS FOR SAFE TRANSPORTATION.—(1) The Secretary shall

33 prescribe regulations for the safe transportation of hazardous material in

34 intrastate, interstate, and foreign commerce. The regulations—

35 (A) apply to a person—

36 (i) transporting hazardous material in commerce;

37 (ii) causing hazardous material to be transported in commerce;

38 or

39 (iii) manufacturing, fabricating, marking, maintaining, recondi40 tioning, repairing, or testing a package or container that is rep-
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1 resented, marked, certified, or sold by that person as qualified for

2 use in transporting hazardous material in commerce; and

3 (B) shall govern safety aspects of the transportation of hazardous ma4 terial the Secretary considers appropriate.

5 (2) A proceeding to prescribe the regulations must include an opportunity

6 for informal oral presentations.

7 § 5104. Representation and tampering

8 (a) REPRESENTATION.—A person may represent, by marking or otherwise,

9 that—

10 (1) a container or package for transporting hazardous material is safe,

11 certified, or complies with this chapter only if the container or package

12 meets the requirements of each regulation prescribed under this chapter;

13 or

14 (2) hazardous material is present in a package, container, motor vehi15 cle, rail freight car, aircraft, or vessel only if the material is present.

16 (b) TAMPERING.—A person may not alter, remove, destroy, or otherwise

17 tamper unlawfully with—

18 (1) a marking, label, placard, or description on a document required

19 under this chapter or a regulation prescribed under this chapter; or

20 (2) a package, container, motor vehicle, rail freight car, aircraft, or

21 vessel used to transport hazardous material.

22 § 5105. Transporting certain highly radioactive material

23 (a) DEFINITIONS.—In this section, ‘‘high-level radioactive waste’’ and

24 ‘‘spent nuclear fuel’’ have the same meanings given those terms in section 2

25 of the Nuclear Waste Policy Act of 1982 (42 U.S.C. 10101).

26 (b) TRANSPORTATION SAFETY STUDY.—In consultation with the Secretary

27 of Energy, the Nuclear Regulatory Commission, potentially affected States

28 and Indian tribes, representatives of the rail transportation industry, and

29 shippers of high-level radioactive waste and spent nuclear fuel, the Secretary

30 of Transportation shall conduct a study comparing the safety of using trains

31 operated only to transport high-level radioactive waste and spent nuclear fuel

32 with the safety of using other methods of rail transportation for transporting

33 that waste and fuel. The Secretary of Transportation shall submit to Congress

34 not later than November 16, 1991, a report on the results of the study.

35 (c) SAFE RAIL TRANSPORTATION REGULATIONS.—Not later than November

36 16, 1992, after considering the results of the study conducted under subsection

37 (b) of this section, the Secretary of Transportation shall prescribe amend38 ments to existing regulations that the Secretary considers appropriate to pro39 vide for the safe rail transportation of high-level radioactive waste and spent

40 nuclear fuel, including trains operated only for transporting high-level radio41 active waste and spent nuclear fuel.
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1 (d) ROUTES AND MODES STUDY.—Not later than November 16, 1991, the

2 Secretary of Transportation shall conduct a study to decide which factors, if

3 any, shippers and carriers should consider when selecting routes and modes

4 that would enhance overall public safety related to the transportation of high5 level radioactive waste and spent nuclear fuel. The study shall include—

6 (1) notice and opportunity for public comment; and

7 (2) an assessment of the degree to which at least the following affect

8 the overall public safety of the transportation:

9 (A) population densities.

10 (B) types and conditions of modal infrastructures (including

11 highways, railbeds, and waterways).

12 (C) quantities of high-level radioactive waste and spent nuclear

13 fuel.

14 (D) emergency response capabilities.

15 (E) exposure and other risk factors.

16 (F) terrain considerations.

17 (G) continuity of routes.

18 (H) available alternative routes.

19 (I) environmental impact factors.

20 (e) INSPECTIONS OF MOTOR VEHICLES TRANSPORTING CERTAIN MATE21 RIAL.—(1) Not later than November 16, 1991, the Secretary of Transportation

22 shall require by regulation that before each use of a motor vehicle to transport

23 a highway-route-controlled quantity of radioactive material in commerce, the

24 vehicle shall be inspected and certified as complying with this chapter and

25 applicable United States motor carrier safety laws and regulations. The Sec26 retary may require that the inspection be carried out by an authorized United

27 States Government inspector or according to appropriate State procedures.

28 (2) The Secretary of Transportation may allow a person, transporting or

29 causing to be transported a highway-route-controlled quantity of radioactive

30 material, to inspect the motor vehicle used to transport the material and to

31 certify that the vehicle complies with this chapter. The inspector qualification

32 requirements the Secretary prescribes for an individual inspecting a motor ve33 hicle apply to an individual conducting an inspection under this paragraph.

34 § 5106. Handling criteria

35 The Secretary of Transportation may prescribe criteria for handling haz36 ardous material, including—

37 (1) a minimum number of personnel;

38 (2) minimum levels of training and qualifications for personnel;

39 (3) the kind and frequency of inspections;

40 (4) equipment for detecting, warning of, and controlling risks posed

41 by the hazardous material;
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1 (5) specifications for the use of equipment and facilities used in han2 dling and transporting the hazardous material; and

3 (6) a system of monitoring safety procedures for transporting the haz4 ardous material.

5 § 5107. Hazmat employee training requirements and grants

6 (a) TRAINING REQUIREMENTS.—The Secretary of Transportation shall pre7 scribe by regulation requirements for training that a hazmat employer must

8 give hazmat employees of the employer on the safe loading, unloading, han9 dling, storing, and transporting of hazardous material and emergency pre10 paredness for responding to an accident or incident involving the transpor11 tation of hazardous material. The regulations—

12 (1) shall establish the date, as provided by subsection (b) of this sec13 tion, by which the training shall be completed; and

14 (2) may provide for different training for different classes or categories

15 of hazardous material and hazmat employees.

16 (b) BEGINNING AND COMPLETING TRAINING.—A hazmat employer shall

17 begin the training of hazmat employees of the employer not later than 6

18 months after the Secretary of Transportation prescribes the regulations under

19 subsection (a) of this section. The training shall be completed within a reason20 able period of time after—

21 (1) 6 months after the regulations are prescribed; or

22 (2) the date on which an individual is to begin carrying out a duty

23 or power of a hazmat employee if the individual is employed as a

24 hazmat employee after the 6-month period.

25 (c) CERTIFICATION OF TRAINING.—After completing the training, each

26 hazmat employer shall certify, with documentation the Secretary of Transpor27 tation may require by regulation, that the hazmat employees of the employer

28 have received training and have been tested on appropriate transportation

29 areas of responsibility, including at least one of the following:

30 (1) recognizing and understanding the Department of Transportation

31 hazardous material classification system.

32 (2) the use and limitations of the Department hazardous material

33 placarding, labeling, and marking systems.

34 (3) general handling procedures, loading and unloading techniques,

35 and strategies to reduce the probability of release or damage during or

36 incidental to transporting hazardous material.

37 (4) health, safety, and risk factors associated with hazardous material

38 and the transportation of hazardous material.

39 (5) appropriate emergency response and communication procedures for

40 dealing with an accident or incident involving hazardous material trans41 portation.
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1 (6) the use of the Department Emergency Response Guidebook and rec2 ognition of its limitations or the use of equivalent documents and rec3 ognition of the limitations of those documents.

4 (7) applicable hazardous material transportation regulations.

5 (8) personal protection techniques.

6 (9) preparing a shipping document for transporting hazardous mate7 rial.

8 (d) COORDINATION OF TRAINING REQUIREMENTS.—In consultation with

9 the Administrator of the Environmental Protection Agency and the Secretary

10 of Labor, the Secretary of Transportation shall ensure that the training re11 quirements prescribed under this section do not conflict with—

12 (1) the requirements of regulations the Secretary of Labor prescribes

13 related to hazardous waste operations and emergency response that are

14 contained in part 1910 of title 29, Code of Federal Regulations; and

15 (2) the regulations the Agency prescribes related to worker protection

16 standards for hazardous waste operations that are contained in part 311

17 of title 40, Code of Federal Regulations.

18 (e) TRAINING GRANTS.—In consultation with the Secretaries of Transpor19 tation and Labor and the Administrator, the Director of the National Insti20 tute of Environmental Health Sciences may make grants to train hazmat em21 ployees under this section. A grant under this subsection shall be made to a

22 nonprofit organization that demonstrates—

23 (1) expertise in conducting a training program for hazmat employees;

24 and

25 (2) the ability to reach and involve in a training program a target

26 population of hazmat employees.

27 (f) RELATIONSHIP TO OTHER LAWS.—(1) Chapter 35 of title 44 does not

28 apply to an activity of the Secretary of Transportation under subsections (a)–

29 (d) of this section.

30 (2) An action of the Secretary of Transportation under subsections (a)–(d)

31 of this section and sections 5106, 5108(a)–(g)(1) and (h), and 5109 of this

32 title is not an exercise, under section 4(b)(1) of the Occupational Safety and

33 Health Act of 1970 (29 U.S.C. 653(b)(1)), of statutory authority to prescribe

34 or enforce standards or regulations affecting occupational safety or health.

35 § 5108. Registration

36 (a) PERSONS REQUIRED TO FILE.—(1) A person shall file a registration

37 statement with the Secretary of Transportation under this subsection if the

38 person is transporting or causing to be transported in commerce any of the

39 following:

40 (A) a highway-route-controlled quantity of radioactive material.
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1 (B) more than 25 kilograms of a class A or B explosive in a motor

2 vehicle, rail car, or transport container.

3 (C) more than one liter in each package of a hazardous material the

4 Secretary designates as extremely toxic by inhalation.

5 (D) hazardous material in a bulk package, container, or tank, as de6 fined by the Secretary, if the package, container, or tank has a capacity

7 of at least 3,500 gallons or more than 468 cubic feet.

8 (E) a shipment of at least 5,000 pounds (except in a bulk packaging)

9 of a class of hazardous material for which placarding of a vehicle, rail

10 car, or freight container is required under regulations prescribed under

11 this chapter.

12 (2) The Secretary of Transportation may require any of the following per13 sons to file a registration statement with the Secretary under this subsection:

14 (A) a person transporting or causing to be transported hazardous ma15 terial in commerce and not required to file a registration statement

16 under paragraph (1) of this subsection.

17 (B) a person manufacturing, fabricating, marking, maintaining, re18 conditioning, repairing, or testing a package or container the person rep19 resents, marks, certifies, or sells for use in transporting in commerce haz20 ardous material the Secretary designates.

21 (3) A person required to file a registration statement under this subsection

22 may transport or cause to be transported, or manufacture, fabricate, mark,

23 maintain, recondition, repair, or test a package or container for use in trans24 porting, hazardous material, only if the person has a statement on file as re25 quired by this subsection.

26 (b) FORM, CONTENTS, AND LIMITATION ON FILINGS.—(1) A registration

27 statement under subsection (a) of this section shall be in the form and contain

28 information the Secretary of Transportation requires by regulation. The Sec29 retary may use existing forms of the Department of Transportation and the

30 Environmental Protection Agency to carry out this subsection. The statement

31 shall include—

32 (A) the name and principal place of business of the registrant;

33 (B) a description of each activity the registrant carries out for which

34 filing a statement under subsection (a) of this section is required; and

35 (C) each State in which the person carries out the activity.

36 (2) A person carrying out more than one activity, or an activity at more

37 than one location, for which filing is required only has to file one registration

38 statement to comply with subsection (a) of this section.

39 (c) FILING DEADLINES AND AMENDMENTS.—(1) Each person required to

40 file a registration statement under subsection (a) of this section must file the

41 first statement not later than March 31, 1992. The Secretary of Transpor-
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1 tation may extend that date to September 30, 1992, for activities referred to

2 in subsection (a)(1) of this section. A person shall renew the statement peri3 odically consistent with regulations the Secretary prescribes, but not more

4 than once each year and not less than once every 5 years.

5 (2) The Secretary of Transportation shall decide by regulation when and

6 under what circumstances a registration statement must be amended and the

7 procedures to follow in amending the statement.

8 (d) SIMPLIFYING THE REGISTRATION PROCESS.—The Secretary of Trans9 portation may take necessary action to simplify the registration process under

10 subsections (a)–(c) of this section and to minimize the number of applica11 tions, documents, and other information a person is required to file under this

12 chapter and other laws of the United States.

13 (e) COOPERATION WITH ADMINISTRATOR.—The Administrator of the Envi14 ronmental Protection Agency shall assist the Secretary of Transportation in

15 carrying out subsections (a)–(g)(1) and (h) of this section by providing the

16 Secretary with information the Secretary requests to carry out the objectives

17 of subsections (a)–(g)(1) and (h).

18 (f) AVAILABILITY OF STATEMENTS.—The Secretary of Transportation shall

19 make a registration statement filed under subsection (a) of this section avail20 able for inspection by any person for a fee the Secretary establishes. However,

21 this subsection does not require the release of information described in section

22 552(f) of title 5 or otherwise protected by law from disclosure to the public.

23 (g) FEES.—(1) The Secretary of Transportation may establish, impose, and

24 collect from a person required to file a registration statement under subsection

25 (a) of this section a fee necessary to pay for the costs of the Secretary in proc26 essing the statement.

27 (2)(A) In addition to a fee established under paragraph (1) of this sub28 section, the Secretary of Transportation shall establish and impose by regula29 tion and collect an annual fee. Subject to subparagraph (B) of this para30 graph, the fee shall be at least $250 but not more than $5,000 from each per31 son required to file a registration statement under this section. The Secretary

32 shall determine the amount of the fee under this paragraph on at least one

33 of the following:

34 (i) gross revenue from transporting hazardous material.

35 (ii) the type of hazardous material transported or caused to be trans36 ported.

37 (iii) the amount of hazardous material transported or caused to be

38 transported.

39 (iv) the number of shipments of hazardous material.

40 (v) the number of activities that the person carries out for which filing

41 a registration statement is required under this section.
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1 (vi) the threat to property, individuals, and the environment from an

2 accident or incident involving the hazardous material transported or

3 caused to be transported.

4 (vii) the percentage of gross revenue derived from transporting hazard5 ous material.

6 (viii) the amount to be made available to carry out sections 5107(e),

7 5108(g)(2), 5115, and 5116 of this title.

8 (ix) other factors the Secretary considers appropriate.

9 (B) The Secretary of Transportation shall adjust the amount being collected

10 under this paragraph to reflect any unexpended balance in the account estab11 lished under section 5116(i) of this title. However, the Secretary is not re12 quired to refund any fee collected under this paragraph.

13 (C) The Secretary of Transportation shall transfer to the Secretary of the

14 Treasury amounts the Secretary of Transportation collects under this para15 graph for deposit in the account the Secretary of the Treasury establishes

16 under section 5116(i) of this title.

17 (h) MAINTAINING PROOF OF FILING AND PAYMENT OF FEES.—The Sec18 retary of Transportation may prescribe regulations requiring a person re19 quired to file a registration statement under subsection (a) of this section to

20 maintain proof of the filing and payment of fees imposed under subsection

21 (g) of this section.

22 (i) RELATIONSHIP TO OTHER LAWS.—(1) Chapter 35 of title 44 does not

23 apply to an activity of the Secretary of Transportation under subsections (a)–

24 (g)(1) and (h) of this section.

25 (2)(A) This section does not apply to an employee of a hazmat employer.

26 (B) Subsections (a)–(h) of this section do not apply to a department, agen27 cy, or instrumentality of the United States Government, an authority of a

28 State or political subdivision of a State, or an employee of a department,

29 agency, instrumentality, or authority carrying out official duties.

30 § 5109. Motor carrier safety permits

31 (a) REQUIREMENT.—A motor carrier may transport or cause to be trans32 ported by motor vehicle in commerce hazardous material only if the carrier

33 holds a safety permit the Secretary of Transportation issues under this section

34 authorizing the transportation and keeps a copy of the permit, or other proof

35 of its existence, in the vehicle. The Secretary shall issue a permit if the Sec36 retary finds the carrier is fit, willing, and able—

37 (1) to provide the transportation to be authorized by the permit;

38 (2) to comply with this chapter and regulations the Secretary pre39 scribes to carry out this chapter; and
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1 (3) to comply with applicable United States motor carrier safety laws

2 and regulations and applicable minimum financial responsibility laws

3 and regulations.

4 (b) APPLICABLE TRANSPORTATION.—The Secretary shall prescribe by regu5 lation the hazardous material and amounts of hazardous material to which

6 this section applies. However, this section shall apply at least to transpor7 tation by a motor carrier, in amounts the Secretary establishes, of—

8 (1) a class A or B explosive;

9 (2) liquefied natural gas;

10 (3) hazardous material the Secretary designates as extremely toxic by

11 inhalation; and

12 (4) a highway-route-controlled quantity of radioactive material, as de13 fined by the Secretary.

14 (c) APPLICATIONS.—A motor carrier shall file an application with the Sec15 retary for a safety permit to provide transportation under this section. The

16 Secretary may approve any part of the application or deny the application.

17 The application shall be under oath and contain information the Secretary

18 requires by regulation.

19 (d) AMENDMENTS, SUSPENSIONS, AND REVOCATIONS.—(1) After notice and

20 an opportunity for a hearing, the Secretary may amend, suspend, or revoke

21 a safety permit, as provided by procedures prescribed under subsection (e) of

22 this section, when the Secretary decides the motor carrier is not complying

23 with a requirement of this chapter, a regulation prescribed under this chapter,

24 or an applicable United States motor carrier safety law or regulation or min25 imum financial responsibility law or regulation.

26 (2) If the Secretary decides an imminent hazard exists, the Secretary may

27 amend, suspend, or revoke a permit before scheduling a hearing.

28 (e) PROCEDURES.—The Secretary shall prescribe by regulation—

29 (1) application procedures, including form, content, and fees necessary

30 to recover the complete cost of carrying out this section;

31 (2) standards for deciding the duration, terms, and limitations of a

32 safety permit;

33 (3) procedures to amend, suspend, or revoke a permit; and

34 (4) other procedures the Secretary considers appropriate to carry out

35 this section.

36 (f) SHIPPER RESPONSIBILITY.—A person offering hazardous material for

37 motor vehicle transportation in commerce may offer the material to a motor

38 carrier only if the carrier has a safety permit issued under this section au39 thorizing the transportation.
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1 (g) CONDITIONS.—A motor carrier may provide transportation under a

2 safety permit issued under this section only if the carrier complies with con3 ditions the Secretary finds are required to protect public safety.

4 (h) REGULATIONS.—The Secretary shall prescribe regulations necessary to

5 carry out this section not later than November 16, 1991.

6 § 5110. Shipping papers and disclosure

7 (a) PROVIDING SHIPPING PAPERS.—Each person offering for transpor8 tation in commerce hazardous material to which the shipping paper require9 ments of the Secretary of Transportation apply shall provide to the carrier

10 providing the transportation a shipping paper that makes the disclosures the

11 Secretary prescribes under subsection (b) of this section.

12 (b) CONSIDERATIONS AND REQUIREMENTS.—In carrying out subsection (a)

13 of this section, the Secretary shall consider and may require—

14 (1) a description of the hazardous material, including the proper ship15 ping name;

16 (2) the hazard class of the hazardous material;

17 (3) the identification number (UN/NA) of the hazardous material;

18 (4) immediate first action emergency response information or a way

19 for appropriate reference to the information (that must be available im20 mediately); and

21 (5) a telephone number for obtaining more specific handling and miti22 gation information about the hazardous material at any time during

23 which the material is transported.

24 (c) KEEPING SHIPPING PAPERS ON THE VEHICLE.—(1) A motor carrier,

25 and the person offering the hazardous material for transportation if a private

26 motor carrier, shall keep the shipping paper on the vehicle transporting the

27 material.

28 (2) Except as provided in paragraph (1) of this subsection, the shipping

29 paper shall be kept in a location the Secretary specifies in a motor vehicle,

30 train, vessel, aircraft, or facility until—

31 (A) the hazardous material no longer is in transportation; or

32 (B) the documents are made available to a representative of a depart33 ment, agency, or instrumentality of the United States Government or a

34 State or local authority responding to an accident or incident involving

35 the motor vehicle, train, vessel, aircraft, or facility.

36 (d) DISCLOSURE TO EMERGENCY RESPONSE AUTHORITIES.—When an in37 cident involving hazardous material being transported in commerce occurs,

38 the person transporting the material, immediately on request of appropriate

39 emergency response authorities, shall disclose to the authorities information

40 about the material.
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1 § 5111. Rail tank cars

2 A rail tank car built before January 1, 1971, may be used to transport

3 hazardous material in commerce only if the air brake equipment support at4 tachments of the car comply with the standards for attachments contained in

5 sections 179.100-16 and 179.200-19 of title 49, Code of Federal Regulations,

6 in effect on November 16, 1990.

7 § 5112. Highway routing of hazardous material

8 (a) APPLICATION.—(1) This section applies to a motor vehicle only if the

9 vehicle is transporting hazardous material in commerce for which placarding

10 of the vehicle is required under regulations prescribed under this chapter.

11 However, the Secretary of Transportation by regulation may extend applica12 tion of this section or a standard prescribed under subsection (b) of this sec13 tion to—

14 (A) any use of a vehicle under this paragraph to transport any haz15 ardous material in commerce; and

16 (B) any motor vehicle used to transport hazardous material in com17 merce.

18 (2) Except as provided by subsection (d) of this section and section 5125(c)

19 of this title, each State and Indian tribe may establish, maintain, and en20 force—

21 (A) designations of specific highway routes over which hazardous ma22 terial may and may not be transported by motor vehicle; and

23 (B) limitations and requirements related to highway routing.

24 (b) STANDARDS FOR STATES AND INDIAN TRIBES.—(1) The Secretary, in

25 consultation with the States, shall prescribe by regulation standards for States

26 and Indian tribes to use in carrying out subsection (a) of this section. The

27 standards shall include—

28 (A) a requirement that a highway routing designation, limitation, or

29 requirement of a State or Indian tribe shall enhance public safety in the

30 area subject to the jurisdiction of the State or tribe and in areas of the

31 United States not subject to the jurisdiction of the State or tribe and di32 rectly affected by the designation, limitation, or requirement;

33 (B) minimum procedural requirements to ensure public participation

34 when the State or Indian tribe is establishing a highway routing des35 ignation, limitation, or requirement;

36 (C) a requirement that, in establishing a highway routing designation,

37 limitation, or requirement, a State or Indian tribe consult with appro38 priate State, local, and tribal officials having jurisdiction over areas of

39 the United States not subject to the jurisdiction of that State or tribe

40 establishing the designation, limitation, or requirement and with affected

41 industries;
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1 (D) a requirement that a highway routing designation, limitation, or

2 requirement of a State or Indian tribe shall ensure through highway

3 routing for the transportation of hazardous material between adjacent

4 areas;

5 (E) a requirement that a highway routing designation, limitation, or

6 requirement of one State or Indian tribe affecting the transportation of

7 hazardous material in another State or tribe may be established, main8 tained, and enforced by the State or tribe establishing the designation,

9 limitation, or requirement only if—

10 (i) the designation, limitation, or requirement is agreed to by the

11 other State or tribe within a reasonable period or is approved by

12 the Secretary under subsection (d) of this section; and

13 (ii) the designation, limitation, or requirement is not an unrea14 sonable burden on commerce;

15 (F) a requirement that establishing a highway routing designation,

16 limitation, or requirement of a State or Indian tribe be completed in a

17 timely way;

18 (G) a requirement that a highway routing designation, limitation, or

19 requirement of a State or Indian tribe provide reasonable routes for

20 motor vehicles transporting hazardous material to reach terminals, fa21 cilities for food, fuel, repairs, and rest, and places to load and unload

22 hazardous material;

23 (H) a requirement that a State be responsible—

24 (i) for ensuring that political subdivisions of the State comply

25 with standards prescribed under this subsection in establishing,

26 maintaining, and enforcing a highway routing designation, limita27 tion, or requirement; and

28 (ii) for resolving a dispute between political subdivisions; and

29 (I) a requirement that, in carrying out subsection (a) of this section,

30 a State or Indian tribe shall consider—

31 (i) population densities;

32 (ii) the types of highways;

33 (iii) the types and amounts of hazardous material;

34 (iv) emergency response capabilities;

35 (v) the results of consulting with affected persons;

36 (vi) exposure and other risk factors;

37 (vii) terrain considerations;

38 (viii) the continuity of routes;

39 (ix) alternative routes;

40 (x) the effects on commerce;

41 (xi) delays in transportation; and
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1 (xii) other factors the Secretary considers appropriate.

2 (2) The Secretary may not assign a specific weight that a State or Indian

3 tribe shall use when considering the factors under paragraph (1)(I) of this

4 subsection.

5 (c) LIST OF ROUTE DESIGNATIONS.—In coordination with the States, the

6 Secretary shall update and publish periodically a list of currently effective

7 hazardous material highway route designations.

8 (d) DISPUTE RESOLUTION.—(1) The Secretary shall prescribe regulations

9 for resolving a dispute related to through highway routing or to an agreement

10 with a proposed highway route designation, limitation, or requirement be11 tween or among States, political subdivisions of different States, or Indian

12 tribes.

13 (2) A State or Indian tribe involved in a dispute under this subsection may

14 petition the Secretary to resolve the dispute. The Secretary shall resolve the

15 dispute not later than one year after receiving the petition. The resolution

16 shall provide the greatest level of highway safety without being an unreason17 able burden on commerce and shall ensure compliance with standards pre18 scribed under subsection (b) of this section.

19 (3)(A) After a petition is filed under this subsection, a civil action about

20 the subject matter of the dispute may be brought in a court only after the

21 earlier of—

22 (i) the day the Secretary issues a final decision; or

23 (ii) the last day of the one-year period beginning on the day the Sec24 retary receives the petition.

25 (B) A State or Indian tribe adversely affected by a decision of the Secretary

26 under this subsection may bring a civil action for judicial review of the deci27 sion in an appropriate district court of the United States not later than 89

28 days after the day the decision becomes final.

29 (e) RELATIONSHIP TO OTHER LAWS.—This section and regulations pre30 scribed under this section do not affect sections 31111 and 31113 of this title

31 or section 127 of title 23.

32 (f) EXISTING RADIOACTIVE MATERIAL ROUTING REGULATIONS.—The Sec33 retary is not required to amend or again prescribe regulations related to high34 way routing designations over which radioactive material may and may not

35 be transported by motor vehicles, and limitations and requirements related to

36 the routing, that were in effect on November 16, 1990.

37 § 5113. Unsatisfactory safety rating

38 (a) PROHIBITED TRANSPORTATION.—A motor carrier receiving an unsatis39 factory safety rating from the Secretary of Transportation has 45 days to im40 prove the rating to conditional or satisfactory. Beginning on the 46th day

41 and until the motor carrier receives a conditional or satisfactory rating, a
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1 motor carrier not having received a conditional or satisfactory rating during

2 the 45-day period may not operate a commercial motor vehicle (as defined

3 in section 31132 of this title)—

4 (1) to transport hazardous material for which placarding of a motor

5 vehicle is required under regulations prescribed under this chapter; or

6 (2) to transport more than 15 individuals.

7 (b) RATING REVIEW.—The Secretary shall review the factors that resulted

8 in a motor carrier receiving an unsatisfactory rating not later than 30 days

9 after the motor carrier requests a review.

10 (c) PROHIBITED GOVERNMENT USE.—A department, agency, or instrumen11 tality of the United States Government may not use a motor carrier that has

12 an unsatisfactory rating from the Secretary—

13 (1) to transport hazardous material for which placarding of a motor

14 vehicle is required under regulations prescribed under this chapter; or

15 (2) to transport more than 15 individuals.

16 (d) PUBLIC AVAILABILITY AND UPDATING OF RATINGS.—The Secretary, in

17 consultation with the Interstate Commerce Commission, shall prescribe regu18 lations amending the motor carrier safety regulations in subchapter B of

19 chapter III of title 49, Code of Federal Regulations, to establish a system to

20 make readily available to the public, and update periodically, the safety rat21 ings of motor carriers that have unsatisfactory ratings from the Secretary.

22 § 5114. Air transportation of ionizing radiation material

23 (a) TRANSPORTING IN AIR COMMERCE.—Material that emits ionizing radi24 ation spontaneously may be transported on a passenger-carrying aircraft in

25 air commerce (as defined in section 40102(a) of this title) only if the material

26 is intended for a use in, or incident to, research or medical diagnosis or treat27 ment and does not present an unreasonable hazard to health and safety when

28 being prepared for, and during, transportation.

29 (b) PROCEDURES.—The Secretary of Transportation shall prescribe proce30 dures for monitoring and enforcing regulations prescribed under this section.

31 (c) NONAPPLICATION.—This section does not apply to material the Sec32 retary decides does not pose a significant hazard to health or safety when

33 transported because of its low order of radioactivity.

34 § 5115. Training curriculum for the public sector

35 (a) DEVELOPMENT AND UPDATING.—Not later than November 16, 1992, in

36 coordination with the Director of the Federal Emergency Management Agen37 cy, Chairman of the Nuclear Regulatory Commission, Administrator of the

38 Environmental Protection Agency, Secretaries of Labor, Energy, and Health

39 and Human Services, and Director of the National Institute of Environ40 mental Health Sciences, and using the existing coordinating mechanisms of

41 the national response team and, for radioactive material, the Federal Radio-
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1 logical Preparedness Coordinating Committee, the Secretary of Transpor2 tation shall develop and update periodically a curriculum consisting of a list

3 of courses necessary to train public sector emergency response and prepared4 ness teams. Only in developing the curriculum, the Secretary of Transpor5 tation shall consult with regional response teams established under the na6 tional contingency plan established under section 105 of the Comprehensive

7 Environmental Response, Compensation, and Liability Act of 1980 (42

8 U.S.C. 9605), representatives of commissions established under section 301 of

9 the Emergency Planning and Community Right-To-Know Act of 1986 (42

10 U.S.C. 11001), persons (including governmental entities) that provide train11 ing for responding to accidents and incidents involving the transportation of

12 hazardous material, and representatives of persons that respond to those acci13 dents and incidents.

14 (b) REQUIREMENTS.—The curriculum developed under subsection (a) of

15 this section—

16 (1) shall include—

17 (A) a recommended course of study to train public sector employ18 ees to respond to an accident or incident involving the transpor19 tation of hazardous material and to plan for those responses;

20 (B) recommended basic courses and minimum number of hours

21 of instruction necessary for public sector employees to be able to re22 spond safely and efficiently to an accident or incident involving the

23 transportation of hazardous material and to plan those responses;

24 and

25 (C) appropriate emergency response training and planning pro26 grams for public sector employees developed under other United

27 States Government grant programs, including those developed with

28 grants made under section 126 of the Superfund Amendments and

29 Reauthorization Act of 1986 (42 U.S.C. 9660a); and

30 (2) may include recommendations on material appropriate for use in

31 a recommended basic course described in clause (1)(B) of this subsection.

32 (c) TRAINING ON COMPLYING WITH LEGAL REQUIREMENTS.—A rec33 ommended basic course described in subsection (b)(1)(B) of this section shall

34 provide the training necessary for public sector employees to comply with—

35 (1) regulations related to hazardous waste operations and emergency

36 response contained in part 1910 of title 29, Code of Federal Regulations,

37 prescribed by the Secretary of Labor;

38 (2) regulations related to worker protection standards for hazardous

39 waste operations contained in part 311 of title 40, Code of Federal Regu40 lations, prescribed by the Administrator; and
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1 (3) standards related to emergency response training prescribed by the

2 National Fire Protection Association.

3 (d) DISTRIBUTION AND PUBLICATION.—With the national response team—

4 (1) the Director of the Federal Emergency Management Agency shall

5 distribute the curriculum and any updates to the curriculum to the re6 gional response teams and all committees and commissions established

7 under section 301 of the Emergency Planning and Community Right8 To-Know Act of 1986 (42 U.S.C. 11001); and

9 (2) the Secretary of Transportation may publish a list of programs

10 that uses a course developed under this section for training public sector

11 employees to respond to an accident or incident involving the transpor12 tation of hazardous material.

13 § 5116. Planning and training grants, monitoring, and re14 view

15 (a) PLANNING GRANTS.—(1) The Secretary of Transportation shall make

16 grants to States—

17 (A) to develop, improve, and carry out emergency plans under the

18 Emergency Planning and Community Right-To-Know Act of 1986 (42

19 U.S.C. 11001 et seq.), including ascertaining flow patterns of hazardous

20 material in a State and between States; and

21 (B) to decide on the need for a regional hazardous material emergency

22 response team.

23 (2) The Secretary of Transportation may make a grant to a State under

24 paragraph (1) of this subsection in a fiscal year only if the State—

25 (A) certifies that the total amount the State expends (except amounts

26 of the United States Government) to develop, improve, and carry out

27 emergency plans under the Act will at least equal the average level of

28 expenditure for the last 2 fiscal years; and

29 (B) agrees to make available at least 75 percent of the amount of the

30 grant under paragraph (1) of this subsection in the fiscal year to local

31 emergency planning committees established under section 301(c) of the

32 Act (42 U.S.C. 11001(c)) to develop emergency plans under the Act.

33 (b) TRAINING GRANTS.—(1) The Secretary of Transportation shall make

34 grants to States and Indian tribes to train public sector employees to respond

35 to accidents and incidents involving hazardous material.

36 (2) The Secretary of Transportation may make a grant under paragraph

37 (1) of this subsection in a fiscal year—

38 (A) to a State or Indian tribe only if the State or tribe certifies that

39 the total amount the State or tribe expends (except amounts of the Gov40 ernment) to train public sector employees to respond to an accident or
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1 incident involving hazardous material will at least equal the average

2 level of expenditure for the last 2 fiscal years;

3 (B) to a State or Indian tribe only if the State or tribe makes an

4 agreement with the Secretary that the State or tribe will use in that fis5 cal year, for training public sector employees to respond to an accident

6 or incident involving hazardous material—

7 (i) a course developed or identified under section 5115 of this

8 title; or

9 (ii) another course the Secretary decides is consistent with the ob10 jectives of this section; and

11 (C) to a State only if the State agrees to make available at least 75

12 percent of the amount of the grant under paragraph (1) of this subsection

13 in the fiscal year for training public sector employees a political subdivi14 sion of the State employs or uses.

15 (3) A grant under this subsection may be used—

16 (A) to pay—

17 (i) the tuition costs of public sector employees being trained;

18 (ii) travel expenses of those employees to and from the training

19 facility;

20 (iii) room and board of those employees when at the training fa21 cility; and

22 (iv) travel expenses of individuals providing the training;

23 (B) by the State, political subdivision, or Indian tribe to provide the

24 training; and

25 (C) to make an agreement the Secretary of Transportation approves

26 authorizing a person (including an authority of a State or political sub27 division of a State or Indian tribe) to provide the training—

28 (i) if the agreement allows the Secretary and the State or tribe

29 to conduct random examinations, inspections, and audits of the

30 training without prior notice; and

31 (ii) if the State or tribe conducts at least one on-site observation

32 of the training each year.

33 (4) The Secretary of Transportation shall allocate amounts made available

34 for grants under this subsection for a fiscal year among eligible States and

35 Indian tribes based on the needs of the States and tribes for emergency re36 sponse training. In making a decision about those needs, the Secretary shall

37 consider—

38 (A) the number of hazardous material facilities in the State or on land

39 under the jurisdiction of the tribe;

40 (B) the types and amounts of hazardous material transported in the

41 State or on that land;
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1 (C) whether the State or tribe imposes and collects a fee on transport2 ing hazardous material;

3 (D) whether the fee is used only to carry out a purpose related to

4 transporting hazardous material; and

5 (E) other factors the Secretary decides are appropriate to carry out

6 this subsection.

7 (c) COMPLIANCE WITH CERTAIN LAW.—The Secretary of Transportation

8 may make a grant to a State under this section in a fiscal year only if the

9 State certifies that the State complies with sections 301 and 303 of the Emer10 gency Planning and Community Right-To-Know Act of 1986 (42 U.S.C.

11 11001, 11003).

12 (d) APPLICATIONS.—A State or Indian tribe interested in receiving a grant

13 under this section shall submit an application to the Secretary of Transpor14 tation. The application must be submitted at the time, and contain informa15 tion, the Secretary requires by regulation to carry out the objectives of this

16 section.

17 (e) GOVERNMENT’S SHARE OF COSTS.—A grant under this section is for

18 80 percent of the cost the State or Indian tribe incurs in the fiscal year to

19 carry out the activity for which the grant is made. Amounts of the State or

20 tribe under subsections (a)(2)(A) and (b)(2)(A) of this section are not part

21 of the non-Government share under this subsection.

22 (f) MONITORING AND TECHNICAL ASSISTANCE.—In coordination with the

23 Secretaries of Transportation and Energy, Administrator of the Environ24 mental Protection Agency, and Director of the National Institute of Environ25 mental Health Sciences, the Director of the Federal Emergency Management

26 Agency shall monitor public sector emergency response planning and training

27 for an accident or incident involving hazardous material. Considering the re28 sults of the monitoring, the Secretaries, Administrator, and Directors each

29 shall provide technical assistance to a State, political subdivision of a State,

30 or Indian tribe for carrying out emergency response training and planning

31 for an accident or incident involving hazardous material and shall coordinate

32 the assistance using the existing coordinating mechanisms of the national re33 sponse team and, for radioactive material, the Federal Radiological Prepared34 ness Coordinating Committee.

35 (g) DELEGATION OF AUTHORITY.—To minimize administrative costs and

36 to coordinate Government grant programs for emergency response training

37 and planning, the Secretary of Transportation may delegate to the Directors

38 of the Federal Emergency Management Agency and National Institute of En39 vironmental Health Sciences, Chairman of the Nuclear Regulatory Commis40 sion, Administrator of the Environmental Protection Agency, and Secretaries

41 of Labor and Energy any of the following:
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1 (1) authority to receive applications for grants under this section.

2 (2) authority to review applications for technical compliance with this

3 section.

4 (3) authority to review applications to recommend approval or dis5 approval.

6 (4) any other ministerial duty associated with grants under this sec7 tion.

8 (h) MINIMIZING DUPLICATION OF EFFORT AND EXPENSES.—The Secretar9 ies of Transportation, Labor, and Energy, Directors of the Federal Emergency

10 Management Agency and National Institute of Environmental Health

11 Sciences, Chairman of the Nuclear Regulatory Commission, and Adminis12 trator of the Environmental Protection Agency shall review periodically, with

13 the head of each department, agency, or instrumentality of the Government,

14 all emergency response and preparedness training programs of that depart15 ment, agency, or instrumentality to minimize duplication of effort and ex16 pense of the department, agency, or instrumentality in carrying out the pro17 grams and shall take necessary action to minimize duplication.

18 (i) ANNUAL REGISTRATION FEE ACCOUNT AND ITS USES.—The Secretary

19 of the Treasury shall establish an account in the Treasury into which the Sec20 retary of the Treasury shall deposit amounts the Secretary of Transportation

21 collects under section 5108(g)(2)(A) of this title and transfers to the Secretary

22 of the Treasury under section 5108(g)(2)(C) of this title. Without further ap23 propriation, amounts in the account are available—

24 (1) to make grants under this section and section 5107(e) of this title;

25 (2) to monitor and provide technical assistance under subsection (f)

26 of this section; and

27 (3) to pay administrative costs of carrying out this section and sec28 tions 5107(e), 5108(g)(2), and 5115 of this title, except that not more

29 than 10 percent of the amounts made available from the account in a

30 fiscal year may be used to pay those costs.

31 § 5117. Exemptions and exclusions

32 (a) AUTHORITY TO EXEMPT.—(1) As provided under procedures prescribed

33 by regulation, the Secretary of Transportation may issue an exemption from

34 this chapter or a regulation prescribed under section 5103(b), 5104, 5110, or

35 5112 of this title to a person transporting, or causing to be transported, haz36 ardous material in a way that achieves a safety level—

37 (A) at least equal to the safety level required under this chapter; or

38 (B) consistent with the public interest and this chapter, if a required

39 safety level does not exist.

40 (2) An exemption under this subsection is effective for not more than 2

41 years and may be renewed on application to the Secretary.
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1 (b) APPLICATIONS.—When applying for an exemption or renewal of an ex2 emption under this section, the person must provide a safety analysis pre3 scribed by the Secretary that justifies the exemption. The Secretary shall pub4 lish in the Federal Register notice that an application for an exemption has

5 been filed and shall give the public an opportunity to inspect the safety anal6 ysis and comment on the application. This subsection does not require the re7 lease of information protected by law from public disclosure.

8 (c) EXCLUSIONS.—(1) The Secretary shall exclude, in any part, from this

9 chapter and regulations prescribed under this chapter—

10 (A) a public vessel (as defined in section 2101 of title 46);

11 (B) a vessel exempted under section 3702 of title 46 from chapter 37

12 of title 46; and

13 (C) a vessel to the extent it is regulated under the Ports and Water14 ways Safety Act of 1972 (33 U.S.C. 1221 et seq.).

15 (2) This chapter and regulations prescribed under this chapter do not pro16 hibit—

17 (A) or regulate transportation of a firearm (as defined in section 232

18 of title 18), or ammunition for a firearm, by an individual for personal

19 use; or

20 (B) transportation of a firearm or ammunition in commerce.

21 (d) LIMITATION ON AUTHORITY.—Unless the Secretary decides that an

22 emergency exists, an exemption or renewal granted under this section is the

23 only way a person subject to this chapter may be exempt from this chapter.

24 § 5118. Inspectors

25 (a) GENERAL REQUIREMENT.—The Secretary of Transportation shall

26 maintain the employment of 30 hazardous material safety inspectors more

27 than the total number of safety inspectors authorized for the fiscal year that

28 ended September 30, 1990, for the Federal Railroad Administration, the Fed29 eral Highway Administration, and the Research and Special Programs Ad30 ministration.

31 (b) ALLOCATION TO PROMOTE SAFETY IN TRANSPORTING RADIOACTIVE

32 MATERIAL.—(1) The Secretary shall ensure that 10 of the 30 additional in33 spectors focus on promoting safety in transporting radioactive material, as

34 defined by the Secretary, including inspecting—

35 (A) at the place of origin, shipments of high-level radioactive waste

36 or nuclear spent material (as those terms are defined in section 5105(a)

37 of this title); and

38 (B) to the maximum extent practicable shipments of radioactive mate39 rial that are not high-level radioactive waste or nuclear spent material.
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1 (2) In carrying out their duties, those 10 additional inspectors shall cooper2 ate to the greatest extent possible with safety inspectors of the Nuclear Regu3 latory Commission and appropriate State and local government officials.

4 (3) Those 10 additional inspectors shall be allocated as follows:

5 (A) one to the Research and Special Programs Administration.

6 (B) 3 to the Federal Railroad Administration.

7 (C) 3 to the Federal Highway Administration.

8 (D) the other 3 among the administrations referred to in clauses (A)–

9 (C) of this paragraph as the Secretary decides.

10 (c) ALLOCATION OF OTHER INSPECTORS.—The Secretary shall allocate, as

11 the Secretary decides, the 20 additional inspectors authorized under this sec12 tion and not allocated under subsection (b) of this section among the adminis13 trations referred to in subsection (b)(3)(A)–(C) of this section.

14 § 5119. Uniform forms and procedures

15 (a) WORKING GROUP.—The Secretary of Transportation shall establish a

16 working group of State and local government officials, including representa17 tives of the National Governors’ Association, the National Association of

18 Counties, the National League of Cities, the United States Conference of May19 ors, and the National Conference of State Legislatures. The purposes of the

20 working group are—

21 (1) to establish uniform forms and procedures for a State—

22 (A) to register persons that transport or cause to be transported

23 hazardous material by motor vehicle in the State; and

24 (B) to allow the transportation of hazardous material in the

25 State; and

26 (2) to decide whether to limit the filing of any State registration and

27 permit forms and collection of filing fees to the State in which the person

28 resides or has its principal place of business.

29 (b) CONSULTATION AND REPORTING.—The working group—

30 (1) shall consult with persons subject to registration and permit re31 quirements described in subsection (a) of this section; and

32 (2) not later than November 16, 1993, shall submit to the Secretary,

33 the Committee on Commerce, Science, and Transportation of the Senate,

34 and the Committee on Public Works and Transportation of the House

35 of Representatives a final report that contains—

36 (A) a detailed statement of its findings and conclusions; and

37 (B) its joint recommendations on the matters referred to in sub38 section (a) of this section.

39 (c) REGULATIONS ON RECOMMENDATIONS.—(1) The Secretary shall pre40 scribe regulations to carry out the recommendations contained in the report

41 submitted under subsection (b) of this section with which the Secretary agrees.
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1 The regulations shall be prescribed by the later of the last day of the 3-year

2 period beginning on the date the working group submitted its report or the

3 last day of the 90-day period beginning on the date on which at least 26

4 States adopt all of the recommendations of the report. A regulation prescribed

5 under this subsection may not define or limit the amount of a fee a State

6 may impose or collect.

7 (2) A regulation prescribed under this subsection takes effect one year after

8 it is prescribed. The Secretary may extend the one-year period for an addi9 tional year for good cause. After a regulation is effective, a State may estab10 lish, maintain, or enforce a requirement related to the same subject matter

11 only if the requirement is the same as the regulation.

12 (3) In consultation with the working group, the Secretary shall develop a

13 procedure to eliminate differences in how States carry out a regulation pre14 scribed under this subsection.

15 (d) RELATIONSHIP TO OTHER LAWS.—The Federal Advisory Committee

16 Act (5 App. U.S.C.) does not apply to the working group.

17 § 5120. International uniformity of standards and require18 ments

19 (a) PARTICIPATION IN INTERNATIONAL FORUMS.—Subject to guidance and

20 direction from the Secretary of State, the Secretary of Transportation shall

21 participate in international forums that establish or recommend mandatory

22 standards and requirements for transporting hazardous material in inter23 national commerce.

24 (b) CONSULTATION.—The Secretary of Transportation may consult with in25 terested authorities to ensure that, to the extent practicable, regulations the

26 Secretary prescribes under sections 5103(b), 5104, 5110, and 5112 of this title

27 are consistent with standards related to transporting hazardous material that

28 international authorities adopt.

29 (c) DIFFERENCES WITH INTERNATIONAL STANDARDS AND REQUIRE30 MENTS.—This section—

31 (1) does not require the Secretary of Transportation to prescribe a

32 standard identical to a standard adopted by an international authority

33 if the Secretary decides the standard is unnecessary or unsafe; and

34 (2) does not prohibit the Secretary from prescribing a safety require35 ment more stringent than a requirement included in a standard adopted

36 by an international authority if the Secretary decides the requirement

37 is necessary in the public interest.

38 § 5121. Administrative

39 (a) GENERAL AUTHORITY.—To carry out this chapter, the Secretary of

40 Transportation may investigate, make reports, issue subpenas, conduct hear41 ings, require the production of records and property, take depositions, and
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1 conduct research, development, demonstration, and training activities. After

2 notice and an opportunity for a hearing, the Secretary may issue an order

3 requiring compliance with this chapter or a regulation prescribed under this

4 chapter.

5 (b) RECORDS, REPORTS, AND INFORMATION.—A person subject to this

6 chapter shall—

7 (1) maintain records, make reports, and provide information the Sec8 retary by regulation or order requires; and

9 (2) make the records, reports, and information available when the Sec10 retary requests.

11 (c) INSPECTION.—(1) The Secretary may authorize an officer, employee, or

12 agent to inspect, at a reasonable time and in a reasonable way, records and

13 property related to—

14 (A) manufacturing, fabricating, marking, maintaining, recondition15 ing, repairing, testing, or distributing a package or container for use by

16 a person in transporting hazardous material in commerce; or

17 (B) the transportation of hazardous material in commerce.

18 (2) An officer, employee, or agent under this subsection shall display proper

19 credentials when requested.

20 (d) FACILITY, STAFF, AND REPORTING SYSTEM ON RISKS, EMERGENCIES,

21 AND ACTIONS.—(1) The Secretary shall—

22 (A) maintain a facility and technical staff sufficient to provide, with23 in the United States Government, the capability of evaluating a risk re24 lated to the transportation of hazardous material and material alleged

25 to be hazardous;

26 (B) maintain a central reporting system and information center capa27 ble of providing information and advice to law enforcement and fire28 fighting personnel, other interested individuals, and officers and employ29 ees of the Government and State and local governments on meeting an

30 emergency related to the transportation of hazardous material; and

31 (C) conduct a continuous review on all aspects of transporting hazard32 ous material to decide on and take appropriate actions to ensure safe

33 transportation of hazardous material.

34 (2) Paragraph (1) of this subsection does not prevent the Secretary from

35 making a contract with a private entity for use of a supplemental reporting

36 system and information center operated and maintained by the contractor.

37 (e) ANNUAL REPORT.—The Secretary shall submit to the President, for sub38 mission to Congress, not later than June 15th of each year, a report about

39 the transportation of hazardous material during the prior calendar year. The

40 report shall include—
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1 (1) a statistical compilation of accidents and casualties related to the

2 transportation of hazardous material;

3 (2) a list and summary of applicable Government regulations, criteria,

4 orders, and exemptions;

5 (3) a summary of the basis for each exemption;

6 (4) an evaluation of the effectiveness of enforcement activities and the

7 degree of voluntary compliance with regulations;

8 (5) a summary of outstanding problems in carrying out this chapter

9 in order of priority; and

10 (6) recommendations for appropriate legislation.

11 § 5122. Enforcement

12 (a) GENERAL.—At the request of the Secretary of Transportation, the At13 torney General may bring a civil action in an appropriate district court of

14 the United States to enforce this chapter or a regulation prescribed or order

15 issued under this chapter. The court may award appropriate relief, including

16 punitive damages.

17 (b) IMMINENT HAZARDS.—(1) If the Secretary has reason to believe that

18 an imminent hazard exists, the Secretary may bring a civil action in an ap19 propriate district court of the United States—

20 (A) to suspend or restrict the transportation of the hazardous material

21 responsible for the hazard; or

22 (B) to eliminate or ameliorate the hazard.

23 (2) On request of the Secretary, the Attorney General shall bring an action

24 under paragraph (1) of this subsection.

25 § 5123. Civil penalty

26 (a) PENALTY.—(1) A person that knowingly violates this chapter or a regu27 lation prescribed or order issued under this chapter is liable to the United

28 States Government for a civil penalty of at least $250 but not more than

29 $25,000 for each violation. A person acts knowingly when—

30 (A) the person has actual knowledge of the facts giving rise to the vio31 lation; or

32 (B) a reasonable person acting in the circumstances and exercising

33 reasonable care would have that knowledge.

34 (2) A separate violation occurs for each day the violation, committed by

35 a person that transports or causes to be transported hazardous material, con36 tinues.

37 (b) HEARING REQUIREMENT.—The Secretary of Transportation may find

38 that a person has violated this chapter or a regulation prescribed under this

39 chapter only after notice and an opportunity for a hearing. The Secretary

40 shall impose a penalty under this section by giving the person written notice

41 of the amount of the penalty.
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1 (c) PENALTY CONSIDERATIONS.—In determining the amount of a civil pen2 alty under this section, the Secretary shall consider—

3 (1) the nature, circumstances, extent, and gravity of the violation;

4 (2) with respect to the violator, the degree of culpability, any history

5 of prior violations, the ability to pay, and any effect on the ability to

6 continue to do business; and

7 (3) other matters that justice requires.

8 (d) CIVIL ACTIONS TO COLLECT.—The Attorney General may bring a civil

9 action in an appropriate district court of the United States to collect a civil

10 penalty under this section.

11 (e) COMPROMISE.—The Secretary may compromise the amount of a civil

12 penalty imposed under this section before referral to the Attorney General.

13 (f) SETOFF.—The Government may deduct the amount of a civil penalty

14 imposed or compromised under this section from amounts it owes the person

15 liable for the penalty.

16 (g) DEPOSITING AMOUNTS COLLECTED.—Amounts collected under this sec17 tion shall be deposited in the Treasury as miscellaneous receipts.

18 § 5124. Criminal penalty

19 A person knowingly violating section 5104(b) of this title or willfully vio20 lating this chapter or a regulation prescribed or order issued under this chap21 ter shall be fined under title 18, imprisoned for not more than 5 years, or

22 both.

23 § 5125. Preemption

24 (a) GENERAL.—Except as provided in subsections (b), (c), and (e) of this

25 section, a requirement of a State, political subdivision of a State, or Indian

26 tribe is preempted if—

27 (1) complying with a requirement of the State, political subdivision,

28 or tribe and a requirement of this chapter or a regulation prescribed

29 under this chapter is not possible; or

30 (2) the requirement of the State, political subdivision, or tribe, as ap31 plied or enforced, is an obstacle to accomplishing and carrying out this

32 chapter or a regulation prescribed under this chapter.

33 (b) SUBSTANTIVE DIFFERENCES.—(1) Except as provided in subsection (c)

34 of this section, a law, regulation, order, or other requirement of a State, polit35 ical subdivision of a State, or Indian tribe about any of the following subjects,

36 that is not substantively the same as a provision of this chapter or a regula37 tion prescribed under this chapter, is preempted:

38 (A) the designation, description, and classification of hazardous mate39 rial.

40 (B) the packing, repacking, handling, labeling, marking, and

41 placarding of hazardous material.
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1 (C) the preparation, execution, and use of shipping documents related

2 to hazardous material and requirements related to the number, contents,

3 and placement of those documents.

4 (D) the written notification, recording, and reporting of the uninten5 tional release in transportation of hazardous material.

6 (E) the design, manufacturing, fabricating, marking, maintenance, re7 conditioning, repairing, or testing of a package or container represented,

8 marked, certified, or sold as qualified for use in transporting hazardous

9 material.

10 (2) If the Secretary of Transportation prescribes or has prescribed under

11 section 5103(b), 5104, 5110, or 5112 of this title or prior comparable provi12 sion of law a regulation or standard related to a subject referred to in para13 graph (1) of this subsection, a State, political subdivision of a State, or In14 dian tribe may prescribe, issue, maintain, and enforce only a law, regulation,

15 standard, or order about the subject that is substantively the same as a provi16 sion of this chapter or a regulation prescribed or order issued under this

17 chapter. The Secretary shall decide on and publish in the Federal Register

18 the effective date of section 5103(b) of this title for any regulation or standard

19 about any of those subjects that the Secretary prescribes after November 16,

20 1990. However, the effective date may not be earlier than 90 days after the

21 Secretary prescribes the regulation or standard nor later than the last day

22 of the 2-year period beginning on the date the Secretary prescribes the regula23 tion or standard.

24 (3) If a State, political subdivision of a State, or Indian tribe imposes a

25 fine or penalty the Secretary decides is appropriate for a violation related

26 to a subject referred to in paragraph (1) of this subsection, an additional fine

27 or penalty may not be imposed by any other authority.

28 (c) COMPLIANCE WITH SECTION 5112(b) REGULATIONS.—(1) Except as

29 provided in paragraph (2) of this subsection, after the last day of the 2-year

30 period beginning on the date a regulation is prescribed under section 5112(b)

31 of this title, a State or Indian tribe may establish, maintain, or enforce a

32 highway routing designation over which hazardous material may or may not

33 be transported by motor vehicles, or a limitation or requirement related to

34 highway routing, only if the designation, limitation, or requirement complies

35 with section 5112(b).

36 (2)(A) A highway routing designation, limitation, or requirement estab37 lished before the date a regulation is prescribed under section 5112(b) of this

38 title does not have to comply with section 5112(b)(1)(B), (C), and (F).

39 (B) This subsection and section 5112 of this title do not require a State

40 or Indian tribe to comply with section 5112(b)(1)(I) if the highway routing
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1 designation, limitation, or requirement was established before November 16,

2 1990.

3 (C) The Secretary may allow a highway routing designation, limitation,

4 or requirement to continue in effect until a dispute related to the designation,

5 limitation, or requirement is resolved under section 5112(d) of this title.

6 (d) DECISIONS ON PREEMPTION.—(1) A person (including a State, politi7 cal subdivision of a State, or Indian tribe) directly affected by a requirement

8 of a State, political subdivision, or tribe may apply to the Secretary, as pro9 vided by regulations prescribed by the Secretary, for a decision on whether

10 the requirement is preempted by subsection (a), (b)(1), or (c) of this section.

11 The Secretary shall publish notice of the application in the Federal Register.

12 After notice is published, an applicant may not seek judicial relief on the

13 same or substantially the same issue until the Secretary takes final action

14 on the application or until 180 days after the application is filed, whichever

15 occurs first.

16 (2) After consulting with States, political subdivisions of States, and In17 dian tribes, the Secretary shall prescribe regulations for carrying out para18 graph (1) of this subsection.

19 (3) Subsection (a) of this section does not prevent a State, political subdivi20 sion of a State, or Indian tribe, or another person directly affected by a re21 quirement, from seeking a decision on preemption from a court of competent

22 jurisdiction instead of applying to the Secretary under paragraph (1) of this

23 subsection.

24 (e) WAIVER OF PREEMPTION.—A State, political subdivision of a State, or

25 Indian tribe may apply to the Secretary for a waiver of preemption of a re26 quirement the State, political subdivision, or tribe acknowledges is preempted

27 by subsection (a), (b)(1), or (c) of this section. Under a procedure the Sec28 retary prescribes by regulation, the Secretary may waive preemption on de29 ciding the requirement—

30 (1) provides the public at least as much protection as do requirements

31 of this chapter and regulations prescribed under this chapter; and

32 (2) is not an unreasonable burden on commerce.

33 (f) JUDICIAL REVIEW.—A party to a proceeding under subsection (d) or

34 (e) of this section may bring a civil action in an appropriate district court

35 of the United States for judicial review of the decision of the Secretary not

36 later than 60 days after the decision becomes final.

37 (g) FEES.—A State, political subdivision of a State, or Indian tribe may

38 impose a fee related to transporting hazardous material only if the fee is fair

39 and used for a purpose related to transporting hazardous material, including

40 enforcement and planning, developing, and maintaining a capability for

41 emergency response.
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1 § 5126. Relationship to other laws

2 (a) CONTRACTS.—A person under contract with a department, agency, or

3 instrumentality of the United States Government that transports or causes to

4 be transported hazardous material, or manufactures, fabricates, marks, main5 tains, reconditions, repairs, or tests a package or container that the person

6 represents, marks, certifies, or sells as qualified for use in transporting haz7 ardous material must comply with this chapter, regulations prescribed and

8 orders issued under this chapter, and all other requirements of the Govern9 ment, State and local governments, and Indian tribes (except a requirement

10 preempted by a law of the United States) in the same way and to the same

11 extent that any person engaging in that transportation, manufacturing, fab12 ricating, marking, maintenance, reconditioning, repairing, or testing that is

13 in or affects commerce must comply with the provision, regulation, order, or

14 requirement.

15 (b) NONAPPLICATION.—This chapter does not apply to—

16 (1) a pipeline subject to regulation under chapter 601 of this title; or

17 (2) any matter that is subject to the postal laws and regulations of

18 the United States under this chapter or title 18 or 39.

19 § 5127. Authorization of appropriations

20 (a) GENERAL.—Not more than $18,000,000 may be appropriated to the

21 Secretary of Transportation for the fiscal year ending September 30, 1993,

22 to carry out this chapter (except sections 5107(e), 5108(g)(2), 5113, 5115,

23 5116, and 5119).

24 (b) HAZMAT EMPLOYEE TRAINING.—Not more than $250,000 is available

25 to the Director of the National Institute of Environmental Health Sciences

26 from the account established under section 5116(i) of this title for each of the

27 fiscal years ending September 30, 1993–1998, to carry out section 5107(e) of

28 this title.

29 (c) TRAINING CURRICULUM.—(1) Not more than $1,000,000 is available to

30 the Secretary of Transportation from the account established under section

31 5116(i) of this title for each of the fiscal years ending September 30, 1993–

32 1998, to carry out section 5115 of this title.

33 (2) The Secretary of Transportation may transfer to the Director of the

34 Federal Emergency Management Agency from amounts available under this

35 subsection amounts necessary to carry out section 5115(d)(1) of this title.

36 (d) PLANNING AND TRAINING.—(1) Not more than $5,000,000 is available

37 to the Secretary of Transportation from the account established under section

38 5116(i) of this title for each of the fiscal years ending September 30, 1993–

39 1998, to carry out section 5116(a) of this title.

40 (2) Not more than $7,800,000 is available to the Secretary of Transpor41 tation from the account established under section 5116(i) of this title for each
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1 of the fiscal years ending September 30, 1993–1998, to carry out section

2 5116(b) of this title.

3 (3) Not more than the following amounts are available from the account

4 established under section 5116(i) of this title for each of the fiscal years end5 ing September 30, 1993–1998, to carry out section 5116(f) of this title:

6 (A) $750,000 each to the Secretaries of Transportation and Energy,

7 Administrator of the Environmental Protection Agency, and Director of

8 the Federal Emergency Management Agency.

9 (B) $200,000 to the Director of the National Institute of Environ10 mental Health Sciences.

11 (e) UNIFORM FORMS AND PROCEDURES.—Not more than $400,000 may be

12 appropriated to the Secretary of Transportation for the fiscal year ending

13 September 30, 1993, to carry out section 5119 of this title.

14 (f) CREDITS TO APPROPRIATIONS.—The Secretary of Transportation may

15 credit to any appropriation to carry out this chapter an amount received

16 from a State, Indian tribe, or other public authority or private entity for ex17 penses the Secretary incurs in providing training to the State, authority, or

18 entity.

19 (g) AVAILABILITY OF AMOUNTS.—Amounts available under subsections (c)–

20 (e) of this section remain available until expended.

21 CHAPTER 53—MASS TRANSPORTATION

Sec.

5301. Policies, findings, and purposes.

5302. Definitions.

5303. Metropolitan planning.

5304. Transportation improvement program.

5305. Transportation management areas.

5306. Private enterprise participation in metropolitan planning and transportation improvement programs and relationship to other limitations.

5307. Block grants.

5308. Mass Transit Account block grants.

5309. Discretionary grants and loans.

5310. Grants and loans for special needs of elderly individuals and individuals with disabilities.

5311. Financial assistance for other than urbanized areas.

5312. Research, development, demonstration, and training projects.

5313. State planning and research programs.

5314. National planning and research programs.

5315. National mass transportation institute.

5316. University research institutes.

5317. Transportation centers.

5318. Bus testing facility.

5319. Bicycle facilities.

5320. Suspended light rail system technology pilot project.

5321. Crime prevention and security.

5322. Human resource programs.

5323. General provisions on assistance.

5324. Limitations on discretionary and special needs grants and loans.

5325. Contract requirements.

5326. Special procurements.

5327. Project management oversight.

5328. Project review.
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5329. Investigation of safety hazards.

5330. Withholding amounts for noncompliance with safety requirements.

5331. Alcohol and controlled substances testing.

5332. Nondiscrimination.

5333. Labor standards.

5334. Administrative.

5335. Reports and audits.

5336. Apportionment of appropriations for block grants.

5337. Apportionment of appropriations for fixed guideway modernization.

5338. Authorizations.

1 § 5301. Policies, findings, and purposes

2 (a) DEVELOPMENT OF TRANSPORTATION SYSTEMS.—It is in the interest of

3 the United States to encourage and promote the development of transportation

4 systems that embrace various modes of transportation and efficiently maxi5 mize mobility of individuals and goods in and through urbanized areas and

6 minimize transportation-related fuel consumption and air pollution.

7 (b) GENERAL FINDINGS.—Congress finds that—

8 (1) more than 70 percent of the population of the United States is lo9 cated in rapidly expanding urban areas that generally cross the bound10 ary lines of local jurisdictions and often extend into at least 2 States;

11 (2) the welfare and vitality of urban areas, the satisfactory movement

12 of people and goods within those areas, and the effectiveness of programs

13 aided by the United States Government are jeopardized by deteriorating

14 or inadequate urban transportation service and facilities, the intensifica15 tion of traffic congestion, and the lack of coordinated, comprehensive,

16 and continuing development planning;

17 (3) transportation is the lifeblood of an urbanized society, and the

18 health and welfare of an urbanized society depend on providing efficient,

19 economical, and convenient transportation in and between urban areas;

20 (4) for many years the mass transportation industry capably and

21 profitably satisfied the transportation needs of the urban areas of the

22 United States but in the early 1970’s continuing even minimal mass

23 transportation service in urban areas was threatened because maintain24 ing that transportation service was financially burdensome;

25 (5) ending that transportation, or the continued increase in its cost

26 to the user, is undesirable and may affect seriously and adversely the

27 welfare of a substantial number of lower income individuals;

28 (6) some urban areas were developing preliminary plans for, or carry29 ing out, projects in the early 1970’s to revitalize their mass transpor30 tation operations;

31 (7) significant mass transportation improvements are necessary to

32 achieve national goals for improved air quality, energy conservation,

33 international competitiveness, and mobility for elderly individuals, indi-
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1 viduals with disabilities, and economically disadvantaged individuals in

2 urban and rural areas of the United States;

3 (8) financial assistance by the Government to develop efficient and co4 ordinated mass transportation systems is essential to solve the urban

5 transportation problems referred to in clause (2) of this subsection; and

6 (9) immediate substantial assistance by the Government is needed to

7 enable mass transportation systems to continue providing vital transpor8 tation service.

9 (c) RAPID URBANIZATION AND CONTINUING POPULATION DISPERSAL.—

10 Rapid urbanization and continuing dispersal of the population and activities

11 in urban areas have made the ability of all citizens to move quickly and at

12 a reasonable cost an urgent problem of the Government.

13 (d) ELDERLY INDIVIDUALS AND INDIVIDUALS WITH DISABILITIES.—It is

14 the policy of the Government that elderly individuals and individuals with

15 disabilities have the same right as other individuals to use mass transpor16 tation service and facilities. Special efforts shall be made in planning and

17 designing mass transportation service and facilities to ensure that mass

18 transportation can be used by elderly individuals and individuals with dis19 abilities. All programs of the Government assisting mass transportation shall

20 carry out this policy.

21 (e) PRESERVING THE ENVIRONMENT.—It is the policy of the Government

22 that special effort shall be made to preserve the natural beauty of the country23 side, public park and recreation lands, wildlife and waterfowl refuges, and

24 important historical and cultural assets when planning, designing, and car25 rying out an urban mass transportation capital project with assistance from

26 the Government under sections 5309 and 5310 of this title.

27 (f) GENERAL PURPOSES.—The purposes of this chapter are—

28 (1) to assist in developing improved mass transportation equipment,

29 facilities, techniques, and methods with the cooperation of public and

30 private mass transportation companies;

31 (2) to encourage the planning and establishment of areawide urban

32 mass transportation systems needed for economical and desirable urban

33 development with the cooperation of public and private mass transpor34 tation companies;

35 (3) to assist States and local governments and their authorities in fi36 nancing areawide urban mass transportation systems that are to be op37 erated by public or private mass transportation companies as decided by

38 local needs;

39 (4) to provide financial assistance to State and local governments and

40 their authorities to help carry out national goals related to mobility for
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1 elderly individuals, individuals with disabilities, and economically dis2 advantaged individuals; and

3 (5) to establish a partnership that allows a community, with financial

4 assistance from the Government, to satisfy its urban mass transportation

5 requirements.

6 § 5302. Definitions

7 (a) GENERAL.—In this chapter—

8 (1) ‘‘capital project’’ means a project for—

9 (A) acquiring, constructing, supervising, or inspecting equipment

10 or a facility for use in mass transportation, expenses incidental to

11 the acquisition or construction (including designing, engineering, lo12 cation surveying, mapping, and acquiring rights of way), relocation

13 assistance, acquiring replacement housing sites, and acquiring, con14 structing, relocating, and rehabilitating replacement housing;

15 (B) rehabilitating a bus that extends the economic life of a bus

16 for at least 5 years;

17 (C) remanufacturing a bus that extends the economic life of a bus

18 for at least 8 years; or

19 (D) overhauling rail rolling stock.

20 (2) ‘‘chief executive officer of a State’’ includes the designee of the chief

21 executive officer.

22 (3) ‘‘emergency regulation’’ means a regulation—

23 (A) that is effective temporarily before the expiration of the other24 wise specified periods of time for public notice and comment under

25 section 5334(b) of this title; and

26 (B) prescribed by the Secretary of Transportation as the result

27 of a finding that a delay in the effective date of the regulation—

28 (i) would injure seriously an important public interest;

29 (ii) would frustrate substantially legislative policy and in30 tent; or

31 (iii) would damage seriously a person or class without serv32 ing an important public interest.

33 (4) ‘‘fixed guideway’’ means a mass transportation facility—

34 (A) using and occupying a separate right of way or rail for the

35 exclusive use of mass transportation and other high occupancy vehi36 cles; or

37 (B) using a fixed catenary system and a right of way usable by

38 other forms of transportation.

39 (5) ‘‘handicapped individual’’ means an individual who, because of

40 illness, injury, age, congenital malfunction, or other incapacity or tem41 porary or permanent disability (including an individual who is a wheel-
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1 chair user or has semiambulatory capability), cannot use effectively,

2 without special facilities, planning, or design, mass transportation serv3 ice or a mass transportation facility.

4 (6) ‘‘local governmental authority’’ includes—

5 (A) a political subdivision of a State;

6 (B) an authority of at least one State or political subdivision of

7 a State;

8 (C) an Indian tribe; and

9 (D) a public corporation, board, or commission established under

10 the laws of a State.

11 (7) ‘‘mass transportation’’ means transportation by a conveyance that

12 provides regular and continuing general or special transportation to the

13 public, but does not include schoolbus, charter, or sightseeing transpor14 tation.

15 (8) ‘‘net project cost’’ means the part of a project that reasonably can16 not be financed from revenues.

17 (9) ‘‘new bus model’’ means a bus model (including a model using al18 ternative fuel)—

19 (A) that has not been used in mass transportation in the United

20 States before the date of production of the model; or

21 (B) used in mass transportation in the United States but being

22 produced with a major change in configuration or components.

23 (10) ‘‘regulation’’ means any part of a statement of general or par24 ticular applicability of the Secretary of Transportation designed to carry

25 out, interpret, or prescribe law or policy in carrying out this chapter.

26 (11) ‘‘State’’ means a State of the United States, the District of Co27 lumbia, Puerto Rico, the Northern Mariana Islands, Guam, American

28 Samoa, and the Virgin Islands.

29 (12) ‘‘urban area’’ means an area that includes a municipality or

30 other built-up place that the Secretary of Transportation, after consider31 ing local patterns and trends of urban growth, decides is appropriate for

32 a local mass transportation system to serve individuals in the locality.

33 (13) ‘‘urbanized area’’ means an area—

34 (A) encompassing at least an urbanized area within a State that

35 the Secretary of Commerce designates; and

36 (B) designated an urbanized area within boundaries fixed by

37 State and local officials and approved by the Secretary of Transpor38 tation.

39 (b) AUTHORITY TO MODIFY ‘‘HANDICAPPED INDIVIDUAL’’.—The Secretary

40 of Transportation by regulation may modify the definition of subsection

41 (a)(5) of this section as it applies to section 5307(d)(1)(D) of this title.
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1 § 5303. Metropolitan planning

2 (a) DEVELOPMENT REQUIREMENTS.—To carry out section 5301(a) of this

3 title, metropolitan planning organizations designated under subsection (c) of

4 this section, in cooperation with States, shall develop transportation plans

5 and programs for State urbanized areas. The plans and programs for each

6 area shall provide for developing transportation facilities (including pedes7 trian walkways and bicycle transportation facilities) that will function as an

8 intermodal transportation system for the State, metropolitan area, and Unit9 ed States. The development process shall provide for consideration of all modes

10 of transportation and shall be continuing, cooperative, and comprehensive to

11 the degree appropriate, based on the complexity of the transportation prob12 lems.

13 (b) PLAN AND PROGRAM FACTORS.—In developing plans and programs

14 under this section and sections 5304–5306 of this title, each metropolitan

15 planning organization at least shall consider the following factors:

16 (1) preserving existing transportation facilities and, where practical,

17 ways to meet transportation needs by using existing transportation fa18 cilities more efficiently.

19 (2) the consistency of transportation planning with United States

20 Government, State, and local energy conservation programs, goals, and

21 objectives.

22 (3) the need to relieve congestion and prevent congestion from occur23 ring.

24 (4) the likely effect of transportation policy decisions on land use and

25 development and the consistency of transportation plans and programs

26 with short- and long-term land use and development plans.

27 (5) programming expenditures on transportation enhancement activi28 ties, as required under section 133 of title 23.

29 (6) the effects of all transportation projects to be undertaken in the

30 metropolitan area, without regard to whether the projects are publicly fi31 nanced.

32 (7) international border crossings and access to ports, airports, inter33 modal transportation facilities, major freight distribution routes, na34 tional parks, recreation areas, monuments and historic sites, and mili35 tary installations.

36 (8) the need for connecting roads in the metropolitan area with roads

37 outside the area.

38 (9) the transportation needs identified by using the management sys39 tems required by section 303 of title 23.

40 (10) preserving rights of way for constructing future transportation

41 projects, including identifying—
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1 (A) unused rights of way that may be needed for future transpor2 tation corridors; and

3 (B) corridors where action is needed most to prevent destruction

4 or loss.

5 (11) ways to enhance the efficient movement of freight.

6 (12) using life-cycle costs in designing and engineering bridges, tun7 nels, and pavement.

8 (13) the overall social, economic, energy, and environmental effects of

9 transportation decisions.

10 (14) ways to expand and enhance mass transportation services and to

11 increase usage of those services.

12 (15) capital investments that will result in increased security in mass

13 transportation systems.

14 (c) DESIGNATING METROPOLITAN PLANNING ORGANIZATIONS.—(1) To

15 carry out the planning process required by this section, a metropolitan plan16 ning organization shall be designated for each urbanized area with a popu17 lation of more than 50,000—

18 (A) by agreement of the chief executive officer of a State and units

19 of general local government representing at least 75 percent of the af20 fected population (including the central city as defined by the Secretary

21 of Commerce); or

22 (B) under procedures established by State or local law.

23 (2) In a metropolitan area designated as a transportation management

24 area, the designated metropolitan planning organization, if redesignated after

25 December 18, 1991, shall include local elected officials, officials of authorities

26 that administer or operate major modes of transportation in the metropolitan

27 area (including all transportation authorities included in the organization on

28 June 1, 1991), and appropriate State officials.

29 (3) More than one metropolitan planning organization may be designated

30 in an urbanized area (as defined by the Secretary of Commerce) only if the

31 chief executive officer decides that the size and complexity of the urbanized

32 area make designation of more than one organization appropriate.

33 (4) A designation is effective until—

34 (A) the organization is redesignated under paragraph (3) of this sub35 section; or

36 (B) revoked—

37 (i) by agreement of the chief executive officer and units of general

38 local government representing at least 75 percent of the affected pop39 ulation; or

40 (ii) as otherwise provided by State or local procedures.
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1 (5)(A) The chief executive officer and units of general local government rep2 resenting at least 75 percent of the affected population (including the central

3 city as defined by the Secretary of Commerce) may redesignate by agreement

4 a metropolitan planning organization when appropriate to carry out this sec5 tion.

6 (B) A metropolitan planning organization shall be redesignated on request

7 of one or more units of general local government representing at least 25 per8 cent of the affected population (including the central city as defined by the

9 Secretary of Commerce) in an urbanized area with a population of more than

10 5,000,000, but less than 10,000,000 or that is an extreme nonattainment area

11 for ozone or carbon monoxide (as defined in the Clean Air Act (42 U.S.C.

12 7401 et seq.)).

13 (C) A metropolitan planning organization shall be redesignated using pro14 cedures established to carry out this paragraph.

15 (6) This subsection does not affect the authority, under State law in effect

16 on December 18, 1991, of a public authority with multimodal transportation

17 responsibilities—

18 (A) to develop plans and programs for a metropolitan planning orga19 nization to adopt; and

20 (B) to develop long-range capital plans, coordinate mass transpor21 tation services and projects, and carry out other activities under State

22 law.

23 (d) METROPOLITAN AREA BOUNDARIES.—To carry out this section, the

24 metropolitan planning organization and the chief executive officer shall decide

25 by agreement on the boundaries of a metropolitan area. The area shall cover

26 at least the existing urbanized area and the contiguous area expected to be27 come urbanized within the 20-year forecast period and may include the Met28 ropolitan Statistical Area or Consolidated Metropolitan Statistical Area, as

29 defined by the Secretary of Commerce. An area designated as an nonattain30 ment area for ozone or carbon monoxide under the Clean Air Act (42 U.S.C.

31 7401 et seq.) shall include at least the boundaries of the nonattainment area,

32 except as the chief executive officer and metropolitan planning organization

33 otherwise agree.

34 (e) COORDINATION.—(1) The Secretary of Transportation shall establish re35 quirements the Secretary considers appropriate to encourage chief executive

36 officers and metropolitan planning organizations with responsibility for part

37 of a multi-State metropolitan area to provide coordinated transportation

38 planning for the entire area.

39 (2) Congress consents to at least 2 States making an agreement, not in con40 flict with a law of the United States, for cooperative efforts and mutual assist41 ance in support of activities authorized under this section related to interstate
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1 areas and localities in the States and establishing authorities the States con2 sider desirable for making the agreement effective.

3 (3) If more than one metropolitan planning organization has authority in

4 a metropolitan area or an area designated a nonattainment area for ozone

5 or carbon monoxide under the Clean Air Act (42 U.S.C. 7401 et seq.), each

6 organization shall consult with the other organizations designated for the area

7 and the State to coordinate plans and projects required by this section and

8 sections 5304–5306 of this title.

9 (f) DEVELOPING LONG-RANGE PLANS.—(1) Each metropolitan planning

10 organization shall prepare and update periodically, according to a schedule

11 the Secretary of Transportation decides is appropriate, a long-range plan for

12 its metropolitan area under the requirements of this section. The plan shall

13 be in the form the Secretary considers appropriate and at least shall—

14 (A) identify transportation facilities (including major roadways, mass

15 transportation, and multimodal and intermodal facilities) that should

16 function as an integrated metropolitan transportation system, emphasiz17 ing transportation facilities that serve important United States and re18 gional transportation functions;

19 (B) include a financial plan that—

20 (i) demonstrates how the long-range plan can be carried out;

21 (ii) indicates resources from public and private sources reason22 ably expected to be made available to carry out the plan; and

23 (iii) recommends innovative financing techniques, including

24 value capture, tolls, and congestion pricing, to finance needed

25 projects and programs;

26 (C) assess capital investment and other measures necessary—

27 (i) to ensure the preservation of the existing metropolitan trans28 portation system, including requirements for operational improve29 ments, resurfacing, restoration, and rehabilitation of existing and

30 future major roadways, and operations, maintenance, moderniza31 tion, and rehabilitation of existing and future mass transportation

32 facilities; and

33 (ii) to use existing transportation facilities most efficiently to re34 lieve vehicular congestion and maximize the mobility of individuals

35 and goods; and

36 (D) indicate appropriate proposed transportation enhancement activi37 ties.

38 (2) When formulating a long-range plan, the metropolitan planning orga39 nization shall consider the factors described in subsection (e) of this section

40 as they are related to a 20-year forecast period.
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1 (3) In a metropolitan area that is in a nonattainment area for ozone or

2 carbon monoxide under the Clean Air Act (42 U.S.C. 7401 et seq.), the metro3 politan planning organization shall coordinate the development of the long4 range plan with the development of the transportation control measures of the

5 State Implementation Plan required by the Act.

6 (4) Before approving a long-range plan, each metropolitan planning orga7 nization shall provide citizens, affected public agencies, representatives of

8 mass transportation authority employees, private providers of transportation,

9 and other interested parties with a reasonable opportunity to comment on the

10 plan in a way the Secretary of Transportation considers appropriate.

11 (5) A long-range plan shall be—

12 (A) made readily available for public review; and

13 (B) submitted for information purposes to the chief executive officer

14 of the State at the time and in the way the Secretary of Transportation

15 establishes.

16 (g) GRANTS.—Under criteria the Secretary of Transportation establishes,

17 the Secretary may make contracts for, and grants to, States, local govern18 mental authorities, and authorities of the States and governmental authori19 ties, or may make agreements with other departments, agencies, and instru20 mentalities of the Government, to plan, engineer, design, and evaluate a mass

21 transportation project and for other technical studies, including—

22 (1) studies related to management, operations, capital requirements,

23 and economic feasibility;

24 (2) evaluating previously financed projects; and

25 (3) other similar and related activities preliminary to and in prepa26 ration for constructing, acquiring, or improving the operation of facili27 ties and equipment.

28 (h) BALANCED AND COMPREHENSIVE PLANNING.—(1) To the extent prac29 ticable, the Secretary of Transportation shall ensure that amounts made

30 available under section 5338(g)(1) of this title to carry out this section and

31 sections 5304–5306 of this title are used to support balanced and comprehen32 sive transportation planning that considers the relationships among land use

33 and all transportation modes, without regard to the programmatic source of

34 the planning amounts.

35 (2)(A) The Secretary of Transportation shall apportion 80 percent of the

36 amount made available under section 5338(g)(1) of this title to States in a

37 ratio equal to the population in urbanized areas in each State divided by the

38 total population in urbanized areas in all States, as shown by the latest

39 available decennial census. A State may not receive less than .5 percent of

40 the amount apportioned under this subparagraph.
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1 (B) Amounts apportioned to a State under subparagraph (A) of this para2 graph shall be allocated to metropolitan planning organizations in the State

3 designated under this section under a formula—

4 (i) the State develops in cooperation with the metropolitan planning

5 organizations;

6 (ii) the Secretary of Transportation approves; and

7 (iii) that considers population in urbanized areas and provides an ap8 propriate distribution for urbanized areas to carry out the cooperative

9 processes described in this section.

10 (C) A State shall make amounts available promptly to eligible metropolitan

11 planning organizations according to procedures the Secretary of Transpor12 tation approves.

13 (3)(A) The Secretary of Transportation shall apportion 20 percent of the

14 amount made available under section 5338(g)(1) of this title to States to sup15 plement allocations made under paragraph (2)(B) of this subsection for met16 ropolitan planning organizations.

17 (B) Amounts under this paragraph shall be allocated under a formula that

18 reflects the additional cost of carrying out planning, programming, and

19 project selection responsibilities under this section and sections 5304–5306 of

20 this title in those areas.

21 (4) To the maximum extent practicable, the Secretary of Transportation

22 shall ensure that no metropolitan planning organization is allocated less than

23 the amount it received by administrative formula under this section in the

24 fiscal year that ended September 30, 1991. To carry out this subsection, the

25 Secretary may make a proportionate reduction in other amounts made avail26 able to carry out section 5338(g)(1) of this title.

27 (5) Amounts available for an activity under this subsection are for 80 per28 cent of the cost of the activity unless the Secretary of Transportation decides

29 it is in the interests of the Government not to require a State or local match.

30 (6) An amount apportioned under this subsection—

31 (A) remains available for 3 years after the fiscal year in which the

32 amount is apportioned, and

33 (B) that is unobligated at the end of the 3-year period shall be

34 reapportioned among the States for the next fiscal year.

35 § 5304. Transportation improvement program

36 (a) DEVELOPMENT AND UPDATE.—In cooperation with the State and af37 fected mass transportation operators, a metropolitan planning organization

38 designated for a metropolitan area shall develop a transportation improve39 ment program for the area. In developing the program, the organization shall

40 provide citizens, affected public agencies, representatives of transportation au41 thority employees, other affected employee representatives, private providers of
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1 transportation, and other interested parties with a reasonable opportunity to

2 comment on the proposed program. The program shall be updated at least

3 once every 2 years and shall be approved by the organization and the chief

4 executive officer of the State.

5 (b) CONTENTS.—A transportation improvement program for a metropoli6 tan area shall include—

7 (1) a priority list of projects and parts of projects to be carried out

8 in each 3-year period after the program is adopted; and

9 (2) a financial plan that—

10 (A) demonstrates how the program can be carried out;

11 (B) indicates resources from public and private sources that rea12 sonably are expected to be made available to carry out the plan; and

13 (C) recommends innovative financing techniques, including value

14 capture, tolls, and congestion pricing, to finance needed projects.

15 (c) PROJECT SELECTION.—(1) Except as provided in section 5305(d)(1) of

16 this title, the State, in cooperation with the metropolitan planning organiza17 tion, shall select projects in a metropolitan area that involves United States

18 Government participation. Selection shall comply with the transportation im19 provement program for the area.

20 (2) A transportation improvement program for a metropolitan area shall

21 include—

22 (A) projects within the area that are proposed for financing under this

23 chapter and title 23 and that are consistent with the long-range plan

24 developed under section 5303(f) of this title; and

25 (B) a project or an identified phase of a project only if full financing

26 reasonably can be anticipated to be available for the project in the period

27 estimated for completion.

28 (d) NOTICE AND COMMENT.—Before approving a transportation improve29 ment program, a metropolitan planning organization shall provide citizens,

30 affected public agencies, representatives of transportation agency employees,

31 private providers of transportation, and other interested parties with reason32 able notice and an opportunity to comment on the proposed program.

33 (e) REGULATORY PROCEEDING.—Not later than June 18, 1992, the Sec34 retary of Transportation shall begin a regulatory proceeding to conform re35 view requirements for mass transportation projects under the National Envi36 ronmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) to comparable require37 ments under that Act applicable to highway projects. This section and sections

38 5303, 5305, and 5306 of this title do not affect the applicability of the Act

39 to mass transportation or highway projects. A mass transportation project

40 that has an approved draft Environmental Impact Statement is exempt from

41 complying with requirements under the Act applicable to highway projects.
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1 § 5305. Transportation management areas

2 (a) DESIGNATION.—The Secretary of Transportation shall designate as a

3 transportation management area—

4 (1) each urbanized area with a population of more than 200,000; and

5 (2) any other area, including the Lake Tahoe Basin as defined in the

6 Act of December 19, 1980 (Public Law 96–551, 94 Stat. 3233), when re7 quested by the chief executive officer and the metropolitan organization

8 designated for the area or the affected local officials.

9 (b) TRANSPORTATION PLANS AND PROGRAMS.—Transportation plans and

10 programs in a transportation management area shall be based on a continu11 ing and comprehensive transportation planning process the metropolitan

12 planning organization carries out in cooperation with the State and mass

13 transportation operators.

14 (c) CONGESTION MANAGEMENT SYSTEM.—The transportation planning

15 process under sections 5303, 5304, and 5306 of this title in a transportation

16 management area shall include a congestion management system providing

17 for effective management, through travel demand reduction and operational

18 management strategies, of new and existing transportation facilities eligible

19 for financing under this chapter and title 23. The Secretary shall establish

20 a phase-in schedule to comply with sections 5303, 5304, and 5306.

21 (d) PROJECT SELECTION.—(1)(A) In consultation with the State, the met22 ropolitan planning organization designated for a transportation management

23 area shall select the projects to be carried out in the area with United States

24 Government participation under this chapter or title 23, except projects of the

25 National Highway System or under the Bridge and Interstate Maintenance

26 programs.

27 (B) In cooperation with the metropolitan planning organization designated

28 for a transportation management area, the State shall select the projects to

29 be carried out in the area of the National Highway System or under the

30 Bridge and Interstate Maintenance programs.

31 (2)(A) A selection under this subsection must comply with the transpor32 tation improvement program for the area.

33 (B) A selection under paragraph (1)(A) of this subsection must comply

34 with priorities established in the program.

35 (e) CERTIFICATION.—(1) At least once every 3 years, the Secretary shall

36 ensure and certify that each metropolitan planning organization in each

37 transportation management area is carrying out its responsibilities under ap38 plicable laws of the United States. The Secretary may make the certification

39 only if the organization is complying with section 134 of title 23 and other

40 applicable requirements of laws of the United States and the organization and
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1 chief executive officer have approved a transportation improvement program

2 for the area.

3 (2) If the Secretary does not certify before October 1, 1993, that a metro4 politan planning organization is carrying out its responsibilities, the Sec5 retary may withhold any part of the apportionment under section 104(b)(3)

6 of title 23 attributed to the relevant metropolitan area under section 133(d)(3)

7 of title 23 and capital amounts apportioned under section 5336 of this title.

8 If an organization remains uncertified for more than 2 consecutive years after

9 September 30, 1994, 20 percent of that apportionment and capital amounts

10 shall be withheld. The withheld apportionments shall be restored when the Sec11 retary certifies the organization.

12 (3) The Secretary may not withhold certification based on the policies and

13 criteria a metropolitan planning organization or mass transportation grant

14 recipient establishes under section 5306(a) of this title for deciding the fea15 sibility of private enterprise participation.

16 (f) ADDITIONAL REQUIREMENTS FOR CERTAIN NONATTAINMENT AREAS.—

17 Government amounts may be made available for a mass transportation

18 project resulting in a significant increase in carrying capacity for single oc19 cupant vehicles in a transportation management area classified as a non20 attainment area for ozone or carbon monoxide under the Clean Air Act (42

21 U.S.C. 7401 et seq.) only if the project is part of an approved congestion

22 management system.

23 (g) AREAS NOT DESIGNATED TRANSPORTATION MANAGEMENT AREAS.—(1)

24 The Secretary may provide for the development of abbreviated metropolitan

25 transportation plans and programs the Secretary decides are appropriate to

26 carry out this section and sections 5303, 5304, and 5306 of this title for met27 ropolitan areas not designated transportation management areas under this

28 section. The Secretary shall consider the complexity of transportation prob29 lems in those areas, including transportation-related air quality problems.

30 (2) The Secretary may not provide an abbreviated plan or program for a

31 metropolitan area in a nonattainment area for ozone or carbon monoxide

32 under the Clean Air Act (42 U.S.C. 7401 et seq.).

33 § 5306. Private enterprise participation in metropolitan

34 planning and transportation improvement pro35 grams and relationship to other limitations

36 (a) PRIVATE ENTERPRISE PARTICIPATION.—A plan or program required

37 by section 5303, 5304, or 5305 of this title shall encourage to the maximum

38 extent feasible the participation of private enterprise. If equipment or a facil39 ity already being used in an urban area is to be acquired under this chapter,

40 the program shall provide that it be improved so that it will better serve the

41 transportation needs of the area.
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1 (b) RELATIONSHIP TO OTHER LIMITATIONS.—Sections 5303–5305 of this

2 title do not authorize—

3 (1) a metropolitan planning organization to impose a legal require4 ment on a transportation facility, provider, or project not eligible under

5 this chapter or title 23; and

6 (2) intervention in the management of a transportation authority.

7 § 5307. Block grants

8 (a) DEFINITIONS.—In this section—

9 (1) ‘‘associated capital maintenance items’’ means equipment, tires,

10 tubes, and material, each costing at least .5 percent of the current fair

11 market value of rolling stock comparable to the rolling stock for which

12 the equipment, tires, tubes, and material are to be used.

13 (2) ‘‘designated recipient’’ means—

14 (A) a person designated, consistent with the planning process

15 under sections 5303–5306 of this title, by the chief executive officer

16 of a State, responsible local officials, and publicly owned operators

17 of mass transportation to receive and apportion amounts under sec18 tion 5336 of this title that are attributable to transportation man19 agement areas established under section 5305(a) of this title;

20 (B) a State or regional authority if the authority is responsible

21 under the laws of a State for a capital project and for financing

22 and directly providing mass transportation; or

23 (C) a recipient designated under section 5(b)(1) of the Federal

24 Transit Act not later than January 5, 1983.

25 (b) GENERAL AUTHORITY.—(1) The Secretary of Transportation may make

26 grants under this section for capital projects and to finance the planning, im27 provement, and operating costs of equipment, facilities, and associated capital

28 maintenance items for use in mass transportation, including the renovation

29 and improvement of historic transportation facilities with related private in30 vestment.

31 (2) In a transportation management area designated under section 5305(a)

32 of this title, amounts that cannot be used to pay operating expenses under

33 this section also are available for a highway project if—

34 (A) that use is approved by the metropolitan planning organization

35 under section 5303 of this title after appropriate notice and an oppor36 tunity for comment and appeal is provided to affected mass transpor37 tation providers; and

38 (B) the Secretary decides the amounts are not needed for investment

39 required by the Americans with Disabilities Act of 1990 (42 U.S.C.

40 12101 et seq.).
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1 (3) A grant for a capital project under this section also is available to fi2 nance the leasing of equipment and facilities for use in mass transportation,

3 subject to regulations the Secretary prescribes limiting the grant to leasing

4 arrangements that are more cost effective than acquisition or construction.

5 (4) A project for the reconstruction of equipment and material, each of

6 which after reconstruction will have a fair market value of at least .5 percent

7 of the current fair market value of rolling stock comparable to the rolling stock

8 for which the equipment and material will be used, is a capital project for

9 an associated capital maintenance item under this section.

10 (5) Amounts under this section are available for a highway project under

11 title 23 only if amounts used for the State or local share of the project are

12 eligible to finance either a highway or mass transportation project.

13 (c) PUBLIC PARTICIPATION REQUIREMENTS.—Each recipient of a grant

14 shall—

15 (1) make available to the public information on amounts available to

16 the recipient under this section and the program of projects the recipient

17 proposes to undertake;

18 (2) develop, in consultation with interested parties, including private

19 transportation providers, a proposed program of projects for activities to

20 be financed;

21 (3) publish a proposed program of projects in a way that affected citi22 zens, private transportation providers, and local elected officials have the

23 opportunity to examine the proposed program and submit comments on

24 the proposed program and the performance of the recipient;

25 (4) provide an opportunity for a public hearing in which to obtain

26 the views of citizens on the proposed program of projects;

27 (5) ensure that the proposed program of projects provides for the co28 ordination of mass transportation services assisted under section 5336 of

29 this title with transportation services assisted from other United States

30 Government sources;

31 (6) consider comments and views received, especially those of private

32 transportation providers, in preparing the final program of projects; and

33 (7) make the final program of projects available to the public.

34 (d) GRANT RECIPIENT REQUIREMENTS.—A recipient may receive a grant

35 in a fiscal year only if—

36 (1) the recipient, within the time the Secretary prescribes, submits a

37 final program of projects prepared under subsection (c) of this section

38 and a certification for that fiscal year that the recipient (including a

39 person receiving amounts from a chief executive officer of a State under

40 this section)—
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1 (A) has or will have the legal, financial, and technical capacity

2 to carry out the program;

3 (B) has or will have satisfactory continuing control over the use

4 of equipment and facilities;

5 (C) will maintain equipment and facilities;

6 (D) will ensure that elderly and handicapped individuals, or an

7 individual presenting a medicare card issued to that individual

8 under title II or XVIII of the Social Security Act (42 U.S.C. 401

9 et seq., 1395 et seq.), will be charged during non-peak hours for

10 transportation using or involving a facility or equipment of a

11 project financed under this chapter not more than 50 percent of the

12 peak hour fare;

13 (E) in carrying out a procurement under this section—

14 (i) will use competitive procurement (as defined or approved

15 by the Secretary);

16 (ii) will not use a procurement that uses exclusionary or dis17 criminatory specifications; and

18 (iii) will comply with applicable Buy-American laws in car19 rying out a procurement;

20 (F) has complied with subsection (c) of this section;

21 (G) has available and will provide the required amounts as pro22 vided by subsection (e) of this section;

23 (H) will comply with sections 5301(a) and (d), 5303–5306, and

24 5310(a)–(d) of this title;

25 (I) has a locally developed process to solicit and consider public

26 comment before raising a fare or carrying out a major reduction

27 of transportation; and

28 (J)(i) will expend for each fiscal year for mass transportation se29 curity projects, including increased lighting in or adjacent to a

30 mass transportation system (including bus stops, subway stations,

31 parking lots, and garages), increased camera surveillance of an area

32 in or adjacent to that system, providing an emergency telephone

33 line to contact law enforcement or security personnel in an area in

34 or adjacent to that system, and any other project intended to in35 crease the security and safety of an existing or planned mass trans36 portation system, at least one percent of the amount the recipient

37 receives for each fiscal year under section 5336 of this title; or

38 (ii) has decided that the expenditure for security projects is not

39 necessary; and

40 (2) the Secretary accepts the certification.
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1 (e) GOVERNMENT’S SHARE OF COSTS.—A grant of the Government for a

2 capital project (including associated capital maintenance items) under this

3 section is for 80 percent of the net project cost of the project. A recipient may

4 provide additional local matching amounts. A grant for operating expenses

5 may not be more than 50 percent of the net project cost of the project. The

6 remainder of the net project cost shall be provided in cash from sources other

7 than amounts of the Government or revenues from providing mass transpor8 tation (excluding revenues derived from the sale of advertising and concessions

9 that are more than the amount of those revenues in the fiscal year that ended

10 September 30, 1985). Transit system amounts that make up the remainder

11 shall be from an undistributed cash surplus, a replacement or depreciation

12 cash fund or reserve, or new capital.

13 (f) STATEWIDE OPERATING ASSISTANCE.—(1) A State authority that is a

14 designated recipient and providing mass transportation in at least 2 urban15 ized areas may apply for operating assistance in an amount not more than

16 the amount for all urbanized areas in which it provides transportation.

17 (2) When approving an application under paragraph (1) of this subsection,

18 the Secretary may not reduce the amount of operating assistance approved

19 for another State or a local transportation authority within the affected ur20 banized areas.

21 (g) UNDERTAKING PROJECTS IN ADVANCE.—(1) When a recipient obligates

22 all amounts apportioned to it under section 5336 of this title and then carries

23 out a part of a project described in this section (except a project for operating

24 expenses) without amounts of the Government and according to all applicable

25 procedures and requirements (except to the extent the procedures and require26 ments limit a State to carrying out a project with amounts of the Government

27 previously apportioned to it), the Secretary may pay to the recipient the Gov28 ernment’s share of the cost of carrying out that part when additional amounts

29 are apportioned to the recipient under section 5336 if—

30 (A) the recipient applies for the payment;

31 (B) the Secretary approves the payment; and

32 (C) before carrying out that part, the Secretary approves the plans

33 and specifications for the part in the same way as for other projects

34 under this section.

35 (2) The Secretary may approve an application under paragraph (1) of this

36 subsection only if an authorization for this section is in effect for the fiscal

37 year to which the application applies. The Secretary may not approve an ap38 plication if the payment will be more than—

39 (A) the recipient’s expected apportionment under section 5336 of this

40 title if the total amount authorized to be appropriated for the fiscal year

41 to carry out this section is appropriated; less
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1 (B) the maximum amount of the apportionment that may be made

2 available for projects for operating expenses under this section.

3 (3) The cost of carrying out that part of a project includes the amount of

4 interest earned and payable on bonds issued by the recipient to the extent pro5 ceeds of the bonds are expended in carrying out the part. However, the

6 amount of interest allowed under this paragraph may not be more than the

7 amount by which the estimated cost of carrying out the part (if it would be

8 carried out at the time the part is converted to a regularly financed project)

9 exceeds the actual cost (except interest) of carrying out the part.

10 (4) The Secretary shall consider changes in capital project cost indices

11 when determining the estimated cost under paragraph (3) of this subsection.

12 (h) STREAMLINED ADMINISTRATIVE PROCEDURES.—The Secretary shall

13 prescribe streamlined administrative procedures for complying with the cer14 tification requirement under subsection (d)(1)(B) and (C) of this section for

15 track and signal equipment used in existing operations.

16 (i) REVIEWS, AUDITS, AND EVALUATIONS.—(1)(A) At least annually, the

17 Secretary shall carry out, or require a recipient to have carried out independ18 ently, reviews and audits the Secretary considers appropriate to establish

19 whether the recipient has carried out—

20 (i) the activities proposed under subsection (d) of this section in a

21 timely and effective way and can continue to do so; and

22 (ii) those activities and its certifications and has used amounts of the

23 Government in the way required by law.

24 (B) An audit of the use of amounts of the Government shall comply with

25 the auditing procedures of the Comptroller General.

26 (2) At least once every 3 years, the Secretary shall review and evaluate

27 completely the performance of a recipient in carrying out the recipient’s pro28 gram, specifically referring to compliance with statutory and administrative

29 requirements and the extent to which actual program activities are consistent

30 with the activities proposed under subsection (d) of this section and the plan31 ning process required under sections 5303–5306 of this title.

32 (3) The Secretary may take appropriate action consistent with a review,

33 audit, and evaluation under this subsection, including making an appro34 priate adjustment in the amount of a grant or withdrawing the grant.

35 (j) REPORTS.—A recipient (including a person receiving amounts from a

36 chief executive officer of a State under this section) shall submit annually to

37 the Secretary a report on the revenues the recipient derives from the sale of

38 advertising and concessions.

39 (k) SUBMISSION OF CERTIFICATIONS.—A certification under subsection (d)

40 of this section and any additional certification required by law to be submit41 ted to the Secretary may be consolidated into a single document to be submit-
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1 ted annually as part of the grant application under this section. The Sec2 retary shall publish annually a list of all certifications required under this

3 chapter with the publication required under section 5336(e)(2) of this title.

4 (l) PROCUREMENT SYSTEM APPROVAL.—A recipient may request the Sec5 retary to approve its procurement system. The Secretary shall approve the

6 system for use for procurements financed under section 5336 of this title if,

7 after consulting with the Administrator for Federal Procurement Policy, the

8 Secretary decides the system provides for competitive procurement. Approval

9 of a system under this subsection does not relieve a recipient of the duty to

10 certify under subsection (d)(1)(E) of this section.

11 (m) OPERATING FERRIES OUTSIDE URBANIZED AREAS.—A vessel used in

12 ferryboat operations financed under section 5336 of this title that is part of

13 a State-operated ferry system may be operated occasionally outside the urban14 ized area in which service is provided to accommodate periodic maintenance

15 if existing ferry service is not reduced significantly by operating outside the

16 area.

17 (n) RELATIONSHIP TO OTHER LAWS.—(1) Section 1001 of title 18 applies

18 to a certificate or submission under this section. The Secretary may end a

19 grant under this section and seek reimbursement, directly or by offsetting

20 amounts available under section 5336 of this title, when a false or fraudulent

21 statement or related act within the meaning of section 1001 is made in con22 nection with a certification or submission.

23 (2) Sections 5302, 5318, 5323(a)(1), (d), and (f), 5332, and 5333 of this

24 title apply to this section and to a grant made under this section. Except

25 as provided in this section, no other provision of this chapter applies to this

26 section or to a grant made under this section.

27 § 5308. Mass Transit Account block grants

28 (a) GENERAL AUTHORITY.—The Secretary of Transportation may make

29 grants under this section to be used only for capital projects (including cap30 ital maintenance items).

31 (b) APPLICATION OF OTHER SECTIONS.—(1) Sections 5307(a)–(d), (h)–(l),

32 and (n) and 5336(a)–(c), (f), (g), and (j) of this title apply to amounts made

33 available under section 5338(a) of this title to carry out this section.

34 (2) Sections 5307(e) and 5336(d) of this title apply to grants under this

35 section.

36 § 5309. Discretionary grants and loans

37 (a) GENERAL AUTHORITY.—The Secretary of Transportation may make

38 grants and loans under this section to assist State and local governmental

39 authorities in financing—

40 (1) capital projects for new fixed guideway systems, and extensions to

41 existing fixed guideway systems, including the acquisition of real prop-
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1 erty, the initial acquisition of rolling stock for the systems, alternatives

2 analysis related to the development of the systems, and the acquisition

3 of rights of way, and relocation, for fixed guideway corridor development

4 for projects in the advanced stages of alternatives analysis or prelimi5 nary engineering;

6 (2) capital projects, including property and improvements (except

7 public highways other than fixed guideway facilities), needed for an effi8 cient and coordinated mass transportation system;

9 (3) the capital costs of coordinating mass transportation with other

10 transportation;

11 (4) the introduction of new technology, through innovative and im12 proved products, into mass transportation;

13 (5) transportation projects that enhance urban economic development

14 or incorporate private investment, including commercial and residential

15 development, because the projects—

16 (A) enhance the effectiveness of a mass transportation project and

17 are related physically or functionally to that mass transportation

18 project; or

19 (B) establish new or enhanced coordination between mass trans20 portation and other transportation;

21 (6) mass transportation projects planned, designed, and carried out to

22 meet the special needs of elderly individuals and individuals with dis23 abilities; and

24 (7) the development of corridors to support fixed guideway systems, in25 cluding protecting rights of way through acquisition, construction of

26 dedicated bus and high occupancy vehicle lanes and park and ride lots,

27 and other nonvehicular capital improvements that the Secretary may de28 cide would result in increased mass transportation usage in the corridor.

29 (b) LOANS FOR REAL PROPERTY INTERESTS.—(1) The Secretary of Trans30 portation may make loans under this section to State and local governmental

31 authorities to acquire interests in real property for use on urban mass trans32 portation systems as rights of way, station sites, and related purposes, includ33 ing reconstruction, renovation, the net cost of property management, and relo34 cation payments made under section 5324(a) of this title.

35 (2) The Secretary of Transportation may make a loan under paragraph

36 (1) of this subsection for an approved project only after finding that the prop37 erty reasonably is expected to be required for a mass transportation system

38 and that it will be used for that system within a reasonable time.

39 (3) An applicant for a loan under this subsection shall provide a copy of

40 the application to the planning agency for the community affected by the

41 project at the same time the application is submitted to the Secretary of
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1 Transportation. If the planning agency submits comments to the Secretary

2 not later than 30 days after the application is submitted, or, if the agency

3 requests more time within those 30 days, within a period the Secretary estab4 lishes, the Secretary shall consider those comments before taking final action

5 on the application.

6 (4) A loan agreement under this subsection shall provide that a capital

7 project on the property will be started not later than 10 years after the fiscal

8 year in which the agreement is made. If an interest in property acquired

9 under this subsection is not used for the purpose for which it was acquired,

10 an appraisal of the current value of the property or interest shall be made

11 when a decision is made about the use. The decision shall be made within

12 the 10-year period. Two-thirds of the increase in value shall be paid to the

13 Secretary of Transportation for deposit in the Treasury as miscellaneous re14 ceipts.

15 (5) A loan under this subsection must be repaid not later than 10 years

16 after the date of the loan agreement or on the date a grant agreement for a

17 capital project on the property is made, whichever is earlier. Payments made

18 to repay the loan shall be deposited in the Treasury as miscellaneous receipts.

19 (c) CONSIDERATION OF DECREASED COMMUTER RAIL TRANSPORTATION.—

20 The Secretary of Transportation shall consider the adverse effect of decreased

21 commuter rail transportation when deciding whether to approve a grant or

22 loan under this section to acquire a rail line and all related facilities—

23 (1) owned by a rail carrier subject to reorganization under title 11;

24 and

25 (2) used to provide commuter rail transportation.

26 (d) PROJECT AS PART OF APPROVED PROGRAM OF PROJECTS.—Except as

27 provided in subsections (b)(2) and (e) of this section, the Secretary of Trans28 portation may approve a grant or loan for a project under this section only

29 after finding that the project is part of the approved program of projects re30 quired under sections 5303–5306 of this title and that an applicant—

31 (1) has or will have the legal, financial, and technical capacity to

32 carry out the project, satisfactory continuing control over the use of

33 equipment or facilities, and the capability to maintain the equipment or

34 facilities; and

35 (2) will maintain the equipment or facilities.

36 (e) CRITERIA FOR GRANTS AND LOANS FOR FIXED GUIDEWAY SYSTEMS.—

37 (1) This subsection applies to a project—

38 (A) for which a letter of intent or contract for the complete amount

39 is issued under subsection (g) of this section after April 1, 1987; or

40 (B) not in the preliminary engineering, final design, or construction

41 stage on January 1, 1987.
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1 (2) The Secretary of Transportation may approve a grant or loan under

2 this section for a capital project for a new fixed guideway system or extension

3 of an existing fixed guideway system only if the Secretary decides that the

4 proposed project is—

5 (A) based on the results of an alternatives analysis and preliminary

6 engineering;

7 (B) justified based on a comprehensive review of its mobility improve8 ments, environmental benefits, cost effectiveness, and operating effi9 ciencies; and

10 (C) supported by an acceptable degree of local financial commitment,

11 including evidence of stable and dependable financing sources to con12 struct, maintain, and operate the system or extension.

13 (3) In making a decision under paragraph (2) of this subsection, the Sec14 retary of Transportation shall—

15 (A) consider the direct and indirect costs of relevant alternatives;

16 (B) account for costs related to factors such as congestion relief, im17 proved mobility, air pollution, noise pollution, congestion, energy con18 sumption, and all associated ancillary and mitigation costs necessary to

19 carry out each alternative analyzed;

20 (C) identify and consider mass transportation supportive existing

21 land use policies and future patterns;

22 (D) consider the degree to which the project increases the mobility of

23 the mass transportation dependent population or promotes economic de24 velopment; and

25 (E) consider other factors the Secretary considers appropriate to carry

26 out this chapter.

27 (4)(A) The Secretary of Transportation shall issue guidelines on how the

28 Secretary will evaluate results of alternatives analysis, project justification,

29 and the degree of local financial commitment.

30 (B) The project justification under paragraph (1)(B) of this subsection

31 shall be adjusted to reflect differences in local land, construction, and operat32 ing costs.

33 (C) The degree of local financial commitment is acceptable only if—

34 (i) the proposed project plan provides for the availability of contin35 gency amounts the Secretary of Transportation determines to be reason36 able to cover unanticipated cost overruns;

37 (ii) each proposed local source of capital and operating financing is

38 stable, reliable, and available within the proposed project timetable; and

39 (iii) local resources are available to operate the overall proposed mass

40 transportation system (including essential feeder bus and other services

41 necessary to achieve the projected ridership levels) without requiring a
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1 reduction in existing mass transportation services to operate the pro2 posed project.

3 (D) In assessing the stability, reliability, and availability of proposed

4 sources of local financing, the Secretary of Transportation shall consider—

5 (i) existing grant commitments;

6 (ii) the degree to which financing sources are dedicated to the purposes

7 proposed; and

8 (iii) any debt obligation that exists or is proposed by the recipient for

9 the proposed project or other mass transportation purpose.

10 (5) A proposed project may advance from alternatives analysis to prelimi11 nary engineering only if the Secretary of Transportation finds that the

12 project meets the requirements of this section and there is a reasonable chance

13 that the project will continue to meet the requirements at the end of prelimi14 nary engineering.

15 (6)(A) A new fixed guideway system or extension of an existing fixed guide16 way system is not subject to the requirements of this subsection, and the si17 multaneous evaluation of similar projects in at least 2 corridors in a metro18 politan area may not be limited, if—

19 (i) the project is located in an extreme or severe nonattainment area

20 and is a transportation control measure (as defined by the Clean Air

21 Act (42 U.S.C. 7401 et seq.)) required to carry out an approved State

22 Implementation Plan; or

23 (ii) assistance provided under this section is less than $25,000,000 or

24 one-third of the total cost of the project or an appropriate program of

25 projects as decided by the Secretary of Transportation.

26 (B) The simultaneous evaluation of projects in at least 2 corridors in a

27 metropolitan area may not be limited and the Secretary of Transportation

28 shall make decisions under this subsection with expedited procedures that will

29 promote carrying out an approved State Implementation Plan in a timely

30 way if a project is—

31 (i) located in a nonattainment area that is not an extreme or severe

32 nonattainment area;

33 (ii) a transportation control measure (as defined by the Clean Air Act

34 (42 U.S.C. 7401 et seq.)); and

35 (iii) required to carry out the State Implementation Plan.

36 (C) This subsection does not apply to a part of a project (including a com37 muter rail transportation project on an existing right of way) financed com38 pletely with amounts for highways made available under part A of title I of

39 the Intermodal Surface Transportation Efficiency Act of 1991 (Public Law

40 102–240, 105 Stat. 1915).
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1 (7) A project financed under this subsection shall be carried out through

2 a full financing grant agreement.

3 (f) REQUIRED PAYMENTS AND ELIGIBLE COSTS OF PROJECTS THAT EN4 HANCE URBAN ECONOMIC DEVELOPMENT OR INCORPORATE PRIVATE INVEST5 MENT.—(1) Each grant or loan under subsection (a)(5) of this section shall

6 require that a person making an agreement to occupy space in a facility pay

7 a reasonable share of the costs of the facility through rental payments and

8 other means.

9 (2) Eligible costs for a project under subsection (a)(5) of this section—

10 (A) include property acquisition, demolition of existing structures, site

11 preparation, utilities, building foundations, walkways, open space, and

12 a capital project for, and improving, equipment or a facility for an

13 intermodal transfer facility or transportation mall; but

14 (B) do not include construction of a commercial revenue-producing fa15 cility or a part of a public facility not related to mass transportation.

16 (g) LETTERS OF INTENT, FULL FINANCING GRANT AGREEMENTS, AND

17 EARLY SYSTEMS WORK AGREEMENTS.—(1)(A) The Secretary of Transpor18 tation may issue a letter of intent to an applicant announcing an intention

19 to obligate, for a project under this section, an amount from future available

20 budget authority specified in law that is not more than the amount stipulated

21 as the financial participation of the Secretary in the project. The amount

22 shall be sufficient to complete at least an operable segment when a letter is

23 issued for a fixed guideway project.

24 (B) At least 30 days before issuing a letter under subparagraph (A) of this

25 paragraph, the Secretary of Transportation shall notify in writing the Com26 mittee on Public Works and Transportation of the House of Representatives

27 and the Committee on Banking, Housing, and Urban Affairs of the Senate

28 of the proposed issuance of the letter.

29 (C) The issuance of a letter is deemed not to be an obligation under sections

30 1108(c) and (d), 1501, and 1502(a) of title 31 or an administrative commit31 ment.

32 (D) An obligation or administrative commitment may be made only when

33 amounts are appropriated.

34 (2)(A) The Secretary of Transportation may make a full financing grant

35 agreement with an applicant. The agreement shall—

36 (i) establish the terms of participation by the United States Govern37 ment in a project under this section;

38 (ii) establish the maximum amount of Government financial assist39 ance for the project;

40 (iii) cover the period of time for completing the project, including a

41 period extending beyond the period of an authorization; and
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1 (iv) make timely and efficient management of the project easier ac2 cording to the law of the United States.

3 (B) An agreement under this paragraph obligates an amount of available

4 budget authority specified in law and may include a commitment, contingent

5 on amounts to be specified in law in advance for commitments under this

6 paragraph, to obligate an additional amount from future available budget au7 thority specified in law. The agreement shall state that the contingent com8 mitment is not an obligation of the Government. Interest and other financing

9 costs of efficiently carrying out a part of the project within a reasonable time

10 are a cost of carrying out the project under a full financing grant agreement,

11 except that eligible costs may not be more than the cost of the most favorable

12 financing terms reasonably available for the project at the time of borrowing.

13 The applicant shall certify, in a way satisfactory to the Secretary of Trans14 portation, that the applicant has shown reasonable diligence in seeking the

15 most favorable financing terms. The amount stipulated in an agreement

16 under this paragraph for a fixed guideway project shall be sufficient to com17 plete at least an operable segment.

18 (3)(A) The Secretary of Transportation may make an early systems work

19 agreement with an applicant if a record of decision under the National Envi20 ronmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) has been issued on the

21 project and the Secretary finds there is reason to believe—

22 (i) a full financing grant agreement for the project will be made; and

23 (ii) the terms of the work agreement will promote ultimate completion

24 of the project more rapidly and at less cost.

25 (B) A work agreement under this paragraph obligates an amount of avail26 able budget authority specified in law and shall provide for reimbursement

27 of preliminary costs of carrying out the project, including land acquisition,

28 timely procurement of system elements for which specifications are decided,

29 and other activities the Secretary of Transportation decides are appropriate

30 to make efficient, long-term project management easier. A work agreement

31 shall cover the period of time the Secretary considers appropriate. The period

32 may extend beyond the period of current authorization. Interest and other fi33 nancing costs of efficiently carrying out the work agreement within a reason34 able time are a cost of carrying out the agreement, except that eligible costs

35 may not be more than the cost of the most favorable financing terms reason36 ably available for the project at the time of borrowing. The applicant shall

37 certify, in a way satisfactory to the Secretary, that the applicant has shown

38 reasonable diligence in seeking the most favorable financing terms. If an ap39 plicant does not carry out the project for reasons within the control of the

40 applicant, the applicant shall repay all Government payments made under
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1 the work agreement plus reasonable interest and penalty charges the Secretary

2 establishes in the agreement.

3 (4) The total estimated amount of future obligations of the Government and

4 contingent commitments to incur obligations covered by all outstanding letters

5 of intent, full financing grant agreements, and early systems work agreements

6 may be not more than the greater of the amount authorized under section

7 5338(a) of this title to carry out this section or 50 percent of the uncommitted

8 cash balance remaining in the Mass Transit Account of the Highway Trust

9 Fund (including amounts received from taxes and interest earned that are

10 more than amounts previously obligated), less an amount the Secretary of

11 Transportation reasonably estimates is necessary for grants under this section

12 not covered by a letter. The total amount covered by new letters and contin13 gent commitments included in full financing grant agreements and early sys14 tems work agreements may be not more than a limitation specified in law.

15 (h) GOVERNMENT’S SHARE OF NET PROJECT COST.—Based on engineering

16 studies, studies of economic feasibility, and information on the expected use

17 of equipment or facilities, the Secretary of Transportation shall estimate the

18 net project cost. A grant for the project is for 80 percent of the net project

19 cost, unless the grant recipient requests a lower grant percentage. The remain20 der shall be provided in cash from a source other than amounts of the Govern21 ment. Transit system amounts that make up the remainder must be from an

22 undistributed cash surplus, a replacement or depreciation cash fund or re23 serve, or new capital. The remainder for a planned extension to a fixed guide24 way system may include the cost of rolling stock previously purchased if the

25 applicant satisfies the Secretary that only amounts other than amounts of the

26 Government were used and that the purchase was made for use on the exten27 sion. A refund or reduction of the remainder may be made only if a refund

28 of a proportional amount of the grant of the Government is made at the same

29 time.

30 (i) LOAN TERM REQUIREMENTS.—Except for a loan under subsection (b)

31 of this section, a loan, including a renewal or extension of the loan, may be

32 made, and a security or obligation may be bought, only if it has a maturity

33 date of not more than 40 years. Interest on a loan may not be less than—

34 (1) a rate the Secretary of the Treasury establishes, considering the

35 current average yield on outstanding marketable obligations of the Gov36 ernment that have remaining periods of maturity comparable to the av37 erage maturity of the loan, adjusted to the nearest .125 percent; plus

38 (2) an allowance the Secretary of Transportation considers adequate

39 to cover administrative costs and probable losses.

40 (j) LOAN PAYMENT FORGIVENESS.—A grant agreement for a capital project

41 may forgive repaying the loan and interest in place of a cash grant for the
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1 amount forgiven. The amount is part of the grant and part of the contribu2 tion of the Government to the cost of the project.

3 (k) LIMITATION ON MAKING LOANS AND GRANTS FOR PROJECTS.—The Sec4 retary of Transportation may not make a loan under this section for a project

5 for which a grant (except a relocation payment grant) is made under this

6 section. However, the Secretary may make a project grant even though real

7 property for the project has been or will be acquired through a loan under

8 subsection (b) of this section.

9 (l) FISCAL CAPACITY CONSIDERATIONS.—If the Secretary of Transpor10 tation gives priority consideration to financing projects that include more

11 than the non-Government share required under subsection (h) of this section,

12 the Secretary shall give equal consideration to differences in the fiscal capac13 ity of State and local governments.

14 (m) ALLOCATING AMOUNTS.—(1) Of the amounts available for grants and

15 loans under this section for each of the fiscal years ending September 30,

16 1993–1997—

17 (A) 40 percent is available for fixed guideway modernization;

18 (B) 40 percent is available for capital projects for new fixed guideway

19 systems and extensions to existing fixed guideway systems; and

20 (C) 20 percent is available to replace, rehabilitate, and buy buses and

21 related equipment and to construct bus-related facilities.

22 (2) At least 5.5 percent of the amounts available in each fiscal year under

23 paragraph (1)(C) of this subsection is available for areas other than urban24 ized areas.

25 (3) Not later than January 20 of each year, the Secretary of Transpor26 tation shall submit to the Committee on Public Works and Transportation of

27 the House of Representatives and the Committee on Banking, Housing, and

28 Urban Affairs of the Senate a proposal on the allocation of amounts to be

29 made available to finance grants and loans for capital projects for new fixed

30 guideway systems and extensions to existing fixed guideway systems among

31 applicants for those amounts.

32 (4) A person applying for, or receiving, assistance for a project described

33 in clause (A), (B), or (C) of paragraph (1) of this subsection may receive as34 sistance for a project described in another of those clauses.

35 (n) UNDERTAKING PROJECTS IN ADVANCE.—(1) The Secretary of Trans36 portation may pay the Government’s share of the net project cost to a State

37 or local governmental authority that carries out any part of a project de38 scribed in this section or a substitute transit project described in section

39 103(e)(4) of title 23 without the aid of amounts of the Government and ac40 cording to all applicable procedures and requirements if—

41 (A) the State or local governmental authority applies for the payment;
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1 (B) the Secretary approves the payment; and

2 (C) before carrying out the part of the project, the Secretary approves

3 the plans and specifications for the part in the same way as other

4 projects under this section or section 103(e)(4) of title 23.

5 (2) The cost of carrying out part of a project includes the amount of inter6 est earned and payable on bonds issued by the State or local governmental

7 authority to the extent proceeds of the bonds are expended in carrying out

8 the part. However, the amount of interest under this paragraph may not be

9 more than the most favorable interest terms reasonably available for the

10 project at the time of borrowing. The applicant shall certify, in a way satis11 factory to the Secretary of Transportation, that the applicant has shown rea12 sonable diligence in seeking the most favorable financial terms.

13 (3) The Secretary of Transportation shall consider changes in capital

14 project cost indices when determining the estimated cost under paragraph (2)

15 of this subsection.

16 (o) USE OF DEOBLIGATED AMOUNTS.—An amount available under this

17 section that is deobligated may be used for any purpose under this section.

18 § 5310. Grants and loans for special needs of elderly individ19 uals and individuals with disabilities

20 (a) GENERAL AUTHORITY.—The Secretary of Transportation may make

21 grants and loans to—

22 (1) State and local governmental authorities to help them provide

23 mass transportation service planned, designed, and carried out to meet

24 the special needs of elderly individuals and individuals with disabilities;

25 and

26 (2) the chief executive officer of each State for allocation to—

27 (A) private nonprofit corporations and associations to help them

28 provide that transportation service when the transportation service

29 provided under clause (1) of this subsection is unavailable, insuffi30 cient, or inappropriate; or

31 (B) governmental authorities—

32 (i) approved by the State to coordinate services for elderly

33 individuals and individuals with disabilities; or

34 (ii) that certify to the chief executive officer that no non35 profit corporation or association readily is available in an

36 area to provide service under this subsection.

37 (b) APPORTIONING AND TRANSFERRING AMOUNTS.—The Secretary shall

38 apportion amounts made available under section 5338(a) of this title under

39 a formula the Secretary administers that considers the number of elderly indi40 viduals and individuals with disabilities in each State. Any State’s appor41 tionment remaining available for obligation at the beginning of the 90-day
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1 period before the end of the period of availability of the apportionment is

2 available to the chief executive officer of the State for transfer to supplement

3 amounts apportioned to the State under section 5311(c) or 5336(a)(1) of this

4 title.

5 (c) STATE PROGRAM OF PROJECTS.—Amounts made available for this sec6 tion may be used for transportation projects to assist in providing transpor7 tation services for elderly individuals and individuals with disabilities that

8 are included in a State program of projects. A program shall be submitted

9 annually to the Secretary for approval and shall contain an assurance that

10 the program provides for maximum feasible coordination of transportation

11 services assisted under this section with transportation services assisted by

12 other United States Government sources.

13 (d) ELIGIBLE CAPITAL EXPENSES.—A recipient of amounts under this sec14 tion may include acquiring transportation services as an eligible capital ex15 pense.

16 (e) APPLICATION OF SECTION 5309.—(1) A grant or loan under subsection

17 (a)(1) of this section is subject to all requirements of a grant or loan under

18 section 5309 of this title, and is deemed to have been made under section

19 5309.

20 (2) A grant or loan under subsection (a)(2) of this section is subject to re21 quirements similar to those under paragraph (1) of this subsection to the ex22 tent the Secretary considers appropriate.

23 (f) MINIMUM REQUIREMENTS AND PROCEDURES FOR RECIPIENTS.—In car24 rying out section 5301(d) of this title, section 165(b) of the Federal-Aid High25 way Act of 1973 (Public Law 93–87, 87 Stat. 282), and section 504 of the

26 Rehabilitation Act of 1973 (29 U.S.C. 794) (consistent with Government-wide

27 standards to carry out section 504), the Secretary shall prescribe regulations

28 establishing minimum criteria a recipient of Government financial assistance

29 under this chapter or a law referred to in section 165(b) shall comply with

30 in providing mass transportation service to elderly individuals and individ31 uals with disabilities and procedures for the Secretary to monitor compliance

32 with the criteria. The regulations shall include provisions for ensuring that

33 organizations and groups representing elderly individuals and individuals

34 with disabilities are given adequate notice of, and an opportunity to comment

35 on, the proposed activity of a recipient to achieve compliance with the regula36 tions.

37 (g) LEASING VEHICLES.—The Secretary shall prescribe guidelines allowing

38 vehicles bought under this section to be leased to local governmental authori39 ties to improve transportation services designed to meet the special needs of

40 elderly individuals and individuals with disabilities.
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1 (h) MEAL DELIVERY SERVICE TO HOMEBOUND INDIVIDUALS.—Mass trans2 portation service providers receiving assistance under this section or section

3 5311(c) of this title may coordinate and assist in regularly providing meal

4 delivery service for homebound individuals if the delivery service does not con5 flict with providing mass transportation service or reduce service to mass

6 transportation passengers.

7 (i) TRANSFER OF FACILITIES AND EQUIPMENT.—With the consent of the

8 recipient currently having a facility or equipment acquired with assistance

9 under this section, a State may transfer the facility or equipment to any re10 cipient eligible to receive assistance under this chapter if the facility or equip11 ment will continue to be used as required under this section.

12 (j) FARES NOT REQUIRED.—This chapter does not require that elderly in13 dividuals and individuals with disabilities be charged a fare.

14 § 5311. Financial assistance for other than urbanized areas

15 (a) DEFINITION.—In this section, ‘‘recipient’’ includes a State authority,

16 a local governmental authority, a nonprofit organization, and an operator of

17 mass transportation service.

18 (b) GENERAL AUTHORITY.—(1) The Secretary of Transportation may make

19 grants for transportation projects that are included in a State program of

20 mass transportation service projects (including service agreements with pri21 vate providers of mass transportation service) for areas other than urbanized

22 areas. The program shall be submitted annually to the Secretary. The Sec23 retary may approve the program only if the Secretary finds that the program

24 provides a fair distribution of amounts in the State, including Indian res25 ervations, and the maximum feasible coordination of mass transportation

26 service assisted under this section with transportation service assisted by other

27 United States Government sources.

28 (2) The Secretary of Transportation shall carry out a rural transportation

29 assistance program in nonurbanized areas. In carrying out this paragraph,

30 the Secretary may make grants and contracts for transportation research,

31 technical assistance, training, and related support services in nonurbanized

32 areas.

33 (c) APPORTIONING AMOUNTS.—The Secretary of Transportation shall ap34 portion amounts made available under section 5338(a) of this title so that

35 the chief executive officer of each State receives an amount equal to the total

36 amount apportioned multiplied by a ratio equal to the population of areas

37 other than urbanized areas in a State divided by the population of all areas

38 other than urbanized areas in the United States, as shown by the most recent

39 of the following: the latest Government census, the population estimate the

40 Secretary of Commerce prepares after the 4th year after the date the latest

41 census is published, or the population estimate the Secretary of Commerce
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1 prepares after the 8th year after the date the latest census is published. The

2 amount may be obligated by the chief executive officer for 2 years after the

3 fiscal year in which the amount is apportioned. An amount that is not obli4 gated at the end of that period shall be reapportioned among the States for

5 the next fiscal year.

6 (d) USE FOR LOCAL TRANSPORTATION SERVICE.—A State may use an

7 amount apportioned under this section for a project included in a program

8 under subsection (b) of this section and eligible for assistance under this chap9 ter if the project will provide local transportation service, as defined by the

10 Secretary of Transportation, in an area other than an urbanized area.

11 (e) USE FOR ADMINISTRATION AND TECHNICAL ASSISTANCE.—(1) The Sec12 retary of Transportation may allow a State to use not more than 15 percent

13 of the amount apportioned under this section to administer this section and

14 provide technical assistance to a recipient, including project planning, pro15 gram and management development, coordination of mass transportation pro16 grams, and research the State considers appropriate to promote effective deliv17 ery of mass transportation to an area other than an urbanized area.

18 (2) Except as provided in this section, a State carrying out a program of

19 operating assistance under this section may not limit the level or extent of

20 use of the Government grant for the payment of operating expenses.

21 (f) INTERCITY BUS TRANSPORTATION.—(1) A State shall expend at least

22 10 percent of the amount made available in the fiscal year ending September

23 30, 1993, and 15 percent of the amount made available in each fiscal year

24 after September 30, 1993, to carry out a program to develop and support

25 intercity bus transportation. Eligible activities under the program include—

26 (A) planning and marketing for intercity bus transportation;

27 (B) capital grants for intercity bus shelters;

28 (C) joint-use stops and depots;

29 (D) operating grants through purchase-of-service agreements, user-side

30 subsidies, and demonstration projects; and

31 (E) coordinating rural connections between small mass transportation

32 operations and intercity bus carriers.

33 (2) A State does not have to comply with paragraph (1) of this subsection

34 in a fiscal year in which the chief executive officer of the State certifies to

35 the Secretary of Transportation that the intercity bus service needs of the

36 State are being met adequately.

37 (g) GOVERNMENT’S SHARE OF COSTS.—(1) In this subsection, ‘‘amounts of

38 the Government or revenues’’ do not include amounts received under a service

39 agreement with a State or local social service agency or a private social serv40 ice organization.
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1 (2) A grant of the Government for a capital project under this section may

2 not be more than 80 percent of the net cost of the project, as determined by

3 the Secretary of Transportation. A grant to pay a subsidy for operating ex4 penses may not be more than 50 percent of the net cost of the operating ex5 pense project. At least 50 percent of the remainder shall be provided in cash

6 from sources other than amounts of the Government or revenues from provid7 ing mass transportation. Transit system amounts that make up the remain8 der shall be from an undistributed cash surplus, a replacement or deprecia9 tion cash fund or reserve, or new capital.

10 (h) AMOUNTS FOR OPERATING ASSISTANCE.—An amount made available

11 under this section may be used for operating assistance.

12 (i) TRANSFER OF FACILITIES AND EQUIPMENT.—With the consent of the

13 recipient currently having a facility or equipment acquired with assistance

14 under this section, a State may transfer the facility or equipment to any re15 cipient eligible to receive assistance under this chapter if the facility or equip16 ment will continue to be used as required under this section.

17 (j) RELATIONSHIP TO OTHER LAWS.—(1) Sections 5323(a)(1)(D) and

18 5333(b) of this title apply to this section but the Secretary of Labor may

19 waive the application of section 5333(b).

20 (2) This subsection does not affect or discharge a responsibility of the Sec21 retary of Transportation under a law of the United States.

22 § 5312. Research, development, demonstration, and training

23 projects

24 (a) RESEARCH, DEVELOPMENT, AND DEMONSTRATION PROJECTS.—The

25 Secretary of Transportation (or the Secretary of Housing and Urban Develop26 ment when required by section 5334(i) of this title) may undertake, or make

27 grants or contracts (including agreements with departments, agencies, and in28 strumentalities of the United States Government) for, research, development,

29 and demonstration projects related to urban mass transportation that the Sec30 retary decides will help reduce urban transportation needs, improve mass

31 transportation service, or help mass transportation service meet the total

32 urban transportation needs at a minimum cost. The Secretary may request

33 and receive appropriate information from any source. This subsection does

34 not limit the authority of the Secretary under another law.

35 (b) RESEARCH, INVESTIGATIONS, AND TRAINING.—(1) The Secretary of

36 Transportation (or the Secretary of Housing and Urban Development when

37 required by section 5334(i) of this title) may make grants to nonprofit insti38 tutions of higher learning—

39 (A) to conduct competent research and investigations into the theoreti40 cal or practical problems of urban transportation; and
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1 (B) to train individuals to conduct further research or obtain employ2 ment in an organization that plans, builds, operates, or manages an

3 urban transportation system.

4 (2) Research and investigations under this subsection include—

5 (A) the design and use of urban mass transportation systems and

6 urban roads and highways;

7 (B) the interrelationship between various modes of urban and inter8 urban transportation;

9 (C) the role of transportation planning in overall urban planning;

10 (D) public preferences in transportation;

11 (E) the economic allocation of transportation resources; and

12 (F) the legal, financial, engineering, and esthetic aspects of urban

13 transportation.

14 (3) When making a grant under this subsection, the appropriate Secretary

15 shall give preference to an institution that brings together knowledge and ex16 pertise in the various social science and technical disciplines related to urban

17 transportation problems.

18 (c) TRAINING FELLOWSHIPS AND INNOVATIVE TECHNIQUES AND METH19 ODS.—(1) The Secretary of Transportation may make grants to States, local

20 governmental authorities, and operators of mass transportation systems to

21 provide fellowships to train personnel employed in managerial, technical, and

22 professional positions in the mass transportation field.

23 (2) The Secretary of Transportation may make grants to State and local

24 governmental authorities for projects that will use innovative techniques and

25 methods in managing and providing mass transportation.

26 (3) A fellowship under this subsection may be for not more than one year

27 of training in an institution that offers a program applicable to the mass

28 transportation industry. The recipient of the grant shall select an individual

29 on the basis of demonstrated ability and for the contribution the individual

30 reasonably can be expected to make to an efficient mass transportation oper31 ation. A grant for a fellowship may not be more than the lesser of $24,000

32 or 75 percent of—

33 (A) tuition and other charges to the fellowship recipient;

34 (B) additional costs incurred by the training institution and billed to

35 the grant recipient; and

36 (C) the regular salary of the fellowship recipient for the period of the

37 fellowship to the extent the salary is actually paid or reimbursed by the

38 grant recipient.

39 § 5313. State planning and research programs

40 (a) COOPERATIVE RESEARCH PROGRAM.—(1) Fifty percent of the amounts

41 made available under section 5338(g)(3) of this title are available for a mass
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1 transportation cooperative research program. The Secretary of Transportation

2 shall establish an independent governing board for the program. The board

3 shall recommend mass transportation research, development, and technology

4 transfer activities the Secretary considers appropriate.

5 (2) The Secretary may make grants to, and cooperative agreements with,

6 the National Academy of Sciences to carry out activities under this subsection

7 that the Secretary decides are appropriate.

8 (b) STATE PLANNING AND RESEARCH.—(1) Fifty percent of the amounts

9 made available under section 5338(g)(3) of this title shall be apportioned to

10 States for grants and contracts consistent with the purposes of sections 5303–

11 5306, 5312, 5315, 5317, and 5322 of this title. The amounts shall be appor12 tioned so that each State receives an amount equal to the population in ur13 banized areas in the State, divided by the population in urbanized areas in

14 all States, as shown by the latest available decennial census. However, a State

15 must receive at least .5 percent of the amount apportioned under this sub16 section.

17 (2) A State, as the State considers appropriate, may authorize part of the

18 amount made available under this subsection to be used to supplement

19 amounts available under subsection (a) of this section.

20 (3) An amount apportioned under this subsection—

21 (A) remains available for 3 years after the fiscal year in which the

22 amount is apportioned; and

23 (B) that is unobligated at the end of the 3-year period shall be

24 reapportioned among the States for the next fiscal year.

25 (c) GOVERNMENT’S SHARE.—When there would be a clear and direct finan26 cial benefit to an entity under a grant or contract financed under subsection

27 (a) of this section, the Secretary shall establish a United States Government

28 share consistent with the benefit.

29 § 5314. National planning and research programs

30 (a) PROGRAM.—(1) The amounts made available under section 5338(g)(4)

31 of this title are available to the Secretary of Transportation for grants and

32 contracts for the purposes of sections 5303–5306, 5312, 5315, 5317, and 5322

33 of this title, as the Secretary considers appropriate.

34 (2) Of the amounts made available under paragraph (1) of this subsection,

35 the Secretary shall make available at least $2,000,000 to provide mass trans36 portation-related technical assistance, demonstration programs, research, pub37 lic education, and other activities the Secretary considers appropriate to help

38 mass transportation providers comply with the Americans with Disabilities

39 Act of 1990 (42 U.S.C. 12101 et seq.). To the extent practicable, the Secretary

40 shall carry out this paragraph through a contract with a national nonprofit
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1 organization serving individuals with disabilities that has a demonstrated ca2 pacity to carry out the activities.

3 (3) Not more than 25 percent of the amounts available under paragraph

4 (1) of this subsection is available to the Secretary for special demonstration

5 initiatives, subject to terms the Secretary considers consistent with this chap6 ter, except that section 5323(a)(1)(D) of this title applies to an operational

7 grant financed in carrying out section 5312(a) of this title. For a

8 nonrenewable grant of not more than $100,000, the Secretary shall provide

9 expedited procedures on complying with the requirements of this chapter.

10 (4)(A) The Secretary may undertake a program of mass transportation

11 technology development in coordination with affected entities.

12 (B) The Secretary shall establish an Industry Technical Panel composed of

13 representatives of transportation suppliers and operators and others involved

14 in technology development. A majority of the Panel members shall represent

15 the supply industry. The Panel shall assist the Secretary in identifying prior16 ity technology development areas and in establishing guidelines for project de17 velopment, project cost sharing, and project execution.

18 (C) The Secretary shall develop guidelines for cost sharing in technology

19 development projects financed under this paragraph. The guidelines shall be

20 flexible and reflect the extent of technical risk, market risk, and anticipated

21 supplier benefits and payback periods.

22 (5) The Secretary may use amounts appropriated under this subsection to

23 supplement amounts available under section 5313(a) of this title, as the Sec24 retary considers appropriate.

25 (b) GOVERNMENT’S SHARE.—When there would be a clear and direct finan26 cial benefit to an entity under a grant or contract financed under subsection

27 (a) of this section, the Secretary shall establish a United States Government

28 share consistent with the benefit.

29 § 5315. National mass transportation institute

30 (a) ESTABLISHMENT AND DUTIES.—The Secretary of Transportation shall

31 make grants to Rutgers University to establish a national mass transpor32 tation institute. In cooperation with the Federal Transit Administration,

33 State transportation departments, public mass transportation authorities,

34 and national and international entities, the institute shall develop and con35 duct training programs of instruction for United States Government, State,

36 and local transportation employees, United States citizens, and foreign na37 tionals engaged or to be engaged in Government-aid mass transportation

38 work. The programs may include courses in recent developments, techniques,

39 and procedures related to—

40 (1) mass transportation planning;

41 (2) management;
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1 (3) environmental factors;

2 (4) acquisition and joint use of rights of way;

3 (5) engineering;

4 (6) procurement strategies for mass transportation systems;

5 (7) turnkey approaches to carrying out mass transportation systems;

6 (8) new technologies;

7 (9) emission reduction technologies;

8 (10) ways to make mass transportation accessible to individuals with

9 disabilities;

10 (11) construction;

11 (12) maintenance;

12 (13) contract administration; and

13 (14) inspection.

14 (b) RELATED EDUCATIONAL AND TRAINING PROGRAMS.—The Secretary

15 shall delegate to the institute the authority of the Secretary to develop and

16 conduct educational and training programs related to mass transportation.

17 (c) PROVIDING EDUCATION AND TRAINING.—Education and training of

18 Government, State, and local transportation employees under this section

19 shall be provided—

20 (1) by the Secretary at no cost to the States and local governments

21 for subjects that are a Government program responsibility; or

22 (2) when the education and training are paid under subsection (d) of

23 this section, by the State, with the approval of the Secretary, through

24 grants and contracts with public and private agencies, other institutions,

25 individuals, and the institute.

26 (d) AVAILABILITY OF AMOUNTS.—Not more than .5 percent of the amounts

27 made available for a fiscal year beginning after September 30, 1991, to a

28 State or public mass transportation authority in the State to carry out sec29 tions 5304 and 5306 of this title is available for expenditure by the State and

30 public mass transportation authorities in the State, with the approval of the

31 Secretary, to pay not more than 80 percent of the cost of tuition and direct

32 educational expenses related to educating and training State and local trans33 portation employees under this section.

34 § 5316. University research institutes

35 (a) INSTITUTE FOR NATIONAL SURFACE TRANSPORTATION POLICY.—The

36 Secretary of Transportation shall make grants to San Jose State University

37 to establish and operate an institute for national surface transportation pol38 icy studies. The institute shall—

39 (1) include male and female students of diverse socioeconomic and eth40 nic backgrounds who are seeking careers in developing and operating

41 surface transportation programs; and
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1 (2) conduct research and development activities to analyze ways of im2 proving aspects of developing and operating surface transportation pro3 grams of the United States.

4 (b) INFRASTRUCTURE TECHNOLOGY INSTITUTE.—The Secretary shall make

5 grants to Northwestern University to establish and operate an institute to

6 study techniques—

7 (1) to evaluate and monitor infrastructure conditions;

8 (2) to improve information systems for infrastructure construction and

9 management; and

10 (3) to study advanced materials and automated processes for con11 structing and rehabilitating public works facilities.

12 (c) URBAN TRANSIT INSTITUTE.—The Secretary shall make grants to North

13 Carolina A. and T. State University through the Institute for Transportation

14 Research and Education, the University of South Florida, and a consortium

15 of Florida A. and M., Florida State University, and Florida International

16 University to establish and operate an interdisciplinary institute to study

17 and disseminate techniques on the diverse transportation problems of urban

18 areas experiencing significant and rapid growth.

19 (d) INSTITUTE FOR INTELLIGENT VEHICLE-HIGHWAY CONCEPTS.—The

20 Secretary shall make grants to the University of Minnesota, Center for Trans21 portation Studies, to establish and operate a national institute for intelligent

22 vehicle-highway concepts. The institute shall conduct research and recommend

23 development activities that focus on methods to increase roadway capacity,

24 enhance safety, and reduce negative environmental effects of transportation

25 facilities by using intelligent vehicle-highway systems technologies.

26 (e) INSTITUTE FOR TRANSPORTATION RESEARCH AND EDUCATION.—The

27 Secretary shall make grants to the University of North Carolina to conduct

28 research and development and to direct technology transfer and training for

29 State and local transportation authorities to improve the overall surface

30 transportation infrastructure.

31 (f) APPLICABILITY OF TITLE 23.—Amounts authorized by section 5338(d)

32 of this title may be obligated in the same way as amounts are apportioned

33 under chapter 1 of title 23.

34 § 5317. Transportation centers

35 (a) GRANTS FOR REGIONAL TRANSPORTATION CENTERS.—(1) The Sec36 retary of Transportation shall make grants to nonprofit institutions of higher

37 learning to establish and operate regional transportation centers in each of

38 the 10 United States Government regions that comprise the Standard Federal

39 Regional Boundary System.

40 (2) A nonprofit institution of higher learning interested in receiving a

41 grant under this subsection shall submit an application to the Secretary in
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1 the way and containing the information the Secretary prescribes. The Sec2 retary shall select each recipient on the basis of the following:

3 (A) the regional transportation center is located in a State that is rep4 resentative of the needs of the Government region for improved transpor5 tation and facilities.

6 (B) the demonstrated research and extension resources available to the

7 recipient to carry out this subsection.

8 (C) the capability of the recipient to provide leadership in making na9 tional and regional contributions to the solution of immediate and long10 range transportation problems.

11 (D) the recipient has an established transportation program encom12 passing several modes of transportation.

13 (E) the recipient has a demonstrated commitment of at least $200,000

14 in regularly budgeted institutional amounts each year to support ongo15 ing transportation research programs.

16 (F) the recipient has a demonstrated ability to disseminate results of

17 transportation research and educational programs through a statewide or

18 regionwide continuing educational program.

19 (G) the projects the recipient proposes to carry out under the grant.

20 (3)(A) At each regional transportation center, the following shall be carried

21 out:

22 (i) infrastructure research on transportation.

23 (ii) research and training on transportation safety and the transpor24 tation of passengers and property and the interpretation, publication,

25 and dissemination of the results of the research.

26 (B) Each transportation center—

27 (i) should carry out research on more than one mode of transpor28 tation; and

29 (ii) should consider the proportion of amounts for this subsection from

30 amounts available to carry out urban mass transportation projects under

31 this chapter and from the Highway Trust Fund.

32 (C) At one of the transportation centers, research may be carried out on

33 the testing of new bus models.

34 (4) Before making a grant under this subsection, the Secretary may require

35 the recipient to make an agreement with the Secretary to ensure that the re36 cipient will maintain total expenditures from all other sources to establish

37 and operate a regional transportation center and related research activities

38 at a level at least equal to the average level of those expenditures in its 2

39 fiscal years prior to April 2, 1987.
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1 (5) A grant under this subsection is for 50 percent of the cost of establishing

2 and operating the regional transportation center and related research activi3 ties the recipient carries out.

4 (b) GRANTS FOR UNIVERSITY TRANSPORTATION CENTERS.—(1) To acceler5 ate the involvement and participation of minority individuals and women in

6 transportation-related professions, particularly in the science, technology, and

7 engineering disciplines, the Secretary shall make grants to Morgan State Uni8 versity to establish a national center for transportation management, re9 search, and development. The center shall give special attention to designing,

10 developing, and carrying out research, training, and technology transfer ac11 tivities to increase the number of highly skilled minority individuals and

12 women entering the transportation workforce.

13 (2) The Secretary shall make grants to the New Jersey Institute of Tech14 nology to establish and operate a center for transportation and industrial

15 productivity. The center shall conduct research and development activities

16 that focus on ways to increase surface transportation capacity, reduce conges17 tion, and reduce costs for transportation system users and providers through

18 the use of transportation management systems.

19 (3) The Secretary shall make a grant to Monmouth College, West Long

20 Branch, New Jersey, to modify and rebuild Building Number 500 at Mon21 mouth College. Before making the grant, the Secretary shall receive assurances

22 from Monmouth College that the building will be known and designated as

23 the James and Marlene Howard Transportation Information Center and that

24 transportation-related instruction and research in computer science, electronic

25 engineering, mathematics, and software engineering conducted at the building

26 will be coordinated with the Center for Transportation and Industrial Pro27 ductivity at the New Jersey Institute of Technology.

28 (4) The Secretary shall make grants to the University of Arkansas to estab29 lish a national rural transportation center. The center shall conduct research,

30 training, and technology transfer activities in the development, management,

31 and operation of intermodal transportation systems in rural areas.

32 (5)(A) The Secretary shall make grants to the University of Idaho to estab33 lish a National Center for Advanced Transportation Technology. The Center

34 shall be established and operated in partnership with private industry and

35 shall conduct industry-driven research and development activities that focus

36 on transportation-related manufacturing and engineering processes, materials,

37 and equipment.

38 (B) The Secretary shall make grants to the University of Idaho to plan,

39 design, and construct a building in which to conduct the research and devel40 opment activities of the Center.
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1 (C) Amounts authorized by section 5338(e)(2) of this title may be obligated

2 in the same way as amounts apportioned under chapter 1 of title 23 (except

3 that the Government share of the cost of the activities conducted under this

4 paragraph is 80 percent and the amounts remain available until expended)

5 and are not subject to an obligational limitation.

6 (D) A grant made under this paragraph is not subject to the requirements

7 of this section (except this paragraph).

8 (c) PROGRAM COORDINATION.—The Secretary shall provide for coordinat9 ing research, education, training, and technology transfer activities that grant

10 recipients carry out under this section, the dissemination of the results of the

11 research, and the establishment and operation of a clearinghouse between the

12 centers and the transportation industry. At least annually, the Secretary shall

13 review and evaluate programs the grant recipients carry out. The Secretary

14 may use not more than one percent of amounts made available from Govern15 ment sources to carry out this section to carry out this subsection.

16 (d) OBLIGATION CEILING.—Amounts authorized to carry out this section

17 (except subsection (b)(3)) are subject to obligational limitations established

18 under section 1002 of the Intermodal Surface Transportation Efficiency Act

19 of 1991 (Public Law 102–240, 105 Stat. 1916).

20 (e) AMOUNTS AVAILABLE FOR TECHNOLOGY TRANSFER ACTIVITIES.—At

21 least 5 percent of the amounts made available to carry out this section in

22 a fiscal year are available to carry out technology transfer activities.

23 (f) ALLOCATION AMONG GOVERNMENT REGIONS.—The Secretary shall allo24 cate amounts available to carry out this section equitably among the Govern25 ment regions.

26 § 5318. Bus testing facility

27 (a) ESTABLISHMENT.—The Secretary of Transportation shall establish one

28 facility for testing a new bus model for maintainability, reliability, safety,

29 performance (including braking performance), structural integrity, fuel econ30 omy, emissions, and noise. The facility shall be established by renovating a

31 facility built with assistance of the United States Government to train rail

32 personnel.

33 (b) OPERATION AND MAINTENANCE.—The Secretary shall make a contract

34 with a qualified person to operate and maintain the facility. The contract

35 may provide for the testing of rail cars and other vehicles at the facility.

36 (c) FEES.—The person operating and maintaining the facility shall estab37 lish and collect fees for the testing of vehicles at the facility. The Secretary

38 must approve the fees.

39 (d) AVAILABILITY OF AMOUNTS TO PAY FOR TESTING.—The Secretary

40 shall make a contract with the operator of the facility under which the Sec41 retary shall pay 80 percent of the cost of testing a vehicle at the facility from
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1 amounts available under section 5338(j)(5) of this title. The entity having the

2 vehicle tested shall pay 20 percent of the cost.

3 (e) REVOLVING LOAN FUND.—The Secretary has a bus testing revolving

4 loan fund consisting of amounts authorized for the fund under section

5 317(b)(5) of the Surface Transportation and Relocation Assistance Act of

6 1987. The Secretary shall make available as repayable advances from the fund

7 to the person operating and maintaining the facility amounts to operate and

8 maintain the facility.

9 § 5319. Bicycle facilities

10 A project to provide access for bicycles to mass transportation facilities, to

11 provide shelters and parking facilities for bicycles in or around mass trans12 portation facilities, or to install equipment for transporting bicycles on mass

13 transportation vehicles is a capital project eligible for assistance under sec14 tions 5307, 5309, and 5311 of this title. Notwithstanding sections 5307(e),

15 5309(h), and 5311(g) of this title, a grant of the United States Government

16 under this chapter for a project under this section is for 90 percent of the

17 cost of the project.

18 § 5320. Suspended light rail system technology pilot project

19 (a) PURPOSE.—The purpose of this section is to provide for the construc20 tion by a public entity of a suspended light rail system technology pilot

21 project—

22 (1) to assess the state of new technology for a suspended light rail sys23 tem; and

24 (2) to establish the feasibility, costs, and benefits of using the system

25 to transport passengers.

26 (b) GENERAL REQUIREMENTS.—The project shall—

27 (1) use new rail technology with individual vehicles on a prefabricated

28 elevated steel guideway;

29 (2) be stability-seeking with a center of gravity for the detachable pas30 senger vehicles located below the point of wheel-rail contact; and

31 (3) use vehicles that are driven by overhead bogies with high efficiency,

32 low maintenance electric motors for each wheel, operating in a slightly

33 sloped plane from vertical for the wheels and the running rails, to further

34 increase stability, acceleration, and braking performance.

35 (c) COMPETITION.—(1) The Secretary of Transportation shall conduct a

36 national competition to select a public entity with which to make a full fi37 nancing grant agreement to construct the project. Not later than April 16,

38 1992, the Secretary shall select 3 public entities to be finalists in the competi39 tion. In conducting the competition and selecting public entities, the Sec40 retary shall consider—
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1 (A) the public entity’s demonstrated understanding and knowledge of

2 the project and its technical, managerial, and financial capacity to con3 struct, manage, and operate the project; and

4 (B) maximizing potential contributions to the cost of the project by

5 State, local, and private sector entities, including donation of in-kind

6 services and materials.

7 (2) The Secretary shall award a grant to each finalist to be used to partici8 pate in the final phase of the competition under procedures the Secretary pre9 scribes. A grant may not be more than 80 percent of the cost of participating.

10 A finalist may not receive more than one-third of the amount made available

11 under subsection (h)(1)(A) of this section.

12 (3) Not later than July 15, 1992, the Secretary shall select from among

13 the 3 finalists a public entity with which to make a full financing grant

14 agreement.

15 (d) ENVIRONMENTAL IMPACT.—Not later than 270 days after a public en16 tity is selected under subsection (c) of this section, the Secretary shall approve

17 and publish in the Federal Register a notice announcing either a finding of

18 no significant impact or a draft environmental impact statement for the

19 project. The alternatives analysis for the project shall include a decision on

20 whether to construct the project. If a draft statement is published, the Sec21 retary, not later than 180 days after publication, shall approve and publish

22 in the Federal Register a notice of completion of a final environmental im23 pact statement.

24 (e) FULL FINANCING GRANT AGREEMENT.—Not later than 60 days after

25 carrying out the requirements of subsection (d) of this section, the Secretary

26 shall make a full financing grant agreement under section 5309 of this title

27 with the public entity selected under subsection (c) of this section to construct

28 the project. The agreement shall provide that the system vendor for the project

29 shall finance—

30 (1) 100 percent of any deficit incurred in operating the project in the

31 first 2 years of revenue operations of the project; and

32 (2) 50 percent of any deficit incurred in operating the project in the

33 3d year of revenue operations of the project.

34 (f) NOTICE TO PROCEED.—Not later than 30 days after making the full

35 financing grant agreement, the Secretary shall issue a notice to proceed with

36 construction.

37 (g) OPTION NOT TO CONSTRUCT AND REAWARDING THE GRANT.—(1) Not

38 later than 30 days after completing preliminary engineering and design, the

39 selected public entity shall decide whether to proceed to constructing the

40 project. If the entity decides not to proceed—

41 (A) the Secretary shall not make the full financing grant agreement;
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1 (B) remaining amounts received shall be returned to the Secretary and

2 credited to the Mass Transit Account of the Highway Trust Fund; and

3 (C) the Secretary shall use the credited amount and other amounts to

4 be provided under this section to award to another entity selected under

5 subsection (c)(1) of this section a grant under section 5309 of this title

6 to construct the project.

7 (2) Not later than 60 days after a decision is made under paragraph (1)

8 of this subsection, a grant shall be awarded under paragraph (1)(C) of this

9 section after completing a competitive process for selecting the grant recipient.

10 (h) FINANCING.—(1) The Secretary shall pay from amounts provided under

11 section 5309 of this title the following:

12 (A) at least $1,000,000 for the fiscal year ending September 30, 1992,

13 for grants under subsection (c)(2) of this section.

14 (B) at least $4,000,000 for the fiscal year ending September 30, 1993,

15 for the United States Government share of the costs (as determined under

16 section 5309 of this title) if the systems planning, alternatives analysis,

17 preliminary engineering, and design and environmental impact state18 ment are required by law for the project.

19 (C) at least $30,000,000 for the fiscal year ending September 30, 1994,

20 as provided in the grant agreement under subsection (e) of this section,

21 for the Government share of the construction costs of the project.

22 (2) The grant agreement under subsection (e) of this section shall provide

23 that for the 3d year of revenue operations of the project, the Secretary shall

24 pay from amounts provided under this section the Government share of oper25 ating costs in an amount equal to the lesser of 50 percent of the deficit in26 curred in operating the project in that year or $300,000.

27 (3) Amounts not expended under paragraph (1)(A) of this subsection are

28 available for the Government share of costs described in paragraph (1)(B) and

29 (C) of this subsection.

30 (4) Amounts under paragraph (1)(B) and (C) of this subsection remain

31 available until expended.

32 (i) GOVERNMENT’S SHARE OF COSTS.—The Government share of the cost

33 of constructing the project is 80 percent of the net cost of the project.

34 (j) PROJECT NOT SUBJECT TO MAJOR CAPITAL INVESTMENT POLICY.—The

35 project is not subject to the major capital investment policy of the Federal

36 Transit Administration.

37 (k) REPORT.—Not later than January 30, 1993, and each year after that

38 date, the Secretary shall submit to Congress a report on the progress and re39 sults of the project.
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1 § 5321. Crime prevention and security

2 The Secretary of Transportation may make capital grants from amounts

3 available under section 5338 of this title to mass transportation systems for

4 crime prevention and security. This chapter does not prevent the financing

5 of a project under this section when a local governmental authority other than

6 the grant applicant has law enforcement responsibilities.

7 § 5322. Human resource programs

8 The Secretary of Transportation may undertake, or make grants and con9 tracts for, programs that address human resource needs as they apply to mass

10 transportation activities. A program may include—

11 (1) an employment training program;

12 (2) an outreach program to increase minority and female employment

13 in mass transportation activities;

14 (3) research on mass transportation personnel and training needs; and

15 (4) training and assistance for minority business opportunities.

16 § 5323. General provisions on assistance

17 (a) INTERESTS IN PROPERTY.—(1) Financial assistance provided under

18 this chapter to a State or a local governmental authority may be used to ac19 quire an interest in, or buy property of, a private mass transportation com20 pany, for a capital project for property acquired from a private mass trans21 portation company after July 9, 1964, or to operate mass transportation

22 equipment or a mass transportation facility in competition with, or in addi23 tion to, transportation service provided by an existing mass transportation

24 company, only if—

25 (A) the Secretary of Transportation finds the assistance is essential to

26 a program of projects required under sections 5303–5306 of this title;

27 (B) the Secretary of Transportation finds that the program, to the

28 maximum extent feasible, provides for the participation of private mass

29 transportation companies;

30 (C) just compensation under State or local law will be paid to the

31 company for its franchise or property; and

32 (D) the Secretary of Labor certifies that the assistance complies with

33 section 5333(b) of this title.

34 (2) A governmental authority may not use financial assistance of the

35 United States Government to acquire land, equipment, or a facility used in

36 mass transportation from another governmental authority in the same geo37 graphic area.

38 (b) NOTICE AND PUBLIC HEARING.—(1) An application for a grant or loan

39 under this chapter (except section 5307) for a capital project that will affect

40 substantially a community, or the mass transportation service of a commu41 nity, must include a certificate of the applicant that the applicant has—
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1 (A) provided an adequate opportunity for a public hearing with ade2 quate prior notice;

3 (B) held that hearing unless no one with a significant economic, so4 cial, or environmental interest requested one;

5 (C) considered the economic, social, and environmental effects of the

6 project; and

7 (D) found that the project is consistent with official plans for develop8 ing the urban area.

9 (2) Notice of a hearing under this subsection shall include a concise de10 scription of the proposed project and shall be published in a newspaper of

11 general circulation in the geographic area the project will serve. If a hearing

12 is held, a copy of the transcript of the hearing shall be submitted with the

13 application.

14 (c) ACQUIRING NEW BUS MODELS.—Amounts appropriated or made avail15 able under this chapter (except section 5307) after September 30, 1989, may

16 be obligated or expended to acquire a new bus model only if a bus of the

17 model has been tested at the facility established under section 5318 of this

18 title.

19 (d) BUYING AND OPERATING BUSES.—(1) Financial assistance under this

20 chapter may be used to buy or operate a bus only if the applicant, govern21 mental authority, or publicly owned operator that receives the assistance

22 agrees that, except as provided in the agreement, the governmental authority

23 or an operator of mass transportation for the governmental authority will not

24 provide charter bus transportation service outside the urban area in which

25 it provides regularly scheduled mass transportation service. An agreement

26 shall provide for a fair arrangement the Secretary of Transportation consid27 ers appropriate to ensure that the assistance will not enable a governmental

28 authority or an operator for a governmental authority to foreclose a private

29 operator from providing intercity charter bus service if the private operator

30 can provide the service.

31 (2) On receiving a complaint about a violation of an agreement, the Sec32 retary of Transportation shall investigate and decide whether a violation has

33 occurred. If the Secretary decides that a violation has occurred, the Secretary

34 shall correct the violation under terms of the agreement. In addition to a rem35 edy specified in the agreement, the Secretary may bar a recipient under this

36 subsection or an operator from receiving further assistance when the Secretary

37 finds a continuing pattern of violations of the agreement.

38 (e) BUS PASSENGER SEAT FUNCTIONAL SPECIFICATIONS.—The initial ad39 vertising by a State or local governmental authority for bids to acquire buses

40 using financial assistance under this chapter (except section 5307) may in41 clude passenger seat functional specifications that are at least equal to per-
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1 formance specifications the Secretary of Transportation prescribes. The speci2 fications shall be based on a finding by the State or local governmental au3 thority of local requirements for safety, comfort, maintenance, and life cycle

4 costs.

5 (f) SCHOOLBUS TRANSPORTATION.—(1) Financial assistance under this

6 chapter may be used for a capital project, or to operate mass transportation

7 equipment or a mass transportation facility, only if the applicant agrees not

8 to provide schoolbus transportation that exclusively transports students and

9 school personnel in competition with a private schoolbus operator. This sub10 section does not apply—

11 (A) to an applicant that operates a school system in the area to be

12 served and a separate and exclusive schoolbus program for the school sys13 tem;

14 (B) unless a private schoolbus operator can provide adequate transpor15 tation that complies with applicable safety standards at reasonable rates;

16 and

17 (C) to a State or local governmental authority if it or a direct prede18 cessor in interest from which it acquired the duty of transporting school

19 children and personnel, and facilities to transport them, provided school20 bus transportation at any time after November 25, 1973, but before No21 vember 26, 1974.

22 (2) An applicant violating an agreement under this subsection may not re23 ceive other financial assistance under this chapter.

24 (g) BUYING BUSES UNDER OTHER LAWS.—Subsections (d) and (f) of this

25 section apply to financial assistance to buy a bus under sections 103(e)(4)

26 and 142(a) or (c) of title 23. However, subsection (f)(1)(C) of this section ap27 plies to sections 103(e)(4) and 142(a) or (c) only if schoolbus transportation

28 was provided at any time after August 12, 1972, but before August 13, 1973.

29 (h) GRANT AND LOAN PROHIBITIONS.—A grant or loan may not be used

30 to—

31 (1) pay ordinary governmental or nonproject operating expenses; or

32 (2) support a procurement that uses an exclusionary or discrimina33 tory specification.

34 (i) GOVERNMENT’S SHARE OF COSTS FOR CERTAIN PROJECTS.—A Govern35 ment grant for a project to be assisted under this chapter that involves acquir36 ing vehicle-related equipment required by the Clean Air Act (42 U.S.C. 7401

37 et seq.) or the Americans with Disabilities Act of 1990 (42 U.S.C. 12101 et

38 seq.) is for 90 percent of the net project cost of the equipment that is attrib39 utable to complying with those Acts. The Secretary of Transportation, through

40 practicable administrative procedures, may determine the costs attributable to

41 that equipment.
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1 (j) BUY AMERICAN.—(1) The Secretary of Transportation may obligate an

2 amount that may be appropriated to carry out this chapter for a project only

3 if the steel, iron, and manufactured goods used in the project are produced

4 in the United States.

5 (2) The Secretary of Transportation may waive paragraph (1) of this sub6 section if the Secretary finds that—

7 (A) applying paragraph (1) would be inconsistent with the public in8 terest;

9 (B) the steel, iron, and goods produced in the United States are not

10 produced in a sufficient and reasonably available amount or are not of

11 a satisfactory quality;

12 (C) when procuring rolling stock (including train control, communica13 tion, and traction power equipment) under this chapter—

14 (i) the cost of components and subcomponents produced in the

15 United States is more than 60 percent of the cost of all components

16 of the rolling stock; and

17 (ii) final assembly of the rolling stock has occurred in the United

18 States; or

19 (D) including domestic material will increase the cost of the overall

20 project by more than 25 percent.

21 (3) In this subsection, labor costs involved in final assembly are not in22 cluded in calculating the cost of components.

23 (4) The Secretary of Transportation may not make a waiver under para24 graph (2) of this subsection for goods produced in a foreign country if the

25 Secretary, in consultation with the United States Trade Representative, de26 cides that the government of that foreign country—

27 (A) has an agreement with the United States Government under which

28 the Secretary has waived the requirement of this subsection; and

29 (B) has violated the agreement by discriminating against goods to

30 which this subsection applies that are produced in the United States and

31 to which the agreement applies.

32 (5) A person is ineligible under subpart 9.4 of chapter 1 of title 48, Code

33 of Federal Regulations, to receive a contract or subcontract made with

34 amounts authorized under the Intermodal Surface Transportation Efficiency

35 Act of 1991 (Public Law 102–240, 105 Stat. 1914) if a court or department,

36 agency, or instrumentality of the Government decides the person inten37 tionally—

38 (A) affixed a ‘‘Made in America’’ label, or a label with an inscription

39 having the same meaning, to goods sold in or shipped to the United

40 States that are used in a project to which this subsection applies but not

41 produced in the United States; or
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1 (B) represented that goods described in clause (A) of this paragraph

2 were produced in the United States.

3 (6) The Secretary of Transportation may not impose any limitation on as4 sistance provided under this chapter that restricts a State from imposing

5 more stringent requirements than this subsection on the use of articles, mate6 rials, and supplies mined, produced, or manufactured in foreign countries in

7 projects carried out with that assistance or restricts a recipient of that assist8 ance from complying with those State-imposed requirements.

9 (7) Not later than January 1, 1995, the Secretary of Transportation shall

10 submit to Congress a report on purchases from foreign entities waived under

11 paragraph (2) of this subsection in the fiscal years ending September 30,

12 1992, and September 30, 1993. The report shall indicate the dollar value of

13 items for which waivers were granted.

14 (k) APPLICATION OF SECTION 135 OF TITLE 23.—The planning and pro15 gramming requirements of section 135 of title 23 apply to a grant made

16 under sections 5307–5311 of this title.

17 § 5324. Limitations on discretionary and special needs

18 grants and loans

19 (a) RELOCATION PROGRAM REQUIREMENTS.—Financial assistance may be

20 provided under section 5309 of this title only if the Secretary of Transpor21 tation decides that—

22 (1) an adequate relocation program is being carried out for families

23 displaced by a project; and

24 (2) an equal number of decent, safe, and sanitary dwellings are being,

25 or will be, provided to those families in the same area or in another area

26 generally not less desirable for public utilities and public and commer27 cial facilities, at rents or prices within the financial means of those fam28 ilies, and with reasonable access to their places of employment.

29 (b) ECONOMIC, SOCIAL, AND ENVIRONMENTAL INTERESTS.—(1) In carrying

30 out section 5301(e) of this title, the Secretary of Transportation shall cooper31 ate and consult with the Secretaries of Agriculture, Health and Human Serv32 ices, Housing and Urban Development, and the Interior and the Council on

33 Environmental Quality on each project that may have a substantial impact

34 on the environment.

35 (2) In carrying out section 5309 of this title, the Secretary of Transpor36 tation shall review each transcript of a hearing submitted under section

37 5323(b) of this title to establish that an adequate opportunity to present views

38 was given to all parties with a significant economic, social, or environmental

39 interest and that the project application includes a statement on—

40 (A) the environmental impact of the proposal;

41 (B) adverse environmental effects that cannot be avoided;
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1 (C) alternatives to the proposal; and

2 (D) irreversible and irretrievable impacts on the environment.

3 (3)(A) The Secretary of Transportation may approve an application for fi4 nancial assistance under section 5309 of this title only if the Secretary makes

5 written findings, after reviewing the application and any hearings held before

6 a State or local governmental authority under section 5323(b) of this title,

7 that—

8 (i) an adequate opportunity to present views was given to all parties

9 with a significant economic, social, or environmental interest;

10 (ii) the preservation and enhancement of the environment, and the in11 terest of the community in which a project is located, were considered;

12 and

13 (iii) no adverse environmental effect is likely to result from the project,

14 or no feasible and prudent alternative to the effect exists and all reason15 able steps have been taken to minimize the effect.

16 (B) If a hearing has not been conducted or the Secretary of Transportation

17 decides that the record of the hearing is inadequate for making the findings

18 required by this subsection, the Secretary shall conduct a hearing on an envi19 ronmental issue raised by the application after giving adequate notice to in20 terested persons.

21 (C) A finding of the Secretary of Transportation under subparagraph (A)

22 of this paragraph shall be made a matter of public record.

23 (c) PROHIBITIONS AGAINST REGULATING OPERATIONS AND CHARGES.—

24 The Secretary of Transportation may not regulate the operation of a mass

25 transportation system for which a grant is made under section 5309 of this

26 title and, after a grant is made, may not regulate any charge for the system.

27 However, the Secretary may require the local governmental authority, cor28 poration, or association to comply with any undertaking provided by it relat29 ed to its grant application.

30 § 5325. Contract requirements

31 (a) NONCOMPETITIVE BIDDING.—A capital project or improvement contract

32 for which a grant or loan is made under this chapter, if the contract is not

33 made through competitive bidding, shall provide that records related to the

34 contract shall be made available to the Secretary of Transportation and the

35 Comptroller General, or an officer or employee of the Secretary or Comptroller

36 General, when conducting an audit and inspection.

37 (b) ACQUIRING ROLLING STOCK.—A recipient of financial assistance of the

38 United States Government under this chapter may make a contract to expend

39 that assistance to acquire rolling stock—

40 (1) based on—

41 (A) initial capital costs; or
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1 (B) performance, standardization, life cycle costs, and other fac2 tors; or

3 (2) with a party selected through a competitive procurement process.

4 (c) PROCURING ASSOCIATED CAPITAL MAINTENANCE ITEMS.—A recipient

5 of a grant under section 5307 of this title procuring an associated capital

6 maintenance item under section 5307(b) may make a contract directly with

7 the original manufacturer or supplier of the item to be replaced, without re8 ceiving prior approval of the Secretary, if the recipient first certifies in writ9 ing to the Secretary that—

10 (1) the manufacturer or supplier is the only source for the item; and

11 (2) the price of the item is no more than the price similar customers

12 pay for the item.

13 (d) MANAGEMENT, ARCHITECTURAL, AND ENGINEERING CONTRACTS.—A

14 contract for program management, construction management, a feasibility

15 study, and preliminary engineering, design, architectural, engineering, sur16 veying, mapping, or related services for a project for which a grant or loan

17 is made under this chapter shall be awarded in the same way as a contract

18 for architectural and engineering services is negotiated under title IX of the

19 Federal Property and Administrative Services Act of 1949 (40 U.S.C. 541 et

20 seq.) or an equivalent qualifications-based requirement of a State. This sub21 section does not apply to the extent a State has adopted or adopts by law

22 a formal procedure for procuring those services.

23 § 5326. Special procurements

24 (a) TURNKEY SYSTEM PROJECTS.—(1) In this subsection, ‘‘turnkey system

25 project’’ means a project under which a recipient makes a contract with a

26 seller, firm, or consortium of firms to construct a mass transportation system

27 that meets specific performance criteria and that the seller operates for a pe28 riod of time.

29 (2) To advance new technologies and lower the cost of a capital project for

30 a new mass transportation system, the Secretary of Transportation shall

31 allow solicitation for a turnkey system project to be financed under this chap32 ter to be awarded conditionally before United States Government requirements

33 have been met on the project if the award is made without prejudice to carry34 ing out those requirements. Government financial assistance under this chap35 ter may be made available for the project after the recipient complies with

36 Government requirements.

37 (3) To develop regulations applying generally to turnkey system projects,

38 the Secretary may approve at least 2 projects for an initial demonstration

39 phase. The results of the demonstration projects (and other projects using this

40 procurement method on December 18, 1991) shall be considered in developing

41 guidelines to carry out this subsection.
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1 (b) MULTIYEAR ROLLING STOCK.—(1) A recipient procuring rolling stock

2 with Government financial assistance under this chapter may make a

3 multiyear contract to buy the rolling stock and replacement parts under

4 which the recipient has an option to buy additional rolling stock or replace5 ment parts for not more than 5 years after the date of the original contract.

6 (2) The Secretary shall allow at least 2 recipients to act on a cooperative

7 basis to procure rolling stock in compliance with this subsection and other

8 Government procurement requirements.

9 (c) EFFICIENT PROCUREMENT.—A recipient may award a procurement

10 contract under this chapter to other than the lowest bidder when the award

11 furthers an objective consistent with the purposes of this chapter, including

12 improved long-term operating efficiency and lower long-term costs. Not later

13 than March 17, 1992, the Secretary shall—

14 (1) make appropriate changes in existing procedures to make the pol15 icy stated in this subsection readily practicable for all mass transpor16 tation authorities; and

17 (2) prescribe guidance that clarifies and carries out the policy.

18 § 5327. Project management oversight

19 (a) PROJECT MANAGEMENT PLAN REQUIREMENTS.—To receive United

20 States Government financial assistance for a major capital project under this

21 chapter or the National Capital Transportation Act of 1969 (Public Law 91–

22 143, 83 Stat. 320), a recipient must prepare and carry out a project manage23 ment plan approved by the Secretary of Transportation. The plan shall pro24 vide for—

25 (1) adequate recipient staff organization with well-defined reporting

26 relationships, statements of functional responsibilities, job descriptions,

27 and job qualifications;

28 (2) a budget covering the project management organization, appro29 priate consultants, property acquisition, utility relocation, systems dem30 onstration staff, audits, and miscellaneous payments the recipient may

31 be prepared to justify;

32 (3) a construction schedule for the project;

33 (4) a document control procedure and recordkeeping system;

34 (5) a change order procedure that includes a documented, systematic

35 approach to the handling of construction change orders;

36 (6) organizational structures, management skills, and staffing levels

37 required throughout the construction phase;

38 (7) quality control and quality assurance functions, procedures, and

39 responsibilities for construction, system installation, and integration of

40 system components;

41 (8) material testing policies and procedures;
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1 (9) internal plan implementation and reporting requirements;

2 (10) criteria and procedures to be used for testing the operational sys3 tem or its major components;

4 (11) periodic updates of the plan, especially related to project budget

5 and project schedule, financing, ridership estimates, and the status of

6 local efforts to enhance ridership where ridership estimates partly depend

7 on the success of those efforts; and

8 (12) the recipient’s commitment to submit a project budget and project

9 schedule to the Secretary each month.

10 (b) PLAN APPROVAL.—(1) The Secretary shall approve a plan not later

11 than 60 days after it is submitted. If the approval cannot be completed within

12 60 days, the Secretary shall notify the recipient, explain the reasons for the

13 delay, and estimate the additional time that will be required.

14 (2) The Secretary shall inform the recipient of the reasons when a plan

15 is disapproved.

16 (c) LIMITATIONS ON USE OF AVAILABLE AMOUNTS.—(1) The Secretary

17 may use not more than .5 percent of amounts made available for a fiscal year

18 to carry out section 5307, 5309, or 5311 of this title, an interstate transfer

19 mass transportation project under section 103(e)(4) of title 23 as in effect on

20 September 30, 1991, or a project under the National Capital Transportation

21 Act of 1969 (Public Law 91–143, 83 Stat. 320) to make a contract to oversee

22 the construction of a major project under section 5307, 5309, 5311, or

23 103(e)(4) of that Act. The Secretary may use when necessary not more than

24 an additional .25 percent of amounts made available in a fiscal year to carry

25 out a major project under section 5307 to make a contract to oversee the con26 struction of the project.

27 (2) The Secretary may use amounts available under paragraph (1) of this

28 subsection to make contracts for safety, procurement, management, and finan29 cial compliance reviews and audits of a recipient of amounts under para30 graph (1). Subsections (a), (b), and (e) of this section do not apply to con31 tracts under this paragraph.

32 (3) The Government shall pay the entire cost of carrying out a contract

33 under this subsection.

34 (d) ACCESS TO SITES AND RECORDS.—Each recipient of assistance under

35 this chapter or section 14(b) of the National Capital Transportation Act of

36 1969 (Public Law 91–143, 83 Stat. 320), as added by section 2 of the Na37 tional Capital Transportation Amendments of 1979 (Public Law 96–184, 93

38 Stat. 1320), shall provide the Secretary and a contractor the Secretary chooses

39 under subsection (c) of this section with access to the construction sites and

40 records of the recipient when reasonably necessary.
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1 (e) REGULATIONS.—The Secretary shall prescribe regulations necessary to

2 carry out this section. The regulations shall include—

3 (1) a definition of ‘‘major capital project’’ for subsection (c) of this

4 section that excludes a project to acquire rolling stock or to maintain or

5 rehabilitate a vehicle; and

6 (2) a requirement that oversight begin during the preliminary engi7 neering stage of a project, unless the Secretary finds it more appropriate

8 to begin the oversight during another stage of the project, to maximize

9 the transportation benefits and cost savings associated with project man10 agement oversight.

11 § 5328. Project review

12 (a) SCHEDULE.—(1) When the Secretary of Transportation allows a new

13 fixed guideway project to advance into the alternatives analysis stage of

14 project review, the Secretary shall cooperate with the applicant in alternatives

15 analysis and in preparing a draft environmental impact statement and shall

16 approve the draft for circulation not later than 45 days after the applicant

17 submits the draft to the Secretary.

18 (2) After the draft is circulated and not later than 30 days after the appli19 cant selects a locally preferred alternative, the Secretary shall allow the

20 project to advance to the preliminary engineering stage if the Secretary finds

21 the project is consistent with section 5309(e)(1)–(6) of this title.

22 (3) The Secretary shall issue a record of decision and allow a project to

23 advance to the final design stage of construction not later than 120 days after

24 the final environmental impact statement for the project is completed.

25 (4) The Secretary shall make a full financing grant agreement under sec26 tion 5309 of this title for a project not later than 120 days after the project

27 enters the final design stage of construction. The agreement shall provide for

28 a United States Government share of the construction cost at least equal to

29 the Government share estimated in the Secretary’s most recent report required

30 under section 5309(m)(2) of this title or an update of the report unless the

31 applicant requests otherwise.

32 (b) ALLOWED DELAYS.—(1) Advancement of a project under the time re33 quirements of subsection (a) of this section may be delayed only—

34 (A) for the time the applicant may request; or

35 (B) during the time the Secretary finds, after reasonable notice and

36 an opportunity for comment, that the applicant, for reasons attributable

37 only to the applicant, has not complied substantially with the provisions

38 of this chapter applicable to the project.

39 (2) Not more than 10 days after imposing a delay under paragraph (1)(B)

40 of this subsection, the Secretary shall give the applicant a written statement
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1 explaining the reasons for the delay and describing actions the applicant must

2 take to end the delay.

3 (3) At least once every 6 months, the Secretary shall report to the Commit4 tee on Public Works and Transportation of the House of Representatives and

5 the Committee on Banking, Housing, and Urban Affairs of the Senate on each

6 situation in which the Secretary has not met a time requirement of subsection

7 (a) of this section or delayed a time requirement under paragraph (1)(B) of

8 this subsection. The report shall explain the reasons for the delay and include

9 a plan for achieving timely completion of the Secretary’s review.

10 (c) PROGRAM OF INTERRELATED PROJECTS.—(1) In this subsection, a pro11 gram of interrelated projects includes the following:

12 (A) the New Jersey Urban Core Project (as defined in title III of the

13 Intermodal Surface Transportation Efficiency Act of 1991 (Public Law

14 102–240, 105 Stat. 2087)).

15 (B) the San Francisco Bay Area Rail Extension Program, consisting

16 of at least an extension of the San Francisco Bay Area Rapid Transit

17 District to the San Francisco International Airport (Phase 1a to Colma

18 and Phase 1b to San Francisco Airport), the Santa Clara County Tran19 sit District Tasman Corridor Project, a program element designated by

20 a change to the Metropolitan Transportation Commission Resolution No.

21 1876, and a program element financed completely with non-Government

22 amounts, including the BART Warm Springs Extension, Dublin Exten23 sion, and West Pittsburg Extension.

24 (C) the Los Angeles Metro Rail Minimum Operable Segment-3 Pro25 gram, consisting of 7 stations and approximately 11.6 miles of heavy

26 rail subway on the following lines:

27 (i) one line running west and northwest from the Hollywood/Vine

28 station to the North Hollywood station, with 2 intermediate sta29 tions.

30 (ii) one line running west from the Wilshire/Western station to

31 the Pico/San Vicente station, with one intermediate station.

32 (iii) the East Side Extension, consisting of an initial line of ap33 proximately 3 miles, with at least 2 stations, beginning at Union

34 Station and running generally east.

35 (D) the Baltimore-Washington Transportation Improvement Program,

36 consisting of 3 extensions of the Baltimore Light Rail to Hunt Valley,

37 Penn Station, and Baltimore-Washington Airport, MARC extensions to

38 Frederick and Waldorf, Maryland, and an extension of the Washington

39 Subway system to Largo, Maryland.

40 (E) the Tri-County Metropolitan Transportation District of Oregon

41 Westside Light Rail Program, consisting of the locally preferred alter-
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1 native for the Westside Light Rail Project, including system related costs,

2 contained in the Department of Transportation and Related Agencies

3 Appropriations Act, 1991 (Public Law 101–516, 104 Stat. 2155), and

4 defined in House Report 101–584, and the Hillsboro extension to the

5 Westside Light Rail Project contained in that Act.

6 (F) the Queens Local/Express Connector Program, consisting of the lo7 cally preferred alternative for the connection of the 63d Street tunnel ex8 tension to the Queens Boulevard lines, the bell-mouth part of the connec9 tor that will allow for future access by commuter rail trains and other

10 subway lines to the 63d Street tunnel extension, planning elements for

11 connecting the upper and lower levels to commuter and subway lines in

12 Long Island City, and planning elements for providing a connector for

13 commuter rail transportation to the East side of Manhattan and subway

14 lines to the proposed Second Avenue subway.

15 (G) the Dallas Area Rapid Transit Authority light rail elements of

16 the New System Plan, consisting of the locally preferred alternative for

17 the South Oak Cliff corridor, the South Oak Cliff corridor extension18 Camp Wisdom, the West Oak Cliff corridor-Westmoreland, the North

19 Central corridor-Park Lane, the North Central corridor-Richardson,

20 Plano, and Garland extensions, the Pleasant Grove corridor-Buckner,

21 and the Carrollton corridors-Farmers Branch and Las Colinas terminal.

22 (H) other programs designated by law or the Secretary.

23 (2) Consistent with the time requirements of subsection (a) of this section

24 or as otherwise provided by law, the Secretary shall make at least one full

25 financing grant agreement for each program described in paragraph (1) of

26 this subsection. The agreement shall include commitments to advance each of

27 the applicant’s program elements (in the program of interrelated projects)

28 through the appropriate program review stages as provided in subsection (a)

29 or as otherwise provided by law and to provide Government financing for

30 each element. The agreement may be changed to include design and construc31 tion of a particular element.

32 (3) When reviewing a project in a program of interrelated projects, the Sec33 retary shall consider the local financial commitment, transportation effective34 ness, and other assessment factors of all program elements to the extent con35 sideration expedites carrying out the project.

36 (4) Including a program element not financed by the Government in a pro37 gram of interrelated projects does not impose Government requirements that

38 otherwise would not apply to the element.

39 § 5329. Investigation of safety hazards

40 (a) GENERAL.—The Secretary of Transportation may investigate a condi41 tion in equipment, a facility, or an operation financed under this chapter
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1 that the Secretary believes causes a serious hazard of death or injury to estab2 lish the nature and extent of the condition and how to eliminate or correct

3 it. If the Secretary establishes that a condition causes a hazard, the Secretary

4 shall require the local governmental authority receiving amounts under this

5 chapter to submit a plan for correcting it. The Secretary may withhold fur6 ther financial assistance under this chapter until a plan is approved and car7 ried out.

8 (b) REPORT.—Not later than June 15, 1992, the Secretary shall submit to

9 Congress a report containing—

10 (1) a description of actions taken to identify and investigate condi11 tions in a facility, equipment, or way of operating as part of the find12 ings and decisions required of the Secretary in providing a grant or loan

13 under this chapter;

14 (2) a description of actions of the Secretary to correct or eliminate,

15 as a requirement for making an amount available through a grant or

16 loan under this chapter, a condition found to create a serious hazard of

17 death or injury;

18 (3) a summary of all passenger-related deaths and injuries resulting

19 from an unsafe condition in a facility, equipment, or way of operating

20 a facility or equipment at least partly financed under this chapter;

21 (4) a summary of all employee-related deaths and injuries resulting

22 from an unsafe condition in a facility, equipment, or way of operating

23 a facility or equipment at least partly financed under this chapter;

24 (5) a summary of action of the Secretary to correct or eliminate the

25 unsafe condition to which the deaths and injuries referred to in clauses

26 (3) and (4) of this subsection were attributed;

27 (6) a summary of actions of the Secretary to alert mass transportation

28 operators of the nature of the unsafe condition found to create a serious

29 hazard of death or injury; and

30 (7) recommendations of the Secretary to Congress of any legislative or

31 administrative actions necessary to ensure that all recipients of amounts

32 under this chapter will undertake the best way available to correct or

33 eliminate hazards of death or injury, including—

34 (A) a timetable for undertaking actions;

35 (B) an estimate of the capital and operating cost to take the ac36 tions; and

37 (C) minimum standards for establishing and carrying out safety

38 plans by recipients of amounts under this chapter.
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1 § 5330. Withholding amounts for noncompliance with safety

2 requirements

3 (a) APPLICATION.—This section applies only to States that have rail fixed

4 guideway mass transportation systems not subject to regulation by the Fed5 eral Railroad Administration.

6 (b) GENERAL AUTHORITY.—The Secretary of Transportation may withhold

7 not more than 5 percent of the amount required to be appropriated for use

8 in a State or urbanized area in the State under section 5307 of this title for

9 a fiscal year beginning after September 30, 1994, if the State in the prior

10 fiscal year has not met the requirements of subsection (c) of this section and

11 the Secretary decides the State is not making an adequate effort to comply

12 with subsection (c).

13 (c) STATE REQUIREMENTS.—A State meets the requirements of this section

14 if the State—

15 (1) establishes and is carrying out a safety program plan for each

16 fixed guideway mass transportation system in the State that establishes

17 at least safety requirements, lines of authority, levels of responsibility

18 and accountability, and methods of documentation for the system; and

19 (2) designates a State authority as having responsibility—

20 (A) to require, review, approve, and monitor the carrying out of

21 each plan;

22 (B) to investigate hazardous conditions and accidents on the sys23 tems; and

24 (C) to require corrective action to correct or eliminate those con25 ditions.

26 (d) MULTISTATE INVOLVEMENT.—When more than one State is subject to

27 this section in connection with a single mass transportation authority, the

28 affected States may designate an entity (except the mass transportation au29 thority) to ensure uniform safety standards and enforcement and to meet the

30 requirements of subsection (c) of this section.

31 (e) AVAILABILITY OF WITHHELD AMOUNTS.—(1) An amount withheld

32 under subsection (b) of this section remains available for apportionment for

33 use in the State until the end of the 2d fiscal year after the fiscal year for

34 which the amount may be appropriated.

35 (2) If a State meets the requirements of subsection (c) of this section before

36 the last day of the period for which an amount withheld under subsection (b)

37 of this section remains available under paragraph (1) of this subsection, the

38 Secretary, on the first day on which the State meets the requirements, shall

39 apportion to the State the amount withheld that remains available for appor40 tionment for use in the State. An amount apportioned under this paragraph

41 remains available until the end of the 3d fiscal year after the fiscal year in
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1 which the amount is apportioned. An amount not obligated at the end of the

2 3-year period shall be apportioned for use in other States under section 5336

3 of this title.

4 (3) If a State does not meet the requirements of subsection (c) of this section

5 at the end of the period for which an amount withheld under subsection (b)

6 of this section remains available under paragraph (1) of this subsection, the

7 amount shall be apportioned for use in other States under section 5336 of this

8 title.

9 (f) REGULATIONS.—Not later than December 18, 1992, the Secretary shall

10 prescribe regulations stating the requirements for complying with subsection

11 (c) of this section.

12 § 5331. Alcohol and controlled substances testing

13 (a) DEFINITIONS.—In this section—

14 (1) ‘‘controlled substance’’ means any substance under section 102 of

15 the Comprehensive Drug Abuse Prevention and Control Act of 1970 (21

16 U.S.C. 802) whose use the Secretary of Transportation decides has a risk

17 to transportation safety.

18 (2) ‘‘person’’ includes any entity organized or existing under the laws

19 of the United States, a State, territory, or possession of the United

20 States, or a foreign country.

21 (3) ‘‘mass transportation’’ means any form of mass transportation, ex22 cept a form the Secretary decides is covered adequately, for employee al23 cohol and controlled substances testing purposes, under subchapter III of

24 chapter 201 or section 31306 of this title.

25 (b) TESTING PROGRAM FOR MASS TRANSPORTATION EMPLOYEES.—(1)(A)

26 In the interest of mass transportation safety, the Secretary of Transportation

27 shall prescribe regulations not later than October 28, 1992, that establish a

28 program requiring mass transportation operations that receive financial as29 sistance under section 5307, 5309, or 5311 of this title or section 103(e)(4)

30 of title 23 to conduct preemployment, reasonable suspicion, random, and post31 accident testing of mass transportation employees responsible for safety-sen32 sitive functions (as decided by the Secretary) for the use of alcohol or a con33 trolled substance in violation of law or a United States Government regula34 tion.

35 (B) When the Secretary of Transportation considers it appropriate in the

36 interest of safety, the Secretary may prescribe regulations for conducting peri37 odic recurring testing of mass transportation employees responsible for safety38 sensitive functions (as decided by the Secretary) for the use of alcohol or a

39 controlled substance in violation of law or a Government regulation.

40 (2) In prescribing regulations under this subsection, the Secretary of Trans41 portation—
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1 (A) shall require that post-accident testing of such a mass transpor2 tation employee be conducted when loss of human life occurs in an acci3 dent involving mass transportation; and

4 (B) may require that post-accident testing of such a mass transpor5 tation employee be conducted when bodily injury or significant property

6 damage occurs in any other serious accident involving mass transpor7 tation.

8 (c) DISQUALIFICATIONS FOR USE.—(1) When the Secretary of Transpor9 tation considers it appropriate, the Secretary shall require disqualification for

10 an established period of time or dismissal of any employee referred to in sub11 section (b)(1) of this section who is found—

12 (A) to have used or been impaired by alcohol when on duty; or

13 (B) to have used a controlled substance, whether or not on duty, except

14 as allowed for medical purposes by law or regulation.

15 (2) This section does not supersede any penalty applicable to a mass trans16 portation employee under another law.

17 (d) TESTING AND LABORATORY REQUIREMENTS.—In carrying out sub18 section (b) of this section, the Secretary of Transportation shall develop re19 quirements that shall—

20 (1) promote, to the maximum extent practicable, individual privacy

21 in the collection of specimens;

22 (2) for laboratories and testing procedures for controlled substances,

23 incorporate the Department of Health and Human Services scientific

24 and technical guidelines dated April 11, 1988, and any amendments to

25 those guidelines, including mandatory guidelines establishing—

26 (A) comprehensive standards for every aspect of laboratory con27 trolled substances testing and laboratory procedures to be applied in

28 carrying out this section, including standards requiring the use of

29 the best available technology to ensure the complete reliability and

30 accuracy of controlled substances tests and strict procedures govern31 ing the chain of custody of specimens collected for controlled sub32 stances testing;

33 (B) the minimum list of controlled substances for which individ34 uals may be tested; and

35 (C) appropriate standards and procedures for periodic review of

36 laboratories and criteria for certification and revocation of certifi37 cation of laboratories to perform controlled substances testing in

38 carrying out this section;

39 (3) require that a laboratory involved in controlled substances testing

40 under this section have the capability and facility, at the laboratory, of

41 performing screening and confirmation tests;
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1 (4) provide that all tests indicating the use of alcohol or a controlled

2 substance in violation of law or a Government regulation be confirmed

3 by a scientifically recognized method of testing capable of providing

4 quantitative information about alcohol or a controlled substance;

5 (5) provide that each specimen be subdivided, secured, and labeled in

6 the presence of the tested individual and that a part of the specimen be

7 retained in a secure manner to prevent the possibility of tampering, so

8 that if the individual’s confirmation test results are positive the individ9 ual has an opportunity to have the retained part tested by a 2d con10 firmation test done independently at another certified laboratory if the

11 individual requests the 2d confirmation test not later than 3 days after

12 being advised of the results of the first confirmation test;

13 (6) ensure appropriate safeguards for testing to detect and quantify

14 alcohol in breath and body fluid samples, including urine and blood,

15 through the development of regulations that may be necessary and in

16 consultation with the Secretary of Health and Human Services;

17 (7) provide for the confidentiality of test results and medical informa18 tion (except information about alcohol or a controlled substance) of em19 ployees, except that this clause does not prevent the use of test results for

20 the orderly imposition of appropriate sanctions under this section; and

21 (8) ensure that employees are selected for tests by nondiscriminatory

22 and impartial methods, so that no employee is harassed by being treated

23 differently from other employees in similar circumstances.

24 (e) REHABILITATION.—The Secretary of Transportation shall prescribe reg25 ulations establishing requirements for rehabilitation programs that provide

26 for the identification and opportunity for treatment of any mass transpor27 tation employee referred to in subsection (b)(1) of this section who is found

28 to have used alcohol or a controlled substance in violation of law or a Govern29 ment regulation. The Secretary shall decide on the circumstances under which

30 employees shall be required to participate in a program. This subsection does

31 not prevent a mass transportation operation from establishing a program

32 under this section in cooperation with another mass transportation operation.

33 (f) RELATIONSHIP TO OTHER LAWS, REGULATIONS, STANDARDS, AND OR34 DERS.—(1) A State or local government may not prescribe, issue, or continue

35 in effect a law, regulation, standard, or order that is inconsistent with regula36 tions prescribed under this section. However, a regulation prescribed under

37 this section does not preempt a State criminal law that imposes sanctions for

38 reckless conduct leading to loss of life, injury, or damage to property.

39 (2) In prescribing regulations under this section, the Secretary of Trans40 portation—
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1 (A) shall establish only requirements that are consistent with inter2 national obligations of the United States; and

3 (B) shall consider applicable laws and regulations of foreign countries.

4 (3) This section does not prevent the Secretary of Transportation from con5 tinuing in effect, amending, or further supplementing a regulation prescribed

6 before October 28, 1991, governing the use of alcohol or a controlled substance

7 by mass transportation employees.

8 (g) INELIGIBILITY FOR ASSISTANCE.—A person is not eligible for financial

9 assistance under section 5307, 5309, or 5311 of this title or section 103(e)(4)

10 of title 23 if the person is required, under regulations the Secretary of Trans11 portation prescribes under this section, to establish a program of alcohol and

12 controlled substances testing and does not establish the program.

13 § 5332. Nondiscrimination

14 (a) DEFINITION.—In this section, ‘‘person’’ includes a governmental au15 thority, political subdivision, authority, legal representative, trust, unincor16 porated organization, trustee, trustee in bankruptcy, and receiver.

17 (b) PROHIBITIONS.—A person may not be excluded from participating in,

18 denied a benefit of, or discriminated against under, a project, program, or

19 activity receiving financial assistance under this chapter because of race,

20 color, creed, national origin, sex, or age.

21 (c) COMPLIANCE.—(1) The Secretary of Transportation shall take affirma22 tive action to ensure compliance with subsection (b) of this section.

23 (2) When the Secretary decides that a person receiving financial assistance

24 under this chapter is not complying with subsection (b) of this section, a civil

25 rights law of the United States, or a regulation or order under that law, the

26 Secretary shall notify the person of the decision and require action be taken

27 to ensure compliance with subsection (b).

28 (d) AUTHORITY OF SECRETARY FOR NONCOMPLIANCE.—If a person does

29 not comply with subsection (b) of this section within a reasonable time after

30 receiving notice, the Secretary shall—

31 (1) direct that no further financial assistance of the United States

32 Government under this chapter be provided to the person;

33 (2) refer the matter to the Attorney General with a recommendation

34 that a civil action be brought;

35 (3) proceed under title VI of the Civil Rights Act of 1964 (42 U.S.C.

36 2000d et seq.); and

37 (4) take any other action provided by law.

38 (e) CIVIL ACTIONS BY ATTORNEY GENERAL.—The Attorney General may

39 bring a civil action for appropriate relief when—

40 (1) a matter is referred to the Attorney General under subsection

41 (d)(2) of this section; or
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1 (2) the Attorney General believes a person is engaged in a pattern or

2 practice in violation of this section.

3 (f) APPLICATION AND RELATIONSHIP TO OTHER LAWS.—This section ap4 plies to an employment or business opportunity and is in addition to title

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

6 § 5333. Labor standards

7 (a) PREVAILING WAGES REQUIREMENT.—The Secretary of Transportation

8 shall ensure that laborers and mechanics employed by contractors and sub9 contractors in construction work financed with a grant or loan under this

10 chapter be paid wages not less than those prevailing on similar construction

11 in the locality, as determined by the Secretary of Labor under the Act of

12 March 3, 1931 (known as the Davis-Bacon Act) (40 U.S.C. 276a—276a–5).

13 The Secretary of Transportation may approve a grant or loan only after

14 being assured that required labor standards will be maintained on the con15 struction work. For a labor standard under this subsection, the Secretary of

16 Labor has the same duties and powers stated in Reorganization Plan No. 14

17 of 1950 (eff. May 24, 1950, 64 Stat. 1267) and section 2 of the Act of June

18 13, 1934 (40 U.S.C. 276c).

19 (b) EMPLOYEE PROTECTIVE ARRANGEMENTS.—(1) As a condition of finan20 cial assistance under sections 5307–5312, 5318(d), 5323(a)(1), (b), (d), and

21 (e), 5328, 5337, and 5338(j)(5) of this title, the interests of employees affected

22 by the assistance shall be protected under arrangements the Secretary of

23 Labor concludes are fair and equitable. The agreement granting the assistance

24 under sections 5307–5312, 5318(d), 5323(a)(1), (b), (d), and (e), 5328, 5337,

25 and 5338(j)(5) shall specify the arrangements.

26 (2) Arrangements under this subsection shall include—

27 (A) the preservation of rights, privileges, and benefits (including con28 tinuation of pension rights and benefits) under existing collective bar29 gaining agreements or otherwise;

30 (B) the continuation of collective bargaining rights;

31 (C) the protection of employees against a worsening of their positions

32 related to employment;

33 (D) assurances of employment to employees of acquired mass transpor34 tation systems;

35 (E) assurances of priority of reemployment of employees whose em36 ployment is ended or who are laid off; and

37 (F) paid training or retraining programs.

38 (3) Arrangements under this subsection shall provide benefits at least equal

39 to benefits established under section 11347 of this title.
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1 § 5334. Administrative

2 (a) GENERAL AUTHORITY.—In carrying out this chapter, the Secretary of

3 Transportation may—

4 (1) prescribe terms for a project under sections 5307 and 5309–5311

5 of this title (except terms the Secretary of Labor prescribes under section

6 5333(b) of this title);

7 (2) sue and be sued;

8 (3) foreclose on property or bring a civil action to protect or enforce

9 a right conferred on the Secretary of Transportation by law or agree10 ment;

11 (4) buy property related to a loan under this chapter;

12 (5) agree to pay an annual amount in place of a State or local tax

13 on real property acquired or owned under this chapter;

14 (6) sell, exchange, or lease property, a security, or an obligation;

15 (7) obtain loss insurance for property and assets the Secretary of

16 Transportation holds;

17 (8) consent to a modification in an agreement under this chapter; and

18 (9) include in an agreement or instrument under this chapter a cov19 enant or term the Secretary of Transportation considers necessary to

20 carry out this chapter.

21 (b) PROCEDURES FOR PRESCRIBING REGULATIONS.—(1) The Secretary of

22 Transportation shall prepare an agenda listing all areas in which the Sec23 retary intends to propose regulations governing activities under this chapter

24 within the following 12 months. The Secretary shall publish the proposed

25 agenda in the Federal Register as part of the Secretary’s semiannual regu26 latory agenda that lists regulatory activities of the Federal Transit Adminis27 tration. The Secretary shall submit the agenda to the Committees on Public

28 Works and Transportation and Appropriations of the House of Representa29 tives and the Committees on Banking, Housing, and Urban Affairs and Ap30 propriations of the Senate on the day the agenda is published.

31 (2) Except for emergency regulations, the Secretary of Transportation shall

32 give interested parties at least 60 days to participate in a regulatory proceed33 ing under this chapter by submitting written information, views, or argu34 ments, with or without an oral presentation, except when the Secretary for

35 good cause finds that public notice and comment are unnecessary because of

36 the routine nature or insignificant impact of the regulation or that an emer37 gency regulation should be issued. The Secretary may extend the 60-day pe38 riod if the Secretary decides the period is insufficient to allow diligent indi39 viduals to prepare comments or that other circumstances justify an extension.

40 (3) An emergency regulation ends 120 days after it is issued.
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1 (4) The Secretary of Transportation shall comply with this section (except

2 subsections (h) and (i)) and sections 5323(a)(2), (c) and (e), 5324(c), and

3 5325 of this title when proposing or carrying out a regulation governing an

4 activity under this chapter, except for a routine matter or a matter with no

5 significant impact.

6 (c) BUDGET PROGRAM AND SET OF ACCOUNTS.—The Secretary of Trans7 portation shall—

8 (1) submit each year a budget program as provided in section 9103

9 of title 31; and

10 (2) maintain a set of accounts the Comptroller General shall audit

11 under chapter 35 of title 31.

12 (d) DEPOSITORY AND AVAILABILITY OF AMOUNTS.—The Secretary of

13 Transportation shall deposit amounts made available to the Secretary under

14 this chapter in a checking account in the Treasury. Receipts, assets, and

15 amounts obtained or held by the Secretary to carry out this chapter are avail16 able for administrative expenses to carry out this chapter.

17 (e) BINDING EFFECT OF FINANCIAL TRANSACTION.—A financial trans18 action of the Secretary of Transportation under this chapter and a related

19 voucher are binding on all officers and employees of the United States Gov20 ernment.

21 (f) DEALING WITH ACQUIRED PROPERTY.—Notwithstanding another law

22 related to the Government acquiring, using, or disposing of real property, the

23 Secretary of Transportation may deal with property acquired under sub24 section (a)(3) or (4) of this section in any way. However, this subsection does

25 not—

26 (1) deprive a State or political subdivision of a State of jurisdiction

27 of the property; or

28 (2) impair the civil rights, under the laws of a State or political sub29 division of a State, of an inhabitant of the property.

30 (g) TRANSFER OF ASSETS NO LONGER NEEDED.—(1) If a recipient of as31 sistance under this chapter decides an asset acquired under this chapter at

32 least in part with that assistance is no longer needed for the purpose for

33 which it was acquired, the Secretary of Transportation may authorize the re34 cipient to transfer the asset to a local governmental authority to be used for

35 a public purpose with no further obligation to the Government. The Secretary

36 may authorize a transfer for a public purpose other than mass transportation

37 only if the Secretary decides—

38 (A) the asset will remain in public use for at least 5 years after the

39 date the asset is transferred;

40 (B) there is no purpose eligible for assistance under this chapter for

41 which the asset should be used;
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1 (C) the overall benefit of allowing the transfer is greater than the in2 terest of the Government in liquidation and return of the financial inter3 est of the Government in the asset, after considering fair market value

4 and other factors; and

5 (D) through an appropriate screening or survey process, that there is

6 no interest in acquiring the asset for Government use if the asset is a

7 facility or land.

8 (2) A decision under paragraph (1) of this section must be in writing and

9 include the reason for the decision.

10 (3) This subsection is in addition to another law related to using and dis11 posing of a facility or equipment under an assistance agreement.

12 (h) TRANSFER OF AMOUNTS AND NON-GOVERNMENT SHARE.—(1) Amounts

13 made available for a mass transportation project under title 23 shall be trans14 ferred to and administered by the Secretary of Transportation under this

15 chapter. Amounts made available for a highway project under this chapter

16 shall be transferred to and administered by the Secretary under title 23.

17 (2) The provisions of title 23 related to the non-Government share apply

18 to amounts under title 23 used for mass transportation projects. The provi19 sions of this chapter related to the non-Government share apply to amounts

20 under this chapter used for highway projects.

21 (i) AUTHORITY OF SECRETARY OF HOUSING AND URBAN DEVELOPMENT.—

22 The Secretary of Housing and Urban Development shall—

23 (1) carry out section 5312(a) and (b)(1) of this title related to—

24 (A) urban transportation systems and planned development of

25 urban areas; and

26 (B) the role of transportation planning in overall urban plan27 ning; and

28 (2) advise and assist the Secretary of Transportation in making find29 ings under section 5323(a)(1)(A) of this title.

30 (j) RELATIONSHIP TO OTHER LAWS.—(1) Section 9107(a) of title 31 ap31 plies to the Secretary of Transportation under this chapter.

32 (2) Section 3709 of the Revised Statutes (41 U.S.C. 5) applies to a contract

33 for more than $1,000 for services or supplies related to property acquired

34 under this chapter.

35 § 5335. Reports and audits

36 (a) REPORTING SYSTEM AND UNIFORM SYSTEM OF ACCOUNTS AND

37 RECORDS.—(1) To help meet the needs of individual mass transportation sys38 tems, the United States Government, State and local governments, and the

39 public for information on which to base mass transportation service planning,

40 the Secretary of Transportation shall maintain a reporting system, by uni41 form categories, to accumulate mass transportation financial and operating
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1 information and a uniform system of accounts and records. The reporting and

2 uniform systems shall contain appropriate information to help any level of

3 government make a public sector investment decision. The Secretary may re4 quest and receive appropriate information from any source.

5 (2) The Secretary may make a grant under section 5307 of this title only

6 if the applicant, and any person that will receive benefits directly from the

7 grant, are subject to the reporting and uniform systems.

8 (b) QUARTERLY REPORTS.—Not later than 30 days after the last day of

9 each calendar quarter, the Secretary shall submit to the Committees on Public

10 Works and Transportation and Appropriations of the House of Representa11 tives and the Committees on Banking, Housing, and Urban Affairs and Ap12 propriations of the Senate a report on—

13 (1) obligations by State, designated recipient, and applicant made

14 under this chapter during the quarter;

15 (2) the balance of unobligated apportionments under this chapter on

16 the last day of the quarter;

17 (3) the balance of unobligated amounts under this chapter on the last

18 day of the quarter that the Secretary may expend;

19 (4) letters of intent issued during the quarter;

20 (5) letters of intent outstanding on the last day of the quarter; and

21 (6) grant contracts executed and reimbursement authority established

22 for amounts obligated for each State, designated recipient, and appli23 cant.

24 (c) BIENNIAL NEEDS REPORT.—In January 1993 and in January of every

25 2d year after 1993, the Comptroller General shall submit to the Committee

26 on Public Works and Transportation of the House of Representatives and the

27 Committee on Banking, Housing, and Urban Affairs of the Senate a report

28 containing an evaluation of the extent to which current mass transportation

29 needs are addressed adequately and an estimate of the future mass transpor30 tation needs of the United States, including mass transportation needs in

31 rural areas (particularly access to health care facilities). The report shall in32 clude—

33 (1) an assessment of needs related to rail modernization, guideway

34 modernization, replacing, rehabilitating, and buying buses and related

35 equipment, constructing bus related facilities, and constructing new fixed

36 guideway systems and extensions to existing fixed guideway systems;

37 (2) a 5-year projection of maintenance and modernization needs re38 sulting from aging of existing equipment and facilities, including the

39 need to overhaul or replace existing bus fleets and rolling stock used on

40 fixed guideway systems;
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1 (3) a 5-year projection of the need to invest in the expansion of exist2 ing mass transportation systems to meet changing economic, commuter,

3 and residential patterns;

4 (4) an estimate of the level of expenditure needed to satisfy the needs

5 identified in clauses (1)–(3) of this paragraph;

6 (5) an examination of existing Government, State, local, and private

7 resources that are or reasonably can be expected to be made available to

8 support public mass transportation; and

9 (6) the gap between the level of expenditure estimated under clause (4)

10 of this paragraph and the level of resources identified under clause (5)

11 of this paragraph that are available to meet the needs.

12 (d) BIENNIAL TRANSFERABILITY REPORT.—In January 1993 and in Janu13 ary of every 2d year after 1993, the Comptroller General shall submit to the

14 Committee on Public Works and Transportation of the House of Representa15 tives and the Committee on Banking, Housing, and Urban Affairs of the Sen16 ate a report on carrying out section 5307(b)(5) of this title. The report

17 shall—

18 (1) identify, by State, the amount of mass transportation money

19 transferred for non-mass transportation purposes under section

20 5307(b)(5) of this title during the prior fiscal year;

21 (2) include an assessment of the impact of the transfers on the mass

22 transportation needs of individuals and communities in the State, in23 cluding the impact on—

24 (A) the State’s ability to meet the mass transportation needs of

25 elderly individuals and individuals with disabilities;

26 (B) efforts to meet the objectives of the Clean Air Act (42 U.S.C.

27 7401 et seq.) and the Americans With Disabilities Act of 1990 (42

28 U.S.C. 12101 et seq.); and

29 (C) the State’s efforts to extend public mass transportation serv30 ices to unserved rural areas; and

31 (3) examine the relative levels of Government mass transportation as32 sistance and services in urban and rural areas in the fiscal year that

33 ended September 30, 1991, and the extent to which the assistance and

34 service has changed in later fiscal years because of mass transportation

35 resources made available under this chapter and the Intermodal Surface

36 Transportation Efficiency Act of 1991 (Public Law 102–240, 105 Stat.

37 1914).

38 § 5336. Apportionment of appropriations for block grants

39 (a) BASED ON URBANIZED AREA POPULATION.—Of the amount made

40 available or appropriated under section 5338(f) of this title—
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1 (1) 9.32 percent shall be apportioned each fiscal year only in urban2 ized areas with a population of less than 200,000 so that each of those

3 areas is entitled to receive an amount equal to—

4 (A) 50 percent of the total amount apportioned multiplied by a

5 ratio equal to the population of the area divided by the total popu6 lation of all urbanized areas with populations of less than 200,000

7 as shown in the latest United States Government census; and

8 (B) 50 percent of the total amount apportioned multiplied by a

9 ratio for the area based on population weighted by a factor, estab10 lished by the Secretary of Transportation, of the number of inhab11 itants in each square mile; and

12 (2) 90.68 percent shall be apportioned each fiscal year only in urban13 ized areas with populations of at least 200,000 as provided in subsections

14 (b) and (c) of this section.

15 (b) BASED ON FIXED GUIDEWAY REVENUE VEHICLE-MILES, ROUTE16 MILES, AND PASSENGER-MILES.—(1) In this subsection, ‘‘fixed guideway rev17 enue vehicle-miles’’ and ‘‘fixed guideway route-miles’’ include ferry boat oper18 ations directly or under contract by the designated recipient.

19 (2) Of the amount apportioned under subsection (a)(2) of this section,

20 33.29 percent shall be apportioned as follows:

21 (A) 95.61 percent of the total amount apportioned under this sub22 section shall be apportioned so that each urbanized area with a popu23 lation of at least 200,000 is entitled to receive an amount equal to—

24 (i) 60 percent of the 95.61 percent apportioned under this sub25 paragraph multiplied by a ratio equal to the number of fixed guide26 way revenue vehicle-miles attributable to the area, as established by

27 the Secretary of Transportation, divided by the total number of all

28 fixed guideway revenue vehicle-miles attributable to all areas; and

29 (ii) 40 percent of the 95.61 percent apportioned under this sub30 paragraph multiplied by a ratio equal to the number of fixed guide31 way route-miles attributable to the area, established by the Sec32 retary, divided by the total number of all fixed guideway route33 miles attributable to all areas.

34 (B) 4.39 percent of the total amount apportioned under this subsection

35 shall be apportioned so that each urbanized area with a population of

36 at least 200,000 is entitled to receive an amount equal to—

37 (i) the number of fixed guideway vehicle passenger-miles traveled

38 multiplied by the number of fixed guideway vehicle passenger-miles

39 traveled for each dollar of operating cost in an area; divided by

40 (ii) the total number of fixed guideway vehicle passenger-miles

41 traveled multiplied by the total number of fixed guideway vehicle
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1 passenger-miles traveled for each dollar of operating cost in all

2 areas.

3 (C) An urbanized area with a population of at least 750,000 in which

4 commuter rail transportation is provided shall receive at least .75 per5 cent of the total amount apportioned under this subsection.

6 (D) Under subparagraph (A) of this paragraph, fixed guideway reve7 nue vehicle- or route-miles, and passengers served on those miles, in an

8 urbanized area with a population of less than 200,000, where the miles

9 and passengers served otherwise would be attributable to an urbanized

10 area with a population of at least 1,000,000 in an adjacent State, are

11 attributable to the governmental authority in the State in which the ur12 banized area with a population of less than 200,000 is located. The au13 thority is deemed an urbanized area with a population of at least

14 200,000 if the authority makes a contract for the service.

15 (E) A recipient’s apportionment under subparagraph (A)(i) of this

16 paragraph may not be reduced if the recipient, after satisfying the Sec17 retary of Transportation that energy or operating efficiencies would be

18 achieved, reduces revenue vehicle-miles but provides the same frequency

19 of revenue service to the same number of riders.

20 (c) BASED ON BUS REVENUE VEHICLE-MILES AND PASSENGER-MILES.—

21 Of the amount apportioned under subsection (a)(2) of this section, 66.71 per22 cent shall be apportioned as follows:

23 (1) 90.8 percent of the total amount apportioned under this subsection

24 shall be apportioned as follows:

25 (A) 73.39 percent of the 90.8 percent apportioned under this

26 paragraph shall be apportioned so that each urbanized area with

27 a population of at least 1,000,000 is entitled to receive an amount

28 equal to—

29 (i) 50 percent of the 73.39 percent apportioned under this

30 subparagraph multiplied by a ratio equal to the total bus reve31 nue vehicle-miles operated in or directly serving the urbanized

32 area divided by the total bus revenue vehicle-miles attributable

33 to all areas;

34 (ii) 25 percent of the 73.39 percent apportioned under this

35 subparagraph multiplied by a ratio equal to the population of

36 the area divided by the total population of all areas, as shown

37 by the latest Government census; and

38 (iii) 25 percent of the 73.39 percent apportioned under this

39 subparagraph multiplied by a ratio for the area based on pop40 ulation weighted by a factor, established by the Secretary of
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1 Transportation, of the number of inhabitants in each square

2 mile.

3 (B) 26.61 percent of the 90.8 percent apportioned under this

4 paragraph shall be apportioned so that each urbanized area with

5 a population of at least 200,000 but not more than 999,999 is enti6 tled to receive an amount equal to—

7 (i) 50 percent of the 26.61 percent apportioned under this

8 subparagraph multiplied by a ratio equal to the total bus reve9 nue vehicle-miles operated in or directly serving the urbanized

10 area divided by the total bus revenue vehicle-miles attributable

11 to all areas;

12 (ii) 25 percent of the 26.61 percent apportioned under this

13 subparagraph multiplied by a ratio equal to the population of

14 the area divided by the total population of all areas, as shown

15 by the latest Government census; and

16 (iii) 25 percent of the 26.61 percent apportioned under this

17 subparagraph multiplied by a ratio for the area based on pop18 ulation weighted by a factor, established by the Secretary of

19 Transportation, of the number of inhabitants in each square

20 mile.

21 (2) 9.2 percent of the total amount apportioned under this subsection

22 shall be apportioned so that each urbanized area with a population of

23 at least 200,000 is entitled to receive an amount equal to—

24 (A) the number of bus passenger-miles traveled multiplied by the

25 number of bus passenger-miles traveled for each dollar of operating

26 cost in an area; divided by

27 (B) the total number of bus passenger-miles traveled multiplied

28 by the total number of bus passenger-miles traveled for each dollar

29 of operating cost in all areas.

30 (d) OPERATING ASSISTANCE.—(1) The total amount apportioned under this

31 section that may be used for operating assistance may not be more than—

32 (A) 80 percent of the total amount apportioned in the fiscal year end33 ing September 30, 1982, under section 5(a)(1)(A), (2)(A), and (3)(A) of

34 the Urban Mass Transportation Act of 1964 to urbanized areas with

35 populations of at least 1,000,000;

36 (B) 90 percent of the total amount apportioned in that year under

37 section 5(a)(1)(A), (2)(A), and (3)(A) to urbanized areas with popu38 lations of at least 200,000 but not more than 999,999;

39 (C) 95 percent of the total amount apportioned in that year under sec40 tion 5(a)(1)(A), (2)(A), and (3)(A) to urbanized areas with populations

41 of less than 200,000; or
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1 (D) two-thirds of the total amount apportioned under this section dur2 ing the first complete year an urbanized area received amounts under

3 this section if the area first became an urbanized area under the 1980

4 Government census or later.

5 (2) Amounts apportioned under paragraph (1) of this subsection shall be

6 increased on October 1 of each year by an amount equal to the amount appli7 cable to each urbanized area under paragraph (1) (except increases under this

8 paragraph), multiplied by the percentage increase in the Consumer Price

9 Index for all-urban consumers published by the Secretary of Labor during the

10 most recent calendar year. However, the increase may not be more than the

11 percentage increase of amounts made available under section 5338(f) of this

12 title in the current fiscal year and amounts made available under section

13 5338(f) in the prior fiscal year.

14 (e) DATE OF APPORTIONMENT.—The Secretary of Transportation shall—

15 (1) apportion amounts appropriated under section 5338(f) of this title

16 to carry out section 5307 of this title not later than the 10th day after

17 the date the amounts are appropriated or October 1 of the fiscal year

18 for which the amounts are appropriated, whichever is later; and

19 (2) publish apportionments of the amounts, including amounts attrib20 utable to each urbanized area with a population of more than 50,000

21 and amounts attributable to each State of a multistate urbanized area,

22 on the apportionment date.

23 (f) AMOUNTS NOT APPORTIONED TO DESIGNATED RECIPIENTS.—The chief

24 executive officer of a State may expend in an urbanized area with a popu25 lation of less than 200,000 an amount apportioned under this section that

26 is not apportioned to a designated recipient as defined in section 5307(a) of

27 this title.

28 (g) TRANSFERS OF APPORTIONMENTS.—(1) The chief executive officer of a

29 State may transfer any part of the State’s apportionment under subsection

30 (a)(1) of this section to supplement amounts apportioned to the State under

31 section 5311(c) of this title or amounts apportioned to urbanized areas under

32 this subsection. The chief executive officer may make a transfer only after con33 sulting with responsible local officials and publicly owned operators of mass

34 transportation in each area for which the amount originally was apportioned

35 under this section.

36 (2) The chief executive officer of a State may transfer any part of the

37 State’s apportionment under section 5311(c) of this title to supplement

38 amounts apportioned to the State under subsection (a)(1) of this section.

39 (3) The chief executive officer of a State may use throughout the State

40 amounts of a State’s apportionment remaining available for obligation at the
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1 beginning of the 90-day period before the period of the availability of the

2 amounts expires.

3 (4) A designated recipient for an urbanized area with a population of at

4 least 200,000 may transfer a part of its apportionment under this section to

5 the chief executive officer of a State. The chief executive officer shall distribute

6 the transferred amounts to urbanized areas under this section.

7 (5) Capital and operating assistance limitations applicable to the original

8 apportionment apply to amounts transferred under this subsection.

9 (h) CHANGES OF APPORTIONMENTS.—If sufficient amounts are available,

10 the Secretary of Transportation shall change apportionments under this sec11 tion between the Mass Transit Account of the Highway Trust Fund and the

12 general fund to ensure that each recipient receives from the general fund at

13 least as much operating assistance made available each fiscal year under this

14 section as the recipient is eligible to receive.

15 (i) PERIOD OF AVAILABILITY TO RECIPIENTS.—An amount apportioned

16 under this section may be obligated by the recipient for 3 years after the fiscal

17 year in which the amount is apportioned. Not later than 30 days after the

18 end of the 3-year period, an amount that is not obligated at the end of that

19 period shall be added to the amount that may be apportioned under this sec20 tion in the next fiscal year.

21 (j) APPLICATION OF OTHER SECTIONS.—Sections 5302, 5318, 5323(a)(1),

22 (d), and (f), 5332, and 5333 of this title apply to this section and to a grant

23 made under this section. Except as provided in this section, no other provi24 sion of this chapter applies to this section or to a grant made under this sec25 tion.

26 (k) CERTAIN URBANIZED AREAS GRANDFATHERED.—An area designated

27 an urbanized area under the 1980 census and not designated an urbanized

28 area under the 1990 census for the fiscal year ending September 30, 1993,

29 is eligible to receive—

30 (1) 50 percent of the amount the area would have received if the area

31 had been an urbanized area as defined by section 5302(a)(13) of this

32 title; and

33 (2) an amount equal to 50 percent of the amount that the State in

34 which the area is located would have received if the area had been an

35 area other than an urbanized area.

36 § 5337. Apportionment of appropriations for fixed guideway

37 modernization

38 (a) PERCENTAGE DISTRIBUTION.—The Secretary of Transportation shall

39 apportion amounts made available for fixed guideway modernization under

40 section 5309 of this title for each of the fiscal years ending September 30,

41 1993–1997, as follows:
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1 (1) The first $455,000,000 shall be apportioned in the following urban2 ized areas as follows:

3 (A) Baltimore, 1.84 percent.

4 (B) Boston, 8.56 percent.

5 (C) Chicago/Northwestern Indiana, 17.18 percent.

6 (D) Cleveland, 2.09 percent.

7 (E) New York, 35.57 percent.

8 (F) Northeastern New Jersey, 9.04 percent.

9 (G) Philadelphia/Southern New Jersey, 12.41 percent.

10 (H) San Francisco, 7.21 percent.

11 (I) Southwestern Connecticut, 6.10 percent.

12 (2) The next $42,700,000 shall be apportioned in the following urban13 ized areas as follows:

14 (A) New York, 33.2341 percent.

15 (B) Northeastern New Jersey, 22.1842 percent.

16 (C) Philadelphia/Southern New Jersey, 5.7594 percent.

17 (D) San Francisco, 2.7730 percent.

18 (E) Pittsburgh, 31.9964 percent.

19 (F) New Orleans, 4.0529 percent.

20 (3) The next $70,000,000 shall be apportioned as follows:

21 (A) 50 percent in the urbanized areas listed in paragraphs (1)

22 and (2) as provided in section 5336(b)(2)(A) of this title.

23 (B) 50 percent in other urbanized areas eligible for assistance

24 under section 5336(b)(2)(A) of this title if the areas contain fixed

25 guideway systems placed in revenue service at least 7 years before

26 the fiscal year in which amounts are made available and in any

27 other urbanized area if, before the first day of the fiscal year, the

28 area satisfies the Secretary that the area has modernization needs

29 that cannot be met adequately with amounts received as provided

30 in section 5336(b)(2)(A).

31 (4) Remaining amounts shall be apportioned in each urbanized area

32 eligible for assistance under paragraphs (1)–(3) of this subsection as pro33 vided in section 5336(B)(2)(A).

34 (b) TOTAL AMOUNTS NOT AVAILABLE.—In a fiscal year in which the total

35 amounts authorized under subsection (a)(1) and (2) of this section are not

36 available, the Secretary shall reduce on a proportionate basis the apportion37 ments of all urbanized areas eligible under subsection (a)(1) or (2) to adjust

38 for the amount not available.

39 (c) NEW JERSEY TRANSIT CORPORATION.—Rail modernization amounts

40 allocated to the New Jersey Transit Corporation under this section may be

41 spent in any urbanized area in which the New Jersey Transit Corporation
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1 operates rail transportation, regardless of which urbanized area generates the

2 financing.

3 (d) AVAILABILITY OF AMOUNTS.—An amount apportioned under this sec4 tion—

5 (1) remains available for 3 years after the fiscal year in which the

6 amount is apportioned; and

7 (2) that is unobligated at the end of the 3-year period shall be

8 reapportioned for the next fiscal year among urbanized areas eligible

9 under subsection (a)(1)–(3) of this section using the apportionment for10 mula of this section.

11 § 5338. Authorizations

12 (a) FOR SECTIONS 5303–5306, 5308, 5310, 5311, 5313, 5314, 5317, 5320,

13 5327, AND 5334(a) and (c) AND SECTION 103(e)(4) OF TITLE 23.—(1) Not

14 more than the following amounts are available from the Mass Transit Account

15 of the Highway Trust Fund for the Secretary of Transportation to carry out

16 sections 5303–5306, 5308, 5310, 5311, 5313, 5314, 5317, 5320, 5327, and

17 5334(a) and (c) of this title:

18 (A) $1,150,000,000 for the fiscal year ending September 30, 1993.

19 (B) $1,190,000,000 for the fiscal year ending September 30, 1994.

20 (C) $1,150,000,000 for the fiscal year ending September 30, 1995.

21 (D) $1,110,000,000 for the fiscal year ending September 30, 1996.

22 (E) $1,920,000,000 for the fiscal year ending September 30, 1997.

23 (2) In addition to amounts made available under paragraph (1) of this

24 subsection, not more than the following amounts may be appropriated to the

25 Secretary to carry out sections 5303–5306, 5308, 5310, 5311, 5313, 5314,

26 5317, 5320, 5327, and 5334(a) and (c) of this title and substitute transit

27 projects under section 103(e)(4) of title 23:

28 (A) $2,055,000,000 for the fiscal year ending September 30, 1993.

29 (B) $1,885,000,000 for the fiscal year ending September 30, 1994.

30 (C) $1,925,000,000 for the fiscal year ending September 30, 1995.

31 (D) $1,965,000,000 for the fiscal year ending September 30, 1996.

32 (E) $2,430,000,000 for the fiscal year ending September 30, 1997.

33 (b) SECTION 5309.—(1) Not more than the following amounts are available

34 from the Account for the Secretary to carry out section 5309 of this title:

35 (A) $1,725,000,000 for the fiscal year ending September 30, 1993.

36 (B) $1,785,000,000 for the fiscal year ending September 30, 1994.

37 (C) $1,725,000,000 for the fiscal year ending September 30, 1995.

38 (D) $1,665,000,000 for the fiscal year ending September 30, 1996.

39 (E) $2,880,000,000 for the fiscal year ending September 30, 1997.
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1 (2) In addition to amounts made available under paragraph (1) of this

2 subsection, not more than the following amounts may be appropriated to the

3 Secretary to carry out section 5309 of this title:

4 (A) $305,000,000 for the fiscal year ending September 30, 1993.

5 (B) $265,000,000 for the fiscal year ending September 30, 1994.

6 (C) $325,000,000 for the fiscal year ending September 30, 1995.

7 (D) $385,000,000 for the fiscal year ending September 30, 1996.

8 (E) $20,000,000 for the fiscal year ending September 30, 1997.

9 (c) SECTION 5315.—The Secretary shall make available in equal amounts

10 from amounts provided under subsections (f) and (g) of this section not more

11 than $3,000,000 for each of the fiscal years ending September 30, 1993–1997,

12 to carry out section 5315 of this title.

13 (d) SECTION 5316.—Not more than the following amounts may be appro14 priated to the Secretary from the Fund (except the Account) for each of the

15 fiscal years ending September 30, 1993–1997:

16 (1) $250,000 to carry out section 5316(a) of this title.

17 (2) $3,000,000 to carry out section 5316(b) of this title.

18 (3) $1,000,000 to carry out section 5316(c) of this title.

19 (4) $1,000,000 to carry out section 5316(d) of this title.

20 (5) $1,000,000 to carry out section 5316(e) of this title.

21 (e) SECTION 5317.—(1) Not more than $6,000,000 is available from the

22 Fund (except the Account) for the Secretary for each of the fiscal years ending

23 September 30, 1993–1997, to carry out section 5317 of this title.

24 (2) Not more than the following amounts may be appropriated to the Sec25 retary from the Fund (except the Account) for making grants under section

26 5317(b)(5)(B) of this title:

27 (A) $3,000,000 for the fiscal year ending September 30, 1993.

28 (B) $2,500,000 for the fiscal year ending September 30, 1994.

29 (f) SECTION 5307.—Amounts remaining available each fiscal year under

30 subsection (a)(1) of this section, after allocation under subsections (g)–(i) and

31 (j)(4) of this section, are available under section 5307 of this title.

32 (g) PLANNING, PROGRAMMING, AND RESEARCH.—Before apportioning in

33 each fiscal year amounts made available or appropriated under subsection (a)

34 of this section, an amount equal to 3 percent of amounts made available or

35 appropriated under subsections (a) and (b) of this section is available as fol36 lows:

37 (1) 45 percent for metropolitan planning activities under section

38 5303(g) of this title.

39 (2) 5 percent to carry out section 5308(b)(2) of this title.

40 (3) 20 percent to carry out State programs under section 5313 of this

41 title.
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1 (4) 30 percent to carry out the national program under section 5314

2 of this title.

3 (h) OTHER SET-ASIDES.—Before apportioning in each fiscal year amounts

4 made available or appropriated under subsection (a) of this section, of

5 amounts made available or appropriated under subsections (a) and (b) of this

6 section—

7 (1) not more than .96 percent is available for administrative expenses

8 to carry out section 5334(a) and (c)–(f) of this title;

9 (2) not more than 1.34 percent is available for transportation services

10 to elderly individuals and individuals with disabilities under the for11 mula under section 5310(a) of this title; and

12 (3) $7,000,000 is available for section 5317 for each of the fiscal years

13 ending September 30, 1993–1997.

14 (i) COMPLETING INTERSTATE TRANSFER TRANSIT PROJECTS.—Of the

15 amounts remaining available each year under subsections (a) and (b) of this

16 section, after allocation under subsections (g) and (h) of this section, not more

17 than $164,843,000 for the fiscal year ending September 30, 1993, is available

18 for substitute transit projects under section 103(e)(4) of title 23.

19 (j) LIMITATIONS.—Of the amounts available—

20 (1) under subsection (a)(2) of this section, 3.5 percent is available to

21 finance programs and activities, including administrative costs, under

22 section 5310 of this title;

23 (2) 1.5 percent of the amounts available to finance research, develop24 ment, and demonstration projects under section 5312(a) of this title is

25 available to increase the information and technology available to provide

26 improved mass transportation service and facilities planned and de27 signed to meet the special needs of elderly individuals and individuals

28 with disabilities;

29 (3) not more than 12.5 percent is available for grants to any one State

30 under section 5312(c)(2) of this title;

31 (4) 5.5 percent of the amount remaining available each year under

32 subsection (a)(1) of this section, after allocation under subsections (g)–

33 (i) of this section, is available under the formula under section 5311 of

34 this title; and

35 (5) under section 5309(m)(1)(C) of this title—

36 (A) $2,000,000 is available for the fiscal year ending September

37 30, 1993;

38 (B) the lesser of $2,000,000 or an amount the Secretary deter39 mines is necessary for each fiscal year is available for each of the

40 fiscal years ending September 30, 1994–1996; and
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1 (C) the lesser of $3,000,000 or an amount the Secretary deter2 mines is necessary is available for the fiscal year ending September

3 30, 1997.

4 (k) GRANTS AS CONTRACTUAL OBLIGATIONS.—(1) A grant or contract ap5 proved by the Secretary, that is financed with amounts made available under

6 subsection (a)(1), (b)(1), (c), or (e) of this section, is a contractual obligation

7 of the United States Government to pay the Government’s share of the cost

8 of the project.

9 (2) A grant or contract, approved by the Secretary, that is financed with

10 amounts made available under subsection (a)(2) or (b)(2) of this section, is

11 a contractual obligation of the Government to pay the Government’s share of

12 the cost of the project only to the extent amounts are provided in advance

13 in an appropriations law.

14 (l) EARLY APPROPRIATIONS AND AVAILABILITY OF AMOUNTS.—(1)

15 Amounts appropriated under subsection (a)(2) of this section to carry out sec16 tion 5311 of this title may be appropriated in the fiscal year before the fiscal

17 year in which the appropriation is available for obligation.

18 (2) Amounts made available or appropriated under subsections (a), (b), (g),

19 (h)(1) and (2), and (j)(4) of this section remain available until expended.

20 (3) An amount apportioned under section 5308 of this title—

21 (A) remains available for 3 years after the fiscal year in which the

22 amount is apportioned; and

23 (B) that is unobligated at the end of the 3-year period shall be added

24 to the amount available for apportionment for the next fiscal year not

25 later than 30 days after the end of the 3-year period.

26 CHAPTER 55—INTERMODAL TRANSPORTATION

SUBCHAPTER I—GENERAL

Sec.

5501. National Intermodal Transportation System policy.

5502. Intermodal Transportation Advisory Board.

5503. Office of Intermodalism.

5504. Model intermodal transportation plans.

SUBCHAPTER II—TERMINALS

5561. Definition.

5562. Assistance projects.

5563. Conversion of certain rail passenger terminals.

5564. Interim preservation of certain rail passenger terminals.

5565. Encouraging the development of plans for converting certain rail passenger terminals.

5566. Records and audits.

5567. Preference for preserving buildings of historic or architectural significance.

5568. Authorization of appropriations.

27 SUBCHAPTER I—GENERAL

28 § 5501. National Intermodal Transportation System policy

29 (a) GENERAL.—It is the policy of the United States Government to develop

30 a National Intermodal Transportation System that is economically efficient
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1 and environmentally sound, provides the foundation for the United States to

2 compete in the global economy, and will move individuals and property in

3 an energy efficient way.

4 (b) SYSTEM CHARACTERISTICS.—(1) The National Intermodal Transpor5 tation System shall consist of all forms of transportation in a unified, inter6 connected manner, including the transportation systems of the future, to re7 duce energy consumption and air pollution while promoting economic devel8 opment and supporting the United States’ preeminent position in inter9 national commerce.

10 (2) The National Intermodal Transportation System shall include a Na11 tional Highway System consisting of the Dwight D. Eisenhower System of

12 Interstate and Defense Highways and those principal arterial roads that are

13 essential for interstate and regional commerce and travel, national defense,

14 intermodal transfer facilities, and international commerce and border cross15 ings.

16 (3) The National Intermodal Transportation System shall include signifi17 cant improvements in public transportation necessary to achieve national

18 goals for improved air quality, energy conservation, international competi19 tiveness, and mobility for elderly individuals, individuals with disabilities,

20 and economically disadvantaged individuals in urban and rural areas of the

21 United States.

22 (4) The National Intermodal Transportation System shall provide im23 proved access to ports and airports, the Nation’s link to commerce.

24 (5) The National Intermodal Transportation System shall give special em25 phasis to the contributions of the transportation sectors to increased produc26 tivity growth. Social benefits must be considered with particular attention to

27 the external benefits of reduced air pollution, reduced traffic congestion, and

28 other aspects of the quality of life in the United States.

29 (6) The National Intermodal Transportation System must be operated and

30 maintained with insistent attention to the concepts of innovation, competi31 tion, energy efficiency, productivity, growth, and accountability. Practices

32 that resulted in the lengthy and overly costly construction of the Dwight D.

33 Eisenhower System of Interstate and Defense Highways must be confronted

34 and stopped.

35 (7) The National Intermodal Transportation System shall be adapted to

36 ‘‘intelligent vehicles’’, ‘‘magnetic levitation systems’’, and other new tech37 nologies, wherever feasible and economical, with benefit cost estimates given

38 special emphasis on safety considerations and techniques for cost allocation.

39 (8) When appropriate, the National Intermodal Transportation System

40 will be financed, as regards Government apportionments and reimbursements,

41 by the Highway Trust Fund. Financial assistance will be provided to State
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1 and local governments and their instrumentalities to help carry out national

2 goals related to mobility for elderly individuals, individuals with disabilities,

3 and economically disadvantaged individuals.

4 (9) The National Intermodal Transportation System must be the center5 piece of a national investment commitment to create the new wealth of the

6 United States for the 21st century.

7 (c) DISTRIBUTION AND POSTING.—The Secretary of Transportation shall

8 distribute copies of the policy in subsections (a) and (b) of this section to each

9 employee of the Department of Transportation and ensure that the policy is

10 posted in all offices of the Department.

11 § 5502. Intermodal Transportation Advisory Board

12 (a) ORGANIZATION.—The Intermodal Transportation Advisory Board is a

13 board in the Office of the Secretary of Transportation.

14 (b) MEMBERSHIP.—The Board consists of the Secretary, who serves as

15 chairman, and the Administrator, or the Administrator’s designee, of—

16 (1) the Federal Highway Administration;

17 (2) the Federal Aviation Administration;

18 (3) the Maritime Administration;

19 (4) the Federal Railroad Administration; and

20 (5) the Federal Transit Administration.

21 (c) DUTIES AND POWERS.—The Board shall provide recommendations for

22 carrying out the duties of the Secretary described in section 301(3) of this

23 title.

24 § 5503. Office of Intermodalism

25 (a) ESTABLISHMENT.—The Secretary of Transportation shall establish in

26 the Office of the Secretary an Office of Intermodalism.

27 (b) DIRECTOR.—The head of the Office is a Director who shall be appointed

28 by the Secretary.

29 (c) DUTIES AND POWERS.—The Director shall carry out the duties of the

30 Secretary described in section 301(3) of this title.

31 (d) INTERMODAL TRANSPORTATION DATA BASE.—(1) The Director shall

32 develop, maintain, and disseminate intermodal transportation data through

33 the Bureau of Transportation Statistics. The Director shall coordinate the col34 lection of data for the data base with the States and metropolitan planning

35 organizations. The data base shall include information on—

36 (A) the volume of property and number of individuals carried in

37 intermodal transportation by relevant classification;

38 (B) patterns of movement of property and individuals in intermodal

39 transportation by relevant classification by origin and destination; and

40 (C) public and private investment in intermodal transportation facili41 ties and services.
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1 (2) The Director shall make information from the data base available to

2 the public.

3 (e) RESEARCH.—The Director shall—

4 (1) coordinate United States Government research on intermodal

5 transportation as provided in the plan developed under section 6009(b)

6 of the Intermodal Surface Transportation Efficiency Act of 1991 (Public

7 Law 102–240, 105 Stat. 2177); and

8 (2) carry out additional research needs identified by the Director.

9 (f) TECHNICAL ASSISTANCE.—The Director shall provide technical assist10 ance to States and to metropolitan planning organizations for urban areas

11 having a population of at least 1,000,000 in collecting data related to inter12 modal transportation to facilitate the collection of the data by States and met13 ropolitan planning organizations.

14 (g) ADMINISTRATIVE AND CLERICAL SUPPORT.—The Director shall provide

15 administrative and clerical support to the Intermodal Transportation Advi16 sory Board.

17 § 5504. Model intermodal transportation plans

18 (a) GRANTS.—The Secretary of Transportation shall make grants to States

19 to develop model State intermodal transportation plans that are consistent

20 with the policy set forth in section 302(e) of this title. The model plans shall

21 include systems for collecting data related to intermodal transportation.

22 (b) DISTRIBUTION.—The Secretary shall award grants to States under this

23 section that represent a variety of geographic regions and transportation

24 needs, patterns, and modes.

25 (c) PLAN SUBMISSION.—As a condition to a State receiving a grant under

26 this section, the Secretary shall require that the State provide assurances that

27 the State will submit to the Secretary a State intermodal transportation plan

28 not later than 18 months after the date of receipt of the grant.

29 (d) GRANT AMOUNTS.—The Secretary shall reserve, from amounts deducted

30 under section 104(a) of title 23, $3,000,000 to make grants under this section.

31 The total amount that a State may receive in grants under this section may

32 not be more than $500,000.

33 SUBCHAPTER II—TERMINALS

34 § 5561. Definition

35 In this chapter, ‘‘civic and cultural activities’’ includes libraries, musical

36 and dramatic presentations, art exhibits, adult education programs, public

37 meeting places, and other facilities for carrying on an activity any part of

38 which is supported under a law of the United States.
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1 § 5562. Assistance projects

2 (a) REQUIREMENTS TO PROVIDE ASSISTANCE.—The Secretary of Trans3 portation shall provide financial, technical, and advisory assistance under

4 this chapter to—

5 (1) promote, on a feasibility demonstration basis, the conversion of at

6 least 3 rail passenger terminals into intermodal transportation termi7 nals;

8 (2) preserve rail passenger terminals that reasonably are likely to be

9 converted or maintained pending preparation of plans for their reuse;

10 (3) acquire and use space in suitable buildings of historic or architec11 tural significance but only if use of the space is feasible and prudent

12 when compared to available alternatives; and

13 (4) encourage State and local governments, local and regional trans14 portation authorities, common carriers, philanthropic organizations, and

15 other responsible persons to develop plans to convert rail passenger ter16 minals into intermodal transportation terminals and civic and cultural

17 activity centers.

18 (b) EFFECT ON ELIGIBILITY.—This chapter does not affect the eligibility

19 of any rail passenger terminal for preservation or reuse assistance under an20 other program or law.

21 (c) ACQUIRING SPACE.—The Secretary may acquire space under subsection

22 (a)(3) of this section only after consulting with the Advisory Council on His23 toric Preservation and the Chairman of the National Endowment for the Arts.

24 § 5563. Conversion of certain rail passenger terminals

25 (a) AUTHORITY TO PROVIDE ASSISTANCE.—The Secretary of Transpor26 tation may provide financial assistance to convert a rail passenger terminal

27 to an intermodal transportation terminal under section 5562(a)(1) of this

28 title only if—

29 (1) the terminal can be converted to accommodate other modes of

30 transportation the Secretary of Transportation decides are appropriate,

31 including—

32 (A) motorbus transportation;

33 (B) mass transit (rail or rubber tire); and

34 (C) airline ticket offices and passenger terminals providing direct

35 transportation to area airports;

36 (2) the terminal is listed on the National Register of Historic Places

37 maintained by the Secretary of the Interior;

38 (3) the architectural integrity of the terminal will be preserved;

39 (4) to the extent practicable, the use of the terminal facilities for trans40 portation may be combined with use of those facilities for other civic and

41 cultural activities, especially when another activity is recommended by—
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1 (A) the Advisory Council on Historic Preservation;

2 (B) the Chairman of the National Endowment for the Arts; or

3 (C) consultants retained under subsection (b) of this section; and

4 (5) the terminal and the conversion project meet other criteria pre5 scribed by the Secretary of Transportation after consultation with the

6 Council and Chairman.

7 (b) ARCHITECTURAL INTEGRITY.—The Secretary of Transportation must

8 employ consultants on whether the architectural integrity of the rail passenger

9 terminal will be preserved under subsection (a)(3) of this section. The Sec10 retary may decide that the architectural integrity will be preserved only if

11 the consultants concur. The Council and Chairman shall recommend consult12 ants to be employed by the Secretary. The consultants also may make rec13 ommendations referred to in subsection (a)(4) of this section.

14 (c) GOVERNMENT’S SHARE OF COSTS.—The Secretary of Transportation

15 may not make a grant under this section for more than 80 percent of the

16 total cost of converting a rail passenger terminal into an intermodal trans17 portation terminal.

18 § 5564. Interim preservation of certain rail passenger termi19 nals

20 (a) GENERAL GRANT AUTHORITY.—Subject to subsection (b) of this section,

21 the Secretary of Transportation may make a grant of financial assistance to

22 a responsible person (including a governmental authority) to preserve a rail

23 passenger terminal under section 5562(a)(2) of this title. To receive assistance

24 under this section, the person must be qualified, prepared, committed, and au25 thorized by law to maintain (and prevent the demolition, dismantling, or fur26 ther deterioration of) the terminal until plans for its reuse are prepared.

27 (b) GRANT REQUIREMENTS.—The Secretary of Transportation may make

28 a grant of financial assistance under this section only if—

29 (1) the Secretary decides the rail passenger terminal has a reasonable

30 likelihood of being converted to, or conditioned for reuse as, an inter31 modal transportation terminal, a civic or cultural activities center, or

32 both; and

33 (2) planning activity directed toward conversion or reuse has begun

34 and is proceeding in a competent way.

35 (c) MAXIMIZING PRESERVATION OF TERMINALS.—(1) Amounts appro36 priated to carry out this section and section 5562(a)(2) of this title shall be

37 expended in the way most likely to maximize the preservation of rail pas38 senger terminals that are—

39 (A) reasonably capable of conversion to intermodal transportation ter40 minals;
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1 (B) listed in the National Register of Historic Places maintained by

2 the Secretary of the Interior; or

3 (C) recommended (on the basis of architectural integrity and quality)

4 by the Advisory Council on Historic Preservation or the Chairman of

5 the National Endowment for the Arts.

6 (2) The Secretary of Transportation may not make a grant under this sec7 tion for more than 80 percent of the total cost of maintaining the terminal

8 for an interim period of not more than 5 years.

9 § 5565. Encouraging the development of plans for converting

10 rail passenger terminals

11 (a) GENERAL GRANT AUTHORITY.—The Secretary of Transportation may

12 make a grant of financial assistance to a qualified person (including a gov13 ernmental authority) to encourage the development of plans for converting a

14 rail passenger terminal under section 5562(a)(4) of this title. To receive as15 sistance under this section, the person must—

16 (1) be prepared to develop practicable plans that meet zoning, land

17 use, and other requirements of the applicable State and local jurisdic18 tions in which the terminal is located;

19 (2) incorporate into the designs and plans proposed for converting the

20 terminal, features that reasonably appear likely to attract private inves21 tors willing to carry out the planned conversion and its subsequent

22 maintenance and operation; and

23 (3) complete the designs and plans for the conversion within the period

24 of time prescribed by the Secretary.

25 (b) PREFERENCE.—In making a grant under this section, the Secretary of

26 Transportation shall give preferential consideration to an applicant whose

27 completed designs and plans will be carried out within 3 years after their

28 completion.

29 (c) MAXIMIZING CONVERSION AND CONTINUED PUBLIC USE.—(1) Amounts

30 appropriated to carry out this section and section 5562(a)(4) of this title shall

31 be expended in the way most likely to maximize the conversion and continued

32 public use of rail passenger terminals that are—

33 (A) listed in the National Register of Historic Places maintained by

34 the Secretary of the Interior; or

35 (B) recommended (on the basis of architectural integrity and quality)

36 by the Advisory Council on Historic Preservation or the Chairman of

37 the National Endowment for the Arts.

38 (2) The Secretary of Transportation may not make a grant under this sec39 tion for more than 80 percent of the total cost of the project for which the

40 financial assistance is provided.
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1 § 5566. Records and audits

2 (a) RECORD REQUIREMENTS.—Each recipient of financial assistance under

3 this chapter shall keep records required by the Secretary of Transportation.

4 The records shall disclose—

5 (1) the amount, and disposition by the recipient, of the proceeds of the

6 assistance;

7 (2) the total cost of the project for which the assistance was given or

8 used;

9 (3) the amount of that part of the cost of the project supplied by other

10 sources; and

11 (4) any other records that will make an effective audit easier.

12 (b) AUDITS AND INSPECTIONS.—For 3 years after a project is completed,

13 the Secretary and the Comptroller General may audit and inspect records of

14 a recipient that the Secretary or Comptroller General decides may be related

15 or pertinent to the financial assistance.

16 § 5567. Preference for preserving buildings of historic or ar17 chitectural significance

18 Amtrak shall give preference to the use of rail passenger terminal facilities

19 that will preserve buildings of historic or architectural significance.

20 § 5568. Authorization of appropriations

21 (a) GENERAL.—The following amounts may be appropriated to the Sec22 retary of Transportation:

23 (1) not more than $15,000,000 to carry out section 5562(a)(1) and (3)

24 of this title.

25 (2) not more than $2,500,000 to carry out section 5562(a)(2) of this

26 title.

27 (3) not more than $2,500,000 to carry out section 5562(a)(4) of this

28 title.

29 (b) AVAILABILITY OF AMOUNTS.—Amounts appropriated to carry out this

30 chapter remain available until expended.

31 CHAPTER 57—SANITARY FOOD TRANSPORTATION

Sec.

5701. Findings.

5702. Definitions.

5703. General regulation.

5704. Tank trucks, rail tank cars, and cargo tanks.

5705. Motor and rail transportation of nonfood products.

5706. Dedicated vehicles.

5707. Waiver authority.

5708. Food transportation inspections.

5709. Consultation.

5710. Administrative.

5711. Enforcement and penalties.

5712. Relationship to other laws.

5713. Application of sections 5711 and 5712.

5714. Coordination procedures.
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1 § 5701. Findings

2 Congress finds that—

3 (1) the United States public is entitled to receive food and other

4 consumer products that are not made unsafe because of certain transpor5 tation practices;

6 (2) the United States public is threatened by the transportation of

7 products potentially harmful to consumers in motor vehicles and rail ve8 hicles that are used to transport food and other consumer products; and

9 (3) the risks to consumers by those transportation practices are unnec10 essary and those practices must be ended.

11 § 5702. Definitions

12 In this chapter—

13 (1) ‘‘cosmetic’’, ‘‘device’’, ‘‘drug’’, ‘‘food’’, and ‘‘food additive’’ have the

14 same meanings given those terms in section 201 of the Federal Food,

15 Drug, and Cosmetic Act (21 U.S.C. 321).

16 (2) ‘‘nonfood product’’ means (individually or by class) a material,

17 substance, or product that is not a cosmetic, device, drug, food, or food

18 additive, or is deemed a nonfood product under section 5703(a)(2) of this

19 title, including refuse and solid waste (as defined in section 1004 of the

20 Solid Waste Disposal Act (42 U.S.C. 6903)).

21 (3) ‘‘refuse’’ means discarded material that is, or is required by law,

22 to be transported to or disposed of in a landfill or incinerator.

23 (4) ‘‘State’’ means a State of the United States, the District of Colum24 bia, Puerto Rico, the Northern Mariana Islands, the Virgin Islands,

25 American Samoa, Guam, and any other territory or possession of the

26 United States.

27 (5) ‘‘transports’’ and ‘‘transportation’’ mean any movement of prop28 erty in commerce (including intrastate commerce) by motor vehicle or

29 rail vehicle.

30 (6) ‘‘United States’’ means all of the States.

31 § 5703. General regulation

32 (a) GENERAL REQUIREMENTS.—(1) Not later than July 31, 1991, the Sec33 retary of Transportation, after consultation required by section 5709 of this

34 title, shall prescribe regulations on the transportation of cosmetics, devices,

35 drugs, food, and food additives in motor vehicles and rail vehicles that are

36 used to transport nonfood products that would make the cosmetics, devices,

37 drugs, food, or food additives unsafe to humans or animals.

38 (2) The Secretary shall deem a cosmetic, device, or drug to be a nonfood

39 product if—

40 (A) the cosmetic, device, or drug is transported in a motor vehicle or

41 rail vehicle before, or at the same time as, a food or food additive; and
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1 (B) transportation of the cosmetic, device, or drug would make the

2 food or food additive unsafe to humans or animals.

3 (b) SPECIAL REQUIREMENTS.—In prescribing regulations under subsection

4 (a)(1) of this section, the Secretary, after consultation required by section

5 5709 of this title, shall establish requirements for appropriate—

6 (1) recordkeeping, identification, marking, certification, or other

7 means of verification to comply with sections 5704–5706 of this title;

8 (2) decontamination, removal, disposal, and isolation to comply with

9 regulations carrying out sections 5704 and 5705 of this title; and

10 (3) material for the construction of tank trucks, rail tank cars, cargo

11 tanks, and accessory equipment to comply with regulations carrying out

12 section 5704 of this title.

13 (c) CONSIDERATIONS AND ADDITIONAL REQUIREMENTS.—In prescribing

14 regulations under subsection (a)(1) of this section, the Secretary, after con15 sultation required by section 5709 of this title, shall consider, and may estab16 lish requirements related to, each of the following:

17 (1) the extent to which packaging or similar means of protecting and

18 isolating commodities are adequate to eliminate or ameliorate the poten19 tial risks of transporting cosmetics, devices, drugs, food, or food additives

20 in motor vehicles or rail vehicles used to transport nonfood products.

21 (2) appropriate compliance and enforcement measures to carry out

22 this chapter.

23 (3) appropriate minimum insurance or other liability requirements

24 for a person to whom this chapter applies.

25 (d) PACKAGES MEETING PACKAGING STANDARDS.—If the Secretary finds

26 packaging standards to be adequate, regulations under subsection (a)(1) of

27 this section may not apply to cosmetics, devices, drugs, food, food additives,

28 or nonfood products packaged in packages that meet the standards.

29 § 5704. Tank trucks, rail tank cars, and cargo tanks

30 (a) PROHIBITIONS.—The regulations prescribed under section 5703(a)(1) of

31 this title shall include provisions prohibiting a person from—

32 (1) using, offering for use, or arranging for the use of a tank truck,

33 rail tank car, or cargo tank used in motor vehicle or rail transportation

34 of cosmetics, devices, drugs, food, or food additives if the tank truck, rail

35 tank car, or cargo tank is used to transport a nonfood product, except

36 a nonfood product included in a list published under subsection (b) of

37 this section;

38 (2) using, offering for use, or arranging for the use of a tank truck

39 or cargo tank to provide motor vehicle transportation of cosmetics, de40 vices, drugs, food, food additives, or nonfood products included in the list

41 published under subsection (b) of this section unless the tank truck or
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1 cargo tank is identified, by a permanent marking on the tank truck or

2 cargo tank, as transporting only cosmetics, devices, drugs, food, food ad3 ditives, or nonfood products included in the list;

4 (3) using, offering for use, or arranging for the use of a tank truck

5 or cargo tank to provide motor vehicle transportation of a nonfood prod6 uct that is not included in the list published under subsection (b) of this

7 section if the tank truck or cargo tank is identified, as provided in clause

8 (2) of this subsection, as a tank truck or cargo tank transporting only

9 cosmetics, devices, drugs, food, food additives, or nonfood products in10 cluded in the list; or

11 (4) receiving, except for lawful disposal purposes, any cosmetic, device,

12 drug, food, food additive, or nonfood product that has been transported

13 in a tank truck or cargo tank in violation of clause (2) or (3) of this

14 subsection.

15 (b) LIST OF NONFOOD PRODUCTS NOT UNSAFE.—After consultation re16 quired by section 5709 of this title, the Secretary of Transportation shall pub17 lish in the Federal Register a list of nonfood products the Secretary decides

18 do not make cosmetics, devices, drugs, food, or food additives unsafe to hu19 mans or animals because of transportation of the nonfood products in a tank

20 truck, rail tank car, or cargo tank used to transport cosmetics, devices, drugs,

21 food, or food additives. The Secretary may amend the list periodically by pub22 lication in the Federal Register.

23 (c) DISCLOSURE.—A person that arranges for the use of a tank truck or

24 cargo tank used in motor vehicle transportation for the transportation of a

25 cosmetic, device, drug, food, food additive, or nonfood product shall disclose

26 to the motor carrier or other appropriate person if the cosmetic, device, drug,

27 food, food additive, or nonfood product being transported is to be used—

28 (1) as, or in the preparation of, a food or food additive; or

29 (2) as a nonfood product included in the list published under sub30 section (b) of this section.

31 § 5705. Motor and rail transportation of nonfood products

32 (a) PROHIBITIONS.—The regulations prescribed under section 5703(a)(1) of

33 this title shall include provisions prohibiting a person from using, offering

34 for use, or arranging for the use of a motor vehicle or rail vehicle (except a

35 tank truck, rail tank car, or cargo tank described in section 5704 of this title)

36 to transport cosmetics, devices, drugs, food, or food additives if the vehicle is

37 used to transport nonfood products included in a list published under sub38 section (b) of this section.

39 (b) LIST OF UNSAFE NONFOOD PRODUCTS.—(1) After consultation required

40 by section 5709 of this title, the Secretary of Transportation shall publish in

41 the Federal Register a list of nonfood products the Secretary decides would
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1 make cosmetics, devices, drugs, food, or food additives unsafe to humans or

2 animals because of transportation of the nonfood products in a motor vehicle

3 or rail vehicle used to transport cosmetics, devices, drugs, food, or food addi4 tives. The Secretary may amend the list periodically by publication in the

5 Federal Register.

6 (2) The list published under paragraph (1) of this subsection may not in7 clude cardboard, pallets, beverage containers, and other food packaging except

8 to the extent the Secretary decides that the transportation of cardboard, pal9 lets, beverage containers, or other food packaging in a motor vehicle or rail

10 vehicle used to transport cosmetics, devices, drugs, food, or food additives

11 would make the cosmetics, devices, drugs, food, or food additives unsafe to hu12 mans or animals.

13 § 5706. Dedicated vehicles

14 (a) PROHIBITIONS.—The regulations prescribed under section 5703(a)(1) of

15 this title shall include provisions prohibiting a person from using, offering

16 for use, or arranging for the use of a motor vehicle or rail vehicle to transport

17 asbestos, in forms or quantities the Secretary of Transportation decides are

18 necessary, or products that present an extreme danger to humans or animals,

19 despite any decontamination, removal, disposal, packaging, or other isolation

20 procedures, unless the motor vehicle or rail vehicle is used only to transport

21 one or more of the following: asbestos, those extremely dangerous products, or

22 refuse.

23 (b) LIST OF APPLICABLE PRODUCTS.—After consultation required by sec24 tion 5709 of this title, the Secretary shall publish in the Federal Register a

25 list of the products to which this section applies. The Secretary may amend

26 the list periodically by publication in the Federal Register.

27 § 5707. Waiver authority

28 (a) GENERAL AUTHORITY.—After consultation required by section 5709 of

29 this title, the Secretary of Transportation may waive any part of this chapter

30 or regulations prescribed under this chapter for a class of persons, motor vehi31 cles, rail vehicles, cosmetics, devices, drugs, food, food additives, or nonfood

32 products, if the Secretary decides that the waiver—

33 (1) would not result in the transportation of cosmetics, devices, drugs,

34 food, or food additives that would be unsafe to humans or animals; and

35 (2) would not be contrary to the public interest and this chapter.

36 (b) PUBLICATION OF WAIVERS.—The Secretary shall publish in the Federal

37 Register any waiver and the reasons for the waiver.

38 § 5708. Food transportation inspections

39 (a) GENERAL AUTHORITY.—For commercial motor vehicles, the Secretary

40 of Transportation may carry out this chapter and assist in carrying out com41 patible State laws and regulations through means that include inspections
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1 conducted by State employees that are paid for with money authorized under

2 section 31104 of this title, if the recipient State agrees to assist in the enforce3 ment of this chapter or is enforcing compatible State laws and regulations.

4 (b) PROVIDING ASSISTANCE.—On the request of the Secretary of Transpor5 tation, the Secretaries of Agriculture and Health and Human Services, the

6 Administrator of the Environmental Protection Agency, and the heads of

7 other appropriate departments, agencies, and instrumentalities of the United

8 States Government shall provide assistance, to the extent available, to the Sec9 retary of Transportation to carry out this chapter, including assistance in

10 the training of personnel under a program established under subsection (c)

11 of this section.

12 (c) TRAINING PROGRAM.—After consultation required by section 5709 of

13 this title and consultation with the heads of appropriate State transportation

14 and food safety authorities, the Secretary of Transportation shall develop and

15 carry out a training program for inspectors to conduct vigorous enforcement

16 of this chapter and regulations prescribed under this chapter or compatible

17 State laws and regulations. As part of the training program, the inspectors,

18 including State inspectors or personnel paid with money authorized under

19 section 31104 of this title, shall be trained in the recognition of adulteration

20 problems associated with the transportation of cosmetics, devices, drugs, food,

21 and food additives and in the procedures for obtaining assistance of the ap22 propriate departments, agencies, and instrumentalities of the Government and

23 State authorities to support the enforcement.

24 § 5709. Consultation

25 As provided by sections 5703–5708 of this title, the Secretary of Transpor26 tation shall consult with the Secretaries of Agriculture and Health and

27 Human Services and the Administrator of the Environmental Protection

28 Agency.

29 § 5710. Administrative

30 The Secretary of Transportation has the same duties and powers in regu31 lating transportation under this chapter as the Secretary has under section

32 5121(a)–(c) (except subsection (c)(1)(A)) of this title in regulating transpor33 tation under chapter 51 of this title.

34 § 5711. Enforcement and penalties

35 (a) ACTIONS.—The Secretary of Transportation shall request that a civil

36 action be brought and take action to eliminate or ameliorate an imminent

37 hazard related to a violation of a regulation prescribed or order issued under

38 this chapter in the same way and to the same extent as authorized by section

39 5122 of this title.
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1 (b) APPLICABLE PENALTIES AND PROCEDURES.—The penalties and proce2 dures in sections 5123 and 5124 of this title apply to a violation of a regula3 tion prescribed or order issued under this chapter.

4 § 5712. Relationship to other laws

5 Section 5125 of this title applies to the relationship between this chapter

6 and a requirement of a State, a political subdivision of a State, or an Indian

7 tribe.

8 § 5713. Application of sections 5711 and 5712

9 Sections 5711 and 5712 of this title apply only to transportation occurring

10 on or after the date that regulations prescribed under section 5703(a)(1) of

11 this title are effective.

12 § 5714. Coordination procedures

13 Not later than November 3, 1991, the Secretary of Transportation, after

14 consultation with appropriate State officials, shall establish procedures to

15 promote more effective coordination between the departments, agencies, and

16 instrumentalities of the United States Government and State authorities with

17 regulatory authority over motor carrier safety and railroad safety in carrying

18 out and enforcing this chapter.

19 CHAPTER 59—INTERMODAL SAFE CONTAINER

20 TRANSPORTATION

Sec.

5901. Definitions.

5902. Notifications and certifications.

5903. Prohibitions.

5904. State enforcement.

5905. Liens.

5906. Perishable agricultural commodities.

5907. Regulations and effective date.

21 § 5901. Definitions

22 In this chapter—

23 (1) the definitions in section 10102 of this title apply.

24 (2) ‘‘beneficial owner’’ means a person not having title to property but

25 having ownership rights in the property, including a trustee of property

26 in transit from an overseas place of origin that is domiciled or doing

27 business in the United States, except that a carrier, agent of a carrier,

28 broker, customs broker, freight forwarder, warehouser, or terminal opera29 tor is not a beneficial owner only because of providing or arranging for

30 any part of the intermodal transportation of property.

31 (3) ‘‘carrier’’ means—

32 (A) a motor carrier, water carrier, and rail carrier providing

33 transportation of property in commerce; and
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1 (B) an ocean common carrier (as defined in section 3 of the

2 Shipping Act of 1984 (46 App. U.S.C. 1702)) providing transpor3 tation of property in commerce.

4 (4) ‘‘container’’ has the meaning given the term ‘‘freight container’’

5 by the International Standards Organization in Series 1, Freight Con6 tainers, 3d Edition (reference number ISO668–1979(E)), including suc7 cessive revisions, and similar containers that are used in providing

8 transportation in interstate commerce.

9 (5) ‘‘first carrier’’ means the first carrier transporting a loaded con10 tainer or trailer in intermodal transportation.

11 (6) ‘‘intermodal transportation’’ means the successive transportation of

12 a loaded container or trailer from its place of origin to its place of des13 tination by more than one mode of transportation in interstate or for14 eign commerce, whether under a single bill of lading or under separate

15 bills of lading.

16 (7) ‘‘trailer’’ means a nonpower, property-carrying, trailing unit that

17 is designed for use in combination with a truck tractor.

18 § 5902. Notifications and certifications

19 (a) PRIOR NOTIFICATION.—Before a person tenders to a first carrier for

20 intermodal transportation a loaded container or trailer having a projected

21 gross cargo weight of more than 10,000 pounds (including packing material

22 and pallets), the person shall give the carrier a written notification of the

23 gross cargo weight and a reasonable description of the contents of the con24 tainer or trailer. The notification may be transmitted electronically.

25 (b) CERTIFICATION.—Not later than when a person tenders to a first car26 rier for intermodal transportation a container or trailer to which subsection

27 (a) of this section applies or a loaded container or trailer having an actual

28 gross cargo weight of more than 10,000 pounds (including packing material

29 and pallets), the person shall certify to the carrier in writing the actual gross

30 cargo weight and a reasonable description of the contents of the container or

31 trailer.

32 (c) FORWARDING CERTIFICATIONS TO SUBSEQUENT CARRIERS.—A carrier,

33 agent of a carrier, broker, customs broker, freight forwarder, warehouser, or

34 terminal operator shall forward the certification provided under subsection (b)

35 of this section to a subsequent carrier transporting the container or trailer

36 in intermodal transportation. The act of forwarding the certification may not

37 be construed as a verification or affirmation of the accuracy or completeness

38 of the information in the certification.

39 (d) NONAPPLICATION.—(1) Subsections (a) and (b) of this section and sec40 tion 5903(c) of this title do not apply to a carrier when the carrier is trans41 ferring a loaded container or trailer to another carrier during intermodal
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1 transportation, unless the carrier is also the person tendering the loaded con2 tainer or trailer to the first carrier.

3 (2) A carrier, agent of a carrier, broker, customs broker, freight forwarder,

4 warehouser, or terminal operator is deemed not to be a person tendering a

5 loaded container or trailer to a first carrier under this section, unless the car6 rier, agent, broker, customs broker, freight forwarder, warehouser, or terminal

7 operator assumes legal responsibility for loading property into the container

8 or trailer.

9 § 5903. Prohibitions

10 (a) PROVIDING ERRONEOUS INFORMATION.—A person tendering a loaded

11 container or trailer may not provide erroneous information in a certification

12 required by section 5902(b) of this title.

13 (b) TRANSPORTING PRIOR TO RECEIVING CERTIFICATION.—A motor car14 rier may not transport a loaded container or trailer to which section 5902(b)

15 of this title applies before receiving the certification required by section

16 5902(b).

17 (c) UNLAWFUL COERCION.—(1) A person may not coerce or attempt to co18 erce a person participating in intermodal transportation to transport a load19 ed container or trailer having an actual gross cargo weight of more than

20 10,000 pounds (including packing materials and pallets) before the certifi21 cation required by section 5902(b) of this title is provided.

22 (2) A person, knowing that the weight of a loaded container or trailer or

23 the weight of a tractor-trailer combination carrying the container or trailer

24 is more than the weight allowed by applicable State law, may not coerce or

25 attempt to coerce a carrier to transport the container or trailer or to operate

26 the tractor-trailer combination in violation of that State law.

27 § 5904. State enforcement

28 (a) GENERAL.—A State may enact a law to permit the State or a political

29 subdivision of the State—

30 (1) to impose a fine or penalty, for a violation of a State highway

31 weight law or regulation by a tractor-trailer combination carrying a

32 loaded container or trailer for which a certification is required by section

33 5902(b) of this title, against the person tendering the loaded container

34 or trailer to the first carrier if the violation results from the person’s

35 having provided erroneous information in the certification in violation

36 of section 5903(a) of this title; and

37 (2) to impound the container or trailer until the fine or penalty has

38 been paid by the owner or beneficial owner of the contents of the con39 tainer or trailer or the person tendering the loaded container or trailer

40 to the first carrier.
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1 (b) LIMITATION.—This chapter does not require a person tendering a load2 ed container or trailer to a first carrier to ensure that the first carrier or

3 any other carrier involved in the intermodal transportation will comply with

4 any State highway weight law or regulation, other than as required by this

5 chapter.

6 § 5905. Liens

7 (a) GENERAL.—If a person involved in the intermodal transportation of a

8 loaded container or trailer for which a certification is required by section

9 5902(b) of this title is required under State law to post a bond or pay any

10 fine, penalty, cost, or interest resulting from providing erroneous information

11 in the certification to the first carrier in violation of section 5903(a) of this

12 title, the person has a lien against the contents equal to the amount of the

13 bond, fine, penalty, cost, or interest incurred, until the person receives a pay14 ment of that amount from the owner or beneficial owner of the contents or

15 from the person responsible for making the certification.

16 (b) LIMITATIONS.—(1) A lien under this section does not authorize a person

17 to dispose of the contents of a loaded container or trailer until the person who

18 tendered the container or trailer to the first carrier is given a reasonable op19 portunity to establish responsibility for the bond, fine, penalty, cost, or

20 interest.

21 (2) In this section, an owner or beneficial owner of the contents of a con22 tainer or trailer or a person tendering a container or trailer to the first car23 rier is deemed not to be a person involved in the intermodal transportation

24 of the container or trailer.

25 § 5906. Perishable agricultural commodities

26 Sections 5904(a)(2) and 5905 of this title do not apply to a container or

27 trailer the contents of which are perishable agricultural commodities (as de28 fined in the Perishable Agricultural Commodities Act, 1930 (7 U.S.C. 499a

29 et seq.)).

30 § 5907. Regulations and effective date

31 (a) REGULATIONS.—Not later than July 25, 1993, the Secretary of Trans32 portation shall prescribe final regulations to enforce this chapter. The Sec33 retary may establish by regulation exemptions to the regulations that are in

34 the public interest and consistent with the purposes of this chapter.

35 (b) EFFECTIVE DATE.—This chapter is effective on the date final regula36 tions to enforce this chapter are prescribed.

37 (c) Title 49, United States Code, is amended by adding the following imme38 diately after subtitle IV:
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1 SUBTITLE V—RAIL PROGRAMS

PART A—SAFETY

CHAPTER Sec.

201. GENERAL ................................................................................................................ 20101

203. SAFETY APPLIANCES ......................................................................................... 20301

205. SIGNAL SYSTEMS ................................................................................................ 20501

207. LOCOMOTIVES ...................................................................................................... 20701

209. ACCIDENTS AND INCIDENTS ........................................................................... 20901

211. HOURS OF SERVICE ........................................................................................... 21101

213. PENALTIES ............................................................................................................ 21301

PART B—ASSISTANCE

221. LOCAL RAIL FREIGHT ASSISTANCE ............................................................. 22101

PART C—PASSENGER TRANSPORTATION

241. GENERAL ................................................................................................................ 24101

243. AMTRAK .................................................................................................................. 24301

245. AMTRAK COMMUTER .......................................................................................... 24501

247. AMTRAK ROUTE SYSTEM ................................................................................. 24701

249. NORTHEAST CORRIDOR IMPROVEMENT PROGRAM ............................... 24901

PART D—MISCELLANEOUS

261. LAW ENFORCEMENT .......................................................................................... 26101

2 PART A—SAFETY

3 CHAPTER 201—GENERAL

SUBCHAPTER I—GENERAL

Sec.

20101. Purpose.

20102. Definitions.

20103. General authority.

20104. Emergency authority.

20105. State participation.

20106. National uniformity of regulation.

20107. Inspection and investigation.

20108. Research, development, testing, and training.

20109. Employee protections.

20110. Effect on employee qualifications and collective bargaining.

20111. Enforcement by the Secretary of Transportation.

20112. Enforcement by the Attorney General.

20113. Enforcement by the States.

20114. Judicial procedures.

20115. User fees.

20116. Annual report.

20117. Authorization of appropriations.

SUBCHAPTER II—PARTICULAR ASPECTS OF SAFETY

20131. Restricted access to rolling equipment.

20132. Visible markers for rear cars.

20133. Passenger equipment.

20134. Grade crossings and railroad rights of way.

20135. Licensing or certification of locomotive operators.

20136. Automatic train control and related systems.

20137. Event recorders.

20138. Tampering with safety and operational monitoring devices.

20139. Maintenance-of-way operations on railroad bridges.

20140. Alcohol and controlled substances testing.

20141. Power brake safety.

20142. Track safety.

20143. Locomotive visibility.

20144. Blue signal protection for on-track vehicles.
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1 SUBCHAPTER I—GENERAL

2 § 20101. Purpose

3 The purpose of this chapter is to promote safety in every area of railroad

4 operations and reduce railroad-related accidents and incidents.

5 § 20102. Definitions

6 In this part—

7 (1) ‘‘railroad’’—

8 (A) means any form of nonhighway ground transportation that

9 runs on rails or electromagnetic guideways, including—

10 (i) commuter or other short-haul railroad passenger service

11 in a metropolitan or suburban area and commuter railroad

12 service that was operated by the Consolidated Rail Corporation

13 on January 1, 1979; and

14 (ii) high speed ground transportation systems that connect

15 metropolitan areas, without regard to whether those systems

16 use new technologies not associated with traditional railroads;

17 but

18 (B) does not include rapid transit operations in an urban area

19 that are not connected to the general railroad system of transpor20 tation.

21 (2) ‘‘railroad carrier’’ means a person providing railroad transpor22 tation.

23 § 20103. General authority

24 (a) REGULATIONS AND ORDERS.—The Secretary of Transportation, as nec25 essary, shall prescribe regulations and issue orders for every area of railroad

26 safety supplementing laws and regulations in effect on October 16, 1970.

27 (b) REGULATIONS OF PRACTICE FOR PROCEEDINGS.—The Secretary shall

28 prescribe regulations of practice applicable to each proceeding under this

29 chapter. The regulations shall reflect the varying nature of the proceedings

30 and include time limits for disposition of the proceedings. The time limit for

31 disposition of a proceeding may not be more than 12 months after the date

32 it begins.

33 (c) CONSIDERATION OF INFORMATION AND STANDARDS.—In prescribing

34 regulations and issuing orders under this section, the Secretary shall consider

35 existing relevant safety information and standards.

36 (d) WAIVERS.—The Secretary may waive compliance with any part of a

37 regulation prescribed or order issued under this chapter if the waiver is in

38 the public interest and consistent with railroad safety. The Secretary shall

39 make public the reasons for granting the waiver.

40 (e) HEARINGS.—The Secretary shall conduct a hearing as provided by sec41 tion 553 of title 5 when prescribing a regulation or issuing an order under
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1 this chapter, including a regulation or order establishing, amending, or

2 waiving compliance with a railroad safety regulation prescribed or order is3 sued under this chapter. An opportunity for an oral presentation shall be pro4 vided.

5 § 20104. Emergency authority

6 (a) ORDERING RESTRICTIONS AND PROHIBITIONS.—(1) If, through testing,

7 inspection, investigation, or research carried out under this chapter, the Sec8 retary of Transportation decides that an unsafe condition or practice, or a

9 combination of unsafe conditions and practices, causes an emergency situa10 tion involving a hazard of death or personal injury, the Secretary imme11 diately may order restrictions and prohibitions, without regard to section

12 20103(e) of this title, that may be necessary to abate the situation.

13 (2) The order shall describe the condition or practice, or a combination of

14 conditions and practices, that causes the emergency situation and prescribe

15 standards and procedures for obtaining relief from the order. This paragraph

16 does not affect the Secretary’s discretion under this section to maintain the

17 order in effect for as long as the emergency situation exists.

18 (b) REVIEW OF ORDERS.—After issuing an order under this section, the

19 Secretary shall provide an opportunity for review of the order under section

20 554 of title 5. If a petition for review is filed and the review is not completed

21 by the end of the 30-day period beginning on the date the order was issued,

22 the order stops being effective at the end of that period unless the Secretary

23 decides in writing that the emergency situation still exists.

24 (c) CIVIL ACTIONS TO COMPEL ISSUANCE OF ORDERS.—An employee of a

25 railroad carrier engaged in interstate or foreign commerce who may be ex26 posed to imminent physical injury during that employment because of the

27 Secretary’s failure, without any reasonable basis, to issue an order under sub28 section (a) of this section, or the employee’s authorized representative, may

29 bring a civil action against the Secretary in a district court of the United

30 States to compel the Secretary to issue an order. The action must be brought

31 in the judicial district in which the emergency situation is alleged to exist,

32 in which that employing carrier has its principal executive office, or for the

33 District of Columbia. The Secretary’s failure to issue an order under sub34 section (a) of this section may be reviewed only under section 706 of title 5.

35 § 20105. State participation

36 (a) INVESTIGATIVE AND SURVEILLANCE ACTIVITIES.—The Secretary of

37 Transportation may prescribe investigative and surveillance activities nec38 essary to enforce the safety regulations prescribed and orders issued by the

39 Secretary that apply to railroad equipment, facilities, rolling stock, and oper40 ations in a State. The State may participate in those activities when the safe41 ty practices for railroad equipment, facilities, rolling stock, and operations
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1 in the State are regulated by a State authority and the authority submits

2 to the Secretary an annual certification as provided in subsection (b) of this

3 section.

4 (b) ANNUAL CERTIFICATION.—(1) A State authority’s annual certification

5 must include—

6 (A) a certification that the authority—

7 (i) has regulatory jurisdiction over the safety practices for rail8 road equipment, facilities, rolling stock, and operations in the State;

9 (ii) was given a copy of each safety regulation prescribed and

10 order issued by the Secretary, that applies to the equipment, facili11 ties, rolling stock, or operations, as of the date of certification; and

12 (iii) is conducting the investigative and surveillance activities

13 prescribed by the Secretary under subsection (a) of this section; and

14 (B) a report, in the form the Secretary prescribes by regulation, that

15 includes—

16 (i) the name and address of each railroad carrier subject to the

17 safety jurisdiction of the authority;

18 (ii) each accident or incident reported during the prior 12

19 months by a railroad carrier involving a fatality, personal injury

20 requiring hospitalization, or property damage of more than $750

21 (or a higher amount prescribed by the Secretary), and a summary

22 of the authority’s investigation of the cause and circumstances sur23 rounding the accident or incident;

24 (iii) the record maintenance, reporting, and inspection practices

25 conducted by the authority to aid the Secretary in enforcing rail26 road safety regulations prescribed and orders issued by the Sec27 retary, including the number of inspections made of railroad equip28 ment, facilities, rolling stock, and operations by the authority dur29 ing the prior 12 months; and

30 (iv) other information the Secretary requires.

31 (2) An annual certification applies to a safety regulation prescribed or

32 order issued after the date of the certification only if the State authority sub33 mits an appropriate certification to provide the necessary investigative and

34 surveillance activities.

35 (3) If, after receipt of an annual certification, the Secretary decides the

36 State authority is not complying satisfactorily with the investigative and sur37 veillance activities prescribed under subsection (a) of this section, the Sec38 retary may reject any part of the certification or take other appropriate ac39 tion to achieve adequate enforcement. The Secretary must give the authority

40 notice and an opportunity for a hearing before taking action under this para41 graph. When the Secretary gives notice, the burden of proof is on the author-
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1 ity to show that it is complying satisfactorily with the investigative and sur2 veillance activities prescribed by the Secretary.

3 (c) AGREEMENT WHEN CERTIFICATION NOT RECEIVED.—(1) If the Sec4 retary does not receive an annual certification under subsection (a) of this

5 section related to any railroad equipment, facility, rolling stock, or operation,

6 the Secretary may make an agreement with a State authority for the author7 ity to provide any part of the investigative and surveillance activities pre8 scribed by the Secretary as necessary to enforce the safety regulations and or9 ders applicable to the equipment, facility, rolling stock, or operation.

10 (2) The Secretary may terminate any part of an agreement made under

11 this subsection on finding that the authority has not provided every part of

12 the investigative and surveillance activities to which the agreement relates.

13 The Secretary must give the authority notice and an opportunity for a hear14 ing before making such a finding. The finding and termination shall be pub15 lished in the Federal Register and may not become effective for at least 15

16 days after the date of publication.

17 (d) AGREEMENT FOR INVESTIGATIVE AND SURVEILLANCE ACTIVITIES.—In

18 addition to providing for State participation under this section, the Secretary

19 may make an agreement with a State to provide investigative and surveil20 lance activities related to the Secretary’s duties under chapters 203–213 of

21 this title.

22 (e) PAYMENT.—On application by a State authority that has submitted a

23 certification under subsections (a) and (b) of this section or made an agree24 ment under subsection (c) or (d) of this section, the Secretary shall pay not

25 more than 50 percent of the cost of the personnel, equipment, and activities

26 of the authority needed, during the next fiscal year, to carry out a safety pro27 gram under the certification or agreement. However, the Secretary may pay

28 an authority only when the authority assures the Secretary that it will pro29 vide the remaining cost of the safety program and that the total State money

30 expended for the safety program, excluding grants of the United States Gov31 ernment, will be at least as much as the average amount expended for the

32 fiscal years that ended June 30, 1969, and June 30, 1970.

33 (f) MONITORING.—The Secretary may monitor State investigative and sur34 veillance practices and carry out other inspections and investigations nec35 essary to help enforce this chapter.

36 § 20106. National uniformity of regulation

37 Laws, regulations, and orders related to railroad safety shall be nationally

38 uniform to the extent practicable. A State may adopt or continue in force a

39 law, regulation, or order related to railroad safety until the Secretary of

40 Transportation prescribes a regulation or issues an order covering the subject

41 matter of the State requirement. A State may adopt or continue in force an
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1 additional or more stringent law, regulation, or order related to railroad safe2 ty when the law, regulation, or order—

3 (1) is necessary to eliminate or reduce an essentially local safety haz4 ard;

5 (2) is not incompatible with a law, regulation, or order of the United

6 States Government; and

7 (3) does not unreasonably burden interstate commerce.

8 § 20107. Inspection and investigation

9 (a) GENERAL.—To carry out this part, the Secretary of Transportation

10 may take actions the Secretary considers necessary, including—

11 (1) conduct investigations, make reports, issue subpenas, require the

12 production of documents, take depositions, and prescribe recordkeeping

13 and reporting requirements; and

14 (2) delegate to a public entity or qualified person the inspection, ex15 amination, and testing of railroad equipment, facilities, rolling stock, op16 erations, and persons.

17 (b) ENTRY AND INSPECTION.—In carrying out this part, an officer, em18 ployee, or agent of the Secretary, at reasonable times and in a reasonable

19 way, may enter and inspect railroad equipment, facilities, rolling stock, oper20 ations, and relevant records. When requested, the officer, employee, or agent

21 shall display proper credentials. During an inspection, the officer, employee,

22 or agent is an employee of the United States Government under chapter 171

23 of title 28.

24 § 20108. Research, development, testing, and training

25 (a) GENERAL.—The Secretary of Transportation shall carry out, as nec26 essary, research, development, testing, evaluation, and training for every area

27 of railroad safety.

28 (b) CONTRACTS.—To carry out this part, the Secretary may make contracts

29 for, and carry out, research, development, testing, evaluation, and training

30 (particularly for those areas of railroad safety found to need prompt atten31 tion).

32 (c) AMOUNTS FROM NON-GOVERNMENT SOURCES FOR TRAINING SAFETY

33 EMPLOYEES.—The Secretary may request, receive, and expend amounts re34 ceived from non-United States Government sources for expenses incurred in

35 training safety employees of private industry, State and local authorities, or

36 other public authorities, except State rail safety inspectors participating in

37 training under section 20105 of this title.

38 § 20109. Employee protections

39 (a) FILING COMPLAINTS AND TESTIFYING.—A railroad carrier engaged in

40 interstate or foreign commerce may not discharge or in any way discriminate
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1 against an employee because the employee, whether acting for the employee

2 or as a representative, has—

3 (1) filed a complaint or brought or caused to be brought a proceeding

4 related to the enforcement of this part or, as applicable to railroad safe5 ty, chapter 51 or 57 of this title; or

6 (2) testified or will testify in that proceeding.

7 (b) REFUSING TO WORK BECAUSE OF HAZARDOUS CONDITIONS.—(1) A

8 railroad carrier engaged in interstate or foreign commerce may not discharge

9 or in any way discriminate against an employee for refusing to work when

10 confronted by a hazardous condition related to the performance of the employ11 ee’s duties, if—

12 (A) the refusal is made in good faith and no reasonable alternative

13 to the refusal is available to the employee;

14 (B) a reasonable individual in the circumstances then confronting the

15 employee would conclude that—

16 (i) the hazardous condition presents an imminent danger of death

17 or serious injury; and

18 (ii) the urgency of the situation does not allow sufficient time to

19 eliminate the danger through regular statutory means; and

20 (C) the employee, where possible, has notified the carrier of the hazard21 ous condition and the intention not to perform further work unless the

22 condition is corrected immediately.

23 (2) This subsection does not apply to security personnel employed by a car24 rier to protect individuals and property transported by railroad.

25 (c) DISPUTE RESOLUTION.—A dispute, grievance, or claim arising under

26 this section is subject to resolution under section 3 of the Railway Labor Act

27 (45 U.S.C. 153). In a proceeding by the National Railroad Adjustment

28 Board, a division or delegate of the Board, or another board of adjustment

29 established under section 3 to resolve the dispute, grievance, or claim, the pro30 ceeding shall be expedited and the dispute, grievance, or claim shall be re31 solved not later than 180 days after it is filed. If the violation is a form of

32 discrimination that does not involve discharge, suspension, or another action

33 affecting pay, and no other remedy is available under this subsection, the

34 Board, division, delegate, or other board of adjustment may award the em35 ployee reasonable damages, including punitive damages, of not more than

36 $20,000.

37 (d) ELECTION OF REMEDIES.—An employee of a railroad carrier may not

38 seek protection under both this section and another provision of law for the

39 same allegedly unlawful act of the carrier.

40 (e) DISCLOSURE OF IDENTITY.—(1) Except as provided in paragraph (2)

41 of this subsection, or with the written consent of the employee, the Secretary
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1 of Transportation may not disclose the name of an employee of a railroad

2 carrier who has provided information about an alleged violation of this part

3 or, as applicable to railroad safety, chapter 51 or 57 of this title or a regula4 tion prescribed or order issued under any of those provisions.

5 (2) The Secretary shall disclose to the Attorney General the name of an em6 ployee described in paragraph (1) of this subsection if the matter is referred

7 to the Attorney General for enforcement.

8 § 20110. Effect on employee qualifications and collective bar9 gaining

10 This chapter does not—

11 (1) authorize the Secretary of Transportation to prescribe regulations

12 and issue orders related to qualifications of employees, except qualifica13 tions specifically related to safety; or

14 (2) prohibit the bargaining representatives of railroad carriers and

15 their employees from making collective bargaining agreements under the

16 Railway Labor Act (45 U.S.C. 151 et seq.), including agreements related

17 to qualifications of employees, that are not inconsistent with regulations

18 prescribed and orders issued under this chapter.

19 § 20111. Enforcement by the Secretary of Transportation

20 (a) EXCLUSIVE AUTHORITY.—The Secretary of Transportation has exclu21 sive authority—

22 (1) to impose and compromise a civil penalty for a violation of a rail23 road safety regulation prescribed or order issued by the Secretary;

24 (2) except as provided in section 20113 of this title, to request an in25 junction for a violation of a railroad safety regulation prescribed or

26 order issued by the Secretary; and

27 (3) to recommend appropriate action be taken under section 20112(a)

28 of this title.

29 (b) COMPLIANCE ORDERS.—The Secretary may issue an order directing

30 compliance with this part or with a railroad safety regulation prescribed or

31 order issued under this part.

32 (c) ORDERS PROHIBITING INDIVIDUALS FROM PERFORMING SAFETY-SEN33 SITIVE FUNCTIONS.—If an individual’s violation of a regulation prescribed or

34 order issued by the Secretary under this chapter is shown to make that indi35 vidual unfit for the performance of safety-sensitive functions, the Secretary,

36 after notice and opportunity for a hearing, may issue an order prohibiting

37 the individual from performing safety-sensitive functions in the railroad in38 dustry for a specified period of time or until specified conditions are met.

39 This subsection does not affect the Secretary’s authority under section 20104

40 of this title to act on an emergency basis.
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1 (d) REGULATIONS REQUIRING REPORTING OF REMEDIAL ACTIONS.—(1)

2 The Secretary shall prescribe regulations to require that a railroad carrier

3 notified by the Secretary that imposition of a civil penalty will be rec4 ommended for a failure to comply with this part, chapter 51 or 57 of this

5 title, or a regulation prescribed or order issued under any of those provisions,

6 shall report to the Secretary, not later than the 30th day after the end of the

7 month in which the notification is received—

8 (A) actions taken to remedy the failure; or

9 (B) if appropriate remedial actions cannot be taken by that 30th day,

10 an explanation of the reasons for the delay.

11 (2) The Secretary—

12 (A) not later than June 3, 1993, shall issue a notice of a regulatory

13 proceeding for proposed regulations to carry out this subsection; and

14 (B) not later than September 3, 1994, shall prescribe final regulations

15 to carry out this subsection.

16 § 20112. Enforcement by the Attorney General

17 (a) CIVIL ACTIONS.—At the request of the Secretary of Transportation, the

18 Attorney General may bring a civil action in a district court of the United

19 States—

20 (1) to enjoin a violation of, or to enforce, a railroad safety regulation

21 prescribed or order issued by the Secretary;

22 (2) to collect a civil penalty imposed or an amount agreed on in com23 promise under section 21301 of this title; or

24 (3) to enforce a subpena issued by the Secretary under this chapter.

25 (b) VENUE.—(1) Except as provided in paragraph (2) of this subsection,

26 a civil action under this section may be brought in the judicial district in

27 which the violation occurred or the defendant has its principal executive of28 fice. If an action to collect a penalty is against an individual, the action also

29 may be brought in the judicial district in which the individual resides.

30 (2) A civil action to enforce a subpena issued by the Secretary or a compli31 ance order issued under section 20111(b) of this title may be brought in the

32 judicial district in which the defendant resides, does business, or is found.

33 § 20113. Enforcement by the States

34 (a) INJUNCTIVE RELIEF.—If the Secretary of Transportation does not begin

35 a civil action under section 20112 of this title to enjoin the violation of a

36 railroad safety regulation prescribed or order issued by the Secretary not later

37 than 15 days after the date the Secretary receives notice of the violation and

38 a request from a State authority participating in investigative and surveil39 lance activities under section 20105 of this title that the action be brought,

40 the authority may bring a civil action in a district court of the United States

41 to enjoin the violation. This subsection does not apply if the Secretary makes
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1 an affirmative written finding that the violation did not occur or that the

2 action is not necessary because of other enforcement action taken by the Sec3 retary related to the violation.

4 (b) IMPOSITION AND COLLECTION OF CIVIL PENALTIES.—If the Secretary

5 does not impose the applicable civil penalty for a violation of a railroad safe6 ty regulation prescribed or order issued by the Secretary not later than 60

7 days after the date of receiving notice from a State authority participating

8 in investigative and surveillance activities under section 20105 of this title,

9 the authority may bring a civil action in a district court of the United States

10 to impose and collect the penalty. This paragraph does not apply if the Sec11 retary makes an affirmative written finding that the violation did not occur.

12 (c) VENUE.—A civil action under this section may be brought in the judi13 cial district in which the violation occurred or the defendant has its principal

14 executive office. However, a State authority may not bring an action under

15 this section outside the State.

16 § 20114. Judicial procedures

17 (a) CRIMINAL CONTEMPT.—In a trial for criminal contempt for violating

18 an injunction or restraining order issued under this chapter, the violation of

19 which is also a violation of this chapter, the defendant may demand a jury

20 trial. The defendant shall be tried as provided in rule 42(b) of the Federal

21 Rules of Criminal Procedure (18 App. U.S.C.).

22 (b) SUBPENAS FOR WITNESSES.—A subpena for a witness required to at23 tend a district court of the United States in an action brought under this

24 chapter may be served in any judicial district.

25 (c) REVIEW OF AGENCY ACTION.—Except as provided in section 20104(c)

26 of this title, a proceeding to review a final action of the Secretary of Trans27 portation under this part or, as applicable to railroad safety, chapter 51 or

28 57 of this title shall be brought in the appropriate court of appeals as pro29 vided in chapter 158 of title 28.

30 § 20115. User fees

31 (a) SCHEDULE OF FEES.—The Secretary of Transportation shall prescribe

32 by regulation a schedule of fees for railroad carriers subject to this chapter.

33 The fees—

34 (1) shall cover the costs of carrying out this chapter (except section

35 20108(a));

36 (2) shall be imposed fairly on the railroad carriers, in reasonable rela37 tionship to an appropriate combination of criteria such as revenue ton38 miles, track miles, passenger miles, or other relevant factors; and

39 (3) may not be based on that part of industry revenues attributable

40 to a railroad carrier or class of railroad carriers.
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1 (b) COLLECTION PROCEDURES.—The Secretary shall prescribe procedures

2 to collect the fees. The Secretary may use the services of a department, agency,

3 or instrumentality of the United States Government or of a State or local au4 thority to collect the fees, and may reimburse the department, agency, or in5 strumentality a reasonable amount for its services.

6 (c) COLLECTION, DEPOSIT, AND USE.—(1) The Secretary shall impose and

7 collect fees under this section for each fiscal year before the end of the fiscal

8 year.

9 (2) Fees collected under this section shall be deposited in the general fund

10 of the Treasury as offsetting receipts. The fees may be used, to the extent pro11 vided in advance in an appropriation law, only to carry out this chapter.

12 (3) Fees prescribed under this section shall be imposed in an amount suffi13 cient to pay for the costs of activities under this chapter. However, the total

14 fees received for a fiscal year may not be more than 105 percent of the total

15 amount of the appropriations for the fiscal year for activities to be financed

16 by the fees.

17 (d) ANNUAL REPORT.—(1) Not later than 90 days after the end of each

18 fiscal year in which fees are collected under this section, the Secretary shall

19 report to Congress on—

20 (A) the amount of fees collected during that fiscal year;

21 (B) the impact of the fees on the financial health of the railroad indus22 try and its competitive position relative to each competing mode of

23 transportation; and

24 (C) the total cost of Government safety activities for each other com25 peting mode of transportation, including any part of that total cost de26 frayed by Government user fees.

27 (2) Not later than 90 days after submitting a report for a fiscal year, the

28 Secretary shall submit to Congress recommendations for corrective legislation

29 if the report includes a finding that—

30 (A) there has been an impact from the fees on the financial health of

31 the railroad industry or its competitive position relative to each compet32 ing mode of transportation; or

33 (B) there is a significant difference in the burden of Government user

34 fees on the railroad industry and other competing modes of transpor35 tation.

36 (e) EXPIRATION.—This section expires on September 30, 1995.

37 § 20116. Annual report

38 The Secretary of Transportation shall submit to the President for submis39 sion to Congress not later than July 1 of each year a report on carrying out

40 this chapter for the prior calendar year. The report shall include the following

41 information about the prior year:
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1 (1) a thorough statistical compilation of railroad accidents, incidents,

2 and casualties by cause.

3 (2) a list of railroad safety regulations and orders prescribed, issued,

4 or in effect under this chapter.

5 (3) a summary of the reasons for each waiver granted under section

6 20103(d) of this title.

7 (4) an evaluation of the degree of compliance with railroad safety reg8 ulations prescribed and orders issued under this chapter.

9 (5) a summary of outstanding problems in carrying out railroad safe10 ty regulations prescribed and orders issued under this chapter, in order

11 of priority.

12 (6) an analysis and evaluation of research and related activities com13 pleted, including their policy implications, and technological progress

14 achieved.

15 (7) a list, with a brief statement of the issues, of completed or pending

16 civil actions to enforce railroad safety regulations prescribed and orders

17 issued under this chapter.

18 (8) the extent to which technical information was distributed to the

19 scientific community and consumer-oriented information was made

20 available to the public.

21 (9) a compilation of certifications filed under section 20105(a) of this

22 title that were—

23 (A) in effect; or

24 (B) rejected in any part by the Secretary, and a summary of the

25 reasons for each rejection.

26 (10) a compilation of agreements made under section 20105(c) of this

27 title that were—

28 (A) in effect; or

29 (B) terminated in any part by the Secretary, and a summary

30 of the reasons for each termination.

31 (11) recommendations for legislation the Secretary considers necessary

32 to strengthen the national railroad safety program.

33 § 20117. Authorization of appropriations

34 (a) GENERAL.—(1) Not more than the following amounts may be appro35 priated to the Secretary of Transportation to carry out this chapter:

36 (A) $68,283,000 for the fiscal year ending September 30, 1993.

37 (B) $71,690,000 for the fiscal year ending September 30, 1994.

38 (2) Not more than $5,000,000 may be appropriated to the Secretary for

39 the fiscal year ending September 30, 1993, to carry out section 20105 of this

40 title.
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1 (b) GRADE CROSSING SAFETY.—Not more than $1,000,000 may be appro2 priated to the Secretary for improvements in grade crossing safety, except

3 demonstration projects under section 20134(c) of this title. Amounts appro4 priated under this subsection remain available until expended.

5 (c) RESEARCH AND DEVELOPMENT, AUTOMATED TRACK INSPECTION, AND

6 STATE PARTICIPATION GRANTS.—Amounts appropriated under this section

7 for research and development, automated track inspection, and grants under

8 section 20105(e) of this title remain available until expended.

9 (d) MINIMUM AVAILABLE FOR CERTAIN PURPOSES.—At least 50 percent of

10 the amounts appropriated to the Secretary for a fiscal year to carry out rail11 road research and development programs under this chapter or another law

12 shall be available for safety research, improved track inspection and informa13 tion acquisition technology, improved railroad freight transportation, and im14 proved railroad passenger systems.

15 SUBCHAPTER II—PARTICULAR ASPECTS OF SAFETY

16 § 20131. Restricted access to rolling equipment

17 The Secretary of Transportation shall prescribe regulations and issue or18 ders that may be necessary to require that when railroad carrier employees

19 (except train or yard crews) assigned to inspect, test, repair, or service rolling

20 equipment have to work on, under, or between that equipment, every manu21 ally operated switch, including each crossover switch, providing access to the

22 track on which the equipment is located is lined against movement to that

23 track and secured by an effective locking device that can be removed only by

24 the class or craft of employees performing the inspection, testing, repair, or

25 service.

26 § 20132. Visible markers for rear cars

27 (a) GENERAL.—The Secretary of Transportation shall prescribe regulations

28 and issue orders that may be necessary to require that—

29 (1) the rear car of each passenger and commuter train has at least

30 one highly visible marker that is lighted during darkness and when

31 weather conditions restrict clear visibility; and

32 (2) the rear car of each freight train has highly visible markers during

33 darkness and when weather conditions restrict clear visibility.

34 (b) PREEMPTION.—Notwithstanding section 20106 of this title, subsection

35 (a) of this section does not prohibit a State from continuing in force a law,

36 regulation, or order in effect on July 8, 1976, related to lighted markers on

37 the rear car of a freight train except to the extent it would cause the car to

38 be in violation of this section.

39 § 20133. Passenger equipment

40 (a) GENERAL.—The Secretary of Transportation shall prescribe regulations

41 and issue orders that may be necessary to ensure that the construction, main-
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1 tenance, and operation of railroad equipment used to transport railroad pas2 sengers, whether in commuter or intercity service, maximize the safety of those

3 passengers. The Secretary periodically shall review the regulations and orders

4 and make amendments that may be necessary.

5 (b) CONSIDERATIONS AND AREAS OF CONCENTRATION.—In prescribing reg6 ulations, issuing orders, and making amendments under this section, the Sec7 retary shall—

8 (1) consider comparable regulations and procedures of the United

9 States Government that apply to other modes of transportation, espe10 cially those regulations and procedures carried out by the Administrator

11 of the Federal Aviation Administration;

12 (2) consider relevant differences between commuter and intercity pas13 senger service;

14 (3) concentrate on those areas that the Secretary believes present the

15 greatest opportunity for enhancing the safety of the equipment; and

16 (4) give significant weight to the expenditures that would be necessary

17 to retrofit existing equipment and to change specifications for equipment

18 on order.

19 (c) CONSULTATION.—In prescribing regulations, issuing orders, and mak20 ing amendments under this section, the Secretary may consult with Amtrak,

21 public authorities operating railroad passenger service, other railroad carriers

22 transporting passengers, organizations of passengers, and organizations of

23 employees. A consultation is not subject to the Federal Advisory Committee

24 Act (5 App. U.S.C.), but minutes of the consultation shall be placed in the

25 public docket of the regulatory proceeding.

26 § 20134. Grade crossings and railroad rights of way

27 (a) GENERAL.—To the extent practicable, the Secretary of Transportation

28 shall maintain a coordinated effort to develop and carry out solutions to the

29 railroad grade crossing problem and measures to protect pedestrians in dense30 ly populated areas along railroad rights of way. To carry out this subsection,

31 the Secretary may use the authority of the Secretary under this chapter and

32 over highway, traffic, and motor vehicle safety and over highway construction.

33 (b) SIGNAL SYSTEMS AND OTHER DEVICES.—Not later than June 22, 1989,

34 the Secretary shall prescribe regulations and issue orders to ensure the safe

35 maintenance, inspection, and testing of signal systems and devices at railroad

36 highway grade crossings.

37 (c) DEMONSTRATION PROJECTS.—(1) The Secretary shall establish dem38 onstration projects to evaluate whether accidents and incidents involving

39 trains would be reduced by—

40 (A) reflective markers installed on the road surface or on a signal post

41 at railroad grade crossings;
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1 (B) stop signs or yield signs installed at grade crossings; and

2 (C) speed bumps or rumble strips installed on the road surfaces at the

3 approaches to grade crossings.

4 (2) Not later than June 22, 1990, the Secretary shall submit a report on

5 the results of the demonstration projects to the Committee on Energy and

6 Commerce of the House of Representatives and the Committee on Commerce,

7 Science, and Transportation of the Senate.

8 § 20135. Licensing or certification of locomotive operators

9 (a) GENERAL.—The Secretary of Transportation shall prescribe regulations

10 and issue orders to establish a program requiring the licensing or certifi11 cation, after one year after the program is established, of any operator of a

12 locomotive.

13 (b) PROGRAM REQUIREMENTS.—The program established under subsection

14 (a) of this section—

15 (1) shall be carried out through review and approval of each railroad

16 carrier’s operator qualification standards;

17 (2) shall provide minimum training requirements;

18 (3) shall require comprehensive knowledge of applicable railroad car19 rier operating practices and rules;

20 (4) except as provided in subsection (c)(1) of this section, shall require

21 consideration, to the extent the information is available, of the motor ve22 hicle driving record of each individual seeking licensing or certification,

23 including—

24 (A) any denial, cancellation, revocation, or suspension of a motor

25 vehicle operator’s license by a State for cause within the prior 5

26 years; and

27 (B) any conviction within the prior 5 years of an offense de28 scribed in section 30304(a)(3) (A) or (B) of this title;

29 (5) may require, based on the individual’s driving record, disqualifica30 tion or the granting of a license or certification conditioned on require31 ments the Secretary prescribes; and

32 (6) shall require an individual seeking a license or certification—

33 (A) to request the chief driver licensing official of each State in

34 which the individual has held a motor vehicle operator’s license

35 within the prior 5 years to provide information about the individ36 ual’s driving record to the individual’s employer, prospective em37 ployer, or the Secretary, as the Secretary requires; and

38 (B) to make the request provided for in section 30305(b)(4) of this

39 title for information to be sent to the individual’s employer, pro40 spective employer, or the Secretary, as the Secretary requires.
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1 (c) WAIVERS.—(1) The Secretary shall prescribe standards and establish

2 procedures for waiving subsection (b)(4) of this section for an individual or

3 class of individuals who the Secretary decides are not currently unfit to oper4 ate a locomotive. However, the Secretary may waive subsection (b)(4) for an

5 individual or class of individuals with a conviction, cancellation, revocation,

6 or suspension described in paragraph (2) (A) or (B) of this subsection only

7 if the individual or class, after the conviction, cancellation, revocation, or sus8 pension, successfully completes a rehabilitation program established by a rail9 road carrier or approved by the Secretary.

10 (2) If an individual, after the conviction, cancellation, revocation, or sus11 pension, successfully completes a rehabilitation program established by a rail12 road carrier or approved by the Secretary, the individual may not be denied

13 a license or certification under subsection (b)(4) of this section because of—

14 (A) a conviction for operating a motor vehicle when under the influ15 ence of, or impaired by, alcohol or a controlled substance; or

16 (B) the cancellation, revocation, or suspension of the individual’s

17 motor vehicle operator’s license for operating a motor vehicle when under

18 the influence of, or impaired by, alcohol or a controlled substance.

19 (d) OPPORTUNITY FOR HEARING.—An individual denied a license or cer20 tification or whose license or certification is conditioned on requirements pre21 scribed under subsection (b)(4) of this section shall be entitled to a hearing

22 under section 20103(e) of this title to decide whether the license has been prop23 erly denied or conditioned.

24 (e) OPPORTUNITY TO EXAMINE AND COMMENT ON INFORMATION.—The Sec25 retary, employer, or prospective employer, as appropriate, shall make infor26 mation obtained under subsection (b)(6) of this section available to the indi27 vidual. The individual shall be given an opportunity to comment in writing

28 about the information. Any comment shall be included in any record or file

29 maintained by the Secretary, employer, or prospective employer that contains

30 information to which the comment is related.

31 § 20136. Automatic train control and related systems

32 The Secretary of Transportation shall prescribe regulations and issue or33 ders to require that—

34 (1) an individual performing a test of an automatic train stop, train

35 control, or cab signal apparatus required by the Secretary to be per36 formed before entering territory where the apparatus will be used shall

37 certify in writing that the test was performed properly; and

38 (2) the certification required under clause (1) of this subsection shall

39 be maintained in the same way and place as the daily inspection report

40 for the locomotive.
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1 § 20137. Event recorders

2 (a) DEFINITION.—In this section, ‘‘event recorder’’ means a device that—

3 (1) records train speed, hot box detection, throttle position, brake ap4 plication, brake operations, and any other function the Secretary of

5 Transportation considers necessary to record to assist in monitoring the

6 safety of train operation, such as time and signal indication; and

7 (2) is designed to resist tampering.

8 (b) REGULATIONS AND ORDERS.—Not later than December 22, 1989, the

9 Secretary shall prescribe regulations and issue orders that may be necessary

10 to enhance safety by requiring that a train be equipped with an event re11 corder not later than one year after the regulations are prescribed and the

12 orders are issued. However, if the Secretary finds it is impracticable to equip

13 trains within that one-year period, the Secretary may extend the period to

14 a date that is not later than 18 months after the regulations are prescribed

15 and the orders are issued.

16 § 20138. Tampering with safety and operational monitoring

17 devices

18 (a) GENERAL.—The Secretary of Transportation shall prescribe regulations

19 and issue orders to prohibit the willful tampering with, or disabling of, any

20 specified railroad safety or operational monitoring device.

21 (b) PENALTIES.—(1) A railroad carrier operating a train on which a safe22 ty or operational monitoring device is tampered with or disabled in violation

23 of a regulation prescribed or order issued under subsection (a) of this section

24 is liable to the United States Government for a civil penalty under section

25 21301 of this title.

26 (2) An individual tampering with or disabling a safety or operational

27 monitoring device in violation of a regulation prescribed or order issued

28 under subsection (a) of this section, or knowingly operating or allowing to

29 be operated a train on which such a device has been tampered with or dis30 abled, is liable for penalties established by the Secretary. The penalties may

31 include—

32 (A) a civil penalty under section 21301 of this title;

33 (B) suspension from work; and

34 (C) suspension or loss of a license or certification issued under section

35 20135 of this title.

36 § 20139. Maintenance-of-way operations on railroad bridges

37 Not later than June 22, 1989, the Secretary of Transportation shall pre38 scribe regulations and issue orders for the safety of maintenance-of-way em39 ployees on railroad bridges. The Secretary at least shall provide in those regu40 lations standards for bridge safety equipment, including nets, walkways,
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1 handrails, and safety lines, and requirements for the use of vessels when work

2 is performed on bridges located over bodies of water.

3 § 20140. Alcohol and controlled substances testing

4 (a) DEFINITION.—In this section, ‘‘controlled substance’’ means any sub5 stance under section 102 of the Comprehensive Drug Abuse Prevention and

6 Control Act of 1970 (21 U.S.C. 802) specified by the Secretary of Transpor7 tation.

8 (b) GENERAL.—(1) In the interest of safety, the Secretary of Transpor9 tation shall prescribe regulations and issue orders, not later than October 28,

10 1992, related to alcohol and controlled substances use in railroad operations.

11 The regulations shall establish a program requiring—

12 (A) a railroad carrier to conduct preemployment, reasonable sus13 picion, random, and post-accident testing of all railroad employees re14 sponsible for safety-sensitive functions (as decided by the Secretary) for

15 the use of alcohol or a controlled substance in violation of law or a

16 United States Government regulation; and

17 (B) when the Secretary considers it appropriate, disqualification for

18 an established period of time or dismissal of any employee found—

19 (i) to have used or been impaired by alcohol when on duty; or

20 (ii) to have used a controlled substance, whether or not on duty,

21 except as allowed for medical purposes by law or a regulation or

22 order under this chapter.

23 (2) When the Secretary of Transportation considers it appropriate in the

24 interest of safety, the Secretary may prescribe regulations and issue orders re25 quiring railroad carriers to conduct periodic recurring testing of railroad em26 ployees responsible for safety-sensitive functions (as decided by the Secretary)

27 for the use of alcohol or a controlled substance in violation of law or a Gov28 ernment regulation.

29 (c) TESTING AND LABORATORY REQUIREMENTS.—In carrying out this sec30 tion, the Secretary of Transportation shall develop requirements that shall—

31 (1) promote, to the maximum extent practicable, individual privacy

32 in the collection of specimens;

33 (2) for laboratories and testing procedures for controlled substances,

34 incorporate the Department of Health and Human Services scientific

35 and technical guidelines dated April 11, 1988, and any amendments to

36 those guidelines, including mandatory guidelines establishing—

37 (A) comprehensive standards for every aspect of laboratory con38 trolled substances testing and laboratory procedures to be applied in

39 carrying out this section, including standards requiring the use of

40 the best available technology to ensure the complete reliability and

41 accuracy of controlled substances tests and strict procedures govern-
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1 ing the chain of custody of specimens collected for controlled sub2 stances testing;

3 (B) the minimum list of controlled substances for which individ4 uals may be tested; and

5 (C) appropriate standards and procedures for periodic review of

6 laboratories and criteria for certification and revocation of certifi7 cation of laboratories to perform controlled substances testing in

8 carrying out this section;

9 (3) require that a laboratory involved in controlled substances testing

10 under this section have the capability and facility, at the laboratory, of

11 performing screening and confirmation tests;

12 (4) provide that all tests indicating the use of alcohol or a controlled

13 substance in violation of law or a Government regulation be confirmed

14 by a scientifically recognized method of testing capable of providing

15 quantitative information about alcohol or a controlled substance;

16 (5) provide that each specimen be subdivided, secured, and labeled in

17 the presence of the tested individual and that a part of the specimen be

18 retained in a secure manner to prevent the possibility of tampering, so

19 that if the individual’s confirmation test results are positive the individ20 ual has an opportunity to have the retained part tested by a 2d con21 firmation test done independently at another certified laboratory if the

22 individual requests the 2d confirmation test not later than 3 days after

23 being advised of the results of the first confirmation test;

24 (6) ensure appropriate safeguards for testing to detect and quantify

25 alcohol in breath and body fluid samples, including urine and blood,

26 through the development of regulations that may be necessary and in

27 consultation with the Secretary of Health and Human Services;

28 (7) provide for the confidentiality of test results and medical informa29 tion (other than information about alcohol or a controlled substance) of

30 employees, except that this clause does not prevent the use of test results

31 for the orderly imposition of appropriate sanctions under this section;

32 and

33 (8) ensure that employees are selected for tests by nondiscriminatory

34 and impartial methods, so that no employee is harassed by being treated

35 differently from other employees in similar circumstances.

36 (d) REHABILITATION.—The Secretary of Transportation shall prescribe reg37 ulations or issue orders establishing requirements for rehabilitation programs

38 that at least provide for the identification and opportunity for treatment of

39 railroad employees responsible for safety-sensitive functions (as decided by the

40 Secretary) in need of assistance in resolving problems with the use of alcohol

41 or a controlled substance in violation of law or a Government regulation. The
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1 Secretary shall decide on the circumstances under which employees shall be

2 required to participate in a program. Each railroad carrier is encouraged to

3 make such a program available to all of its employees in addition to employ4 ees responsible for safety-sensitive functions. This subsection does not prevent

5 a railroad carrier from establishing a program under this subsection in co6 operation with another railroad carrier.

7 (e) INTERNATIONAL OBLIGATIONS AND FOREIGN LAWS AND REGULA8 TIONS.—In carrying out this section, the Secretary of Transportation—

9 (1) shall establish only requirements that are consistent with inter10 national obligations of the United States; and

11 (2) shall consider applicable laws and regulations of foreign countries.

12 (f) OTHER REGULATIONS ALLOWED.—This section does not prevent the

13 Secretary of Transportation from continuing in effect, amending, or further

14 supplementing a regulation prescribed or order issued before October 28, 1991,

15 governing the use of alcohol or a controlled substance in railroad operations.

16 § 20141. Power brake safety

17 (a) REVIEW AND REVISION OF EXISTING REGULATIONS.—The Secretary of

18 Transportation shall review existing regulations on railroad power brakes

19 and, not later than December 31, 1993, revise the regulations based on safety

20 information presented during the review. Where applicable, the Secretary

21 shall prescribe regulations that establish standards on dynamic braking

22 equipment.

23 (b) 2-WAY END-OF-TRAIN DEVICES.—(1) The Secretary shall require 2-way

24 end-of-train devices (or devices able to perform the same function) on road

25 trains, except locals, road switchers, or work trains, to enable the initiation

26 of emergency braking from the rear of a train. The Secretary shall prescribe

27 regulations as soon as possible, but not later than December 31, 1993, requir28 ing the 2-way end-of-train devices. The regulations at least shall—

29 (A) establish standards for the devices based on performance;

30 (B) prohibit a railroad carrier, on or after the date that is one year

31 after the regulations are prescribed, from acquiring any end-of-train de32 vice for use on trains that is not a 2-way device meeting the standards

33 established under clause (A) of this paragraph;

34 (C) require that the trains be equipped with 2-way end-of-train devices

35 meeting those standards not later than 4 years after the regulations are

36 prescribed; and

37 (D) provide that any 2-way end-of-train device acquired for use on

38 trains before the regulations are prescribed shall be deemed to meet the

39 standards.

40 (2) The Secretary may consider petitions to amend the regulations pre41 scribed under paragraph (1) of this subsection to allow the use of alternative
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1 technologies that meet the same basic performance requirements established by

2 the regulations.

3 (3) In developing the regulations required by paragraph (1) of this sub4 section, the Secretary shall consider information presented under subsection

5 (a) of this section.

6 (c) EXCLUSIONS.—The Secretary may exclude from regulations prescribed

7 under subsections (a) and (b) of this section any category of trains or rail

8 operations if the Secretary decides that the exclusion is in the public interest

9 and is consistent with railroad safety. The Secretary shall make public the

10 reasons for the exclusion. The Secretary at least shall exclude from the regula11 tions prescribed under subsection (b)—

12 (1) trains that have manned cabooses;

13 (2) passenger trains with emergency brakes;

14 (3) trains that operate only on track that is not part of the general

15 railroad system;

16 (4) trains that do not exceed 30 miles an hour and do not operate on

17 heavy grades, except for any categories of trains specifically designated

18 by the Secretary; and

19 (5) trains that operate in a push mode.

20 § 20142. Track safety

21 (a) REVIEW OF EXISTING REGULATIONS.—Not later than March 3, 1993,

22 the Secretary of Transportation shall begin a review of Department of Trans23 portation regulations related to track safety standards. The review at least

24 shall include an evaluation of—

25 (1) procedures associated with maintaining and installing continuous

26 welded rail and its attendant structure;

27 (2) the need for revisions to regulations on track excepted from track

28 safety standards; and

29 (3) employee safety.

30 (b) REVISION OF REGULATIONS.—Not later than September 3, 1994, the

31 Secretary shall prescribe regulations and issue orders to revise track safety

32 standards, considering safety information presented during the review under

33 subsection (a) of this section and the report of the Comptroller General sub34 mitted under subsection (c) of this section.

35 (c) COMPTROLLER GENERAL’S STUDY AND REPORT.—The Comptroller

36 General shall study the effectiveness of the Secretary’s enforcement of track

37 safety standards, with particular attention to recent relevant railroad acci38 dent experience and information. Not later than September 3, 1993, the

39 Comptroller General shall submit a report to Congress and the Secretary on

40 the results of the study, with recommendations for improving enforcement of

41 those standards.
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1 § 20143. Locomotive visibility

2 (a) DEFINITION.—In this section, ‘‘locomotive visibility’’ means the en3 hancement of day and night visibility of the front end unit of a train, consid4 ering in particular the visibility and perspective of a driver of a motor vehi5 cle at a grade crossing.

6 (b) INTERIM REGULATIONS.—Not later than December 31, 1992, the Sec7 retary of Transportation shall prescribe temporary regulations identifying

8 ditch, crossing, strobe, and oscillating lights as temporary locomotive visi9 bility measures and authorizing and encouraging the installation and use of

10 those lights. Subchapter II of chapter 5 of title 5 does not apply to a tem11 porary regulation or to an amendment to a temporary regulation.

12 (c) REVIEW OF REGULATIONS.—The Secretary shall review the Secretary’s

13 regulations on locomotive visibility. Not later than December 31, 1993, the

14 Secretary shall complete the current research of the Department of Transpor15 tation on locomotive visibility. In conducting the review, the Secretary shall

16 collect relevant information from operational experience by rail carriers using

17 enhanced visibility measures.

18 (d) REGULATORY PROCEEDING.—Not later than June 30, 1994, the Sec19 retary shall begin a regulatory proceeding to prescribe final regulations re20 quiring substantially enhanced locomotive visibility measures. In the proceed21 ing, the Secretary shall consider at least—

22 (1) revisions to the existing locomotive headlight standards, including

23 standards for placement and intensity;

24 (2) requiring the use of reflective material to enhance locomotive visi25 bility;

26 (3) requiring the use of additional alerting lights, including ditch,

27 crossing, strobe, and oscillating lights;

28 (4) requiring the use of auxiliary lights to enhance locomotive visi29 bility when viewed from the side;

30 (5) the effect of an enhanced visibility measure on the vision, health,

31 and safety of train crew members; and

32 (6) separate standards for self-propelled, push-pull, and multi-unit

33 passenger operations without a dedicated head end locomotive.

34 (e) FINAL REGULATIONS.—(1) Not later than June 30, 1995, the Secretary

35 shall prescribe final regulations requiring enhanced locomotive visibility

36 measures. The Secretary shall require that not later than December 31, 1997,

37 a locomotive not excluded from the regulations be equipped with temporary

38 visibility measures under subsection (b) of this section or the visibility meas39 ures the final regulations require.

40 (2) In prescribing regulations under paragraph (1) of this subsection, the

41 Secretary may exclude a category of trains or rail operations from a specific
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1 visibility requirement if the Secretary decides the exclusion is in the public

2 interest and is consistent with rail safety, including grade-crossing safety.

3 (3) A locomotive equipped with temporary visibility measures prescribed

4 under subsection (b) of this section when final regulations are prescribed

5 under paragraph (1) of this subsection is deemed to be complying with the

6 final regulations for 4 years after the final regulations are prescribed.

7 § 20144. Blue signal protection for on-track vehicles

8 The Secretary of Transportation shall prescribe regulations applying blue

9 signal protection to on-track vehicles where rest is provided.

10 CHAPTER 203—SAFETY APPLIANCES

Sec.

20301. Definition and nonapplication.

20302. General requirements.

20303. Moving defective and insecure vehicles needing repairs.

20304. Assumption of risk by employees.

20305. Inspection of mail cars.

20306. Exemption for technological improvements.

11 § 20301. Definition and nonapplication

12 (a) DEFINITION.—In this chapter, ‘‘vehicle’’ means a car, locomotive, ten13 der, or similar vehicle.

14 (b) NONAPPLICATION.—This chapter does not apply to the following:

15 (1) a train of 4-wheel coal cars.

16 (2) a train of 8-wheel standard logging cars if the height of each car

17 from the top of the rail to the center of the coupling is not more than

18 25 inches.

19 (3) a locomotive used in hauling a train referred to in clause (2) of

20 this subsection when the locomotive and cars of the train are used only

21 to transport logs.

22 § 20302. General requirements

23 (a) GENERAL.—Except as provided in subsection (c) of this section and sec24 tion 20303 of this title, a railroad carrier may use or allow to be used on

25 any of its railroad lines—

26 (1) a vehicle only if it is equipped with—

27 (A) couplers coupling automatically by impact, and capable of

28 being uncoupled, without the necessity of individuals going between

29 the ends of the vehicles;

30 (B) secure sill steps and efficient hand brakes; and

31 (C) secure ladders and running boards when required by the Sec32 retary of Transportation, and, if ladders are required, secure

33 handholds or grab irons on its roof at the top of each ladder;

34 (2) except as otherwise ordered by the Secretary, a vehicle only if it

35 is equipped with secure grab irons or handholds on its ends and sides

36 for greater security to individuals in coupling and uncoupling vehicles;
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1 (3) a vehicle only if it complies with the standard height of drawbars

2 required by regulations prescribed by the Secretary;

3 (4) a locomotive only if it is equipped with a power-driving wheel

4 brake and appliances for operating the train-brake system; and

5 (5) a train only if—

6 (A) enough of the vehicles in the train are equipped with power

7 or train brakes so that the engineer on the locomotive hauling the

8 train can control the train’s speed without the necessity of brake op9 erators using the common hand brakes for that purpose; and

10 (B) at least 50 percent of the vehicles in the train are equipped

11 with power or train brakes and the engineer is using the power or

12 train brakes on those vehicles and on all other vehicles equipped

13 with them that are associated with those vehicles in the train.

14 (b) REFUSAL TO RECEIVE VEHICLES NOT PROPERLY EQUIPPED.—A rail15 road carrier complying with subsection (a)(5)(A) of this section may refuse

16 to receive from a railroad line of a connecting railroad carrier or a shipper

17 a vehicle that is not equipped with power or train brakes that will work and

18 readily interchange with the power or train brakes in use on the vehicles of

19 the complying railroad carrier.

20 (c) COMBINED VEHICLES LOADING AND HAULING LONG COMMODITIES.—

21 Notwithstanding subsection (a)(1)(B) of this section, when vehicles are com22 bined to load and haul long commodities, only one of the vehicles must have

23 hand brakes during the loading and hauling.

24 (d) AUTHORITY TO CHANGE REQUIREMENTS.—The Secretary may—

25 (1) change the number, dimensions, locations, and manner of applica26 tion prescribed by the Secretary for safety appliances required by sub27 section (a)(1)(B) and (C) and (2) of this section only for good cause and

28 after providing an opportunity for a full hearing;

29 (2) amend regulations for installing, inspecting, maintaining, and re30 pairing power and train brakes only for the purpose of achieving safety;

31 and

32 (3) increase, after an opportunity for a full hearing, the minimum

33 percentage of vehicles in a train that are required by subsection

34 (a)(5)(B) of this section to be equipped and used with power or train

35 brakes.

36 (e) SERVICES OF ASSOCIATION OF AMERICAN RAILROADS.—In carrying out

37 subsection (d)(2) and (3) of this section, the Secretary may use the services

38 of the Association of American Railroads.
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1 § 20303. Moving defective and insecure vehicles needing re2 pairs

3 (a) GENERAL.—A vehicle that is equipped in compliance with this chapter

4 whose equipment becomes defective or insecure nevertheless may be moved

5 when necessary to make repairs, without a penalty being imposed under sec6 tion 21302 of this title, from the place at which the defect or insecurity was

7 first discovered to the nearest available place at which the repairs can be

8 made—

9 (1) on the railroad line on which the defect or insecurity was discov10 ered; or

11 (2) at the option of a connecting railroad carrier, on the railroad line

12 of the connecting carrier, if not farther than the place of repair described

13 in clause (1) of this subsection.

14 (b) USE OF CHAINS INSTEAD OF DRAWBARS.—A vehicle in a revenue train

15 or in association with commercially-used vehicles may be moved under this

16 section with chains instead of drawbars only when the vehicle contains live17 stock or perishable freight.

18 (c) LIABILITY.—The movement of a vehicle under this section is at the risk

19 only of the railroad carrier doing the moving. This section does not relieve

20 a carrier from liability in a proceeding to recover damages for death or in21 jury of a railroad employee arising from the movement of a vehicle with

22 equipment that is defective, insecure, or not maintained in compliance with

23 this chapter.

24 § 20304. Assumption of risk by employees

25 An employee of a railroad carrier injured by a vehicle or train used in

26 violation of section 20302(a)(1)(A), (2), (4), or (5)(A) of this title does not

27 assume the risk of injury resulting from the violation, even if the employee

28 continues to be employed by the carrier after learning of the violation.

29 § 20305. Inspection of mail cars

30 The Secretary of Transportation shall inspect the construction, adapt31 ability, design, and condition of mail cars used on railroads in the United

32 States. The Secretary shall make a report on the inspection and submit a

33 copy of the report to the United States Postal Service.

34 § 20306. Exemption for technological improvements

35 (a) GENERAL.—Subject to subsection (b) of this section, the Secretary of

36 Transportation may exempt from the requirements of this chapter railroad

37 equipment or equipment that will be operated on rails, when those require38 ments preclude the development or implementation of more efficient railroad

39 transportation equipment or other transportation innovations under existing

40 law.
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1 (b) CONDITIONS FOR EXEMPTION.—The Secretary may grant an exemption

2 under subsection (a) of this section only on the basis of—

3 (1) findings based on evidence developed at a hearing; or

4 (2) an agreement between national railroad labor representatives and

5 the developer of the new equipment or technology.

6 CHAPTER 205—SIGNAL SYSTEMS

Sec.

20501. Definition.

20502. Requirements for installation and use.

20503. Amending regulations and changing requirements.

20504. Inspection, testing, and investigation.

20505. Reports of malfunctions and accidents.

7 § 20501. Definition

8 In this chapter, ‘‘signal system’’ means a block signal system, an interlock9 ing, automatic train stop, train control, or cab-signal device, or a similar ap10 pliance, method, device, or system intended to promote safety in railroad op11 erations.

12 § 20502. Requirements for installation and use

13 (a) INSTALLATION.—(1) When the Secretary of Transportation decides after

14 an investigation that it is necessary in the public interest, the Secretary may

15 order a railroad carrier to install, on any part of its railroad line, a signal

16 system that complies with requirements of the Secretary. The order must

17 allow the carrier a reasonable time to complete the installation. A carrier

18 may discontinue or materially alter a signal system required under this para19 graph only with the approval of the Secretary.

20 (2) A railroad carrier ordered under paragraph (1) of this subsection to

21 install a signal system on one part of its railroad line may not be held neg22 ligent for not installing the system on any part of its line that was not in23 cluded in the order. If an accident or incident occurs on a part of the line

24 on which the signal system was not required to be installed and was not in25 stalled, the use of the system on another part of the line may not be considered

26 in a civil action brought because of the accident or incident.

27 (b) USE.—A railroad carrier may allow a signal system to be used on its

28 railroad line only when the system, including its controlling and operating

29 appurtenances—

30 (1) may be operated safely without unnecessary risk of personal in31 jury; and

32 (2) has been inspected and can meet any test prescribed under this

33 chapter.
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1 § 20503. Amending regulations and changing requirements

2 The Secretary of Transportation may amend a regulation or change a re3 quirement applicable to a railroad carrier for installing, maintaining, in4 specting, or repairing a signal system under this chapter—

5 (1) when the carrier files with the Secretary a request for the amend6 ment or change and the Secretary approves the request; or

7 (2) on the Secretary’s own initiative for good cause shown.

8 § 20504. Inspection, testing, and investigation

9 (a) SYSTEMS IN USE.—(1) The Secretary of Transportation may—

10 (A) inspect and test a signal system used by a railroad carrier; and

11 (B) decide whether the system is in safe operating condition.

12 (2) In carrying out this subsection, the Secretary may employ only an in13 dividual who—

14 (A) has no interest in a patented article required to be used on or with

15 a signal system; and

16 (B) has no financial interest in a railroad carrier or in a concern

17 dealing in railroad supplies.

18 (b) SYSTEMS SUBMITTED FOR INVESTIGATION AND TESTING.—The Sec19 retary may investigate, test, and report on the use of and need for a signal

20 system, without cost to the United States Government, when the system is sub21 mitted in completed shape for investigation and testing.

22 § 20505. Reports of malfunctions and accidents

23 In the way and to the extent required by the Secretary of Transportation,

24 a railroad carrier shall report to the Secretary a failure of a signal system

25 to function as intended. If the failure results in an accident or incident caus26 ing injury to an individual or property that is required to be reported under

27 regulations prescribed by the Secretary, the carrier owning or maintaining

28 the signal system shall report to the Secretary immediately in writing the fact

29 of the accident or incident.

30 CHAPTER 207—LOCOMOTIVES

Sec.

20701. Requirements for use.

20702. Inspections, repairs, and inspection and repair reports.

20703. Accident reports and investigations.

31 § 20701. Requirements for use

32 A railroad carrier may use or allow to be used a locomotive or tender on

33 its railroad line only when the locomotive or tender and its parts and appur34 tenances—

35 (1) are in proper condition and safe to operate without unnecessary

36 danger of personal injury;

37 (2) have been inspected as required under this chapter and regulations

38 prescribed by the Secretary of Transportation under this chapter; and
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1 (3) can withstand every test prescribed by the Secretary under this

2 chapter.

3 § 20702. Inspections, repairs, and inspection and repair re4 ports

5 (a) GENERAL.—The Secretary of Transportation shall—

6 (1) become familiar, so far as practicable, with the condition of every

7 locomotive and tender and its parts and appurtenances;

8 (2) inspect every locomotive and tender and its parts and appur9 tenances as necessary to carry out this chapter, but not necessarily at

10 stated times or at regular intervals; and

11 (3) ensure that every railroad carrier makes inspections of locomotives

12 and tenders and their parts and appurtenances as required by regula13 tions prescribed by the Secretary and repairs every defect that is dis14 closed by an inspection before a defective locomotive, tender, part, or ap15 purtenance is used again.

16 (b) NONCOMPLYING LOCOMOTIVES, TENDERS, AND PARTS.—(1) When the

17 Secretary finds that a locomotive, tender, or locomotive or tender part or ap18 purtenance owned or operated by a railroad carrier does not comply with this

19 chapter or a regulation prescribed under this chapter, the Secretary shall give

20 the carrier written notice describing any defect resulting in noncompliance.

21 Not later than 5 days after receiving the notice of noncompliance, the carrier

22 may submit a written request for a reinspection. On receiving the request, the

23 Secretary shall provide for the reinspection by an officer or employee of the

24 Department of Transportation who did not make the original inspection. The

25 reinspection shall be made not later than 15 days after the date the Secretary

26 gives the notice of noncompliance.

27 (2) Immediately after the reinspection is completed, the Secretary shall give

28 written notice to the railroad carrier stating whether the locomotive, tender,

29 part, or appurtenance is in compliance. If the original finding of noncompli30 ance is sustained, the carrier has 30 days after receipt of the notice to file

31 an appeal with the Secretary. If the carrier files an appeal, the Secretary,

32 after providing an opportunity for a proceeding, may revise or set aside the

33 finding of noncompliance.

34 (3) A locomotive, tender, part, or appurtenance found not in compliance

35 under this subsection may be used only after it is—

36 (A) repaired to comply with this chapter and regulations prescribed

37 under this chapter; or

38 (B) found on reinspection or appeal to be in compliance.

39 (c) REPORTS.—A railroad carrier shall make and keep, in the way the Sec40 retary prescribes by regulation, a report of every—
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1 (1) inspection made under regulations prescribed by the Secretary;

2 and

3 (2) repair made of a defect disclosed by such an inspection.

4 (d) CHANGES IN INSPECTION PROCEDURES.—A railroad carrier may

5 change a rule or instruction of the carrier governing the inspection by the

6 carrier of the locomotives and tenders and locomotive and tender parts and

7 appurtenances of the carrier when the Secretary approves a request filed by

8 the carrier to make the change.

9 § 20703. Accident reports and investigations

10 (a) ACCIDENT REPORTS AND SCENE PRESERVATION.—When the failure of

11 a locomotive, tender, or locomotive or tender part or appurtenance results in

12 an accident or incident causing serious personal injury or death, the railroad

13 carrier owning or operating the locomotive or tender—

14 (1) immediately shall file with the Secretary of Transportation a writ15 ten statement of the fact of the accident or incident; and

16 (2) when the locomotive is disabled to the extent it cannot be operated

17 under its own power, shall preserve intact all parts affected by the acci18 dent or incident, if possible without interfering with traffic, until an in19 vestigation of the accident or incident is completed.

20 (b) INVESTIGATIONS.—The Secretary shall—

21 (1) investigate each accident and incident reported under subsection

22 (a) of this section;

23 (2) inspect each part affected by the accident or incident; and

24 (3) make a complete and detailed report on the cause of the accident

25 or incident.

26 (c) PUBLICATION AND USE OF INVESTIGATION REPORTS.—When the Sec27 retary considers publication to be in the public interest, the Secretary may

28 publish a report of an investigation made under this section, stating the cause

29 of the accident or incident and making appropriate recommendations. No

30 part of a report may be admitted into evidence or used in a civil action for

31 damages resulting from a matter mentioned in the report.

32 CHAPTER 209—ACCIDENTS AND INCIDENTS

Sec.

20901. Reports.

20902. Investigations.

20903. Reports not evidence in civil actions for damages.

33 § 20901. Reports

34 (a) GENERAL REQUIREMENTS.—Not later than 30 days after the end of

35 each month, a railroad carrier shall file a report with the Secretary of Trans36 portation on all accidents and incidents resulting in injury or death to an

37 individual or damage to equipment or a roadbed arising from the carrier’s

38 operations during the month. The report shall be under oath and shall state
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1 the nature, cause, and circumstances of each reported accident or incident.

2 If a railroad carrier assigns human error as a cause, the report shall include,

3 at the option of each employee whose error is alleged, a statement by the em4 ployee explaining any factors the employee alleges contributed to the accident

5 or incident.

6 (b) MONETARY THRESHOLD FOR REPORTING.—(1) In establishing or

7 changing a monetary threshold for the reporting of a railroad accident or in8 cident, the Secretary shall base damage cost calculations only on publicly

9 available information obtained from—

10 (A) the Bureau of Labor Statistics; or

11 (B) another department, agency, or instrumentality of the United

12 States Government if the information has been collected through objective,

13 statistically sound survey methods or has been previously subject to a

14 public notice and comment process in a proceeding of a Government de15 partment, agency, or instrumentality.

16 (2) If information is not available as provided in paragraph (1)(A) or (B)

17 of this subsection, the Secretary may use any other source to obtain the infor18 mation. However, use of the information shall be subject to public notice and

19 an opportunity for written comment.

20 § 20902. Investigations

21 (a) GENERAL AUTHORITY.—The Secretary of Transportation, or an impar22 tial investigator authorized by the Secretary, may investigate—

23 (1) an accident or incident resulting in serious injury to an individ24 ual or to railroad property, occurring on the railroad line of a railroad

25 carrier; and

26 (2) an accident or incident reported under section 20505 of this title.

27 (b) OTHER DUTIES AND POWERS.—In carrying out an investigation, the

28 Secretary or authorized investigator may subpena witnesses, require the pro29 duction of records, exhibits, and other evidence, administer oaths, and take

30 testimony. If the accident or incident is investigated by a commission of the

31 State in which it occurred, the Secretary, if convenient, shall carry out the

32 investigation at the same time as, and in coordination with, the commission’s

33 investigation. The railroad carrier on whose railroad line the accident or in34 cident occurred shall provide reasonable facilities to the Secretary for the in35 vestigation.

36 (c) REPORTS.—When in the public interest, the Secretary shall make a re37 port of the investigation, stating the cause of the accident or incident and

38 making recommendations the Secretary considers appropriate. The Secretary

39 shall publish the report in a way the Secretary considers appropriate.
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1 § 20903. Reports not evidence in civil actions for damages

2 No part of an accident or incident report filed by a railroad carrier under

3 section 20901 of this title or made by the Secretary of Transportation under

4 section 20902 of this title may be used in a civil action for damages resulting

5 from a matter mentioned in the report.

6 CHAPTER 211—HOURS OF SERVICE

Sec.

21101. Definitions.

21102. Nonapplication and exemption.

21103. Limitations on duty hours of train employees.

21104. Limitations on duty hours of signal employees.

21105. Limitations on duty hours of dispatching service employees.

21106. Limitations on employee sleeping quarters.

21107. Maximum duty hours and subjects of collective bargaining.

7 § 21101. Definitions

8 In this chapter—

9 (1) ‘‘designated terminal’’ means the home or away-from-home termi10 nal for the assignment of a particular crew.

11 (2) ‘‘dispatching service employee’’ means an operator, train dis12 patcher, or other train employee who by the use of an electrical or me13 chanical device dispatches, reports, transmits, receives, or delivers orders

14 related to or affecting train movements.

15 (3) ‘‘employee’’ means a dispatching service employee, a signal em16 ployee, or a train employee.

17 (4) ‘‘signal employee’’ means an individual employed by a railroad

18 carrier who is engaged in installing, repairing, or maintaining signal

19 systems.

20 (5) ‘‘train employee’’ means an individual engaged in or connected

21 with the movement of a train, including a hostler.

22 § 21102. Nonapplication and exemption

23 (a) GENERAL.—This chapter does not apply to a situation involving any

24 of the following:

25 (1) a casualty.

26 (2) an unavoidable accident.

27 (3) an act of God.

28 (4) a delay resulting from a cause unknown and unforeseeable to a

29 railroad carrier or its officer or agent in charge of the employee when

30 the employee left a terminal.

31 (b) EXEMPTION.—The Secretary of Transportation may exempt a railroad

32 carrier having not more than 15 employees covered by this chapter from the

33 limitations imposed by this chapter. The Secretary may allow the exemption

34 after a full hearing, for good cause shown, and on deciding that the exemption

35 is in the public interest and will not affect safety adversely. The exemption
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1 shall be for a specific period of time and is subject to review at least annually.

2 The exemption may not authorize a carrier to require or allow its employees

3 to be on duty more than a total of 16 hours in a 24-hour period.

4 § 21103. Limitations on duty hours of train employees

5 (a) GENERAL.—Except as provided in subsection (c) of this section, a rail6 road carrier and its officers and agents may not require or allow a train em7 ployee to remain or go on duty—

8 (1) unless that employee has had at least 8 consecutive hours off duty

9 during the prior 24 hours; or

10 (2) after that employee has been on duty for 12 consecutive hours,

11 until that employee has had at least 10 consecutive hours off duty.

12 (b) DETERMINING TIME ON DUTY.—In determining under subsection (a)

13 of this section the time a train employee is on or off duty, the following rules

14 apply:

15 (1) Time on duty begins when the employee reports for duty and ends

16 when the employee is finally released from duty.

17 (2) Time the employee is engaged in or connected with the movement

18 of a train is time on duty.

19 (3) Time spent performing any other service for the railroad carrier

20 during a 24-hour period in which the employee is engaged in or con21 nected with the movement of a train is time on duty.

22 (4) Time spent in deadhead transportation to a duty assignment is

23 time on duty, but time spent in deadhead transportation from a duty

24 assignment to the place of final release is neither time on duty nor time

25 off duty.

26 (5) An interim period available for rest at a place other than a des27 ignated terminal is time on duty.

28 (6) An interim period available for less than 4 hours rest at a des29 ignated terminal is time on duty.

30 (7) An interim period available for at least 4 hours rest at a place

31 with suitable facilities for food and lodging is not time on duty when

32 the employee is prevented from getting to the employee’s designated ter33 minal by any of the following:

34 (A) a casualty.

35 (B) a track obstruction.

36 (C) an act of God.

37 (D) a derailment or major equipment failure resulting from a

38 cause that was unknown and unforeseeable to the railroad carrier

39 or its officer or agent in charge of that employee when that employee

40 left the designated terminal.
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1 (c) EMERGENCIES.—A train employee on the crew of a wreck or relief train

2 may be allowed to remain or go on duty for not more than 4 additional hours

3 in any period of 24 consecutive hours when an emergency exists and the work

4 of the crew is related to the emergency. In this subsection, an emergency ends

5 when the track is cleared and the railroad line is open for traffic.

6 § 21104. Limitations on duty hours of signal employees

7 (a) GENERAL.—(1) In paragraph (2)(C) of this subsection, ‘‘24-hour pe8 riod’’ means the period beginning when a signal employee reports for duty

9 immediately after 8 consecutive hours off duty or, when required under para10 graph (2)(B) of this subsection, after 10 consecutive hours off duty.

11 (2) Except as provided in subsection (c) of this section, a railroad carrier

12 and its officers and agents may not require or allow a signal employee to

13 remain or go on duty—

14 (A) unless that employee has had at least 8 consecutive hours off duty

15 during the prior 24 hours;

16 (B) after that employee has been on duty for 12 consecutive hours,

17 until that employee has had at least 10 consecutive hours off duty; or

18 (C) after that employee has been on duty a total of 12 hours during

19 a 24-hour period, or after the end of that 24-hour period, whichever oc20 curs first, until that employee has had at least 8 consecutive hours off

21 duty.

22 (b) DETERMINING TIME ON DUTY.—In determining under subsection (a)

23 of this section the time a signal employee is on duty or off duty, the following

24 rules apply:

25 (1) Time on duty begins when the employee reports for duty and ends

26 when the employee is finally released from duty.

27 (2) Time spent performing any other service for the railroad carrier

28 during a 24-hour period in which the employee is engaged in installing,

29 repairing, or maintaining signal systems is time on duty.

30 (3) Time spent returning from a trouble call, whether the employee

31 goes directly to the employee’s residence or by way of the employee’s

32 headquarters, is neither time on duty nor time off duty, except that up

33 to one hour of that time spent returning from the final trouble call of

34 a period of continuous or broken service is time off duty.

35 (4) If, at the end of scheduled duty hours, an employee has not com36 pleted the trip from the final outlying worksite of the duty period to the

37 employee’s headquarters or directly to the employee’s residence, the time

38 after the scheduled duty hours necessarily spent in completing the trip

39 to the residence or headquarters is neither time on duty nor time off

40 duty.
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1 (5) If an employee is released from duty at an outlying worksite before

2 the end of the employee’s scheduled duty hours to comply with this sec3 tion, the time necessary for the trip from the worksite to the employee’s

4 headquarters or directly to the employee’s residence is neither time on

5 duty nor time off duty.

6 (6) Time spent in transportation on an ontrack vehicle, including

7 time referred to in paragraphs (3)–(5) of this subsection, is time on duty.

8 (7) A regularly scheduled meal period or another release period of at

9 least 30 minutes but not more than one hour is time off duty and does

10 not break the continuity of service of the employee under this section, but

11 a release period of more than one hour is time off duty and does break

12 the continuity of service.

13 (c) EMERGENCIES.—A signal employee may be allowed to remain or go on

14 duty for not more than 4 additional hours in any period of 24 consecutive

15 hours when an emergency exists and the work of that employee is related to

16 the emergency. In this subsection, an emergency ends when the signal system

17 is restored to service.

18 § 21105. Limitations on duty hours of dispatching service em19 ployees

20 (a) APPLICATION.—This section applies, rather than section 21103 or

21 21104 of this title, to a train employee or signal employee during any period

22 of time the employee is performing duties of a dispatching service employee.

23 (b) GENERAL.—Except as provided in subsection (d) of this section, a dis24 patching service employee may not be required or allowed to remain or go

25 on duty for more than—

26 (1) a total of 9 hours during a 24-hour period in a tower, office, sta27 tion, or place at which at least 2 shifts are employed; or

28 (2) a total of 12 hours during a 24-hour period in a tower, office, sta29 tion, or place at which only one shift is employed.

30 (c) DETERMINING TIME ON DUTY.—Under subsection (b) of this section,

31 time spent performing any other service for the railroad carrier during a 24-

32 hour period in which the employee is on duty in a tower, office, station, or

33 other place is time on duty in that tower, office, station, or place.

34 (d) EMERGENCIES.—When an emergency exists, a dispatching service em35 ployee may be allowed to remain or go on duty for not more than 4 addi36 tional hours during a period of 24 consecutive hours for not more than 3 days

37 during a period of 7 consecutive days.

38 § 21106. Limitations on employee sleeping quarters

39 A railroad carrier and its officers and agents—

40 (1) may provide sleeping quarters (including crew quarters, camp or

41 bunk cars, and trailers) for employees, and any individuals employed to
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1 maintain the right of way of a railroad carrier, only if the sleeping

2 quarters are clean, safe, and sanitary and give those employees and indi3 viduals an opportunity for rest free from the interruptions caused by

4 noise under the control of the carrier; and

5 (2) may not begin, after July 7, 1976, construction or reconstruction

6 of sleeping quarters referred to in clause (1) of this section in an area

7 or in the immediate vicinity of an area, as determined under regulations

8 prescribed by the Secretary of Transportation, in which railroad switch9 ing or humping operations are performed.

10 § 21107. Maximum duty hours and subjects of collective bar11 gaining

12 The number of hours established by this chapter that an employee may be

13 required or allowed to be on duty is the maximum number of hours consistent

14 with safety. Shorter hours of service and time on duty of an employee are

15 proper subjects for collective bargaining between a railroad carrier and its

16 employees.

17 CHAPTER 213—PENALTIES

SUBCHAPTER I—CIVIL PENALTIES

Sec.

21301. Chapter 201 general violations.

21302. Chapter 201 accident and incident violations and chapter 203–209 violations.

21303. Chapter 211 violations.

21304. Willfulness requirement for penalties against individuals.

SUBCHAPTER II—CRIMINAL PENALTIES

21311. Records and reports.

18 SUBCHAPTER I—CIVIL PENALTIES

19 § 21301. Chapter 201 general violations

20 (a) PENALTY.—(1) Subject to section 21304 of this title, a person violating

21 a regulation prescribed or order issued by the Secretary of Transportation

22 under chapter 201 of this title is liable to the United States Government for

23 a civil penalty. The Secretary shall impose the penalty applicable under

24 paragraph (2) of this subsection. A separate violation occurs for each day the

25 violation continues.

26 (2) The Secretary shall include in, or make applicable to, each regulation

27 prescribed and order issued under chapter 201 of this title a civil penalty for

28 a violation. The amount of the penalty shall be at least $500 but not more

29 than $10,000. However, when a grossly negligent violation or a pattern of re30 peated violations has caused an imminent hazard of death or injury to indi31 viduals, or has caused death or injury, the amount may be not more than

32 $20,000.

33 (3) The Secretary may compromise the amount of a civil penalty imposed

34 under this subsection to not less than $500 before referring the matter to the
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1 Attorney General for collection. In determining the amount of a compromise,

2 the Secretary shall consider—

3 (A) the nature, circumstances, extent, and gravity of the violation;

4 (B) with respect to the violator, the degree of culpability, any history

5 of violations, the ability to pay, and any effect on the ability to continue

6 to do business; and

7 (C) other matters that justice requires.

8 (b) SETOFF.—The Government may deduct the amount of a civil penalty

9 imposed or compromised under this section from amounts it owes the person

10 liable for the penalty.

11 (c) DEPOSIT IN TREASURY.—A civil penalty collected under this section or

12 section 20113(b) of this title shall be deposited in the Treasury as miscellane13 ous receipts.

14 § 21302. Chapter 201 accident and incident violations and

15 chapter 203–209 violations

16 (a) PENALTY.—(1) Subject to section 21304 of this title, a person violating

17 a regulation prescribed or order issued under chapter 201 of this title related

18 to accident and incident reporting or investigation, or violating chapters

19 203–209 of this title or a regulation or requirement prescribed or order issued

20 under chapters 203–209, is liable to the United States Government for a civil

21 penalty. An act by an individual that causes a railroad carrier to be in viola22 tion is a violation. A separate violation occurs for each day the violation con23 tinues.

24 (2) The Secretary of Transportation imposes a civil penalty under this sub25 section. The amount of the penalty shall be at least $500 but not more than

26 $10,000. However, when a grossly negligent violation or a pattern of repeated

27 violations has caused an imminent hazard of death or injury to individuals,

28 or has caused death or injury, the amount may be not more than $20,000.

29 (3) The Secretary may compromise the amount of the civil penalty under

30 section 3711 of title 31. In determining the amount of a compromise, the Sec31 retary shall consider—

32 (A) the nature, circumstances, extent, and gravity of the violation;

33 (B) with respect to the violator, the degree of culpability, any history

34 of violations, the ability to pay, and any effect on the ability to continue

35 to do business; and

36 (C) other matters that justice requires.

37 (4) If the Secretary does not compromise the amount of the civil penalty,

38 the Secretary shall refer the matter to the Attorney General for collection.

39 (b) CIVIL ACTIONS TO COLLECT.—The Attorney General shall bring a civil

40 action in a district court of the United States to collect a civil penalty that

41 is referred to the Attorney General for collection under subsection (a) of this
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1 section. The action may be brought in the judicial district in which the viola2 tion occurred or the defendant has its principal executive office. If the action

3 is against an individual, the action also may be brought in the judicial dis4 trict in which the individual resides.

5 § 21303. Chapter 211 violations

6 (a) PENALTY.—(1) Subject to section 21304 of this title, a person violating

7 chapter 211 of this title is liable to the United States Government for a civil

8 penalty. An act by an individual that causes a railroad carrier to be in viola9 tion is a violation. For a violation of section 21106 of this title, a separate

10 violation occurs for each day a facility is not in compliance.

11 (2) The Secretary of Transportation imposes a civil penalty under this sub12 section. The amount of the penalty shall be at least $500 but not more than

13 $10,000. However, when a grossly negligent violation or a pattern of repeated

14 violations has caused an imminent hazard of death or injury to individuals,

15 or has caused death or injury, the amount may be not more than $20,000.

16 (3) The Secretary may compromise the amount of the civil penalty under

17 section 3711 of title 31. In determining the amount of a compromise, the Sec18 retary shall consider—

19 (A) the nature, circumstances, extent, and gravity of the violation;

20 (B) with respect to the violator, the degree of culpability, any history

21 of violations, the ability to pay, and any effect on the ability to continue

22 to do business; and

23 (C) other matters that justice requires.

24 (4) If the Secretary does not compromise the amount of the civil penalty,

25 the Secretary shall refer the matter to the Attorney General for collection.

26 (b) CIVIL ACTIONS TO COLLECT.—(1) The Attorney General shall bring a

27 civil action in a district court of the United States to collect a civil penalty

28 that is referred to the Attorney General for collection under subsection (a) of

29 this section after satisfactory information is presented to the Attorney Gen30 eral. The action may be brought in the judicial district in which the violation

31 occurred or the defendant has its principal executive office. If the action is

32 against an individual, the action also may be brought in the judicial district

33 in which the individual resides.

34 (2) A civil action under this subsection must be brought not later than 2

35 years after the date of the violation unless administrative notification under

36 section 3711 of title 31 is given within that 2-year period to the person com37 mitting the violation. However, even if notification is given, the action must

38 be brought within the period specified in section 2462 of title 28.

39 (c) IMPUTATION OF KNOWLEDGE.—In any proceeding under this section,

40 a railroad carrier is deemed to know the acts of its officers and agents.
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1 § 21304. Willfulness requirement for penalties against indi2 viduals

3 A civil penalty under this subchapter may be imposed against an individ4 ual only for a willful violation. An individual is deemed not to have commit5 ted a willful violation if the individual was following the direct order of a

6 railroad carrier official or supervisor under protest communicated to the offi7 cial or supervisor. The individual is entitled to document the protest.

8 SUBCHAPTER II—CRIMINAL PENALTIES

9 § 21311. Records and reports

10 (a) RECORDS AND REPORTS UNDER CHAPTER 201.—A person shall be

11 fined under title 18, imprisoned for not more than 2 years, or both, if the

12 person knowingly and willfully—

13 (1) makes a false entry in a record or report required to be made or

14 preserved under chapter 201 of this title;

15 (2) destroys, mutilates, changes, or by another means falsifies such a

16 record or report;

17 (3) does not enter required specified facts and transactions in such a

18 record or report;

19 (4) makes or preserves such a record or report in violation of a regula20 tion prescribed or order issued under chapter 201 of this title; or

21 (5) files a false record or report with the Secretary of Transportation.

22 (b) ACCIDENT AND INCIDENT REPORTS.—A railroad carrier not filing the

23 report required by section 20901 of this title shall be fined not more than

24 $500 for each violation and not more than $500 for each day during which

25 the report is overdue.

26 PART B—ASSISTANCE

27 CHAPTER 221—LOCAL RAIL FREIGHT ASSISTANCE

Sec.

22101. Financial assistance for State projects.

22102. Eligibility.

22103. Applications.

22104. State rail plan financing.

22105. Sharing project costs.

22106. Limitations on financial assistance.

22107. Records, audits, and information.

22108. Authorization of appropriations.

28 § 22101. Financial assistance for State projects

29 (a) GENERAL.—The Secretary of Transportation shall provide financial as30 sistance to a State, as provided under this chapter, for a rail freight assist31 ance project of the State when a rail carrier subject to subchapter I of chapter

32 105 of this title maintains a rail line in the State. The assistance is for the

33 cost of—

34 (1) acquiring, in any way the State considers appropriate, an interest

35 in a rail line or rail property to maintain existing, or to provide future,
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1 rail freight transportation, but only if the Interstate Commerce Commis2 sion has authorized, or exempted from the requirements of that author3 ization, the abandonment of, or the discontinuance of rail transportation

4 on, the rail line related to the project;

5 (2) improving and rehabilitating rail property on a rail line to the

6 extent necessary to allow adequate and efficient rail freight transpor7 tation on the line, but only if the rail carrier certifies that the rail line

8 related to the project carried not more than 5,000,000 gross ton-miles of

9 freight a mile in the prior year; and

10 (3) building rail or rail-related facilities (including new connections

11 between at least 2 existing rail lines, intermodal freight terminals, sid12 ings, bridges, and relocation of existing lines) to improve the quality and

13 efficiency of the rail freight transportation, but only if the rail carrier

14 certifies that the rail line related to the project carried not more than

15 5,000,000 gross ton-miles of freight a mile in the prior year.

16 (b) CALCULATING COST-BENEFIT RATIO.—The Secretary shall establish a

17 methodology for calculating the ratio of benefits to costs of projects proposed

18 under this chapter. In establishing the methodology, the Secretary shall con19 sider the need for equitable treatment of different regions of the United States

20 and different commodities transported by rail. The establishment of the meth21 odology is committed to the discretion of the Secretary.

22 (c) CONDITIONS.—(1) Assistance for a project shall be provided under this

23 chapter only if—

24 (A) a rail carrier certifies that the rail line related to the project car25 ried more than 20 carloads a mile during the most recent year during

26 which transportation was provided by the carrier on the line; and

27 (B) the ratio of benefits to costs for the project, as calculated using

28 the methodology established under subsection (b) of this section, is more

29 than 1.0.

30 (2) If the rail carrier that provided the transportation on the rail line is

31 no longer in existence, the applicant for the project shall provide the informa32 tion required by the certification under paragraph (1)(A) of this subsection

33 in the way the Secretary prescribes.

34 (3) The Secretary may waive the requirement of paragraph (1)(A) or (2)

35 of this subsection if the Secretary—

36 (A) decides that the rail line has contractual guarantees of at least 40

37 carloads a mile for each of the first 2 years of operation of the proposed

38 project; and

39 (B) finds that there is a reasonable expectation that the contractual

40 guarantees will be fulfilled.
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1 (d) LIMITATIONS ON AMOUNTS.—A State may not receive more than 15

2 percent of the amounts provided in a fiscal year under this chapter. Not more

3 than 20 percent of the amounts available under this chapter may be provided

4 in a fiscal year for any one project.

5 § 22102. Eligibility

6 A State is eligible to receive financial assistance under this chapter only

7 when the State complies with regulations the Secretary of Transportation pre8 scribes under this chapter and the Secretary decides that—

9 (1) the State has an adequate plan for rail transportation in the State

10 and a suitable process for updating, revising, and modifying the plan;

11 (2) the State plan is administered or coordinated by a designated

12 State authority and provides for a fair distribution of resources;

13 (3) the State authority—

14 (A) is authorized to develop, promote, supervise, and support safe,

15 adequate, and efficient rail transportation;

16 (B) employs or will employ sufficient qualified and trained per17 sonnel;

18 (C) maintains or will maintain adequate programs of investiga19 tion, research, promotion, and development with opportunity for

20 public participation; and

21 (D) is designated and directed to take all practicable steps (by

22 itself or with other State authorities) to improve rail transportation

23 safety and reduce energy use and pollution related to transpor24 tation; and

25 (4) the State has ensured that it maintains or will maintain adequate

26 procedures for financial control, accounting, and performance evaluation

27 for the proper use of assistance provided by the United States Govern28 ment.

29 § 22103. Applications

30 (a) FILING.—A State must file an application with the Secretary of Trans31 portation for financial assistance for a project described under section

32 22101(a) of this title not later than January 1 of the fiscal year for which

33 amounts have been appropriated. However, for a fiscal year for which the au34 thorization of appropriations for assistance under this chapter has not been

35 enacted by the first day of the fiscal year, the State must file the application

36 not later than 90 days after the date of enactment of a law authorizing the

37 appropriations for that fiscal year. The Secretary shall prescribe the form of

38 the application.

39 (b) CONSIDERATIONS.—In considering an application under this sub40 section, the Secretary shall consider the following:
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1 (1) the percentage of rail lines that rail carriers have identified to the

2 Interstate Commerce Commission for abandonment or potential abandon3 ment in the State.

4 (2) the likelihood of future abandonments in the State.

5 (3) the ratio of benefits to costs for a proposed project calculated using

6 the methodology established under section 22101(b) of this title.

7 (4) the likelihood that the rail line will continue operating with assist8 ance.

9 (5) the impact of rail bankruptcies, rail restructuring, and rail merg10 ers on the State.

11 § 22104. State rail plan financing

12 (a) ENTITLEMENT AND USES.—On the first day of each fiscal year, each

13 State is entitled to $36,000 of the amounts made available under section

14 22108 of this title during that fiscal year to be used—

15 (1) to establish, update, revise, and modify the State plan required by

16 section 22102 of this title; or

17 (2) to carry out projects described in section 22101(a)(1), (2), or (3)

18 of this title, as designated by the State, if those projects meet the require19 ments of section 22101(c)(1)(B) of this title.

20 (b) APPLICATIONS.—Each State must apply for amounts under this section

21 not later than the first day of the fiscal year for which the amounts are avail22 able. However, for any fiscal year for which the authorization of appropria23 tions for financial assistance under this chapter has not been enacted by the

24 first day of the fiscal year, the State must apply for amounts under this sec25 tion not later than 60 days after the date of enactment of a law authorizing

26 the appropriations for that fiscal year. Not later than 60 days after receiving

27 an application, the Secretary of Transportation shall consider the application

28 and notify the State of the approval or disapproval of the application.

29 (c) AVAILABILITY OF AMOUNTS.—Amounts provided under this section re30 main available to a State for obligation for the first 3 months after the end

31 of the fiscal year for which the amounts were made available. Amounts not

32 applied for under this section or that remain unobligated after the first 3

33 months after the end of the fiscal year for which the amounts were made

34 available are available to the Secretary for projects meeting the requirements

35 of this chapter.

36 § 22105. Sharing project costs

37 (a) GENERAL.—(1) The United States Government’s share of the costs of

38 financial assistance for a project under this chapter is 50 percent, except that

39 for assistance provided under section 22101(a)(2) of this title, the Govern40 ment’s share is 70 percent. The State may pay its share of the costs in cash
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1 or through the following benefits, to the extent that the benefits otherwise

2 would not be provided:

3 (A) forgiveness of taxes imposed on a rail carrier or its property.

4 (B) real and tangible personal property (provided by the State or a

5 person for the State) necessary for the safe and efficient operation of rail

6 freight transportation.

7 (C) track rights secured by the State for a rail carrier.

8 (D) the cash equivalent of State salaries for State employees working

9 on the State project, except overhead and general administrative costs.

10 (2) A State may pay more than its required percentage share of the costs

11 of a project under this chapter. When a State, or a person acting for a State,

12 pays more than the State share of the costs of its projects during a fiscal year,

13 the excess amount shall be applied to the State share for the costs of the State

14 projects for later fiscal years.

15 (b) AGREEMENTS TO COMBINE AMOUNTS.—States may agree to combine

16 any part of the amounts made available under this chapter to carry out a

17 project that is eligible for assistance under this chapter when—

18 (1) the project will benefit each State making the agreement; and

19 (2) the agreement is not a violation of State law.

20 § 22106. Limitations on financial assistance

21 (a) GRANTS AND LOANS.—A State shall use financial assistance for projects

22 under this chapter to make a grant or lend money to the owner of rail prop23 erty, or a rail carrier providing rail transportation, related to a project being

24 assisted. The State shall decide on the financial terms of the grant or loan,

25 except that the time for making grant advances shall comply with regulations

26 of the Secretary of the Treasury.

27 (b) HOLDING AND USE OF GOVERNMENT’S SHARE.—The State shall place

28 the United States Government’s share of money that is repaid in an interest29 bearing account. However, the Secretary of Transportation may allow a bor30 rower to place that money, for the benefit of the State, in a bank designated

31 by the Secretary of the Treasury under section 10 of the Act of June 11, 1942

32 (12 U.S.C. 265). The State shall use the money and accumulated interest to

33 make other grants and loans under this chapter.

34 (c) PAYMENT OF UNUSED MONEY AND ACCUMULATED INTEREST.—The

35 State may pay the Secretary of Transportation the Government’s share of un36 used money and accumulated interest at any time. However, the State must

37 pay the unused money and accumulated interest to the Secretary when the

38 State ends its participation under this chapter.

39 (d) ENCOURAGING PARTICIPATION.—To the maximum extent possible, the

40 State shall encourage the participation of shippers, rail carriers, and local

41 communities in paying the State share of assistance costs.
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1 (e) RETENTION OF CONTINGENT INTEREST.—Each State shall retain a con2 tingent interest (redeemable preference shares) for the Government’s share of

3 amounts in a rail line receiving assistance under this chapter. The State may

4 collect its share of the amounts used for the rail line if—

5 (1) an application for abandonment of the rail line is filed under

6 chapter 109 of this title; or

7 (2) the rail line is sold or disposed of after it has received assistance

8 under this chapter.

9 § 22107. Records, audits, and information

10 (a) RECORDS.—Each recipient of financial assistance through an arrange11 ment under this chapter shall keep records required by the Secretary of Trans12 portation. The records shall be kept for 3 years after a project is completed

13 and shall disclose—

14 (1) the amount of, and disposition by the recipient, of the assistance;

15 (2) the total costs of the project for which the assistance was given or

16 used;

17 (3) the amount of that part of the costs of the project paid by other

18 sources; and

19 (4) any other records that will make an effective audit easier.

20 (b) AUDITS.—The Secretary and the Comptroller General shall make regu21 lar financial and performance audits, as provided under chapter 75 of title

22 31, of activities and transactions assisted under this chapter.

23 (c) INFORMATION.—The Interstate Commerce Commission shall provide the

24 Secretary with information the Secretary requests to assist in carrying out

25 this chapter. The Commission shall provide the information not later than 30

26 days after receiving a request from the Secretary.

27 (d) LIST OF RAIL LINES.—Not later than August 1 of each year, each rail

28 carrier subject to subchapter I of chapter 105 of this title shall submit to the

29 Secretary a list of the rail lines of the carrier that carried not more than

30 5,000,000 gross ton-miles of freight a mile in the prior year.

31 § 22108. Authorization of appropriations

32 (a) GENERAL.—(1) Not more than the following amounts may be appro33 priated to the Secretary of Transportation to carry out this chapter:

34 (A) $25,000,000 for the fiscal year ending September 30, 1993.

35 (B) $30,000,000 for the fiscal year ending September 30, 1994.

36 (2) Amounts appropriated under paragraph (1) of this subsection remain

37 available until expended.

38 (3) No amount may be appropriated to the Secretary for any period after

39 September 30, 1994, to carry out this chapter.

40 (b) DISTRIBUTION OF AMOUNTS.—The Secretary shall establish procedures

41 necessary to ensure that amounts available to the Secretary for projects under
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1 this chapter are distributed not later than April 1 of the fiscal year for which

2 the amounts are appropriated. If any amounts are not distributed by April

3 1, the Secretary shall report to the Committee on Energy and Commerce of

4 the House of Representatives and the Committee on Commerce, Science, and

5 Transportation of the Senate on the status of those amounts and the reasons

6 for the delay in distribution.

7 (c) AVAILABILITY OF OTHER AMOUNTS.—Amounts appropriated to carry

8 out section 5(i) of the Department of Transportation Act for fiscal year 1990

9 that are not applied for or that remain unobligated on January 1, 1991, are

10 available to the Secretary for projects under this chapter.

11 PART C—PASSENGER TRANSPORTATION

12 CHAPTER 241—GENERAL

Sec.

24101. Findings, purpose, and goals.

24102. Definitions.

24103. Enforcement.

24104. Authorization of appropriations.

13 § 24101. Findings, purpose, and goals

14 (a) FINDINGS.—(1) Public convenience and necessity require that Amtrak,

15 to the extent its budget allows, provide modern, cost-efficient, and energy-effi16 cient intercity rail passenger transportation between crowded urban areas

17 and in other areas of the United States.

18 (2) Rail passenger transportation can help alleviate overcrowding of air19 ways and airports and on highways.

20 (3) A traveler in the United States should have the greatest possible choice

21 of transportation most convenient to the needs of the traveler.

22 (4) A greater degree of cooperation is necessary among Amtrak, other rail

23 carriers, State, regional, and local governments, the private sector, labor orga24 nizations, and suppliers of services and equipment to Amtrak to achieve a

25 performance level sufficient to justify expending public money.

26 (5) Modern and efficient commuter rail passenger transportation is impor27 tant to the viability and well-being of major urban areas and to the energy

28 conservation and self-sufficiency goals of the United States.

29 (6) As a rail passenger transportation entity, Amtrak should be available

30 to operate commuter rail passenger transportation through its subsidiary,

31 Amtrak Commuter, under contract with commuter authorities that do not

32 provide the transportation themselves as part of the governmental function of

33 the State.

34 (7) The Northeast Corridor is a valuable resource of the United States used

35 by intercity and commuter rail passenger transportation and freight trans36 portation.
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1 (8) Greater coordination between intercity and commuter rail passenger

2 transportation is required.

3 (b) PURPOSE.—By using innovative operating and marketing concepts,

4 Amtrak shall provide intercity and commuter rail passenger transportation

5 that completely develops the potential of modern rail transportation to meet

6 the intercity and commuter passenger transportation needs of the United

7 States.

8 (c) GOALS.—Amtrak shall—

9 (1) use its best business judgment in acting to minimize United States

10 Government subsidies, including—

11 (A) increasing fares;

12 (B) increasing revenue from the transportation of mail and ex13 press;

14 (C) reducing losses on food service;

15 (D) improving its contracts with operating rail carriers;

16 (E) reducing management costs; and

17 (F) increasing employee productivity;

18 (2) minimize Government subsidies by encouraging State, regional,

19 and local governments and the private sector to share the cost of provid20 ing rail passenger transportation, including the cost of operating facili21 ties;

22 (3) carry out strategies to achieve immediately maximum productivity

23 and efficiency consistent with safe and efficient transportation;

24 (4) operate Amtrak trains, to the maximum extent feasible, to all sta25 tion stops within 15 minutes of the time established in public timetables;

26 (5) develop transportation on rail corridors subsidized by States and

27 private parties;

28 (6) implement schedules based on a systemwide average speed of at

29 least 60 miles an hour that can be achieved with a degree of reliability

30 and passenger comfort;

31 (7) encourage rail carriers to assist in improving intercity rail pas32 senger transportation;

33 (8) improve generally the performance of Amtrak through comprehen34 sive and systematic operational programs and employee incentives;

35 (9) carry out policies that ensure equitable access to the Northeast Cor36 ridor by intercity and commuter rail passenger transportation;

37 (10) coordinate the uses of the Northeast Corridor, particularly inter38 city and commuter rail passenger transportation; and

39 (11) maximize the use of its resources, including the most cost-effective

40 use of employees, facilities, and real property.
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1 (d) MINIMIZING GOVERNMENT SUBSIDIES.—To carry out subsection (c)(11)

2 of this section, Amtrak is encouraged to make agreements with the private sec3 tor and undertake initiatives that are consistent with good business judgment

4 and designed to maximize its revenues and minimize Government subsidies.

5 § 24102. Definitions

6 In this part—

7 (1) ‘‘auto-ferry transportation’’ means intercity rail passenger trans8 portation—

9 (A) of automobiles or recreational vehicles and their occupants;

10 and

11 (B) when space is available, of used unoccupied vehicles.

12 (2) ‘‘avoidable loss’’ means the avoidable costs of providing rail pas13 senger transportation, less revenue attributable to the transportation, as

14 determined by the Interstate Commerce Commission under section 553

15 of title 5.

16 (3) ‘‘basic system’’ means the system of intercity rail passenger trans17 portation designated by the Secretary of Transportation under section 4

18 of the Amtrak Improvement Act of 1978 and approved by Congress, and

19 transportation required to be provided under section 24705(a) of this

20 title and section 4(g) of the Act, including changes in the system or

21 transportation that Amtrak makes using the route and service criteria.

22 (4) ‘‘commuter authority’’ means a State, local, or regional entity es23 tablished to provide, or make a contract providing for, commuter rail

24 passenger transportation.

25 (5) ‘‘commuter rail passenger transportation’’ means short-haul rail

26 passenger transportation in metropolitan and suburban areas usually

27 having reduced fare, multiple-ride, and commuter tickets and morning

28 and evening peak period operations.

29 (6) ‘‘intercity rail passenger transportation’’ means rail passenger

30 transportation, except commuter rail passenger transportation.

31 (7) ‘‘Northeast Corridor’’ means Connecticut, Delaware, the District of

32 Columbia, Maryland, Massachusetts, New Jersey, New York, Pennsylva33 nia, and Rhode Island.

34 (8) ‘‘rail carrier’’ means a person providing rail transportation for

35 compensation.

36 (9) ‘‘rate’’ means a rate, fare, or charge for rail transportation.

37 (10) ‘‘regional transportation authority’’ means an entity established

38 to provide passenger transportation in a region.

39 (11) ‘‘route and service criteria’’ means the criteria and procedures for

40 making route and service decisions established under section 404(c)(1)-

41 (3)(A) of the Rail Passenger Service Act.
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1 § 24103. Enforcement

2 (a) GENERAL.—(1) Except as provided in paragraph (2) of this subsection,

3 only the Attorney General may bring a civil action for equitable relief in a

4 district court of the United States when Amtrak or a rail carrier—

5 (A) engages in or adheres to an action, practice, or policy inconsistent

6 with this part;

7 (B) obstructs or interferes with an activity authorized under this part;

8 (C) refuses, fails, or neglects to discharge its duties and responsibilities

9 under this part; or

10 (D) threatens—

11 (i) to engage in or adhere to an action, practice, or policy incon12 sistent with this part;

13 (ii) to obstruct or interfere with an activity authorized by this

14 part; or

15 (iii) to refuse, fail, or neglect to discharge its duties and respon16 sibilities under this part.

17 (2) An employee affected by any conduct or threat referred to in paragraph

18 (1) of this subsection, or an authorized employee representative, may bring

19 the civil action if the conduct or threat involves a labor agreement.

20 (b) REVIEW OF DISCONTINUANCE OR REDUCTION.—A discontinuance of a

21 route, a train, or transportation, or a reduction in the frequency of transpor22 tation, by Amtrak is reviewable only in a civil action for equitable relief

23 brought by the Attorney General.

24 (c) VENUE.—Except as otherwise prohibited by law, a civil action under

25 this section may be brought in the judicial district in which Amtrak or the

26 rail carrier resides or is found.

27 § 24104. Authorization of appropriations

28 (a) CAPITAL ACQUISITION AND CORRIDOR DEVELOPMENT.—(1) Not more

29 than $250,000,000 may be appropriated to the Secretary of Transportation

30 for each of the fiscal years ending September 30, 1993, and September 30,

31 1994, for the benefit of Amtrak to make capital expenditures under chapters

32 243–247 of this title.

33 (2) In addition to amounts that may be appropriated under section 24909

34 of this title, not more than the following amounts may be appropriated to

35 the Secretary for the benefit of Amtrak to make capital expenditures under

36 chapter 249 of this title:

37 (A) $220,000,000 for the fiscal year ending September 30, 1993.

38 (B) $250,000,000 for the fiscal year ending September 30, 1994.

39 (3)(A) Not more than 15 percent of each of the amounts appropriated

40 under paragraphs (1) and (2) of this subsection is available for transpor41 tation described in subparagraphs (B) and (C) of this paragraph.
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1 (B) Amounts made available under subparagraph (A) of this paragraph

2 shall be used to develop new intercity rail passenger transportation on cor3 ridors between cities undergoing significant population growth and in which

4 the transportation reasonably can be expected to provide travel times com5 parable with other surface transportation modes. An amount may be expended

6 for the transportation only if a State requests the transportation and the

7 State and Amtrak agree that—

8 (i) Amtrak will pay at least 90 percent of the cost of acquiring rolling

9 stock for the transportation; and

10 (ii) the State will pay at least 90 percent of the cost of improving the

11 right of way, including track structure, signal systems, passenger station

12 facilities, highway and pedestrian grade crossings, and other safety

13 equipment and facilities.

14 (C) Amounts made available under subparagraph (A) of this paragraph

15 shall be used to begin new long distance intercity rail passenger transpor16 tation. An amount may be expended for the transportation only if a State

17 requests the transportation and the State and Amtrak agree that—

18 (i) Amtrak will pay at least 75 percent of the cost of acquiring rolling

19 stock for the transportation; and

20 (ii) the State will pay at least 90 percent of the cost of improving the

21 right of way, including track structure, signal systems, passenger station

22 facilities, highway and pedestrian grade crossings, and other safety

23 equipment and facilities.

24 (D) Section 24704 of this title applies to the operating expenses of trans25 portation described in subparagraphs (B) and (C) of this paragraph.

26 (b) OPERATING EXPENSES.—(1) Not more than $381,000,000 may be ap27 propriated to the Secretary for each of the fiscal years ending September 30,

28 1993, and September 30, 1994, for the benefit of Amtrak for operating ex29 penses. Not more than 5 percent of the amounts appropriated for each fiscal

30 year shall be used to pay operating expenses under section 24704 of this title

31 for transportation in operation on September 30, 1992.

32 (2)(A) Not more than the following amounts may be appropriated to the

33 Secretary for the benefit of Amtrak for operating losses under section 24704

34 of this title for transportation beginning after September 30, 1992:

35 (i) $7,500,000 for the fiscal year ending September 30, 1993.

36 (ii) $9,500,000 for the fiscal year ending September 30, 1994.

37 (B) The expenditure by Amtrak of an amount appropriated under subpara38 graph (A) of this paragraph is deemed not to be an operating expense when

39 calculating the revenue-to-operating expense ratio of Amtrak.

40 (c) MANDATORY PAYMENTS.—(1) Not more than $150,000,000 for the fiscal

41 year ending September 30, 1993, and amounts that may be necessary for the
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1 fiscal year ending September 30, 1994, may be appropriated to the Secretary

2 to pay—

3 (A) tax liabilities under section 3221 of the Internal Revenue Code of

4 1986 (26 U.S.C. 3221) due in those fiscal years that are more than the

5 amount needed for benefits for individuals who retire from Amtrak and

6 for their beneficiaries;

7 (B) obligations of Amtrak under section 8(a) of the Railroad Unem8 ployment Insurance Act (45 U.S.C. 358(a)) due in those fiscal years that

9 are more than obligations of Amtrak calculated on an experience-related

10 basis; and

11 (C) obligations of Amtrak due under section 3321 of the Code (26

12 U.S.C. 3321).

13 (2) Amounts appropriated under this subsection are not a United States

14 Government subsidy of Amtrak.

15 (d) PAYMENT TO AMTRAK.—Amounts appropriated under this section shall

16 be paid to Amtrak under the budget request of the Secretary as approved or

17 modified by Congress when the amounts are appropriated. A payment may

18 not be made more frequently than once every 90 days, unless Amtrak, for good

19 cause, requests more frequent payment before a 90-day period ends. In each

20 fiscal year in which amounts are authorized to be appropriated under this

21 section, amounts appropriated shall be paid to Amtrak as follows:

22 (1) 50 percent on October 1.

23 (2) 25 percent on January 1.

24 (3) 25 percent on April 1.

25 (e) AVAILABILITY OF AMOUNTS AND EARLY APPROPRIATIONS.—(1)

26 Amounts appropriated under this section remain available until expended.

27 (2) Amounts for capital acquisitions and improvements may be appro28 priated in a fiscal year before the fiscal year in which the amounts will be

29 obligated.

30 (f) LIMITATIONS ON USE.—Amounts appropriated under this section may

31 not be used to subsidize operating losses of commuter rail passenger or rail

32 freight transportation.

33 CHAPTER 243—AMTRAK

Sec.

24301. Status and applicable laws.

24302. Board of directors.

24303. Officers.

24304. Capitalization.

24305. General authority.

24306. Mail, express, and auto-ferry transportation.

24307. Special transportation.

24308. Use of facilities and providing services to Amtrak.

24309. Retaining and maintaining facilities.

24310. Assistance for upgrading facilities.

24311. Acquiring interests in property by eminent domain.
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24312. Labor standards.

24313. Rail safety system program.

24314. Demonstration of new technology.

24315. Reports and audits.

1 § 24301. Status and applicable laws

2 (a) STATUS.—Amtrak—

3 (1) is a rail carrier under section 10102 of this title;

4 (2) shall be operated and managed as a for-profit corporation; and

5 (3) is not a department, agency, or instrumentality of the United

6 States Government.

7 (b) PRINCIPAL OFFICE AND PLACE OF BUSINESS.—The principal office

8 and place of business of Amtrak are in the District of Columbia. Amtrak is

9 qualified to do business in each State in which Amtrak carries out an activity

10 authorized under this part. Amtrak shall accept service of process by certified

11 mail addressed to the secretary of Amtrak at its principal office and place

12 of business. Amtrak is a citizen only of the District of Columbia when decid13 ing original jurisdiction of the district courts of the United States in a civil

14 action.

15 (c) APPLICATION OF SUBTITLE IV.—(1) Subtitle IV of this title applies to

16 Amtrak, except for provisions related to the—

17 (A) regulation of rates;

18 (B) abandonment or extension of rail lines used only for passenger

19 transportation and the abandonment or extension of operations over

20 those lines;

21 (C) regulation of routes and service;

22 (D) discontinuance or change of rail passenger transportation oper23 ations; and

24 (E) issuance of securities or the assumption of an obligation or liabil25 ity related to the securities of others.

26 (2) Notwithstanding this subsection—

27 (A) sections 10721–10724 of this title apply to Amtrak; and

28 (B) on application of an adversely affected motor carrier, the Inter29 state Commerce Commission under any provision of subtitle IV of this

30 title applicable to a carrier subject to subchapter I of chapter 105 of this

31 title may hear a complaint about an unfair or predatory rate or market32 ing practice of Amtrak for a route or service operating at a loss.

33 (d) APPLICATION OF SAFETY AND EMPLOYEE RELATIONS LAWS AND REGU34 LATIONS.—Laws and regulations governing safety, employee representation

35 for collective bargaining purposes, the handling of disputes between carriers

36 and employees, employee retirement, annuity, and unemployment systems,

37 and other dealings with employees that apply to a common carrier subject

38 to subchapter I of chapter 105 of this title apply to Amtrak.
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1 (e) APPLICATION OF CERTAIN ADDITIONAL LAWS.—Section 552 of title 5,

2 this part, and, to the extent consistent with this part, the District of Columbia

3 Business Corporation Act (D.C. Code § 29–301 et seq.) apply to Amtrak.

4 (f) LAWS GOVERNING LEASES AND CONTRACTS.—The laws of the District

5 of Columbia govern leases and contracts of Amtrak, regardless of where they

6 are executed.

7 (g) NONAPPLICATION OF RATE, ROUTE, AND SERVICE LAWS.—A State or

8 other law related to rates, routes, or service does not apply to Amtrak in con9 nection with rail passenger transportation.

10 (h) NONAPPLICATION OF PAY PERIOD LAWS.—A State or local law related

11 to pay periods or days for payment of employees does not apply to Amtrak.

12 Except when otherwise provided under a collective bargaining agreement, an

13 employee of Amtrak shall be paid at least as frequently as the employee was

14 paid on October 1, 1979.

15 (i) PREEMPTION RELATED TO EMPLOYEE WORK REQUIREMENTS.—A State

16 may not adopt or continue in force a law, rule, regulation, order, or standard

17 requiring Amtrak to employ a specified number of individuals to perform a

18 particular task, function, or operation.

19 (j) NONAPPLICATION OF LAWS ON JOINT USE OR OPERATION OF FACILI20 TIES AND EQUIPMENT.—Prohibitions of law applicable to an agreement for

21 the joint use or operation of facilities and equipment necessary to provide

22 quick and efficient rail passenger transportation do not apply to a person

23 making an agreement with Amtrak to the extent necessary to allow the person

24 to make and carry out obligations under the agreement.

25 (k) EXEMPTION FROM ADDITIONAL TAXES.—(1) In this subsection—

26 (A) ‘‘additional tax’’ means a tax or fee—

27 (i) on the acquisition, improvement, ownership, or operation of

28 personal property by Amtrak; and

29 (ii) on real property, except a tax or fee on the acquisition of real

30 property or on the value of real property not attributable to im31 provements made, or the operation of those improvements, by Am32 trak.

33 (B) ‘‘Amtrak’’ includes a rail carrier subsidiary of Amtrak and a les34 sor or lessee of Amtrak or one of its rail carrier subsidiaries.

35 (2) Amtrak is not required to pay an additional tax because of an expendi36 ture to acquire or improve real property, equipment, a facility, or right-of37 way material or structures used in providing rail passenger transportation,

38 even if that use is indirect.

39 (l) EXEMPTION FROM TAXES LEVIED AFTER SEPTEMBER 30, 1981.—(1)

40 Amtrak or a rail carrier subsidiary of Amtrak is exempt from a tax or fee

41 imposed by a State, a political subdivision of a State, or a local taxing au-
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1 thority and levied on it after September 30, 1981. However, Amtrak is not

2 exempt under this subsection from a tax or fee that it was required to pay

3 as of September 10, 1982.

4 (2) The district courts of the United States have original jurisdiction over

5 a civil action Amtrak brings to enforce this subsection and may grant equi6 table or declaratory relief requested by Amtrak.

7 (m) WASTE DISPOSAL.—(1) An intercity rail passenger car manufactured

8 after October 14, 1990, shall be built to provide for the discharge of human

9 waste only at a servicing facility. Amtrak shall retrofit each of its intercity

10 rail passenger cars that was manufactured after May 1, 1971, and before Oc11 tober 15, 1990, with a human waste disposal system that provides for the dis12 charge of human waste only at a servicing facility. Subject to appropria13 tions—

14 (A) the retrofit program shall be completed not later than October 15,

15 1996; and

16 (B) a car that does not provide for the discharge of human waste only

17 at a servicing facility shall be removed from service after that date.

18 (2) Section 361 of the Public Health Service Act (42 U.S.C. 264) and other

19 laws of the United States, States, and local governments do not apply to

20 waste disposal from rail carrier vehicles operated in intercity rail passenger

21 transportation. The district courts of the United States have original jurisdic22 tion over a civil action Amtrak brings to enforce this paragraph and may

23 grant equitable or declaratory relief requested by Amtrak.

24 (n) RAIL TRANSPORTATION TREATED EQUALLY.—When authorizing trans25 portation in the continental United States for an officer, employee, or member

26 of the uniformed services of a department, agency, or instrumentality of the

27 Government, the head of that department, agency, or instrumentality shall

28 consider rail transportation (including transportation by extra-fare trains)

29 the same as transportation by another authorized mode. The Administrator

30 of General Services shall include Amtrak in the contract air program of the

31 Administrator in markets in which transportation provided by Amtrak is

32 competitive with other carriers on fares and total trip times.

33 § 24302. Board of directors

34 (a) COMPOSITION AND TERMS.—(1) The board of directors of Amtrak is

35 composed of the following 9 directors, each of whom must be a citizen of the

36 United States:

37 (A) the Secretary of Transportation.

38 (B) the President of Amtrak.

39 (C) 3 individuals appointed by the President of the United States, by

40 and with the advice and consent of the Senate, as follows:
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1 (i) one individual selected from a list of 3 qualified individuals

2 submitted by the Railway Labor Executives Association.

3 (ii) one chief executive officer of a State selected from among the

4 chief executive officers of States with an interest in rail transpor5 tation. The chief executive officer may select an individual to act

6 as the officer’s representative at board meetings.

7 (iii) one individual selected as a representative of business with

8 an interest in rail transportation.

9 (D) 2 individuals selected by the President of the United States from

10 a list of names consisting of one individual nominated by each commuter

11 authority for which Amtrak Commuter provides commuter rail passenger

12 transportation under section 24505 of this title and one individual nom13 inated by each commuter authority in the region (as defined in section

14 102 of the Regional Rail Reorganization Act of 1973 (45 U.S.C. 702))

15 that provides its own commuter rail passenger transportation or makes

16 a contract with an operator (except Amtrak Commuter), except that—

17 (i) one of the individuals selected must have been nominated by

18 a commuter authority for which Amtrak Commuter provides com19 muter rail transportation; or

20 (ii) if Amtrak Commuter does not provide commuter rail pas21 senger transportation for any authority, the 2 individuals shall be

22 selected from a list of 5 individuals submitted by commuter authori23 ties providing transportation over rail property of Amtrak.

24 (E) 2 individuals selected by the holders of the preferred stock of Am25 trak.

26 (2) An individual appointed under paragraph (1)(C) of this subsection

27 serves for 4 years or until the individual’s successor is appointed and quali28 fied. Not more than 2 individuals appointed under paragraph (1)(C) may be

29 members of the same political party.

30 (3) An individual selected under paragraph (1)(D) of this subsection serves

31 for 2 years or until the individual’s successor is selected.

32 (4) An individual selected under paragraph (1)(E) of this subsection serves

33 for one year or until the individual’s successor is selected.

34 (5) The President of Amtrak serves as Chairman of the board.

35 (6) The Secretary may be represented at a meeting of the board only by

36 the Deputy Secretary of Transportation, the Administrator of the Federal

37 Railroad Administration, or the General Counsel of the Department of Trans38 portation.

39 (b) CUMULATIVE VOTING.—The articles of incorporation of Amtrak shall

40 provide for cumulative voting for all stockholders.
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1 (c) CONFLICTS OF INTEREST.—When serving on the board, a director ap2 pointed by the President of the United States may not have—

3 (1) a financial or employment relationship with a rail carrier; and

4 (2) a significant financial relationship or an employment relationship

5 with a person competing with Amtrak in providing passenger transpor6 tation.

7 (d) PAY AND EXPENSES.—Each director not employed by the United States

8 Government is entitled to $300 a day when performing board duties and pow9 ers. Each director is entitled to reimbursement for necessary travel, reasonable

10 secretarial and professional staff support, and subsistence expenses incurred

11 in attending board meetings.

12 (e) VACANCIES.—A vacancy on the board is filled in the same way as the

13 original selection, except that an individual appointed by the President of the

14 United States under subsection (a)(1)(C) of this section to fill a vacancy oc15 curring before the end of the term for which the predecessor of that individual

16 was appointed is appointed for the remainder of that term. A vacancy re17 quired to be filled by appointment under subsection (a)(1)(C) must be filled

18 not later than 120 days after the vacancy occurs.

19 (f) BYLAWS.—The board may adopt and amend bylaws governing the oper20 ation of Amtrak. The bylaws shall be consistent with this part and the articles

21 of incorporation.

22 § 24303. Officers

23 (a) APPOINTMENT AND TERMS.—Amtrak has a President and other officers

24 that are named and appointed by the board of directors of Amtrak. An officer

25 of Amtrak must be a citizen of the United States. Officers of Amtrak serve

26 at the pleasure of the board.

27 (b) PAY.—The board may fix the pay of the officers of Amtrak. An officer

28 may not be paid more than the general level of pay for officers of rail carriers

29 with comparable responsibility.

30 (c) CONFLICTS OF INTEREST.—When employed by Amtrak, an officer may

31 not have a financial or employment relationship with another rail carrier,

32 except that holding securities issued by a rail carrier is not deemed to be a

33 violation of this subsection if the officer holding the securities makes a com34 plete public disclosure of the holdings and does not participate in any deci35 sion directly affecting the rail carrier.

36 § 24304. Capitalization

37 (a) STOCK.—Amtrak may have outstanding one issue of common stock and

38 one issue of preferred stock. Each type of stock is eligible for a dividend. The

39 articles of incorporation of Amtrak shall provide that—

40 (1) each type of stock must be fully paid and nonassessable;

41 (2) common stock has a par value of $10 a share; and
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1 (3) preferred stock has a par value of $100 a share.

2 (b) LIMITATIONS ON OWNERSHIP AND VOTING.—(1) A rail carrier or per3 son controlling a rail carrier—

4 (A) may not hold preferred stock of Amtrak; and

5 (B) may vote not more than one-third of the total number of shares

6 of outstanding common stock of Amtrak.

7 (2) Additional common stock owned by a rail carrier or person controlling

8 a rail carrier is deemed to be not outstanding for voting and quorum pur9 poses.

10 (c) PREFERRED STOCK DIVIDENDS AND LIQUIDATION PREFERENCES.—The

11 articles of incorporation of Amtrak shall provide that—

12 (1) its preferred stock has a cumulative dividend of at least 6 percent

13 a year;

14 (2) if a dividend on the preferred stock is not declared and paid or

15 set aside for payment, the deficiency shall be declared and paid or set

16 aside for payment before a dividend or other distribution is made on its

17 common stock;

18 (3) the preferred stock has a liquidation preference over the common

19 stock entitling holders of preferred stock to receive a liquidation payment

20 of at least par value plus all accrued unpaid dividends before a liquida21 tion payment is made to holders of common stock; and

22 (4) the preferred stock may be converted to common stock.

23 (d) ISSUANCE OF PREFERRED STOCK TO SECRETARY.—(1) Not later than

24 30 days after the close of each fiscal quarter, Amtrak shall issue to the Sec25 retary of Transportation preferred stock equal, to the nearest whole share, to

26 the amount paid to Amtrak under section 24104(d) of this title during the

27 quarter.

28 (2) Preferred stock issued under this subsection or section 304(c)(1) of the

29 Rail Passenger Service Act is deemed to be issued on the date Amtrak receives

30 the amounts for which the stock is issued.

31 (3) An amendment to the articles of incorporation of Amtrak is not re32 quired for issuing preferred stock under this subsection.

33 (e) TAXES AND FEES ON PREFERRED STOCK.—A tax or fee applies to pre34 ferred stock issued under this section only if specifically prescribed by Con35 gress.

36 (f) NONVOTING CERTIFICATES OF INDEBTEDNESS.—Amtrak may issue

37 nonvoting certificates of indebtedness, except that an obligation with a liq38 uidation interest superior to preferred stock issued to the Secretary or secured

39 by a lien on property of Amtrak may be incurred when preferred stock issued

40 to the Secretary is outstanding only if the Secretary consents.
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1 (g) INSPECTION RIGHTS.—Stockholders of Amtrak have the rights of in2 specting and copying set forth in section 45(b) of the District of Columbia

3 Business Corporation Act (D.C. Code § 29–345(b)) regardless of the amount

4 of stock they hold.

5 § 24305. General authority

6 (a) ACQUISITION AND OPERATION OF EQUIPMENT AND FACILITIES.—(1)

7 Amtrak may acquire, operate, maintain, and make contracts for the operation

8 and maintenance of equipment and facilities necessary for intercity and com9 muter rail passenger transportation, the transportation of mail and express,

10 and auto-ferry transportation.

11 (2) Amtrak shall operate and control directly, to the extent practicable, all

12 aspects of the rail passenger transportation it provides.

13 (b) MAINTENANCE AND REHABILITATION.—Amtrak may maintain and re14 habilitate rail passenger equipment and shall maintain a regional mainte15 nance plan that includes—

16 (1) a review panel at the principal office of Amtrak consisting of

17 members the President of Amtrak designates;

18 (2) a systemwide inventory of spare equipment parts in each oper19 ational region;

20 (3) enough maintenance employees for cars and locomotives in each re21 gion;

22 (4) a systematic preventive maintenance program;

23 (5) periodic evaluations of maintenance costs, time lags, and parts

24 shortages and corrective actions; and

25 (6) other elements or activities Amtrak considers appropriate.

26 (c) MISCELLANEOUS AUTHORITY.—Amtrak may—

27 (1) make and carry out appropriate agreements;

28 (2) transport mail and express and shall use all feasible methods to

29 obtain the bulk mail business of the United States Postal Service;

30 (3) improve its reservation system and advertising;

31 (4) provide food and beverage services on its trains only if revenues

32 from the services each year at least equal the cost of providing the serv33 ices;

34 (5) conduct research, development, and demonstration programs relat35 ed to the mission of Amtrak; and

36 (6) buy or lease rail rolling stock and develop and demonstrate im37 proved rolling stock.

38 (d) THROUGH ROUTES AND JOINT FARES.—(1) Establishing through routes

39 and joint fares between Amtrak and other intercity rail passenger carriers

40 and motor carriers of passengers is consistent with the public interest and the
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1 transportation policy of the United States. Congress encourages establishing

2 those routes and fares.

3 (2) Amtrak may establish through routes and joint fares with any domestic

4 or international motor carrier, air carrier, or water carrier.

5 (e) RAIL POLICE.—Amtrak may employ rail police to provide security for

6 rail passengers and property of Amtrak. Rail police employed by Amtrak who

7 have complied with a State law establishing requirements applicable to rail

8 police or individuals employed in a similar position may be employed with9 out regard to the law of another State containing those requirements.

10 (f) DOMESTIC BUYING PREFERENCES.—(1) In this subsection, ‘‘United

11 States’’ means the States, territories, and possessions of the United States and

12 the District of Columbia.

13 (2) Amtrak shall buy only—

14 (A) unmanufactured articles, material, and supplies mined or pro15 duced in the United States; or

16 (B) manufactured articles, material, and supplies manufactured in the

17 United States substantially from articles, material, and supplies mined,

18 produced, or manufactured in the United States.

19 (3) Paragraph (2) of this subsection applies only when the cost of those ar20 ticles, material, or supplies bought is at least $1,000,000.

21 (4) On application of Amtrak, the Secretary of Transportation may exempt

22 Amtrak from this subsection if the Secretary decides that—

23 (A) for particular articles, material, or supplies—

24 (i) the requirements of paragraph (2) of this subsection are incon25 sistent with the public interest;

26 (ii) the cost of imposing those requirements is unreasonable; or

27 (iii) the articles, material, or supplies, or the articles, material,

28 or supplies from which they are manufactured, are not mined, pro29 duced, or manufactured in the United States in sufficient and rea30 sonably available commercial quantities and are not of a satisfac31 tory quality; or

32 (B) rolling stock or power train equipment cannot be bought and de33 livered in the United States within a reasonable time.

34 § 24306. Mail, express, and auto-ferry transportation

35 (a) ACTIONS TO INCREASE REVENUES.—Amtrak shall take necessary ac36 tion to increase its revenues from the transportation of mail and express. To

37 increase its revenues, Amtrak may provide auto-ferry transportation as part

38 of the basic passenger transportation authorized by this part. When requested

39 by Amtrak, a department, agency, or instrumentality of the United States

40 Government shall assist in carrying out this section.
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1 (b) AUTHORITY OF OTHERS TO PROVIDE AUTO-FERRY TRANSPOR2 TATION.—(1) A person primarily providing auto-ferry transportation and

3 any other person not a rail carrier may provide auto-ferry transportation

4 over any route under a certificate issued by the Interstate Commerce Commis5 sion if the Commission finds that the auto-ferry transportation—

6 (A) will not impair the ability of Amtrak to reduce its losses or in7 crease its revenues; and

8 (B) is required to meet the public demand.

9 (2) A rail carrier that has not made a contract with Amtrak to provide

10 rail passenger transportation may provide auto-ferry transportation over its

11 own rail lines.

12 (3) State and local laws and regulations that impair the provision of auto13 ferry transportation do not apply to Amtrak or a rail carrier providing auto14 ferry transportation. A rail carrier may not refuse to participate with Am15 trak in providing auto-ferry transportation because a State or local law or

16 regulation makes the transportation unlawful.

17 § 24307. Special transportation

18 (a) REDUCED FARE PROGRAM.—Amtrak shall maintain a reduced fare

19 program for the following:

20 (1) individuals at least 65 years of age.

21 (2) individuals (except alcoholics and drug abusers) who—

22 (A) have a physical or mental impairment that substantially lim23 its a major life activity of the individual;

24 (B) have a record of an impairment; or

25 (C) are regarded as having an impairment.

26 (b) ACTIONS TO ENSURE ACCESS.—Amtrak may act to ensure access to

27 intercity transportation for elderly or handicapped individuals on passenger

28 trains operated by or for Amtrak. That action may include—

29 (1) acquiring special equipment;

30 (2) conducting special training for employees;

31 (3) designing and acquiring new equipment and facilities;

32 (4) eliminating barriers in existing equipment and facilities to comply

33 with the highest standards of design, construction, and alteration of

34 property to accommodate elderly and handicapped individuals; and

35 (5) providing special assistance to elderly and handicapped individ36 uals when getting on and off trains and in terminal areas.

37 (c) EMPLOYEE TRANSPORTATION.—(1) In this subsection, ‘‘rail carrier em38 ployee’’ means—

39 (A) an active full-time employee of a rail carrier or terminal company

40 and includes an employee on furlough or leave of absence;

41 (B) a retired employee of a rail carrier or terminal company; and
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1 (C) a dependent of an employee referred to in clause (A) or (B) of

2 this paragraph.

3 (2) Amtrak shall ensure that a rail carrier employee eligible for free or re4 duced-rate rail transportation on April 30, 1971, under an agreement in ef5 fect on that date is eligible, to the greatest extent practicable, for free or re6 duced-rate intercity rail passenger transportation provided by Amtrak under

7 this part, if space is available, on terms similar to those available on that

8 date under the agreement. However, Amtrak may apply to all rail carrier em9 ployees eligible to receive free or reduced-rate transportation under any agree10 ment a single systemwide schedule of terms that Amtrak decides applied to

11 a majority of employees on that date under all those agreements. Unless Am12 trak and a rail carrier make a different agreement, the carrier shall reim13 burse Amtrak at the rate of 25 percent of the systemwide average monthly

14 yield of each revenue passenger-mile. The reimbursement is in place of costs

15 Amtrak incurs related to free or reduced-rate transportation, including liabil16 ity related to travel of a rail carrier employee eligible for free or reduced17 rate transportation.

18 (3) This subsection does not prohibit the Interstate Commerce Commission

19 from ordering retroactive relief in a proceeding begun or reopened after Octo20 ber 1, 1981.

21 § 24308. Use of facilities and providing services to Amtrak

22 (a) GENERAL AUTHORITY.—(1) Amtrak may make an agreement with a

23 rail carrier or regional transportation authority to use facilities of, and have

24 services provided by, the carrier or authority under terms on which the par25 ties agree. The terms shall include a penalty for untimely performance.

26 (2)(A) If the parties cannot agree and if the Interstate Commerce Commis27 sion finds it necessary to carry out this part, the Commission shall—

28 (i) order that the facilities be made available and the services provided

29 to Amtrak; and

30 (ii) prescribe reasonable terms and compensation for using the facili31 ties and providing the services.

32 (B) When prescribing reasonable compensation under subparagraph (A) of

33 this paragraph, the Commission shall consider quality of service as a major

34 factor when determining whether, and the extent to which, the amount of com35 pensation shall be greater than the incremental costs of using the facilities

36 and providing the services.

37 (C) The Commission shall decide the dispute not later than 90 days after

38 Amtrak submits the dispute to the Commission.

39 (3) Amtrak’s right to use the facilities or have the services provided is con40 ditioned on payment of the compensation. If the compensation is not paid
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1 promptly, the rail carrier or authority entitled to it may bring an action

2 against Amtrak to recover the amount owed.

3 (4) Amtrak shall seek immediate and appropriate legal remedies to enforce

4 its contract rights when track maintenance on a route over which Amtrak op5 erates falls below the contractual standard.

6 (b) OPERATING DURING EMERGENCIES.—To facilitate operation by Am7 trak during an emergency, the Commission, on application by Amtrak, shall

8 require a rail carrier to provide facilities immediately during the emergency.

9 The Commission then shall promptly prescribe reasonable terms, including in10 demnification of the carrier by Amtrak against personal injury risk to which

11 the carrier may be exposed. The rail carrier shall provide the facilities for

12 the duration of the emergency.

13 (c) PREFERENCE OVER FREIGHT TRANSPORTATION.—Except in an emer14 gency, intercity and commuter rail passenger transportation provided by or

15 for Amtrak has preference over freight transportation in using a rail line,

16 junction, or crossing unless the Secretary of Transportation orders otherwise

17 under this subsection. A rail carrier affected by this subsection may apply

18 to the Secretary for relief. If the Secretary, after an opportunity for a hearing

19 under section 553 of title 5, decides that preference for intercity and com20 muter rail passenger transportation materially will lessen the quality of

21 freight transportation provided to shippers, the Secretary shall establish the

22 rights of the carrier and Amtrak on reasonable terms.

23 (d) ACCELERATED SPEEDS.—If a rail carrier refuses to allow accelerated

24 speeds on trains operated by or for Amtrak, Amtrak may apply to the Sec25 retary for an order requiring the carrier to allow the accelerated speeds. The

26 Secretary shall decide whether accelerated speeds are unsafe or impracticable

27 and which improvements would be required to make accelerated speeds safe

28 and practicable. After an opportunity for a hearing, the Secretary shall estab29 lish the maximum allowable speeds of Amtrak trains on terms the Secretary

30 decides are reasonable.

31 (e) ADDITIONAL TRAINS.—(1) When a rail carrier does not agree to pro32 vide, or allow Amtrak to provide, for the operation of additional trains over

33 a rail line of the carrier, Amtrak may apply to the Secretary for an order

34 requiring the carrier to provide or allow for the operation of the requested

35 trains. After a hearing on the record, the Secretary may order the carrier,

36 within 60 days, to provide or allow for the operation of the requested trains

37 on a schedule based on legally permissible operating times. However, if the

38 Secretary decides not to hold a hearing, the Secretary, not later than 30 days

39 after receiving the application, shall publish in the Federal Register the rea40 sons for the decision not to hold the hearing.

41 (2) The Secretary shall consider—
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1 (A) when conducting a hearing, whether an order would impair un2 reasonably freight transportation of the rail carrier, with the carrier

3 having the burden of demonstrating that the additional trains will im4 pair the freight transportation; and

5 (B) when establishing scheduled running times, the statutory goal of

6 Amtrak to implement schedules that attain a system-wide average speed

7 of at least 60 miles an hour that can be adhered to with a high degree

8 of reliability and passenger comfort.

9 (3) Unless the parties have an agreement that establishes the compensation

10 Amtrak will pay the carrier for additional trains provided under an order

11 under this subsection, the Commission shall decide the dispute under sub12 section (a) of this section.

13 § 24309. Retaining and maintaining facilities

14 (a) DEFINITIONS.—In this section—

15 (1) ‘‘facility’’ means a rail line, right of way, fixed equipment, facil16 ity, or real property related to a rail line, right of way, fixed equipment,

17 or facility, including a signal system, passenger station and repair

18 tracks, a station building, a platform, and a related facility, including

19 a water, fuel, steam, electric, and air line.

20 (2) downgrading a facility means reducing a track classification as

21 specified in the Federal Railroad Administration track safety standards

22 or altering a facility so that the time required for rail passenger trans23 portation to be provided over the route on which a facility is located may

24 be increased.

25 (b) APPROVAL REQUIRED FOR DOWNGRADING OR DISPOSAL.—A facility of

26 a rail carrier or regional transportation authority that Amtrak used to pro27 vide rail passenger transportation on February 1, 1979, may be downgraded

28 or disposed of only after approval by the Secretary of Transportation under

29 this section.

30 (c) NOTIFICATION AND ANALYSIS.—(1) A rail carrier intending to down31 grade or dispose of a facility Amtrak currently is not using to provide trans32 portation shall notify Amtrak of its intention. If, not later than 60 days after

33 Amtrak receives the notice, Amtrak and the carrier do not agree to retain or

34 maintain the facility or to convey an interest in the facility to Amtrak, the

35 carrier may apply to the Secretary for approval to downgrade or dispose of

36 the facility.

37 (2) After a rail carrier notifies Amtrak of its intention to downgrade or

38 dispose of a facility, Amtrak shall survey population centers with rail pas39 senger transportation facilities to assist in preparing a valid and timely

40 analysis of the need for the facility and shall update the survey as appro41 priate. Amtrak also shall maintain a system for collecting information gath-
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1 ered in the survey. The system shall collect the information based on geo2 graphic regions and on whether the facility would be part of a short haul or

3 long haul route. The survey should facilitate an analysis of—

4 (A) ridership potential by ascertaining existing and changing travel

5 patterns that would provide maximum efficient rail passenger transpor6 tation;

7 (B) the quality of transportation of competitors or likely competitors;

8 (C) the likelihood of Amtrak offering transportation at a competitive

9 fare;

10 (D) opportunities to target advertising and fares to potential classes

11 of riders;

12 (E) economic characteristics of rail passenger transportation related to

13 the facility and the extent to which the characteristics are consistent with

14 sound economic principles of short haul or long haul rail transportation;

15 and

16 (F) the feasibility of applying effective internal cost controls to the fa17 cility and route served by the facility to improve the ratio of passenger

18 revenue to transportation expenses (excluding maintenance of tracks,

19 structures, and equipment and depreciation).

20 (d) APPROVAL OF APPLICATION AND PAYMENT OF AVOIDABLE COSTS.—(1)

21 If Amtrak does not object to an application not later than 30 days after it

22 is submitted, the Secretary shall approve the application promptly.

23 (2) If Amtrak objects to an application, the Secretary shall decide by not

24 later than 180 days after the objection those costs the rail carrier may avoid

25 if it does not have to retain or maintain a facility in the condition Amtrak

26 requests. If Amtrak does not agree by not later than 60 days after the decision

27 to pay the carrier these avoidable costs, the Secretary shall approve the appli28 cation. When deciding whether to pay a carrier the avoidable costs of retain29 ing or maintaining a facility, Amtrak shall consider—

30 (A) the potential importance of restoring rail passenger transportation

31 on the route on which the facility is located;

32 (B) the market potential of the route;

33 (C) the availability, adequacy, and energy efficiency of an alternate

34 rail line or alternate mode of transportation to provide passenger trans35 portation to or near the places that would be served by the route;

36 (D) the extent to which major population centers would be served by

37 the route;

38 (E) the extent to which providing transportation over the route would

39 encourage the expansion of an intercity rail passenger system in the

40 United States; and
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1 (F) the possibility of increased ridership on a rail line that connects

2 with the route.

3 (e) COMPLIANCE WITH OTHER OBLIGATIONS.—Downgrading or disposing

4 of a facility under this section does not relieve a rail carrier from complying

5 with its other common carrier or legal obligations related to the facility.

6 § 24310. Assistance for upgrading facilities

7 (a) TO CORRECT DANGEROUS CONDITIONS.—(1) Amtrak or the owner of

8 a facility presenting a danger to the employees, passengers, or property of

9 Amtrak may petition the Secretary of Transportation for assistance to the

10 owner for relocation or other measures undertaken after December 31, 1977,

11 to minimize or eliminate the danger.

12 (2) The Secretary shall recommend to Congress that Congress authorize

13 amounts for the relocation or other measures if the Secretary decides that—

14 (A) the facility presents a danger of death or serious injury to an em15 ployee or passenger or of serious damage to that property; and

16 (B) the owner should not be expected to bear the cost of that relocation

17 or other measures.

18 (b) TO CORRECT STATE AND LOCAL VIOLATIONS.—(1) Amtrak, by itself or

19 jointly with an owner or operator of a rail station Amtrak uses to provide

20 rail passenger transportation, may apply to the Secretary for amounts that

21 may be appropriated under paragraph (2) of this subsection to pay or reim22 burse expenses incurred after October 1, 1987, related to the station complying

23 with an official notice received before October 1, 1987, from a State or local

24 authority stating that the station violates or allegedly violates the building,

25 construction, fire, electric, sanitation, mechanical, or plumbing code.

26 (2) Not more than $1,000,000, may be appropriated to the Secretary to

27 carry out paragraph (1) of this subsection. Amounts appropriated under this

28 paragraph remain available until expended.

29 § 24311. Acquiring interests in property by eminent domain

30 (a) GENERAL AUTHORITY.—(1) To the extent financial resources are avail31 able, Amtrak may acquire by eminent domain under subsection (b) of this

32 section interests in property—

33 (A) necessary for intercity rail passenger transportation, except prop34 erty of a rail carrier, a State, a political subdivision of a State, or a

35 governmental authority; or

36 (B) requested by the Secretary of Transportation in carrying out the

37 Secretary’s duty to design and build an intermodal transportation ter38 minal at Union Station in the District of Columbia if the Secretary

39 assures Amtrak that the Secretary will reimburse Amtrak.

40 (2) Amtrak may exercise the power of eminent domain only if it cannot—

41 (A) acquire the interest in the property by contract; or
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1 (B) agree with the owner on the purchase price for the interest.

2 (b) CIVIL ACTIONS.—(1) A civil action to acquire an interest in property

3 by eminent domain under subsection (a) of this section must be brought in

4 the district court of the United States for the judicial district in which the

5 property is located or, if a single piece of property is located in more than

6 one judicial district, in any judicial district in which any piece of the prop7 erty is located. An interest is condemned and taken by Amtrak for its use

8 when a declaration of taking is filed under this subsection and an amount

9 of money estimated in the declaration to be just compensation for the interest

10 is deposited in the court. The declaration may be filed with the complaint

11 in the action or at any time before judgment. The declaration must contain

12 or be accompanied by—

13 (A) a statement of the public use for which the interest is taken;

14 (B) a description of the property sufficient to identify it;

15 (C) a statement of the interest in the property taken;

16 (D) a plan showing the interest taken; and

17 (E) a statement of the amount of money Amtrak estimates is just com18 pensation for the interest.

19 (2) When the declaration is filed and the deposit is made under paragraph

20 (1) of this subsection, title to the property vests in Amtrak in fee simple abso21 lute or in the lesser interest shown in the declaration, and the right to the

22 money vests in the person entitled to the money. When the declaration is filed,

23 the court may decide—

24 (A) the time by which, and the terms under which, possession of the

25 property is given to Amtrak; and

26 (B) the disposition of outstanding charges related to the property.

27 (3) After a hearing, the court shall make a finding on the amount that is

28 just compensation for the interest in the property and enter judgment award29 ing that amount and interest on it. The rate of interest is 6 percent a year

30 and is computed on the amount of the award less the amount deposited in

31 the court from the date of taking to the date of payment.

32 (4) On application of a party, the court may order immediate payment

33 of any part of the amount deposited in the court for the compensation to be

34 awarded. If the award is more than the amount received, the court shall enter

35 judgment against Amtrak for the deficiency.

36 (c) AUTHORITY TO CONDEMN RAIL CARRIER PROPERTY INTERESTS.—(1)

37 If Amtrak and a rail carrier cannot agree on a sale to Amtrak of an interest

38 in property of a rail carrier necessary for intercity rail passenger transpor39 tation, Amtrak may apply to the Interstate Commerce Commission for an

40 order establishing the need of Amtrak for the interest and requiring the car41 rier to convey the interest on reasonable terms, including just compensation.
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1 The need of Amtrak is deemed to be established, and the Commission, after

2 holding an expedited proceeding and not later than 120 days after receiving

3 the application, shall order the interest conveyed unless the Commission de4 cides that—

5 (A) conveyance would impair significantly the ability of the carrier

6 to carry out its obligations as a common carrier; and

7 (B) the obligations of Amtrak to provide modern, efficient, and eco8 nomical rail passenger transportation can be met adequately by acquir9 ing an interest in other property, either by sale or by exercising its right

10 of eminent domain under subsection (a) of this section.

11 (2) If the amount of compensation is not determined by the date of the

12 Commission’s order, the order shall require, as part of the compensation, in13 terest at 6 percent a year from the date prescribed for the conveyance until

14 the compensation is paid.

15 (3) Amtrak subsequently may reconvey to a third party an interest con16 veyed to Amtrak under this subsection or prior comparable provision of law

17 if the Commission decides that the reconveyance will carry out the purposes

18 of this part, regardless of when the proceeding was brought (including a pro19 ceeding pending before a United States court on November 28, 1990).

20 § 24312. Labor standards

21 (a) PREVAILING WAGES AND HEALTH AND SAFETY STANDARDS.—(1) Am22 trak shall ensure that laborers and mechanics employed by contractors and

23 subcontractors in construction work financed under an agreement made under

24 section 24308(a), 24701(a), or 24704(b)(2) of this title will be paid wages not

25 less than those prevailing on similar construction in the locality, as deter26 mined by the Secretary of Labor under the Act of March 3, 1931 (known as

27 the Davis-Bacon Act) (40 U.S.C. 276a—276a–5). Amtrak may make such an

28 agreement only after being assured that required labor standards will be

29 maintained on the construction work. Health and safety standards prescribed

30 by the Secretary under section 107 of the Contract Work Hours and Safety

31 Standards Act (40 U.S.C. 333) apply to all construction work performed

32 under such an agreement, except for construction work performed by a rail

33 carrier.

34 (2) Wage rates in a collective bargaining agreement negotiated under the

35 Railway Labor Act (45 U.S.C. 151 et seq.) are deemed to comply with the

36 Act of March 3, 1931 (known as the Davis-Bacon Act) (40 U.S.C. 276a—

37 276a–5).

38 (b) CONTRACTING OUT.—(1) Amtrak may not contract out work normally

39 performed by an employee in a bargaining unit covered by a contract between

40 a labor organization and Amtrak or a rail carrier that provided intercity rail
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1 passenger transportation on October 30, 1970, if contracting out results in

2 the layoff of an employee in the bargaining unit.

3 (2) This subsection does not apply to food and beverage services provided

4 on trains of Amtrak.

5 § 24313. Rail safety system program

6 In consultation with rail labor organizations, Amtrak shall maintain a

7 rail safety system program for employees working on property owned by Am8 trak. The program shall be a model for other rail carriers to use in developing

9 safety programs. The program shall include—

10 (1) periodic analyses of accident information, including primary and

11 secondary causes;

12 (2) periodic evaluations of the activities of the program, particularly

13 specific steps taken in response to an accident;

14 (3) periodic reports on amounts spent for occupational health and

15 safety activities of the program;

16 (4) periodic reports on reduced costs and personal injuries because of

17 accident prevention activities of the program;

18 (5) periodic reports on direct accident costs, including claims related

19 to accidents; and

20 (6) reports and evaluations of other information Amtrak considers ap21 propriate.

22 § 24314. Demonstration of new technology

23 (a) PLAN.—Amtrak shall develop a plan for demonstrating new technology

24 in rail passenger equipment. The plan shall provide that new equipment that

25 Amtrak procures that may increase train speed significantly over existing

26 rail facilities shall be demonstrated, to the extent practicable, throughout the

27 intercity rail passenger system.

28 (b) REPORT.—Not later than September 30, 1993, Amtrak shall submit to

29 the Committee on Energy and Commerce of the House of Representatives and

30 the Committee on Commerce, Science, and Transportation of the Senate a re31 port summarizing the plan developed under subsection (a) of this section, in32 cluding its goals, locations for technology demonstration, and a schedule for

33 carrying out the plan.

34 (c) COOPERATION.—To make efforts to increase train speed throughout the

35 intercity rail passenger system easier, Amtrak shall consult and cooperate, to

36 the extent feasible, on request of eligible applicants proposing a technology

37 demonstration authorized and financed under a law of the United States,

38 with those applicants.

39 § 24315. Reports and audits

40 (a) AMTRAK ANNUAL OPERATIONS REPORT.—Not later than February 15

41 of each year, Amtrak shall submit to Congress a report that—
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1 (1) for each route on which Amtrak provided intercity rail passenger

2 transportation during the prior fiscal year, includes information on—

3 (A) ridership;

4 (B) passenger-miles;

5 (C) the short-term avoidable profit or loss for each passenger-mile;

6 (D) the revenue-to-cost ratio;

7 (E) revenues;

8 (F) the United States Government subsidy;

9 (G) the subsidy not provided by the United States Government;

10 and

11 (H) on-time performance;

12 (2) provides relevant information about a decision to pay an officer

13 of Amtrak more than the rate for level I of the Executive Schedule under

14 section 5312 of title 5; and

15 (3) specifies—

16 (A) significant operational problems Amtrak identifies; and

17 (B) proposals by Amtrak to solve those problems.

18 (b) AMTRAK GENERAL AND LEGISLATIVE ANNUAL REPORT.—(1) Not later

19 than February 15 of each year, Amtrak shall submit to the President and

20 Congress a complete report of its operations, activities, and accomplishments,

21 including a statement of revenues and expenditures for the prior fiscal year.

22 The report—

23 (A) shall include a discussion and accounting of Amtrak’s success in

24 meeting the goal of section 24902(b) of this title; and

25 (B) may include recommendations for legislation, including the

26 amount of financial assistance needed for operations and capital im27 provements, the method of computing the assistance, and the sources of

28 the assistance.

29 (2) Amtrak may submit reports to the President and Congress at other

30 times Amtrak considers desirable.

31 (c) SECRETARY’S REPORT ON EFFECTIVENESS OF THIS PART.—The Sec32 retary of Transportation shall prepare a report on the effectiveness of this

33 part in meeting the requirements for a balanced transportation system in the

34 United States. The report may include recommendations for legislation. The

35 Secretary shall include this report as part of the annual report the Secretary

36 submits under section 308(a) of this title.

37 (d) INDEPENDENT AUDITS.—An independent certified public accountant

38 shall audit the financial statements of Amtrak each year. The audit shall be

39 carried out at the place at which the financial statements normally are kept

40 and under generally accepted auditing standards. A report of the audit shall

41 be included in the report required by subsection (a) of this section.
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1 (e) COMPTROLLER GENERAL AUDITS.—The Comptroller General may con2 duct performance audits of the activities and transactions of Amtrak. Each

3 audit shall be conducted at the place at which the Comptroller General decides

4 and under generally accepted management principles. The Comptroller Gen5 eral may prescribe regulations governing the audit.

6 (f) AVAILABILITY OF RECORDS AND PROPERTY OF AMTRAK AND RAIL CAR7 RIERS.—Amtrak and, if required by the Comptroller General, a rail carrier

8 with which Amtrak has made a contract for intercity rail passenger transpor9 tation shall make available for an audit under subsection (d) or (e) of this

10 section all records and property of, or used by, Amtrak or the carrier that

11 are necessary for the audit. Amtrak and the carrier shall provide facilities

12 for verifying transactions with the balances or securities held by depositories,

13 fiscal agents, and custodians. Amtrak and the carrier may keep all reports

14 and property.

15 (g) COMPTROLLER GENERAL’S REPORT TO CONGRESS.—The Comptroller

16 General shall submit to Congress a report on each audit, giving comments

17 and information necessary to inform Congress on the financial operations and

18 condition of Amtrak and recommendations related to those operations and

19 conditions. The report also shall specify any financial transaction or under20 taking the Comptroller General considers is carried out without authority of

21 law. When the Comptroller General submits a report to Congress, the Comp22 troller General shall submit a copy of it to the President, the Secretary, and

23 Amtrak at the same time.

24 CHAPTER 245—AMTRAK COMMUTER

Sec.

24501. Status and applicable laws.

24502. Board of directors.

24503. Officers.

24504. General authority.

24505. Commuter rail passenger transportation.

24506. Certain duties and powers unaffected.

25 § 24501. Status and applicable laws

26 (a) STATUS.—Amtrak Commuter—

27 (1) is a wholly-owned subsidiary of Amtrak;

28 (2) provides by contract commuter rail passenger transportation for

29 a commuter authority with which Amtrak Commuter makes a contract

30 to provide the transportation under this chapter;

31 (3) has no common carrier obligations to provide rail passenger or

32 rail freight transportation; and

33 (4) is not a department, agency, or instrumentality of the United

34 States Government.

35 (b) APPLICATION OF SAFETY AND EMPLOYEE RELATIONS LAWS AND REGU36 LATIONS.—Chapter 105 of this title does not apply to Amtrak Commuter.
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1 However, laws and regulations governing safety, employee representation for

2 collective bargaining purposes, the handling of disputes between carriers and

3 employees, employee retirement, annuity, and unemployment systems, and

4 other dealings with employees that apply to a rail carrier providing transpor5 tation subject to subchapter I of chapter 105 apply to Amtrak Commuter.

6 (c) APPLICATION OF CERTAIN ADDITIONAL LAWS.—This part and, to the

7 extent consistent with this part, the District of Columbia Business Corpora8 tion Act (D.C. Code § 29–301 et seq.) apply to Amtrak Commuter.

9 (d) NONAPPLICATION OF RATE, ROUTE, AND SERVICE LAWS.—A State or

10 other law related to rates, routes, or service in connection with rail passenger

11 transportation does not apply to Amtrak Commuter.

12 (e) PREEMPTION RELATED TO EMPLOYEE WORK REQUIREMENTS.—A State

13 may not adopt or continue in force a law, rule, regulation, order, or standard

14 requiring Amtrak Commuter to employ a specified number of individuals to

15 perform a particular task, function, or operation.

16 (f) EXEMPTION FROM ADDITIONAL TAXES.—(1) In this subsection, ‘‘addi17 tional tax’’ means a tax or fee—

18 (A) on the acquisition, improvement, ownership, or operation of per19 sonal property by Amtrak Commuter; and

20 (B) on real property, except a tax or fee on the acquisition of real

21 property or on the value of real property not attributable to improve22 ments made, or the operation of those improvements, by Amtrak Com23 muter.

24 (2) Amtrak Commuter is not required to pay an additional tax because of

25 an expenditure to acquire or improve real property, equipment, a facility, or

26 right-of-way material or structures used to provide rail passenger transpor27 tation.

28 (g) TAX EXEMPTION FOR CERTAIN COMMUTER AUTHORITIES.—A com29 muter authority with which Amtrak Commuter could have made a contract

30 to provide commuter rail passenger transportation under this chapter but

31 which decided to provide its own rail passenger transportation beginning on

32 January 1, 1983, is exempt, effective October 1, 1981, from paying a tax or

33 fee to the same extent Amtrak is exempt.

34 (h) NONAPPLICATION OF AGREEMENTS FOR FINANCIAL SUPPORT AND

35 TRACKAGE RIGHTS.—An agreement under which financial support was pro36 vided on January 2, 1974, to a commuter authority to continue rail pas37 senger transportation does not apply to Amtrak Commuter. However, Amtrak

38 and the Consolidated Rail Corporation retain appropriate trackage rights

39 over rail property owned or leased by the authority. Compensation for the

40 rights shall be reasonable.
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1 § 24502. Board of directors

2 (a) COMPOSITION.—The board of directors of Amtrak Commuter is com3 posed of the following directors:

4 (1) the President of Amtrak Commuter.

5 (2) one individual from the board of directors of Amtrak selected as

6 a representative of commuter authorities that make contracts with Am7 trak Commuter for the operation of commuter rail passenger transpor8 tation.

9 (3) 2 individuals selected by the board of directors of Amtrak.

10 (4) 2 individuals selected by commuter authorities for which Amtrak

11 Commuter provides commuter rail transportation under this chapter.

12 However, only one individual shall be selected under this clause if Am13 trak Commuter provides the transportation for only one authority.

14 (b) TERMS.—Except as otherwise provided in this section, individuals shall

15 serve for 2 years.

16 (c) CHAIRMAN.—The board shall select annually one of its members to serve

17 as Chairman.

18 (d) PAY AND EXPENSES.—Each director not employed by the United States

19 Government is entitled to $300 a day when performing board duties and pow20 ers. Each director is entitled to reimbursement for necessary travel, reasonable

21 secretarial and professional staff support, and subsistence expenses incurred

22 in attending board meetings.

23 (e) VACANCIES.—A vacancy on the board is filled in the same way as the

24 original selection.

25 (f) BYLAWS.—The board may adopt and amend bylaws governing the oper26 ation of Amtrak Commuter. The bylaws shall be consistent with this part and

27 the articles of incorporation.

28 § 24503. Officers

29 (a) APPOINTMENT AND TERMS.—Amtrak Commuter has a President and

30 other officers that are named and appointed by the board of directors of Am31 trak Commuter. An officer of Amtrak Commuter must be a citizen of the

32 United States. Officers of Amtrak Commuter serve at the pleasure of the

33 board.

34 (b) PAY.—The board may fix the pay of the officers of Amtrak Commuter.

35 An officer may be paid not more than the general level of pay for officers

36 of rail carriers with comparable responsibility.

37 (c) CONFLICTS OF INTEREST.—When employed by Amtrak Commuter, an

38 officer may not have a financial or employment relationship with a rail car39 rier, except that holding securities issued by a rail carrier is not deemed to

40 be a violation of this subsection if the officer holding the securities makes a
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1 complete public disclosure of the holdings and does not participate in any de2 cision directly affecting the rail carrier.

3 § 24504. General authority

4 (a) GENERAL.—Amtrak Commuter may—

5 (1) acquire, operate, maintain, and make contracts for the operation

6 of equipment and facilities necessary for commuter rail passenger trans7 portation;

8 (2) conduct research and development related to the mission of Amtrak

9 Commuter; and

10 (3) issue common stock to Amtrak.

11 (b) OPERATION AND CONTROL.—To the extent consistent with this part and

12 with an agreement with a commuter authority, Amtrak Commuter shall oper13 ate and control all aspects of the commuter rail passenger transportation it

14 provides.

15 (c) AGREEMENT TO AVOID DUPLICATING EMPLOYEE FUNCTIONS.—To the

16 maximum extent practicable, Amtrak Commuter and Amtrak shall make an

17 agreement that avoids duplicating employee functions and voluntarily estab18 lishes a consolidated work force.

19 § 24505. Commuter rail passenger transportation

20 (a) GENERAL AUTHORITY.—Amtrak Commuter—

21 (1) shall provide commuter rail passenger transportation that the Con22 solidated Rail Corporation was obligated to provide on August 13, 1981,

23 under section 303(b)(2) or 304(e) of the Regional Rail Reorganization

24 Act of 1973 (45 U.S.C. 743(b)(2), 744(e)); and

25 (2) may provide other commuter rail passenger transportation if the

26 commuter authority for which the transportation will be provided offers

27 to provide a commuter rail passenger transportation payment equal to

28 the—

29 (A) avoidable costs of providing the transportation (including the

30 avoidable cost of necessary capital improvements) and a reasonable

31 return on the value; less

32 (B) revenue attributable to the transportation.

33 (b) OFFER REQUIREMENTS.—(1) A commuter authority making an offer

34 under subsection (a)(2) of this section shall—

35 (A) show that it has obtained access to all rail property necessary to

36 provide the additional commuter rail passenger transportation; and

37 (B) make the offer according to regulations the Rail Services Planning

38 Office prescribes under section 10362(b)(5)(A) and (6) of this title.

39 (2) The Office may revise and update the regulations when necessary to

40 carry out this section.
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1 (c) ADDITIONAL EMPLOYEE REQUIREMENTS.—Additional employee re2 quirements shall be met through existing seniority arrangements agreed to in

3 the implementing agreement negotiated under section 508 of the Rail Pas4 senger Service Act.

5 (d) WHEN OBLIGATION DOES NOT APPLY.—Amtrak Commuter is not obli6 gated to provide commuter rail passenger transportation if a commuter au7 thority provides the transportation or makes a contract under which a person,

8 except Amtrak Commuter, will provide the transportation. When appropriate,

9 Amtrak Commuter shall give the authority or person access to the rail prop10 erty needed to provide the transportation.

11 (e) DISCONTINUANCE OF COMMUTER RAIL PASSENGER TRANSPOR12 TATION.—(1) Amtrak Commuter may discontinue commuter rail passenger

13 transportation provided under this section on 60 days’ notice if—

14 (A) a commuter authority does not offer a commuter rail passenger

15 transportation payment under subsection (a)(2) of this section; or

16 (B) a payment is not paid when due.

17 (2) The Office shall prescribe regulations on the necessary contents of the

18 notice required under this subsection.

19 (f) COMPENSATION FOR RIGHT-OF-WAY RELATED COSTS.—Compensation

20 by a commuter authority to Amtrak or Amtrak Commuter for right-of-way

21 related costs for transportation over property Amtrak owns shall be deter22 mined under a method the Interstate Commerce Commission establishes under

23 section 1163 of the Omnibus Budget Reconciliation Act of 1981 (45 U.S.C.

24 1111) or to which the parties agree.

25 (g) APPLICATION OF OTHER LAWS.—All laws related to commuter rail pas26 senger transportation apply to a commuter authority providing commuter

27 rail passenger transportation under this section.

28 § 24506. Certain duties and powers unaffected

29 This chapter does not affect a duty or power of the Consolidated Rail Cor30 poration or its successor and any bi-state commuter authority under an

31 agreement, lease, or contract under which property was conveyed to the Cor32 poration under the Regional Rail Reorganization Act of 1973 (45 U.S.C. 701

33 et seq.).

34 CHAPTER 247—AMTRAK ROUTE SYSTEM

Sec.

24701. Operation of basic system.

24702. Improving rail passenger transportation.

24703. Route and service criteria.

24704. Transportation requested by States, authorities, and other persons.

24705. Additional qualifying routes.

24706. Discontinuance.

24707. Cost and performance review.

24708. Special commuter transportation.

24709. International transportation.
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1 § 24701. Operation of basic system

2 (a) BY AMTRAK.—Amtrak shall provide intercity rail passenger transpor3 tation within the basic system unless the transportation is provided by—

4 (1) a rail carrier with which Amtrak did not make a contract under

5 section 401(a) of the Rail Passenger Service Act; or

6 (2) a regional transportation authority under contract with Amtrak.

7 (b) BY OTHERS WITH CONSENT OF AMTRAK.—Except as provided in sec8 tion 24306 of this title, a person may provide intercity rail passenger trans9 portation over a route over which Amtrak provides scheduled intercity rail

10 passenger transportation under a contract under section 401(a) of the Act

11 only with the consent of Amtrak.

12 § 24702. Improving rail passenger transportation

13 (a) PLAN TO IMPROVE TRANSPORTATION.—Amtrak shall continue to carry

14 out its plan, submitted under section 305(f) of the Rail Passenger Service Act,

15 to improve intercity rail passenger transportation provided in the basic sys16 tem. The plan shall include—

17 (1) a zero-based assessment of all operating practices;

18 (2) changes to achieve the minimum use of employees consistent with

19 safe operations and adequate transportation;

20 (3) a systematic program for achieving the greatest ratio of train size

21 to passenger demand;

22 (4) a systematic program to reduce trip time in the basic system;

23 (5) establishing training programs to achieve on-time departures;

24 (6) establishing priorities for passenger trains over freight trains;

25 (7) adjusting the buying and pricing of food and beverages so that food

26 and beverage services ultimately will be profitable;

27 (8) cooperative marketing opportunities between Amtrak and govern28 mental authorities that have intercity rail passenger transportation; and

29 (9) cooperative marketing campaigns sponsored by Amtrak and the

30 Secretary of Energy, the Administrator of the Federal Highway Admin31 istration, and the Administrator of the Environmental Protection Agen32 cy.

33 (b) STATE AND LOCAL SPEED RESTRICTIONS.—Amtrak shall—

34 (1) identify any speed restriction a State or local government imposes

35 on a train of Amtrak that Amtrak decides impedes Amtrak from achiev36 ing high-speed intercity rail passenger transportation; and

37 (2) consult with that State or local government—

38 (A) to evaluate alternatives to the speed restriction, considering

39 the local safety hazard that is the basis for the restriction; and

40 (B) to consider modifying or eliminating the restriction to allow

41 safe operation at higher speeds.
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1 (c) HIGH-SPEED RAIL TRANSPORTATION DEVELOPMENT.—On reasonable

2 request by a State, political subdivision of a State, regional partnership, pri3 vate sector representative, or other qualified person, Amtrak shall consult and

4 cooperate to the extent feasible with that person to assist the efforts of that

5 person to achieve high-speed rail transportation through equipment upgrades,

6 grade-crossing safety improvements, and incremental infrastructure improve7 ments on existing rail facilities that Amtrak uses (except the Northeast Cor8 ridor facilities). Not later than September 30, 1993, Amtrak shall submit to

9 the Committee on Energy and Commerce of the House of Representatives and

10 the Committee on Commerce, Science, and Transportation of the Senate a re11 port on its efforts under this subsection.

12 (d) ROUTES CONNECTING CORRIDORS.—Amtrak shall begin or improve ap13 propriate rail passenger transportation on a route between corridors that Am14 trak decides is justified because it will increase ridership on trains of Amtrak

15 on the route and in the connecting corridors.

16 § 24703. Route and service criteria

17 (a) ROUTE DISCONTINUANCES AND ADDITIONS.—Except as provided in

18 this part, route discontinuances and route additions shall comply with the

19 route and service criteria.

20 (b) CONGRESSIONAL REVIEW OF CRITERIA AMENDMENTS.—(1) Amtrak

21 shall submit to Congress a draft of an amendment to the route and service

22 criteria when Amtrak decides an amendment is appropriate. The amendment

23 is effective at the end of the first period of 120 calendar days of continuous

24 session of Congress after it is submitted unless there is enacted into law dur25 ing the period a joint resolution stating Congress does not approve the amend26 ment.

27 (2) In this subsection—

28 (A) a continuous session of Congress is broken only by an adjournment

29 sine die; and

30 (B) the 120-day period does not include days on which either House

31 is not in session because of adjournment of more than 3 days to a day

32 certain.

33 (c) NONAPPLICATION.—The route and service criteria do not apply to—

34 (1) increasing or, because of construction schedules or other temporary

35 disruptive facts or seasonal fluctuations in ridership, decreasing the

36 number of trains on an existing route or a part of an existing route or

37 on a route on which additional trains are being tested;

38 (2) carrying out the recommendations developed under section 4 of the

39 Amtrak Improvement Act of 1978;

40 (3) rerouting transportation between major population centers on an

41 existing route; or
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1 (4)(A) modifying transportation operations under section 24707(a) of

2 this title; and

3 (B) modifying the route system or discontinuing transportation under

4 section 24707(b) of this title.

5 § 24704. Transportation requested by States, authorities, and

6 other persons

7 (a) APPLICATIONS TO BEGIN OR KEEP TRANSPORTATION.—(1) A State, a

8 regional or local authority, or another person may apply to Amtrak and re9 quest Amtrak to provide rail passenger transportation or keep any part of

10 a train, route, or service that Amtrak intends to discontinue under section

11 24706(a) or (b) or 24707(a) or (b) of this title. An application shall—

12 (A) assure Amtrak that the State, authority, or person has sufficient

13 resources to meet its share of the cost of the transportation for the time

14 the transportation will be provided;

15 (B) contain a market analysis acceptable to Amtrak to ensure that

16 there is adequate demand for the transportation; and

17 (C) commit the State, authority, or person to provide at least 45 per18 cent of the short term avoidable loss of providing the transportation the

19 first year the transportation is provided and at least 65 percent of the

20 short term avoidable loss each of the following years, and, except as pro21 vided in section 24104(a) of this title, at least 50 percent of associated

22 capital costs each year the transportation is provided.

23 (2) An application submitted by more than one State shall be considered

24 in the same way as an application submitted by one State, without it being

25 necessary for each State to comply with paragraph (1) of this subsection.

26 (b) ACTIONS ON APPLICATIONS.—(1) Amtrak shall review each application

27 submitted under subsection (a) of this section to decide whether—

28 (A) the application complies with subsection (a); and

29 (B) there is a reasonable probability that Amtrak can provide the

30 transportation from available resources.

31 (2) Amtrak may make an agreement with an applicant under this section

32 to begin or keep the transportation if Amtrak decides that the transportation

33 can be provided with resources available to Amtrak. An agreement may be

34 renewed for additional periods of not more than 2 years each.

35 (c) SELECTING AMONG COMPETING APPLICATIONS.—If more than one ap36 plication is made for transportation consistent with the requirements of sub37 section (a) of this section, but all the transportation applied for cannot be

38 provided with the available resources of Amtrak, the board of directors of Am39 trak shall select the transportation that best serves the public interest and can

40 be provided with the available resources of Amtrak.
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1 (d) FARE INCREASES.—(1) Before increasing a fare applicable to transpor2 tation provided under subsection (b)(2) of this section by more than 5 percent

3 during a 6-month period, Amtrak shall consult with officials of each State

4 affected by the increase and explain why the increase is necessary.

5 (2) Except as provided in paragraph (3) of this subsection, a fare increase

6 described in paragraph (1) of this subsection takes effect 90 days after Amtrak

7 first consults with the affected States. However, not later than 30 days after

8 the first consultation, a State may submit proposals to Amtrak for reducing

9 costs and increasing revenues of the transportation. Amtrak shall consider the

10 proposals in deciding how much of the proposed increase shall go into effect.

11 (3)(A) Amtrak may increase a fare without regard to the restrictions of this

12 subsection during—

13 (i) the first month of a fiscal year if the authorization of appropria14 tions and the appropriations for Amtrak are not enacted at least 90 days

15 before the beginning of the fiscal year; or

16 (ii) the 30 days following enactment of an appropriation for Amtrak

17 or a rescission of an appropriation.

18 (B) Amtrak shall notify each affected State of an increase under subpara19 graph (A) of this paragraph as soon as possible after Amtrak decides to in20 crease a fare.

21 (e) DETERMINING LOSS, COSTS, AND REVENUES.—After consulting with of22 ficials of each State contributing to providing transportation under subsection

23 (b)(2) of this section, the board shall establish the basis for determining short

24 term avoidable loss and associated capital costs of, and revenues from, the

25 transportation. Amtrak shall give State officials the basis for determining the

26 loss, cost, and revenue for each route on which transportation is provided

27 under subsection (b)(2).

28 (f) AVAILABILITY OF AMOUNTS.—Amounts provided by Amtrak under an

29 agreement with an applicant under subsection (b)(2) of this section that are

30 allocated for associated capital costs remain available until expended.

31 (g) ADVERTISING AND PROMOTION.—At least 2 percent but not more than

32 5 percent of the revenue generated by transportation provided under sub33 section (b)(2) of this section shall be used for advertising and promotion at

34 the local level.

35 § 24705. Additional qualifying routes

36 (a) ROUTES RECOMMENDED FOR DISCONTINUANCE.—(1) To maintain a

37 national intercity rail passenger system in the United States and if a reduc38 tion in operating expenses can be achieved, Amtrak shall provide rail pas39 senger transportation over each route the Secretary of Transportation rec40 ommended be discontinued under section 4 of the Amtrak Improvement Act

41 of 1978 and may restructure a route to serve a major population center as
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1 an ending place or principal intermediate place. Transportation over a long

2 distance route shall be maintained if the Amtrak estimate for the fiscal year

3 ending September 30, 1980, was that the short term avoidable loss for each

4 passenger mile on the route was not more than 7 cents. Transportation over

5 a short distance route shall be maintained if the Amtrak estimate for the fis6 cal year ending September 30, 1980, was that the short term avoidable loss

7 for each passenger mile on the route was not more than 9 cents.

8 (2) For all routes, Amtrak shall calculate short term avoidable loss for each

9 passenger-mile based on consistently defined factors. Calculations shall be

10 based on the most recent available statistics for a 90-day period, except that

11 Amtrak may use historical information adjusted to reflect the most recent

12 available statistics.

13 (b) DEFERRAL OF SECRETARY’S RECOMMENDATIONS.—(1) To provide

14 equivalent or improved transportation consistent with the goals of section 4(a)

15 of the Act, Amtrak may defer carrying out a recommendation of the Secretary

16 under section 4 of the Act that requires providing transportation over a rail

17 line not used in intercity rail passenger transportation on May 24, 1979, re18 quires using a new facility, or requires making a new labor agreement, until

19 any necessary capital improvements are made in the line or facility or the

20 agreement is made.

21 (2) Notwithstanding another law and the route and service criteria, during

22 the period a decision of the Secretary under section 4 of the Act is deferred,

23 Amtrak shall provide substitute transportation over existing routes rec24 ommended for restructuring and over other existing feasible routes. Except for

25 transportation concentrating on commuter ridership over a short haul route,

26 transportation provided under this paragraph may be provided only if the

27 route complies with subsection (a) of this section, adjusted to reflect constant

28 1979 dollars.

29 (c) SHORT HAUL DEMONSTRATION ROUTES.—Notwithstanding this part,

30 Amtrak may provide short haul trains on additional routes totaling not more

31 than 200 miles that link at least 2 major metropolitan areas—

32 (1) on a demonstration basis to establish the feasibility and benefits

33 of the transportation; and

34 (2) to the extent available resources allow.

35 (d) ROUTES DISCONTINUED BY RAIL CARRIERS.—Amtrak may undertake

36 to provide rail passenger transportation between places served by a rail car37 rier filing a notice of discontinuance under section 10908 or 10909 of this

38 title.

39 § 24706. Discontinuance

40 (a) NOTICE OF DISCONTINUANCE.—(1) Except as provided in subsection (b)

41 of this section, at least 90 days before a discontinuance under section 24704
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1 or 24707(a) or (b) of this title, Amtrak shall give notice of the discontinuance

2 in the way Amtrak decides will give a State, a regional or local authority,

3 or another person the opportunity to agree to share the cost of any part of

4 the train, route, or service to be discontinued.

5 (2) Notice of the discontinuance under section 24704 or 24707(a) or (b) of

6 this title shall be posted in all stations served by the train to be discontinued

7 at least 14 days before the discontinuance.

8 (b) DISCONTINUANCE FOR LACK OF APPROPRIATIONS.—(1) Amtrak may

9 discontinue service under section 24704 or 24707(a) or (b) of this title dur10 ing—

11 (A) the first month of a fiscal year if the authorization of appropria12 tions and the appropriations for Amtrak are not enacted at least 90 days

13 before the beginning of the fiscal year; and

14 (B) the 30 days following enactment of an appropriation for Amtrak

15 or a rescission of an appropriation.

16 (2) Amtrak shall notify each affected State or regional or local transpor17 tation authority of a discontinuance under this subsection as soon as possible

18 after Amtrak decides to discontinue the service.

19 (c) EMPLOYEE PROTECTIVE ARRANGEMENTS.—(1) Amtrak or a rail carrier

20 (including a terminal company) shall provide fair and equitable arrange21 ments to protect the interests of employees of Amtrak or a rail carrier, as the

22 case may be, affected by a discontinuance of intercity rail passenger service,

23 including a discontinuance of service provided by a rail carrier under a facil24 ity or service agreement under section 24308(a) of this title under a modifica25 tion or ending of the agreement or because Amtrak begins providing that serv26 ice. Arrangements shall include—

27 (A) the preservation of rights, privileges, and benefits (including con28 tinuation of pension rights and benefits) under existing collective bar29 gaining agreements or otherwise;

30 (B) the continuation of collective bargaining rights;

31 (C) the protection of employees against a worsening of their positions

32 related to employment;

33 (D) assurances of priority of reemployment of employees whose em34 ployment is ended or who are laid off; and

35 (E) paid training and retraining programs.

36 (2) With respect to Amtrak’s obligations under this subsection and in an

37 agreement to carry out this subsection involving only Amtrak and its employ38 ees, a discontinuance of intercity rail passenger service does not include an

39 adjustment in frequency, or seasonal suspension of intercity rail passenger

40 trains that causes a temporary suspension of service, unless the adjustment
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1 or suspension reduces passenger train operations on a particular route to

2 fewer than 3 round trips a week at any time during a calendar year.

3 (3) Arrangements under this subsection shall provide benefits at least equal

4 to benefits established under section 11347 of this title.

5 (4) A contract under this chapter or section 24308(a) of this title shall

6 specify the terms of protective arrangements.

7 (5) This subsection does not impose on Amtrak an obligation of a rail car8 rier related to a right, privilege, or benefit earned by an employee because

9 of previous service performed for the carrier.

10 (6) This subsection does not apply to Amtrak Commuter.

11 § 24707. Cost and performance review

12 (a) ROUTE REVIEWS.—Amtrak shall review annually each route in the

13 basic system to decide if the route meets the long distance or short distance

14 route criterion, as appropriate, under section 24705(a)(1) of this title, ad15 justed to reflect constant 1979 dollars. The review shall include an evaluation

16 of the potential market demand for, and the cost of providing transportation

17 on, a part of the route and an alternative route. Amtrak shall submit the re18 sults of the review to the House of Representatives, the Senate, and the Sec19 retary of Transportation. If Amtrak decides that a route will not meet the

20 criterion under section 24705(a)(1), as adjusted, Amtrak shall modify or dis21 continue rail passenger transportation operations on the route so that it will

22 meet the criterion.

23 (b) FINANCIAL REQUIREMENTS AND PERFORMANCE STANDARDS.—Not later

24 than 30 days after the beginning of each fiscal year, Amtrak shall evaluate

25 the financial requirements for operating the basic system and the progress in

26 achieving the system-wide performance standards prescribed under this part

27 during the fiscal year. If Amtrak decides amounts available for the fiscal year

28 are not enough to meet estimated operating costs, or if Amtrak estimates it

29 cannot meet the performance standards, Amtrak shall act to reduce costs and

30 improve performance. Action under this subsection shall be designed to con31 tinue the maximum level of transportation practicable, including—

32 (1) changing the frequency of transportation;

33 (2) increasing fares;

34 (3) reducing the cost of sleeper car and dining car service on certain

35 routes;

36 (4) increasing the passenger capacity of cars used on certain routes;

37 and

38 (5) modifying the route system or discontinuing transportation over

39 routes, considering short term avoidable loss and the number of pas40 sengers served on those routes.
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1 (c) COST LIMITATIONS AND REVENUE GOALS.—Annual costs of Amtrak

2 may not be more than amounts, including grants made under section 24104

3 of this title, contributions of States, regional and local authorities, and other

4 persons, and revenues, available to Amtrak in the fiscal year. Amtrak annu5 ally shall set a goal of recovering an amount so that its revenues, including

6 contributions, is at least 61 percent of its costs, except capital costs.

7 (d) CONDUCTOR REPORTS.—To assess the operational performance of

8 trains, the President of Amtrak may direct the conductor on any train of Am9 trak to report to Amtrak any inadequacy of train operation. The report shall

10 be signed by the conductor, contain sufficient information to locate equipment

11 or personnel failures, and be submitted promptly to Amtrak.

12 § 24708. Special commuter transportation

13 (a) TRANSPORTATION TO BE CONTINUED IF CRITERION MET.—Amtrak

14 shall continue to provide rail passenger transportation provided under section

15 403(d) of the Rail Passenger Service Act before October 1, 1981, if, after con16 sidering estimated fare increases and State and local contributions to the

17 transportation, the transportation meets the short distance route criterion

18 under section 24705(a)(1) of this title, as adjusted. Transportation continued

19 under this section shall be financed consistent with the method of financing

20 in effect on September 30, 1981. If the transportation is not estimated to meet

21 the criterion, as adjusted, Amtrak may modify or discontinue the transpor22 tation so that the criterion is met.

23 (b) TRANSPORTATION WITH SHORT-TERM AVOIDABLE LOSS.—Notwith24 standing subsection (a) of this section, if after September 30, 1993, and before

25 October 1, 1995, transportation provided under subsection (a) on a route dur26 ing the prior 6 months has a short-term avoidable loss (excluding the cost of

27 providing passenger equipment needed to provide the transportation), Amtrak

28 may choose to consider modifying or discontinuing the transportation. If Am29 trak does make such a choice, Amtrak shall solicit public comment for at least

30 30 days on alternatives to the modification or discontinuance. Not later than

31 60 days after the comment period ends, Amtrak may modify or discontinue

32 the transportation so that there is no short-term avoidable loss under this sec33 tion for providing the transportation on the route.

34 § 24709. International transportation

35 Amtrak may develop and operate international intercity rail passenger

36 transportation between the United States and Canada and between the United

37 States and Mexico. The Secretary of the Treasury and the Attorney General,

38 in cooperation with Amtrak, shall maintain, consistent with the effective en39 forcement of the immigration and customs laws, en route customs inspection

40 and immigration procedures for international intercity rail passenger trans41 portation that will—
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1 (1) be convenient for passengers; and

2 (2) result in the quickest possible international intercity rail passenger

3 transportation.

4 CHAPTER 249—NORTHEAST CORRIDOR IMPROVEMENT

5 PROGRAM

Sec.

24901. Definitions.

24902. Goals and requirements.

24903. Program master plan for Boston-New York main line.

24904. General authority.

24905. Coordination board and safety committee.

24906. Eliminating highway at-grade crossings.

24907. Note and mortgage.

24908. Transfer taxes and levies and recording charges.

24909. Authorization of appropriations.

6 § 24901. Definitions

7 In this chapter—

8 (1) ‘‘final system plan’’ means the final system plan (including addi9 tions) adopted by the United States Railway Association under the Re10 gional Rail Reorganization Act of 1973 (45 U.S.C. 701 et seq.).

11 (2) ‘‘rail carrier’’ means an express carrier and a rail carrier as de12 fined in section 10102 of this title, including Amtrak.

13 § 24902. Goals and requirements

14 (a) NORTHEAST CORRIDOR IMPROVEMENT PLAN.—To the extent of

15 amounts appropriated under section 24909 of this title, Amtrak shall carry

16 out a Northeast Corridor improvement program to achieve the following goals:

17 (1) establish not later than September 30, 1985, regularly scheduled

18 and dependable intercity rail passenger transportation between—

19 (A) Boston, Massachusetts, and New York, New York, in not more

20 than 3 hours and 40 minutes, including intermediate stops; and

21 (B) New York, New York, and the District of Columbia, in not

22 more than 2 hours and 40 minutes, including intermediate stops;

23 (2) improve facilities, under route criteria approved by Congress, on

24 routes to Harrisburg, Pennsylvania, Albany, New York, and Atlantic

25 City, New Jersey, from the Northeast Corridor main line, and to Boston,

26 Massachusetts, and New Haven, Connecticut, from Springfield, Massa27 chusetts, to make those facilities more compatible with improved high28 speed transportation provided on the Northeast Corridor main line;

29 (3) improve nonoperational parts of stations, related facilities, and

30 fencing used in intercity rail passenger transportation;

31 (4) facilitate improvements in, and usage of, commuter rail passenger,

32 rail rapid transit, and local public transportation, to the extent compat33 ible with clauses (1)–(3) of this subsection and subsections (f) and (h)

34 of this section;
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1 (5) maintain and improve rail freight transportation in or adjacent

2 to the Northeast Corridor and through-freight transportation in the

3 Northeast Corridor, to the extent compatible with clauses (1)–(4) of this

4 subsection and subsections (f) and (h) of this section;

5 (6) continue and improve passenger radio mobile telephone service on

6 high-speed rail passenger transportation between Boston, Massachusetts,

7 and the District of Columbia, to the extent compatible with clauses (1)–

8 (3) of this subsection and subsections (f) and (h) of this section; and

9 (7) eliminate to the maximum extent practicable congestion in rail

10 freight and rail passenger transportation at the Baltimore and Potomac

11 Tunnel in Baltimore, Maryland, by rehabilitating and improving the

12 tunnel and the rail lines approaching the tunnel.

13 (b) MANAGING COSTS AND REVENUES.—Amtrak shall manage its operating

14 costs, pricing policies, and other factors with the goal of having revenues de15 rived each fiscal year from providing intercity rail passenger transportation

16 over the Northeast Corridor route between the District of Columbia and Bos17 ton, Massachusetts, equal at least the operating costs of providing that trans18 portation in that fiscal year.

19 (c) COST SHARING FOR NONOPERATIONAL FACILITIES.—(1) Fifty percent

20 of the cost of improvements under subsection (a)(3) of this section shall be

21 paid by a State, local or regional transportation authority or other respon22 sible party. However, Amtrak may finance entirely a safety-related improve23 ment.

24 (2) When a part of the cost of improvements under subsection (a)(3) of this

25 section will be paid by a responsible party under paragraph (1) of this sub26 section, Amtrak may make an agreement with the party under which Am27 trak—

28 (A) shall carry out the improvements with amounts appropriated

29 under section 24909 of this title and the party shall reimburse Amtrak;

30 and

31 (B) to the extent provided in an appropriation law, may incur obliga32 tions for contracts to carry out the improvements in anticipation of re33 imbursement.

34 (3) Amounts reimbursed to Amtrak under paragraph (2) of this subsection

35 shall be credited to the appropriation originally charged for the cost of the

36 improvements and are available for further obligation.

37 (d) PASSENGER RADIO MOBILE TELEPHONE SERVICE.—The President and

38 departments, agencies, and instrumentalities of the United States Government

39 shall assist Amtrak under subsection (a)(6) of this section, subject to the Com40 munications Act of 1934 (47 U.S.C. 151 et seq.) and radio services standards,
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1 when the Federal Communications Commission decides the assistance is in

2 the public interest, convenience, and necessity.

3 (e) PRIORITIES IN SELECTING AND SCHEDULING PROJECTS.—When select4 ing and scheduling specific projects, Amtrak shall apply the following consid5 erations, in the following order of priority:

6 (1) Safety-related items should be completed before other items because

7 the safety of the passengers and users of the Northeast Corridor is para8 mount.

9 (2) Activities that benefit the greatest number of passengers should be

10 completed before activities involving fewer passengers.

11 (3) Reliability of intercity rail passenger transportation must be em12 phasized.

13 (4) Trip-time requirements of this section must be achieved to the ex14 tent compatible with the priorities referred to in paragraphs (1)–(3) of

15 this subsection.

16 (5) Improvements that will pay for the investment by achieving lower

17 operating or maintenance costs should be carried out before other im18 provements.

19 (6) Construction operations should be scheduled so that the fewest pos20 sible passengers are inconvenienced, transportation is maintained, and

21 the on-time performance of Northeast Corridor commuter rail passenger

22 and rail freight transportation is optimized.

23 (7) Planning should focus on completing activities that will provide

24 immediate benefits to users of the Northeast Corridor.

25 (f) COMPATIBILITY WITH FUTURE IMPROVEMENTS AND PRODUCTION OF

26 MAXIMUM LABOR BENEFITS.—Improvements under this section shall be com27 patible with future improvements in transportation and shall produce the

28 maximum labor benefit from hiring individuals presently unemployed.

29 (g) AUTOMATIC TRAIN CONTROL SYSTEMS.—A train operating on the

30 Northeast Corridor main line or between the main line and Atlantic City

31 shall be equipped with an automatic train control system designed to slow

32 or stop the train in response to an external signal.

33 (h) HIGH-SPEED TRANSPORTATION.—If practicable, Amtrak shall establish

34 intercity rail passenger transportation in the Northeast Corridor that carries

35 out section 703(1)(E) of the Railroad Revitalization and Regulatory Reform

36 Act of 1976 (Public Law 94–210, 90 Stat. 121).

37 (i) EQUIPMENT DEVELOPMENT.—Amtrak shall develop economical and reli38 able equipment compatible with track, operating, and marketing characteris39 tics of the Northeast Corridor, including the capability to meet reliable trip

40 times under section 703(1)(E) of the Railroad Revitalization and Regulatory

41 Reform Act of 1976 (Public Law 94–210, 90 Stat. 121) in regularly scheduled
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1 revenue transportation in the Corridor, when the Northeast Corridor improve2 ment program is completed. Amtrak must decide that equipment complies

3 with this subsection before buying equipment with financial assistance of the

4 Government. Amtrak shall submit a request for an authorization of appro5 priations for production of the equipment.

6 (j) AGREEMENTS FOR OFF-CORRIDOR ROUTING OF RAIL FREIGHT TRANS7 PORTATION.—(1) Amtrak may make an agreement with a rail freight carrier

8 or a regional transportation authority under which the carrier will carry out

9 an alternate off-corridor routing of rail freight transportation over rail lines

10 in the Northeast Corridor between the District of Columbia and New York

11 metropolitan areas, including intermediate points. The agreement shall be for

12 at least 5 years.

13 (2) Amtrak shall apply to the Interstate Commerce Commission for ap14 proval of the agreement and all related agreements accompanying the applica15 tion as soon as the agreement is made. If the Commission finds that approval

16 is necessary to carry out this chapter, the Commission shall approve the ap17 plication and related agreements not later than 90 days after receiving the

18 application.

19 (3) If an agreement is not made under paragraph (1) of this subsection,

20 Amtrak, with the consent of the other parties, may apply to the Interstate

21 Commerce Commission. Not later than 90 days after the application, the

22 Commission shall decide on the terms of an agreement if it decides that doing

23 so is necessary to carry out this chapter. The decision of the Commission is

24 binding on the other parties.

25 (k) COORDINATION.—(1) The Secretary of Transportation shall coordi26 nate—

27 (A) transportation programs related to the Northeast Corridor to en28 sure that the programs are integrated and consistent with the Northeast

29 Corridor improvement program; and

30 (B) amounts from departments, agencies, and instrumentalities of the

31 Government to achieve urban redevelopment and revitalization in the vi32 cinity of urban rail stations in the Northeast Corridor served by inter33 city and commuter rail passenger transportation.

34 (2) If the Secretary finds significant noncompliance with this section, the

35 Secretary may deny financing to a noncomplying program until the non36 compliance is corrected.

37 (l) COMPLETION.—Amtrak shall give the highest priority to completing the

38 program.
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1 § 24903. Program master plan for Boston-New York main

2 line

3 (a) CONTENTS.—Not later than October 27, 1993, in consultation with Am4 trak and the commuter and freight rail carriers operating over the Northeast

5 Corridor main line between Boston, Massachusetts, and New York, New York,

6 the Secretary of Transportation shall submit to the Committee on Energy and

7 Commerce of the House of Representatives and the Committee on Commerce,

8 Science, and Transportation of the Senate a program master plan for a co9 ordinated program of improvements to that main line that will allow the es10 tablishment of regularly scheduled, safe, and dependable rail passenger trans11 portation between Boston, Massachusetts, and New York, New York, in not

12 more than 3 hours, including intermediate stops. The plan shall include—

13 (1) a description of the implications of the improvements for the re14 gional transportation system, including the probable effects on general

15 travel trends and on travel volumes in other transportation modes and

16 the implications for State and local governments in achieving compli17 ance with the Clean Air Act (42 U.S.C. 7401 et seq.);

18 (2) an identification of the coordinated program of improvements and

19 the specific projects of that program, including the estimated costs, sched20 ules, timing, and relationship of those projects with other projects;

21 (3) an identification of the financial responsibility for the specific

22 projects of that program and the sources of the amounts for the projects;

23 (4) an operating plan for the construction period of the improvements

24 that shows a coordinated approach to scheduling intercity and commuter

25 trains;

26 (5) an operating plan for the coordinated scheduling of intercity and

27 commuter trains for the period after the program is completed, including

28 priority scheduling, dispatching, and occupancy of tracks for appro29 priately frequent, regularly scheduled intercity rail passenger transpor30 tation between Boston, Massachusetts, and New York, New York, in not

31 more than 3 hours, including intermediate stops;

32 (6) a comprehensive plan to control future congestion in the Northeast

33 Corridor attributable to increases in intercity and commuter rail pas34 senger transportation;

35 (7) an assessment of long-term operational safety needs and a list of

36 specific projects designed to maximize operational safety; and

37 (8) comments that Amtrak submits to the Secretary on the plan.

38 (b) SUBMITTING MODIFICATIONS OF PLAN TO CONGRESS.—The Secretary

39 shall submit to Congress any modification made to the program master plan

40 and comments that Amtrak submits on the modification.
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1 § 24904. General authority

2 (a) GENERAL.—To carry out this chapter and the Regional Rail Reorga3 nization Act of 1973 (45 U.S.C. 701 et seq.), Amtrak may—

4 (1) acquire, maintain, and dispose of any interest in property used

5 to provide improved high-speed rail transportation under section 24902

6 of this title;

7 (2) acquire any interest in real property that Amtrak considers nec8 essary to carry out the goals of section 24902;

9 (3) provide for rail freight, intercity rail passenger, and commuter

10 rail passenger transportation over property acquired under this section;

11 (4) improve rail rights of way between Boston, Massachusetts, and the

12 District of Columbia (including the route through Springfield, Massachu13 setts, and routes to Harrisburg, Pennsylvania, and Albany, New York,

14 from the Northeast Corridor main line) to achieve the goals of section

15 24902 of providing improved high-speed rail passenger transportation

16 between Boston, Massachusetts, and the District of Columbia, and inter17 mediate intercity markets;

18 (5) acquire, build, improve, and install passenger stations, commu19 nications and electric power facilities and equipment, public and private

20 highway and pedestrian crossings, and other facilities and equipment

21 necessary to provide improved high-speed rail passenger transportation

22 over rights of way improved under clause (4) of this subsection;

23 (6) make agreements with other carriers and commuter authorities to

24 grant, acquire, or make arrangements for rail freight or commuter rail

25 passenger transportation over, rights of way and facilities acquired

26 under the Regional Rail Reorganization Act of 1973 (45 U.S.C. 701 et

27 seq.) and the Railroad Revitalization and Regulatory Reform Act of

28 1976 (45 U.S.C. 801 et seq.);

29 (7) appoint a general manager of the Northeast Corridor improvement

30 program; and

31 (8) make agreements with telecommunications common carriers, sub32 ject to the Communications Act of 1934 (47 U.S.C. 151 et seq.), to con33 tinue existing, and establish new and improved, passenger radio mobile

34 telephone service in the high-speed rail passenger transportation area

35 specified in section 24902(a)(1) and (2).

36 (b) COMPENSATORY AGREEMENTS.—Rail freight and commuter rail pas37 senger transportation provided under subsection (a)(3) of this section shall be

38 provided under compensatory agreements with the responsible carriers.

39 (c) COMPENSATION FOR TRANSPORTATION OVER CERTAIN RIGHTS OF WAY

40 AND FACILITIES.—(1) An agreement under subsection (a)(6) of this section

41 shall provide for reasonable reimbursement of costs but may not cross-sub-
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1 sidize intercity rail passenger, commuter rail passenger, and rail freight

2 transportation.

3 (2) If the parties do not agree, the Interstate Commerce Commission shall

4 order that the transportation continue over facilities acquired under the Re5 gional Rail Reorganization Act of 1973 (45 U.S.C. 701 et seq.) and the Rail6 road Revitalization and Regulatory Reform Act of 1976 (45 U.S.C. 801 et

7 seq.) and shall determine compensation (without allowing cross-subsidization

8 between intercity rail passenger and rail freight transportation) for the trans9 portation not later than 120 days after the dispute is submitted. The Commis10 sion shall assign to a rail freight carrier obtaining transportation under this

11 subsection the costs Amtrak incurs only for the benefit of the carrier, plus a

12 proportionate share of all other costs of providing transportation under this

13 paragraph incurred for the common benefit of Amtrak and the carrier. The

14 proportionate share shall be based on relative measures of volume of car oper15 ations, tonnage, or other factors that reasonably reflect the relative use of rail

16 property covered by this subsection.

17 (3) This subsection does not prevent the parties from making an agreement

18 under subsection (a)(6) of this section after the Commission makes a decision

19 under this subsection.

20 § 24905. Coordination board and safety committee

21 (a) NORTHEAST CORRIDOR COORDINATION BOARD.—(1) The Northeast

22 Corridor Coordination Board is composed of the following members:

23 (A) one individual from each commuter authority (as defined in sec24 tion 1135(a) of the Omnibus Budget Reconciliation Act of 1981 (45

25 U.S.C. 1104)) that provides or makes a contract to provide commuter

26 rail passenger transportation over the main line of the Northeast Cor27 ridor.

28 (B) 2 individuals selected by Amtrak.

29 (C) one individual selected by the Consolidated Rail Corporation.

30 (2) The Board shall recommend to Amtrak—

31 (A) policies that ensure equitable access to the Northeast Corridor, con32 sidering the need for equitable access by commuter and intercity rail

33 passenger transportation and the requirements of section 24308(c) of this

34 title; and

35 (B) equitable policies for the Northeast Corridor related to—

36 (i) dispatching;

37 (ii) public information;

38 (iii) maintaining equipment and facilities;

39 (iv) major capital facility investments; and

40 (v) harmonizing equipment acquisitions, rates, and schedules.
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1 (3) The Board may recommend to the board of directors and President of

2 Amtrak action necessary to resolve differences on providing transportation,

3 except for facilities and transportation matters under section 24308(a) or

4 24904(a)(5) and (c) of this title.

5 (b) NORTHEAST CORRIDOR SAFETY COMMITTEE.—(1) The Northeast Cor6 ridor Safety Committee is composed of members appointed by the Secretary

7 of Transportation. The members shall be representatives of—

8 (A) the Secretary;

9 (B) Amtrak;

10 (C) freight carriers operating more than 150,000 train miles a year

11 on the main line of the Northeast Corridor;

12 (D) commuter agencies;

13 (E) rail passengers;

14 (F) rail labor; and

15 (G) other individuals and organizations the Secretary decides have a

16 significant interest in rail safety.

17 (2) The Secretary shall consult with the Committee about safety improve18 ments on the Northeast Corridor main line. The Committee shall meet at least

19 once every 2 years to consider safety matters on the main line.

20 (3) At the beginning of the first session of each Congress, the Secretary shall

21 submit a report to Congress on the status of efforts to improve safety on the

22 Northeast Corridor main line. The report shall include the safety rec23 ommendations of the Committee and the comments of the Secretary on those

24 recommendations.

25 (4) The Committee shall cease to exist on January 1, 1999, or on another

26 date the Secretary decides is appropriate. The Secretary shall notify Congress

27 in writing of a decision to terminate the Committee on another date.

28 § 24906. Eliminating highway at-grade crossings

29 (a) PLAN.—In consultation with the States on the main line of the North30 east Corridor, the Secretary of Transportation shall develop a plan not later

31 than September 30, 1993, to eliminate all highway at-grade crossings of the

32 main line by not later than December 31, 1997. The plan may provide that

33 eliminating a crossing is not required if—

34 (1) impracticable or unnecessary; and

35 (2) using the crossing is consistent with conditions the Secretary con36 siders appropriate to ensure safety.

37 (b) AMTRAK’S SHARE OF COSTS.—Amtrak shall pay 20 percent of the cost

38 of eliminating each highway at-grade crossing under the plan.

39 § 24907. Note and mortgage

40 (a) GENERAL AUTHORITY.—To secure amounts expended by the United

41 States Government to acquire and improve rail property designated under
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1 section 206(c)(1)(C) and (D) of the Regional Rail Reorganization Act of 1973

2 (45 U.S.C. 716(c)(1)(C) and (D)), the Secretary of Transportation may ob3 tain a note of indebtedness from, and make a mortgage agreement with, Am4 trak to establish a mortgage lien on the property for the Government. The note

5 and mortgage may not supersede section 24904 of this title.

6 (b) EXEMPTIONS FROM LAWS AND REGULATIONS.—The note and agree7 ment under subsection (a) of this section, and a transaction related to the note

8 or agreement, are exempt from any United States, State, or local law or regu9 lation that regulates securities or the issuance of securities. The note, agree10 ment, or transaction under this section has the same immunities from other

11 laws that section 601 of the Act (45 U.S.C. 791) gives to transactions that

12 comply with or carry out the final system plan. The transfer of rail property

13 because of the note, agreement, or transaction has the same exemptions, privi14 leges, and immunities that the Act (45 U.S.C. 701 et seq.) gives to a transfer

15 ordered or approved by the special court under section 303(b) of the Act (45

16 U.S.C. 743(b)).

17 (c) IMMUNITY FROM LIABILITY AND INDEMNIFICATION.—Amtrak, its board

18 of directors, and its individual directors are not liable because Amtrak has

19 given or issued the note or agreement to the Government under subsection (a)

20 of this section. Immunity granted under this subsection also applies to a

21 transaction related to the note or agreement. The Government shall indemnify

22 Amtrak, its board, and individual directors against costs and expenses actu23 ally and reasonably incurred in defending a civil action testing the validity

24 of the note, agreement, or transaction.

25 § 24908. Transfer taxes and levies and recording charges

26 A transfer of an interest in rail property under this chapter is exempt from

27 a tax or levy related to the transfer that is imposed by the United States Gov28 ernment, a State, or a political subdivision of a State. On payment of the

29 appropriate and generally applicable charge for the service performed, a

30 transferee or transferor may record an instrument and, consistent with the

31 final system plan, the release or removal of a pre-existing lien or encumbrance

32 of record related to the interest transferred.

33 § 24909. Authorization of appropriations

34 (a) GENERAL.—(1) Not more than $2,313,000,000 may be appropriated to

35 the Secretary of Transportation to achieve the goals of section 24902(a)(1) of

36 this title. From this amount, the following amounts shall be expended by Am37 trak:

38 (A) at least $27,000,000 for equipment modification and replacement

39 that a State or a local or regional transportation authority must bear

40 because of the electrification conversion system of the Northeast Corridor

41 under this chapter.
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1 (B) $30,000,000—

2 (i) to improve the main line track between the Northeast Corridor

3 main line and Atlantic City, New Jersey, to ensure that the track,

4 consistent with a plan New Jersey developed in consultation with

5 Amtrak to provide rail passenger transportation between the North6 east Corridor main line and Atlantic City, New Jersey, would be

7 of sufficient quality to allow safe rail passenger transportation at

8 a minimum of 79 miles an hour not later than September 30, 1985;

9 and

10 (ii) to promote rail passenger use of the track.

11 (C) necessary amounts to—

12 (i) develop Union Station in the District of Columbia;

13 (ii) install 189 track-miles, and renew 133 track-miles, of con14 crete ties with continuously welded rail between the District of Co15 lumbia and New York, New York;

16 (iii) install reverse signaling between Philadelphia, Pennsylva17 nia, and Morrisville, Pennsylvania, on numbers 2 and 3 track;

18 (iv) restore ditch drainage in concrete tie locations between the

19 District of Columbia and New York, New York;

20 (v) undercut 83 track-miles between the District of Columbia and

21 New York, New York;

22 (vi) rehabilitate bridges between the District of Columbia and

23 New York, New York (including Hi line);

24 (vii) develop a maintenance of way equipment repair facility be25 tween the District of Columbia and New York, New York, and build

26 maintenance of way bases at Philadelphia, Pennsylvania, Sunny27 side, New York, and Cedar Hill, Connecticut;

28 (viii) stabilize the roadbed between the District of Columbia and

29 New York, New York;

30 (ix) automate the Bush River Drawbridge at milepost 72.14;

31 (x) improve the New York Service Facility to develop rolling stock

32 repair capability;

33 (xi) install a rail car washer facility at Philadelphia, Pennsylva34 nia;

35 (xii) restore storage tracks and buildings at the Washington Serv36 ice Facility;

37 (xiii) install centralized traffic control from Landlith, Delaware,

38 to Philadelphia, Pennsylvania;

39 (xiv) improve track, including high speed surfacing, ballast clean40 ing, and associated equipment repair and material distribution;
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1 (xv) rehabilitate interlockings between the District of Columbia

2 and New York, New York;

3 (xvi) paint the Connecticut River, Groton, and Pelham Bay

4 bridges;

5 (xvii) provide additional catenary renewal and power supply up6 grading between the District of Columbia and New York, New York;

7 (xviii) rehabilitate structural, electrical, and mechanical systems

8 at the 30th Street Station in Philadelphia, Pennsylvania;

9 (xix) install evacuation and fire protection facilities in tunnels

10 in New York, New York;

11 (xx) improve the communication and signal systems between Wil12 mington, Delaware, and Boston, Massachusetts, on the Northeast

13 Corridor main line, and between Philadelphia, Pennsylvania, and

14 Harrisburg, Pennsylvania, on the Harrisburg Line;

15 (xxi) improve the electric traction systems between Wilmington,

16 Delaware, and Newark, New Jersey;

17 (xxii) install baggage rack restraints, seat back guards, and seat

18 lock devices on 348 passenger cars operating in the Northeast Cor19 ridor;

20 (xxiii) install 44 event recorders and 10 electronic warning de21 vices on locomotives operating within the Northeast Corridor; and

22 (xxiv) acquire cab signal test boxes and install 9 wayside loop

23 code transmitters for use within the Northeast Corridor.

24 (2) The following additional amounts may be appropriated to the Secretary

25 for expenditure by Amtrak:

26 (A) not more than $150,000,000 to achieve the goal of section

27 24902(a)(3) of this title.

28 (B) not more than $120,000,000 to acquire interests in property in

29 the Northeast Corridor.

30 (C) not more than $650,000 to develop and use mobile radio fre31 quencies for passenger radio mobile telephone service on high-speed rail

32 passenger transportation.

33 (D) not more than $20,000,000 to acquire and improve interests in

34 rail property designated under section 206(c)(1)(D) of the Regional Rail

35 Reorganization Act of 1973 (45 U.S.C. 716(c)(1)(D)).

36 (E) not more than $37,000,000 to carry out section 24902(a)(7) and

37 (j) of this title.

38 (b) EMERGENCY MAINTENANCE.—Not more than $25,000,000 of the amount

39 appropriated under the Act of February 28, 1975 (Public Law 94–6, 89 Stat.

40 11), may be used by Amtrak for emergency maintenance on rail property des-
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1 ignated under section 206(c)(1)(C) of the Regional Rail Reorganization Act

2 of 1973 (45 U.S.C. 716(c)(1)(C)).

3 (c) PRIORITY IN USING CERTAIN AMOUNTS.—Amounts appropriated under

4 subsection (a)(2)(B) and (D) of this section shall be used first to repay, with

5 interest, obligations guaranteed under section 602 of the Rail Passenger Serv6 ice Act, if the proceeds of those obligations were used to pay the expenses of

7 acquiring interests in property referred to in subsection (a)(2)(B) and (D).

8 (d) PROHIBITION ON SUBSIDIZING COMMUTER AND FREIGHT OPERATING

9 LOSSES.—Amounts appropriated under this section may not be used to sub10 sidize operating losses of commuter rail or rail freight transportation.

11 (e) SUBSTITUTING AND DEFERRING CERTAIN IMPROVEMENTS.—(1) A

12 project for which amounts are authorized under subsection (a)(1)(C) of this

13 section is a part of the Northeast Corridor improvement program and is not

14 a substitute for improvements specified in the document ‘‘Corridor Master

15 Plan II, NECIP Restructured Program’’ of January, 1982. However, Amtrak

16 may defer the project to carry out the improvement and rehabilitation for

17 which amounts are authorized under subsection (a)(1)(B) of this section. The

18 total cost of the project that Amtrak defers may not be substantially more

19 than the amount Amtrak is required to expend or reserve under subsection

20 (a)(1)(B).

21 (2) Section 24902 of this title is deemed not to be fulfilled until the projects

22 under subsection (a)(1)(C) of this section are completed.

23 (f) AVAILABILITY OF AMOUNTS.—Amounts appropriated under subsection

24 (a)(1) and (2)(A) and (C)–(E) of this section remain available until ex25 pended.

26 (g) AUTHORIZATIONS INCREASED BY PRIOR YEAR DEFICIENCIES.—An

27 amount greater than that authorized for a fiscal year may be appropriated

28 to the extent that the amount appropriated for any prior fiscal year is less

29 than the amount authorized for that year.

30 PART D—MISCELLANEOUS

31 CHAPTER 261—LAW ENFORCEMENT

Sec.

26101. Rail police officers.

26102. Limit on certain accident or incident liability.

32 § 26101. Rail police officers

33 Under regulations prescribed by the Secretary of Transportation, a rail po34 lice officer who is employed by a rail carrier and certified or commissioned

35 as a police officer under the laws of a State may enforce the laws of any juris36 diction in which the rail carrier owns property, to the extent of the authority

37 of a police officer certified or commissioned under the laws of that jurisdic38 tion, to protect—
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1 (1) employees, passengers, or patrons of the rail carrier;

2 (2) property, equipment, and facilities owned, leased, operated, or

3 maintained by the rail carrier;

4 (3) property moving in interstate or foreign commerce in the posses5 sion of the rail carrier; and

6 (4) personnel, equipment, and material moving by rail that are vital

7 to the national defense.

8 § 26102. Limit on certain accident or incident liability

9 (a) GENERAL.—When a publicly financed commuter transportation author10 ity established under Virginia law makes a contract to indemnify Amtrak for

11 liability for operations conducted by or for the authority or to indemnify a

12 rail carrier over whose tracks those operations are conducted, liability against

13 Amtrak, the authority, or the carrier for all claims (including punitive dam14 ages) arising from an accident or incident in the District of Columbia related

15 to those operations may not be more than the limits of the liability coverage

16 the authority maintains to indemnify Amtrak or the carrier.

17 (b) MINIMUM REQUIRED LIABILITY COVERAGE.—A publicly financed com18 muter transportation authority referred to in subsection (a) of this section

19 must maintain a total minimum liability coverage of at least $200,000,000.

20 (c) EFFECTIVENESS.—This section is effective only after Amtrak or a rail

21 carrier seeking an indemnification contract under this section makes an oper22 ating agreement with a publicly financed commuter transportation authority

23 established under Virginia law to provide access to its property for revenue

24 transportation related to the operations of the authority.

25 SUBTITLE VI—MOTOR VEHICLE AND DRIVER

26 PROGRAMS

PART A—GENERAL

CHAPTER Sec.

301. MOTOR VEHICLE SAFETY ................................................................................ 30101

303. NATIONAL DRIVER REGISTER ........................................................................ 30301

305. NATIONAL AUTOMOBILE TITLE INFORMATION SYSTEM ...................... 30501

PART B—COMMERCIAL

311. COMMERCIAL MOTOR VEHICLE SAFETY .................................................... 31101

313. COMMERCIAL MOTOR VEHICLE OPERATORS ........................................... 31301

315. MOTOR CARRIER SAFETY ................................................................................ 31501

317. PARTICIPATION IN INTERNATIONAL REGISTRATION PLAN AND

INTERNATIONAL FUEL TAX AGREEMENT.

31701

PART C—INFORMATION, STANDARDS, AND REQUIREMENTS

321. GENERAL ................................................................................................................ 32101

323. CONSUMER INFORMATION ............................................................................... 32301

325. BUMPER STANDARDS ........................................................................................ 32501

327. ODOMETERS .......................................................................................................... 32701

329. AUTOMOBILE FUEL ECONOMY ....................................................................... 32901

331. THEFT PREVENTION .......................................................................................... 33101
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1 PART A—GENERAL

2 CHAPTER 301—MOTOR VEHICLE SAFETY

SUBCHAPTER I—GENERAL

Sec.

30101. Purpose and policy.

30102. Definitions.

30103. Relationship to other laws.

30104. Authorization of appropriations.

SUBCHAPTER II—STANDARDS AND COMPLIANCE

30111. Standards.

30112. Prohibitions on manufacturing, selling, and importing noncomplying motor vehicles and

equipment.

30113. General exemptions.

30114. Special exemptions.

30115. Certification of compliance.

30116. Defects and noncompliance found before sale to purchaser.

30117. Providing information to, and maintaining records on, purchasers.

30118. Notification of defects and noncompliance.

30119. Notification procedures.

30120. Remedies for defects and noncompliance.

30121. Provisional notification and civil actions to enforce.

30122. Making safety devices and elements inoperative.

30123. Tires.

30124. Buzzers indicating nonuse of safety belts.

30125. Schoolbuses and schoolbus equipment.

30126. Used motor vehicles.

30127. Automatic occupant crash protection and seat belt use.

SUBCHAPTER III—IMPORTING NONCOMPLYING MOTOR VEHICLES AND

EQUIPMENT

30141. Importing motor vehicles capable of complying with standards.

30142. Importing motor vehicles for personal use.

30143. Motor vehicles imported by individuals employed outside the United States.

30144. Importing motor vehicles on a temporary basis.

30145. Importing motor vehicles or equipment requiring further manufacturing.

30146. Release of motor vehicles and bonds.

30147. Responsibility for defects and noncompliance.

SUBCHAPTER IV—ENFORCEMENT AND ADMINISTRATIVE

30161. Judicial review of standards.

30162. Petitions by interested persons for standards and enforcement.

30163. Actions by the Attorney General.

30164. Service of process.

30165. Civil penalty.

30166. Inspections, investigations, and records.

30167. Disclosure of information by the Secretary of Transportation.

30168. Research, testing, development, and training.

30169. Annual reports.

3 SUBCHAPTER I—GENERAL

4 § 30101. Purpose and policy

5 The purpose of this chapter is to reduce traffic accidents and deaths and

6 injuries resulting from traffic accidents. Therefore it is necessary—

7 (1) to prescribe motor vehicle safety standards for motor vehicles and

8 motor vehicle equipment in interstate commerce; and

9 (2) to carry out needed safety research and development.

10 § 30102. Definitions

11 (a) GENERAL DEFINITIONS.—In this chapter—
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1 (1) ‘‘dealer’’ means a person selling and distributing new motor vehi2 cles or motor vehicle equipment primarily to purchasers that in good

3 faith purchase the vehicles or equipment other than for resale.

4 (2) ‘‘defect’’ includes any defect in performance, construction, a com5 ponent, or material of a motor vehicle or motor vehicle equipment.

6 (3) ‘‘distributor’’ means a person primarily selling and distributing

7 motor vehicles or motor vehicle equipment for resale.

8 (4) ‘‘interstate commerce’’ means commerce between a place in a State

9 and a place in another State or between places in the same State through

10 another State.

11 (5) ‘‘manufacturer’’ means a person—

12 (A) manufacturing or assembling motor vehicles or motor vehicle

13 equipment; or

14 (B) importing motor vehicles or motor vehicle equipment for re15 sale.

16 (6) ‘‘motor vehicle’’ means a vehicle driven or drawn by mechanical

17 power and manufactured primarily for use on public streets, roads, and

18 highways, but does not include a vehicle operated only on a rail line.

19 (7) ‘‘motor vehicle equipment’’ means—

20 (A) any system, part, or component of a motor vehicle as origi21 nally manufactured;

22 (B) any similar part or component manufactured or sold for re23 placement or improvement of a system, part, or component, or as

24 an accessory or addition to a motor vehicle; or

25 (C) any device or an article or apparel (except medicine or eye26 glasses prescribed by a licensed practitioner) that is not a system,

27 part, or component of a motor vehicle and is manufactured, sold,

28 delivered, offered, or intended to be used only to safeguard motor ve29 hicles and highway users against risk of accident, injury, or death.

30 (8) ‘‘motor vehicle safety’’ means the performance of a motor vehicle

31 or motor vehicle equipment in a way that protects the public against un32 reasonable risk of accidents occurring because of the design, construction,

33 or performance of a motor vehicle, and against unreasonable risk of

34 death or injury in an accident, and includes nonoperational safety of a

35 motor vehicle.

36 (9) ‘‘motor vehicle safety standard’’ means a minimum standard for

37 motor vehicle or motor vehicle equipment performance.

38 (10) ‘‘State’’ means a State of the United States, the District of Co39 lumbia, Puerto Rico, the Northern Mariana Islands, Guam, American

40 Samoa, and the Virgin Islands.
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1 (11) ‘‘United States district court’’ means a district court of the Unit2 ed States, a United States court for Guam, the Virgin Islands, and

3 American Samoa, and the district court for the Northern Mariana Is4 lands.

5 (b) LIMITED DEFINITIONS.—(1) In sections 30117(b), 30118–30121, and

6 30166(f) of this title—

7 (A) ‘‘adequate repair’’ does not include repair resulting in substan8 tially impaired operation of a motor vehicle or motor vehicle equipment;

9 (B) ‘‘first purchaser’’ means the first purchaser of a motor vehicle or

10 motor vehicle equipment other than for resale;

11 (C) ‘‘original equipment’’ means motor vehicle equipment (including

12 a tire) installed in or on a motor vehicle at the time of delivery to the

13 first purchaser;

14 (D) ‘‘replacement equipment’’ means motor vehicle equipment (includ15 ing a tire) that is not original equipment;

16 (E) a brand name owner of a tire marketed under a brand name not

17 owned by the manufacturer of the tire is deemed to be the manufacturer

18 of the tire;

19 (F) a defect in original equipment, or noncompliance of original

20 equipment with a motor vehicle safety standard prescribed under this

21 chapter, is deemed to be a defect or noncompliance of the motor vehicle

22 in or on which the equipment was installed at the time of delivery to

23 the first purchaser;

24 (G) a manufacturer of a motor vehicle in or on which original equip25 ment was installed when delivered to the first purchaser is deemed to be

26 the manufacturer of the equipment; and

27 (H) a retreader of a tire is deemed to be the manufacturer of the tire.

28 (2) The Secretary of Transportation may prescribe regulations changing

29 paragraph (1)(C), (D), (F), or (G) of this subsection.

30 § 30103. Relationship to other laws

31 (a) UNIFORMITY OF REGULATIONS.—The Secretary of Transportation may

32 not prescribe a safety regulation related to a motor vehicle subject to sub33 chapter II of chapter 105 of this title that differs from a motor vehicle safety

34 standard prescribed under this chapter. However, the Secretary may pre35 scribe, for a motor vehicle operated by a carrier subject to subchapter II of

36 chapter 105, a safety regulation that imposes a higher standard of perform37 ance after manufacture than that required by an applicable standard in effect

38 at the time of manufacture.

39 (b) PREEMPTION.—(1) When a motor vehicle safety standard is in effect

40 under this chapter, a State or a political subdivision of a State may prescribe

41 or continue in effect a standard applicable to the same aspect of performance
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1 of a motor vehicle or motor vehicle equipment only if the standard is identical

2 to the standard prescribed under this chapter. However, the United States

3 Government, a State, or a political subdivision of a State may prescribe a

4 standard for a motor vehicle or motor vehicle equipment obtained for its own

5 use that imposes a higher performance requirement than that required by the

6 otherwise applicable standard under this chapter.

7 (2) A State may enforce a standard that is identical to a standard pre8 scribed under this chapter.

9 (c) ANTITRUST LAWS.—This chapter does not—

10 (1) exempt from the antitrust laws conduct that is unlawful under

11 those laws; or

12 (2) prohibit under the antitrust laws conduct that is lawful under

13 those laws.

14 (d) WARRANTY OBLIGATIONS AND ADDITIONAL LEGAL RIGHTS AND REM15 EDIES.—Sections 30117(b), 30118–30121, 30166(f), and 30167(a) and (b) of

16 this title do not establish or affect a warranty obligation under a law of the

17 United States or a State. A remedy under those sections and sections 30161

18 and 30162 of this title is in addition to other rights and remedies under other

19 laws of the United States or a State.

20 (e) COMMON LAW LIABILITY.—Compliance with a motor vehicle safety

21 standard prescribed under this chapter does not exempt a person from liabil22 ity at common law.

23 § 30104. Authorization of appropriations

24 The following amounts may be appropriated to the Secretary of Transpor25 tation for the National Highway Traffic Safety Administration to carry out

26 this chapter:

27 (1) $71,333,436 for the fiscal year ending September 30, 1993.

28 (2) $74,044,106 for the fiscal year ending September 30, 1994.

29 (3) $76,857,782 for the fiscal year ending September 30, 1995.

30 SUBCHAPTER II—STANDARDS AND COMPLIANCE

31 § 30111. Standards

32 (a) GENERAL REQUIREMENTS.—The Secretary of Transportation shall pre33 scribe motor vehicle safety standards. Each standard shall be practicable, meet

34 the need for motor vehicle safety, and be stated in objective terms.

35 (b) CONSIDERATIONS AND CONSULTATION.—When prescribing a motor ve36 hicle safety standard under this chapter, the Secretary shall—

37 (1) consider relevant available motor vehicle safety information;

38 (2) consult with the agency established under the Act of August 20,

39 1958 (Public Law 85–684, 72 Stat. 635), and other appropriate State

40 or interstate authorities (including legislative committees);
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1 (3) consider whether a proposed standard is reasonable, practicable,

2 and appropriate for the particular type of motor vehicle or motor vehicle

3 equipment for which it is prescribed; and

4 (4) consider the extent to which the standard will carry out section

5 30101 of this title.

6 (c) COOPERATION.—The Secretary may advise, assist, and cooperate with

7 departments, agencies, and instrumentalities of the United States Govern8 ment, States, and other public and private agencies in developing motor vehi9 cle safety standards.

10 (d) EFFECTIVE DATES OF STANDARDS.—The Secretary shall specify the ef11 fective date of a motor vehicle safety standard prescribed under this chapter

12 in the order prescribing the standard. A standard may not become effective

13 before the 180th day after the standard is prescribed or later than one year

14 after it is prescribed. However, the Secretary may prescribe a different effec15 tive date after finding, for good cause shown, that a different effective date

16 is in the public interest and publishing the reasons for the finding.

17 (e) 5-YEAR PLAN FOR TESTING STANDARDS.—The Secretary shall establish

18 and periodically review and update on a continuing basis a 5-year plan for

19 testing motor vehicle safety standards prescribed under this chapter that the

20 Secretary considers capable of being tested. In developing the plan and estab21 lishing testing priorities, the Secretary shall consider factors the Secretary

22 considers appropriate, consistent with section 30101 of this title and the Sec23 retary’s other duties and powers under this chapter. The Secretary may

24 change at any time those priorities to address matters the Secretary considers

25 of greater priority. The initial plan may be the 5-year plan for compliance

26 testing in effect on December 18, 1991.

27 § 30112. Prohibitions on manufacturing, selling, and import28 ing noncomplying motor vehicles and equipment

29 (a) GENERAL.—Except as provided in this section, sections 30113 and

30 30114 of this title, and subchapter III of this chapter, a person may not man31 ufacture for sale, sell, offer for sale, introduce or deliver for introduction in

32 interstate commerce, or import into the United States, any motor vehicle or

33 motor vehicle equipment manufactured on or after the date an applicable

34 motor vehicle safety standard prescribed under this chapter takes effect unless

35 the vehicle or equipment complies with the standard and is covered by a cer36 tification issued under section 30115 of this title.

37 (b) NONAPPLICATION.—This section does not apply to—

38 (1) the sale, offer for sale, or introduction or delivery for introduction

39 in interstate commerce of a motor vehicle or motor vehicle equipment

40 after the first purchase of the vehicle or equipment in good faith other

41 than for resale;
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1 (2) a person—

2 (A) establishing that the person had no reason to know, despite

3 exercising reasonable care, that a motor vehicle or motor vehicle

4 equipment does not comply with applicable motor vehicle safety

5 standards prescribed under this chapter; or

6 (B) holding, without knowing about the noncompliance and before

7 the vehicle or equipment is first purchased in good faith other than

8 for resale, a certificate issued by a manufacturer or importer stating

9 the vehicle or equipment complies with applicable standards pre10 scribed under this chapter;

11 (3) a motor vehicle or motor vehicle equipment intended only for ex12 port, labeled for export on the vehicle or equipment and on the outside

13 of any container of the vehicle or equipment, and exported;

14 (4) a motor vehicle the Secretary of Transportation decides under sec15 tion 30141 of this title is capable of complying with applicable standards

16 prescribed under this chapter;

17 (5) a motor vehicle imported for personal use by an individual who

18 receives an exemption under section 30142 of this title;

19 (6) a motor vehicle under section 30143 of this title imported by an

20 individual employed outside the United States;

21 (7) a motor vehicle under section 30144 of this title imported on a

22 temporary basis;

23 (8) a motor vehicle or item of motor vehicle equipment under section

24 30145 of this title requiring further manufacturing; or

25 (9) a motor vehicle that is at least 25 years old.

26 § 30113. General exemptions

27 (a) DEFINITION.—In this section, ‘‘low-emission motor vehicle’’ means a

28 motor vehicle meeting the standards for new motor vehicles applicable to the

29 vehicle under section 202 of the Clean Air Act (42 U.S.C. 7521) when the ve30 hicle is manufactured and emitting an air pollutant in an amount signifi31 cantly below one of those standards.

32 (b) AUTHORITY TO EXEMPT AND PROCEDURES.—(1) The Secretary of

33 Transportation may exempt, on a temporary basis, motor vehicles from a

34 motor vehicle safety standard prescribed under this chapter on terms the Sec35 retary considers appropriate. An exemption may be renewed. A renewal may

36 be granted only on reapplication and must conform to the requirements of

37 this subsection.

38 (2) The Secretary may begin a proceeding under this subsection when a

39 manufacturer applies for an exemption or a renewal of an exemption. The

40 Secretary shall publish notice of the application and provide an opportunity

41 to comment. An application for an exemption or for a renewal of an exemp-
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1 tion shall be filed at a time and in the way, and contain information, this

2 section and the Secretary require.

3 (3) The Secretary may act under this subsection on finding that—

4 (A) an exemption is consistent with the public interest and this chap5 ter; and

6 (B)(i) compliance with the standard would cause substantial economic

7 hardship to a manufacturer that has tried to comply with the standard

8 in good faith;

9 (ii) the exemption would make easier the development or field evalua10 tion of a new motor vehicle safety feature providing a safety level at least

11 equal to the safety level of the standard;

12 (iii) the exemption would make the development or field evaluation of

13 a low-emission motor vehicle easier and would not unreasonably lower

14 the safety level of that vehicle; or

15 (iv) compliance with the standard would prevent the manufacturer

16 from selling a motor vehicle with an overall safety level at least equal

17 to the overall safety level of nonexempt vehicles.

18 (c) CONTENTS OF APPLICATIONS.—A manufacturer applying for an exemp19 tion under subsection (b) of this section shall include the following informa20 tion in the application:

21 (1) if the application is made under subsection (b)(3)(B)(i) of this sec22 tion, a complete financial statement describing the economic hardship

23 and a complete description of the manufacturer’s good faith effort to

24 comply with each motor vehicle safety standard prescribed under this

25 chapter from which the manufacturer is requesting an exemption.

26 (2) if the application is made under subsection (b)(3)(B)(ii) of this

27 section, a record of the research, development, and testing establishing the

28 innovative nature of the safety feature and a detailed analysis establish29 ing that the safety level of the feature at least equals the safety level of

30 the standard.

31 (3) if the application is made under subsection (b)(3)(B)(iii) of this

32 section, a record of the research, development, and testing establishing

33 that the motor vehicle is a low-emission motor vehicle and that the safety

34 level of the vehicle is not lowered unreasonably by exemption from the

35 standard.

36 (4) if the application is made under subsection (b)(3)(B)(iv) of this

37 section, a detailed analysis showing how the vehicle provides an overall

38 safety level at least equal to the overall safety level of nonexempt vehicles.

39 (d) ELIGIBILITY.—A manufacturer is eligible for an exemption under sub40 section (b)(3)(B)(i) of this section only if the Secretary determines that the

41 manufacturer’s total motor vehicle production in the most recent year of pro-
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1 duction is not more than 10,000. A manufacturer is eligible for an exemption

2 under subsection (b)(3)(B)(ii), (iii), or (iv) of this section only if the Sec3 retary determines the exemption is for not more than 2,500 vehicles to be sold

4 in the United States in any 12-month period.

5 (e) MAXIMUM PERIOD.—An exemption or renewal under subsection

6 (b)(3)(B)(i) of this section may be granted for not more than 3 years. An ex7 emption or renewal under subsection (b)(3)(B)(ii), (iii), or (iv) of this section

8 may be granted for not more than 2 years.

9 (f) DISCLOSURE.—The Secretary may make public, by the 10th day after

10 an application is filed, information contained in the application or relevant

11 to the application unless the information concerns or is related to a trade se12 cret or other confidential information not relevant to the application.

13 (g) NOTICE OF DECISION.—The Secretary shall publish in the Federal Reg14 ister a notice of each decision granting an exemption under this section and

15 the reasons for granting it.

16 (h) PERMANENT LABEL REQUIREMENT.—The Secretary shall require a per17 manent label to be fixed to a motor vehicle granted an exemption under this

18 section. The label shall either name or describe each motor vehicle safety

19 standard prescribed under this chapter from which the vehicle is exempt. The

20 Secretary may require that written notice of an exemption be delivered by

21 appropriate means to the dealer and the first purchaser of the vehicle other

22 than for resale.

23 § 30114. Special exemptions

24 The Secretary of Transportation may exempt a motor vehicle or item of

25 motor vehicle equipment from section 30112(a) of this title on terms the Sec26 retary decides are necessary for research, investigations, demonstrations,

27 training, or competitive racing events.

28 § 30115. Certification of compliance

29 A manufacturer or distributor of a motor vehicle or motor vehicle equip30 ment shall certify to the distributor or dealer at delivery that the vehicle or

31 equipment complies with applicable motor vehicle safety standards prescribed

32 under this chapter. A person may not issue the certificate if, in exercising

33 reasonable care, the person has reason to know the certificate is false or mis34 leading in a material respect. Certification of a vehicle must be shown by a

35 label or tag permanently fixed to the vehicle. Certification of equipment may

36 be shown by a label or tag on the equipment or on the outside of the container

37 in which the equipment is delivered.

38 § 30116. Defects and noncompliance found before sale to

39 purchaser

40 (a) ACTIONS REQUIRED OF MANUFACTURERS AND DISTRIBUTORS.—If,

41 after a manufacturer or distributor sells a motor vehicle or motor vehicle
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1 equipment to a distributor or dealer and before the distributor or dealer sells

2 the vehicle or equipment, it is decided that the vehicle or equipment contains

3 a defect related to motor vehicle safety or does not comply with applicable

4 motor vehicle safety standards prescribed under this chapter—

5 (1) the manufacturer or distributor immediately shall repurchase the

6 vehicle or equipment at the price paid by the distributor or dealer, plus

7 transportation charges and reasonable reimbursement of at least one per8 cent a month of the price paid prorated from the date of notice of non9 compliance or defect to the date of repurchase; or

10 (2) if a vehicle, the manufacturer or distributor immediately shall give

11 to the distributor or dealer at the manufacturer’s or distributor’s own ex12 pense, the part or equipment needed to make the vehicle comply with the

13 standards or correct the defect.

14 (b) DISTRIBUTOR OR DEALER INSTALLATION.—The distributor or dealer

15 shall install the part or equipment referred to in subsection (a)(2) of this sec16 tion. If the distributor or dealer installs the part or equipment with reason17 able diligence after it is received, the manufacturer shall reimburse the dis18 tributor or dealer for the reasonable value of the installation and a reasonable

19 reimbursement of at least one percent a month of the manufacturer’s or dis20 tributor’s selling price prorated from the date of notice of noncompliance or

21 defect to the date the motor vehicle complies with applicable motor vehicle

22 safety standards prescribed under this chapter or the defect is corrected.

23 (c) ESTABLISHING AMOUNT DUE AND CIVIL ACTIONS.—The parties shall

24 establish the value of installation and the amount of reimbursement under

25 this section. If the parties do not agree, or if a manufacturer or distributor

26 refuses to comply with subsection (a) or (b) of this section, the distributor or

27 dealer purchasing the motor vehicle or motor vehicle equipment may bring

28 a civil action. The action may be brought in a United States district court

29 for the judicial district in which the manufacturer or distributor resides, is

30 found, or has an agent, to recover damages, court costs, and a reasonable at31 torney’s fee. An action under this section must be brought not later than 3

32 years after the claim accrues.

33 § 30117. Providing information to, and maintaining records

34 on, purchasers

35 (a) PROVIDING INFORMATION AND NOTICE.—The Secretary of Transpor36 tation may require that each manufacturer of a motor vehicle or motor vehicle

37 equipment provide technical information related to performance and safety

38 required to carry out this chapter. The Secretary may require the manufac39 turer to give the following notice of that information when the Secretary de40 cides it is necessary:
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1 (1) to each prospective purchaser of a vehicle or equipment before the

2 first sale other than for resale at each location at which the vehicle or

3 equipment is offered for sale by a person having a legal relationship with

4 the manufacturer, in a way the Secretary decides is appropriate.

5 (2) to the first purchaser of a vehicle or equipment other than for re6 sale when the vehicle or equipment is bought, in printed matter placed

7 in the vehicle or attached to or accompanying the equipment.

8 (b) MAINTAINING PURCHASER RECORDS AND PROCEDURES.—(1) A manu9 facturer of a motor vehicle or tire (except a retreaded tire) shall cause to be

10 maintained a record of the name and address of the first purchaser of each

11 vehicle or tire it produces and, to the extent prescribed by regulations of the

12 Secretary, shall cause to be maintained a record of the name and address of

13 the first purchaser of replacement equipment (except a tire) that the manufac14 turer produces. The Secretary may prescribe by regulation the records to be

15 maintained and reasonable procedures for maintaining the records under this

16 subsection, including procedures to be followed by distributors and dealers to

17 assist the manufacturer in obtaining the information required by this sub18 section. A procedure shall be reasonable for the type of vehicle or tire involved,

19 and shall provide reasonable assurance that a customer list of a distributor

20 or dealer, or similar information, will be made available to a person (except

21 the distributor or dealer) only when necessary to carry out this subsection and

22 sections 30118–30121, 30166(f), and 30167(a) and (b) of this title. Availabil23 ity of assistance from a distributor or dealer does not affect an obligation of

24 a manufacturer under this subsection.

25 (2)(A) Except as provided in paragraph (3) of this subsection, the Sec26 retary may require a distributor or dealer to maintain a record under para27 graph (1) of this subsection only if the business of the distributor or dealer

28 is owned or controlled by a manufacturer of tires.

29 (B) The Secretary shall require each distributor and dealer whose business

30 is not owned or controlled by a manufacturer of tires to give a registration

31 form (containing the tire identification number) to the first purchaser of a

32 tire. The Secretary shall prescribe the form, which shall be standardized for

33 all tires and designed to allow the purchaser to complete and return it di34 rectly to the manufacturer of the tire. The manufacturer shall give sufficient

35 copies of forms to distributors and dealers.

36 (3)(A) The Secretary shall evaluate from time to time how successful the

37 procedures under paragraph (2) of this subsection have been in helping to

38 maintain records about first purchasers of tires. After each evaluation, the

39 Secretary shall decide—

40 (i) the extent to which distributors and dealers have complied with the

41 procedures;
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1 (ii) the extent to which distributors and dealers have encouraged first

2 purchasers of tires to register the tires; and

3 (iii) whether to prescribe for manufacturers, distributors, or dealers

4 other requirements that the Secretary decides will increase significantly

5 the percentage of first purchasers of tires about whom records are main6 tained.

7 (B) The Secretary may prescribe a requirement under subparagraph (A)

8 of this paragraph only if the Secretary decides it is necessary to reduce the

9 risk to motor vehicle safety, after considering—

10 (i) the cost of the requirement to manufacturers and the burden of the

11 requirement on distributors and dealers, compared to the increase in the

12 percentage of first purchasers of tires about whom records would be

13 maintained as a result of the requirement;

14 (ii) the extent to which distributors and dealers have complied with

15 the procedures in paragraph (2) of this subsection; and

16 (iii) the extent to which distributors and dealers have encouraged first

17 purchasers of tires to register the tires.

18 (C) A manufacturer of tires shall reimburse distributors and dealers of that

19 manufacturer’s tires for all reasonable costs incurred by the distributors and

20 dealers in complying with a requirement prescribed by the Secretary under

21 subparagraph (A) of this paragraph.

22 (D) After making a decision under subparagraph (A) of this paragraph,

23 the Secretary shall submit to each House of Congress a report containing a

24 detailed statement of the decision and an explanation of the reasons for the

25 decision.

26 § 30118. Notification of defects and noncompliance

27 (a) NOTIFICATION BY SECRETARY.—The Secretary of Transportation shall

28 notify the manufacturer of a motor vehicle or replacement equipment imme29 diately after making an initial decision (through testing, inspection, inves30 tigation, or research carried out under this chapter, examining communica31 tions under section 30166(f) of this title, or otherwise) that the vehicle or

32 equipment contains a defect related to motor vehicle safety or does not comply

33 with an applicable motor vehicle safety standard prescribed under this chap34 ter. The notification shall include the information on which the decision is

35 based. The Secretary shall publish a notice of each decision under this sub36 section in the Federal Register. Subject to section 30167(a) of this title, the

37 notification and information are available to any interested person.

38 (b) DEFECT AND NONCOMPLIANCE PROCEEDINGS AND ORDERS.—(1) The

39 Secretary may make a final decision that a motor vehicle or replacement

40 equipment contains a defect related to motor vehicle safety or does not comply

41 with an applicable motor vehicle safety standard prescribed under this chap-
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1 ter only after giving the manufacturer an opportunity to present information,

2 views, and arguments showing that there is no defect or noncompliance or

3 that the defect does not affect motor vehicle safety. Any interested person also

4 shall be given an opportunity to present information, views, and arguments.

5 (2) If the Secretary decides under paragraph (1) of this subsection that the

6 vehicle or equipment contains the defect or does not comply, the Secretary

7 shall order the manufacturer to—

8 (A) give notification under section 30119 of this title to the owners,

9 purchasers, and dealers of the vehicle or equipment of the defect or non10 compliance; and

11 (B) remedy the defect or noncompliance under section 30120 of this

12 title.

13 (c) NOTIFICATION BY MANUFACTURER.—A manufacturer of a motor vehicle

14 or replacement equipment shall notify the Secretary by certified mail, and the

15 owners, purchasers, and dealers of the vehicle or equipment as provided in

16 section 30119(d) of this section, if the manufacturer—

17 (1) learns the vehicle or equipment contains a defect and decides in

18 good faith that the defect is related to motor vehicle safety; or

19 (2) decides in good faith that the vehicle or equipment does not comply

20 with an applicable motor vehicle safety standard prescribed under this

21 chapter.

22 (d) EXEMPTIONS.—On application of a manufacturer, the Secretary shall

23 exempt the manufacturer from this section if the Secretary decides a defect

24 or noncompliance is inconsequential to motor vehicle safety. The Secretary

25 may take action under this subsection only after notice in the Federal Reg26 ister and an opportunity for any interested person to present information,

27 views, and arguments.

28 (e) HEARINGS ABOUT MEETING NOTIFICATION REQUIREMENTS.—On the

29 motion of the Secretary or on petition of any interested person, the Secretary

30 may conduct a hearing to decide whether the manufacturer has reasonably

31 met the notification requirements under this section. Any interested person

32 may make written and oral presentations of information, views, and argu33 ments on whether the manufacturer has reasonably met the notification re34 quirements. If the Secretary decides that the manufacturer has not reasonably

35 met the notification requirements, the Secretary shall order the manufacturer

36 to take specified action to meet those requirements and may take any other

37 action authorized under this chapter.

38 § 30119. Notification procedures

39 (a) CONTENTS OF NOTIFICATION.—Notification by a manufacturer required

40 under section 30118 of this title of a defect or noncompliance shall contain—

41 (1) a clear description of the defect or noncompliance;
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1 (2) an evaluation of the risk to motor vehicle safety reasonably related

2 to the defect or noncompliance;

3 (3) the measures to be taken to obtain a remedy of the defect or non4 compliance;

5 (4) a statement that the manufacturer giving notice will remedy the

6 defect or noncompliance without charge under section 30120 of this title;

7 (5) the earliest date on which the defect or noncompliance will be rem8 edied without charge, and for tires, the period during which the defect

9 or noncompliance will be remedied without charge under section 30120

10 of this title;

11 (6) the procedure the recipient of a notice is to follow to inform the

12 Secretary of Transportation when a manufacturer, distributor, or dealer

13 does not remedy the defect or noncompliance without charge under sec14 tion 30120 of this title; and

15 (7) other information the Secretary prescribes by regulation.

16 (b) EARLIEST REMEDY DATE.—The date specified by a manufacturer in

17 a notification under subsection (a)(5) of this section or section 30121(c)(2)

18 of this title is the earliest date that parts and facilities reasonably can be ex19 pected to be available to remedy the defect or noncompliance. The Secretary

20 may disapprove the date.

21 (c) TIME FOR NOTIFICATION.—Notification required under section 30118 of

22 this title shall be given within a reasonable time—

23 (1) prescribed by the Secretary, after the manufacturer receives notice

24 of a final decision under section 30118(b) of this title; or

25 (2) after the manufacturer first decides that a safety-related defect or

26 noncompliance exists under section 30118(c) of this title.

27 (d) MEANS OF PROVIDING NOTIFICATION.—(1) Notification required under

28 section 30118 of this title about a motor vehicle shall be sent by first class

29 mail—

30 (A) to each person registered under State law as the owner and whose

31 name and address are reasonably ascertainable by the manufacturer

32 through State records or other available sources; or

33 (B) if a registered owner is not notified under clause (A) of this para34 graph, to the most recent purchaser known to the manufacturer.

35 (2) Notification required under section 30118 of this title about replace36 ment equipment (except a tire) shall be sent by first class mail to the most

37 recent purchaser known to the manufacturer. In addition, if the Secretary de38 cides that public notice is required for motor vehicle safety, public notice shall

39 be given in the way required by the Secretary after consulting with the manu40 facturer.
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1 (3) Notification required under section 30118 of this title about a tire shall

2 be sent by first class mail (or, if the manufacturer prefers, by certified mail)

3 to the most recent purchaser known to the manufacturer. In addition, if the

4 Secretary decides that public notice is required for motor vehicle safety, public

5 notice shall be given in the way required by the Secretary after consulting

6 with the manufacturer. In deciding whether public notice is required, the Sec7 retary shall consider—

8 (A) the magnitude of the risk to motor vehicle safety caused by the

9 defect or noncompliance; and

10 (B) the cost of public notice compared to the additional number of

11 owners the notice may reach.

12 (4) A dealer to whom a motor vehicle or replacement equipment was deliv13 ered shall be notified by certified mail or quicker means if available.

14 (e) SECOND NOTIFICATION.—If the Secretary decides that a notification

15 sent by a manufacturer under this section has not resulted in an adequate

16 number of motor vehicles or items of replacement equipment being returned

17 for remedy, the Secretary may order the manufacturer to send a 2d notifica18 tion in the way the Secretary prescribes by regulation.

19 (f) NOTIFICATION BY LESSOR TO LESSEE.—(1) In this subsection, ‘‘leased

20 motor vehicle’’ means a motor vehicle that is leased to a person for at least

21 4 months by a lessor that has leased at least 5 motor vehicles in the 12

22 months before the date of the notification.

23 (2) A lessor that receives a notification required by section 30118 of this

24 title about a leased motor vehicle shall provide a copy of the notification to

25 the lessee in the way the Secretary prescribes by regulation.

26 § 30120. Remedies for defects and noncompliance

27 (a) WAYS TO REMEDY.—(1) Subject to subsections (f) and (g) of this sec28 tion, when notification of a defect or noncompliance is required under section

29 30118(b) or (c) of this title, the manufacturer of the defective or noncomplying

30 motor vehicle or replacement equipment shall remedy the defect or noncompli31 ance without charge when the vehicle or equipment is presented for remedy.

32 Subject to subsections (b) and (c) of this section, the manufacturer shall rem33 edy the defect or noncompliance in any of the following ways the manufac34 turer chooses:

35 (A) if a vehicle—

36 (i) by repairing the vehicle;

37 (ii) by replacing the vehicle with an identical or reasonably

38 equivalent vehicle; or

39 (iii) by refunding the purchase price, less a reasonable allowance

40 for depreciation.
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1 (B) if replacement equipment, by repairing the equipment or replac2 ing the equipment with identical or reasonably equivalent equipment.

3 (2) The Secretary of Transportation may prescribe regulations to allow the

4 manufacturer to impose conditions on the replacement of a motor vehicle or

5 refund of its price.

6 (b) TIRE REMEDIES.—(1) A manufacturer of a tire, including an original

7 equipment tire, shall remedy a defective or noncomplying tire if the owner

8 or purchaser presents the tire for remedy not later than 60 days after the later

9 of—

10 (A) the day the owner or purchaser receives notification under section

11 30119 of this title; or

12 (B) if the manufacturer decides to replace the tire, the day the owner

13 or purchaser receives notification that a replacement is available.

14 (2) If the manufacturer decides to replace the tire and the replacement is

15 not available during the 60-day period, the owner or purchaser must present

16 the tire for remedy during a subsequent 60-day period that begins only after

17 the owner or purchaser receives notification that a replacement will be avail18 able during the subsequent period. If tires are available during the subsequent

19 period, only a tire presented for remedy during that period must be remedied.

20 (c) ADEQUACY OF REPAIRS.—(1) If a manufacturer decides to repair a de21 fective or noncomplying motor vehicle or replacement equipment and the re22 pair is not done adequately within a reasonable time, the manufacturer

23 shall—

24 (A) replace the vehicle or equipment without charge with an identical

25 or reasonably equivalent vehicle or equipment; or

26 (B) for a vehicle, refund the purchase price, less a reasonable allow27 ance for depreciation.

28 (2) Failure to repair a motor vehicle or replacement equipment adequately

29 not later than 60 days after its presentation is prima facie evidence of failure

30 to repair within a reasonable time. However, the Secretary may extend, by

31 order, the 60-day period if good cause for an extension is shown and the rea32 son is published in the Federal Register before the period ends. Presentation

33 of a vehicle or equipment for repair before the date specified by a manufac34 turer in a notice under section 30119(a)(5) or 30121(c)(2) of this title is not

35 a presentation under this subsection.

36 (d) FILING MANUFACTURER’S REMEDY PROGRAM.—A manufacturer shall

37 file with the Secretary a copy of the manufacturer’s program under this sec38 tion for remedying a defect or noncompliance. The Secretary shall make the

39 program available to the public and publish a notice of availability in the

40 Federal Register.
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1 (e) HEARINGS ABOUT MEETING REMEDY REQUIREMENTS.—On the motion

2 of the Secretary or on application by any interested person, the Secretary

3 may conduct a hearing to decide whether the manufacturer has reasonably

4 met the remedy requirements under this section. Any interested person may

5 make written and oral presentations of information, views, and arguments on

6 whether the manufacturer has reasonably met the remedy requirements. If the

7 Secretary decides a manufacturer has not reasonably met the remedy require8 ments, the Secretary shall order the manufacturer to take specified action to

9 meet those requirements and may take any other action authorized under this

10 chapter.

11 (f) FAIR REIMBURSEMENT TO DEALERS.—A manufacturer shall pay fair

12 reimbursement to a dealer providing a remedy without charge under this sec13 tion.

14 (g) NONAPPLICATION.—(1) The requirement that a remedy be provided

15 without charge does not apply if the motor vehicle or replacement equipment

16 was bought by the first purchaser more than 8 calendar years, or the tire,

17 including an original equipment tire, was bought by the first purchaser more

18 than 3 calendar years, before notice is given under section 30118(c) of this

19 title or an order is issued under section 30118(b) of this title, whichever is

20 earlier.

21 (2) This section does not apply during any period in which enforcement

22 of an order under section 30118(b) of this title is restrained or the order is

23 set aside in a civil action to which section 30121(d) of this title applies.

24 (h) EXEMPTIONS.—On application of a manufacturer, the Secretary shall

25 exempt the manufacturer from this section if the Secretary decides a defect

26 or noncompliance is inconsequential to motor vehicle safety. The Secretary

27 may take action under this subsection only after notice in the Federal Reg28 ister and an opportunity for any interested person to present information,

29 views, and arguments.

30 (i) LIMITATION ON SALE OR LEASE.—(1) If notification is required by an

31 order under section 30118(b) of this title or is required under section 30118(c)

32 of this title and the manufacturer has provided to a dealer notification about

33 a new motor vehicle or new item of replacement equipment in the dealer’s

34 possession at the time of notification that contains a defect related to motor

35 vehicle safety or does not comply with an applicable motor vehicle safety

36 standard prescribed under this chapter, the dealer may sell or lease the motor

37 vehicle or item of replacement equipment only if—

38 (A) the defect or noncompliance is remedied as required by this section

39 before delivery under the sale or lease; or

40 (B) when the notification is required by an order under section

41 30118(b) of this title, enforcement of the order is restrained or the order
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1 is set aside in a civil action to which section 30121(d) of this title ap2 plies.

3 (2) This subsection does not prohibit a dealer from offering for sale or lease

4 the vehicle or equipment.

5 § 30121. Provisional notification and civil actions to enforce

6 (a) PROVISIONAL NOTIFICATION.—(1) The Secretary of Transportation

7 may order a manufacturer to issue a provisional notification if a civil action

8 about an order issued under section 30118(b) of this title has been brought

9 under section 30163 of this title. The provisional notification shall contain—

10 (A) a statement that the Secretary has decided that a defect related

11 to motor vehicle safety or noncompliance with a motor vehicle safety

12 standard prescribed under this chapter exists and that the manufacturer

13 is contesting the decision in a civil action in a United States district

14 court;

15 (B) a clear description of the Secretary’s stated basis for the decision;

16 (C) the Secretary’s evaluation of the risk to motor vehicle safety rea17 sonably related to the defect or noncompliance;

18 (D) measures the Secretary considers necessary to avoid an unreason19 able risk to motor vehicle safety resulting from the defect or noncompli20 ance;

21 (E) a statement that the manufacturer will remedy the defect or non22 compliance without charge under section 30120 of this title, but that the

23 requirement to remedy without charge is conditioned on the outcome of

24 the civil action; and

25 (F) other information the Secretary prescribes by regulation or in26 cludes in the order requiring the notice.

27 (2) A notification under this subsection does not relieve a manufacturer of

28 liability for not giving notification required by an order under section

29 30118(b) of this title.

30 (b) CIVIL ACTIONS FOR NOT NOTIFYING.—(1) A manufacturer that does

31 not notify owners and purchasers under section 30119(c) and (d) of this title

32 is liable to the United States Government for a civil penalty, unless the man33 ufacturer prevails in a civil action referred to in subsection (a) of this section

34 or the court in that action enjoins enforcement of the order. Enforcement may

35 be enjoined only if the court decides that the failure to notify is reasonable

36 and that the manufacturer has demonstrated the likelihood of prevailing on

37 the merits. If enforcement is enjoined, the manufacturer is not liable during

38 the time the order is stayed.

39 (2) A manufacturer that does not notify owners and purchasers as required

40 under subsection (a) of this section is liable for a civil penalty regardless of
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1 whether the manufacturer prevails in an action on the validity of the order

2 issued under section 30118(b) of this title.

3 (c) ORDERS TO MANUFACTURERS.—If the Secretary prevails in a civil ac4 tion referred to in subsection (a) of this section, the Secretary shall order the

5 manufacturer—

6 (1) to notify each owner, purchaser, and dealer described in section

7 30119(d) of this title of the outcome of the action and other information

8 the Secretary requires, and notification under this clause may be com9 bined with notification required under section 30118(b) of this title;

10 (2) to specify the earliest date under section 30119(b) of this title on

11 which the defect or noncompliance will be remedied without charge under

12 section 30120 of this title; and

13 (3) if notification was required under subsection (a) of this section,

14 to reimburse an owner or purchaser for reasonable and necessary ex15 penses (in an amount that is not more than the amount specified in the

16 order of the Secretary under subsection (a)) incurred for repairing the

17 defect or noncompliance during the period beginning on the date that no18 tification was required to be issued and ending on the date the owner

19 or purchaser receives the notification under this subsection.

20 (d) VENUE.—Notwithstanding section 30163(c) of this title, a civil action

21 about an order issued under section 30118(b) of this title must be brought in

22 the United States district court for a judicial district in the State in which

23 the manufacturer is incorporated or the District of Columbia. On motion of

24 a party, the court may transfer the action to another district court if good

25 cause is shown. All actions related to the same order under section 30118(b)

26 shall be consolidated in an action in one judicial district under an order of

27 the court in which the first action was brought. If the first action is trans28 ferred to another court, that court shall issue the consolidation order.

29 § 30122. Making safety devices and elements inoperative

30 (a) DEFINITION.—In this section, ‘‘motor vehicle repair business’’ means a

31 person holding itself out to the public to repair for compensation a motor ve32 hicle or motor vehicle equipment.

33 (b) PROHIBITION.—A manufacturer, distributor, dealer, or motor vehicle

34 repair business may not knowingly make inoperative any part of a device

35 or element of design installed on or in a motor vehicle or motor vehicle equip36 ment in compliance with an applicable motor vehicle safety standard pre37 scribed under this chapter unless the manufacturer, distributor, dealer, or re38 pair business reasonably believes the vehicle or equipment will not be used (ex39 cept for testing or a similar purpose during maintenance or repair) when the

40 device or element is inoperative.
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1 (c) REGULATIONS.—The Secretary of Transportation may prescribe regula2 tions—

3 (1) to exempt a person from this section if the Secretary decides the

4 exemption is consistent with motor vehicle safety and section 30101 of

5 this title; and

6 (2) to define ‘‘make inoperative’’.

7 (d) NONAPPLICATION.—This section does not apply to a safety belt interlock

8 or buzzer designed to indicate a safety belt is not in use as described in sec9 tion 30124 of this title.

10 § 30123. Tires

11 (a) LABELING REQUIREMENT.—The Secretary of Transportation shall re12 quire that a pneumatic tire subject to a motor vehicle safety standard pre13 scribed under this chapter be labeled permanently and conspicuously with

14 safety information the Secretary decides is necessary to carry out section

15 30101 of this title.

16 (b) CONTENTS OF LABEL.—Labeling required on a tire under subsection

17 (a) of this section shall include—

18 (1)(A) identification of the manufacturer;

19 (B) for a retreaded tire, identification of the retreader; or

20 (C) for a tire containing a brand name (other than the name of the

21 manufacturer), a code mark allowing a seller to identify the manufac22 turer to the purchaser;

23 (2) the composition of material used in the ply of the tire;

24 (3) the number of plies in the tire;

25 (4) the maximum allowable load for the tire; and

26 (5)(A) a statement that the tire complies with minimum safe perform27 ance standards prescribed under this chapter; or

28 (B) a mark or symbol the Secretary prescribes for use by a manufac29 turer or retreader complying with those standards.

30 (c) ADDITIONAL INFORMATION.—The Secretary may require that additional

31 safety information be disclosed to a purchaser when a tire is sold.

32 (d) REGROOVED TIRE LIMITATIONS.—(1) In this subsection, ‘‘regrooved

33 tire’’ means a tire with a new tread produced by cutting into the tread of

34 a worn tire.

35 (2) The Secretary may authorize the sale, offer for sale, introduction for

36 sale, or delivery for introduction in interstate commerce, of a regrooved tire

37 or a motor vehicle equipped with regrooved tires if the Secretary decides the

38 tires are designed and made in a way consistent with section 30101 of this

39 title. A person may not sell, offer for sale, introduce for sale, or deliver for

40 introduction in interstate commerce, a regrooved tire or a vehicle equipped

41 with regrooved tires unless authorized by the Secretary.
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1 (e) UNIFORM QUALITY GRADING SYSTEM, NOMENCLATURE, AND MARKET2 ING PRACTICES.—The Secretary shall prescribe through standards a uniform

3 quality grading system for motor vehicle tires to help consumers make an in4 formed choice when purchasing tires. The Secretary also shall cooperate with

5 industry and the Federal Trade Commission to the greatest extent practicable

6 to eliminate deceptive and confusing tire nomenclature and marketing prac7 tices. A tire standard or regulation prescribed under this chapter supersedes

8 an order or administrative interpretation of the Commission.

9 (f) MAXIMUM LOAD STANDARDS.—The Secretary shall require a motor ve10 hicle to be equipped with tires that meet maximum load standards when the

11 vehicle is loaded with a reasonable amount of luggage and the total number

12 of passengers the vehicle is designed to carry. The vehicle shall be equipped

13 with those tires by the manufacturer or by the first purchaser when the vehicle

14 is first bought in good faith other than for resale.

15 § 30124. Buzzers indicating nonuse of safety belts

16 A motor vehicle safety standard prescribed under this chapter may not re17 quire or allow a manufacturer to comply with the standard by using a safety

18 belt interlock designed to prevent starting or operating a motor vehicle if an

19 occupant is not using a safety belt or a buzzer designed to indicate a safety

20 belt is not in use, except a buzzer that operates only during the 8-second pe21 riod after the ignition is turned to the ‘‘start’’ or ‘‘on’’ position.

22 § 30125. Schoolbuses and schoolbus equipment

23 (a) DEFINITIONS.—In this section—

24 (1) ‘‘schoolbus’’ means a passenger motor vehicle designed to carry a

25 driver and more than 10 passengers, that the Secretary of Transpor26 tation decides is likely to be used significantly to transport preprimary,

27 primary, and secondary school students to or from school or an event re28 lated to school.

29 (2) ‘‘schoolbus equipment’’ means equipment designed primarily for a

30 schoolbus or manufactured or sold to replace or improve a system, part,

31 or component of a schoolbus or as an accessory or addition to a school32 bus.

33 (b) STANDARDS.—The Secretary shall prescribe motor vehicle safety stand34 ards for schoolbuses and schoolbus equipment manufactured in, or imported

35 into, the United States. Standards shall include minimum performance re36 quirements for—

37 (1) emergency exits;

38 (2) interior protection for occupants;

39 (3) floor strength;

40 (4) seating systems;
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1 (5) crashworthiness of body and frame (including protection against

2 rollover hazards);

3 (6) vehicle operating systems;

4 (7) windows and windshields; and

5 (8) fuel systems.

6 (c) TEST DRIVING BY MANUFACTURERS.—The Secretary may require by

7 regulation a schoolbus to be test-driven by a manufacturer before introduction

8 in commerce.

9 § 30126. Used motor vehicles

10 To ensure a continuing and effective national safety program, it is the pol11 icy of the United States Government to encourage and strengthen State in12 spection of used motor vehicles. Therefore, the Secretary of Transportation

13 shall prescribe uniform motor vehicle safety standards applicable to all used

14 motor vehicles. The standards shall be stated in terms of motor vehicle safety

15 performance.

16 § 30127. Automatic occupant crash protection and seat belt

17 use

18 (a) DEFINITIONS.—In this section—

19 (1) ‘‘bus’’ means a motor vehicle with motive power (except a trailer)

20 designed to carry more than 10 individuals.

21 (2) ‘‘multipurpose passenger vehicle’’ means a motor vehicle with mo22 tive power (except a trailer), designed to carry not more than 10 individ23 uals, that is constructed either on a truck chassis or with special features

24 for occasional off-road operation.

25 (3) ‘‘passenger car’’ means a motor vehicle with motive power (except

26 a multipurpose passenger vehicle, motorcycle, or trailer) designed to

27 carry not more than 10 individuals.

28 (4) ‘‘truck’’ means a motor vehicle with motive power (except a trail29 er) designed primarily to transport property or special purpose equip30 ment.

31 (b) INFLATABLE RESTRAINT REQUIREMENTS.—(1) Not later than Septem32 ber 1, 1993, the Secretary of Transportation shall prescribe under this chapter

33 an amendment to Federal Motor Vehicle Safety Standard 208 issued under

34 the National Traffic and Motor Vehicle Safety Act of 1966. The amendment

35 shall require that the automatic occupant crash protection system for both of

36 the front outboard seating positions for each of the following vehicles be an

37 inflatable restraint (with lap and shoulder belts) complying with the occupant

38 protection requirements under section 4.1.2.1 of Standard 208:

39 (A) 95 percent of each manufacturer’s annual production of passenger

40 cars manufactured after August 31, 1996, and before September 1, 1997.
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1 (B) 80 percent of each manufacturer’s annual production of buses,

2 multipurpose passenger vehicles, and trucks (except walk-in van-type

3 trucks and vehicles designed to be sold only to the United States Postal

4 Service) with a gross vehicle weight rating of not more than 8,500

5 pounds and an unloaded vehicle weight of not more than 5,500 pounds

6 manufactured after August 31, 1997, and before September 1, 1998.

7 (C) 100 percent of each manufacturer’s annual production of pas8 senger cars manufactured after August 31, 1997.

9 (D) 100 percent of each manufacturer’s annual production of vehicles

10 described in clause (B) of this paragraph manufactured after August 31,

11 1998.

12 (2) Manufacturers may not use credits and incentives available before Sep13 tember 1, 1998, under the provisions of Standard 208 (as amended by this

14 section) to comply with the requirements of paragraph (1)(D) of this sub15 section after August 31, 1998.

16 (c) OWNER MANUAL REQUIREMENTS.—In amending Standard 208, the

17 Secretary of Transportation shall require, to be effective as soon as possible

18 after the amendment is prescribed, that owner manuals for passenger cars,

19 buses, multipurpose passenger vehicles, and trucks equipped with an inflatable

20 restraint include a statement in an easily understandable format stating

21 that—

22 (1) either or both of the front outboard seating positions of the vehicle

23 are equipped with an inflatable restraint referred to as an ‘‘airbag’’ and

24 a lap and shoulder belt;

25 (2) the ‘‘airbag’’ is a supplemental restraint and is not a substitute

26 for lap and shoulder belts;

27 (3) lap and shoulder belts also must be used correctly by an occupant

28 in a front outboard seating position to provide restraint or protection

29 from frontal crashes as well as other types of crashes or accidents; and

30 (4) occupants should always wear their lap and shoulder belts, if

31 available, or other safety belts, whether or not there is an inflatable re32 straint.

33 (d) SEAT BELT USE LAWS.—Congress finds that it is in the public interest

34 for each State to adopt and enforce mandatory seat belt use laws and for the

35 United States Government to adopt and enforce mandatory seat belt use regu36 lations.

37 (e) TEMPORARY EXEMPTIONS.—(1) On application of a manufacturer, the

38 Secretary of Transportation may exempt, on a temporary basis, motor vehi39 cles of that manufacturer from any requirement under subsections (b) and (c)

40 of this section on terms the Secretary considers appropriate. An exemption

41 may be renewed.
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1 (2) The Secretary of Transportation may grant an exemption under para2 graph (1) of this subsection if the Secretary finds that there has been a dis3 ruption in the supply of any component of an inflatable restraint or in the

4 use and installation of that component by the manufacturer because of an un5 avoidable event not under the control of the manufacturer that will prevent

6 the manufacturer from meeting its anticipated production volume of vehicles

7 with those restraints.

8 (3) Only an affected manufacturer may apply for an exemption. The Sec9 retary of Transportation shall prescribe in the amendment to Standard 208

10 required under this section the information an affected manufacturer must in11 clude in its application under this subsection. The manufacturer shall specify

12 in the application the models, lines, and types of vehicles affected. The Sec13 retary may consolidate similar applications from different manufacturers.

14 (4) An exemption or renewal of an exemption is conditioned on the com15 mitment of the manufacturer to recall the exempted vehicles for installation

16 of the omitted inflatable restraints within a reasonable time that the manu17 facturer proposes and the Secretary of Transportation approves after the com18 ponents become available in sufficient quantities to satisfy both anticipated

19 production and recall volume requirements.

20 (5) The Secretary of Transportation shall publish in the Federal Register

21 a notice of each application under this subsection and each decision to grant

22 or deny a temporary exemption and the reasons for the decision.

23 (6) The Secretary of Transportation shall require a label for each exempted

24 vehicle that can be removed only after recall and installation of the required

25 inflatable restraint. The Secretary shall require that written notice of the ex26 emption be provided to the dealer and the first purchaser of each exempted

27 vehicle other than for resale, with the notice being provided in a way, and

28 containing the information, the Secretary considers appropriate.

29 (f) APPLICATION.—(1) This section revises, but does not replace, Standard

30 208 as in effect on December 18, 1991, including the amendment of March

31 26, 1991 (56 Fed. Reg. 12472), to Standard 208, extending the requirements

32 for automatic crash protection, with incentives for more innovative automatic

33 crash protection, to trucks, buses, and multipurpose passenger vehicles. This

34 section may not be construed as—

35 (A) affecting another provision of law carried out by the Secretary of

36 Transportation applicable to passenger cars, buses, multipurpose pas37 senger vehicles, or trucks; or

38 (B) establishing a precedent related to developing or prescribing a

39 Government motor vehicle safety standard.

40 (2) This section and amendments to Standard 208 made under this section

41 may not be construed as indicating an intention by Congress to affect any
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1 liability of a motor vehicle manufacturer under applicable law related to vehi2 cles with or without inflatable restraints.

3 (g) REPORT.—(1) On October 1, 1992, and every 6 months after that date

4 through October 1, 2000, the Secretary of Transportation shall submit reports

5 on the effectiveness of occupant restraint systems expressed as a percentage

6 reduction in fatalities or injuries of restrained occupants compared to unre7 strained occupants for—

8 (A) a combination of inflated restraints and lap and shoulder belts;

9 (B) inflated restraints only; and

10 (C) lap and shoulder belts only.

11 (2) In consultation with the Secretaries of Labor and Defense, the Secretary

12 of Transportation also shall provide information and analysis on lap and

13 shoulder belt use, nationally and in each State by—

14 (A) military personnel;

15 (B) Government, State, and local law enforcement officers;

16 (C) other Government and State employees; and

17 (D) the public.

18 (h) AIRBAGS FOR GOVERNMENT CARS.—In cooperation with the Adminis19 trator of General Services and the heads of appropriate departments, agencies,

20 and instrumentalities of the Government, the Secretary of Transportation

21 shall establish a program, consistent with applicable procurement laws of the

22 Government and available appropriations, requiring that all passenger cars

23 acquired—

24 (1) after September 30, 1994, for use by the Government be equipped,

25 to the maximum extent practicable, with driver-side inflatable restraints;

26 and

27 (2) after September 30, 1996, for use by the Government be equipped,

28 to the maximum extent practicable, with inflatable restraints for both

29 front outboard seating positions.

30 SUBCHAPTER III—IMPORTING NONCOMPLYING MOTOR VEHICLES

31 AND EQUIPMENT

32 § 30141. Importing motor vehicles capable of complying with

33 standards

34 (a) GENERAL.—Section 30112(a) of this title does not apply to a motor

35 vehicle if—

36 (1) on the initiative of the Secretary of Transportation or on petition

37 of a manufacturer or importer registered under subsection (c) of this sec38 tion, the Secretary decides—

39 (A) the vehicle is—

40 (i) substantially similar to a motor vehicle originally manu41 factured for import into and sale in the United States;
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1 (ii) certified under section 30115 of this title;

2 (iii) the same model year (as defined under regulations of

3 the Secretary of Transportation) as the model of the motor ve4 hicle it is being compared to; and

5 (iv) capable of being readily altered to comply with applica6 ble motor vehicle safety standards prescribed under this chap7 ter; or

8 (B) if there is no substantially similar United States motor vehi9 cle, the safety features of the vehicle comply with or are capable of

10 being altered to comply with those standards based on destructive

11 test information or other evidence the Secretary of Transportation

12 decides is adequate;

13 (2) the vehicle is imported by a registered importer; and

14 (3) the registered importer pays the annual fee the Secretary of Trans15 portation establishes under subsection (e) of this section to pay for the

16 costs of carrying out the registration program for importers under sub17 section (c) of this section and any other fees the Secretary of Transpor18 tation establishes to pay for the costs of—

19 (A) processing bonds provided to the Secretary of the Treasury

20 under subsection (d) of this section; and

21 (B) making the decisions under this subchapter.

22 (b) PROCEDURES ON DECIDING ON MOTOR VEHICLE CAPABILITY.—(1) The

23 Secretary of Transportation shall establish by regulation procedures for mak24 ing a decision under subsection (a)(1) of this section and the information a

25 petitioner must provide to show clearly that the motor vehicle is capable of

26 being brought into compliance with applicable motor vehicle safety standards

27 prescribed under this chapter. In establishing the procedures, the Secretary

28 shall provide for a minimum period of public notice and written comment

29 consistent with ensuring expeditious, but complete, consideration and avoid30 ing delay by any person. In making a decision under those procedures, the

31 Secretary shall consider test information and other information available to

32 the Secretary, including any information provided by the manufacturer. If

33 the Secretary makes a negative decision, the Secretary may not make another

34 decision for the same model until at least 3 calendar months have elapsed

35 after the negative decision.

36 (2) The Secretary of Transportation shall publish each year in the Federal

37 Register a list of all decisions made under subsection (a)(1) of this section.

38 Each published decision applies to the model of the motor vehicle for which

39 the decision was made. A positive decision permits another importer reg40 istered under subsection (c) of this section to import a vehicle of the same
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1 model under this section if the importer complies with all the terms of the

2 decision.

3 (c) REGISTRATION.—(1) The Secretary of Transportation shall establish

4 procedures for registering a person who complies with requirements prescribed

5 by the Secretary by regulation under this subsection, including—

6 (A) recordkeeping requirements;

7 (B) inspection of records and facilities related to motor vehicles the

8 person has imported, altered, or both; and

9 (C) requirements that ensure that the importer (or a successor in in10 terest) will be able technically and financially to carry out responsibil11 ities under sections 30117(b), 30118–30121, and 30166(f) of this title.

12 (2) The Secretary of Transportation shall deny registration to a person

13 whose registration is revoked under paragraph (4) of this subsection.

14 (3) The Secretary of Transportation may deny registration to a person that

15 is or was owned or controlled by, or under common ownership or control with,

16 a person whose registration was revoked under paragraph (4) of this sub17 section.

18 (4) The Secretary of Transportation shall establish procedures for—

19 (A) revoking or suspending a registration issued under paragraph (1)

20 of this subsection for not complying with a requirement of this sub21 chapter or section 30112, 30115, 30117–30122, 30125(c), 30127, or

22 30166 of this title or regulations prescribed under this subchapter or

23 those sections;

24 (B) automatically suspending a registration for not paying a fee

25 under subsection (a)(3) of this section in a timely manner or for know26 ingly filing a false or misleading certification under section 30146 of this

27 title; and

28 (C) reinstating suspended registrations.

29 (d) BONDS.—(1) A person importing a motor vehicle under this section

30 shall provide a bond to the Secretary of the Treasury (acting for the Secretary

31 of Transportation) and comply with the terms the Secretary of Transpor32 tation decides are appropriate to ensure that the vehicle—

33 (A) will comply with applicable motor vehicle safety standards pre34 scribed under this chapter within a reasonable time (specified by the Sec35 retary of Transportation) after the vehicle is imported; or

36 (B) will be exported (at no cost to the United States Government) by

37 the Secretary of the Treasury or abandoned to the Government.

38 (2) The amount of the bond provided under this subsection shall be at least

39 equal to the dutiable value of the motor vehicle (as determined by the Sec40 retary of the Treasury) but not more than 150 percent of that value.
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1 (e) FEE REVIEW, ADJUSTMENT, AND USE.—The Secretary of Transpor2 tation shall review and make appropriate adjustments at least every 2 years

3 in the amounts of the fees required to be paid under subsection (a)(3) of this

4 section. The Secretary of Transportation shall establish the fees for each fiscal

5 year before the beginning of that year. All fees collected remain available until

6 expended without fiscal year limit to the extent provided in advance by ap7 propriation laws. The amounts are only for use by the Secretary of Transpor8 tation—

9 (1) in carrying out this section and sections 30146(a)–(c)(1), (d), and

10 (e) and 30147(b) of this title; and

11 (2) in advancing to the Secretary of the Treasury amounts for costs

12 incurred under this section and section 30146 of this title to reimburse

13 the Secretary of the Treasury for those costs.

14 § 30142. Importing motor vehicles for personal use

15 (a) GENERAL.—Section 30112(a) of this title does not apply to an im16 ported motor vehicle if—

17 (1) the vehicle is imported for personal use, and not for resale, by an

18 individual (except an individual described in sections 30143 and 30144

19 of this title);

20 (2) the vehicle is imported after January 31, 1990; and

21 (3) the individual takes the actions required under subsection (b) of

22 this section to receive an exemption.

23 (b) EXEMPTIONS.—(1) To receive an exemption under subsection (a) of this

24 section, an individual must—

25 (A) provide the Secretary of the Treasury (acting for the Secretary of

26 Transportation) with—

27 (i) an appropriate bond in an amount determined under section

28 30141(d) of this title;

29 (ii) a copy of an agreement with an importer registered under

30 section 30141(c) of this title for bringing the motor vehicle into com31 pliance with applicable motor vehicle safety standards prescribed

32 under this chapter; and

33 (iii) a certification that the vehicle meets the requirement of sec34 tion 30141(a)(1)(A) or (B) of this title; and

35 (B) comply with appropriate terms the Secretary of Transportation

36 imposes to ensure that the vehicle—

37 (i) will be brought into compliance with those standards within

38 a reasonable time (specified by the Secretary of Transportation)

39 after the vehicle is imported; or

40 (ii) will be exported (at no cost to the United States Government)

41 by the Secretary of the Treasury or abandoned to the Government.
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1 (2) For good cause shown, the Secretary of Transportation may allow an

2 individual additional time, but not more than 30 days after the day on which

3 the motor vehicle is offered for import, to comply with paragraph (1)(A)(ii)

4 of this subsection.

5 § 30143. Motor vehicles imported by individuals employed out6 side the United States

7 (a) DEFINITION.—In this section, ‘‘assigned place of employment’’ means—

8 (1) the principal location at which an individual is permanently or

9 indefinitely assigned to work; and

10 (2) for a member of the uniformed services, the individual’s permanent

11 duty station.

12 (b) GENERAL.—Section 30112(a) of this title does not apply to a motor ve13 hicle imported for personal use, and not for resale, by an individual—

14 (1) whose assigned place of employment was outside the United States

15 as of October 31, 1988, and who has not had an assigned place of em16 ployment in the United States from that date through the date the vehicle

17 is imported into the United States;

18 (2) who previously had not imported a motor vehicle into the United

19 States under this section or section 108(g) of the National Traffic and

20 Motor Vehicle Safety Act of 1966 or, before October 31, 1988, under sec21 tion 108(b)(3) of that Act;

22 (3) who acquired, or made a binding contract to acquire, the vehicle

23 before October 31, 1988;

24 (4) who imported the vehicle into the United States not later than Oc25 tober 31, 1992; and

26 (5) who satisfies section 108(b)(3) of that Act as in effect on October

27 30, 1988.

28 (c) CERTIFICATION.—Subsection (b) of this section is carried out by certifi29 cation in the form the Secretary of Transportation or the Secretary of the

30 Treasury may prescribe.

31 § 30144. Importing motor vehicles on a temporary basis

32 (a) GENERAL.—Section 30112(a) of this title does not apply to a motor

33 vehicle imported on a temporary basis for personal use by an individual who

34 is a member of—

35 (1)(A) the personnel of the government of a foreign country on assign36 ment in the United States or a member of the Secretariat of a public

37 international organization designated under the International Organiza38 tion Immunities Act (22 U.S.C. 288 et seq.); and

39 (B) the class of individuals for whom the Secretary of State has au40 thorized free importation of motor vehicles; or
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1 (2) the armed forces of a foreign country on assignment in the United

2 States.

3 (b) VERIFICATION.—The Secretary of Transportation or the Secretary of

4 the Treasury may require verification, that the Secretary of Transportation

5 considers appropriate, that an individual is a member described under sub6 section (a) of this section. The Secretary of Transportation shall ensure that

7 a motor vehicle imported under this section will be exported (at no cost to

8 the United States Government) or abandoned to the Government when the in9 dividual no longer—

10 (1) resides in the United States; and

11 (2) is a member described under subsection (a) of this section.

12 (c) SALE IN THE UNITED STATES.—A motor vehicle imported under this

13 section may not be sold when in the United States.

14 § 30145. Importing motor vehicles or equipment requiring

15 further manufacturing

16 Section 30112(a) of this title does not apply to a motor vehicle or motor

17 vehicle equipment if the vehicle or equipment—

18 (1) requires further manufacturing to perform its intended function as

19 decided under regulations prescribed by the Secretary of Transportation;

20 and

21 (2) is accompanied at the time of importation by a written statement

22 issued by the manufacturer indicating the applicable motor vehicle safety

23 standard prescribed under this chapter with which it does not comply.

24 § 30146. Release of motor vehicles and bonds

25 (a) COMPLIANCE CERTIFICATION AND BOND.—(1) Except as provided in

26 subsections (c) and (d) of this section, an importer registered under section

27 30141(c) of this title may license or register an imported motor vehicle for

28 use on public streets, roads, or highways, or release custody of a motor vehicle

29 imported by the registered importer or imported by an individual under sec30 tion 30142 of this title and altered by the registered importer to meet applica31 ble motor vehicle safety standards prescribed under this chapter to a person

32 for license or registration for use on public streets, roads, or highways, only

33 after 30 days after the registered importer certifies to the Secretary of Trans34 portation, in the way the Secretary prescribes, that the motor vehicle complies

35 with each standard prescribed in the year the vehicle was manufactured and

36 that applies in that year to that vehicle. A vehicle may not be released if the

37 Secretary gives written notice before the end of the 30-day period that the Sec38 retary will inspect the vehicle under subsection (c) of this section.

39 (2) The Secretaries of Transportation and the Treasury shall prescribe reg40 ulations—
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1 (A) ensuring the release of a motor vehicle and bond required under

2 section 30141(d) of this title at the end of the 30-day period, unless the

3 Secretary of Transportation issues a notice of an inspection under sub4 section (c) of this section; and

5 (B) providing that the Secretary of Transportation shall release the

6 vehicle and bond promptly after an inspection under subsection (c) of

7 this section showing compliance with the standards applicable to the ve8 hicle.

9 (3) Each registered importer shall include on each motor vehicle released

10 under this subsection a label prescribed by the Secretary of Transportation

11 identifying the importer and stating that the vehicle has been altered by the

12 importer to comply with the standards applicable to the vehicle.

13 (b) RELIANCE ON MANUFACTURER’S CERTIFICATION.—In making a certifi14 cation under subsection (a)(1) of this section, the registered importer may rely

15 on the manufacturer’s certification for the model to which the motor vehicle

16 involved is substantially similar if the importer certifies that any alteration

17 made by the importer did not affect the compliance of the safety features of

18 the vehicle and the importer keeps records verifying the certification for the

19 period the Secretary of Transportation prescribes.

20 (c) EVIDENCE OF COMPLIANCE.—(1) The Secretary of Transportation may

21 require that the certification under subsection (a)(1) of this section be accom22 panied by evidence of compliance the Secretary considers appropriate or may

23 inspect the certified motor vehicle, or both. If the Secretary gives notice of an

24 inspection, an importer may release the vehicle only after—

25 (A) an inspection showing the motor vehicle complies with applicable

26 motor vehicle safety standards prescribed under this chapter for which

27 the inspection was made; and

28 (B) release of the vehicle by the Secretary.

29 (2) The Secretary of Transportation shall inspect periodically a representa30 tive number of motor vehicles for which certifications have been filed under

31 subsection (a)(1) of this section. In carrying out a motor vehicle testing pro32 gram under this chapter, the Secretary shall include a representative number

33 of motor vehicles for which certifications have been filed under subsection

34 (a)(1).

35 (d) CHALLENGING THE CERTIFICATION.—A motor vehicle or bond may not

36 be released under subsection (a) of this section if the Secretary of Transpor37 tation, not later than 30 days after receiving a certification under subsection

38 (a)(1) of this section, gives written notice that the Secretary believes or has

39 reason to believe that the certification is false or contains a mispresentation.

40 The vehicle and bond may be released only after the Secretary is satisfied

41 with the certification and any modification of the certification.
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1 (e) BOND RELEASE.—A release of a bond required under section 30141(d)

2 of this title is deemed an acceptance of a certification or completion of an

3 inspection under this section but is not a decision by the Secretary of Trans4 portation under section 30118(a) or (b) of this title of compliance with appli5 cable motor vehicle safety standards prescribed under this chapter.

6 § 30147. Responsibility for defects and noncompliance

7 (a) DEEMING DEFECT OR NONCOMPLIANCE TO CERTAIN VEHICLES AND IM8 PORTER AS MANUFACTURER.—(1) In carrying out sections 30117(b), 30118–

9 30121, and 30166(f) of this title—

10 (A) for a defect or noncompliance with an applicable motor vehicle

11 safety standard prescribed under this chapter for a motor vehicle origi12 nally manufactured for import into the United States, an imported

13 motor vehicle having a valid certification under section 30146(a)(1) of

14 this title and decided to be substantially similar to that motor vehicle

15 shall be deemed as having the same defect or as not complying with the

16 same standard unless the manufacturer or importer registered under sec17 tion 30141(c) of this title demonstrates otherwise to the Secretary of

18 Transportation; and

19 (B) the registered importer shall be deemed to be the manufacturer of

20 any motor vehicle that the importer imports or brings into compliance

21 with the standards for an individual under section 30142 of this title.

22 (2) The Secretary shall publish in the Federal Register notice of any defect

23 or noncompliance under paragraph (1)(A) of this subsection.

24 (b) FINANCIAL RESPONSIBILITY REQUIREMENT.—The Secretary shall re25 quire by regulation each registered importer (including any successor in in26 terest) to provide and maintain evidence, satisfactory to the Secretary, of suf27 ficient financial responsibility to meet its obligations under sections 30117(b),

28 30118–30121, and 30166(f) of this title.

29 SUBCHAPTER IV—ENFORCEMENT AND ADMINISTRATIVE

30 § 30161. Judicial review of standards

31 (a) FILING AND VENUE.—A person adversely affected by an order prescrib32 ing a motor vehicle safety standard under this chapter may apply for review

33 of the order by filing a petition for review in the court of appeals of the Unit34 ed States for the circuit in which the person resides or has its principal place

35 of business. The petition must be filed not later than 59 days after the order

36 is issued.

37 (b) NOTIFYING SECRETARY.—The clerk of the court shall send immediately

38 a copy of the petition to the Secretary of Transportation. The Secretary shall

39 file with the court a record of the proceeding in which the order was pre40 scribed.
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1 (c) ADDITIONAL PROCEEDINGS.—(1) On request of the petitioner, the court

2 may order the Secretary to receive additional evidence and evidence in rebut3 tal if the court is satisfied that the additional evidence is material and there

4 were reasonable grounds for not presenting the evidence in the proceeding be5 fore the Secretary.

6 (2) The Secretary may modify findings of fact or make new findings be7 cause of the additional evidence presented. The Secretary shall file a modified

8 or new finding, a recommendation to modify or set aside the order, and the

9 additional evidence with the court.

10 (d) CERTIFIED COPIES OF RECORDS OF PROCEEDINGS.—The Secretary

11 shall give any interested person a certified copy of the transcript of the record

12 in a proceeding under this section on request and payment of costs. A cer13 tified copy of the record of the proceeding is admissible in a proceeding aris14 ing out of a matter under this chapter, regardless of whether the proceeding

15 under this section has begun or becomes final.

16 (e) FINALITY OF JUDGMENT AND SUPREME COURT REVIEW.—A judgment

17 of a court under this section is final and may be reviewed only by the Su18 preme Court under section 1254 of title 28.

19 § 30162. Petitions by interested persons for standards and en20 forcement

21 (a) FILING.—Any interested person may file a petition with the Secretary

22 of Transportation requesting the Secretary to begin a proceeding—

23 (1) to prescribe a motor vehicle safety standard under this chapter; or

24 (2) to decide whether to issue an order under section 30118(b) of this

25 title.

26 (b) STATEMENT OF FACTS.—The petition must state facts that the person

27 claims establish that a motor vehicle safety standard or order referred to in

28 subsection (a) of this section is necessary and briefly describe the order the

29 Secretary should issue.

30 (c) PROCEEDINGS.—The Secretary may hold a public hearing or conduct

31 an investigation or proceeding to decide whether to grant the petition.

32 (d) ACTIONS OF SECRETARY.—The Secretary shall grant or deny a petition

33 not later than 120 days after the petition is filed. If a petition is granted,

34 the Secretary shall begin the proceeding promptly. If a petition is denied, the

35 Secretary shall publish the reasons for the denial in the Federal Register.

36 § 30163. Actions by the Attorney General

37 (a) CIVIL ACTIONS TO ENFORCE.—The Attorney General may bring a civil

38 action in a United States district court to enjoin—

39 (1) a violation of this chapter or a regulation prescribed or order is40 sued under this chapter; and
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1 (2) the sale, offer for sale, or introduction or delivery for introduction,

2 in interstate commerce, or the importation into the United States, of a

3 motor vehicle or motor vehicle equipment for which it is decided, before

4 the first purchase in good faith other than for resale, that the vehicle or

5 equipment—

6 (A) contains a defect related to motor vehicle safety about which

7 notice was given under section 30118(c) of this title or an order was

8 issued under section 30118(b) of this title; or

9 (B) does not comply with an applicable motor vehicle safety

10 standard prescribed under this chapter.

11 (b) PRIOR NOTICE.—When practicable, the Secretary of Transportation

12 shall notify a person against whom a civil action under subsection (a) of this

13 section is planned, give the person an opportunity to present that person’s

14 views, and, except for a knowing and willful violation of this chapter, give

15 the person a reasonable opportunity to remedy the defect or comply with the

16 applicable motor vehicle safety standard prescribed under this chapter. Fail17 ure to give notice and an opportunity to remedy the defect or comply with

18 the applicable motor vehicle safety standard prescribed under this chapter

19 does not prevent a court from granting appropriate relief.

20 (c) VENUE.—Except as provided in section 30121(d) of this title, a civil

21 action under this section or section 30165(a) of this title may be brought in

22 the judicial district in which the violation occurred or the defendant is found,

23 resides, or does business. Process in the action may be served in any other

24 judicial district in which the defendant resides or is found.

25 (d) JURY TRIAL DEMAND.—In a trial for criminal contempt for violating

26 an injunction or restraining order issued under subsection (a) of this section,

27 the violation of which is also a violation of this chapter, the defendant may

28 demand a jury trial. The defendant shall be tried as provided in rule 42(b)

29 of the Federal Rules of Criminal Procedure (18 App. U.S.C.).

30 (e) SUBPENAS FOR WITNESSES.—In a civil action brought under this sec31 tion, a subpena for a witness may be served in any judicial district.

32 § 30164. Service of process

33 (a) DESIGNATING AGENTS.—A manufacturer offering a motor vehicle or

34 motor vehicle equipment for import shall designate an agent on whom service

35 of notices and process in administrative and judicial proceedings may be

36 made. The designation shall be in writing and filed with the Secretary of

37 Transportation. The designation may be changed in the same way as origi38 nally made.

39 (b) SERVICE.—An agent may be served at the agent’s office or usual place

40 of residence. Service on the agent is deemed to be service on the manufacturer.
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1 If a manufacturer does not designate an agent, service may be made by post2 ing the notice or process in the office of the Secretary.

3 § 30165. Civil penalty

4 (a) PENALTY.—A person that violates section 30112, 30115, 30117–30122,

5 30123(d), 30125(c), 30127, 30141–30147, or 30166 of this title or a regulation

6 prescribed under those sections is liable to the United States Government for

7 a civil penalty of not more than $1,000 for each violation. A separate viola8 tion occurs for each motor vehicle or item of motor vehicle equipment and for

9 each failure or refusal to allow or perform an act required by those sections.

10 The maximum penalty under this subsection for a related series of violations

11 is $800,000.

12 (b) COMPROMISE AND SETOFF.—(1) The Secretary of Transportation may

13 compromise the amount of a civil penalty imposed under this section.

14 (2) The Government may deduct the amount of a civil penalty imposed or

15 compromised under this section from amounts it owes the person liable for

16 the penalty.

17 (c) CONSIDERATIONS.—In determining the amount of a civil penalty or

18 compromise, the appropriateness of the penalty or compromise to the size of

19 the business of the person charged and the gravity of the violation shall be

20 considered.

21 (d) SUBPENAS FOR WITNESSES.—In a civil action brought under this sec22 tion, a subpena for a witness may be served in any judicial district.

23 § 30166. Inspections, investigations, and records

24 (a) DEFINITION.—In this section, ‘‘motor vehicle accident’’ means an occur25 rence associated with the maintenance or operation of a motor vehicle or

26 motor vehicle equipment resulting in personal injury, death, or property dam27 age.

28 (b) AUTHORITY TO INSPECT AND INVESTIGATE.—(1) The Secretary of

29 Transportation may conduct an inspection or investigation—

30 (A) that may be necessary to enforce this chapter or a regulation pre31 scribed or order issued under this chapter; or

32 (B) related to a motor vehicle accident and designed to carry out this

33 chapter.

34 (2) The Secretary of Transportation shall cooperate with State and local

35 officials to the greatest extent possible in an inspection or investigation under

36 paragraph (1)(B) of this subsection.

37 (c) MATTERS THAT CAN BE INSPECTED AND IMPOUNDMENT.—In carrying

38 out this chapter, an officer or employee designated by the Secretary of Trans39 portation—

40 (1) at reasonable times, may inspect and copy any record related to

41 this chapter;
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1 (2) on request, may inspect records of a manufacturer, distributor, or

2 dealer to decide whether the manufacturer, distributor, or dealer has

3 complied or is complying with this chapter or a regulation prescribed

4 or order issued under this chapter; and

5 (3) at reasonable times, in a reasonable way, and on display of proper

6 credentials and written notice to an owner, operator, or agent in charge,

7 may—

8 (A) enter and inspect with reasonable promptness premises in

9 which a motor vehicle or motor vehicle equipment is manufactured,

10 held for introduction in interstate commerce, or held for sale after

11 introduction in interstate commerce;

12 (B) enter and inspect with reasonable promptness premises at

13 which a vehicle or equipment involved in a motor vehicle accident

14 is located;

15 (C) inspect with reasonable promptness that vehicle or equipment;

16 and

17 (D) impound for not more than 72 hours a vehicle or equipment

18 involved in a motor vehicle accident.

19 (d) REASONABLE COMPENSATION.—When a motor vehicle (except a vehicle

20 subject to subchapter II of chapter 105 of this title) or motor vehicle equip21 ment is inspected or temporarily impounded under subsection (c)(3) of this

22 section, the Secretary of Transportation shall pay reasonable compensation to

23 the owner of the vehicle if the inspection or impoundment results in denial

24 of use, or reduction in value, of the vehicle.

25 (e) RECORDS AND MAKING REPORTS.—The Secretary of Transportation

26 reasonably may require a manufacturer of a motor vehicle or motor vehicle

27 equipment to keep records, and a manufacturer, distributor, or dealer to make

28 reports, to enable the Secretary to decide whether the manufacturer, distribu29 tor, or dealer has complied or is complying with this chapter or a regulation

30 prescribed or order issued under this chapter. This subsection does not impose

31 a recordkeeping requirement on a distributor or dealer in addition to those

32 imposed under subsection (f) of this section and section 30117(b) of this title

33 or a regulation prescribed or order issued under subsection (f) or section

34 30117(b).

35 (f) PROVIDING COPIES OF COMMUNICATIONS ABOUT DEFECTS AND NON36 COMPLIANCE.—A manufacturer shall give the Secretary of Transportation a

37 true or representative copy of each communication to the manufacturer’s deal38 ers or to owners or purchasers of a motor vehicle or replacement equipment

39 produced by the manufacturer about a defect or noncompliance with a motor

40 vehicle safety standard prescribed under this chapter in a vehicle or equip41 ment that is sold or serviced.
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1 (g) ADMINISTRATIVE AUTHORITY ON REPORTS, ANSWERS, AND HEAR2 INGS.—(1) In carrying out this chapter, the Secretary of Transportation

3 may—

4 (A) require, by general or special order, any person to file reports or

5 answers to specific questions, including reports or answers under oath;

6 and

7 (B) conduct hearings, administer oaths, take testimony, and require

8 (by subpena or otherwise) the appearance and testimony of witnesses and

9 the production of records the Secretary considers advisable.

10 (2) A witness summoned under this subsection is entitled to the same fee

11 and mileage the witness would have been paid in a court of the United States.

12 (h) CIVIL ACTIONS TO ENFORCE AND VENUE.—A civil action to enforce a

13 subpena or order under subsection (g) of this section may be brought in the

14 United States district court for the judicial district in which the proceeding

15 is conducted. The court may punish a failure to obey an order of the court

16 to comply with a subpena or order as a contempt of court.

17 (i) GOVERNMENTAL COOPERATION.—The Secretary of Transportation may

18 request a department, agency, or instrumentality of the United States Govern19 ment to provide records the Secretary considers necessary to carry out this

20 chapter. The head of the department, agency, or instrumentality shall provide

21 the record on request, may detail personnel on a reimbursable basis, and oth22 erwise shall cooperate with the Secretary. This subsection does not affect a

23 law limiting the authority of a department, agency, or instrumentality to

24 provide information to another department, agency, or instrumentality.

25 (j) COOPERATION OF SECRETARY.—The Secretary of Transportation may

26 advise, assist, and cooperate with departments, agencies, and instrumental27 ities of the Government, States, and other public and private agencies in de28 veloping a method for inspecting and testing to determine compliance with

29 a motor vehicle safety standard.

30 (k) PROVIDING INFORMATION.—The Secretary of Transportation shall pro31 vide the Attorney General and, when appropriate, the Secretary of the Treas32 ury, information obtained that indicates a violation of this chapter or a regu33 lation prescribed or order issued under this chapter.

34 § 30167. Disclosure of information by the Secretary of Trans35 portation

36 (a) CONFIDENTIALITY OF INFORMATION.—Information obtained under this

37 chapter related to a confidential matter referred to in section 1905 of title

38 18 may be disclosed only in the following ways:

39 (1) to other officers and employees carrying out this chapter.

40 (2) when relevant to a proceeding under this chapter.

41 (3) to the public if the confidentiality of the information is preserved.
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1 (4) to the public when the Secretary of Transportation decides that

2 disclosure is necessary to carry out section 30101 of this title.

3 (b) DEFECT AND NONCOMPLIANCE INFORMATION.—Subject to subsection (a)

4 of this section, the Secretary shall disclose information obtained under this

5 chapter related to a defect or noncompliance that the Secretary decides will

6 assist in carrying out sections 30117(b) and 30118–30121 of this title or that

7 is required to be disclosed under section 30118(a) of this title. A requirement

8 to disclose information under this subsection is in addition to the require9 ments of section 552 of title 5.

10 (c) INFORMATION ABOUT MANUFACTURER’S INCREASED COSTS.—A manu11 facturer opposing an action of the Secretary under this chapter because of in12 creased cost shall submit to the Secretary information about the increased

13 cost, including the manufacturer’s cost and the cost to retail purchasers, that

14 allows the public and the Secretary to evaluate the manufacturer’s statement.

15 The Secretary shall evaluate the information promptly and, subject to sub16 section (a) of this section, shall make the information and evaluation avail17 able to the public. The Secretary shall publish a notice in the Federal Register

18 that the information is available.

19 (d) WITHHOLDING INFORMATION FROM CONGRESS.—This section does not

20 authorize information to be withheld from a committee of Congress authorized

21 to have the information.

22 § 30168. Research, testing, development, and training

23 (a) GENERAL AUTHORITY.—(1) The Secretary of Transportation shall con24 duct research, testing, development, and training necessary to carry out this

25 chapter. The research, development, testing, and training shall include—

26 (A) collecting information to determine the relationship between motor

27 vehicle or motor vehicle equipment performance characteristics and—

28 (i) accidents involving motor vehicles; and

29 (ii) the occurrence of death or personal injury resulting from

30 those accidents;

31 (B) obtaining experimental and other motor vehicles and motor vehicle

32 equipment for research or testing; and

33 (C) selling or otherwise disposing of test motor vehicles and motor ve34 hicle equipment and crediting the proceeds to current appropriations

35 available to carry out this chapter.

36 (2) The Secretary may carry out this subsection through grants to States,

37 interstate authorities, and nonprofit institutions.

38 (b) USE OF PUBLIC AGENCIES.—In carrying out this chapter, the Sec39 retary shall use the services, research, and testing facilities of public agencies

40 to the maximum extent practicable to avoid duplication.
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1 (c) FACILITIES.—The Secretary may plan, design, and build a new facility

2 or modify an existing facility to conduct research, development, and testing

3 in traffic safety, highway safety, and motor vehicle safety. An expenditure of

4 more than $100,000 for planning, design, or construction may be made only

5 if the planning, design, or construction is approved by substantially similar

6 resolutions by the Committees on Energy and Commerce and Public Works

7 and Transportation of the House of Representatives and the Committees on

8 Commerce, Science, and Transportation and Environment and Public Works

9 of the Senate. To obtain that approval, the Secretary shall submit to Congress

10 a prospectus on the proposed facility. The prospectus shall include—

11 (1) a brief description of the facility being planned, designed, or built;

12 (2) the location of the facility;

13 (3) an estimate of the maximum cost of the facility;

14 (4) a statement identifying private and public agencies that will use

15 the facility and the contribution each agency will make to the cost of the

16 facility; and

17 (5) a justification of the need for the facility.

18 (d) INCREASING COSTS OF APPROVED FACILITIES.—The estimated maxi19 mum cost of a facility approved under subsection (c) of this section may be

20 increased by an amount equal to the percentage increase in construction costs

21 from the date the prospectus is submitted to Congress. However, the increase

22 in the cost of the facility may not be more than 10 percent of the estimated

23 maximum cost included in the prospectus. The Secretary shall decide what

24 increase in construction costs has occurred.

25 (e) AVAILABILITY OF INFORMATION, PATENTS, AND DEVELOPMENTS.—

26 When the United States Government makes more than a minimal contribu27 tion to a research or development activity under this chapter, the Secretary

28 shall include in the arrangement for the activity a provision to ensure that

29 all information, patents, and developments related to the activity are avail30 able to the public. However, the owner of a background patent may not be

31 deprived of a right under the patent.

32 § 30169. Annual reports

33 (a) GENERAL REPORT.—The Secretary of Transportation shall submit to

34 the President to submit to Congress on July 1 of each year a report on the

35 administration of this chapter for the prior calendar year. The report shall

36 include—

37 (1) a thorough statistical compilation of accidents and injuries;

38 (2) motor vehicle safety standards in effect or prescribed under this

39 chapter;

40 (3) the degree of observance of the standards;
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1 (4) a summary of current research grants and contracts and a de2 scription of the problems to be considered under those grants and con3 tracts;

4 (5) an analysis and evaluation of research activities completed and

5 technological progress achieved;

6 (6) enforcement actions;

7 (7) the extent to which technical information was given the scientific

8 community and consumer-oriented information was made available to

9 the public; and

10 (8) recommendations for legislation needed to promote cooperation

11 among the States in improving traffic safety and strengthening the na12 tional traffic safety program.

13 (b) REPORT ON IMPORTING MOTOR VEHICLES.—Not later than 18 months

14 after regulations are first prescribed under section 2(e)(1)(B) of the Imported

15 Vehicle Safety Compliance Act of 1988, the Secretary shall submit to Congress

16 a report of the actions taken to carry out subchapter III of this chapter and

17 the effectiveness of those actions, including any testing by the Secretary under

18 section 30146(c)(2) of this title. After the first report, the Secretary shall sub19 mit a report to Congress under this subsection not later than July 31 of each

20 year.

21 CHAPTER 303—NATIONAL DRIVER REGISTER

Sec.

30301. Definitions.

30302. National Driver Register.

30303. State participation.

30304. Reports by chief driver licensing officials.

30305. Access to Register information.

30306. National Driver Register Advisory Committee.

30307. Criminal penalties.

30308. Authorization of appropriations.

22 § 30301. Definitions

23 In this chapter—

24 (1) ‘‘alcohol’’ has the same meaning given that term in regulations

25 prescribed by the Secretary of Transportation.

26 (2) ‘‘chief driver licensing official’’ means the official in a State who

27 is authorized to—

28 (A) maintain a record about a motor vehicle operator’s license is29 sued by the State; and

30 (B) issue, deny, revoke, suspend, or cancel a motor vehicle opera31 tor’s license issued by the State.

32 (3) ‘‘controlled substance’’ has the same meaning given that term in

33 section 102 of the Comprehensive Drug Abuse Prevention and Control

34 Act of 1970 (21 U.S.C. 802).
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1 (4) ‘‘motor vehicle’’ means a vehicle, machine, tractor, trailer, or

2 semitrailer propelled or drawn by mechanical power and used on public

3 streets, roads, or highways, but does not include a vehicle operated only

4 on a rail line.

5 (5) ‘‘motor vehicle operator’s license’’ means a license issued by a

6 State authorizing an individual to operate a motor vehicle on public

7 streets, roads, or highways.

8 (6) ‘‘participating State’’ means a State that has notified the Sec9 retary under section 30303 of this title of its participation in the Na10 tional Driver Register.

11 (7) ‘‘State’’ means a State of the United States, the District of Colum12 bia, Puerto Rico, the Virgin Islands, Guam, American Samoa, the North13 ern Mariana Islands, the Trust Territory of the Pacific Islands, and any

14 other territory or possession of the United States.

15 (8) ‘‘State of record’’ means a State that has given the Secretary a

16 report under section 30304 of this title about an individual who is the

17 subject of a request for information made under section 30305 of this

18 title.

19 § 30302. National Driver Register

20 (a) ESTABLISHMENT AND CONTENTS.—The Secretary of Transportation

21 shall establish as soon as practicable and maintain a National Driver Reg22 ister to assist chief driver licensing officials of participating States in ex23 changing information about the motor vehicle driving records of individuals.

24 The Register shall contain an index of the information reported to the Sec25 retary under section 30304 of this title. The Register shall enable the Sec26 retary (electronically or, until all States can participate electronically, by

27 United States mail)—

28 (1) to receive information submitted under section 30304 of this title

29 by the chief driver licensing official of a State of record;

30 (2) to receive a request for information made by the chief driver licens31 ing official of a participating State under section 30305 of this title;

32 (3) to refer the request to the chief driver licensing official of a State

33 of record; and

34 (4) in response to the request, to relay information provided by a chief

35 driver licensing official of a State of record to the chief driver licensing

36 official of a participating State, without interception of the information.

37 (b) ACCURACY OF INFORMATION.—The Secretary is not responsible for the

38 accuracy of information relayed to the chief driver licensing official of a par39 ticipating State. However, the Secretary shall maintain the Register in a way

40 that ensures against inadvertent alteration of information during a relay.
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1 (c) TRANSITION FROM PRIOR REGISTER.—(1) The Secretary shall provide

2 by regulation for the orderly transition from the register maintained under

3 the Act of July 14, 1960 (Public Law 86–660, 74 Stat. 526), as restated by

4 section 401 of the National Traffic and Motor Vehicle Safety Act of 1966

5 (Public Law 89–563, 80 Stat. 730), to the Register maintained under this

6 chapter.

7 (2)(A) The Secretary shall delete from the Register a report or information

8 that was compiled under the Act of July 14, 1960 (Public Law 86–660, 74

9 Stat. 526), as restated by section 401 of the National Traffic and Motor Vehi10 cle Safety Act of 1966 (Public Law 89–563, 80 Stat. 730), and transferred

11 to the Register, after the earlier of—

12 (i) the date the State of record removes it from the State’s file;

13 (ii) 7 years after the date the report or information is entered in the

14 Register; or

15 (iii) the date a fully electronic Register system is established.

16 (B) The report or information shall be disposed of under chapter 33 of title

17 44.

18 (3) If the chief driver licensing official of a participating State finds that

19 information provided for inclusion in the Register is erroneous or is related

20 to a conviction of a traffic offense that subsequently is reversed, the official

21 immediately shall notify the Secretary. The Secretary shall provide for the

22 immediate deletion of the information from the Register.

23 (d) ASSIGNMENT OF PERSONNEL.—In carrying out this chapter, the Sec24 retary shall assign personnel necessary to ensure the effective operation of the

25 Register.

26 § 30303. State participation

27 (a) NOTIFICATION.—A State may become a participating State under this

28 chapter by notifying the Secretary of Transportation of its intention to be

29 bound by section 30304 of this title.

30 (b) WITHDRAWAL.—A participating State may end its status as a partici31 pating State by notifying the Secretary of its withdrawal from participation

32 in the National Driver Register.

33 (c) FORM AND WAY OF NOTIFICATION.—Notification by a State under this

34 section shall be made in the form and way the Secretary prescribes by regula35 tion.

36 § 30304. Reports by chief driver licensing officials

37 (a) INDIVIDUALS COVERED.—As soon as practicable, the chief driver licens38 ing official of each participating State shall submit to the Secretary of Trans39 portation a report containing the information specified by subsection (b) of

40 this section for each individual—
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1 (1) who is denied a motor vehicle operator’s license by that State for

2 cause;

3 (2) whose motor vehicle operator’s license is revoked, suspended, or

4 canceled by that State for cause; or

5 (3) who is convicted under the laws of that State of any of the follow6 ing motor vehicle-related offenses or comparable offenses:

7 (A) operating a motor vehicle while under the influence of, or im8 paired by, alcohol or a controlled substance.

9 (B) a traffic violation arising in connection with a fatal traffic

10 accident, reckless driving, or racing on the highways.

11 (C) failing to give aid or provide identification when involved in

12 an accident resulting in death or personal injury.

13 (D) perjury or knowingly making a false affidavit or statement

14 to officials about activities governed by a law or regulation on the

15 operation of a motor vehicle.

16 (b) CONTENTS.—(1) Except as provided in paragraph (2) of this sub17 section, a report under subsection (a) of this section shall contain—

18 (A) the individual’s legal name, date of birth, sex, and, at the Sec19 retary’s discretion, height, weight, and eye and hair color;

20 (B) the name of the State providing the information; and

21 (C) the social security account number if used by the State for driver

22 record or motor vehicle license purposes, and the motor vehicle operator’s

23 license number if different from the social security account number.

24 (2) A report under subsection (a) of this section about an event that occurs

25 during the 2-year period before the State becomes a participating State is suf26 ficient if the report contains all of the information that is available to the

27 chief driver licensing official when the State becomes a participating State.

28 (c) TIME FOR FILING.—If a report under subsection (a) of this section is

29 about an event that occurs—

30 (1) during the 2-year period before the State becomes a participating

31 State, the report shall be submitted not later than 6 months after the

32 State becomes a participating State; or

33 (2) after the State becomes a participating State, the report shall be

34 submitted not later than 31 days after the motor vehicle department of

35 the State receives any information specified in subsection (b)(1) of this

36 section that is the subject of the report.

37 (d) EVENTS OCCURRING BEFORE PARTICIPATION.—This section does not

38 require a State to report information about an event that occurs before the

39 2-year period before the State becomes a participating State.
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1 § 30305. Access to Register information

2 (a) REFERRALS OF INFORMATION REQUESTS.—(1) To carry out duties re3 lated to driver licensing, driver improvement, or transportation safety, the

4 chief driver licensing official of a participating State may request the Sec5 retary of Transportation to refer, electronically or by United States mail, a

6 request for information about the motor vehicle driving record of an individ7 ual to the chief driver licensing official of a State of record.

8 (2) The Secretary of Transportation shall relay, electronically or by United

9 States mail, information received from the chief driver licensing official of a

10 State of record in response to a request under paragraph (1) of this subsection

11 to the chief driver licensing official of the participating State requesting the

12 information. However, the Secretary may refuse to relay information to the

13 chief driver licensing official of a participating State that does not comply

14 with section 30304 of this title.

15 (b) REQUESTS TO OBTAIN INFORMATION.—(1) The Chairman of the Na16 tional Transportation Safety Board and the Administrator of the Federal

17 Highway Administration may request the chief driver licensing official of a

18 State to obtain information under subsection (a) of this section about an indi19 vidual who is the subject of an accident investigation conducted by the Board

20 or the Administrator. The Chairman and the Administrator may receive the

21 information.

22 (2) An individual who is employed, or is seeking employment, as a driver

23 of a motor vehicle may request the chief driver licensing official of the State

24 in which the individual is employed or seeks employment to provide informa25 tion about the individual under subsection (a) of this section to the individ26 ual’s employer or prospective employer. An employer or prospective employer

27 may receive the information and shall make the information available to the

28 individual. Information may not be obtained from the National Driver Reg29 ister under this paragraph if the information was entered in the Register

30 more than 3 years before the request.

31 (3) An individual who has received, or is applying for, an airman’s certifi32 cate may request the chief driver licensing official of a State to provide infor33 mation about the individual under subsection (a) of this section to the Ad34 ministrator of the Federal Aviation Administration. The Administrator may

35 receive the information and shall make the information available to the indi36 vidual for review and written comment. The Administrator may use the infor37 mation to verify information required to be reported to the Administrator by

38 an airman applying for an airman medical certificate and to evaluate wheth39 er the airman meets the minimum standards prescribed by the Administrator

40 to be issued an airman medical certificate. The Administrator may not other41 wise divulge or use the information. Information may not be obtained from
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1 the Register under this paragraph if the information was entered in the Reg2 ister more than 3 years before the request, unless the information is about a

3 revocation or suspension still in effect on the date of the request.

4 (4) An individual who is employed, or is seeking employment, by a rail

5 carrier as an operator of a locomotive may request the chief driver licensing

6 official of a State to provide information about the individual under sub7 section (a) of this section to the individual’s employer or prospective employer

8 or to the Secretary of Transportation. Information may not be obtained from

9 the Register under this paragraph if the information was entered in the Reg10 ister more than 3 years before the request, unless the information is about a

11 revocation or suspension still in effect on the date of the request.

12 (5) An individual who holds, or is applying for, a license or certificate of

13 registry under section 7101 of title 46, or a merchant mariner’s document

14 under section 7302 of title 46, may request the chief driver licensing official

15 of a State to provide information about the individual under subsection (a)

16 of this section to the Secretary of the department in which the Coast Guard

17 is operating. The Secretary may receive the information and shall make the

18 information available to the individual for review and written comment be19 fore denying, suspending, or revoking the license, certificate, or document of

20 the individual based on the information and before using the information in

21 an action taken under chapter 77 of title 46. The Secretary may not otherwise

22 divulge or use the information, except for purposes of section 7101, 7302, or

23 7703 of title 46. Information may not be obtained from the Register under

24 this paragraph if the information was entered in the Register more than 3

25 years before the request, unless the information is about a revocation or sus26 pension still in effect on the date of the request.

27 (6) An individual may request the chief driver licensing official of a State

28 to obtain information about the individual under subsection (a) of this sec29 tion—

30 (A) to learn whether information about the individual is being pro31 vided;

32 (B) to verify the accuracy of the information; or

33 (C) to obtain a certified copy of the information.

34 (7) A request under this subsection shall be made in the form and way the

35 Secretary of Transportation prescribes by regulation.

36 (c) RELATIONSHIP TO OTHER LAWS.—A request for, or receipt of, informa37 tion from the Register is subject to sections 552 and 552a of title 5, and other

38 applicable laws of the United States or a State, except that—

39 (1) the Secretary of Transportation may not relay or otherwise pro40 vide information specified in section 30304(b)(1)(A) or (C) of this title

41 to a person not authorized by this section to receive the information;
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1 (2) a request for, or receipt of, information by a chief driver licensing

2 official, or by a person authorized by subsection (b) of this section to re3 quest and receive the information, is deemed to be a routine use under

4 section 552a(b) of title 5; and

5 (3) receipt of information by a person authorized by this section to

6 receive the information is deemed to be a disclosure under section 552a(c)

7 of title 5, except that the Secretary of Transportation is not required to

8 retain the accounting made under section 552a(c)(1) for more than 7

9 years after the disclosure.

10 (d) AVAILABILITY OF INFORMATION PROVIDED UNDER PRIOR LAW.—Infor11 mation provided by a State under the Act of July 14, 1960 (Public Law 86–

12 660, 74 Stat. 526), as restated by section 401 of the National Traffic and

13 Motor Vehicle Safety Act of 1966 (Public Law 89–563, 80 Stat. 730), and

14 under this chapter, shall be available under this section during the transition

15 from the register maintained under that Act to the Register maintained under

16 this chapter.

17 § 30306. National Driver Register Advisory Committee

18 (a) ORGANIZATION.—There is a National Driver Register Advisory Com19 mittee.

20 (b) DUTIES.—The Committee shall advise the Secretary of Transportation

21 on—

22 (1) the efficiency of the maintenance and operation of the National

23 Driver Register; and

24 (2) the effectiveness of the Register in assisting States in exchanging

25 information about motor vehicle driving records.

26 (c) COMPOSITION AND APPOINTMENT.—The Committee is composed of 15

27 members appointed by the Secretary as follows:

28 (1) 3 members appointed from among individuals who are specially

29 qualified to serve on the Committee because of their education, training,

30 or experience, and who are not officers or employees of the United States

31 Government or a State.

32 (2) 3 members appointed from among groups outside the Government

33 that represent the interests of bus and trucking organizations, enforce34 ment officials, labor, or safety organizations.

35 (3) 9 members, geographically representative of the participating

36 States, appointed from among individuals who are chief driver licensing

37 officials of participating States.

38 (d) TERMS.—(1) Except as provided in paragraph (2) of this subsection,

39 the term of each member is 3 years.

40 (2) A vacancy on the Committee shall be filled in the same way as an

41 original appointment. A member appointed to fill a vacancy serves for the
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1 remainder of the term of that member’s predecessor. After a member’s term

2 ends, the member may continue to serve until a successor takes office.

3 (e) PAY AND EXPENSES.—Members of the Committee serve without pay.

4 However, the Secretary may reimburse a member for reasonable travel ex5 penses incurred by the member in attending meetings of the Committee.

6 (f) MEETINGS, CHAIRMAN, VICE CHAIRMAN, AND QUORUM.—(1) The Com7 mittee shall meet at least once a year.

8 (2) The Committee shall elect a Chairman and a Vice Chairman from

9 among its members.

10 (3) Eight members are a quorum.

11 (4) The Committee shall meet at the call of the Chairman or a majority

12 of the members.

13 (g) PERSONNEL AND SERVICES.—The Secretary may provide the Commit14 tee with personnel, penalty mail privileges, and similar services the Secretary

15 considers necessary to assist the Committee in carrying out its duties and

16 powers under this section.

17 (h) REPORTS.—At least once a year, the Committee shall submit to the Sec18 retary a report on the matters specified in subsection (b) of this section. The

19 report shall include any recommendations of the Committee for changes in the

20 Register.

21 (i) RELATIONSHIP TO OTHER LAWS.—The Committee is exempt from sec22 tions 10(e) and (f) and 14 of the Federal Advisory Committee Act (5 App.

23 U.S.C.).

24 § 30307. Criminal penalties

25 (a) GENERAL PENALTY.—A person (except an individual described in sec26 tion 30305(b)(6) of this title) shall be fined under title 18, imprisoned for not

27 more than one year, or both, if—

28 (1) the person receives under section 30305 of this title information

29 specified in section 30304(b)(1)(A) or (C) of this title;

30 (2) disclosure of the information is not authorized by section 30305

31 of this title; and

32 (3) the person willfully discloses the information knowing that disclo33 sure is not authorized.

34 (b) INFORMATION PENALTY.—A person knowingly and willfully requesting,

35 or under false pretenses obtaining, information specified in section

36 30304(b)(1)(A) or (C) of this title from a person receiving the information

37 under section 30305 of this title shall be fined under title 18, imprisoned for

38 not more than one year, or both.

39 § 30308. Authorization of appropriations

40 (a) GENERAL.—The Secretary of Transportation shall make available from

41 amounts made available to carry out section 402 of title 23 $4,000,000 for
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1 each of the fiscal years ending September 30, 1993, and September 30, 1994,

2 to carry out this chapter.

3 (b) AVAILABILITY OF AMOUNTS.—Amounts appropriated under this section

4 remain available until expended.

5 CHAPTER 305—NATIONAL AUTOMOBILE TITLE

6 INFORMATION SYSTEM

Sec.

30501. Definitions.

30502. National Automobile Title Information System.

30503. State participation.

30504. Reporting requirements.

30505. Penalties and enforcement.

7 § 30501. Definitions

8 In this chapter—

9 (1) ‘‘automobile’’ has the same meaning given that term in section

10 32901(a) of this title.

11 (2) ‘‘certificate of title’’ means a document issued by a State showing

12 ownership of an automobile.

13 (3) ‘‘insurance carrier’’ means an individual or entity engaged in the

14 business of underwriting automobile insurance.

15 (4) ‘‘junk automobile’’ means an automobile that—

16 (A) is incapable of operating on public streets, roads, and high17 ways; and

18 (B) has no value except as a source of parts or scrap.

19 (5) ‘‘junk yard’’ means an individual or entity engaged in the busi20 ness of acquiring or owning junk automobiles for—

21 (A) resale in their entirety or as spare parts; or

22 (B) rebuilding, restoration, or crushing.

23 (6) ‘‘operator’’ means the individual or entity authorized or designated

24 as the operator of the National Automobile Title Information System

25 under section 30502(b) of this title, or the Secretary of Transportation,

26 if there is no authorized or designated individual or entity.

27 (7) ‘‘salvage automobile’’ means an automobile that is damaged by col28 lision, fire, flood, accident, trespass, or other event, to the extent that its

29 fair salvage value plus the cost of repairing the automobile for legal oper30 ation on public streets, roads, and highways would be more than the fair

31 market value of the automobile immediately before the event that caused

32 the damage.

33 (8) ‘‘salvage yard’’ means an individual or entity engaged in the busi34 ness of acquiring or owning salvage automobiles for—

35 (A) resale in their entirety or as spare parts; or

36 (B) rebuilding, restoration, or crushing.
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1 (9) ‘‘State’’ means a State of the United States or the District of Co2 lumbia.

3 § 30502. National Automobile Title Information System

4 (a) ESTABLISHMENT OR DESIGNATION.—(1) In cooperation with the States

5 and not later than January 31, 1996, the Secretary of Transportation shall

6 establish a National Automobile Title Information System that will provide

7 individuals and entities referred to in subsection (e) of this section with in8 stant and reliable access to information maintained by the States related to

9 automobile titling described in subsection (d) of this section. However, if the

10 Secretary decides that the existing information system meets the requirements

11 of subsections (d) and (e) of this section and will permit the Secretary to

12 carry out this chapter as early as possible, the Secretary, in consultation with

13 the Attorney General, may designate an existing information system as the

14 National Automobile Title Information System.

15 (2) In cooperation with the Attorney General and the States, the Secretary

16 shall ascertain the extent to which title and related information to be included

17 in the system established under paragraph (1) of this subsection will be ade18 quate, timely, reliable, uniform, and capable of assisting in efforts to prevent

19 the introduction or reintroduction of stolen vehicles and parts into interstate

20 commerce.

21 (b) OPERATION.—The Secretary may authorize the operation of the System

22 established or designated under subsection (a)(1) of this section by agreement

23 with one or more States, or by designating, after consulting with the States,

24 a third party that represents the interests of the States.

25 (c) USER FEES.—Operation of the System established or designated under

26 subsection (a)(1) of this section shall be paid for by user fees and should be

27 self-sufficient and not be dependent on amounts from the United States Gov28 ernment. The amount of fees the operator collects and keeps under this sub29 section subject to annual appropriation laws, excluding fees the operator col30 lects and pays to an entity providing information to the operator, may be

31 not more than the costs of operating the System.

32 (d) INFORMATION REQUIREMENTS.—The System established or designated

33 under subsection (a)(1) of this section shall permit a user of the System at

34 least to establish instantly and reliably—

35 (1) the validity and status of a document purporting to be a certificate

36 of title;

37 (2) whether an automobile bearing a known vehicle identification

38 number is titled in a particular State;

39 (3) whether an automobile known to be titled in a particular State

40 is or has been a junk automobile or a salvage automobile;
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1 (4) for an automobile known to be titled in a particular State, the

2 odometer mileage disclosure required under section 32705 of this title for

3 that automobile on the date the certificate of title for that automobile was

4 issued and any later mileage information, if noted by the State; and

5 (5) whether an automobile bearing a known vehicle identification

6 number has been reported as a junk automobile or a salvage automobile

7 under section 30504 of this title.

8 (e) AVAILABILITY OF INFORMATION.—(1) The operator shall make avail9 able—

10 (A) to a participating State on request of that State, information in

11 the System about any automobile;

12 (B) to a Government, State, or local law enforcement official on re13 quest of that official, information in the System about a particular auto14 mobile, junk yard, or salvage yard;

15 (C) to a prospective purchaser of an automobile on request of that pur16 chaser, including an auction company or entity engaged in the business

17 of purchasing used automobiles, information in the System about that

18 automobile; and

19 (D) to a prospective or current insurer of an automobile on request

20 of that insurer, information in the System about that automobile.

21 (2) The operator may release only the information reasonably necessary to

22 satisfy the requirements of paragraph (1) of this subsection. The operator may

23 not collect an individual’s social security account number or permit users of

24 the System to obtain an individual’s address or social security account num25 ber.

26 § 30503. State participation

27 (a) STATE INFORMATION.—Each State shall make titling information

28 maintained by that State available for use in operating the National Auto29 mobile Title Information System established or designated under section

30 30502 of this title.

31 (b) VERIFICATION CHECKS.—Each State shall establish a practice of per32 forming an instant title verification check before issuing a certificate of title

33 to an individual or entity claiming to have purchased an automobile from

34 an individual or entity in another State. The check shall consist of—

35 (1) communicating to the operator—

36 (A) the vehicle identification number of the automobile for which

37 the certificate of title is sought;

38 (B) the name of the State that issued the most recent certificate

39 of title for the automobile; and

40 (C) the name of the individual or entity to whom the certificate

41 of title was issued; and
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1 (2) giving the operator an opportunity to communicate to the partici2 pating State the results of a search of the information.

3 (c) GRANTS TO STATES.—(1) In cooperation with the States and not later

4 than January 1, 1994, the Secretary of Transportation shall—

5 (A) conduct a review of systems used by the States to compile and

6 maintain information about the titling of automobiles; and

7 (B) determine for each State the cost of making titling information

8 maintained by that State available to the operator to meet the require9 ments of section 30502(d) of this title.

10 (2) The Secretary may make grants to participating States to be used in

11 making titling information maintained by those States available to the opera12 tor if—

13 (A) the grant to a State is not more than the lesser of—

14 (i) 25 percent of the cost of making titling information main15 tained by that State available to the operator as determined by the

16 Secretary under paragraph (1)(B) of this subsection; or

17 (ii) $300,000; and

18 (B) the Secretary decides that the grants are reasonable and necessary

19 to establish the System.

20 (d) REPORT TO CONGRESS.—Not later than January 1, 1997, the Secretary

21 shall report to Congress on which States have met the requirements of this

22 section. If a State has not met the requirements, the Secretary shall describe

23 the impediments that have resulted in the State’s failure to meet the require24 ments.

25 § 30504. Reporting requirements

26 (a) JUNK YARD AND SALVAGE YARD OPERATORS.—(1) Beginning at a

27 time established by the Secretary of Transportation that is not sooner than

28 the 3d month before the establishment or designation of the National Auto29 mobile Title Information System under section 30502 of this title, an individ30 ual or entity engaged in the business of operating a junk yard or salvage yard

31 shall file a monthly report with the operator of the System. The report shall

32 contain an inventory of all junk automobiles or salvage automobiles obtained

33 by the junk yard or salvage yard during the prior month. The inventory shall

34 contain—

35 (A) the vehicle identification number of each automobile obtained;

36 (B) the date on which the automobile was obtained;

37 (C) the name of the individual or entity from whom the automobile

38 was obtained; and

39 (D) a statement of whether the automobile was crushed or disposed of

40 for sale or other purposes.
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1 (2) Paragraph (1) of this subsection does not apply to an individual or

2 entity—

3 (A) required by State law to report the acquisition of junk automobiles

4 or salvage automobiles to State or local authorities if those authorities

5 make that information available to the operator; or

6 (B) issued a verification under section 33110 of this title stating that

7 the automobile or parts from the automobile are not reported as stolen.

8 (b) INSURANCE CARRIERS.—Beginning at a time established by the Sec9 retary that is not sooner than the 3d month before the establishment or des10 ignation of the System, an individual or entity engaged in business as an

11 insurance carrier shall file a monthly report with the operator. The report

12 may be filed directly or through a designated agent. The report shall contain

13 an inventory of all automobiles of the current model year or any of the 4

14 prior model years that the carrier, during the prior month, has obtained pos15 session of and has decided are junk automobiles or salvage automobiles. The

16 inventory shall contain—

17 (1) the vehicle identification number of each automobile obtained;

18 (2) the date on which the automobile was obtained;

19 (3) the name of the individual or entity from whom the automobile

20 was obtained; and

21 (4) the name of the owner of the automobile at the time of the filing

22 of the report.

23 (c) PROCEDURES AND PRACTICES.—The Secretary shall establish by regula24 tion procedures and practices to facilitate reporting in the least burdensome

25 and costly fashion.

26 § 30505. Penalties and enforcement

27 (a) PENALTY.—An individual or entity violating this chapter is liable to

28 the United States Government for a civil penalty of not more than $1,000

29 for each violation.

30 (b) COLLECTION AND COMPROMISE.—(1) The Secretary of Transportation

31 shall impose a civil penalty under this section. The Attorney General shall

32 bring a civil action to collect the penalty. The Secretary may compromise the

33 amount of the penalty. In determining the amount of the penalty or com34 promise, the Secretary shall consider the appropriateness of the penalty to the

35 size of the business of the individual or entity charged and the gravity of the

36 violation.

37 (2) The Government may deduct the amount of a civil penalty imposed or

38 compromised under this section from amounts it owes the individual or entity

39 liable for the penalty.
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1 PART B—COMMERCIAL

2 CHAPTER 311—COMMERCIAL MOTOR VEHICLE SAFETY

SUBCHAPTER I—STATE GRANTS

Sec.

31101. Definitions.

31102. Grants to States.

31103. United States Government’s share of costs.

31104. Availability of amounts.

31105. Employee protections.

31106. Commercial motor vehicle information system program.

31107. Truck and bus accident grant program.

31108. Authorization of appropriations.

SUBCHAPTER II—LENGTH AND WIDTH LIMITATIONS

31111. Length limitations.

31112. Property-carrying unit limitation.

31113. Width limitations.

31114. Access to the Interstate System.

31115. Enforcement.

SUBCHAPTER III—SAFETY REGULATION

31131. Purposes and findings.

31132. Definitions.

31133. General powers of the Secretary of Transportation.

31134. Commercial Motor Vehicle Safety Regulatory Review Panel.

31135. Duties of employers and employees.

31136. United States Government regulations.

31137. Monitoring device and brake maintenance regulations.

31138. Minimum financial responsibility for transporting passengers.

31139. Minimum financial responsibility for transporting property.

31140. Submission of State laws and regulations for review.

31141. Review and preemption of State laws and regulations.

31142. Inspection of vehicles.

31143. Investigating complaints and protecting complainants.

31144. Safety fitness of owners and operators.

31145. Coordination of Governmental activities and paperwork.

31146. Relationship to other laws.

31147. Limitations on authority.

SUBCHAPTER IV—MISCELLANEOUS

31161. Procedures to ensure timely correction of safety violations.

31162. Compliance review priority.

3 SUBCHAPTER I—STATE GRANTS

4 § 31101. Definitions

5 In this subchapter—

6 (1) ‘‘commercial motor vehicle’’ means (except in section 31106) a self7 propelled or towed vehicle used on the highways in commerce principally

8 to transport passengers or cargo, if the vehicle—

9 (A) has a gross vehicle weight rating of at least 10,000 pounds;

10 (B) is designed to transport more than 10 passengers including

11 the driver; or

12 (C) is used in transporting material found by the Secretary of

13 Transportation to be hazardous under section 5103 of this title.

14 (2) ‘‘employee’’ means a driver of a commercial motor vehicle (includ15 ing an independent contractor when personally operating a commercial
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1 motor vehicle), a mechanic, a freight handler, or an individual not an

2 employer, who—

3 (A) directly affects commercial motor vehicle safety in the course

4 of employment by a commercial motor carrier; and

5 (B) is not an employee of the United States Government, a State,

6 or a political subdivision of a State acting in the course of employ7 ment.

8 (3) ‘‘employer’’—

9 (A) means a person engaged in a business affecting commerce

10 that owns or leases a commercial motor vehicle in connection with

11 that business, or assigns an employee to operate the vehicle in com12 merce; but

13 (B) does not include the Government, a State, or a political sub14 division of a State.

15 (4) ‘‘State’’ means a State of the United States, the District of Colum16 bia, Puerto Rico, the Virgin Islands, American Samoa, Guam, and the

17 Northern Mariana Islands.

18 § 31102. Grants to States

19 (a) GENERAL AUTHORITY.—Subject to this section and the availability of

20 amounts, the Secretary of Transportation may make grants to States for the

21 development or implementation of programs for the enforcement of regula22 tions, standards, and orders of the United States Government on commercial

23 motor vehicle safety and compatible State regulations, standards, and orders.

24 (b) STATE PLAN PROCEDURES AND CONTENTS.—(1) The Secretary shall

25 prescribe procedures for a State to submit a plan under which the State

26 agrees to adopt and assume responsibility for enforcing regulations, stand27 ards, and orders of the Government on commercial motor vehicle safety or

28 compatible State regulations, standards, and orders. The Secretary shall ap29 prove the plan if the Secretary decides the plan is adequate to promote the

30 objectives of this section and the plan—

31 (A) designates the State motor vehicle safety agency responsible for ad32 ministering the plan throughout the State;

33 (B) contains satisfactory assurances the agency has or will have the

34 legal authority, resources, and qualified personnel necessary to enforce

35 the regulations, standards, and orders;

36 (C) contains satisfactory assurances the State will devote adequate

37 amounts to the administration of the plan and enforcement of the regula38 tions, standards, and orders;

39 (D) provides that the total expenditure of amounts of the State and

40 its political subdivisions (not including amounts of the Government) for

41 commercial motor vehicle safety programs for enforcement of commercial
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1 motor vehicle size and weight limitations, drug interdiction, and State

2 traffic safety laws and regulations under subsection (c) of this section

3 will be maintained at a level at least equal to the average level of that

4 expenditure for its last 3 full fiscal years before December 18, 1991;

5 (E) provides a right of entry and inspection to carry out the plan;

6 (F) provides that all reports required under this section be submitted

7 to the agency and that the agency will make the reports available to the

8 Secretary on request;

9 (G) provides that the agency will adopt the reporting requirements

10 and use the forms for recordkeeping, inspections, and investigations the

11 Secretary prescribes;

12 (H) requires registrants of commercial motor vehicles to make a dec13 laration of knowledge of applicable safety regulations, standards, and or14 ders of the Government and the State;

15 (I) provides that the State will grant maximum reciprocity for inspec16 tions conducted under the North American Inspection Standard through

17 the use of a nationally accepted system that allows ready identification

18 of previously inspected commercial motor vehicles;

19 (J) ensures that activities described in subsection (c) of this section,

20 if financed with grants under subsection (a) of this section, will not di21 minish the effectiveness of the development and implementation of com22 mercial motor vehicle safety programs described in subsection (a);

23 (K) ensures that fines imposed and collected by the State for violations

24 of commercial motor vehicle safety regulations will be reasonable and ap25 propriate and that, to the maximum extent practicable, the State will

26 attempt to implement the recommended fine schedule published by the

27 Commercial Vehicle Safety Alliance;

28 (L) ensures that the State agency will coordinate the plan prepared

29 under this section with the State highway safety plan under section 402

30 of title 23;

31 (M) ensures participation by the 48 contiguous States in

32 SAFETYNET not later than January 1, 1994;

33 (N) provides satisfactory assurances that the State will undertake ef34 forts that will emphasize and improve enforcement of State and local

35 traffic safety laws and regulations related to commercial motor vehicle

36 safety;

37 (O) provides satisfactory assurances that the State will promote activi38 ties—

39 (i) to remove impaired commercial motor vehicle drivers from the

40 highways of the United States through adequate enforcement of reg41 ulations on the use of alcohol and controlled substances and by en-
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1 suring ready roadside access to alcohol detection and measuring

2 equipment;

3 (ii) to provide an appropriate level of training to State motor

4 carrier safety assistance program officers and employees on rec5 ognizing drivers impaired by alcohol or controlled substances;

6 (iii) to promote enforcement of the requirements related to the li7 censing of commercial motor vehicle drivers, including checking the

8 status of commercial drivers’ licenses; and

9 (iv) to improve enforcement of hazardous material transportation

10 regulations by encouraging more inspections of shipper facilities af11 fecting highway transportation and more comprehensive inspection

12 of the loads of commercial motor vehicles transporting hazardous

13 material; and

14 (P) provides satisfactory assurances that the State will promote effec15 tive—

16 (i) interdiction activities affecting the transportation of controlled

17 substances by commercial motor vehicle drivers and training on ap18 propriate strategies for carrying out those interdiction activities;

19 and

20 (ii) use of trained and qualified officers and employees of politi21 cal subdivisions and local governments, under the supervision and

22 direction of the State motor vehicle safety agency, in the enforce23 ment of regulations affecting commercial motor vehicle safety and

24 hazardous material transportation safety.

25 (2) If the Secretary disapproves a plan under this subsection, the Secretary

26 shall give the State a written explanation and allow the State to modify and

27 resubmit the plan for approval.

28 (3) In estimating the average level of State expenditure under paragraph

29 (1)(D) of this subsection, the Secretary—

30 (A) may allow the State to exclude State expenditures for Government31 sponsored demonstration or pilot programs; and

32 (B) shall require the State to exclude Government amounts and State

33 matching amounts used to receive Government financing under sub34 section (a) of this section.

35 (c) USE OF GRANTS TO ENFORCE OTHER LAWS.—A State may use

36 amounts received under a grant under subsection (a) of this section for the

37 following activities if the activities are carried out in conjunction with an

38 appropriate inspection of the commercial motor vehicle to enforce Government

39 or State commercial motor vehicle safety regulations:

40 (1) enforcement of commercial motor vehicle size and weight limita41 tions at locations other than fixed weight facilities, at specific locations
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1 such as steep grades or mountainous terrains where the weight of a com2 mercial motor vehicle can significantly affect the safe operation of the

3 vehicle, or at ports where intermodal shipping containers enter and leave

4 the United States.

5 (2) detection of the unlawful presence of a controlled substance (as de6 fined under section 102 of the Comprehensive Drug Abuse Prevention

7 and Control Act of 1970 (21 U.S.C. 802)) in a commercial motor vehicle

8 or on the person of any occupant (including the operator) of the vehicle.

9 (3) enforcement of State traffic laws and regulations designed to pro10 mote the safe operation of commercial motor vehicles.

11 (d) CONTINUOUS EVALUATION OF PLANS.—On the basis of reports submit12 ted by a State motor vehicle safety agency of a State with a plan approved

13 under this section and the Secretary’s own investigations, the Secretary shall

14 make a continuing evaluation of the way the State is carrying out the plan.

15 If the Secretary finds, after notice and opportunity for comment, the State

16 plan previously approved is not being followed or has become inadequate to

17 ensure enforcement of the regulations, standards, or orders, the Secretary shall

18 withdraw approval of the plan and notify the State. The plan stops being

19 effective when the notice is received. A State adversely affected by the with20 drawal may seek judicial review under chapter 7 of title 5. Notwithstanding

21 the withdrawal, the State may retain jurisdiction in administrative or judi22 cial proceedings begun before the withdrawal if the issues involved are not re23 lated directly to the reasons for the withdrawal.

24 § 31103. United States Government’s share of costs

25 The Secretary of Transportation shall reimburse a State, from a grant

26 made under this subchapter, an amount that is not more than 80 percent of

27 the costs incurred by the State in a fiscal year in developing and implement28 ing programs to enforce commercial motor vehicle regulations, standards, or

29 orders adopted under this subchapter or subchapter II of this chapter. In de30 termining those costs, the Secretary shall include in-kind contributions by the

31 State. Amounts of the State and its political subdivisions required to be ex32 pended under section 31102(b)(1)(D) of this title may not be included as part

33 of the share not provided by the United States Government. The Secretary

34 may allocate among the States whose applications for grants have been ap35 proved those amounts appropriated for grants to support those programs,

36 under criteria that may be established.

37 § 31104. Availability of amounts

38 (a) GENERAL.—Subject to section 9503(c)(1) of the Internal Revenue Code

39 of 1986 (26 U.S.C. 9503(c)(1)), the following amounts are available from the

40 Highway Trust Fund (except the Mass Transit Account) for the Secretary of

41 Transportation to incur obligations to carry out section 31102 of this title:
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1 (1) not more than $76,000,000 for the fiscal year ending September

2 30, 1993.

3 (2) not more than $80,000,000 for the fiscal year ending September

4 30, 1994.

5 (3) not more than $83,000,000 for the fiscal year ending September

6 30, 1995.

7 (4) not more than $85,000,000 for the fiscal year ending September

8 30, 1996.

9 (5) not more than $90,000,000 for the fiscal year ending September

10 30, 1997.

11 (b) AVAILABILITY AND REALLOCATION OF AMOUNTS.—(1) Amounts made

12 available under subsection (a) of this section remain available until expended.

13 Allocations to a State remain available for expenditure in the State for the

14 fiscal year in which they are allocated and for the next fiscal year. Amounts

15 not expended by a State during those 2 fiscal years are released to the Sec16 retary for reallocation.

17 (2) Amounts made available under section 404(a)(2) of the Surface Trans18 portation Assistance Act of 1982 before October 1, 1991, that are not obligated

19 on October 1, 1992, are available for reallocation and obligation under para20 graph (1) of this subsection.

21 (c) REIMBURSEMENT FOR GOVERNMENT’S SHARE OF COSTS.—Amounts

22 made available under subsection (a) of this section shall be used to reimburse

23 States proportionately for the United States Government’s share of costs in24 curred.

25 (d) GRANTS AS CONTRACTUAL OBLIGATIONS.—Approval by the Secretary

26 of a grant to a State under section 31102 of this title is a contractual obliga27 tion of the Government for payment of the Government’s share of costs in28 curred by the State in developing, implementing, or developing and imple29 menting programs to enforce commercial motor vehicle regulations, standards,

30 and orders.

31 (e) DEDUCTION FOR ADMINISTRATIVE EXPENSES.—On October 1 of each

32 fiscal year or as soon after that date as practicable, the Secretary may deduct,

33 from amounts made available under subsection (a) of this section for that fis34 cal year, not more than 1.25 percent of those amounts for administrative ex35 penses incurred in carrying out section 31102 of this title in that fiscal year.

36 The Secretary shall use at least 75 percent of those deducted amounts to train

37 non-Government employees and to develop related training materials in car38 rying out section 31102.

39 (f) ALLOCATION CRITERIA.—On October 1 of each fiscal year or as soon

40 after that date as practicable, the Secretary, after making the deduction de41 scribed in subsection (e) of this section, shall allocate under criteria the Sec-
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1 retary establishes the amounts available for that fiscal year among the States

2 with plans approved under section 31102 of this title. However, the Secretary

3 may designate specific eligible States among which to allocate those amounts

4 in allocating amounts available—

5 (1) for research, development, and demonstration under subsection

6 (g)(1)(F) of this section; and

7 (2) for public education under subsection (g)(1)(G) of this section.

8 (g) SPECIFIC ALLOCATIONS.—(1) Of amounts made available under sub9 section (a) of this section—

10 (A) for each fiscal year beginning after September 30, 1992, the Sec11 retary shall obligate at least $1,500,000 to make grants to States for

12 training inspectors to enforce regulations prescribed by the Secretary re13 lated to the transportation of hazardous material by commercial motor

14 vehicles;

15 (B) for each of the fiscal years ending September 30, 1993–1997, the

16 Secretary may obligate not more than $2,000,000 to carry out section

17 31106 of this title;

18 (C) for each of the fiscal years ending September 30, 1993–1997, the

19 Secretary may obligate not more than $2,000,000 to carry out section

20 31107 of this title;

21 (D) for each of the fiscal years ending September 30, 1993–1995, the

22 Secretary shall obligate at least $4,250,000, and for each of the fiscal

23 years ending September 30, 1996, and 1997, the Secretary shall obligate

24 at least $5,000,000, for traffic enforcement activities related to commer25 cial motor vehicle drivers that are carried out in conjunction with an

26 appropriate inspection of a commercial motor vehicle for compliance

27 with Government or State commercial motor vehicle safety regulations;

28 (E) for each of the fiscal years ending September 30, 1993–1995, the

29 Secretary shall obligate at least $1,000,000 to increase enforcement of the

30 licensing requirements of chapter 313 of this title by motor carrier safety

31 assistance program officers and employees, including the cost of purchas32 ing equipment for, and conducting, inspections to check the current sta33 tus of licenses issued under chapter 313;

34 (F) for each fiscal year, the Secretary shall obligate at least $500,000

35 for research, development, and demonstration of technologies, methodolo36 gies, analyses, or information systems designed to carry out section

37 31102 of this title and that are beneficial to all jurisdictions; and

38 (G) for each fiscal year, the Secretary shall obligate at least $350,000

39 to educate the motoring public on how to share the road safely with com40 mercial motor vehicles.
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1 (2) The Secretary shall announce publicly amounts obligated under para2 graph (1)(F) of this subsection and award those amounts competitively, when

3 practicable, to any eligible State for up to 100 percent of the State costs or

4 to other persons as the Secretary decides.

5 (3) In carrying out educational activities referred to in paragraph (1)(G)

6 of this subsection, the Secretary shall consult with appropriate industry rep7 resentatives.

8 (h) PAYMENT TO STATES FOR COSTS.—Each State shall submit vouchers

9 for costs the State incurs under this section and section 31102 of this title.

10 The Secretary shall pay the State an amount not more than the Government

11 share of costs incurred as of the date of the vouchers.

12 (i) IMPROVED ALLOCATION FORMULA.—The Secretary shall prescribe regu13 lations to develop an improved formula and process for allocating amounts

14 made available for grants under section 31102(a) of this title among States

15 eligible for those amounts. In prescribing those regulations, the Secretary

16 shall—

17 (1) consider ways to provide incentives to States that demonstrate in18 novative, successful, cost-efficient, or cost-effective programs to promote

19 commercial motor vehicle safety and hazardous material transportation

20 safety;

21 (2) place special emphasis on incentives to States that conduct traffic

22 safety enforcement activities that are coupled with motor carrier safety

23 inspections; and

24 (3) consider ways to provide incentives to States that increase compat25 ibility of State commercial motor vehicle safety and hazardous material

26 transportation regulations with Government safety regulations and pro27 mote other factors intended to promote effectiveness and efficiency the

28 Secretary decides are appropriate.

29 (j) INTRASTATE COMPATIBILITY.—The Secretary shall prescribe regulations

30 specifying tolerance guidelines and standards for ensuring compatibility of

31 intrastate commercial motor vehicle safety laws and regulations with Govern32 ment motor carrier safety regulations to be enforced under section 31102(a)

33 of this title. To the extent practicable, the guidelines and standards shall

34 allow for maximum flexibility while ensuring the degree of uniformity that

35 will not diminish transportation safety. In reviewing State plans and allocat36 ing amounts or making grants under section 153 of title 23, the Secretary

37 shall ensure that the guidelines and standards are applied uniformly.

38 § 31105. Employee protections

39 (a) PROHIBITIONS.—(1) A person may not discharge an employee, or dis40 cipline or discriminate against an employee regarding pay, terms, or privi41 leges of employment, because—
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1 (A) the employee, or another person at the employee’s request, has filed

2 a complaint or begun a proceeding related to a violation of a commercial

3 motor vehicle safety regulation, standard, or order, or has testified or

4 will testify in such a proceeding; or

5 (B) the employee refuses to operate a vehicle because—

6 (i) the operation violates a regulation, standard, or order of the

7 United States related to commercial motor vehicle safety or health;

8 or

9 (ii) the employee has a reasonable apprehension of serious injury

10 to the employee or the public because of the vehicle’s unsafe condi11 tion.

12 (2) Under paragraph (1)(B)(ii) of this subsection, an employee’s apprehen13 sion of serious injury is reasonable only if a reasonable individual in the cir14 cumstances then confronting the employee would conclude that the unsafe con15 dition establishes a real danger of accident, injury, or serious impairment to

16 health. To qualify for protection, the employee must have sought from the em17 ployer, and been unable to obtain, correction of the unsafe condition.

18 (b) FILING COMPLAINTS AND PROCEDURES.—(1) An employee alleging dis19 charge, discipline, or discrimination in violation of subsection (a) of this sec20 tion, or another person at the employee’s request, may file a complaint with

21 the Secretary of Labor not later than 180 days after the alleged violation oc22 curred. On receiving the complaint, the Secretary shall notify the person al23 leged to have committed the violation of the filing of the complaint.

24 (2)(A) Not later than 60 days after receiving a complaint, the Secretary

25 shall conduct an investigation, decide whether it is reasonable to believe the

26 complaint has merit, and notify the complainant and the person alleged to

27 have committed the violation of the findings. If the Secretary decides it is rea28 sonable to believe a violation occurred, the Secretary shall include with the

29 decision findings and a preliminary order for the relief provided under para30 graph (3) of this subsection.

31 (B) Not later than 30 days after the notice under subparagraph (A) of this

32 paragraph, the complainant and the person alleged to have committed the vio33 lation may file objections to the findings or preliminary order, or both, and

34 request a hearing on the record. The filing of objections does not stay a rein35 statement ordered in the preliminary order. If a hearing is not requested

36 within the 30 days, the preliminary order is final and not subject to judicial

37 review.

38 (C) A hearing shall be conducted expeditiously. Not later than 120 days

39 after the end of the hearing, the Secretary shall issue a final order. Before

40 the final order is issued, the proceeding may be ended by a settlement agree-
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1 ment made by the Secretary, the complainant, and the person alleged to have

2 committed the violation.

3 (3)(A) If the Secretary decides, on the basis of a complaint, a person vio4 lated subsection (a) of this section, the Secretary shall order the person to—

5 (i) take affirmative action to abate the violation;

6 (ii) reinstate the complainant to the former position with the same

7 pay and terms and privileges of employment; and

8 (iii) pay compensatory damages, including back pay.

9 (B) If the Secretary issues an order under subparagraph (A) of this para10 graph and the complainant requests, the Secretary may assess against the

11 person against whom the order is issued the costs (including attorney’s fees)

12 reasonably incurred by the complainant in bringing the complaint. The Sec13 retary shall determine the costs that reasonably were incurred.

14 (c) JUDICIAL REVIEW AND VENUE.—A person adversely affected by an

15 order issued after a hearing under subsection (b) of this section may file a

16 petition for review, not later than 60 days after the order is issued, in the

17 court of appeals of the United States for the circuit in which the violation

18 occurred or the person resided on the date of the violation. The review shall

19 be heard and decided expeditiously. An order of the Secretary subject to re20 view under this subsection is not subject to judicial review in a criminal or

21 other civil proceeding.

22 (d) CIVIL ACTIONS TO ENFORCE.—If a person fails to comply with an

23 order issued under subsection (b) of this section, the Secretary shall bring a

24 civil action to enforce the order in the district court of the United States for

25 the judicial district in which the violation occurred.

26 § 31106. Commercial motor vehicle information system pro27 gram

28 (a) DEFINITION.—In this section, ‘‘commercial motor vehicle’’ means a self29 propelled or towed vehicle used on highways in intrastate or interstate com30 merce to transport passengers or property, if the vehicle—

31 (1) has a gross vehicle weight rating of at least 10,001 pounds;

32 (2) is designed to transport more than 15 passengers, including the

33 driver; or

34 (3) is used in transporting material found by the Secretary of Trans35 portation to be hazardous under section 5103 of this title and that mate36 rial is transported in a quantity requiring placarding under regulations

37 the Secretary prescribes under section 5103.

38 (b) INFORMATION SYSTEM.—(1) In cooperation with the States, the Sec39 retary may establish as part of the motor carrier safety information network

40 system of the Department of Transportation and similar State systems, an

41 information system to serve as a clearinghouse and depository of information
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1 related to State registration and licensing of commercial motor vehicles and

2 the safety fitness of the commercial motor vehicle registrants. The Secretary

3 shall include in the system information on the safety fitness of each of the

4 registrants and other information the Secretary considers appropriate, includ5 ing information on vehicle inspections and out-of-service orders.

6 (2) The operation of the information system established under paragraph

7 (1) of this subsection shall be paid for by a schedule of user fees. The Sec8 retary may authorize the operation of the information system by contract,

9 through an agreement with one or more States, or by designating, after con10 sulting with the States, a third party that represents the interests of the

11 States.

12 (3) The Secretary shall prescribe standards to ensure—

13 (A) uniform information collection and reporting by the States nec14 essary to carry out this section; and

15 (B) the availability and reliability of the information to the States

16 and the Secretary from the information system.

17 (c) DEMONSTRATION PROJECT.—The Secretary shall make grants to States

18 to carry out a project to demonstrate ways of establishing an information sys19 tem that will link the motor carrier safety information network system of the

20 Department and similar State systems with the motor vehicle registration

21 and licensing systems of the States. The project shall be designed—

22 (1) to allow a State when issuing license plates for a commercial

23 motor vehicle to establish through use of the information system the safe24 ty fitness of the person seeking to register the vehicle; and

25 (2) to decide on types of sanctions that may be imposed on the reg26 istrant, or the types of conditions or limitations that may be imposed

27 on the operations of the registrant, to ensure the safety fitness of the reg28 istrant.

29 (d) REVIEW OF STATE SYSTEMS.—Not later than December 18, 1992, the

30 Secretary, in cooperation with the States, shall review State motor vehicle

31 registration systems related to license tags for commercial motor vehicles to

32 decide whether those systems can be used in carrying out this section.

33 (e) REGULATIONS.—The Secretary shall prescribe regulations to carry out

34 this section.

35 (f) REPORT TO CONGRESS.—Not later than January 1, 1995, the Secretary

36 shall submit a report to Congress on the cost, benefits, and feasibility of the

37 information system established under subsection (b) of this section. If the Sec38 retary decides that the system would be beneficial on a nationwide basis, the

39 Secretary shall include in the report recommendations on legislation to imple40 ment a nationwide system.
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1 (g) AUTHORIZATION OF APPROPRIATIONS.—Amounts necessary to carry out

2 this section may be made available to the Secretary under section

3 31104(g)(1)(B) of this title.

4 § 31107. Truck and bus accident grant program

5 (a) STATE GRANTS.—The Secretary of Transportation shall make grants

6 to States that agree to adopt or have adopted the recommendations of the Na7 tional Governors’ Association related to police accident reports for truck and

8 bus accidents. The Secretary may make a grant under this section only to

9 assist a State in carrying out those recommendations, including—

10 (1) assisting the State in designing appropriate forms;

11 (2) drafting instruction manuals;

12 (3) training appropriate State and local officers on matters, including

13 training on accident investigation techniques to decide on the probable

14 cause of truck and bus accidents;

15 (4) analyzing and evaluating safety information to develop rec16 ommended changes to existing safety programs necessary to address more

17 effectively the causes of truck and bus accidents; and

18 (5) other activities the Secretary decides are appropriate to carry out

19 this section.

20 (b) COORDINATION WITH OTHER PROGRAMS.—The Secretary shall coordi21 nate grants made under this section with highway safety programs under sec22 tion 402 of title 23. The Secretary may require that the information from

23 police reports for truck and bus accidents be included in reports made to the

24 Secretary under the uniform information collection and reporting program

25 under section 402.

26 (c) AUTHORIZATION OF APPROPRIATIONS.—Amounts necessary to carry out

27 this section may be made available to the Secretary under section

28 31104(g)(1)(C) of this title.

29 § 31108. Authorization of appropriations

30 Not more than $––––––––– may be appropriated to the Secretary of Trans31 portation for the fiscal year ending September 30, 19––, to carry out the safe32 ty duties and powers of the Federal Highway Administration.

33 SUBCHAPTER II—LENGTH AND WIDTH LIMITATIONS

34 § 31111. Length limitations

35 (a) DEFINITIONS.—In this section—

36 (1) ‘‘maxi-cube vehicle’’ means a truck tractor combined with a

37 semitrailer and a separable property-carrying unit designed to be loaded

38 and unloaded through the semitrailer, with the length of the separable

39 property-carrying unit being not more than 34 feet and the length of the

40 vehicle combination being not more than 65 feet.

41 (2) ‘‘truck tractor’’ means—
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1 (A) a non-property-carrying power unit that operates in com2 bination with a semitrailer or trailer; or

3 (B) a power unit that carries as property only motor vehicles

4 when operating in combination with a semitrailer in transporting

5 motor vehicles.

6 (b) GENERAL LIMITATIONS.—(1) Except as provided in this section, a

7 State may not prescribe or enforce a regulation of commerce that—

8 (A) imposes a vehicle length limitation of less than 45 feet on a bus,

9 of less than 48 feet on a semitrailer operating in a truck tractor10 semitrailer combination, or of less than 28 feet on a semitrailer or trailer

11 operating in a truck tractor-semitrailer-trailer combination, on any seg12 ment of the Dwight D. Eisenhower System of Interstate and Defense

13 Highways (except a segment exempted under subsection (f) of this sec14 tion) and those classes of qualifying Federal-aid Primary System high15 ways designated by the Secretary of Transportation under subsection (e)

16 of this section;

17 (B) imposes an overall length limitation on a commercial motor vehi18 cle operating in a truck tractor-semitrailer or truck tractor-semitrailer19 trailer combination;

20 (C) has the effect of prohibiting the use of a semitrailer or trailer of

21 the same dimensions as those that were in actual and lawful use in that

22 State on December 1, 1982; or

23 (D) has the effect of prohibiting the use of an existing semitrailer or

24 trailer, of not more than 28.5 feet in length, in a truck tractor25 semitrailer-trailer combination if the semitrailer or trailer was operating

26 lawfully on December 1, 1982, within a 65-foot overall length limit in

27 any State.

28 (2) A length limitation prescribed or enforced by a State under paragraph

29 (1)(A) of this subsection applies only to a semitrailer or trailer and not to

30 a truck tractor.

31 (c) MAXI-CUBE AND VEHICLE COMBINATION LIMITATIONS.—A State may

32 not prohibit a maxi-cube vehicle or a commercial motor vehicle combination

33 consisting of a truck tractor and 2 trailing units on any segment of the

34 Dwight D. Eisenhower System of Interstate and Defense Highways (except a

35 segment exempted under subsection (f) of this section) and those classes of

36 qualifying Federal-aid Primary System highways designated by the Secretary

37 under subsection (e) of this section.

38 (d) EXCLUSION OF SAFETY AND ENERGY CONSERVATION DEVICES.—Length

39 calculated under this section does not include a safety or energy conservation

40 device the Secretary decides is necessary for safe and efficient operation of a
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1 commercial motor vehicle. However, such a device may not have by its design

2 or use the ability to carry cargo.

3 (e) QUALIFYING HIGHWAYS.—The Secretary by regulation shall designate

4 as qualifying Federal-aid Primary System highways those highways of the

5 Federal-aid Primary System in existence on June 1, 1991, that can accommo6 date safely the applicable vehicle lengths provided in this section.

7 (f) EXEMPTIONS.—(1) If the chief executive officer of a State, after consult8 ing under paragraph (2) of this subsection, decides a segment of the Dwight

9 D. Eisenhower System of Interstate and Defense Highways is not capable of

10 safely accommodating a commercial motor vehicle having a length described

11 in subsection (b)(1)(A) of this section or the motor vehicle combination de12 scribed in subsection (c) of this section, the chief executive officer may notify

13 the Secretary of that decision and request the Secretary to exempt that seg14 ment from either or both provisions.

15 (2) Before making a decision under paragraph (1) of this subsection, the

16 chief executive officer shall consult with units of local government in the State

17 in which the segment of the Dwight D. Eisenhower System of Interstate and

18 Defense Highways is located and with the chief executive officer of any adja19 cent State that may be directly affected by the exemption. As part of the con20 sultations, consideration shall be given to any potential alternative route that

21 serves the area in which the segment is located and can safely accommodate

22 a commercial motor vehicle having a length described in subsection (b)(1)(A)

23 of this section or the motor vehicle combination described in subsection (c)

24 of this section.

25 (3) A chief executive officer’s notification under this subsection must in26 clude specific evidence of safety problems supporting the officer’s decision and

27 the results of consultations about alternative routes.

28 (4)(A) If the Secretary decides, on request of a chief executive officer or on

29 the Secretary’s own initiative, a segment of the Dwight D. Eisenhower System

30 of Interstate and Defense Highways is not capable of safely accommodating

31 a commercial motor vehicle having a length described in subsection (b)(1)(A)

32 of this section or the motor vehicle combination described in subsection (c)

33 of this section, the Secretary shall exempt the segment from either or both of

34 those provisions. Before making a decision under this paragraph, the Sec35 retary shall consider any possible alternative route that serves the area in

36 which the segment is located.

37 (B) The Secretary shall make a decision about a specific segment not later

38 than 120 days after the date of receipt of notification from a chief executive

39 officer under paragraph (1) of this subsection or the date on which the Sec40 retary initiates action under subparagraph (A) of this paragraph, whichever

41 is applicable. If the Secretary finds the decision will not be made in time,
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1 the Secretary immediately shall notify Congress, giving the reasons for the

2 delay, information about the resources assigned, and the projected date for the

3 decision.

4 (C) Before making a decision, the Secretary shall give an interested person

5 notice and an opportunity for comment. If the Secretary exempts a segment

6 under this subsection before the final regulations under subsection (e) of this

7 section are prescribed, the Secretary shall include the exemption as part of

8 the final regulations. If the Secretary exempts the segment after the final reg9 ulations are prescribed, the Secretary shall publish the exemption as an

10 amendment to the final regulations.

11 (g) ACCOMMODATING SPECIALIZED EQUIPMENT.—In prescribing regula12 tions to carry out this section, the Secretary may make decisions necessary

13 to accommodate specialized equipment, including automobile and vessel trans14 porters and maxi-cube vehicles.

15 § 31112. Property-carrying unit limitation

16 (a) DEFINITIONS.—In this section—

17 (1) ‘‘property-carrying unit’’ means any part of a commercial motor

18 vehicle combination (except the truck tractor) used to carry property, in19 cluding a trailer, a semitrailer, or the property-carrying section of a sin20 gle unit truck.

21 (2) the length of the property-carrying units of a commercial motor

22 vehicle combination is the length measured from the front of the first

23 property-carrying unit to the rear of the last property-carrying unit.

24 (b) GENERAL LIMITATIONS.—A State may not allow by any means the op25 eration, on any segment of the Dwight D. Eisenhower System of Interstate

26 and Defense Highways and those classes of qualifying Federal-aid Primary

27 System highways designated by the Secretary of Transportation under section

28 31111(e) of this title, of any commercial motor vehicle combination (except

29 a vehicle or load that cannot be dismantled easily or divided easily and that

30 has been issued a special permit under applicable State law) with more than

31 one property-carrying unit (not including the truck tractor) whose property32 carrying units are more than—

33 (1) the maximum combination trailer, semitrailer, or other type of

34 length limitation allowed by law or regulation of that State before June

35 2, 1991; or

36 (2) the length of the property-carrying units of those commercial motor

37 vehicle combinations, by specific configuration, in actual, lawful oper38 ation on a regular or periodic basis (including continuing seasonal oper39 ation) in that State before June 2, 1991.

40 (c) SPECIAL RULES FOR WYOMING, OHIO, AND ALASKA.—In addition to

41 the vehicles allowed under subsection (b) of this section—
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1 (1) Wyoming may allow the operation of additional vehicle configura2 tions not in actual operation on June 1, 1991, but authorized by State

3 law not later than November 3, 1992, if the vehicle configurations com4 ply with the single axle, tandem axle, and bridge formula limits in sec5 tion 127(a) of title 23 and are not more than 117,000 pounds gross vehi6 cle weight;

7 (2) Ohio may allow the operation of commercial motor vehicle com8 binations with 3 property-carrying units of 28.5 feet each (not including

9 the truck tractor) not in actual operation on June 1, 1991, to be operated

10 in Ohio on the 1-mile segment of Ohio State Route 7 that begins at and

11 is south of exit 16 of the Ohio Turnpike; and

12 (3) Alaska may allow the operation of commercial motor vehicle com13 binations that were not in actual operation on June 1, 1991, but were

14 in actual operation before July 6, 1991.

15 (d) ADDITIONAL LIMITATIONS.—(1) A commercial motor vehicle combina16 tion whose operation in a State is not prohibited under subsections (b) and

17 (c) of this section may continue to operate in the State on highways described

18 in subsection (b) only if at least in compliance with all State laws, regula19 tions, limitations, and conditions, including routing-specific and configura20 tion-specific designations and all other restrictions in force in the State on

21 June 1, 1991. However, subject to regulations prescribed by the Secretary

22 under subsection (g)(2) of this section, the State may make minor adjustments

23 of a temporary and emergency nature to route designations and vehicle oper24 ating restrictions in effect on June 1, 1991, for specific safety purposes and

25 road construction.

26 (2) This section does not prevent a State from further restricting in any

27 way or prohibiting the operation of any commercial motor vehicle combina28 tion subject to this section, except that a restriction or prohibition shall be

29 consistent with this section and sections 31113(a) and (b) and 31114 of this

30 title.

31 (3) A State making a minor adjustment of a temporary and emergency na32 ture as authorized by paragraph (1) of this subsection or further restricting

33 or prohibiting the operation of a commercial motor vehicle combination as

34 authorized by paragraph (2) of this subsection shall advise the Secretary not

35 later than 30 days after the action. The Secretary shall publish a notice of

36 the action in the Federal Register.

37 (e) LIST OF STATE LENGTH LIMITATIONS.—(1) Not later than February

38 16, 1992, each State shall submit to the Secretary for publication a complete

39 list of State length limitations applicable to commercial motor vehicle com40 binations operating in the State on the highways described in subsection (b)

41 of this section. The list shall indicate the applicable State laws and regula-
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1 tions associated with the length limitations. If a State does not submit the

2 information as required, the Secretary shall complete and file the information

3 for the State.

4 (2) Not later than March 17, 1992, the Secretary shall publish an interim

5 list in the Federal Register consisting of all information submitted under

6 paragraph (1) of this subsection. The Secretary shall review for accuracy all

7 information submitted by a State under paragraph (1) and shall solicit and

8 consider public comment on the accuracy of the information.

9 (3) A law or regulation may not be included on the list submitted by a

10 State or published by the Secretary merely because it authorized, or could

11 have authorized, by permit or otherwise, the operation of commercial motor

12 vehicle combinations not in actual operation on a regular or periodic basis

13 before June 2, 1991.

14 (4) Except as revised under this paragraph or paragraph (5) of this sub15 section, the list shall be published as final in the Federal Register not later

16 than June 15, 1992. In publishing the final list, the Secretary shall make any

17 revisions necessary to correct inaccuracies identified under paragraph (2) of

18 this subsection. After publication of the final list, commercial motor vehicle

19 combinations prohibited under subsection (b) of this section may not operate

20 on the Dwight D. Eisenhower System of Interstate and Defense Highways and

21 other Federal-aid Primary System highways designated by the Secretary ex22 cept as published on the list. The list may be combined by the Secretary with

23 the list required under section 127(d) of title 23.

24 (5) On the Secretary’s own motion or on request by any person (including

25 a State), the Secretary shall review the list published under paragraph (4)

26 of this subsection. If the Secretary decides there is reason to believe a mistake

27 was made in the accuracy of the list, the Secretary shall begin a proceeding

28 to decide whether a mistake was made. If the Secretary decides there was a

29 mistake, the Secretary shall publish the correction.

30 (f) LIMITATIONS ON STATUTORY CONSTRUCTION.—This section may not be

31 construed—

32 (1) to allow the operation on any segment of the Dwight D. Eisen33 hower System of Interstate and Defense Highways of a longer combina34 tion vehicle prohibited under section 127(d) of title 23;

35 (2) to affect in any way the operation of a commercial motor vehicle

36 having only one property-carrying unit; or

37 (3) to affect in any way the operation in a State of a commercial

38 motor vehicle with more than one property-carrying unit if the vehicle

39 was in actual operation on a regular or periodic basis (including sea40 sonal operation) in that State before June 2, 1991, that was authorized

41 under State law or regulation or lawful State permit.
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1 (g) REGULATIONS.—(1) In carrying out this section only, the Secretary

2 shall define by regulation loads that cannot be dismantled easily or divided

3 easily.

4 (2) Not later than June 15, 1992, the Secretary shall prescribe regulations

5 establishing criteria for a State to follow in making minor adjustments under

6 subsection (d) of this section.

7 § 31113. Width limitations

8 (a) GENERAL LIMITATIONS.—(1) Except as provided in subsection (e) of

9 this section, a State (except Hawaii) may not prescribe or enforce a regula10 tion of commerce that imposes a vehicle width limitation of more or less than

11 102 inches on a commercial motor vehicle operating on—

12 (A) a segment of the Dwight D. Eisenhower System of Interstate and

13 Defense Highways (except a segment exempted under subsection (e) of

14 this section);

15 (B) a qualifying Federal-aid highway designated by the Secretary of

16 Transportation, with traffic lanes designed to be at least 12 feet wide;

17 or

18 (C) a qualifying Federal-aid Primary System highway designated by

19 the Secretary if the Secretary decides the designation is consistent with

20 highway safety.

21 (2) Notwithstanding paragraph (1) of this subsection, a State may continue

22 to enforce a regulation of commerce in effect on April 6, 1983, that applies

23 to a commercial motor vehicle of more than 102 inches in width, until the

24 date on which the State prescribes a regulation of commerce that complies

25 with this subsection.

26 (3) A Federal-aid highway (except an interstate highway) not designated

27 under this subsection on June 5, 1984, may be designated under this sub28 section only with the agreement of the chief executive officer of the State in

29 which the highway is located.

30 (b) EXCLUSION OF SAFETY AND ENERGY CONSERVATION DEVICES.—Width

31 calculated under this section does not include a safety or energy conservation

32 device the Secretary decides is necessary for safe and efficient operation of a

33 commercial motor vehicle.

34 (c) SPECIAL USE PERMITS.—A State may grant a special use permit to

35 a commercial motor vehicle that is more than 102 inches in width.

36 (d) STATE ENFORCEMENT.—Consistent with this section, a State may en37 force a commercial motor vehicle width limitation of 102 inches on a segment

38 of the Dwight D. Eisenhower System of Interstate and Defense Highways (ex39 cept a segment exempted under subsection (e) of this section) or other qualify40 ing Federal-aid highway designated by the Secretary.
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1 (e) EXEMPTIONS.—(1) If the chief executive officer of a State, after consult2 ing under paragraph (2) of this subsection, decides a segment of the Dwight

3 D. Eisenhower System of Interstate and Defense Highways is not capable of

4 safely accommodating a commercial motor vehicle having the width provided

5 in subsection (a) of this section, the chief executive officer may notify the Sec6 retary of that decision and request the Secretary to exempt that segment from

7 subsection (a) to allow the State to impose a width limitation of less than

8 102 inches for a vehicle (except a bus) on that segment.

9 (2) Before making a decision under paragraph (1) of this subsection, the

10 chief executive officer shall consult with units of local government in the State

11 in which the segment of the Dwight D. Eisenhower System of Interstate and

12 Defense Highways is located and with the chief executive officer of any adja13 cent State that may be directly affected by the exemption. As part of the con14 sultations, consideration shall be given to any potential alternative route that

15 serves the area in which the segment is located and can safely accommodate

16 a commercial motor vehicle having the width provided for in subsection (a)

17 of this section.

18 (3) A chief executive officer’s notification under this subsection must in19 clude specific evidence of safety problems supporting the officer’s decision and

20 the results of consultations about alternative routes.

21 (4)(A) If the Secretary decides, on request of a chief executive officer or on

22 the Secretary’s own initiative, a segment of the Dwight D. Eisenhower System

23 of Interstate and Defense Highways is not capable of safely accommodating

24 a commercial motor vehicle having a width provided in subsection (a) of this

25 section, the Secretary shall exempt the segment from subsection (a) to allow

26 the State to impose a width limitation of less than 102 inches for a vehicle

27 (except a bus) on that segment. Before making a decision under this para28 graph, the Secretary shall consider any possible alternative route that serves

29 the area in which the segment is located.

30 (B) The Secretary shall make a decision about a specific segment not later

31 than 120 days after the date of receipt of notification from a chief executive

32 officer under paragraph (1) of this subsection or the date on which the Sec33 retary initiates action under subparagraph (A) of this paragraph, whichever

34 is applicable. If the Secretary finds the decision will not be made in time,

35 the Secretary immediately shall notify Congress, giving the reasons for the

36 delay, information about the resources assigned, and the projected date for the

37 decision.

38 (C) Before making a decision, the Secretary shall give an interested person

39 notice and an opportunity for comment. If the Secretary exempts a segment

40 under this subsection before the final regulations under subsection (a) of this

41 section are prescribed, the Secretary shall include the exemption as part of
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1 the final regulations. If the Secretary exempts the segment after the final reg2 ulations are prescribed, the Secretary shall publish the exemption as an

3 amendment to the final regulations.

4 § 31114. Access to the Interstate System

5 (a) PROHIBITION ON DENYING ACCESS.—A State may not enact or enforce

6 a law denying to a commercial motor vehicle subject to this subchapter or

7 subchapter I of this chapter reasonable access between—

8 (1) the Dwight D. Eisenhower System of Interstate and Defense High9 ways (except a segment exempted under section 31111(f) or 31113(e) of

10 this title) and other qualifying Federal-aid Primary System highways

11 designated by the Secretary of Transportation; and

12 (2) terminals, facilities for food, fuel, repairs, and rest, and points of

13 loading and unloading for household goods carriers, motor carriers of

14 passengers, or any truck tractor-semitrailer combination in which the

15 semitrailer has a length of not more than 28.5 feet and that generally

16 operates as part of a vehicle combination described in section 31111(c)

17 of this title.

18 (b) EXCEPTION.—This section does not prevent a State or local government

19 from imposing reasonable restrictions, based on safety considerations, on a

20 truck tractor-semitrailer combination in which the semitrailer has a length

21 of not more than 28.5 feet and that generally operates as part of a vehicle

22 combination described in section 31111(c) of this title.

23 § 31115. Enforcement

24 On the request of the Secretary of Transportation, the Attorney General

25 shall bring a civil action for appropriate injunctive relief to ensure compli26 ance with this subchapter or subchapter I of this chapter. The action may

27 be brought in a district court of the United States in any State in which the

28 relief is required. On a proper showing, the court shall issue a temporary re29 straining order or preliminary or permanent injunction. An injunction under

30 this section may order a State or person to comply with this subchapter, sub31 chapter I, or a regulation prescribed under this subchapter or subchapter I.

32 SUBCHAPTER III—SAFETY REGULATION

33 § 31131. Purposes and findings

34 (a) PURPOSES.—The purposes of this subchapter are—

35 (1) to promote the safe operation of commercial motor vehicles;

36 (2) to minimize dangers to the health of operators of commercial motor

37 vehicles and other employees whose employment directly affects motor

38 carrier safety; and

39 (3) to ensure increased compliance with traffic laws and with the com40 mercial motor vehicle safety and health regulations and standards pre41 scribed and orders issued under this chapter.
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1 (b) FINDINGS.—Congress finds—

2 (1) it is in the public interest to enhance commercial motor vehicle

3 safety and thereby reduce highway fatalities, injuries, and property dam4 age;

5 (2) improved, more uniform commercial motor vehicle safety measures

6 and strengthened enforcement would reduce the number of fatalities and

7 injuries and the level of property damage related to commercial motor

8 vehicle operations;

9 (3) enhanced protection of the health of commercial motor vehicle oper10 ators is in the public interest; and

11 (4) interested State governments can provide valuable assistance to the

12 United States Government in ensuring that commercial motor vehicle op13 erations are conducted safely and healthfully.

14 § 31132. Definitions

15 In this subchapter—

16 (1) ‘‘commercial motor vehicle’’ means a self-propelled or towed vehicle

17 used on the highways in interstate commerce to transport passengers or

18 property, if the vehicle—

19 (A) has a gross vehicle weight rating of at least 10,001 pounds;

20 (B) is designed to transport more than 15 passengers including

21 the driver; or

22 (C) is used in transporting material found by the Secretary of

23 Transportation to be hazardous under section 5103 of this title and

24 transported in a quantity requiring placarding under regulations

25 prescribed by the Secretary under section 5103.

26 (2) ‘‘employee’’ means an operator of a commercial motor vehicle (in27 cluding an independent contractor when operating a commercial motor

28 vehicle), a mechanic, a freight handler, or an individual not an em29 ployer, who—

30 (A) directly affects commercial motor vehicle safety in the course

31 of employment; and

32 (B) is not an employee of the United States Government, a State,

33 or a political subdivision of a State acting in the course of the em34 ployment by the Government, a State, or a political subdivision of

35 a State.

36 (3) ‘‘employer’’—

37 (A) means a person engaged in a business affecting interstate

38 commerce that owns or leases a commercial motor vehicle in connec39 tion with that business, or assigns an employee to operate it; but

40 (B) does not include the Government, a State, or a political sub41 division of a State.
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1 (4) ‘‘interstate commerce’’ means trade, traffic, or transportation in

2 the United States between a place in a State and—

3 (A) a place outside that State (including a place outside the

4 United States); or

5 (B) another place in the same State through another State or

6 through a place outside the United States.

7 (5) ‘‘intrastate commerce’’ means trade, traffic, or transportation in

8 a State that is not interstate commerce.

9 (6) ‘‘regulation’’ includes a standard or order.

10 (7) ‘‘State’’ means a State of the United States, the District of Colum11 bia, and, in sections 31136 and 31140–31142 of this title, a political

12 subdivision of a State.

13 (8) ‘‘State law’’ includes a law enacted by a political subdivision of

14 a State.

15 (9) ‘‘State regulation’’ includes a regulation prescribed by a political

16 subdivision of a State.

17 (10) ‘‘United States’’ means the States of the United States and the

18 District of Columbia.

19 § 31133. General powers of the Secretary of Transportation

20 (a) GENERAL.—In carrying out this subchapter and regulations prescribed

21 under section 31102 of this title, the Secretary of Transportation may—

22 (1) conduct inspections and investigations;

23 (2) compile statistics;

24 (3) make reports;

25 (4) issue subpenas;

26 (5) require production of records and property;

27 (6) take depositions;

28 (7) hold hearings;

29 (8) prescribe recordkeeping and reporting requirements;

30 (9) conduct or make contracts for studies, development, testing, evalua31 tion, and training; and

32 (10) perform other acts the Secretary considers appropriate.

33 (b) CONSULTATION.—In conducting inspections and investigations under

34 subsection (a) of this section, the Secretary shall consult, as appropriate, with

35 employers and employees and their authorized representatives and offer them

36 a right of accompaniment.

37 (c) DELEGATION.—The Secretary may delegate to a State receiving a grant

38 under section 31102 of this title those duties and powers related to enforce39 ment (including conducting investigations) of this subchapter and regulations

40 prescribed under this subchapter that the Secretary considers appropriate.
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1 § 31134. Commercial Motor Vehicle Safety Regulatory Review

2 Panel

3 (a) ESTABLISHMENT AND GENERAL DUTY.—The Secretary of Transpor4 tation shall establish the Commercial Motor Vehicle Safety Regulatory Review

5 Panel. The Panel shall analyze and review State laws and regulations under

6 sections 31140 and 31141 of this title.

7 (b) SPECIFIC DUTIES.—The Panel shall—

8 (1) carry out those duties and powers designated to be carried out by

9 the Panel under sections 31140 and 31141 of this title;

10 (2) conduct a study to—

11 (A) evaluate the need, if any, for additional assistance from the

12 United States Government to the States to enable them to enforce

13 the regulations prescribed by the Secretary under section 31136 of

14 this title; and

15 (B) decide on other methods of furthering the purposes of this sub16 chapter; and

17 (3) make recommendations to the Secretary based on the results of the

18 study conducted under clause (2) of this subsection.

19 (c) COMPOSITION, APPOINTMENT, AND TERMS.—(1) The Panel shall be

20 composed of 15 members as follows:

21 (A) the Secretary or the Secretary’s delegate.

22 (B) 7 individuals appointed by the Secretary from among individuals

23 who represent the interests of States and political subdivisions of States

24 and whose names have been submitted to the Secretary by the Committee

25 on Commerce, Science, and Transportation of the Senate or the Commit26 tee on Public Works and Transportation of the House of Representatives.

27 (C) 7 individuals appointed by the Secretary from among individuals

28 who represent the interests of business, consumer, labor, and safety

29 groups and whose names have been submitted to the Secretary by the

30 Committee on Commerce, Science, and Transportation of the Senate or

31 the Committee on Public Works and Transportation of the House of Rep32 resentatives.

33 (2) The Secretary shall select the individuals to be appointed under this

34 subsection on the basis of their knowledge, expertise, or experience related to

35 commercial motor vehicle safety. Half of the appointments shall be made from

36 names submitted by the Committee on Commerce, Science, and Transpor37 tation of the Senate, and the other half from names submitted by the Commit38 tee on Public Works and Transportation of the House of Representatives.

39 Each of these committees shall submit to the Secretary the names of 20 indi40 viduals qualified to serve on the Panel.
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1 (3) The term of each member of the Panel appointed under paragraph

2 (1)(B) and (C) of this subsection is 7 years.

3 (4) A vacancy on the Panel shall be filled in the way the original appoint4 ment was made. The vacancy does not affect the Panel’s powers.

5 (d) CHAIRMAN, QUORUM, MEETINGS, AND PAY.—(1) The Secretary is the

6 Chairman of the Panel.

7 (2) Eight members of the Panel are a quorum, but the Panel may establish

8 a lesser number as a quorum to hold hearings, take testimony, and receive

9 evidence.

10 (3) The Panel shall meet at the call of the Chairman or a majority of its

11 members.

12 (4) Members of the Panel shall serve without pay, except that they shall

13 receive expenses under section 5703 of title 5.

14 (e) PERSONNEL, OFFICE SPACE, AND SUPPORT SERVICES.—On request of

15 the Panel, the Secretary shall—

16 (1) detail personnel of the Department of Transportation to the Panel

17 as necessary to assist the Panel in carrying out its duties and powers;

18 and

19 (2) provide office space, supplies, equipment, and other support serv20 ices to the Panel as necessary for the Panel to carry out its duties and

21 powers.

22 (f) HEARINGS AND OTHER ACTIONS.—To carry out the duties and powers

23 of the Panel under this subchapter, the Panel or any member authorized by

24 the Panel may hold hearings, sit and act at times and places, take testimony,

25 and take other actions the Panel or the member considers advisable. A member

26 of the Panel may administer oaths to witnesses appearing before the Panel

27 or the member.

28 (g) TEMPORARY AND INTERMITTENT SERVICES.—Subject to regulations the

29 Panel may prescribe, the Chairman may procure the temporary or intermit30 tent services of experts or consultants under section 3109 of title 5.

31 § 31135. Duties of employers and employees

32 Each employer and employee shall comply with regulations on commercial

33 motor vehicle safety prescribed by the Secretary of Transportation under this

34 subchapter that apply to the employer’s or employee’s conduct.

35 § 31136. United States Government regulations

36 (a) MINIMUM SAFETY STANDARDS.—Subject to section 30103(a) of this

37 title, the Secretary of Transportation shall prescribe regulations on commer38 cial motor vehicle safety. The regulations shall prescribe minimum safety

39 standards for commercial motor vehicles. At a minimum, the regulations shall

40 ensure that—
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1 (1) commercial motor vehicles are maintained, equipped, loaded, and

2 operated safely;

3 (2) the responsibilities imposed on operators of commercial motor vehi4 cles do not impair their ability to operate the vehicles safely;

5 (3) the physical condition of operators of commercial motor vehicles

6 is adequate to enable them to operate the vehicles safely; and

7 (4) the operation of commercial motor vehicles does not have a delete8 rious effect on the physical condition of the operators.

9 (b) ELIMINATING AND AMENDING EXISTING REGULATIONS.—The Secretary

10 may not eliminate or amend an existing motor carrier safety regulation relat11 ed only to the maintenance, equipment, loading, or operation (including rout12 ing) of vehicles carrying material found to be hazardous under section 5103

13 of this title until an equivalent or more stringent regulation has been pre14 scribed under section 5103.

15 (c) PROCEDURES AND CONSIDERATIONS.—(1) A regulation under this sec16 tion shall be prescribed under section 553 of title 5 (without regard to sections

17 556 and 557 of title 5).

18 (2) Before prescribing regulations under this section, the Secretary shall

19 consider, to the extent practicable and consistent with the purposes of this

20 chapter—

21 (A) costs and benefits; and

22 (B) State laws and regulations on commercial motor vehicle safety, to

23 minimize their unnecessary preemption.

24 (d) EFFECT OF EXISTING REGULATIONS.—If the Secretary does not pre25 scribe regulations on commercial motor vehicle safety under this section, regu26 lations on commercial motor vehicle safety prescribed by the Secretary before

27 October 30, 1984, and in effect on October 30, 1984, shall be deemed in this

28 subchapter to be regulations prescribed by the Secretary under this section.

29 (e) WAIVERS.—After notice and an opportunity for comment, the Secretary

30 may waive any part of a regulation prescribed under this section as it applies

31 to a person or class of persons, if the Secretary decides that the waiver is

32 consistent with the public interest and the safe operation of commercial motor

33 vehicles. Under this subsection, the Secretary shall waive the regulations pre34 scribed under this section as they apply to schoolbuses (as defined in section

35 30125(a) of this title) unless the Secretary decides that making the regulations

36 applicable to schoolbuses is necessary for public safety, considering all laws

37 of the United States and States applicable to schoolbuses. A waiver under this

38 subsection shall be published in the Federal Register, with the reasons for the

39 waiver.

40 (f) LIMITATIONS ON MUNICIPALITY AND COMMERCIAL ZONE EXEMPTIONS

41 AND WAIVERS.—(1) The Secretary may not—
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1 (A) exempt a person or commercial motor vehicle from a regulation

2 related to commercial motor vehicle safety only because the operations of

3 the person or vehicle are entirely in a municipality or commercial zone

4 of a municipality; or

5 (B) waive application to a person or commercial motor vehicle of a

6 regulation related to commercial motor vehicle safety only because the op7 erations of the person or vehicle are entirely in a municipality or com8 mercial zone of a municipality.

9 (2) If a person was authorized to operate a commercial motor vehicle in

10 a municipality or commercial zone of a municipality in the United States

11 for the entire period from November 19, 1987, through November 18, 1988,

12 and if the person is otherwise qualified to operate a commercial motor vehicle,

13 the person may operate a commercial motor vehicle entirely in a municipal14 ity or commercial zone of a municipality notwithstanding—

15 (A) paragraph (1) of this subsection;

16 (B) a minimum age requirement of the United States Government for

17 operation of the vehicle; and

18 (C) a medical or physical condition that—

19 (i) would prevent an operator from operating a commercial

20 motor vehicle under the commercial motor vehicle safety regulations

21 in title 49, Code of Federal Regulations;

22 (ii) existed on July 1, 1988;

23 (iii) has not substantially worsened; and

24 (iv) does not involve alcohol or drug abuse.

25 (3) This subsection does not affect a State commercial motor vehicle safety

26 law applicable to intrastate commerce.

27 § 31137. Monitoring device and brake maintenance regula28 tions

29 (a) USE OF MONITORING DEVICES.—If the Secretary of Transportation

30 prescribes a regulation about the use of monitoring devices on commercial

31 motor vehicles to increase compliance by operators of the vehicles with hours

32 of service regulations of the Secretary, the regulation shall ensure that the de33 vices are not used to harass vehicle operators. However, the devices may be

34 used to monitor productivity of the operators.

35 (b) BRAKES AND BRAKE SYSTEMS MAINTENANCE REGULATIONS.—Not

36 later than December 31, 1990, the Secretary shall prescribe regulations on im37 proved standards or methods to ensure that brakes and brake systems of com38 mercial motor vehicles are maintained properly and inspected by appropriate

39 employees. At a minimum, the regulations shall establish minimum training

40 requirements and qualifications for employees responsible for maintaining

41 and inspecting the brakes and brake systems.
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1 § 31138. Minimum financial responsibility for transporting

2 passengers

3 (a) GENERAL REQUIREMENT.—The Secretary of Transportation shall pre4 scribe regulations to require minimum levels of financial responsibility suffi5 cient to satisfy liability amounts established by the Secretary covering public

6 liability and property damage for the transportation of passengers for com7 pensation by motor vehicle in the United States between a place in a State

8 and—

9 (1) a place in another State;

10 (2) another place in the same State through a place outside of that

11 State; or

12 (3) a place outside the United States.

13 (b) MINIMUM AMOUNTS.—The level of financial responsibility established

14 under subsection (a) of this section for a motor vehicle with a seating capacity

15 of—

16 (1) at least 16 passengers shall be at least $5,000,000; and

17 (2) not more than 15 passengers shall be at least $1,500,000.

18 (c) EVIDENCE OF FINANCIAL RESPONSIBILITY.—(1) Subject to paragraph

19 (2) of this subsection, financial responsibility may be established by evidence

20 of one or a combination of the following if acceptable to the Secretary of

21 Transportation:

22 (A) insurance, including high self-retention.

23 (B) a guarantee.

24 (C) a surety bond issued by a bonding company authorized to do busi25 ness in the United States.

26 (2) A person domiciled in a country contiguous to the United States and

27 providing transportation to which a minimum level of financial responsibil28 ity under this section applies shall have evidence of financial responsibility

29 in the motor vehicle when the person is providing the transportation. If evi30 dence of financial responsibility is not in the vehicle, the Secretary of Trans31 portation and the Secretary of the Treasury shall deny entry of the vehicle

32 into the United States.

33 (d) CIVIL PENALTY.—(1) If, after notice and an opportunity for a hearing,

34 the Secretary of Transportation finds that a person (except an employee act35 ing without knowledge) has knowingly violated this section or a regulation

36 prescribed under this section, the person is liable to the United States Govern37 ment for a civil penalty of not more than $10,000 for each violation. A sepa38 rate violation occurs for each day the violation continues.

39 (2) The Secretary of Transportation shall impose the penalty by written

40 notice. In determining the amount of the penalty, the Secretary shall con41 sider—
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1 (A) the nature, circumstances, extent, and gravity of the violation;

2 (B) with respect to the violator, the degree of culpability, any history

3 of prior violations, the ability to pay, and any effect on the ability to

4 continue doing business; and

5 (C) other matters that justice requires.

6 (3) The Secretary of Transportation may compromise the penalty before re7 ferring the matter to the Attorney General for collection.

8 (4) The Attorney General shall bring a civil action in an appropriate dis9 trict court of the United States to collect a penalty referred to the Attorney

10 General for collection under this subsection.

11 (5) The amount of the penalty may be deducted from amounts the Govern12 ment owes the person. An amount collected under this section shall be depos13 ited in the Treasury as miscellaneous receipts.

14 (e) NONAPPLICATION.—This section does not apply to a motor vehicle—

15 (1) transporting only school children and teachers to or from school;

16 (2) providing taxicab service, having a seating capacity of not more

17 than 6 passengers, and not being operated on a regular route or between

18 specified places; or

19 (3) carrying not more than 15 individuals in a single, daily round

20 trip to and from work.

21 § 31139. Minimum financial responsibility for transporting

22 property

23 (a) DEFINITIONS.—In this section—

24 (1) ‘‘farm vehicle’’ means a vehicle—

25 (A) designed or adapted and used only for agriculture;

26 (B) operated by a motor private carrier (as defined in section

27 10102 of this title); and

28 (C) operated only incidentally on highways.

29 (2) ‘‘interstate commerce’’ includes transportation between a place in

30 a State and a place outside the United States, to the extent the transpor31 tation is in the United States.

32 (3) ‘‘State’’ means a State of the United States, the District of Colum33 bia, Puerto Rico, the Virgin Islands, American Samoa, Guam, and the

34 Northern Mariana Islands.

35 (b) GENERAL REQUIREMENT AND MINIMUM AMOUNT.—(1) The Secretary

36 of Transportation shall prescribe regulations to require minimum levels of fi37 nancial responsibility sufficient to satisfy liability amounts established by the

38 Secretary covering public liability, property damage, and environmental res39 toration for the transportation of property for compensation by motor vehicle

40 in the United States between a place in a State and—

41 (A) a place in another State;
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1 (B) another place in the same State through a place outside of that

2 State; or

3 (C) a place outside the United States.

4 (2) The level of financial responsibility established under paragraph (1) of

5 this subsection shall be at least $750,000.

6 (c) REQUIREMENTS FOR HAZARDOUS MATTER AND OIL.—(1) The Sec7 retary of Transportation shall prescribe regulations to require minimum lev8 els of financial responsibility sufficient to satisfy liability amounts established

9 by the Secretary covering public liability, property damage, and environ10 mental restoration for the transportation by motor vehicle in interstate or

11 intrastate commerce of—

12 (A) hazardous material (as defined by the Secretary);

13 (B) oil or hazardous substances (as defined by the Administrator of

14 the Environmental Protection Agency); or

15 (C) hazardous wastes (as defined by the Administrator).

16 (2)(A) Except as provided in subparagraph (B) of this paragraph, the level

17 of financial responsibility established under paragraph (1) of this subsection

18 shall be at least $5,000,000 for the transportation—

19 (i) of hazardous substances (as defined by the Administrator) in cargo

20 tanks, portable tanks, or hopper-type vehicles, with capacities of more

21 than 3,500 water gallons;

22 (ii) in bulk of class A explosives, poison gas, liquefied gas, or com23 pressed gas; or

24 (iii) of large quantities of radioactive material.

25 (B) The Secretary of Transportation by regulation may reduce the mini26 mum level in subparagraph (A) of this paragraph (to an amount not less

27 than $1,000,000) for transportation described in subparagraph (A) in any of

28 the territories of Puerto Rico, the Virgin Islands, American Samoa, Guam,

29 and the Northern Mariana Islands if—

30 (i) the chief executive officer of the territory requests the reduction;

31 (ii) the reduction will prevent a serious disruption in transportation

32 service and will not adversely affect public safety; and

33 (iii) insurance of $5,000,000 is not readily available.

34 (3) The level of financial responsibility established under paragraph (1) of

35 this subsection for the transportation of a material, oil, substance, or waste

36 not subject to paragraph (2) of this subsection shall be at least $1,000,000.

37 However, if the Secretary of Transportation finds it will not adversely affect

38 public safety, the Secretary by regulation may reduce the amount for—

39 (A) a class of vehicles transporting such a material, oil, substance, or

40 waste in intrastate commerce (except in bulk); and
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1 (B) a farm vehicle transporting such a material or substance in inter2 state commerce (except in bulk).

3 (d) FOREIGN MOTOR CARRIERS AND PRIVATE CARRIERS.—Regulations

4 prescribed under this section may allow foreign motor carriers and foreign

5 motor private carriers (as those terms are defined in section 10530 of this

6 title) providing transportation of property under a certificate of registration

7 issued under section 10530 to meet the minimum levels of financial respon8 sibility under this section only when those carriers are providing transpor9 tation for property in the United States.

10 (e) EVIDENCE OF FINANCIAL RESPONSIBILITY.—(1) Subject to paragraph

11 (2) of this subsection, financial responsibility may be established by evidence

12 of one or a combination of the following if acceptable to the Secretary of

13 Transportation:

14 (A) insurance.

15 (B) a guarantee.

16 (C) a surety bond issued by a bonding company authorized to do busi17 ness in the United States.

18 (D) qualification as a self-insurer.

19 (2) A person domiciled in a country contiguous to the United States and

20 providing transportation to which a minimum level of financial responsibil21 ity under this section applies shall have evidence of financial responsibility

22 in the motor vehicle when the person is providing the transportation. If evi23 dence of financial responsibility is not in the vehicle, the Secretary of Trans24 portation and the Secretary of the Treasury shall deny entry of the vehicle

25 into the United States.

26 (f) CIVIL PENALTY.—(1) If, after notice and an opportunity for a hearing,

27 the Secretary of Transportation finds that a person (except an employee act28 ing without knowledge) has knowingly violated this section or a regulation

29 prescribed under this section, the person is liable to the United States Govern30 ment for a civil penalty of not more than $10,000 for each violation. A sepa31 rate violation occurs for each day the violation continues.

32 (2) The Secretary of Transportation shall impose the penalty by written

33 notice. In determining the amount of the penalty, the Secretary shall con34 sider—

35 (A) the nature, circumstances, extent, and gravity of the violation;

36 (B) with respect to the violator, the degree of culpability, any history

37 of prior violations, the ability to pay, and any effect on the ability to

38 continue doing business; and

39 (C) other matters that justice requires.

40 (3) The Secretary of Transportation may compromise the penalty before re41 ferring the matter to the Attorney General for collection.
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1 (4) The Attorney General shall bring a civil action in an appropriate dis2 trict court of the United States to collect a penalty referred to the Attorney

3 General for collection under this subsection.

4 (5) The amount of the penalty may be deducted from amounts the Govern5 ment owes the person. An amount collected under this section shall be depos6 ited in the Treasury as miscellaneous receipts.

7 (g) NONAPPLICATION.—This section does not apply to a motor vehicle hav8 ing a gross vehicle weight rating of less than 10,000 pounds if the vehicle is

9 not used to transport in interstate or foreign commerce—

10 (1) class A or B explosives;

11 (2) poison gas; or

12 (3) a large quantity of radioactive material.

13 § 31140. Submission of State laws and regulations for review

14 (a) GENERAL.—A State that enacts a State law or issues a regulation on

15 commercial motor vehicle safety shall submit a copy of the law or regulation

16 to the Secretary of Transportation and the Commercial Motor Vehicle Safety

17 Regulatory Review Panel immediately after the enactment or issuance.

18 (b) ADDITIONAL INFORMATION.—As soon as practicable but not later than

19 a date the Panel may establish, a State that submits a State law or regula20 tion under this section to the Panel shall—

21 (1) indicate in writing to the Panel whether the law or regulation—

22 (A) has the same effect as a regulation prescribed by the Sec23 retary under section 31136 of this title;

24 (B) is less stringent than that regulation; or

25 (C) is additional to or more stringent than that regulation; and

26 (2) submit to the Panel other information the Panel or the Secretary

27 may require to carry out this subchapter.

28 § 31141. Review and preemption of State laws and regula29 tions

30 (a) PREEMPTION AFTER DECISION.—A State may not enforce a State law

31 or regulation on commercial motor vehicle safety that the Secretary of Trans32 portation decides under this section may not be enforced.

33 (b) ANALYSIS AND DECISIONS BY THE PANEL.—(1) The Commercial Motor

34 Vehicle Safety Regulatory Review Panel annually shall analyze State laws

35 and regulations and decide which of those laws and regulations are related

36 to commercial motor vehicle safety.

37 (2) Not later than one year after the date the Secretary prescribes a regula38 tion under section 31136 of this title or one year after the date the Panel de39 cides under paragraph (1) of this subsection that a State law or regulation

40 is related to commercial motor vehicle safety, whichever is later, the Panel

41 shall—
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1 (A) decide whether the State law or regulation—

2 (i) has the same effect as the regulation prescribed by the Sec3 retary;

4 (ii) is less stringent than that regulation; or

5 (iii) is additional to or more stringent than that regulation;

6 (B) decide, for each State law or regulation that the Panel decides is

7 additional to or more stringent than the regulation prescribed by the

8 Secretary, whether—

9 (i) the State law or regulation has no safety benefit;

10 (ii) the State law or regulation is incompatible with the regula11 tion prescribed by the Secretary; or

12 (iii) enforcement of the State law or regulation would cause an

13 unreasonable burden on interstate commerce; and

14 (C) notify the Secretary of the Panel’s decisions under this subsection.

15 (c) REVIEW AND DECISIONS BY SECRETARY.—(1) The Secretary shall re16 view each State law and regulation on commercial motor vehicle safety. Not

17 later than 18 months after the date the Panel notifies the Secretary of a deci18 sion under subsection (b) of this section, the Secretary shall—

19 (A) conduct a regulatory proceeding to decide under this subsection

20 whether the State law or regulation may be enforced; and

21 (B) prescribe a final regulation.

22 (2) If the Secretary decides a State law or regulation has the same effect

23 as a regulation prescribed by the Secretary under section 31136 of this title,

24 the State law or regulation may be enforced.

25 (3) If the Secretary decides a State law or regulation is less stringent than

26 a regulation prescribed by the Secretary under section 31136 of this title, the

27 State law or regulation may not be enforced.

28 (4) If the Secretary decides a State law or regulation is additional to or

29 more stringent than a regulation prescribed by the Secretary under section

30 31136 of this title, the State law or regulation may be enforced unless the

31 Secretary also decides that—

32 (A) the State law or regulation has no safety benefit;

33 (B) the State law or regulation is incompatible with the regulation

34 prescribed by the Secretary; or

35 (C) enforcement of the State law or regulation would cause an unrea36 sonable burden on interstate commerce.

37 (5)(A) In deciding about a State law or regulation under this subsection,

38 the Secretary shall give great weight to the corresponding decision made by

39 the Panel about that law or regulation under subsection (b) of this section.

40 (B) In deciding under paragraph (4) of this subsection whether a State law

41 or regulation will cause an unreasonable burden on interstate commerce, the
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1 Secretary may consider the effect on interstate commerce of implementation

2 of that law or regulation with the implementation of all similar laws and

3 regulations of other States.

4 (d) WAIVERS.—(1) A person (including a State) may petition the Sec5 retary for a waiver of a decision of the Secretary that a State law or regula6 tion may not be enforced under this section. The Secretary shall grant the

7 waiver, as expeditiously as possible, if the person demonstrates to the satisfac8 tion of the Secretary that the waiver is consistent with the public interest and

9 the safe operation of commercial motor vehicles.

10 (2) Before deciding whether to grant or deny a petition for a waiver under

11 this subsection, the Secretary shall give the petitioner an opportunity for a

12 hearing on the record.

13 (e) CONSOLIDATING PROCEEDINGS.—The Secretary may consolidate regu14 latory proceedings under this section if the Secretary decides that the consoli15 dation will not adversely affect a party to a proceeding.

16 (f) WRITTEN NOTICE OF DECISIONS.—Not later than 10 days after making

17 a decision under subsection (c) of this section that a State law or regulation

18 may not be enforced, the Secretary shall give written notice to the State of

19 that decision.

20 (g) JUDICIAL REVIEW AND VENUE.—(1) Not later than 60 days after the

21 Secretary makes a decision under subsection (c) of this section, or grants or

22 denies a petition for a waiver under subsection (d) of this section, a person

23 (including a State) adversely affected by the decision, grant, or denial may

24 file a petition for judicial review. The petition may be filed in the court of

25 appeals of the United States for the District of Columbia Circuit or in the

26 court of appeals of the United States for the circuit in which the person re27 sides or has its principal place of business.

28 (2) The court has jurisdiction to review the decision, grant, or denial and

29 to grant appropriate relief, including interim relief, as provided in chapter

30 7 of title 5.

31 (3) A judgment of a court under this subsection may be reviewed only by

32 the Supreme Court under section 1254 of title 28.

33 (4) The remedies provided for in this subsection are in addition to other

34 remedies provided by law.

35 (h) INITIATING REVIEW PROCEEDINGS.—To review a State law or regula36 tion on commercial motor vehicle safety under this section, the Secretary may

37 initiate a regulatory proceeding on the Secretary’s own initiative or on peti38 tion of an interested person (including a State).

39 § 31142. Inspection of vehicles

40 (a) INSPECTION OF SAFETY EQUIPMENT.—On the instruction of an author41 ized enforcement official of a State or of the United States Government, a
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1 commercial motor vehicle is required to pass an inspection of all safety equip2 ment required under part 393 of title 49, Code of Federal Regulations.

3 (b) INSPECTION OF VEHICLES AND RECORD RETENTION.—The Secretary of

4 Transportation shall prescribe regulations on Government standards for in5 spection of commercial motor vehicles and retention by employers of records

6 of an inspection. The standards shall provide for annual or more frequent in7 spections of a commercial motor vehicle unless the Secretary finds that an8 other inspection system is as effective as an annual or more frequent inspec9 tion system. Regulations prescribed under this subsection are deemed to be

10 regulations prescribed under section 31136 of this title.

11 (c) PREEMPTION.—(1) Except as provided in paragraph (2) of this sub12 section, this subchapter and section 31102 of this title do not—

13 (A) prevent a State or voluntary group of States from imposing more

14 stringent standards for use in their own periodic roadside inspection

15 programs of commercial motor vehicles;

16 (B) prevent a State from enforcing a program for inspection of com17 mercial motor vehicles that the Secretary decides is as effective as the

18 Government standards prescribed under subsection (b) of this section;

19 (C) prevent a State from enforcing a program for inspection of com20 mercial motor vehicles that meets the requirements for membership in the

21 Commercial Vehicle Safety Alliance, as those requirements were in effect

22 on October 30, 1984; or

23 (D) require a State that is enforcing a program described in clause

24 (B) or (C) of this paragraph to enforce a Government standard pre25 scribed under subsection (b) of this section or to adopt a provision on

26 inspection of commercial motor vehicles in addition to that program to

27 comply with the Government standards.

28 (2) The Government standards prescribed under subsection (b) of this sec29 tion shall preempt a program of a State described in paragraph (1)(C) of this

30 subsection as the program applies to the inspection of commercial motor vehi31 cles in that State. The State may not enforce the program if the Secretary—

32 (A) decides, after notice and an opportunity for a hearing, that the

33 State is not enforcing the program in a way that achieves the objectives

34 of this section; and

35 (B) after making a decision under clause (A) of this paragraph, pro36 vides the State with a 6-month period to improve the enforcement of the

37 program to achieve the objectives of this section.

38 (d) INSPECTION TO BE ACCEPTED AS ADEQUATE IN ALL STATES.—A peri39 odic inspection of a commercial motor vehicle under the Government stand40 ards prescribed under subsection (b) of this section or a program described

41 in subsection (c)(1)(B) or (C) of this section that is being enforced shall be
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1 recognized as adequate in every State for the period of the inspection. This

2 subsection does not prohibit a State from making random inspections of com3 mercial motor vehicles.

4 (e) EFFECT OF GOVERNMENT STANDARDS.—The Government standards

5 prescribed under subsection (b) of this section may not be enforced as the

6 standards apply to the inspection of commercial motor vehicles in a State en7 forcing a program described in subsection (c)(1)(B) or (C) of this section if

8 the Secretary decides that it is in the public interest and consistent with pub9 lic safety for the Government standards not to be enforced as they apply to

10 that inspection.

11 (f) APPLICATION OF STATE REGULATIONS TO GOVERNMENT-LEASED VEHI12 CLES AND OPERATORS.—A State receiving financial assistance under section

13 31102 of this title in a fiscal year may enforce in that fiscal year a regulation

14 on commercial motor vehicle safety adopted by the State as the regulation ap15 plies to commercial motor vehicles and operators leased to the Government.

16 § 31143. Investigating complaints and protecting complain17 ants

18 (a) INVESTIGATING COMPLAINTS.—The Secretary of Transportation shall

19 conduct a timely investigation of a nonfrivolous written complaint alleging

20 that a substantial violation of a regulation prescribed under this subchapter

21 is occurring or has occurred within the prior 60 days. The Secretary shall

22 give the complainant timely notice of the findings of the investigation. The

23 Secretary is not required to conduct separate investigations of duplicative

24 complaints.

25 (b) PROTECTING COMPLAINANTS.—Notwithstanding section 552 of title 5,

26 the Secretary may disclose the identity of a complainant only if disclosure

27 is necessary to prosecute a violation. If disclosure becomes necessary, the Sec28 retary shall take every practical means within the Secretary’s authority to

29 ensure that the complainant is not subject to harassment, intimidation, dis30 ciplinary action, discrimination, or financial loss because of the disclosure.

31 § 31144. Safety fitness of owners and operators

32 (a) PROCEDURE.—(1) In cooperation with the Interstate Commerce Com33 mission, the Secretary of Transportation shall prescribe regulations establish34 ing a procedure to decide on the safety fitness of owners and operators of com35 mercial motor vehicles, including persons seeking new or additional operating

36 authority as motor carriers under sections 10922 and 10923 of this title. The

37 procedure shall include—

38 (A) specific initial and continuing requirements to be met by the own39 ers, operators, and persons to prove safety fitness;
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1 (B) a means of deciding whether the owners, operators, and persons

2 meet the safety fitness requirements under clause (A) of this paragraph;

3 and

4 (C) specific time deadlines for action by the Secretary and the Com5 mission in making fitness decisions.

6 (2) Regulations prescribed under this subsection supersede all regulations

7 of the United States Government on safety fitness and safety rating of motor

8 carriers in effect on October 30, 1984.

9 (b) FINDINGS AND ACTION ON APPLICATIONS.—The Commission shall—

10 (1) find an applicant for authority to operate as a motor carrier unfit

11 if the applicant does not meet the safety fitness requirements established

12 under subsection (a) of this section; and

13 (2) deny the application.

14 § 31145. Coordination of Governmental activities and paper15 work

16 The Secretary of Transportation shall coordinate the activities of depart17 ments, agencies, and instrumentalities of the United States Government to en18 sure adequate protection of the safety and health of operators of commercial

19 motor vehicles. The Secretary shall attempt to minimize paperwork burdens

20 to ensure maximum coordination and to avoid overlap and the imposition

21 of unreasonable burdens on persons subject to regulations under this sub22 chapter.

23 § 31146. Relationship to other laws

24 Except as provided in section 31136(b) of this title, this subchapter and

25 the regulations prescribed under this subchapter do not affect chapter 51 of

26 this title or a regulation prescribed under chapter 51.

27 § 31147. Limitations on authority

28 (a) TRAFFIC REGULATIONS.—This subchapter does not authorize the Sec29 retary of Transportation to prescribe traffic safety regulations or preempt

30 State traffic regulations. However, the Secretary may prescribe traffic regula31 tions to the extent their subject matter was regulated under parts 390–399

32 of title 49, Code of Federal Regulations, on October 30, 1984.

33 (b) REGULATING THE MANUFACTURING OF VEHICLES.—This subchapter

34 does not authorize the Secretary to regulate the manufacture of commercial

35 motor vehicles for any purpose, including fuel economy, safety, or emission

36 control.

37 SUBCHAPTER IV—MISCELLANEOUS

38 § 31161. Procedures to ensure timely correction of safety vio39 lations

40 (a) DEFINITION.—Section 31132(1) of this title applies to this section.
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1 (b) GENERAL.—Not later than August 3, 1991, the Secretary of Transpor2 tation shall prescribe regulations establishing procedures to ensure the proper

3 and timely correction of commercial motor vehicle safety violations noted dur4 ing an inspection carried out with money authorized under section 31104 of

5 this title.

6 (c) VERIFICATION PROGRAM.—The regulations shall establish a verification

7 program for United States Government inspectors and States participating

8 under section 31102 of this title to ensure that commercial motor vehicles and

9 their operators found in violation of safety requirements have been brought

10 into compliance with those requirements. The regulations shall include—

11 (1) a nationwide system for random reinspection of the commercial

12 motor vehicles and their operators that have been declared out-of-service

13 because of those safety violations, with the main purpose of the system

14 being to verify that the violations have been corrected on a timely basis;

15 (2) a program of accountability for correcting all safety violations that

16 shall provide that—

17 (A) the operator of a commercial motor vehicle for which a safety

18 violation has been noted shall be issued a form prescribed by the

19 Secretary;

20 (B) the person making the repairs necessary to correct the viola21 tion shall certify on the form the making of repairs and the date,

22 location, and time of the repairs;

23 (C) the motor carrier responsible for the commercial motor vehicle

24 or operator shall certify on the form that, based on the carrier’s

25 knowledge, the repairs necessary to correct the violation have been

26 made; and

27 (D) appropriate State penalties shall be imposed for a false state28 ment on the form or a failure to return the form to the appropriate

29 State entity; and

30 (3) a system for ensuring that appropriate State penalties are imposed

31 for failure to correct any of those safety violations.

32 § 31162. Compliance review priority

33 If the Secretary of Transportation identifies a pattern of violations of State

34 or local traffic safety laws or regulations or commercial motor vehicle safety

35 regulations, standards, or orders among drivers of commercial motor vehicles

36 employed by a particular motor carrier, the Secretary or a State representa37 tive shall ensure that the motor carrier receives a high priority for review of

38 that carrier’s compliance with applicable United States Government and

39 State commercial motor vehicle safety regulations.
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1 CHAPTER 313—COMMERCIAL MOTOR VEHICLE

2 OPERATORS

Sec.

31301. Definitions.

31302. Limitation on the number of driver’s licenses.

31303. Notification requirements.

31304. Employer responsibilities.

31305. General driver fitness and testing.

31306. Alcohol and controlled substances testing.

31307. Minimum training requirements for operators of longer combination vehicles.

31308. Commercial driver’s license.

31309. Commercial driver’s license information system.

31310. Disqualifications.

31311. Requirements for State participation.

31312. Grants for testing and ensuring the fitness of operators of commercial motor vehicles.

31313. Grants for issuing commercial drivers’ licenses and complying with State participation

requirements.

31314. Withholding amounts for State noncompliance.

31315. Waiver authority.

31316. Limitation on statutory construction.

31317. Procedure for prescribing regulations.

3 § 31301. Definitions

4 In this chapter—

5 (1) ‘‘alcohol’’ has the same meaning given the term ‘‘alcoholic bev6 erage’’ in section 158(c) of title 23.

7 (2) ‘‘commerce’’ means trade, traffic, and transportation—

8 (A) in the jurisdiction of the United States between a place in

9 a State and a place outside that State (including a place outside

10 the United States); or

11 (B) in the United States that affects trade, traffic, and transpor12 tation described in subclause (A) of this clause.

13 (3) ‘‘commercial driver’s license’’ means a license issued by a State

14 to an individual authorizing the individual to operate a class of commer15 cial motor vehicles.

16 (4) ‘‘commercial motor vehicle’’ means a motor vehicle used in com17 merce to transport passengers or property that—

18 (A) has a gross vehicle weight rating of at least 26,001 pounds

19 or a lesser gross vehicle weight rating the Secretary of Transpor20 tation prescribes by regulation, but not less than a gross vehicle

21 weight rating of 10,001 pounds;

22 (B) is designed to transport at least 16 passengers including the

23 driver; or

24 (C) is used to transport material found by the Secretary to be

25 hazardous under section 5103 of this title, except that a vehicle shall

26 not be included as a commercial motor vehicle under this subclause

27 if—
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1 (i) the vehicle does not satisfy the weight requirements of

2 subclause (A) of this clause;

3 (ii) the vehicle transporting material listed as hazardous

4 under section 306(a) of the Comprehensive Environmental Re5 sponse, Compensation, and Liability Act of 1980 (42 U.S.C.

6 9656(a)) and not otherwise regulated by the Secretary or trans7 porting a consumer commodity or limited quantity of hazard8 ous material as defined in section 171.8 of title 49, Code of

9 Federal Regulations; and

10 (iii) the Secretary does not deny the application of this ex11 ception to the vehicle (individually or as part of a class of

12 motor vehicles) in the interest of safety.

13 (5) except in section 31306, ‘‘controlled substance’’ has the same mean14 ing given that term in section 102 of the Comprehensive Drug Abuse Pre15 vention and Control Act of 1970 (21 U.S.C. 802).

16 (6) ‘‘driver’s license’’ means a license issued by a State to an individ17 ual authorizing the individual to operate a motor vehicle on highways.

18 (7) ‘‘employee’’ means an operator of a commercial motor vehicle (in19 cluding an independent contractor when operating a commercial motor

20 vehicle) who is employed by an employer.

21 (8) ‘‘employer’’ means a person (including the United States Govern22 ment, a State, or a political subdivision of a State) that owns or leases

23 a commercial motor vehicle or assigns employees to operate a commercial

24 motor vehicle.

25 (9) ‘‘felony’’ means an offense under a law of the United States or a

26 State that is punishable by death or imprisonment for more than one

27 year.

28 (10) ‘‘hazardous material’’ has the same meaning given that term in

29 section 5102 of this title.

30 (11) ‘‘motor vehicle’’ means a vehicle, machine, tractor, trailer, or

31 semitrailer propelled or drawn by mechanical power and used on public

32 streets, roads, or highways, but does not include a vehicle, machine, trac33 tor, trailer, or semitrailer operated only on a rail line or custom harvest34 ing farm machinery.

35 (12) ‘‘serious traffic violation’’ means—

36 (A) excessive speeding, as defined by the Secretary by regulation;

37 (B) reckless driving, as defined under State or local law;

38 (C) a violation of a State or local law on motor vehicle traffic

39 control (except a parking violation) and involving a fatality; and
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1 (D) any other similar violation of a State or local law on motor

2 vehicle traffic control (except a parking violation) that the Secretary

3 designates by regulation as serious.

4 (13) ‘‘State’’ means a State of the United States and the District of

5 Columbia.

6 (14) ‘‘United States’’ means the States of the United States and the

7 District of Columbia.

8 § 31302. Limitation on the number of driver’s licenses

9 An individual operating a commercial motor vehicle may have only one

10 driver’s license at any time, except during the 10-day period beginning on

11 the date the individual is issued a driver’s license.

12 § 31303. Notification requirements

13 (a) VIOLATIONS.—An individual operating a commercial motor vehicle,

14 having a driver’s license issued by a State, and violating a State or local law

15 on motor vehicle traffic control (except a parking violation) shall notify the

16 individual’s employer of the violation. If the violation occurred in a State

17 other than the issuing State, the individual also shall notify a State official

18 designated by the issuing State. The notifications required by this subsection

19 shall be made not later than 30 days after the date the individual is found

20 to have committed the violation.

21 (b) REVOCATIONS, SUSPENSIONS, AND CANCELLATIONS.—An employee who

22 has a driver’s license revoked, suspended, or canceled by a State, who loses

23 the right to operate a commercial motor vehicle in a State for any period,

24 or who is disqualified from operating a commercial motor vehicle for any pe25 riod, shall notify the employee’s employer of the action not later than 30 days

26 after the date of the action.

27 (c) PREVIOUS EMPLOYMENT.—(1) Subject to paragraph (2) of this sub28 section, an individual applying for employment as an operator of a commer29 cial motor vehicle shall notify the prospective employer, at the time of the ap30 plication, of any previous employment as an operator of a commercial motor

31 vehicle.

32 (2) The Secretary of Transportation shall prescribe by regulation the period

33 for which notice of previous employment must be given under paragraph (1)

34 of this subsection. However, the period may not be less than the 10-year pe35 riod ending on the date of the application.

36 § 31304. Employer responsibilities

37 An employer may not knowingly allow an employee to operate a commer38 cial motor vehicle in the United States during a period in which the em39 ployee—
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1 (1) has a driver’s license revoked, suspended, or canceled by a State,

2 has lost the right to operate a commercial motor vehicle in a State, or

3 has been disqualified from operating a commercial motor vehicle; or

4 (2) has more than one driver’s license (except as allowed under section

5 31302 of this title).

6 § 31305. General driver fitness and testing

7 (a) MINIMUM STANDARDS FOR TESTING AND FITNESS.—The Secretary of

8 Transportation shall prescribe regulations on minimum standards for testing

9 and ensuring the fitness of an individual operating a commercial motor vehi10 cle. The regulations—

11 (1) shall prescribe minimum standards for written and driving tests

12 of an individual operating a commercial motor vehicle;

13 (2) shall require an individual who operates or will operate a commer14 cial motor vehicle to take a driving test in a vehicle representative of

15 the type of vehicle the individual operates or will operate;

16 (3) shall prescribe minimum testing standards for the operation of a

17 commercial motor vehicle and may prescribe different minimum testing

18 standards for different classes of commercial motor vehicles;

19 (4) shall ensure that an individual taking the tests has a working

20 knowledge of—

21 (A) regulations on the safe operation of a commercial motor vehi22 cle prescribed by the Secretary and contained in title 49, Code of

23 Federal Regulations; and

24 (B) safety systems of the vehicle;

25 (5) shall ensure that an individual who operates or will operate a

26 commercial motor vehicle carrying a hazardous material—

27 (A) is qualified to operate the vehicle under regulations on motor

28 vehicle transportation of hazardous material prescribed under chap29 ter 51 of this title; and

30 (B) has a working knowledge of—

31 (i) those regulations;

32 (ii) the handling of hazardous material;

33 (iii) the operation of emergency equipment used in response

34 to emergencies arising out of the transportation of hazardous

35 material; and

36 (iv) appropriate response procedures to follow in those emer37 gencies;

38 (6) shall establish minimum scores for passing the tests;

39 (7) shall ensure that an individual taking the tests is qualified to op40 erate a commercial motor vehicle under regulations prescribed by the
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1 Secretary and contained in title 49, Code of Federal Regulations, to the

2 extent the regulations apply to the individual; and

3 (8) may require—

4 (A) issuance of a certification of fitness to operate a commercial

5 motor vehicle to an individual passing the tests; and

6 (B) the individual to have a copy of the certification in the indi7 vidual’s possession when the individual is operating a commercial

8 motor vehicle.

9 (b) REQUIREMENTS FOR OPERATING VEHICLES.—(1) Except as provided

10 in paragraph (2) of this subsection, an individual may operate a commercial

11 motor vehicle only if the individual has passed written and driving tests to

12 operate the vehicle that meet the minimum standards prescribed by the Sec13 retary under subsection (a) of this section.

14 (2) The Secretary may prescribe regulations providing that an individual

15 may operate a commercial motor vehicle for not more than 90 days if the

16 individual—

17 (A) passes a driving test for operating a commercial motor vehicle that

18 meets the minimum standards prescribed under subsection (a) of this sec19 tion; and

20 (B) has a driver’s license that is not suspended, revoked, or canceled.

21 § 31306. Alcohol and controlled substances testing

22 (a) DEFINITION.—In this section, ‘‘controlled substance’’ means any sub23 stance under section 102 of the Comprehensive Drug Abuse Prevention and

24 Control Act of 1970 (21 U.S.C. 802) specified by the Secretary of Transpor25 tation.

26 (b) TESTING PROGRAM FOR OPERATORS OF COMMERCIAL MOTOR VEHI27 CLES.—(1)(A) In the interest of commercial motor vehicle safety, the Sec28 retary of Transportation shall prescribe regulations not later than October 28,

29 1992, that establish a program requiring motor carriers to conduct

30 preemployment, reasonable suspicion, random, and post-accident testing of

31 operators of commercial motor vehicles for the use of alcohol or a controlled

32 substance in violation of law or a United States Government regulation.

33 (B) When the Secretary of Transportation considers it appropriate in the

34 interest of safety, the Secretary may prescribe regulations for conducting peri35 odic recurring testing of operators of commercial motor vehicles for the use

36 of alcohol or a controlled substance in violation of law or a Government regu37 lation.

38 (2) In prescribing regulations under this subsection, the Secretary of Trans39 portation—
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1 (A) shall require that post-accident testing of an operator of a com2 mercial motor vehicle be conducted when loss of human life occurs in an

3 accident involving a commercial motor vehicle; and

4 (B) may require that post-accident testing of such an operator be con5 ducted when bodily injury or significant property damage occurs in any

6 other serious accident involving a commercial motor vehicle.

7 (c) TESTING AND LABORATORY REQUIREMENTS.—In carrying out sub8 section (b) of this section, the Secretary of Transportation shall develop re9 quirements that shall—

10 (1) promote, to the maximum extent practicable, individual privacy

11 in the collection of specimens;

12 (2) for laboratories and testing procedures for controlled substances,

13 incorporate the Department of Health and Human Services scientific

14 and technical guidelines dated April 11, 1988, and any amendments to

15 those guidelines, including mandatory guidelines establishing—

16 (A) comprehensive standards for every aspect of laboratory con17 trolled substances testing and laboratory procedures to be applied in

18 carrying out this section, including standards requiring the use of

19 the best available technology to ensure the complete reliability and

20 accuracy of controlled substances tests and strict procedures govern21 ing the chain of custody of specimens collected for controlled sub22 stances testing;

23 (B) the minimum list of controlled substances for which individ24 uals may be tested; and

25 (C) appropriate standards and procedures for periodic review of

26 laboratories and criteria for certification and revocation of certifi27 cation of laboratories to perform controlled substances testing in

28 carrying out this section;

29 (3) require that a laboratory involved in testing under this section

30 have the capability and facility, at the laboratory, of performing screen31 ing and confirmation tests;

32 (4) provide that any test indicating the use of alcohol or a controlled

33 substance in violation of law or a Government regulation be confirmed

34 by a scientifically recognized method of testing capable of providing

35 quantitative information about alcohol or a controlled substance;

36 (5) provide that each specimen be subdivided, secured, and labeled in

37 the presence of the tested individual and that a part of the specimen be

38 retained in a secure manner to prevent the possibility of tampering, so

39 that if the individual’s confirmation test results are positive the individ40 ual has an opportunity to have the retained part tested by a 2d con41 firmation test done independently at another certified laboratory if the
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1 individual requests the 2d confirmation test not later than 3 days after

2 being advised of the results of the first confirmation test;

3 (6) ensure appropriate safeguards for testing to detect and quantify

4 alcohol in breath and body fluid samples, including urine and blood,

5 through the development of regulations that may be necessary and in

6 consultation with the Secretary of Health and Human Services;

7 (7) provide for the confidentiality of test results and medical informa8 tion (except information about alcohol or a controlled substance) of em9 ployees, except that this clause does not prevent the use of test results for

10 the orderly imposition of appropriate sanctions under this section; and

11 (8) ensure that employees are selected for tests by nondiscriminatory

12 and impartial methods, so that no employee is harassed by being treated

13 differently from other employees in similar circumstances.

14 (d) TESTING AS PART OF MEDICAL EXAMINATION.—The Secretary of

15 Transportation may provide that testing under subsection (a) of this section

16 for operators subject to subpart E of part 391 of title 49, Code of Federal

17 Regulations, be conducted as part of the medical examination required under

18 that subpart.

19 (e) REHABILITATION.—The Secretary of Transportation shall prescribe reg20 ulations establishing requirements for rehabilitation programs that provide

21 for the identification and opportunity for treatment of operators of commer22 cial motor vehicles who are found to have used alcohol or a controlled sub23 stance in violation of law or a Government regulation. The Secretary shall

24 decide on the circumstances under which those operators shall be required to

25 participate in a program. This section does not prevent a motor carrier from

26 establishing a program under this section in cooperation with another motor

27 carrier.

28 (f) SANCTIONS.—The Secretary of Transportation shall decide on appro29 priate sanctions for a commercial motor vehicle operator who is found, based

30 on tests conducted and confirmed under this section, to have used alcohol or

31 a controlled substance in violation of law or a Government regulation but who

32 is not under the influence of alcohol or a controlled substance as provided in

33 this chapter.

34 (g) EFFECT ON STATE AND LOCAL GOVERNMENT REGULATIONS.—A State

35 or local government may not prescribe or continue in effect a law, regulation,

36 standard, or order that is inconsistent with regulations prescribed under this

37 section. However, a regulation prescribed under this section may not be con38 strued to preempt a State criminal law that imposes sanctions for reckless

39 conduct leading to loss of life, injury, or damage to property.

40 (h) INTERNATIONAL OBLIGATIONS AND FOREIGN LAWS.—In prescribing

41 regulations under this section, the Secretary of Transportation—
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1 (1) shall establish only requirements that are consistent with inter2 national obligations of the United States; and

3 (2) shall consider applicable laws and regulations of foreign countries.

4 (i) OTHER REGULATIONS ALLOWED.—This section does not prevent the

5 Secretary of Transportation from continuing in effect, amending, or further

6 supplementing a regulation prescribed before October 28, 1991, governing the

7 use of alcohol or a controlled substance by commercial motor vehicle employ8 ees.

9 (j) APPLICATION OF PENALTIES.—This section does not supersede a penalty

10 applicable to an operator of a commercial motor vehicle under this chapter

11 or another law.

12 § 31307. Minimum training requirements for operators of

13 longer combination vehicles

14 (a) DEFINITION.—In this section, ‘‘longer combination vehicle’’ means a ve15 hicle consisting of a truck tractor and more than one trailer or semitrailer

16 that operates on the Dwight D. Eisenhower System of Interstate and Defense

17 Highways with a gross vehicle weight of more than 80,000 pounds.

18 (b) REQUIREMENTS.—Not later than December 18, 1994, the Secretary of

19 Transportation shall prescribe regulations establishing minimum training re20 quirements for operators of longer combination vehicles. The training shall in21 clude certification of an operator’s proficiency by an instructor who has met

22 the requirements established by the Secretary.

23 § 31308. Commercial driver’s license

24 After consultation with the States, the Secretary of Transportation shall

25 prescribe regulations on minimum uniform standards for the issuance of com26 mercial drivers’ licenses by the States and for information to be contained

27 on each of the licenses. The standards shall require at a minimum that—

28 (1) an individual issued a commercial driver’s license pass written

29 and driving tests for the operation of a commercial motor vehicle that

30 comply with the minimum standards prescribed by the Secretary under

31 section 31305(a) of this title;

32 (2) the license be tamperproof to the maximum extent practicable; and

33 (3) the license contain—

34 (A) the name and address of the individual issued the license and

35 a physical description of the individual;

36 (B) the social security account number or other number or infor37 mation the Secretary decides is appropriate to identify the individ38 ual;

39 (C) the class or type of commercial motor vehicle the individual

40 is authorized to operate under the license;

41 (D) the name of the State that issued the license; and
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1 (E) the dates between which the license is valid.

2 § 31309. Commercial driver’s license information system

3 (a) GENERAL REQUIREMENT.—The Secretary of Transportation shall make

4 an agreement under subsection (b) of this section for the operation of, or es5 tablish under subsection (c) of this section, an information system that will

6 serve as a clearinghouse and depository of information about the licensing,

7 identification, and disqualification of operators of commercial motor vehicles.

8 The Secretary shall consult with the States in carrying out this section.

9 (b) STATE AGREEMENTS.—If the Secretary decides that an information

10 system used by a State or States about the driving status of operators of

11 motor vehicles or another State-operated information system could be used to

12 carry out this section, and the State or States agree to the use of the system

13 for carrying out this section, the Secretary may make an agreement with the

14 State or States to use the system as provided in this section and section

15 31311(c) of this title. An agreement made under this subsection shall contain

16 terms the Secretary considers necessary to carry out this chapter.

17 (c) ESTABLISHMENT BY SECRETARY.—If the Secretary does not make an

18 agreement under subsection (b) of this section, the Secretary shall establish

19 an information system about the driving status and licensing of operators of

20 commercial motor vehicles as provided in this section.

21 (d) CONTENTS.—(1) At a minimum, the information system under this sec22 tion shall include for each operator of a commercial motor vehicle—

23 (A) information the Secretary considers appropriate to ensure identi24 fication of the operator;

25 (B) the name, address, and physical description of the operator;

26 (C) the social security account number of the operator or other number

27 or information the Secretary considers appropriate to identify the opera28 tor;

29 (D) the name of the State that issued the license to the operator;

30 (E) the dates between which the license is valid; and

31 (F) whether the operator had a commercial motor vehicle driver’s li32 cense revoked, suspended, or canceled by a State, lost the right to operate

33 a commercial motor vehicle in a State for any period, or has been dis34 qualified from operating a commercial motor vehicle.

35 (2) Not later than December 31, 1990, the Secretary shall prescribe regula36 tions on minimum uniform standards for a biometric identification system

37 to ensure the identification of operators of commercial motor vehicles.

38 (e) AVAILABILITY OF INFORMATION.—(1) On request of a State, the Sec39 retary or the operator of the information system, as the case may be, may

40 make available to the State information in the information system under this

41 section.
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1 (2) On request of an employee, the Secretary or the operator of the informa2 tion system, as the case may be, may make available to the employee informa3 tion in the information system about the employee.

4 (3) On request of an employer or prospective employer of an employee and

5 after notification to the employee, the Secretary or the operator of the infor6 mation system, as the case may be, may make available to the employer or

7 prospective employer information in the information system about the em8 ployee.

9 (4) On the request of the Secretary, the operator of the information system

10 shall make available to the Secretary information about the driving status

11 and licensing of operators of commercial motor vehicles (including informa12 tion required by subsection (d)(1) of this section).

13 (f) FEE SYSTEM.—If the Secretary establishes an information system under

14 this section, the Secretary shall establish a fee system for using the informa15 tion system. Fees collected under this subsection in a fiscal year shall equal

16 as nearly as possible the costs of operating the information system in that

17 fiscal year. The Secretary shall deposit fees collected under this subsection in

18 the Highway Trust Fund (except the Mass Transit Account).

19 § 31310. Disqualifications

20 (a) BLOOD ALCOHOL CONCENTRATION LEVEL.—In this section, the blood

21 alcohol concentration level at or above which an individual when operating

22 a commercial motor vehicle is deemed to be driving under the influence of al23 cohol is .04 percent.

24 (b) FIRST VIOLATION OR COMMITTING FELONY.—(1) Except as provided in

25 paragraph (2) of this subsection and subsection (c) of this section, the Sec26 retary of Transportation shall disqualify from operating a commercial motor

27 vehicle for at least one year an individual—

28 (A) committing a first violation of driving a commercial motor vehicle

29 under the influence of alcohol or a controlled substance;

30 (B) committing a first violation of leaving the scene of an accident

31 involving a commercial motor vehicle operated by the individual; or

32 (C) using a commercial motor vehicle in committing a felony (except

33 a felony described in subsection (d) of this section).

34 (2) If the vehicle involved in a violation referred to in paragraph (1) of

35 this subsection is transporting hazardous material required to be placarded

36 under section 5103 of this title, the Secretary shall disqualify the individual

37 for at least 3 years.

38 (c) SECOND AND MULTIPLE VIOLATIONS.—(1) Subject to paragraph (2) of

39 this subsection, the Secretary shall disqualify from operating a commercial

40 motor vehicle for life an individual—
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1 (A) committing more than one violation of driving a commercial

2 motor vehicle under the influence of alcohol or a controlled substance;

3 (B) committing more than one violation of leaving the scene of an ac4 cident involving a commercial motor vehicle operated by the individual;

5 (C) using a commercial motor vehicle in committing more than one

6 felony arising out of different criminal episodes; or

7 (D) committing any combination of single violations or use described

8 in clauses (A)–(C) of this paragraph.

9 (2) The Secretary may prescribe regulations establishing guidelines (includ10 ing conditions) under which a disqualification for life under paragraph (1)

11 of this subsection may be reduced to a period of not less than 10 years.

12 (d) CONTROLLED SUBSTANCE VIOLATIONS.—The Secretary shall disqualify

13 from operating a commercial motor vehicle for life an individual who uses

14 a commercial motor vehicle in committing a felony involving manufacturing,

15 distributing, or dispensing a controlled substance, or possession with intent

16 to manufacture, distribute, or dispense a controlled substance.

17 (e) SERIOUS TRAFFIC VIOLATIONS.—(1) The Secretary shall disqualify

18 from operating a commercial motor vehicle for at least 60 days an individual

19 who, in a 3-year period, commits 2 serious traffic violations involving a com20 mercial motor vehicle operated by the individual.

21 (2) The Secretary shall disqualify from operating a commercial motor vehi22 cle for at least 120 days an individual who, in a 3-year period, commits 3

23 serious traffic violations involving a commercial motor vehicle operated by the

24 individual.

25 (f) STATE DISQUALIFICATION.—Notwithstanding subsections (b)–(e) of this

26 section, the Secretary does not have to disqualify an individual from operat27 ing a commercial motor vehicle if the State that issued the individual a li28 cense authorizing the operation has disqualified the individual from operating

29 a commercial motor vehicle under subsections (b)–(e). Revocation, suspension,

30 or cancellation of the license is deemed to be disqualification under this sub31 section.

32 (g) OUT-OF-SERVICE ORDERS.—(1)(A) To enforce section 392.5 of title 49,

33 Code of Federal Regulations, the Secretary shall prescribe regulations estab34 lishing and enforcing an out-of-service period of 24 hours for an individual

35 who violates section 392.5. An individual may not violate an out-of-service

36 order issued under those regulations.

37 (B) The Secretary shall prescribe regulations establishing and enforcing re38 quirements for reporting out-of-service orders issued under regulations pre39 scribed under subparagraph (A) of this paragraph. Regulations prescribed

40 under this subparagraph shall require at least that an operator of a commer41 cial motor vehicle who is issued an out-of-service order to report the issuance
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1 to the individual’s employer and to the State that issued the operator a driv2 er’s license.

3 (2) Not later than December 18, 1992, the Secretary shall prescribe regula4 tions establishing sanctions and penalties related to violations of out-of-service

5 orders by individuals operating commercial motor vehicles. The regulations

6 shall require at least that—

7 (A) an operator of a commercial motor vehicle found to have commit8 ted a first violation of an out-of-service order shall be disqualified from

9 operating such a vehicle for at least 90 days and liable for a civil pen10 alty of at least $1,000;

11 (B) an operator of a commercial motor vehicle found to have commit12 ted a 2d violation of an out-of-service order shall be disqualified from

13 operating such a vehicle for at least one year and not more than 5 years

14 and liable for a civil penalty of at least $1,000; and

15 (C) an employer that knowingly allows or requires an employee to op16 erate a commercial motor vehicle in violation of an out-of-service order

17 shall be liable for a civil penalty of not more than $10,000.

18 § 31311. Requirements for State participation

19 (a) GENERAL.—To avoid having amounts withheld from apportionment

20 under section 31314 of this title, a State shall comply with the following re21 quirements:

22 (1) The State shall adopt and carry out a program for testing and

23 ensuring the fitness of individuals to operate commercial motor vehicles

24 consistent with the minimum standards prescribed by the Secretary of

25 Transportation under section 31305(a) of this title.

26 (2) The State may issue a commercial driver’s license to an individual

27 only if the individual passes written and driving tests for the operation

28 of a commercial motor vehicle that comply with the minimum standards.

29 (3) The State shall have in effect and enforce a law providing that

30 an individual with a blood alcohol concentration level at or above the

31 level established by section 31310(a) of this title when operating a com32 mercial motor vehicle is deemed to be driving under the influence of alco33 hol.

34 (4) The State shall authorize an individual to operate a commercial

35 motor vehicle only by issuing a commercial driver’s license containing

36 the information described in section 31308(3) of this title.

37 (5) At least 60 days before issuing a commercial driver’s license (or

38 a shorter period the Secretary prescribes by regulation), the State shall

39 notify the Secretary or the operator of the information system under sec40 tion 31309 of this title, as the case may be, of the proposed issuance of
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1 the license and other information the Secretary may require to ensure

2 identification of the individual applying for the license.

3 (6) Before issuing a commercial driver’s license to an individual, the

4 State shall request from any other State that has issued a commercial

5 driver’s license to the individual all information about the driving record

6 of the individual.

7 (7) Not later than 30 days after issuing a commercial driver’s license,

8 the State shall notify the Secretary or the operator of the information

9 system under section 31309 of this title, as the case may be, of the issu10 ance.

11 (8) Not later than 10 days after disqualifying the holder of a commer12 cial driver’s license from operating a commercial motor vehicle (or after

13 revoking, suspending, or canceling the license) for at least 60 days, the

14 State shall notify the Secretary or the operator of the information system

15 under section 31309 of this title, as the case may be, and the State that

16 issued the license, of the disqualification, revocation, suspension, or can17 cellation.

18 (9) If an individual operating a commercial motor vehicle violates a

19 State or local law on motor vehicle traffic control (except a parking vio20 lation) and the individual has a driver’s license issued by another State,

21 the State in which the violation occurred shall notify a State official des22 ignated by the issuing State of the violation not later than 10 days after

23 the date the individual is found to have committed the violation.

24 (10) The State may not issue a commercial driver’s license to an indi25 vidual during a period in which the individual is disqualified from oper26 ating a commercial motor vehicle or the individual’s driver’s license is

27 revoked, suspended, or canceled.

28 (11) The State may issue a commercial driver’s license to an individ29 ual who has a commercial driver’s license issued by another State only

30 if the individual first returns the driver’s license issued by the other

31 State.

32 (12) The State may issue a commercial driver’s license only to an in33 dividual who operates or will operate a commercial motor vehicle and

34 is domiciled in the State, except that, under regulations the Secretary

35 shall prescribe, the State may issue a commercial driver’s license to an

36 individual who operates or will operate a commercial motor vehicle and

37 is not domiciled in a State that issues commercial drivers’ licenses.

38 (13) The State shall impose penalties the State considers appropriate

39 and the Secretary approves for an individual operating a commercial

40 motor vehicle when the individual—

41 (A) does not have a commercial driver’s license;
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1 (B) has a driver’s license revoked, suspended, or canceled; or

2 (C) is disqualified from operating a commercial motor vehicle.

3 (14) The State shall allow an individual to operate a commercial

4 motor vehicle in the State if—

5 (A) the individual has a commercial driver’s license issued by an6 other State under the minimum standards prescribed by the Sec7 retary under section 31305(a) of this title;

8 (B) the license is not revoked, suspended, or canceled; and

9 (C) the individual is not disqualified from operating a commer10 cial motor vehicle.

11 (15) The State shall disqualify an individual from operating a com12 mercial motor vehicle for the same reasons and time periods for which

13 the Secretary shall disqualify the individual under section 31310(b)–(e)

14 of this title.

15 (16)(A) Before issuing a commercial driver’s license to an individual,

16 the State shall request the Secretary for information from the National

17 Driver Register maintained under chapter 303 of this title (after the Sec18 retary decides the Register is operational) on whether the individual—

19 (i) has been disqualified from operating a motor vehicle (except

20 a commercial motor vehicle);

21 (ii) has had a license (except a license authorizing the individual

22 to operate a commercial motor vehicle) revoked, suspended, or can23 celed for cause in the 3-year period ending on the date of applica24 tion for the commercial driver’s license; or

25 (iii) has been convicted of an offense specified in section

26 30304(a)(3) of this title.

27 (B) The State shall give full weight and consideration to that informa28 tion in deciding whether to issue the individual a commercial driver’s

29 license.

30 (17) The State shall adopt and enforce regulations prescribed by the

31 Secretary under section 31310(g)(1)(A) and (2) of this title.

32 (b) STATE SATISFACTION OF REQUIREMENTS.—A State may satisfy the re33 quirements of subsection (a) of this section that the State disqualify an indi34 vidual from operating a commercial motor vehicle by revoking, suspending,

35 or canceling the driver’s license issued to the individual.

36 (c) NOTIFICATION.—Not later than 30 days after being notified by a State

37 of the proposed issuance of a commercial driver’s license to an individual, the

38 Secretary or the operator of the information system under section 31309 of

39 this title, as the case may be, shall notify the State whether the individual

40 has a commercial driver’s license issued by another State or has been dis-
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1 qualified from operating a commercial motor vehicle by another State or the

2 Secretary.

3 § 31312. Grants for testing and ensuring the fitness of opera4 tors of commercial motor vehicles

5 (a) BASIC GRANTS.—(1) The Secretary of Transportation may make a

6 grant to a State under this subsection if the State—

7 (A) makes an agreement with the Secretary—

8 (i) to adopt and carry out in the fiscal year in which the grant

9 is made a program for testing and ensuring the fitness of individ10 uals who operate commercial motor vehicles under the minimum

11 standards prescribed by the Secretary under section 31305(a) of this

12 title; and

13 (ii) to require that operators of commercial motor vehicles have

14 passed written and driving tests that meet the minimum standards;

15 and

16 (B) has in effect and enforces in that fiscal year a law providing that

17 an individual with a blood alcohol concentration of at least .10 percent

18 when operating a commercial motor vehicle is deemed to be driving

19 under the influence of alcohol.

20 (2) A State may—

21 (A) administer driving tests referred to in paragraph (1) of this sub22 section and section 31311(a) of this title; or

23 (B) make an agreement, approved by the Secretary, for the tests to be

24 administered by a person (including a department, agency, or instru25 mentality of a local government) that meets minimum standards the Sec26 retary prescribes by regulation if—

27 (i) the agreement allows the Secretary and the State each to con28 duct random examinations, inspections, and audits of the testing

29 without prior notification; and

30 (ii) the State annually conducts at least one onsite inspection of

31 the testing.

32 (3) The Secretary shall decide on the amount of a grant in a fiscal year

33 to be made under this subsection to a State eligible to receive the grant in

34 the fiscal year. However—

35 (A) a grant to a State under this subsection shall be at least $100,000

36 in a fiscal year; and

37 (B) to the extent each State grant under this subsection is more than

38 $100,000 in a fiscal year, the Secretary shall ensure that those States

39 are treated equitably.

40 (4) A State receiving a grant under this subsection may use the amounts

41 provided under the grant only to test operators of commercial motor vehicles.
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1 (5) There is available to the Secretary to carry out this subsection

2 $lllll from amounts made available under section 31104 of this title

3 for the fiscal year ending September 30, 19l.

4 (b) SUPPLEMENTAL GRANTS.—(1) The Secretary may make a grant under

5 this subsection in a fiscal year to a State eligible to receive a grant under

6 subsection (a) of this section in that fiscal year. A grant made under this

7 subsection shall be used for testing operators of commercial motor vehicles.

8 (2) Amounts of grants under this subsection shall be distributed among the

9 States eligible to receive grants under subsection (a) of this section in the fis10 cal year on the basis of the number of written and driving tests administered,

11 and the number of drivers’ licenses for the operation of commercial motor ve12 hicles issued, in the prior fiscal year.

13 (3) There is available to the Secretary to carry out this subsection

14 $lllll from amounts made available under section 31104 of this title

15 for the fiscal year ending September 30, 19l.

16 (c) MAINTENANCE OF EXPENDITURES.—The Secretary may make a grant

17 to a State under this section only if the State agrees that the total expenditure

18 of amounts of the State and political subdivisions of the State, exclusive of

19 United States Government amounts, for testing operators of commercial motor

20 vehicles will be maintained at a level at least equal to the average level of

21 that expenditure for its last 2 fiscal years before October 27, 1986.

22 (d) AVAILABILITY OF AMOUNTS.—(1) Amounts made available to a State

23 under this section remain available for obligation by the State for the fiscal

24 year for which the amounts are made available. Any of those amounts not

25 obligated before the last day of that fiscal year are no longer available for

26 obligation by the State and are available to the Secretary to carry out this

27 chapter.

28 (2) Amounts made available to the Secretary under this section remain

29 available until expended.

30 (e) GRANTS AS CONTRACTUAL OBLIGATIONS.—Approval by the Secretary of

31 a grant to a State under this section is a contractual obligation of the Gov32 ernment for payment of the amount of the grant.

33 (f) TESTING AND FITNESS PROGRAM STUDIES.—In this section, develop34 ment of a program for testing and ensuring the fitness of individuals who

35 operate commercial motor vehicles includes studies of—

36 (1) the number of vehicles that will need to be tested under the pro37 gram in a calendar year;

38 (2) facilities at which testing of those individuals could be conducted;

39 and

40 (3) additional resources (including personnel) that will be necessary

41 to conduct the testing.
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1 § 31313. Grants for issuing commercial drivers’ licenses and

2 complying with State participation requirements

3 (a) GENERAL AUTHORITY.—The Secretary of Transportation may make a

4 grant under this section to a State in a fiscal year if the State makes an

5 agreement with the Secretary to participate in that fiscal year in the commer6 cial driver’s license program established by this chapter and the information

7 system required by section 31309 of this title and to comply with the require8 ments of section 31311(a) of this title.

9 (b) AMOUNTS OF GRANTS.—The Secretary shall decide on the amount of

10 a grant in a fiscal year to be made under this section to a State eligible to

11 receive the grant in the fiscal year. However—

12 (1) a grant to a State under this section shall be at least $100,000

13 in a fiscal year; and

14 (2) to the extent each State grant under this section is more than

15 $100,000 in a fiscal year, the Secretary shall ensure that those States

16 are treated equitably.

17 (c) LIMITATION ON USE.—A State receiving a grant under this section may

18 use the amounts provided under the grant only for issuing commercial driv19 ers’ licenses and complying with the requirements of section 31311(a) of this

20 title.

21 (d) AVAILABILITY OF AMOUNTS.—(1) Amounts made available to a State

22 under this section remain available for obligation by the State for the fiscal

23 year for which the amounts are made available. Any of those amounts not

24 obligated before the last day of that fiscal year are no longer available for

25 obligation by the State and are available to the Secretary to carry out this

26 chapter.

27 (2) Amounts made available to the Secretary under this section remain

28 available until expended.

29 (e) GRANTS AS CONTRACTUAL OBLIGATIONS.—Approval by the Secretary of

30 a grant to a State under this section is a contractual obligation of the United

31 States Government for payment of the amount of the grant.

32 (f) AUTHORIZATION.—There is available to the Secretary to carry out this

33 section $lllll from amounts made available under section 31104 of

34 this title for the fiscal year ending September 30, 19l.

35 § 31314. Withholding amounts for State noncompliance

36 (a) FIRST FISCAL YEAR.—The Secretary of Transportation shall withhold

37 5 percent of the amount required to be apportioned to a State under section

38 104(b)(1), (2), (5), and (6) of title 23 on the first day of the fiscal year after

39 the first fiscal year beginning after September 30, 1992, throughout which the

40 State does not comply substantially with a requirement of section 31311(a)

41 of this title.
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1 (b) SECOND FISCAL YEAR.—The Secretary shall withhold 10 percent of the

2 amount required to be apportioned to a State under section 104(b)(1), (2),

3 (5), and (6) of title 23 on the first day of each fiscal year after the 2d fiscal

4 year beginning after September 30, 1992, throughout which the State does not

5 comply substantially with a requirement of section 31311(a) of this title.

6 (c) AVAILABILITY FOR APPORTIONMENT.—(1) Amounts withheld under this

7 section from apportionment to a State before October 1, 1995, remain avail8 able for apportionment to the State as follows:

9 (A) If the amounts would have been apportioned under section

10 104(b)(5)(B) of title 23 but for this section, the amounts remain avail11 able until the end of the 2d fiscal year following the fiscal year for which

12 the amounts are authorized to be appropriated.

13 (B) If the amounts would have been apportioned under section

14 104(b)(1), (2), or (6) of title 23 but for this section, the amounts remain

15 available until the end of the 3d fiscal year following the fiscal year for

16 which the amounts are authorized to be appropriated.

17 (2) Amounts withheld under this section from apportionment to a State

18 after September 30, 1995, are not available for apportionment to the State.

19 (d) APPORTIONMENT AFTER COMPLIANCE.—(1) If, before the last day of the

20 period for which amounts withheld under this section from apportionment are

21 to remain available for apportionment to a State under subsection (c)(1) of

22 this section, the State substantially complies with all of the requirements of

23 section 31311(a) of this title for a period of 365 days, the Secretary, on the

24 day following the last day of that period, shall apportion to the State the

25 withheld amounts remaining available for apportionment to that State.

26 (2) Amounts apportioned under paragraph (1) of this subsection remain

27 available for expenditure until the end of the 3d fiscal year following the fis28 cal year in which the amounts are apportioned. Amounts not obligated at the

29 end of that period lapse or, for amounts apportioned under section 104(b)(5)

30 of title 23, lapse and are available for projects under section 118(b) of title

31 23.

32 (e) LAPSE.—If, at the end of the period for which amounts withheld under

33 this section from apportionment are available for apportionment to a State

34 under subsection (c)(1) of this section, the State has not substantially com35 plied with all of the requirements of section 31311(a) of this title for a 365-

36 day period, the amounts lapse or, for amounts withheld from apportionment

37 under section 104(b)(5) of title 23, the amounts lapse and are available for

38 projects under section 118(b) of title 23.

39 § 31315. Waiver authority

40 After notice and an opportunity for comment, the Secretary of Transpor41 tation may waive any part of this chapter or a regulation prescribed under
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1 this chapter as it applies to a class of individuals or commercial motor vehi2 cles if the Secretary decides the waiver is not contrary to the public interest

3 and does not diminish the safe operation of commercial motor vehicles. A

4 waiver under this section shall be published in the Federal Register with rea5 sons for the waiver.

6 § 31316. Limitation on statutory construction

7 This chapter does not affect the authority of the Secretary of Transpor8 tation to regulate commercial motor vehicle safety involving motor vehicles

9 with a gross vehicle weight rating of less than 26,001 pounds or a lesser gross

10 vehicle weight rating the Secretary decides is appropriate under section

11 31301(4)(A) of this title.

12 § 31317. Procedure for prescribing regulations

13 Regulations prescribed by the Secretary of Transportation to carry out this

14 chapter (except section 31307) shall be prescribed under section 553 of title

15 5 without regard to sections 556 and 557 of title 5.

16 CHAPTER 315—MOTOR CARRIER SAFETY

Sec.

31501. Definitions.

31502. Requirements for qualifications, hours of service, safety, and equipment standards.

31503. Research, investigation, and testing.

31504. Identification of motor vehicles.

17 § 31501. Definitions

18 In this chapter—

19 (1) ‘‘migrant worker’’ means an individual going to or from employ20 ment in agriculture as provided under section 3121(g) of the Internal

21 Revenue Code of 1986 (26 U.S.C. 3121(g)) or section 203(f) of the Fair

22 Labor Standards Act of 1938 (29 U.S.C. 203(f)).

23 (2) ‘‘motor carrier’’, ‘‘motor common carrier’’, ‘‘motor private car24 rier’’, ‘‘motor vehicle’’, and ‘‘United States’’ have the same meanings

25 given those terms in section 10102 of this title.

26 (3) ‘‘motor carrier of migrant workers’’—

27 (A) means a person (except a motor common carrier) providing

28 transportation referred to in section 10521(a) of this title by a

29 motor vehicle (except a passenger automobile or station wagon) for

30 at least 3 migrant workers at a time to or from their employment;

31 but

32 (B) does not include a migrant worker providing transportation

33 for migrant workers and their immediate families.

34 § 31502. Requirements for qualifications, hours of service,

35 safety, and equipment standards

36 (a) APPLICATION.—This section applies to transportation—

37 (1) described in sections 10521 and 10522 of this title; and
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1 (2) to the extent the transportation is in the United States and is be2 tween places in a foreign country, or between a place in a foreign coun3 try and a place in another foreign country.

4 (b) MOTOR CARRIER AND PRIVATE MOTOR CARRIER REQUIREMENTS.—The

5 Secretary of Transportation may prescribe requirements for—

6 (1) qualifications and maximum hours of service of employees of, and

7 safety of operation and equipment of, a motor carrier; and

8 (2) qualifications and maximum hours of service of employees of, and

9 standards of equipment of, a motor private carrier, when needed to pro10 mote safety of operation.

11 (c) MIGRANT WORKER MOTOR CARRIER REQUIREMENTS.—The Secretary

12 may prescribe requirements for the comfort of passengers, qualifications and

13 maximum hours of service of operators, and safety of operation and equip14 ment of a motor carrier of migrant workers. The requirements only apply to

15 a carrier transporting a migrant worker—

16 (1) at least 75 miles; and

17 (2) across the boundary of a State, territory, or possession of the Unit18 ed States.

19 (d) CONSIDERATIONS.—Before prescribing or revising any requirement

20 under this section, the Secretary shall consider the costs and benefits of the

21 requirement.

22 § 31503. Research, investigation, and testing

23 (a) GENERAL AUTHORITY.—The Secretary of Transportation may inves24 tigate and report on the need for regulation by the United States Government

25 of sizes, weight, and combinations of motor vehicles and qualifications and

26 maximum hours of service of employees of a motor carrier subject to sub27 chapter II of chapter 105 of this title and a motor private carrier. The Sec28 retary shall use the services of each department, agency, or instrumentality

29 of the Government and each organization of motor carriers having special

30 knowledge of a matter being investigated.

31 (b) USE OF SERVICES.—In carrying out this chapter, the Secretary may

32 use the services of a department, agency, or instrumentality of the Govern33 ment having special knowledge about safety, to conduct scientific and tech34 nical research, investigation, and testing when necessary to promote safety of

35 operation and equipment of motor vehicles. The Secretary may reimburse the

36 department, agency, or instrumentality for the services provided.

37 § 31504. Identification of motor vehicles

38 (a) GENERAL AUTHORITY.—The Secretary of Transportation may—

39 (1) issue and require the display of an identification plate on a motor

40 vehicle used in transportation provided by a motor private carrier and
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1 a motor carrier of migrant workers subject to section 31502(c) of this

2 title, except a motor contract carrier; and

3 (2) require each of those motor private carriers and motor carriers of

4 migrant workers to pay the reasonable cost of the plate.

5 (b) LIMITATION.—A motor private carrier or a motor carrier of migrant

6 workers may use an identification plate only as authorized by the Secretary.

7 CHAPTER 317—PARTICIPATION IN INTERNATIONAL

8 REGISTRATION PLAN AND INTERNATIONAL FUEL TAX

9 AGREEMENT

Sec.

31701. Definitions.

31702. Working group.

31703. Grants.

31704. Vehicle registration.

31705. Fuel use tax.

31706. Enforcement.

31707. Limitations on statutory construction.

31708. Authorization of appropriations.

10 § 31701. Definitions

11 In this chapter—

12 (1) ‘‘commercial motor vehicle’’, with respect to—

13 (A) the International Registration Plan, has the same meaning

14 given the term ‘‘apportionable vehicle’’ under the Plan; and

15 (B) the International Fuel Tax Agreement, has the same meaning

16 given the term ‘‘qualified motor vehicle’’ under the Agreement.

17 (2) ‘‘fuel use tax’’ means a tax imposed on or measured by the con18 sumption of fuel in a motor vehicle.

19 (3) ‘‘International Fuel Tax Agreement’’ means the interstate agree20 ment on collecting and distributing fuel use taxes paid by motor carriers,

21 developed under the auspices of the National Governors’ Association.

22 (4) ‘‘International Registration Plan’’ means the interstate agreement

23 on apportioning vehicle registration fees paid by motor carriers, devel24 oped by the American Association of Motor Vehicle Administrators.

25 (5) ‘‘Regional Fuel Tax Agreement’’ means the interstate agreement on

26 collecting and distributing fuel use taxes paid by motor carriers in the

27 States of Maine, Vermont, and New Hampshire.

28 (6) ‘‘State’’ means the 48 contiguous States and the District of Colum29 bia.

30 § 31702. Working group

31 (a) ESTABLISHMENT.—The Secretary of Transportation shall establish a

32 working group of State and local government officials, including representa33 tives of the National Governors’ Association, the American Association of

34 Motor Vehicle Administrators, the National Conference of State Legislatures,

35 the Federation of Tax Administrators, and the Board of Directors for the
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1 International Fuel Tax Agreement, and a representative of the Regional Fuel

2 Tax Agreement.

3 (b) PURPOSES.—The purposes of the working group are—

4 (1) to propose procedures to resolve disputes among States participat5 ing in the International Registration Plan and among States participat6 ing in the International Fuel Tax Agreement, including designating the

7 Secretary or any other person to resolve the disputes; and

8 (2) to provide technical assistance to States participating or seeking

9 to participate in the Plan or Agreement.

10 (c) CONSULTATION REQUIREMENT.—In carrying out subsection (b) of this

11 section, the working group shall consult with members of the motor carrier

12 industry.

13 (d) REPORT.—(1) Not later than December 18, 1993, the working group

14 shall submit a report to—

15 (A) the Secretary;

16 (B) the Committee on Commerce, Science, and Transportation of the

17 Senate;

18 (C) the Committee on Public Works and Transportation of the House

19 of Representatives;

20 (D) the Committee on the Judiciary of the House of Representatives;

21 (E) the States participating in the International Registration Plan;

22 and

23 (F) the States participating in the International Fuel Tax Agreement.

24 (2) The report shall contain a detailed statement of the working group’s

25 findings and conclusions and its joint recommendations about the matters re26 ferred to in subsection (b) of this section. After submitting the report, the

27 working group periodically may review and modify the findings and conclu28 sions and the joint recommendations as appropriate and submit a report con29 taining the modifications to the Secretary and the committees specified in

30 paragraph (1) of this subsection.

31 (e) RELATIONSHIP TO OTHER LAWS.—The Federal Advisory Committee Act

32 (5 App. U.S.C.) does not apply to the working group.

33 § 31703. Grants

34 (a) GENERAL AUTHORITY.—The Secretary of Transportation may make

35 grants to States and appropriate persons to facilitate participation in the

36 International Registration Plan and the International Fuel Tax Agreement

37 and to make administrative improvements in any other base State fuel use

38 tax agreement in existence as of January 1, 1991. A grant may include

39 amounts for technical assistance, personnel training, travel costs, and tech40 nology and equipment associated with the participation.
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1 (b) CONTRACTUAL OBLIGATION.—Approval by the Secretary of a grant

2 with amounts made available under this section is a contractual obligation

3 of the United States Government for payment of the Government’s share of

4 the grant.

5 § 31704. Vehicle registration

6 After September 30, 1996, a State that is not participating in the Inter7 national Registration Plan may not establish, maintain, or enforce a com8 mercial motor vehicle registration law, regulation, or agreement that limits

9 the operation in that State of a commercial motor vehicle that is not reg10 istered under the laws of the State, if the vehicle is registered under the laws

11 of a State participating in the Plan.

12 § 31705. Fuel use tax

13 (a) REPORTING REQUIREMENTS.—After September 30, 1996, a State may

14 establish, maintain, or enforce a law or regulation that has a fuel use tax

15 reporting requirement (including any tax reporting form) only if the require16 ment conforms with the International Fuel Tax Agreement.

17 (b) PAYMENT.—After September 30, 1996, a State may establish, maintain,

18 or enforce a law or regulation that provides for the payment of a fuel use

19 tax only if the law or regulation conforms with the International Fuel Tax

20 Agreement as it applies to collection of a fuel use tax by a single base State

21 and proportional sharing of fuel use taxes charged among the States where

22 a commercial motor vehicle is operated.

23 (c) LIMITATION.—If the International Fuel Tax Agreement is amended, a

24 State not participating in the Agreement when the amendment is made is not

25 subject to the conformity requirements of subsections (a) and (b) of this sec26 tion in regard to the amendment until after a reasonable time, but not earlier

27 than the expiration of—

28 (1) the 365-day period beginning on the first day that States partici29 pating in the Agreement are required to comply with the amendment;

30 or

31 (2) the 365-day period beginning on the day the relevant office of the

32 State receives written notice of the amendment from the Secretary of

33 Transportation.

34 (d) NONAPPLICATION.—This section does not apply to a State that was

35 participating in the Regional Fuel Tax Agreement on January 1, 1991, and

36 that continues to participate in that Agreement after that date.

37 § 31706. Enforcement

38 (a) CIVIL ACTIONS.—On request of the Secretary of Transportation, the At39 torney General may bring a civil action in a court of competent jurisdiction

40 to enforce compliance with sections 31704 and 31705 of this title.
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1 (b) VENUE.—An action under this section may be brought only in the State

2 in which an order is required to enforce compliance.

3 (c) RELIEF.—Subject to section 1341 of title 28, the court, on a proper

4 showing—

5 (1) shall issue a temporary restraining order or a preliminary or per6 manent injunction; and

7 (2) may require by the injunction that the State or any person comply

8 with sections 31704 and 31705 of this title.

9 § 31707. Limitations on statutory construction

10 Sections 31704 and 31705 of this title do not limit the amount of money

11 a State may charge for registration of a commercial motor vehicle or the

12 amount of any fuel use tax a State may impose.

13 § 31708. Authorization of appropriations

14 (a) GENERAL.—From amounts made available under section 31104 of this

15 title, the Secretary of Transportation shall provide the following amounts for

16 each of the fiscal years ending September 30, 1993-1997:

17 (1) $1,000,000 for activities of the working group under section 31702

18 of this title.

19 (2) $5,000,000 for grants under section 31703 of this title.

20 (b) AVAILABILITY OF AMOUNTS.—Amounts appropriated under this section

21 remain available until expended.

22 PART C—INFORMATION, STANDARDS, AND

23 REQUIREMENTS

24 CHAPTER 321—GENERAL

Sec.

32101. Definitions.

32102. Authorization of appropriations.

25 § 32101. Definitions

26 In this part (except section 32304 and chapter 329)—

27 (1) ‘‘bumper standard’’ means a minimum performance standard that

28 substantially reduces—

29 (A) the damage to the front or rear end of a passenger motor ve30 hicle from a low-speed collision (including a collision with a fixed

31 barrier) or from towing the vehicle; or

32 (B) the cost of repairing the damage.

33 (2) ‘‘insurer’’ means a person in the business of issuing, or reinsuring

34 any part of, a passenger motor vehicle insurance policy.

35 (3) ‘‘interstate commerce’’ means commerce between a place in a State

36 and—

37 (A) a place in another State; or

38 (B) another place in the same State through another State.
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1 (4) ‘‘make’’, when describing a passenger motor vehicle, means the

2 trade name of the manufacturer of the vehicle.

3 (5) ‘‘manufacturer’’ means a person—

4 (A) manufacturing or assembling passenger motor vehicles or pas5 senger motor vehicle equipment; or

6 (B) importing motor vehicles or motor vehicle equipment for re7 sale.

8 (6) ‘‘model’’, when describing a passenger motor vehicle, means a cat9 egory of passenger motor vehicles based on the size, style, and type of

10 a make of vehicle.

11 (7) ‘‘motor vehicle’’ means a vehicle driven or drawn by mechanical

12 power and manufactured primarily for use on public streets, roads, and

13 highways, but does not include a vehicle operated only on a rail line.

14 (8) ‘‘motor vehicle accident’’ means an accident resulting from the

15 maintenance or operation of a passenger motor vehicle or passenger

16 motor vehicle equipment.

17 (9) ‘‘multipurpose passenger vehicle’’ means a passenger motor vehicle

18 constructed on a truck chassis or with special features for occasional off19 road operation.

20 (10) ‘‘passenger motor vehicle’’ means a motor vehicle with motive

21 power designed to carry not more than 12 individuals, but does not in22 clude—

23 (A) a motorcycle; or

24 (B) a truck not designed primarily to carry its operator or pas25 sengers.

26 (11) ‘‘passenger motor vehicle equipment’’ means—

27 (A) a system, part, or component of a passenger motor vehicle as

28 originally made;

29 (B) a similar part or component made or sold for replacement

30 or improvement of a system, part, or component, or as an accessory

31 or addition to a passenger motor vehicle; or

32 (C) a device made or sold for use in towing a passenger motor

33 vehicle.

34 (12) ‘‘State’’ means a State of the United States, the District of Co35 lumbia, Puerto Rico, the Northern Mariana Islands, Guam, American

36 Samoa, and the Virgin Islands.

37 (13) ‘‘United States district court’’ means a district court of the Unit38 ed States, a United States court for Guam, the Virgin Islands, and

39 American Samoa, and the district court for the Northern Mariana Is40 lands.
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1 § 32102. Authorization of appropriations

2 The following amounts may be appropriated to the Secretary of Transpor3 tation for the National Highway Traffic Safety Administration to carry out

4 this part:

5 (1) $6,731,430 for the fiscal year ending September 30, 1993.

6 (2) $6,987,224 for the fiscal year ending September 30, 1994.

7 (3) $7,252,739 for the fiscal year ending September 30, 1995.

8 CHAPTER 323—CONSUMER INFORMATION

Sec.

32301. Definitions.

32302. Passenger motor vehicle information.

32303. Insurance information.

32304. Passenger motor vehicle country of origin labeling.

32305. Information and assistance from other departments, agencies, and instrumentalities.

32306. Personnel.

32307. Investigative powers.

32308. General prohibitions, civil penalty, and enforcement.

32309. Criminal penalty for labeling violations.

9 § 32301. Definitions

10 In this chapter—

11 (1) ‘‘crashworthiness’’ means the protection a passenger motor vehicle

12 gives its passengers against personal injury or death from a motor vehi13 cle accident.

14 (2) ‘‘damage susceptibility’’ means the susceptibility of a passenger

15 motor vehicle to damage in a motor vehicle accident.

16 § 32302. Passenger motor vehicle information

17 (a) INFORMATION PROGRAM.—The Secretary of Transportation shall main18 tain a program for developing the following information on passenger motor

19 vehicles:

20 (1) damage susceptibility.

21 (2) crashworthiness.

22 (3) the degree of difficulty of diagnosis and repair of damage to, or

23 failure of, mechanical and electrical systems.

24 (4) vehicle operating costs dependent on the characteristics referred to

25 in clauses (1)–(3) of this subsection, including insurance information ob26 tained under section 32303 of this title.

27 (b) MOTOR VEHICLE INFORMATION.—To assist a consumer in buying a

28 passenger motor vehicle, the Secretary shall provide to the public information

29 developed under subsection (a) of this section. The information shall be in a

30 simple and understandable form that allows comparison of the characteristics

31 referred to in subsection (a)(1)–(3) of this section among the makes and mod32 els of passenger motor vehicles. The Secretary may require passenger motor

33 vehicle dealers to distribute the information to prospective buyers.
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1 (c) INSURANCE COST INFORMATION.—The Secretary shall prescribe regula2 tions that require passenger motor vehicle dealers to distribute to prospective

3 buyers information the Secretary develops and provides to the dealers that

4 compares insurance costs for different makes and models of passenger motor

5 vehicles based on damage susceptibility and crashworthiness.

6 § 32303. Insurance information

7 (a) GENERAL REPORTS AND INFORMATION REQUIREMENTS.—(1) In carry8 ing out this chapter, the Secretary of Transportation may require an insurer,

9 or a designated agent of the insurer, to make reports and provide the Sec10 retary with information. The reports and information may include accident

11 claim information by make, model, and model year of passenger motor vehicle

12 about the kind and extent of—

13 (A) physical damage and repair costs; and

14 (B) personal injury.

15 (2) In deciding which reports and information are to be provided under

16 this subsection, the Secretary shall—

17 (A) consider the cost of preparing and providing the reports and infor18 mation;

19 (B) consider the extent to which the reports and information will con20 tribute to carrying out this chapter; and

21 (C) consult with State authorities and public and private agencies the

22 Secretary considers appropriate.

23 (3) To the extent possible, the Secretary shall obtain reports and informa24 tion under this subsection on a voluntary basis.

25 (b) REQUESTED INFORMATION ON CRASHWORTHINESS, DAMAGE SUSCEPTI26 BILITY, AND REPAIR AND PERSONAL INJURY COST.—When requested by the

27 Secretary, an insurer shall give the Secretary information—

28 (1) about the extent to which the insurance premiums charged by the

29 insurer are affected by damage susceptibility, crashworthiness, and the

30 cost of repair and personal injury, for each make and model of passenger

31 motor vehicle; and

32 (2) available to the insurer about the effect of damage susceptibility,

33 crashworthiness, and the cost of repair and personal injury for each

34 make and model of passenger motor vehicle on the risk incurred by the

35 insurer in insuring that make and model.

36 (c) DISCLOSURE.—In distributing information received under this section,

37 the Secretary may disclose identifying information about a person that may

38 be an insured, a claimant, a passenger, an owner, a witness, or an individual

39 involved in a motor vehicle accident, only with the consent of the person.

40 § 32304. Passenger motor vehicle country of origin labeling

41 (a) DEFINITIONS.—In this section—
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1 (1) ‘‘allied supplier’’ means a supplier of passenger motor vehicle

2 equipment that is wholly owned by the manufacturer, or if a joint ven3 ture vehicle assembly arrangement, a supplier that is wholly owned by

4 one member of the joint venture arrangement.

5 (2)(A) ‘‘carline’’—

6 (i) means a name given a group of passenger motor vehicles that

7 has a degree of commonality in construction such as body and chas8 sis;

9 (ii) does not consider a level of decor or opulence; and

10 (iii) except for light duty trucks, is not generally distinguished

11 by characteristics such as roof line, number of doors, seats, or win12 dows; and

13 (B) light duty trucks are different carlines than passenger motor vehi14 cles.

15 (3) ‘‘country of origin’’, when referring to the origin of an engine or

16 transmission, means the country from which the largest share of the dol17 lar value added to an engine or transmission has originated—

18 (A) with the United States and Canada treated as separate coun19 tries; and

20 (B) the estimate of the percentage of the dollar value shall be

21 based on the purchase price of direct materials, as received at indi22 vidual engine or transmission plants, of engines of the same dis23 placement and transmissions of the same transmission type.

24 (4) ‘‘dealer’’ means a person residing or located in the United States,

25 including the District of Columbia or a territory or possession of the

26 United States, and engaged in selling or distributing new passenger

27 motor vehicles to the ultimate purchaser.

28 (5) ‘‘final assembly place’’ means the plant, factory, or other place at

29 which a new passenger motor vehicle is produced or assembled by a man30 ufacturer, and from which the vehicle is delivered to a dealer or importer

31 with all component parts necessary for the mechanical operation of the

32 vehicle included with the vehicle, whether or not the component parts are

33 permanently installed in or on the vehicle.

34 (6) ‘‘foreign content’’ means passenger motor vehicle equipment that

35 is not of United States/Canadian origin.

36 (7) ‘‘manufacturer’’ means a person—

37 (A) engaged in manufacturing or assembling new passenger

38 motor vehicles;

39 (B) importing new passenger motor vehicles for resale; or
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1 (C) acting for and under the control of such a manufacturer, as2 sembler, or importer in connection with the distribution of new pas3 senger motor vehicles.

4 (8) ‘‘new passenger motor vehicle’’ means a passenger motor vehicle for

5 which a manufacturer, distributor, or dealer has never transferred the eq6 uitable or legal title to the vehicle to an ultimate purchaser.

7 (9) ‘‘of United States/Canadian origin’’, when referring to passenger

8 motor vehicle equipment, means—

9 (A) for an outside supplier, passenger motor vehicle equipment

10 whose purchase price contains at least 70 percent value added in

11 the United States and Canada; and

12 (B) for an allied supplier, that part of the individual passenger

13 motor vehicle equipment whose purchase price the manufacturer de14 termines remains after subtracting the total of the purchase prices

15 of all material of foreign content purchased from outside suppliers,

16 with the determination of the United States/Canadian origin or of

17 the foreign content from outside suppliers being consistent with

18 subclause (A) of this clause.

19 (10) ‘‘outside supplier’’ means a supplier of passenger motor vehicle

20 equipment to a manufacturer’s allied supplier, or a person other than

21 an allied supplier, who ships directly to the manufacturer’s final assem22 bly place.

23 (11) ‘‘passenger motor vehicle’’ means a motor vehicle with motive

24 power, manufactured primarily for use on public streets, roads, and

25 highways, and designed to carry not more than 12 individuals—

26 (A) including a multipurpose vehicle or light duty truck when the

27 vehicle or truck is rated at not more than 8,500 pounds gross vehicle

28 weight; but

29 (B) not including—

30 (i) a motorcycle;

31 (ii) a truck not designed primarily to carry its operator or

32 passengers; or

33 (iii) a vehicle operated only on a rail line.

34 (12) ‘‘passenger motor vehicle equipment’’—

35 (A) means a system, subassembly, or component received at the

36 final vehicle assembly place for installation on, or attachment to,

37 a passenger motor vehicle at the time of its first shipment by the

38 manufacturer to a dealer for sale to an ultimate purchaser; but

39 (B) does not include minor parts (including nuts, bolts, clips,

40 screws, pins, braces, and other attachment hardware) and other
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1 similar items the Secretary of Transportation may prescribe by reg2 ulation after consulting with manufacturers and labor.

3 (13) ‘‘percentage (by value)’’, when referring to passenger motor vehi4 cle equipment of United States/Canadian origin, means the percentage

5 remaining after subtracting the percentage (by value) of passenger motor

6 vehicle equipment that is not of United States/Canadian origin that will

7 be installed or included on those vehicles produced in a carline, from 100

8 percent—

9 (A) with value being expressed in terms of the purchase price;

10 and

11 (B) for outside suppliers and allied suppliers, the value used is

12 the purchase price of the equipment paid at the final assembly

13 place.

14 (14) ‘‘State’’ means a State of the United States, the District of Co15 lumbia, Puerto Rico, Guam, the Canal Zone, American Samoa, and the

16 Virgin Islands.

17 (15) ‘‘value added in the United States and Canada’’ means a per18 centage determined by subtracting the total purchase price of foreign con19 tent from the total purchase price, and dividing the remainder by the

20 total purchase price, excluding costs incurred or profits made at the final

21 assembly place and beyond (including advertising, assembly, labor, inter22 est payments, and profits), with the following groupings being used:

23 (A) engines of same displacement produced at the same plant.

24 (B) transmissions of the same type produced at the same plant.

25 (b) MANUFACTURER REQUIREMENT.—(1) Each manufacturer of a new pas26 senger motor vehicle manufactured after September 30, 1994, and distributed

27 in commerce for sale in the United States, shall establish each year for each

28 model year and cause to be attached in a prominent place on each of those

29 vehicles, at least one label. The label shall contain the following information:

30 (A) the percentage (by value) of passenger motor vehicle equipment of

31 United States/Canadian origin installed on vehicles in the carline to

32 which that vehicle belongs, identified by the words ‘‘U.S./Canadian con33 tent’’.

34 (B) the final assembly place for that vehicle by city, State (where ap35 propriate) and country.

36 (C) if at least 15 percent (by value) of equipment installed on pas37 senger motor vehicles in a carline originated in any country other than

38 the United States and Canada, the names of at least the 2 countries in

39 which the greatest amount (by value) of that equipment originated and

40 the percentage (by value) of the equipment originating in each country.
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1 (D) the country of origin of the engine and the transmission for each

2 vehicle.

3 (2) At the beginning of each model year, each manufacturer shall establish

4 the percentages required for each carline to be indicated on the label under

5 this subsection. Those percentages are applicable to that carline for the entire

6 model year. A manufacturer may round those percentages to the nearest 5

7 percent.

8 (3) A manufacturer complying with the requirement of paragraph (1)(B)

9 of this subsection satisfies the disclosure requirement of section 3(b) of the

10 Automobile Information Disclosure Act (15 U.S.C. 1232(b)).

11 (c) DEALER REQUIREMENT.—Each dealer engaged in the sale or distribu12 tion of a new passenger motor vehicle manufactured after September 30, 1994,

13 shall cause to be maintained on that vehicle the label required to be attached

14 to that vehicle under subsection (b) of this section.

15 (d) FORM AND CONTENT OF LABEL.—The Secretary of Transportation

16 shall prescribe by regulation the form and content of the label required under

17 subsection (b) of this section and the manner and location in which the label

18 is attached. The Secretary shall permit a manufacturer to comply with this

19 section by allowing the manufacturer to disclose the information required

20 under subsection (b)(1) on the label required by section 3 of the Automobile

21 Information Disclosure Act (15 U.S.C. 1232), on the label required by section

22 32908 of this title, or on a separate label that is readily visible.

23 (e) REGULATIONS.—In consultation with the Secretaries of Commerce and

24 the Treasury, the Secretary of Transportation shall prescribe regulations nec25 essary to carry out this section, including regulations establishing a procedure

26 to verify the label information required under subsection (b)(1) of this section.

27 Those regulations shall provide the ultimate purchaser of a new passenger

28 motor vehicle with the best and most understandable information possible

29 about the foreign content and United States/Canadian origin of the equip30 ment of the vehicles without imposing costly and unnecessary burdens on the

31 manufacturers. The Secretary of Transportation shall prescribe the regula32 tions promptly to provide adequate lead time for each manufacturer to com33 ply with this section. The regulations shall include provisions applicable to

34 outside suppliers and allied suppliers to require those suppliers to certify

35 whether passenger motor vehicle equipment provided by those suppliers is of

36 United States origin, of United States/Canadian origin, or of foreign content

37 and to provide other information the Secretary of Transportation decides is

38 necessary to allow each manufacturer to comply reasonably with this section

39 and to rely on that certification and information.

40 (f) PREEMPTION.—(1) When a label content requirement prescribed under

41 this section is in effect, a State or a political subdivision of a State may not
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1 adopt or enforce a law or regulation related to the content of vehicles covered

2 by a requirement under this section.

3 (2) A State or a political subdivision of a State may prescribe requirements

4 related to the content of passenger motor vehicles obtained for its own use.

5 § 32305. Information and assistance from other departments,

6 agencies, and instrumentalities

7 (a) AUTHORITY TO REQUEST.—The Secretary of Transportation may re8 quest information necessary to carry out this chapter from a department,

9 agency, or instrumentality of the United States Government. The head of the

10 department, agency, or instrumentality shall provide the information.

11 (b) DETAILING PERSONNEL.—The head of a department, agency, or instru12 mentality may detail, on a reimbursable basis, personnel to assist the Sec13 retary in carrying out this chapter.

14 § 32306. Personnel

15 (a) GENERAL AUTHORITY.—In carrying out this chapter, the Secretary of

16 Transportation may—

17 (1) appoint and fix the pay of employees without regard to the provi18 sions of title 5 governing appointment in the competitive service and

19 chapter 51 and subchapter III of chapter 53 of title 5; and

20 (2) make contracts with persons for research and preparation of re21 ports.

22 (b) STATUS OF ADVISORY COMMITTEE MEMBERS.—A member of an advi23 sory committee appointed under section 325 of this title to carry out this

24 chapter is a special United States Government employee under chapter 11 of

25 title 18.

26 § 32307. Investigative powers

27 (a) GENERAL AUTHORITY.—In carrying out this chapter, the Secretary of

28 Transportation may—

29 (1) inspect and copy records of any person at reasonable times;

30 (2) order a person to file written reports or answers to specific ques31 tions, including reports or answers under oath; and

32 (3) conduct hearings, administer oaths, take testimony, and require

33 (by subpena or otherwise) the appearance and testimony of witnesses and

34 the production of records the Secretary considers advisable.

35 (b) WITNESS FEES AND MILEAGE.—A witness summoned under subsection

36 (a) of this section is entitled to the same fee and mileage the witness would

37 have been paid in a court of the United States.

38 (c) CIVIL ACTIONS TO ENFORCE.—A civil action to enforce a subpena or

39 order of the Secretary under subsection (a) of this section may be brought in

40 the United States district court for the judicial district in which the proceed41 ing by the Secretary is conducted. The court may punish a failure to obey
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1 an order of the court to comply with the subpena or order of the Secretary

2 as a contempt of court.

3 (d) CONFIDENTIALITY OF INFORMATION.—Information obtained by the Sec4 retary under this section related to a confidential matter referred to in section

5 1905 of title 18 may be disclosed only to another officer or employee of the

6 United States Government for use in carrying out this chapter. This sub7 section does not authorize information to be withheld from a committee of

8 Congress authorized to have the information.

9 § 32308. General prohibitions, civil penalty, and enforcement

10 (a) PROHIBITIONS.—A person may not—

11 (1) fail to provide the Secretary of Transportation with information

12 requested by the Secretary in carrying out this chapter; or

13 (2) fail to comply with applicable regulations prescribed by the Sec14 retary in carrying out this chapter.

15 (b) CIVIL PENALTY.—(1) A person that violates subsection (a) of this sec16 tion is liable to the United States Government for a civil penalty of not more

17 than $1,000 for each violation. Each failure to provide information or comply

18 with a regulation in violation of subsection (a) is a separate violation. The

19 maximum penalty under this subsection for a related series of violations is

20 $400,000.

21 (2) The Secretary may compromise the amount of a civil penalty imposed

22 under this section.

23 (3) In determining the amount of a penalty or compromise, the appro24 priateness of the penalty or compromise to the size of the business of the per25 son charged and the gravity of the violation shall be considered.

26 (4) The Government may deduct the amount of a civil penalty imposed or

27 compromised under this section from amounts it owes the person liable for

28 the penalty.

29 (c) CIVIL ACTIONS TO ENFORCE.—(1) The Attorney General may bring a

30 civil action in a United States district court to enjoin a violation of sub31 section (a) of this section.

32 (2) When practicable, the Secretary shall—

33 (A) notify a person against whom an action under this subsection is

34 planned;

35 (B) give the person an opportunity to present that person’s views; and

36 (C) give the person a reasonable opportunity to comply.

37 (3) The failure of the Secretary to comply with paragraph (2) of this sub38 section does not prevent a court from granting appropriate relief.

39 (d) VENUE AND SERVICE.—A civil action under this section may be

40 brought in the judicial district in which the violation occurred or the defend41 ant is found, resides, or does business. Process in the action may be served
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1 in any other judicial district in which the defendant resides or is found. A

2 subpena for a witness in the action may be served in any judicial district.

3 § 32309. Criminal penalty for labeling violations

4 (a) DEFINITIONS.—The definitions in section 32304 of this title apply to

5 this section.

6 (b) PENALTIES.—A manufacturer of a passenger motor vehicle distributed

7 in commerce for sale in the United States that willfully fails to attach the

8 label required under section 32304 of this title to a new passenger motor vehi9 cle that the manufacturer manufactures or imports, or a dealer that fails to

10 maintain that label as required under section 32304, is liable to the United

11 States Government for a civil penalty of not more than $1,000 for each viola12 tion. Each failure to attach or maintain that label for each vehicle is a sepa13 rate violation.

14 CHAPTER 325—BUMPER STANDARDS

Sec.

32501. Purpose.

32502. Bumper standards.

32503. Judicial review of bumper standards.

32504. Certificates of compliance.

32505. Information and compliance requirements.

32506. Prohibited acts.

32507. Penalties and enforcement.

32508. Civil actions by owners of passenger motor vehicles.

32509. Information and assistance from other departments, agencies, and instrumentalities.

32510. Annual report.

32511. Relationship to other motor vehicle standards.

15 § 32501. Purpose

16 The purpose of this chapter is to reduce economic loss resulting from dam17 age to passenger motor vehicles involved in motor vehicle accidents by provid18 ing for the maintenance and enforcement of bumper standards.

19 § 32502. Bumper standards

20 (a) GENERAL REQUIREMENTS AND NONAPPLICATION.—The Secretary of

21 Transportation shall prescribe by regulation bumper standards for passenger

22 motor vehicles and may prescribe by regulation bumper standards for pas23 senger motor vehicle equipment manufactured in, or imported into, the Unit24 ed States. A standard does not apply to a passenger motor vehicle or pas25 senger motor vehicle equipment—

26 (1) intended only for export;

27 (2) labeled for export on the vehicle or equipment and the outside of

28 any container of the vehicle or equipment; and

29 (3) exported.

30 (b) LIMITATIONS.—A standard under this section—

31 (1) may not conflict with a motor vehicle safety standard prescribed

32 under chapter 301 of this title;
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1 (2) may not specify a dollar amount for the cost of repairing damage

2 to a passenger motor vehicle; and

3 (3) to the greatest practicable extent, may not preclude the attachment

4 of a detachable hitch.

5 (c) EXEMPTIONS.—For good cause, the Secretary may exempt from any

6 part of a standard—

7 (1) a multipurpose passenger vehicle; or

8 (2) a make, model, or class of a passenger motor vehicle manufactured

9 for a special use, if the standard would interfere unreasonably with the

10 special use of the vehicle.

11 (d) COST REDUCTION AND CONSIDERATIONS.—When prescribing a stand12 ard under this section, the Secretary shall design the standard to obtain the

13 maximum feasible reduction of costs to the public, considering—

14 (1) the costs and benefits of carrying out the standard;

15 (2) the effect of the standard on insurance costs and legal fees and

16 costs;

17 (3) savings in consumer time and inconvenience; and

18 (4) health and safety, including emission standards.

19 (e) PROCEDURES.—Section 553 of title 5 applies to a standard prescribed

20 under this section. However, the Secretary shall give an interested person an

21 opportunity to make oral and written presentations of information, views,

22 and arguments. A transcript of each oral presentation shall be kept. Under

23 conditions prescribed by the Secretary, the Secretary may conduct a hearing

24 to resolve an issue of fact material to a standard.

25 (f) EFFECTIVE DATE.—The Secretary shall prescribe an effective date for

26 a standard under this section. That date may not be earlier than the date

27 the standard is prescribed nor later than 18 months after the date the stand28 ard is prescribed. However, the Secretary may prescribe a later date when

29 the Secretary submits to Congress and publishes the reasons for the later date.

30 A standard only applies to a passenger motor vehicle or passenger motor vehi31 cle equipment manufactured on or after the effective date.

32 (g) RESEARCH.—The Secretary shall conduct research necessary to carry

33 out this chapter.

34 § 32503. Judicial review of bumper standards

35 (a) FILING AND VENUE.—A person that may be adversely affected by a

36 standard prescribed under section 32502 of this title may apply for review

37 of the standard by filing a petition for review in the United States Court of

38 Appeals for the District of Columbia Circuit or in the court of appeals of the

39 United States for the circuit in which the person resides or has its principal

40 place of business. The petition must be filed not later than 59 days after the

41 standard is prescribed.
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1 (b) NOTIFYING SECRETARY.—The clerk of the court shall send immediately

2 a copy of the petition to the Secretary of Transportation. The Secretary shall

3 file with the court a record of the proceeding in which the standard was pre4 scribed.

5 (c) ADDITIONAL PROCEEDINGS.—(1) On request of the petitioner, the court

6 may order the Secretary to receive additional evidence and evidence in rebut7 tal if the court is satisfied the additional evidence is material and there were

8 reasonable grounds for not presenting the evidence in the proceeding before

9 the Secretary.

10 (2) The Secretary may modify findings of fact or make new findings be11 cause of the additional evidence presented. The Secretary shall file a modified

12 or new finding, a recommendation to modify or set aside a standard, and

13 the additional evidence with the court.

14 (d) SUPREME COURT REVIEW AND ADDITIONAL REMEDIES.—A judgment

15 of a court under this section may be reviewed only by the Supreme Court

16 under section 1254 of title 28. A remedy under this section is in addition

17 to any other remedies provided by law.

18 § 32504. Certificates of compliance

19 Under regulations prescribed by the Secretary of Transportation, a manu20 facturer or distributor of a passenger motor vehicle or passenger motor vehicle

21 equipment subject to a standard prescribed under section 32502 this title shall

22 give the distributor or dealer at the time of delivery a certificate that the vehi23 cle or equipment complies with the standard.

24 § 32505. Information and compliance requirements

25 (a) GENERAL AUTHORITY.—(1) To enable the Secretary of Transportation

26 to decide whether a manufacturer of passenger motor vehicles or passenger

27 motor vehicle equipment is complying with this chapter and standards pre28 scribed under this chapter, the Secretary may require the manufacturer to—

29 (A) keep records;

30 (B) make reports;

31 (C) provide items and information, including vehicles and equipment

32 for testing at a negotiated price not more than the manufacturer’s cost;

33 and

34 (D) allow an officer or employee designated by the Secretary to inspect

35 vehicles and relevant records of the manufacturer.

36 (2) To enforce this chapter, an officer or employee designated by the Sec37 retary, on presenting appropriate credentials and a written notice to the

38 owner, operator, or agent in charge, may inspect a facility in which pas39 senger motor vehicles or passenger motor vehicle equipment is manufactured,

40 held for introduction in interstate commerce, or held for sale after introduc-
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1 tion in interstate commerce. An inspection shall be conducted at a reasonable

2 time, in a reasonable way, and with reasonable promptness.

3 (b) POWERS OF SECRETARY AND CIVIL ACTIONS TO ENFORCE.—(1) In car4 rying out this chapter, the Secretary may—

5 (A) inspect and copy records of any person at reasonable times;

6 (B) order a person to file written reports or answers to specific ques7 tions, including reports or answers under oath; and

8 (C) conduct hearings, administer oaths, take testimony, and require

9 (by subpena or otherwise) the appearance and testimony of witnesses and

10 the production of records the Secretary considers advisable.

11 (2) A witness summoned under this subsection is entitled to the same fee

12 and mileage the witness would have been paid in a court of the United States.

13 (3) A civil action to enforce a subpena or order of the Secretary under this

14 subsection may be brought in the United States district court for the judicial

15 district in which the proceeding by the Secretary was conducted. The court

16 may punish a failure to obey an order of the court to comply with the sub17 pena or order of the Secretary as a contempt of court.

18 (c) CONFIDENTIALITY OF INFORMATION.—(1) Information obtained by the

19 Secretary under this chapter related to a confidential matter referred to in

20 section 1905 of title 18 may be disclosed only—

21 (A) to another officer or employee of the United States Government for

22 use in carrying out this chapter; or

23 (B) in a proceeding under this chapter.

24 (2) This subsection does not authorize information to be withheld from a

25 committee of Congress authorized to have the information.

26 (3) Subject to paragraph (1) of this subsection, the Secretary, on request,

27 shall make available to the public at cost information the Secretary submits

28 or receives in carrying out this chapter.

29 § 32506. Prohibited acts

30 (a) GENERAL.—Except as provided in this section, a person may not—

31 (1) manufacture for sale, sell, offer for sale, introduce or deliver for

32 introduction in interstate commerce, or import into the United States,

33 a passenger motor vehicle or passenger motor vehicle equipment manu34 factured on or after the date an applicable standard under section 32502

35 of this title takes effect, unless it conforms to the standard;

36 (2) fail to comply with an applicable regulation prescribed by the Sec37 retary of Transportation under this chapter;

38 (3) fail to keep records, refuse access to or copying of records, fail to

39 make reports or provide items or information, or fail or refuse to allow

40 entry or inspection, as required by this chapter or a regulation pre41 scribed under this chapter; or
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1 (4) fail to provide the certificate required by section 32504 of this title,

2 or provide a certificate that the person knows, or in the exercise of rea3 sonable care has reason to know, is false or misleading in a material

4 respect.

5 (b) NONAPPLICATION.—Subsection (a)(1) of this section does not apply to—

6 (1) the sale, offer for sale, or introduction or delivery for introduction

7 in interstate commerce of a passenger motor vehicle or passenger motor

8 vehicle equipment after the first purchase of the vehicle or equipment in

9 good faith other than for resale (but this clause does not prohibit a stand10 ard from requiring that a vehicle or equipment be manufactured to com11 ply with the standard over a specified period of operation or use); or

12 (2) a person—

13 (A) establishing that the person had no reason to know, by exer14 cising reasonable care, that the vehicle or equipment does not com15 ply with the standard; or

16 (B) holding, without knowing about a noncompliance and before

17 that first purchase, a certificate issued under section 32504 of this

18 title stating that the vehicle or equipment complies with the stand19 ard.

20 (c) IMPORTING NONCOMPLYING VEHICLES AND EQUIPMENT.—(1) The Sec21 retaries of Transportation and the Treasury may prescribe joint regulations

22 authorizing a passenger motor vehicle or passenger motor vehicle equipment

23 not complying with a standard prescribed under section 32502 of this title

24 to be imported into the United States subject to conditions (including provid25 ing a bond) the Secretaries consider appropriate to ensure that the vehicle or

26 equipment will—

27 (A) comply, after importation, with the standards prescribed under

28 section 32502 of this title;

29 (B) be exported; or

30 (C) be abandoned to the United States Government.

31 (2) The Secretaries may prescribe joint regulations that allow a passenger

32 motor vehicle or passenger motor vehicle equipment to be imported into the

33 United States after the first purchase in good faith other than for resale.

34 (d) LIABILITY UNDER OTHER LAW.—Compliance with a standard under

35 this chapter does not exempt a person from liability provided by law.

36 § 32507. Penalties and enforcement

37 (a) CIVIL PENALTY.—(1) A person that violates section 32506(a) of this

38 title is liable to the United States Government for a civil penalty of not more

39 than $1,000 for each violation. A separate violation occurs for each passenger

40 motor vehicle or item of passenger motor vehicle equipment involved in a vio41 lation of section 32506(a)(1) or (4) of this title—
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1 (A) that does not comply with a standard prescribed under section

2 32502 of this title; or

3 (B) for which a certificate is not provided, or for which a false or mis4 leading certificate is provided, under section 32504 of this title.

5 (2) The maximum civil penalty under this subsection for a related series

6 of violations is $800,000.

7 (3) The Secretary of Transportation imposes a civil penalty under this sub8 section. The Attorney General or the Secretary, with the concurrence of the

9 Attorney General, shall bring a civil action in a United States district court

10 to collect the penalty.

11 (b) CRIMINAL PENALTY.—A person knowingly and willfully violating sec12 tion 32506(a)(1) of this title after receiving a notice of noncompliance from

13 the Secretary shall be fined under title 18, imprisoned for not more than one

14 year, or both. If the person is a corporation, the penalties of this subsection

15 also apply to a director, officer, or individual agent of the corporation who,

16 with knowledge of the Secretary’s notice, knowingly and willfully authorizes,

17 orders, or performs an act that is any part of the violation.

18 (c) CIVIL ACTIONS TO ENFORCE.—(1) The Secretary or the Attorney Gen19 eral may bring a civil action in a United States district court to enjoin a

20 violation of this chapter or the sale, offer for sale, introduction or delivery

21 for introduction in interstate commerce, or importation into the United

22 States, of a passenger motor vehicle or passenger motor vehicle equipment that

23 is found, before the first purchase in good faith other than for resale, not to

24 comply with a standard prescribed under section 32502 of this title.

25 (2) When practicable, the Secretary shall—

26 (A) notify a person against whom an action under this subsection is

27 planned;

28 (B) give the person an opportunity to present that person’s views; and

29 (C) except for a knowing and willful violation, give the person a rea30 sonable opportunity to comply.

31 (3) The failure of the Secretary to comply with paragraph (2) of this sub32 section does not prevent a court from granting appropriate relief.

33 (d) JURY TRIAL DEMAND.—In a trial for criminal contempt for violating

34 an injunction or restraining order issued under subsection (c) of this section,

35 the violation of which is also a violation of this chapter, the defendant may

36 demand a jury trial. The defendant shall be tried as provided in rule 42(b)

37 of the Federal Rules of Criminal Procedure (18 App. U.S.C.).

38 (e) VENUE.—A civil action under subsection (a) or (c) of this section may

39 be brought in the judicial district in which the violation occurred or the de40 fendant is found, resides, or does business. Process in the action may be served
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1 in any other judicial district in which the defendant resides or is found. A

2 subpena for a witness in the action may be served in any judicial district.

3 § 32508. Civil actions by owners of passenger motor vehicles

4 When an owner of a passenger motor vehicle sustains damages as a result

5 of a motor vehicle accident because the vehicle did not comply with a stand6 ard prescribed under section 32502 of this title, the owner may bring a civil

7 action against the manufacturer to recover the damages. The action may be

8 brought in the United States District Court for the District of Columbia or

9 in the United States district court for the judicial district in which the owner

10 resides. The action must be brought not later than 3 years after the date of

11 the accident. The court shall award costs and a reasonable attorney’s fee to

12 the owner when a judgment is entered for the owner.

13 § 32509. Information and assistance from other departments,

14 agencies, and instrumentalities

15 (a) GENERAL AUTHORITY.—The Secretary of Transportation may request

16 information necessary to carry out this chapter from a department, agency,

17 or instrumentality of the United States Government. The head of the depart18 ment, agency, or instrumentality shall provide the information.

19 (b) DETAILING PERSONNEL.—The head of a department, agency, or instru20 mentality may detail, on a reimbursable basis, personnel to assist the Sec21 retary in carrying out this chapter.

22 § 32510. Annual report

23 Not later than March 31 of each year, the Secretary of Transportation shall

24 submit to Congress and the President a report on the progress in carrying

25 out section 32501 of this title. The report shall include—

26 (1) a statement of the cost savings resulting from carrying out this

27 chapter; and

28 (2) recommendations for legislative or other action the Secretary de29 cides may be appropriate.

30 § 32511. Relationship to other motor vehicle standards

31 (a) PREEMPTION.—Except as provided in this section, a State or a politi32 cal subdivision of a State may prescribe or enforce a bumper standard for

33 a passenger motor vehicle or passenger motor vehicle equipment only if the

34 standard is identical to a standard prescribed under section 32502 of this

35 title.

36 (b) ENFORCEMENT.—This chapter and chapter 301 of this title do not affect

37 the authority of a State to enforce a bumper standard about an aspect of per38 formance of a passenger motor vehicle or passenger motor vehicle equipment

39 not covered by a standard prescribed under section 32502 of this title if the

40 State bumper standard—
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1 (1) does not conflict with a standard prescribed under chapter 301 of

2 this title; and

3 (2) was in effect or prescribed by the State on October 20, 1972.

4 (c) ADDITIONAL AND HIGHER STANDARDS OF PERFORMANCE.—The United

5 States Government, a State, or a political subdivision of a State may pre6 scribe a bumper standard for a passenger motor vehicle or passenger motor

7 vehicle equipment obtained for its own use that imposes additional or higher

8 standards of performance than a standard prescribed under section 32502 of

9 this title.

10 CHAPTER 327—ODOMETERS

Sec.

32701. Findings and purposes.

32702. Definitions.

32703. Preventing tampering.

32704. Service, repair, and replacement.

32705. Disclosure requirements on transfer of motor vehicles.

32706. Inspections, investigations, and records.

32707. Administrative warrants.

32708. Confidentiality of information.

32709. Penalties and enforcement.

32710. Civil actions by private persons.

32711. Relationship to State law.

11 § 32701. Findings and purposes

12 (a) FINDINGS.—Congress finds that—

13 (1) buyers of motor vehicles rely heavily on the odometer reading as

14 an index of the condition and value of a vehicle;

15 (2) buyers are entitled to rely on the odometer reading as an accurate

16 indication of the mileage of the vehicle;

17 (3) an accurate indication of the mileage assists a buyer in deciding

18 on the safety and reliability of the vehicle; and

19 (4) motor vehicles move in, or affect, interstate and foreign commerce.

20 (b) PURPOSES.—The purposes of this chapter are—

21 (1) to prohibit tampering with motor vehicle odometers; and

22 (2) to provide safeguards to protect purchasers in the sale of motor

23 vehicles with altered or reset odometers.

24 § 32702. Definitions

25 In this chapter—

26 (1) ‘‘auction company’’ means a person taking possession of a motor

27 vehicle owned by another to sell at an auction.

28 (2) ‘‘dealer’’ means a person that sold at least 5 motor vehicles during

29 the prior 12 months to buyers that in good faith bought the vehicles other

30 than for resale.

31 (3) ‘‘distributor’’ means a person that sold at least 5 motor vehicles

32 during the prior 12 months for resale.
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1 (4) ‘‘leased motor vehicle’’ means a motor vehicle leased to a person

2 for at least 4 months by a lessor that leased at least 5 vehicles during

3 the prior 12 months.

4 (5) ‘‘odometer’’ means an instrument for measuring and recording the

5 distance a motor vehicle is driven, but does not include an auxiliary in6 strument designed to be reset by the operator of the vehicle to record

7 mileage of a trip.

8 (6) ‘‘repair’’ and ‘‘replace’’ mean to restore to a sound working condi9 tion by replacing any part of an odometer or by correcting any inoper10 ative part of an odometer.

11 (7) ‘‘title’’ means the certificate of title or other document issued by

12 the State indicating ownership.

13 (8) ‘‘transfer’’ means to change ownership by sale, gift, or other means.

14 § 32703. Preventing tampering

15 A person may not—

16 (1) advertise for sale, sell, use, install, or have installed, a device that

17 makes an odometer of a motor vehicle register a mileage different from

18 the mileage the vehicle was driven, as registered by the odometer within

19 the designed tolerance of the manufacturer of the odometer;

20 (2) disconnect, reset, alter, or have disconnected, reset, or altered, an

21 odometer of a motor vehicle intending to change the mileage registered

22 by the odometer;

23 (3) with intent to defraud, operate a motor vehicle on a public street,

24 road, or highway if the person knows that the odometer of the vehicle

25 is disconnected or not operating; or

26 (4) conspire to violate this section or section 32704 or 32705 of this

27 title.

28 § 32704. Service, repair, and replacement

29 (a) ADJUSTING MILEAGE.—A person may service, repair, or replace an

30 odometer of a motor vehicle if the mileage registered by the odometer remains

31 the same as before the service, repair, or replacement. If the mileage cannot

32 remain the same—

33 (1) the person shall adjust the odometer to read zero; and

34 (2) the owner of the vehicle or agent of the owner shall attach a writ35 ten notice to the left door frame of the vehicle specifying the mileage be36 fore the service, repair, or replacement and the date of the service, repair,

37 or replacement.

38 (b) REMOVING OR ALTERING NOTICE.—A person may not, with intent to

39 defraud, remove or alter a notice attached to a motor vehicle as required by

40 this section.
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1 § 32705. Disclosure requirements on transfer of motor vehi2 cles

3 (a) WRITTEN DISCLOSURE REQUIREMENTS.—(1) Under regulations pre4 scribed by the Secretary of Transportation, a person transferring ownership

5 of a motor vehicle shall give the transferee a written disclosure—

6 (A) of the cumulative mileage registered by the odometer; or

7 (B) that the mileage is unknown if the transferor knows that the mile8 age registered by the odometer is incorrect.

9 (2) A person making a written disclosure required by a regulation pre10 scribed under paragraph (1) of this subsection may not make a false state11 ment in the disclosure.

12 (3) A person acquiring a motor vehicle for resale may accept a disclosure

13 under this section only if it is complete.

14 (4) The regulations prescribed by the Secretary shall provide the way in

15 which information is disclosed and retained under this section.

16 (b) MILEAGE STATEMENT REQUIREMENT FOR LICENSING.—(1) A motor ve17 hicle the ownership of which is transferred may not be licensed for use in a

18 State unless the transferee, in submitting an application to a State for the

19 title on which the license will be issued, includes with the application the

20 transferor’s title and, if that title contains the space referred to in paragraph

21 (3)(A)(iii) of this subsection, a statement, signed and dated by the transferor,

22 of the mileage disclosure required under subsection (a) of this section. This

23 paragraph does not apply to a transfer of ownership of a motor vehicle that

24 has not been licensed before the transfer.

25 (2)(A) Under regulations prescribed by the Secretary, if the title to a motor

26 vehicle issued to a transferor by a State is in the possession of a lienholder

27 when the transferor transfers ownership of the vehicle, the transferor may use

28 a written power of attorney (if allowed by State law) in making the mileage

29 disclosure required under subsection (a) of this section. Regulations prescribed

30 under this paragraph—

31 (i) shall prescribe the form of the power of attorney;

32 (ii) shall provide that the form be printed by means of a secure print33 ing process (or other secure process);

34 (iii) shall provide that the State issue the form to the transferee;

35 (iv) shall provide that the person exercising the power of attorney re36 tain a copy and submit the original to the State with a copy of the title

37 showing the restatement of the mileage;

38 (v) may require that the State retain the power of attorney and the

39 copy of the title for an appropriate period or that the State adopt alter40 native measures consistent with section 32701(b) of this title, after con41 sidering the costs to the State;
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1 (vi) shall ensure that the mileage at the time of transfer be disclosed

2 on the power of attorney document;

3 (vii) shall ensure that the mileage be restated exactly by the person

4 exercising the power of attorney in the space referred to in paragraph

5 (3)(A)(iii) of this subsection;

6 (viii) may not require that a motor vehicle be titled in the State in

7 which the power of attorney was issued;

8 (ix) shall consider the need to facilitate normal commercial trans9 actions in the sale or exchange of motor vehicles; and

10 (x) shall provide other conditions the Secretary considers appropriate.

11 (B) Section 32709(a) and (b) applies to a person granting or granted a

12 power of attorney under this paragraph.

13 (3)(A) A motor vehicle the ownership of which is transferred may be li14 censed for use in a State only if the title issued by the State to the trans15 feree—

16 (i) is produced by means of a secure printing process (or other secure

17 process);

18 (ii) indicates the mileage disclosure required to be made under sub19 section (a) of this section; and

20 (iii) contains a space for the transferee to disclose the mileage at the

21 time of a future transfer and to sign and date the disclosure.

22 (B) Subparagraph (A) of this paragraph does not require a State to verify,

23 or preclude a State from verifying, the mileage information contained in the

24 title.

25 (c) LEASED MOTOR VEHICLES.—(1) For a leased motor vehicle, the regula26 tions prescribed under subsection (a) of this section shall require written dis27 closure about mileage to be made by the lessee to the lessor when the lessor

28 transfers ownership of that vehicle.

29 (2) Under those regulations, the lessor shall provide written notice to the

30 lessee of—

31 (A) the mileage disclosure requirements of subsection (a) of this sec32 tion; and

33 (B) the penalties for failure to comply with those requirements.

34 (3) The lessor shall retain the disclosures made by a lessee under paragraph

35 (1) of this subsection for at least 4 years following the date the lessor transfers

36 the leased motor vehicle.

37 (4) If the lessor transfers ownership of a leased motor vehicle without ob38 taining possession of the vehicle, the lessor, in making the disclosure required

39 by subsection (a) of this section, may indicate on the title the mileage dis40 closed by the lessee under paragraph (1) of this subsection unless the lessor
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1 has reason to believe that the disclosure by the lessee does not reflect the actual

2 mileage of the vehicle.

3 (d) STATE ALTERNATE VEHICLE MILEAGE DISCLOSURE REQUIREMENTS.—

4 The requirements of subsections (b) and (c)(1) of this section on the disclosure

5 of motor vehicle mileage when motor vehicles are transferred or leased apply

6 in a State unless the State has in effect alternate motor vehicle mileage disclo7 sure requirements approved by the Secretary. The Secretary shall approve al8 ternate motor vehicle mileage disclosure requirements submitted by a State

9 unless the Secretary decides that the requirements are not consistent with the

10 purpose of the disclosure required by subsection (b) or (c), as the case may

11 be.

12 (e) AUCTION SALES.—If a motor vehicle is sold at an auction, the auction

13 company conducting the auction shall maintain the following records for at

14 least 4 years after the date of the sale:

15 (1) the name of the most recent owner of the motor vehicle (except the

16 auction company) and the name of the buyer of the motor vehicle.

17 (2) the vehicle identification number required under chapter 301 or

18 331 of this title.

19 (3) the odometer reading on the date the auction company took posses20 sion of the motor vehicle.

21 (f) APPLICATION AND REVISION OF STATE LAW.—(1) Except as provided

22 in paragraph (2) of this subsection, subsections (b)–(e) of this section apply

23 to the transfer of a motor vehicle after April 28, 1989.

24 (2) If a State requests, the Secretary shall assist the State in revising its

25 laws to comply with subsection (b) of this section. If a State requires time

26 beyond April 28, 1989, to revise its laws to achieve compliance, the Secretary,

27 on request of the State, may grant additional time that the Secretary consid28 ers reasonable by publishing a notice in the Federal Register. The notice shall

29 include the reasons for granting the additional time. In granting additional

30 time, the Secretary shall ensure that the State is making reasonable efforts

31 to achieve compliance.

32 § 32706. Inspections, investigations, and records

33 (a) AUTHORITY TO INSPECT AND INVESTIGATE.—Subject to section 32707

34 of this title, the Secretary of Transportation may conduct an inspection or

35 investigation necessary to carry out this chapter or a regulation prescribed

36 or order issued under this chapter. The Secretary shall cooperate with State

37 and local officials to the greatest extent possible in conducting an inspection

38 or investigation. The Secretary may give the Attorney General information

39 about a violation of this chapter or a regulation prescribed or order issued

40 under this chapter.
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1 (b) ENTRY, INSPECTION, AND IMPOUNDMENT.—(1) In carrying out sub2 section (a) of this section, an officer or employee designated by the Secretary,

3 on display of proper credentials and written notice to the owner, operator,

4 or agent in charge, may—

5 (A) enter and inspect commercial premises in which a motor vehicle

6 or motor vehicle equipment is manufactured, held for shipment or sale,

7 maintained, or repaired;

8 (B) enter and inspect noncommercial premises in which the Secretary

9 reasonably believes there is a motor vehicle or motor vehicle equipment

10 that is an object of a violation of this chapter;

11 (C) inspect that motor vehicle or motor vehicle equipment; and

12 (D) impound for not more than 72 hours for inspection a motor vehi13 cle or motor vehicle equipment that the Secretary reasonably believes is

14 an object of a violation of this chapter.

15 (2) An inspection or impoundment under this subsection shall be conducted

16 at a reasonable time, in a reasonable way, and with reasonable promptness.

17 The written notice may consist of a warrant issued under section 32707 of

18 this title.

19 (c) REASONABLE COMPENSATION.—When the Secretary impounds for in20 spection a motor vehicle (except a vehicle subject to subchapter II of chapter

21 105 of this title) or motor vehicle equipment under subsection (b)(1)(D) of this

22 section, the Secretary shall pay reasonable compensation to the owner of the

23 vehicle or equipment if the inspection or impoundment results in denial of

24 use, or reduction in value, of the vehicle or equipment.

25 (d) RECORDS AND INFORMATION REQUIREMENTS.—(1) To enable the Sec26 retary to decide whether a dealer or distributor is complying with this chapter

27 and regulations prescribed and orders issued under this chapter, the Secretary

28 may require the dealer or distributor—

29 (A) to keep records;

30 (B) to provide information from those records if the Secretary states

31 the purpose for requiring the information and identifies the information

32 to the fullest extent practicable; and

33 (C) to allow an officer or employee designated by the Secretary to in34 spect relevant records of the dealer or distributor.

35 (2) This subsection and subsection (e)(1)(B) of this section do not authorize

36 the Secretary to require a dealer or distributor to provide information on a

37 regular periodic basis.

38 (e) ADMINISTRATIVE AUTHORITY AND CIVIL ACTIONS TO ENFORCE.—(1)

39 In carrying out this chapter, the Secretary may—

40 (A) inspect and copy records of any person at reasonable times;
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1 (B) order a person to file written reports or answers to specific ques2 tions, including reports or answers under oath; and

3 (C) conduct hearings, administer oaths, take testimony, and require

4 (by subpena or otherwise) the appearance and testimony of witnesses and

5 the production of records the Secretary considers advisable.

6 (2) A witness summoned under this subsection is entitled to the same fee

7 and mileage the witness would have been paid in a court of the United States.

8 (3) A civil action to enforce a subpena or order of the Secretary under this

9 subsection may be brought in the United States district court for the judicial

10 district in which the proceeding by the Secretary was conducted. The court

11 may punish a failure to obey an order of the court to comply with the sub12 pena or order of the Secretary as a contempt of court.

13 (f) PROHIBITIONS.—A person may not fail to keep records, refuse access to

14 or copying of records, fail to make reports or provide information, fail to

15 allow entry or inspection, or fail to permit impoundment, as required under

16 this section.

17 § 32707. Administrative warrants

18 (a) DEFINITION.—In this section, ‘‘probable cause’’ means a valid public

19 interest in the effective enforcement of this chapter or a regulation prescribed

20 under this chapter sufficient to justify the inspection or impoundment in the

21 circumstances stated in an application for a warrant under this section.

22 (b) WARRANT REQUIREMENT AND ISSUANCE.—(1) Except as provided in

23 paragraph (4) of this subsection, an inspection or impoundment under section

24 32706 of this title may be carried out only after a warrant is obtained.

25 (2) A judge of a court of the United States or a State court of record or

26 a United States magistrate may issue a warrant for an inspection or im27 poundment under section 32706 of this title within the territorial jurisdiction

28 of the court or magistrate. The warrant must be based on an affidavit that—

29 (A) establishes probable cause to issue the warrant; and

30 (B) is sworn to before the judge or magistrate by an officer or em31 ployee who knows the facts alleged in the affidavit.

32 (3) The judge or magistrate shall issue the warrant when the judge or mag33 istrate decides there is a reasonable basis for believing that probable cause ex34 ists to issue the warrant. The warrant must—

35 (A) identify the premises, property, or motor vehicle to be inspected

36 and the items or type of property to be impounded;

37 (B) state the purpose of the inspection, the basis for issuing the war38 rant, and the name of the affiant;

39 (C) direct an individual authorized under section 32706 of this title

40 to inspect the premises, property, or vehicle for the purpose stated in the
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1 warrant and, when appropriate, to impound the property specified in

2 the warrant;

3 (D) direct that the warrant be served during the hours specified in the

4 warrant; and

5 (E) name the judge or magistrate with whom proof of service is to be

6 filed.

7 (4) A warrant under this section is not required when—

8 (A) the owner, operator, or agent in charge of the premises consents;

9 (B) it is reasonable to believe that the mobility of the motor vehicle

10 to be inspected makes it impractical to obtain a warrant;

11 (C) an application for a warrant cannot be made because of an emer12 gency;

13 (D) records are to be inspected and copied under section

14 32706(e)(1)(A) of this title; or

15 (E) a warrant is not constitutionally required.

16 (c) SERVICE AND IMPOUNDMENT OF PROPERTY.—(1) A warrant issued

17 under this section must be served and proof of service filed not later than 10

18 days after its issuance date. The judge or magistrate may allow additional

19 time in the warrant if the Secretary of Transportation demonstrates a need

20 for additional time. Proof of service must be filed promptly with a written

21 inventory of the property impounded under the warrant. The inventory shall

22 be made in the presence of the individual serving the warrant and the indi23 vidual from whose possession or premises the property was impounded, or if

24 that individual is not present, a credible individual except the individual

25 making the inventory. The individual serving the warrant shall verify the in26 ventory. On request, the judge or magistrate shall send a copy of the inventory

27 to the individual from whose possession or premises the property was im28 pounded and to the applicant for the warrant.

29 (2) When property is impounded under a warrant, the individual serving

30 the warrant shall—

31 (A) give the person from whose possession or premises the property

32 was impounded a copy of the warrant and a receipt for the property;

33 or

34 (B) leave the copy and receipt at the place from which the property

35 was impounded.

36 (3) The judge or magistrate shall file the warrant, proof of service, and all

37 documents filed about the warrant with the clerk of the United States district

38 court for the judicial district in which the inspection is made.
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1 § 32708. Confidentiality of information

2 (a) GENERAL.—Information obtained by the Secretary of Transportation

3 under this chapter related to a confidential matter referred to in section 1905

4 of title 18 may be disclosed only—

5 (1) to another officer or employee of the United States Government for

6 use in carrying out this chapter; or

7 (2) in a proceeding under this chapter.

8 (b) WITHHOLDING INFORMATION FROM CONGRESS.—This section does not

9 authorize information to be withheld from a committee of Congress authorized

10 to have the information.

11 § 32709. Penalties and enforcement

12 (a) CIVIL PENALTY.—(1) A person that violates this chapter or a regulation

13 prescribed or order issued under this chapter is liable to the United States

14 Government for a civil penalty of not more than $2,000 for each violation.

15 A separate violation occurs for each motor vehicle or device involved in the

16 violation. The maximum penalty under this subsection for a related series of

17 violations is $100,000.

18 (2) The Secretary of Transportation shall impose a civil penalty under this

19 subsection. The Attorney General shall bring a civil action to collect the pen20 alty. Before referring a penalty claim to the Attorney General, the Secretary

21 may compromise the amount of the penalty. Before compromising the amount

22 of the penalty, the Secretary shall give the person charged with a violation

23 an opportunity to establish that the violation did not occur.

24 (3) In determining the amount of a civil penalty under this subsection, the

25 Secretary shall consider—

26 (A) the nature, circumstances, extent, and gravity of the violation;

27 (B) with respect to the violator, the degree of culpability, any history

28 of prior violations, the ability to pay, and any effect on the ability to

29 continue doing business; and

30 (C) other matters that justice requires.

31 (b) CRIMINAL PENALTY.—A person that knowingly and willfully violates

32 this chapter or a regulation prescribed or order issued under this chapter shall

33 be fined under title 18, imprisoned for not more than 3 years, or both. If the

34 person is a corporation, the penalties of this subsection also apply to a direc35 tor, officer, or individual agent of a corporation who knowingly and willfully

36 authorizes, orders, or performs an act in violation of this chapter or a regula37 tion prescribed or order issued under this chapter without regard to penalties

38 imposed on the corporation.

39 (c) CIVIL ACTIONS BY ATTORNEY GENERAL.—The Attorney General may

40 bring a civil action to enjoin a violation of this chapter or a regulation pre41 scribed or order issued under this chapter. The action may be brought in the
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1 United States district court for the judicial district in which the violation oc2 curred or the defendant is found, resides, or does business. Process in the ac3 tion may be served in any other judicial district in which the defendant re4 sides or is found. A subpena for a witness in the action may be served in

5 any judicial district.

6 (d) CIVIL ACTIONS BY STATES.—(1) When a person violates this chapter

7 or a regulation prescribed or order issued under this chapter, the chief law

8 enforcement officer of the State in which the violation occurs may bring a

9 civil action—

10 (A) to enjoin the violation; or

11 (B) to recover amounts for which the person is liable under section

12 32710 of this title for each person on whose behalf the action is brought.

13 (2) An action under this subsection may be brought in an appropriate

14 United States district court or in a State court of competent jurisdiction. The

15 action must be brought not later than 2 years after the claim accrues.

16 § 32710. Civil actions by private persons

17 (a) VIOLATION AND AMOUNT OF DAMAGES.—A person that violates this

18 chapter or a regulation prescribed or order issued under this chapter, with

19 intent to defraud, is liable for 3 times the actual damages or $1,500, which20 ever is greater.

21 (b) CIVIL ACTIONS.—A person may bring a civil action to enforce a claim

22 under this section in an appropriate United States district court or in an23 other court of competent jurisdiction. The action must be brought not later

24 than 2 years after the claim accrues. The court shall award costs and a rea25 sonable attorney’s fee to the person when a judgment is entered for that per26 son.

27 § 32711. Relationship to State law

28 Except to the extent that State law is inconsistent with this chapter, this

29 chapter does not—

30 (1) affect a State law on disconnecting, altering, or tampering with

31 an odometer with intent to defraud; or

32 (2) exempt a person from complying with that law.

33 CHAPTER 329—AUTOMOBILE FUEL ECONOMY

Sec.

32901. Definitions.

32902. Average fuel economy standards.

32903. Credits for exceeding average fuel economy standards.

32904. Calculation of average fuel economy.

32905. Manufacturing incentives for alternative fuel automobiles.

32906. Maximum fuel economy increase for alternative fuel automobiles.

32907. Reports and tests of manufacturers.

32908. Fuel economy information.

32909. Judicial review of regulations.

32910. Administrative.

32911. Compliance.
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32912. Civil penalties.

32913. Compromising and remitting civil penalties.

32914. Collecting civil penalties.

32915. Appealing civil penalties.

32916. Reports to Congress.

32917. Standards for executive agency automobiles.

32918. Preemption.

1 § 32901. Definitions

2 (a) GENERAL.—In this chapter—

3 (1) ‘‘alternative fuel’’ means—

4 (A) methanol;

5 (B) denatured ethanol;

6 (C) other alcohols;

7 (D) except as provided in subsection (b) of this section, a mixture

8 containing at least 85 percent of methanol, denatured ethanol, and

9 other alcohols by volume with gasoline or other fuels;

10 (E) natural gas;

11 (F) liquefied petroleum gas;

12 (G) hydrogen;

13 (H) coal derived liquid fuels;

14 (I) fuels (except alcohol) derived from biological materials;

15 (J) electricity (including electricity from solar energy); and

16 (K) any other fuel the Secretary of Transportation prescribes by

17 regulation that is not substantially petroleum and that would yield

18 substantial energy security and environmental benefits.

19 (2) ‘‘alternative fueled automobile’’ means an automobile that is a—

20 (A) dedicated automobile; or

21 (B) dual fueled automobile.

22 (3) except as provided in section 32908 of this title, ‘‘automobile’’

23 means a 4-wheeled vehicle that is propelled by fuel, or by alternative fuel,

24 manufactured primarily for use on public streets, roads, and highways

25 (except a vehicle operated only on a rail line), and rated at—

26 (A) not more than 6,000 pounds gross vehicle weight; or

27 (B) more than 6,000, but less than 10,000, pounds gross vehicle

28 weight, if the Secretary decides by regulation that—

29 (i) an average fuel economy standard under this chapter for

30 the vehicle is feasible; and

31 (ii) an average fuel economy standard under this chapter for

32 the vehicle will result in significant energy conservation or the

33 vehicle is substantially used for the same purposes as a vehicle

34 rated at not more than 6,000 pounds gross vehicle weight.

35 (4) ‘‘automobile manufactured by a manufacturer’’ includes every

36 automobile manufactured by a person that controls, is controlled by, or
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1 is under common control with the manufacturer, but does not include an

2 automobile manufactured by the person that is exported not later than

3 30 days after the end of the model year in which the automobile is man4 ufactured.

5 (5) ‘‘average fuel economy’’ means average fuel economy determined

6 under section 32904 of this title.

7 (6) ‘‘average fuel economy standard’’ means a performance standard

8 specifying a minimum level of average fuel economy applicable to a

9 manufacturer in a model year.

10 (7) ‘‘dedicated automobile’’ means an automobile that operates only on

11 alternative fuel.

12 (8) ‘‘dual fueled automobile’’ means an automobile that—

13 (A) is capable of operating on alternative fuel and on gasoline

14 or diesel fuel;

15 (B) provides equal or superior energy efficiency, as calculated for

16 the applicable model year during fuel economy testing for the Unit17 ed States Government, when operating on alternative fuel as when

18 operating on gasoline or diesel fuel;

19 (C) for model years 1993–1995 for an automobile capable of oper20 ating on a mixture of an alternative fuel and gasoline or diesel fuel

21 and if the Administrator of the Environmental Protection Agency

22 decides to extend the application of this subclause, for an additional

23 period ending not later than the end of the last model year to which

24 section 32905(b) and (d) of this title applies, provides equal or supe25 rior energy efficiency, as calculated for the applicable model year

26 during fuel economy testing for the Government, when operating on

27 a mixture of alternative fuel and gasoline or diesel fuel containing

28 exactly 50 percent gasoline or diesel fuel as when operating on gaso29 line or diesel fuel; and

30 (D) for a passenger automobile, meets or exceeds the minimum

31 driving range prescribed under subsection (c) of this section.

32 (9) ‘‘fuel’’ means—

33 (A) gasoline;

34 (B) diesel oil; or

35 (C) other liquid or gaseous fuel that the Secretary decides by reg36 ulation to include in this definition as consistent with the need of

37 the United States to conserve energy.

38 (10) ‘‘fuel economy’’ means the average number of miles traveled by

39 an automobile for each gallon of gasoline (or equivalent amount of other

40 fuel) used, as determined by the Administrator under section 32904(c)

41 of this title.
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1 (11) ‘‘import’’ means to import into the customs territory of the Unit2 ed States.

3 (12) ‘‘manufacture’’ (except under section 32902(d) of this title) means

4 to produce or assemble in the customs territory of the United States or

5 to import.

6 (13) ‘‘manufacturer’’ means—

7 (A) a person engaged in the business of manufacturing auto8 mobiles, including a predecessor or successor of the person to the ex9 tent provided under regulations prescribed by the Secretary; and

10 (B) if more than one person is the manufacturer of an auto11 mobile, the person specified under regulations prescribed by the Sec12 retary.

13 (14) ‘‘model’’ means a class of automobiles as decided by regulation

14 by the Administrator after consulting and coordinating with the Sec15 retary.

16 (15) ‘‘model year’’, when referring to a specific calendar year,

17 means—

18 (A) the annual production period of a manufacturer, as decided

19 by the Administrator, that includes January 1 of that calendar

20 year; or

21 (B) that calendar year if the manufacturer does not have an an22 nual production period.

23 (16) ‘‘passenger automobile’’ means an automobile that the Secretary

24 decides by regulation is manufactured primarily for transporting not

25 more than 10 individuals, but does not include an automobile capable

26 of off-highway operation that the Secretary decides by regulation—

27 (A) has a significant feature (except 4-wheel drive) designed for

28 off-highway operation; and

29 (B) is a 4-wheel drive automobile or is rated at more than 6,000

30 pounds gross vehicle weight.

31 (b) AUTHORITY TO CHANGE PERCENTAGE.—The Secretary may prescribe

32 regulations changing the percentage referred to in subsection (a)(1)(D) of this

33 section to not less than 70 percent because of requirements relating to cold

34 start, safety, or vehicle functions.

35 (c) MINIMUM DRIVING RANGES FOR DUAL FUELED PASSENGER AUTO36 MOBILES.—(1) The Secretary shall prescribe by regulation the minimum

37 driving range that dual fueled automobiles that are passenger automobiles

38 must meet when operating on alternative fuel to be dual fueled automobiles

39 under sections 32905 and 32906 of this title. A determination whether a dual
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1 fueled automobile meets the minimum driving range requirement under this

2 paragraph shall be based on the combined Agency city/highway fuel economy

3 as determined for average fuel economy purposes for those automobiles.

4 (2)(A) The Secretary may prescribe a lower range for a specific model than

5 that prescribed under paragraph (1) of this subsection. A manufacturer may

6 petition for a lower range than that prescribed under paragraph (1) for a

7 specific model.

8 (B) The minimum driving range prescribed for dual fueled automobiles (ex9 cept electric automobiles) under subparagraph (A) of this paragraph or para10 graph (1) of this subsection must be at least 200 miles.

11 (C) If the Secretary prescribes a minimum driving range of 200 miles for

12 dual fueled automobiles (except electric automobiles) under paragraph (1) of

13 this subsection, subparagraph (A) of this paragraph does not apply to dual

14 fueled automobiles (except electric automobiles).

15 (3) In prescribing a minimum driving range under paragraph (1) of this

16 subsection and in taking an action under paragraph (2) of this subsection,

17 the Secretary shall consider the purpose set forth in section 3 of the Alter18 native Motor Fuels Act of 1988 (Public Law 100–494, 102 Stat. 2442),

19 consumer acceptability, economic practicability, technology, environmental

20 impact, safety, drivability, performance, and other factors the Secretary con21 siders relevant.

22 § 32902. Average fuel economy standards

23 (a) NON-PASSENGER AUTOMOBILES.—At least 18 months before the begin24 ning of each model year, the Secretary of Transportation shall prescribe by

25 regulation average fuel economy standards for automobiles (except passenger

26 automobiles) manufactured by a manufacturer in that model year. Each

27 standard shall be the maximum feasible average fuel economy level that the

28 Secretary decides the manufacturers can achieve in that model year. The Sec29 retary may prescribe separate standards for different classes of automobiles.

30 (b) PASSENGER AUTOMOBILES.—Except as provided in this section, the av31 erage fuel economy standard for passenger automobiles manufactured by a

32 manufacturer in a model year after model year 1984 shall be 27.5 miles a

33 gallon.

34 (c) AMENDING PASSENGER AUTOMOBILE STANDARDS.—(1) Subject to

35 paragraph (2) of this subsection, the Secretary of Transportation may pre36 scribe regulations amending the standard under subsection (b) of this section

37 for a model year to a level that the Secretary decides is the maximum feasible

38 average fuel economy level for that model year. Section 553 of title 5 applies

39 to a proceeding to amend the standard. However, any interested person may

40 make an oral presentation and a transcript shall be taken of that presen41 tation.
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1 (2) If an amendment increases the standard above 27.5 miles a gallon or

2 decreases the standard below 26.0 miles a gallon, the Secretary of Transpor3 tation shall submit the amendment to Congress. The procedures of section 551

4 of the Energy Policy and Conservation Act (42 U.S.C. 6421) apply to an

5 amendment, except that the 15 calendar days referred to in section 551(c) and

6 (d) of the Act (42 U.S.C. 6421(c), (d)) are deemed to be 60 calendar days,

7 and the 5 calendar days referred to in section 551(f)(4)(A) of the Act (42

8 U.S.C. 6421(f)(4)(A)) are deemed to be 20 calendar days. If either House of

9 Congress disapproves the amendment under those procedures, the amendment

10 does not take effect.

11 (d) EXEMPTIONS.—(1) Except as provided in paragraph (3) of this sub12 section, on application of a manufacturer that manufactured (whether in the

13 United States or not) fewer than 10,000 passenger automobiles in the model

14 year 2 years before the model year for which the application is made, the Sec15 retary of Transportation may exempt by regulation the manufacturer from

16 a standard under subsection (b) or (c) of this section. An exemption for a

17 model year applies only if the manufacturer manufactures (whether in the

18 United States or not) fewer than 10,000 passenger automobiles in the model

19 year. The Secretary may exempt a manufacturer only if the Secretary—

20 (A) finds that the applicable standard under those subsections is more

21 stringent than the maximum feasible average fuel economy level that the

22 manufacturer can achieve; and

23 (B) prescribes by regulation an alternative average fuel economy

24 standard for the passenger automobiles manufactured by the exempted

25 manufacturer that the Secretary decides is the maximum feasible average

26 fuel economy level for the manufacturers to which the alternative stand27 ard applies.

28 (2) An alternative average fuel economy standard the Secretary of Trans29 portation prescribes under paragraph (1)(B) of this subsection may apply to

30 an individually exempted manufacturer, to all automobiles to which this sub31 section applies, or to classes of passenger automobiles, as defined under regu32 lations of the Secretary, manufactured by exempted manufacturers.

33 (3) Notwithstanding paragraph (1) of this subsection, an importer reg34 istered under section 30141(c) of this title may not be exempted as a manu35 facturer under paragraph (1) for a motor vehicle that the importer—

36 (A) imports; or

37 (B) brings into compliance with applicable motor vehicle safety stand38 ards prescribed under chapter 301 of this title for an individual under

39 section 30142 of this title.

40 (4) The Secretary of Transportation may prescribe the contents of an ap41 plication for an exemption.
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1 (e) EMERGENCY VEHICLES.—(1) In this subsection, ‘‘emergency vehicle’’

2 means an automobile manufactured primarily for use—

3 (A) as an ambulance or combination ambulance-hearse;

4 (B) by the United States Government or a State or local government

5 for law enforcement; or

6 (C) for other emergency uses prescribed by regulation by the Secretary

7 of Transportation.

8 (2) A manufacturer may elect to have the fuel economy of an emergency

9 vehicle excluded in applying a fuel economy standard under subsection (a),

10 (b), (c), or (d) of this section. The election is made by providing written no11 tice to the Secretary of Transportation and to the Administrator of the Envi12 ronmental Protection Agency.

13 (f) CONSIDERATIONS ON DECISIONS ON MAXIMUM FEASIBLE AVERAGE

14 FUEL ECONOMY.—When deciding maximum feasible average fuel economy

15 under this section, the Secretary of Transportation shall consider techno16 logical feasibility, economic practicability, the effect of other motor vehicle

17 standards of the Government on fuel economy, and the need of the United

18 States to conserve energy.

19 (g) REQUIREMENTS FOR OTHER AMENDMENTS.—(1) The Secretary of

20 Transportation may prescribe regulations amending an average fuel economy

21 standard prescribed under subsection (a) or (d) of this section if the amended

22 standard meets the requirements of subsection (a) or (d), as appropriate.

23 (2) When the Secretary of Transportation prescribes an amendment under

24 this section that makes an average fuel economy standard more stringent, the

25 Secretary shall prescribe the amendment (and submit the amendment to Con26 gress when required under subsection (c)(2) of this section) at least 18 months

27 before the beginning of the model year to which the amendment applies.

28 (h) LIMITATIONS.—In carrying out subsections (c), (f), and (g) of this sec29 tion, the Secretary of Transportation—

30 (1) may not consider the fuel economy of dedicated automobiles; and

31 (2) shall consider dual fueled automobiles to be operated only on gaso32 line or diesel fuel.

33 (i) CONSULTATION.—The Secretary of Transportation shall consult with the

34 Secretary of Energy in carrying out this section and section 32903 of this

35 title.

36 (j) SECRETARY OF ENERGY COMMENTS.—(1) Before issuing a notice pro37 posing to prescribe or amend an average fuel economy standard under sub38 section (a), (c), or (g) of this section, the Secretary of Transportation shall

39 give the Secretary of Energy at least 10 days from the receipt of the notice

40 during which the Secretary of Energy may, if the Secretary of Energy con41 cludes that the proposed standard would adversely affect the conservation
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1 goals of the Secretary of Energy, provide written comments to the Secretary

2 of Transportation about the impact of the standard on those goals. To the ex3 tent the Secretary of Transportation does not revise a proposed standard to

4 take into account comments of the Secretary of Energy on any adverse impact

5 of the standard, the Secretary of Transportation shall include those comments

6 in the notice.

7 (2) Before taking final action on a standard or an exemption from a stand8 ard under this section, the Secretary of Transportation shall notify the Sec9 retary of Energy and provide the Secretary of Energy a reasonable time to

10 comment.

11 § 32903. Credits for exceeding average fuel economy stand12 ards

13 (a) EARNING AND PERIOD FOR APPLYING CREDITS.—When the average fuel

14 economy of passenger automobiles manufactured by a manufacturer in a par15 ticular model year exceeds an applicable average fuel economy standard under

16 section 32902(b)–(d) of this title (determined by the Secretary of Transpor17 tation without regard to credits under this section), the manufacturer earns

18 credits. The credits may be applied to—

19 (1) any of the 3 consecutive model years immediately before the model

20 year for which the credits are earned; and

21 (2) to the extent not used under clause (1) of this subsection, any of

22 the 3 consecutive model years immediately after the model year for which

23 the credits are earned.

24 (b) PERIOD OF AVAILABILITY AND PLAN FOR FUTURE CREDITS.—(1) Ex25 cept as provided in paragraph (2) of this subsection, credits under this section

26 are available to a manufacturer at the end of the model year in which earned.

27 (2)(A) Before the end of a model year, if a manufacturer has reason to be28 lieve that its average fuel economy for passenger automobiles will be less than

29 the applicable standard for that model year, the manufacturer may submit

30 a plan to the Secretary of Transportation demonstrating that the manufac31 turer will earn sufficient credits under this section within the next 3 model

32 years to allow the manufacturer to meet that standard for the model year in33 volved. Unless the Secretary finds that the manufacturer is unlikely to earn

34 sufficient credits under the plan, the Secretary shall approve the plan. Those

35 credits are available for the model year involved if—

36 (i) the Secretary approves the plan; and

37 (ii) the manufacturer earns those credits as provided by the plan.

38 (B) If the average fuel economy of a manufacturer is less than the applica39 ble standard under section 32902(b)–(d) of this title after applying credits

40 under subsection (a)(1) of this section, the Secretary of Transportation shall
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1 notify the manufacturer and give the manufacturer a reasonable time (of at

2 least 60 days) to submit a plan.

3 (c) DETERMINING NUMBER OF CREDITS.—The number of credits a manu4 facturer earns under this section equals the product of—

5 (1) the number of tenths of a mile a gallon by which the average fuel

6 economy of the passenger automobiles manufactured by the manufacturer

7 in the model year in which the credits are earned exceeds the applicable

8 average fuel economy standard under section 32902(b)–(d) of this title;

9 times

10 (2) the number of passenger automobiles manufactured by the manu11 facturer during that model year.

12 (d) APPLYING CREDITS FOR PASSENGER AUTOMOBILES.—The Secretary of

13 Transportation shall apply credits to a model year on the basis of the number

14 of tenths of a mile a gallon by which the manufacturer involved was below

15 the applicable average fuel economy standard for that model year and the

16 number of passenger automobiles manufactured that model year by the manu17 facturer. Credits applied to a model year are no longer available for another

18 model year. Before applying credits, the Secretary shall give the manufacturer

19 written notice and reasonable opportunity to comment.

20 (e) APPLYING CREDITS FOR NON-PASSENGER AUTOMOBILES.—Credits for

21 a manufacturer of automobiles that are not passenger automobiles are earned

22 and applied to a model year in which the average fuel economy of that class

23 of automobiles is below the applicable average fuel economy standard under

24 section 32902(a) of this title, to the same extent and in the same way as pro25 vided in this section for passenger automobiles.

26 (f) REFUND OF COLLECTED PENALTY.—When a civil penalty has been col27 lected under this chapter from a manufacturer that has earned credits under

28 this section, the Secretary of the Treasury shall refund to the manufacturer

29 the amount of the penalty to the extent the penalty is attributable to credits

30 available under this section.

31 § 32904. Calculation of average fuel economy

32 (a) METHOD OF CALCULATION.—(1) The Administrator of the Environ33 mental Protection Agency shall calculate the average fuel economy of a manu34 facturer subject to—

35 (A) section 32902(a) of this title in a way prescribed by the Adminis36 trator; and

37 (B) section 32902(b)–(d) of this title by dividing—

38 (i) the number of passenger automobiles manufactured by the

39 manufacturer in a model year; by

40 (ii) the sum of the fractions obtained by dividing the number of

41 passenger automobiles of each model manufactured by the manufac-
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1 turer in that model year by the fuel economy measured for that

2 model.

3 (2)(A) In this paragraph, ‘‘electric vehicle’’ means a vehicle powered pri4 marily by an electric motor drawing electrical current from a portable source.

5 (B) If a manufacturer manufactures an electric vehicle, the Administrator

6 shall include in the calculation of average fuel economy under paragraph (1)

7 of this subsection equivalent petroleum based fuel economy values determined

8 by the Secretary of Energy for various classes of electric vehicles. The Sec9 retary shall review those values each year and determine and propose nec10 essary revisions based on the following factors:

11 (i) the approximate electrical energy efficiency of the vehicle, consider12 ing the kind of vehicle and the mission and weight of the vehicle.

13 (ii) the national average electrical generation and transmission effi14 ciencies.

15 (iii) the need of the United States to conserve all forms of energy and

16 the relative scarcity and value to the United States of all fuel used to

17 generate electricity.

18 (iv) the specific patterns of use of electric vehicles compared to petro19 leum-fueled vehicles.

20 (b) SEPARATE CALCULATIONS FOR PASSENGER AUTOMOBILES MANUFAC21 TURED DOMESTICALLY AND NOT DOMESTICALLY.—(1) In this subsection—

22 (A) a passenger automobile is deemed to be manufactured domestically

23 in a model year if at least 75 percent of the cost to the manufacturer

24 is attributable to value added in the United States or Canada, unless

25 the assembly of the automobile is completed in Canada and the auto26 mobile is imported into the United States more than 30 days after the

27 end of the model year; and

28 (B) the fuel economy of a passenger automobile that is not manufac29 tured domestically is deemed to be equal to the average fuel economy of

30 all passenger automobiles manufactured by the same manufacturer that

31 are not manufactured domestically.

32 (2)(A) Except as provided in paragraphs (4) and (5) of this subsection, the

33 Administrator shall make separate calculations under subsection (a)(1)(B) of

34 this section for—

35 (i) passenger automobiles manufactured domestically by a manufac36 turer (or included in this category under paragraph (3) of this sub37 section); and

38 (ii) passenger automobiles not manufactured domestically by that

39 manufacturer (or excluded from this category under paragraph (3) of

40 this subsection).
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1 (B) Passenger automobiles described in subparagraph (A)(i) and (ii) of this

2 paragraph are deemed to be manufactured by separate manufacturers under

3 this chapter.

4 (3)(A) A manufacturer may submit to the Secretary of Transportation for

5 approval a plan, including supporting material, stating the actions and the

6 deadlines for taking the actions, that will ensure that the model or models

7 referred to in subparagraph (B) of this paragraph will be manufactured do8 mestically before the end of the 4th model year covered by the plan. The Sec9 retary promptly shall consider and act on the plan. The Secretary shall ap10 prove the plan unless—

11 (i) the Secretary finds that the plan is inadequate to meet the require12 ments of this paragraph; or

13 (ii) the manufacturer previously has submitted a plan approved by the

14 Secretary under this paragraph.

15 (B) If the plan is approved, the Administrator shall include under para16 graph (2)(A)(i) and exclude under paragraph (2)(A)(ii) of this subsection, for

17 each of the 4 model years covered by the plan, not more than 150,000 pas18 senger automobiles manufactured by that manufacturer but not qualifying as

19 domestically manufactured if—

20 (i) the model or models involved previously have not been manufac21 tured domestically;

22 (ii) at least 50 percent of the cost to the manufacturer of each of the

23 automobiles is attributable to value added in the United States or Can24 ada;

25 (iii) the automobiles, if their assembly was completed in Canada, are

26 imported into the United States not later than 30 days after the end of

27 the model year; and

28 (iv) the model or models are manufactured domestically before the end

29 of the 4th model year covered by the plan.

30 (4)(A) A manufacturer may file with the Secretary of Transportation a pe31 tition for an exemption from the requirement of separate calculations under

32 paragraph (2)(A) of this subsection if the manufacturer began automobile pro33 duction or assembly in the United States—

34 (i) after December 22, 1975, and before May 1, 1980; or

35 (ii) after April 30, 1980, if the manufacturer has engaged in the pro36 duction or assembly in the United States for at least one model year end37 ing before January 1, 1986.

38 (B) The Secretary of Transportation shall grant the exemption unless the

39 Secretary finds that the exemption would result in reduced employment in

40 the United States related to motor vehicle manufacturing during the period

41 of the exemption. An exemption under this paragraph is effective for 5 model
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1 years or, if requested by the manufacturer, a longer period provided by the

2 Secretary in the order granting the exemption. The exemption applies to pas3 senger automobiles manufactured by that manufacturer during the period of

4 the exemption.

5 (C) Before granting an exemption, the Secretary of Transportation shall

6 provide notice of, and reasonable opportunity for, written or oral comment

7 about the petition. The period for comment shall end not later than 60 days

8 after the petition is filed, except that the Secretary may extend the period for

9 not more than another 30 days. The Secretary shall decide whether to grant

10 or deny the exemption, and publish notice of the decision in the Federal Reg11 ister, not later than 90 days after the petition is filed, except that the Sec12 retary may extend the time for decision to a later date (not later than 150

13 days after the petition is filed) if the Secretary publishes notice of, and rea14 sons for, the extension in the Federal Register. If the Secretary does not make

15 a decision within the time provided in this subparagraph, the petition is

16 deemed to have been granted. Not later than 30 days after the end of the deci17 sion period, the Secretary shall submit a written statement of the reasons for

18 not making a decision to the Committee on Commerce, Science, and Trans19 portation of the Senate and the Committee on Energy and Commerce of the

20 House of Representatives.

21 (5)(A) A person adversely affected by a decision of the Secretary of Trans22 portation granting or denying an exemption may file, not later than 30 days

23 after publication of the notice of the decision, a petition for review in the

24 United States Court of Appeals for the District of Columbia Circuit. That

25 court has exclusive jurisdiction to review the decision and to affirm, remand,

26 or set aside the decision under section 706(2)(A)–(D) of title 5.

27 (B) A judgment of the court under this subparagraph may be reviewed by

28 the Supreme Court under section 1254 of title 28. Application for review by

29 the Supreme Court must be made not later than 30 days after entry of the

30 court’s judgment.

31 (C) A decision of the Secretary of Transportation on a petition for an ex32 emption under this paragraph may be reviewed administratively or judicially

33 only as provided in this paragraph.

34 (6) Notwithstanding section 32903 of this title, during a model year when

35 an exemption under this paragraph is effective for a manufacturer—

36 (A) credit may not be earned under section 32903(a) of this title by

37 the manufacturer; and

38 (B) credit may not be made available under section 32903(b)(2) of this

39 title for the manufacturer.

40 (c) TESTING AND CALCULATION PROCEDURES.—The Administrator shall

41 measure fuel economy for each model and calculate average fuel economy for
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1 a manufacturer under testing and calculation procedures prescribed by the

2 Administrator. However, except under section 32908 of this title, the Adminis3 trator shall use the same procedures for passenger automobiles the Adminis4 trator used for model year 1975 (weighted 55 percent urban cycle and 45 per5 cent highway cycle), or procedures that give comparable results. A measure6 ment of fuel economy or a calculation of average fuel economy (except under

7 section 32908) shall be rounded off to the nearest .1 of a mile a gallon. The

8 Administrator shall decide on the quantity of other fuel that is equivalent to

9 one gallon of gasoline. To the extent practicable, fuel economy tests shall be

10 carried out with emissions tests under section 206 of the Clean Air Act (42

11 U.S.C. 7525).

12 (d) EFFECTIVE DATE OF PROCEDURE OR AMENDMENT.—The Adminis13 trator shall prescribe a procedure under this section, or an amendment (except

14 a technical or clerical amendment) in a procedure, at least 12 months before

15 the beginning of the model year to which the procedure or amendment applies.

16 (e) REPORTS AND CONSULTATION.—The Administrator shall report meas17 urements and calculations under this section to the Secretary of Transpor18 tation and shall consult and coordinate with the Secretary in carrying out

19 this section.

20 § 32905. Manufacturing incentives for alternative fuel auto21 mobiles

22 (a) DEDICATED AUTOMOBILES.—Except as provided in subsection (c) of

23 this section or section 32904(a)(2) of this title, for any model of dedicated

24 automobile manufactured by a manufacturer after model year 1992, the fuel

25 economy measured for that model shall be based on the fuel content of the al26 ternative fuel used to operate the automobile. A gallon of a liquid alternative

27 fuel used to operate a dedicated automobile is deemed to contain .15 gallon

28 of fuel.

29 (b) DUAL FUELED AUTOMOBILES.—Except as provided in subsection (d)

30 of this section or section 32904(a)(2) of this title, for any model of dual fueled

31 automobile manufactured by a manufacturer in model years 1993–2004, the

32 Administrator of the Environmental Protection Agency shall measure the fuel

33 economy for that model by dividing 1.0 by the sum of—

34 (1) .5 divided by the fuel economy measured under section 32904(c)

35 of this title when operating the model on gasoline or diesel fuel; and

36 (2) .5 divided by the fuel economy measured under subsection (a) of

37 this section when operating the model on alternative fuel.

38 (c) GASEOUS FUEL DEDICATED AUTOMOBILES.—For any model of gaseous

39 fuel dedicated automobile manufactured by a manufacturer after model year

40 1992, the Administrator shall measure the fuel economy for that model based

41 on the fuel content of the gaseous fuel used to operate the automobile. One
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1 hundred cubic feet of natural gas is deemed to contain .823 gallon equivalent

2 of natural gas. The Secretary of Transportation shall determine the appro3 priate gallon equivalent of other gaseous fuels. A gallon equivalent of gaseous

4 fuel is deemed to have a fuel content of .15 gallon of fuel.

5 (d) GASEOUS FUEL DUAL FUELED AUTOMOBILES.—For any model of gase6 ous fuel dual fueled automobile manufactured by a manufacturer in model

7 years 1993–2004, the Administrator shall measure the fuel economy for that

8 model by dividing 1.0 by the sum of—

9 (1) .5 divided by the fuel economy measured under section 32904(c)

10 of this title when operating the model on gasoline or diesel fuel; and

11 (2) .5 divided by the fuel economy measured under subsection (c) of

12 this section when operating the model on gaseous fuel.

13 (e) FUEL ECONOMY CALCULATIONS.—The Administrator shall calculate the

14 manufacturer’s average fuel economy under section 32904(a)(1) of this title

15 for each model described under subsections (a)–(d) of this section by using as

16 the denominator the fuel economy measured for each model under subsections

17 (a)–(d).

18 (f) EXTENDING APPLICATION OF SUBSECTIONS (b) AND (d).—Not later

19 than December 31, 2001, the Secretary of Transportation shall—

20 (1) extend by regulation the application of subsections (b) and (d) of

21 this section for not more than 4 consecutive model years immediately

22 after model year 2004 and explain the basis on which the extension is

23 granted; or

24 (2) publish a notice explaining the reasons for not extending the appli25 cation of subsections (b) and (d) of this section.

26 (g) STUDY AND REPORT.—Not later than September 30, 2000, the Sec27 retary of Transportation, in consultation with the Secretary of Energy and

28 the Administrator, shall complete a study of the success of the policy of sub29 sections (b) and (d) of this title, and submit to the Committees on Commerce,

30 Science, and Transportation and Governmental Affairs of the Senate and the

31 Committee on Energy and Commerce of the House of Representatives a report

32 on the results of the study, including preliminary conclusions on whether the

33 application of subsections (b) and (d) should be extended for up to 4 more

34 model years. The study and conclusions shall consider—

35 (1) the availability to the public of alternative fueled automobiles and

36 alternative fuel;

37 (2) energy conservation and security;

38 (3) environmental considerations; and

39 (4) other relevant factors.
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1 § 32906. Maximum fuel economy increase for alternative fuel

2 automobiles

3 (a) MAXIMUM INCREASES.—(1)(A) For each of the model years 1993–2004

4 for each category of automobile (except an electric automobile), the maximum

5 increase in average fuel economy for a manufacturer attributable to dual

6 fueled automobiles is 1.2 miles a gallon.

7 (B) If the application of section 32905(b) and (d) of this title is extended

8 under section 32905(f) of this title, for each category of automobile (except

9 an electric automobile) the maximum increase in average fuel economy for a

10 manufacturer for each of the model years 2005–2008 attributable to dual

11 fueled automobiles is .9 mile a gallon.

12 (2) In applying paragraph (1) of this subsection, the Administrator of the

13 Environmental Protection Agency shall determine the increase in a manufac14 turer’s average fuel economy attributable to dual fueled automobiles by sub15 tracting from the manufacturer’s average fuel economy calculated under sec16 tion 32905(e) of this title the number equal to what the manufacturer’s aver17 age fuel economy would be if it were calculated by the formula in section

18 32904(a)(1) of this title by including as the denominator for each model of

19 dual fueled automobile the fuel economy when the automobiles are operated

20 on gasoline or diesel fuel. If the increase attributable to dual fueled auto21 mobiles for any model year described—

22 (A) in paragraph (1)(A) of this subsection is more than 1.2 miles a

23 gallon, the limitation in paragraph (1)(A) applies; and

24 (B) in paragraph (1)(B) of this subsection is more than .9 mile a gal25 lon, the limitation in paragraph (1)(B) applies.

26 (b) OFFSETS.—Notwithstanding this section and sections 32901(c) and

27 32905 of this title, if the Secretary of Transportation reduces the average fuel

28 economy standard for passenger automobiles for any model year below 27.5

29 miles a gallon, an increase in average fuel economy for passenger automobiles

30 of more than .7 mile a gallon to which a manufacturer of dual fueled auto31 mobiles would otherwise be entitled is reduced by an amount equal to the

32 amount of the reduction in the standard. However, the increase may not be

33 reduced to less than .7 mile a gallon.

34 § 32907. Reports and tests of manufacturers

35 (a) MANUFACTURER REPORTS.—(1) A manufacturer shall report to the

36 Secretary of Transportation on—

37 (A) whether the manufacturer will comply with an applicable average

38 fuel economy standard under section 32902 of this title for the model

39 year for which the report is made;

40 (B) the actions the manufacturer has taken or intends to take to com41 ply with the standard; and
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1 (C) other information the Secretary requires by regulation.

2 (2) A manufacturer shall submit a report under paragraph (1) of this sub3 section during the 30 days—

4 (A) before the beginning of each model year; and

5 (B) beginning on the 180th day of the model year.

6 (3) When a manufacturer decides that actions reported under paragraph

7 (1)(B) of this subsection are not sufficient to ensure compliance with that

8 standard, the manufacturer shall report to the Secretary additional actions

9 the manufacturer intends to take to comply with the standard and include

10 a statement about whether those actions are sufficient to ensure compliance.

11 (4) This subsection does not apply to a manufacturer for a model year for

12 which the manufacturer is subject to an alternative average fuel economy

13 standard under section 32902(d) of this title.

14 (b) RECORDS, REPORTS, TESTS, INFORMATION, AND INSPECTION.—(1)

15 Under regulations prescribed by the Secretary or the Administrator of the En16 vironmental Protection Agency to carry out this chapter, a manufacturer

17 shall keep records, make reports, conduct tests, and provide items and infor18 mation. On request and display of proper credentials, an officer or employee

19 designated by the Secretary or Administrator may inspect automobiles and

20 records of the manufacturer. An inspection shall be made at a reasonable time

21 and in a reasonable way.

22 (2) The district courts of the United States may—

23 (A) issue an order enforcing a requirement or request under para24 graph (1) of this subsection; and

25 (B) punish a failure to obey the order as a contempt of court.

26 § 32908. Fuel economy information

27 (a) DEFINITIONS.—In this section—

28 (1) ‘‘automobile’’ includes an automobile rated at not more than 8,500

29 pounds gross vehicle weight regardless of whether the Secretary of Trans30 portation has applied this chapter to the automobile under section

31 32901(a)(3)(B) of this title.

32 (2) ‘‘dealer’’ means a person residing or located in a State, the Dis33 trict of Columbia, or a territory or possession of the United States, and

34 engaged in the sale or distribution of new automobiles to the first person

35 (except a dealer buying as a dealer) that buys the automobile in good

36 faith other than for resale.

37 (b) LABELING REQUIREMENTS AND CONTENTS.—(1) Under regulations of

38 the Administrator of the Environmental Protection Agency, a manufacturer

39 of automobiles shall attach a label to a prominent place on each automobile

40 manufactured in a model year. The dealer shall maintain the label. The label

41 shall contain the following information:
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1 (A) the fuel economy of the automobile.

2 (B) the estimated annual fuel cost of operating the automobile.

3 (C) the range of fuel economy of comparable automobiles of all manu4 facturers.

5 (D) a statement that a booklet is available from the dealer to assist

6 in making a comparison of fuel economy of other automobiles manufac7 tured by all manufacturers in that model year.

8 (E) the amount of the automobile fuel efficiency tax imposed on the

9 sale of the automobile under section 4064 of the Internal Revenue Code

10 of 1986 (26 U.S.C. 4064).

11 (F) other information required or authorized by the Administrator

12 that is related to the information required by clauses (A)–(D) of this

13 paragraph.

14 (2) The Administrator may allow a manufacturer to comply with this sub15 section by—

16 (A) disclosing the information on the label required under section 3

17 of the Automobile Information Disclosure Act (15 U.S.C. 1232); and

18 (B) including the statement required by paragraph (1)(E) of this sub19 section at a time and in a way that takes into account special cir20 cumstances or characteristics.

21 (3) For dedicated automobiles manufactured after model year 1992, the fuel

22 economy of those automobiles under paragraph (1)(A) of this subsection is the

23 fuel economy for those automobiles when operated on alternative fuel, meas24 ured under section 32905(a) or (c) of this title, multiplied by .15. Each label

25 required under paragraph (1) of this subsection for dual fueled automobiles

26 shall—

27 (A) indicate the fuel economy of the automobile when operated on gas28 oline or diesel fuel;

29 (B) clearly identify the automobile as a dual fueled automobile;

30 (C) clearly identify the fuels on which the automobile may be operated;

31 and

32 (D) contain a statement informing the consumer that the additional

33 information required by subsection (c)(2) of this section is published and

34 distributed by the Secretary of Energy.

35 (c) FUEL ECONOMY INFORMATION BOOKLET.—(1) The Administrator shall

36 prepare the booklet referred to in subsection (b)(1)(D) of this section. The

37 booklet—

38 (A) shall be simple and readily understandable;

39 (B) shall contain information on fuel economy and estimated annual

40 fuel costs of operating automobiles manufactured in each model year;

41 and
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1 (C) may contain information on geographical or other differences in

2 estimated annual fuel costs.

3 (2)(A) For dual fueled automobiles manufactured after model year 1992,

4 the booklet published under paragraph (1) shall contain additional informa5 tion on—

6 (i) the energy efficiency and cost of operation of those automobiles

7 when operated on gasoline or diesel fuel as compared to those automobiles

8 when operated on alternative fuel; and

9 (ii) the driving range of those automobiles when operated on gasoline

10 or diesel fuel as compared to those automobiles when operated on alter11 native fuel.

12 (B) For dual fueled automobiles, the booklet published under paragraph (1)

13 also shall contain—

14 (i) information on the miles a gallon achieved by the automobiles

15 when operated on alternative fuel; and

16 (ii) a statement explaining how the information made available under

17 this paragraph can be expected to change when the automobile is oper18 ated on mixtures of alternative fuel and gasoline or diesel fuel.

19 (3) The Secretary of Energy shall publish and distribute the booklet. The

20 Administrator shall prescribe regulations requiring dealers to make the booklet

21 available to prospective buyers.

22 (d) DISCLOSURE.—A disclosure about fuel economy or estimated annual

23 fuel costs under this section does not establish a warranty under a law of the

24 United States or a State.

25 (e) VIOLATIONS.—A violation of subsection (b) of this section is—

26 (1) a violation of section 3 of the Automobile Information Disclosure

27 Act (15 U.S.C. 1232); and

28 (2) an unfair or deceptive act or practice in or affecting commerce

29 under the Federal Trade Commission Act (15 U.S.C. 41 et seq.), except

30 sections 5(m) and 18 (15 U.S.C. 45(m), 57a).

31 (f) CONSULTATION.—The Administrator shall consult with the Federal

32 Trade Commission and the Secretaries of Transportation and Energy in car33 rying out this section.

34 § 32909. Judicial review of regulations

35 (a) FILING AND VENUE.—(1) A person that may be adversely affected by

36 a regulation prescribed in carrying out section 32901–32904 or 32908 of this

37 title may apply for review of the regulation by filing a petition for review

38 in the United States Court of Appeals for the District of Columbia Circuit

39 or in the court of appeals of the United States for the circuit in which the

40 person resides or has its principal place of business.
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1 (2) A person adversely affected by a regulation prescribed under section

2 32912(c)(1) of this title may apply for review of the regulation by filing a

3 petition for review in the court of appeals of the United States for the circuit

4 in which the person resides or has its principal place of business.

5 (b) TIME FOR FILING AND JUDICIAL PROCEDURES.—The petition must be

6 filed not later than 59 days after the regulation is prescribed, except that a

7 petition for review of a regulation prescribing an amendment of a standard

8 submitted to Congress under section 32902(c)(2) of this title must be filed not

9 later than 59 days after the end of the 60-day period referred to in section

10 32902(c)(2). The clerk of the court shall send immediately a copy of the peti11 tion to the Secretary of Transportation or the Administrator of the Environ12 mental Protection Agency, whoever prescribed the regulation. The Secretary

13 or the Administrator shall file with the court a record of the proceeding in

14 which the regulation was prescribed.

15 (c) ADDITIONAL PROCEEDINGS.—(1) When reviewing a regulation under

16 subsection (a)(1) of this section, the court, on request of the petitioner, may

17 order the Secretary or the Administrator to receive additional submissions if

18 the court is satisfied the additional submissions are material and there were

19 reasonable grounds for not presenting the submissions in the proceeding before

20 the Secretary or Administrator.

21 (2) The Secretary or the Administrator may amend or set aside the regula22 tion, or prescribe a new regulation because of the additional submissions pre23 sented. The Secretary or Administrator shall file an amended or new regula24 tion and the additional submissions with the court. The court shall review

25 a changed or new regulation.

26 (d) SUPREME COURT REVIEW AND ADDITIONAL REMEDIES.—A judgment

27 of a court under this section may be reviewed only by the Supreme Court

28 under section 1254 of title 28. A remedy under subsections (a)(1) and (c) of

29 this section is in addition to any other remedies provided by law.

30 § 32910. Administrative

31 (a) GENERAL POWERS.—(1) In carrying out this chapter, the Secretary of

32 Transportation or the Administrator of the Environmental Protection Agency

33 may—

34 (A) inspect and copy records of any person at reasonable times;

35 (B) order a person to file written reports or answers to specific ques36 tions, including reports or answers under oath; and

37 (C) conduct hearings, administer oaths, take testimony, and subpena

38 witnesses and records the Secretary or Administrator considers advisable.

39 (2) A witness summoned under paragraph (1)(C) of this subsection is enti40 tled to the same fee and mileage the witness would have been paid in a court

41 of the United States.
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1 (b) CIVIL ACTIONS TO ENFORCE.—A civil action to enforce a subpena or

2 order of the Secretary or Administrator under subsection (a) of this section

3 may be brought in the district court of the United States for the judicial dis4 trict in which the proceeding by the Secretary or Administrator was con5 ducted. The court may punish a failure to obey an order of the court to com6 ply with the subpena or order of the Secretary or Administrator as a con7 tempt of court.

8 (c) DISCLOSURE OF INFORMATION.—The Secretary and the Administrator

9 each shall disclose information obtained under this chapter (except informa10 tion obtained under section 32904(c) of this title) under section 552 of title

11 5. However, the Secretary or Administrator may withhold information under

12 section 552(b)(4) of title 5 only if the Secretary or Administrator decides that

13 disclosure of the information would cause significant competitive damage. A

14 matter referred to in section 552(b)(4) and relevant to an administrative or

15 judicial proceeding under this chapter may be disclosed in that proceeding.

16 A measurement or calculation under section 32904(c) of this title shall be dis17 closed under section 552 of title 5 without regard to section 552(b).

18 (d) REGULATIONS.—The Administrator may prescribe regulations to carry

19 out duties of the Administrator under this chapter.

20 § 32911. Compliance

21 (a) GENERAL.—A person commits a violation if the person fails to comply

22 with this chapter and regulations and standards prescribed and orders issued

23 under this chapter (except sections 32902, 32903, 32908(b), and 32917(b) and

24 regulations and standards prescribed and orders issued under those sections).

25 The Secretary of Transportation shall conduct a proceeding, with an oppor26 tunity for a hearing on the record, to decide whether a person has committed

27 a violation. Any interested person may participate in a proceeding under this

28 subsection.

29 (b) AUTOMOBILE MANUFACTURERS.—A manufacturer of automobiles com30 mits a violation if the manufacturer fails to comply with an applicable aver31 age fuel economy standard under section 32902 of this title. Compliance is

32 determined after considering credits available to the manufacturer under sec33 tion 32903 of this title. If average fuel economy calculations under section

34 32904(c) of this title indicate that a manufacturer has violated this sub35 section, the Secretary shall conduct a proceeding, with an opportunity for a

36 hearing on the record, to decide whether a violation has been committed. The

37 Secretary may not conduct the proceeding if further measurements of fuel

38 economy, further calculations of average fuel economy, or other information

39 indicates a violation has not been committed. The results of the measurements

40 and calculations and the information shall be published in the Federal Reg-
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1 ister. Any interested person may participate in a proceeding under this sub2 section.

3 § 32912. Civil penalties

4 (a) GENERAL PENALTY.—A person that violates section 32911(a) of this

5 title is liable to the United States Government for a civil penalty of not more

6 than $10,000 for each violation. A separate violation occurs for each day the

7 violation continues.

8 (b) PENALTY FOR MANUFACTURER VIOLATIONS OF FUEL ECONOMY STAND9 ARDS.—Except as provided in subsection (c) of this section, a manufacturer

10 that violates a standard prescribed for a model year under section 32902 of

11 this title is liable to the Government for a civil penalty of $5 multiplied by

12 each .1 of a mile a gallon by which the applicable average fuel economy

13 standard under that section exceeds the average fuel economy—

14 (1) calculated under section 32904(a)(1)(A) or (B) of this title for

15 automobiles to which the standard applies manufactured by the manu16 facturer during the model year;

17 (2) multiplied by the number of those automobiles; and

18 (3) reduced by the credits available to the manufacturer under section

19 32903 of this title for the model year.

20 (c) HIGHER PENALTY AMOUNTS.—(1)(A) The Secretary of Transportation

21 shall prescribe by regulation a higher amount for each .1 of a mile a gallon

22 to be used in calculating a civil penalty under subsection (b) of this section,

23 if the Secretary decides that the increase in the penalty—

24 (i) will result in, or substantially further, substantial energy conserva25 tion for automobiles in model years in which the increased penalty may

26 be imposed; and

27 (ii) will not have a substantial deleterious impact on the economy of

28 the United States, a State, or a region of a State.

29 (B) The amount prescribed under subparagraph (A) of this paragraph may

30 not be more than $10 for each .1 of a mile a gallon.

31 (C) The Secretary may make a decision under subparagraph (A)(ii) of this

32 paragraph only when the Secretary decides that it is likely that the increase

33 in the penalty will not—

34 (i) cause a significant increase in unemployment in a State or a re35 gion of a State;

36 (ii) adversely affect competition; or

37 (iii) cause a significant increase in automobile imports.

38 (D) A higher amount prescribed under subparagraph (A) of this paragraph

39 is effective for the model year beginning at least 18 months after the regula40 tion stating the higher amount becomes final.
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1 (2) The Secretary shall publish in the Federal Register a proposed regula2 tion under this subsection and a statement of the basis for the regulation and

3 provide each manufacturer of automobiles a copy of the proposed regulation

4 and the statement. The Secretary shall provide a period of at least 45 days

5 for written public comments on the proposed regulation. The Secretary shall

6 submit a copy of the proposed regulation to the Federal Trade Commission

7 and request the Commission to comment on the proposed regulation within

8 that period. After that period, the Secretary shall give interested persons and

9 the Commission an opportunity at a public hearing to present oral informa10 tion, views, and arguments and to direct questions about disputed issues of

11 material fact to—

12 (A) other interested persons making oral presentations;

13 (B) employees and contractors of the Government that made written

14 comments or an oral presentation or participated in the development or

15 consideration of the proposed regulation; and

16 (C) experts and consultants that provided information to a person that

17 the person includes, or refers to, in an oral presentation.

18 (3) The Secretary may restrict the questions of an interested person and

19 the Commission when the Secretary decides that the questions are duplicative

20 or not likely to result in a timely and effective resolution of the issues. A tran21 script shall be kept of a public hearing under this subsection. A copy of the

22 transcript and written comments shall be available to the public at the cost

23 of reproduction.

24 (4) The Secretary shall publish a regulation prescribed under this sub25 section in the Federal Register with the decisions required under paragraph

26 (1) of this subsection.

27 (5) An officer or employee of a department, agency, or instrumentality of

28 the Government violates section 1905 of title 18 by disclosing, except in an

29 in camera proceeding by the Secretary or a court, information—

30 (A) provided to the Secretary or the court during consideration or re31 view of a regulation prescribed under this subsection; and

32 (B) decided by the Secretary to be confidential under section 11(d) of

33 the Energy Supply and Environmental Coordination Act of 1974 (15

34 U.S.C. 796(d)).

35 (d) WRITTEN NOTICE REQUIREMENT.—The Secretary shall impose a pen36 alty under this section by written notice.

37 § 32913. Compromising and remitting civil penalties

38 (a) GENERAL AUTHORITY AND LIMITATIONS.—The Secretary of Transpor39 tation may compromise or remit the amount of a civil penalty imposed under

40 section 32912(a) or (b) of this title. However, the amount of a penalty im-
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1 posed under section 32912(b) may be compromised or remitted only to the ex2 tent—

3 (1) necessary to prevent the insolvency or bankruptcy of the manufac4 turer of automobiles;

5 (2) the manufacturer shows that the violation was caused by an act

6 of God, a strike, or a fire; or

7 (3) the Federal Trade Commission certifies under subsection (b)(1) of

8 this section that a reduction in the penalty is necessary to prevent a sub9 stantial lessening of competition.

10 (b) PENALTY REDUCTION BY COMMISSION.—(1) A manufacturer liable for

11 a civil penalty under section 32912(b) of this title may apply to the Commis12 sion for a certification that the penalty should be reduced to prevent a sub13 stantial lessening of competition in the segment of the motor vehicle industry

14 subject to the standard that was violated. The Commission shall make the cer15 tification when it finds that reduction is necessary to prevent the lessening.

16 The Commission shall state in the certification the maximum amount by

17 which the penalty may be reduced.

18 (2) An application under this subsection must be made not later than 30

19 days after the Secretary decides that the manufacturer has violated section

20 32911(b) of this title. To the maximum extent practicable, the Commission

21 shall make a decision on an application by the 90th day after the application

22 is filed. A proceeding under this subsection may not delay the manufacturer’s

23 liability for the penalty for more than 90 days after the application is filed.

24 (3) When a civil penalty is collected in a civil action under this chapter

25 before a decision of the Commission under this subsection is final, the pay26 ment shall be paid to the court in which the action was brought. The court

27 shall deposit the payment in the general fund of the Treasury on the 90th

28 day after the decision of the Commission becomes final. When the court is

29 holding payment of a penalty reduced under subsection (a)(3) of this section,

30 the Secretary shall direct the court to remit the appropriate amount of the

31 penalty to the manufacturer.

32 § 32914. Collecting civil penalties

33 (a) CIVIL ACTIONS.—If a person does not pay a civil penalty after it be34 comes a final order of the Secretary of Transportation or a judgment of a

35 court of appeals of the United States for a circuit, the Attorney General shall

36 bring a civil action in an appropriate district court of the United States to

37 collect the penalty. The validity and appropriateness of the final order impos38 ing the penalty is not reviewable in the action.

39 (b) PRIORITY OF CLAIMS.—A claim of a creditor against a bankrupt or

40 insolvent manufacturer of automobiles has priority over a claim of the United

41 States Government against the manufacturer for a civil penalty under section
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1 32912(b) of this title when the creditor’s claim is for credit extended before

2 a final judgment (without regard to section 32913(b)(1) and (2) of this title)

3 in an action to collect under subsection (a) of this section.

4 § 32915. Appealing civil penalties

5 Any interested person may appeal a decision of the Secretary of Transpor6 tation to impose a civil penalty under section 32912(a) or (b) of this title,

7 or of the Federal Trade Commission under section 32913(b)(1) of this title,

8 in the United States Court of Appeals for the District of Columbia Circuit

9 or in the court of appeals of the United States for the circuit in which the

10 person resides or has its principal place of business. A person appealing a

11 decision must file a notice of appeal with the court not later than 30 days

12 after the decision and, at the same time, send a copy of the notice by certified

13 mail to the Secretary or the Commission. The Secretary or the Commission

14 promptly shall file with the court a certified copy of the record of the proceed15 ing in which the decision was made.

16 § 32916. Reports to Congress

17 (a) ANNUAL REPORT.—Not later than January 15 of each year, the Sec18 retary of Transportation shall submit to each House of Congress, and publish

19 in the Federal Register, a report on the review by the Secretary of average

20 fuel economy standards prescribed under this chapter.

21 (b) JOINT EXAMINATIONS AFTER GRANTING EXEMPTIONS.—(1) After an

22 exemption has been granted under section 32904(b)(4) of this title, the Sec23 retaries of Transportation and Labor shall conduct annually a joint examina24 tion of the extent to which section 32904(b)(4)—

25 (A) achieves the purposes of this chapter;

26 (B) improves fuel efficiency (thereby facilitating conservation of petro27 leum and reducing petroleum imports);

28 (C) has promoted employment in the United States related to auto29 mobile manufacturing;

30 (D) has not caused unreasonable harm to the automobile manufactur31 ing sector in the United States; and

32 (E) has permitted manufacturers that have assembled passenger auto33 mobiles deemed to be manufactured domestically under section

34 32904(b)(1)(A) of this title thereafter to assemble in the United States

35 passenger automobiles of the same model that have less than 75 percent

36 of their value added in the United States or Canada, together with the

37 reasons.

38 (2) The Secretary of Transportation shall include the results of the exam39 ination under paragraph (1) of this subsection in each report submitted under

40 subsection (a) of this section more than 180 days after an exemption has been

41 granted under section 32904(b)(4) of this title, or submit the results of the
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1 examination directly to Congress before the report is submitted when cir2 cumstances warrant.

3 § 32917. Standards for executive agency automobiles

4 (a) DEFINITION.—In this section, ‘‘executive agency’’ has the same meaning

5 given that term in section 105 of title 5.

6 (b) FLEET AVERAGE FUEL ECONOMY.—(1) The President shall prescribe

7 regulations that require passenger automobiles leased for at least 60 consecu8 tive days or bought by executive agencies in a fiscal year to achieve a fleet

9 average fuel economy (determined under paragraph (2) of this subsection) for

10 that year of at least the greater of—

11 (A) 18 miles a gallon; or

12 (B) the applicable average fuel economy standard under section

13 32902(b) or (c) of this title for the model year that includes January

14 1 of that fiscal year.

15 (2) Fleet average fuel economy is—

16 (A) the total number of passenger automobiles leased for at least 60

17 consecutive days or bought by executive agencies in a fiscal year (except

18 automobiles designed for combat-related missions, law enforcement work,

19 or emergency rescue work); divided by

20 (B) the sum of the fractions obtained by dividing the number of auto21 mobiles of each model leased or bought by the fuel economy of that model.

22 § 32918. Preemption

23 (a) GENERAL.—When an average fuel economy standard prescribed under

24 this chapter is in effect, a State or a political subdivision of a State may

25 not adopt or enforce a law or regulation related to fuel economy standards

26 or average fuel economy standards for automobiles covered by an average fuel

27 economy standard under this chapter.

28 (b) REQUIREMENTS MUST BE IDENTICAL.—When a requirement under sec29 tion 32908 of this title is in effect, a State or a political subdivision of a

30 State may adopt or enforce a law or regulation on disclosure of fuel economy

31 or fuel operating costs for an automobile covered by section 32908 only if the

32 law or regulation is identical to that requirement.

33 (c) STATE AND POLITICAL SUBDIVISION AUTOMOBILES.—A State or a po34 litical subdivision of a State may prescribe requirements for fuel economy for

35 automobiles obtained for its own use.

36 CHAPTER 331—THEFT PREVENTION

Sec.

33101. Definitions.

33102. Theft prevention standard for high theft lines.

33103. Theft prevention standard for other lines.

33104. Designation of high theft vehicle lines and parts.

33105. Cost limitations.

33106. Exemption for passenger motor vehicles equipped with anti-theft devices.
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33107. Voluntary vehicle identification standards.

33108. Monitoring compliance of manufacturers.

33109. National Stolen Passenger Motor Vehicle Information System.

33110. Verifications involving junk and salvage motor vehicles.

33111. Verifications involving motor vehicle major parts.

33112. Insurance reports and information.

33113. Theft reports.

33114. Prohibited acts.

33115. Civil penalties and enforcement.

33116. Confidentiality of information.

33117. Judicial review.

33118. Preemption of State and local law.

1 § 33101. Definitions

2 In this chapter—

3 (1) ‘‘chop shop’’ means a building, lot, facility, or other structure or

4 premise at which at least one person engages in receiving, concealing,

5 destroying, disassembling, dismantling, reassembling, or storing a pas6 senger motor vehicle or passenger motor vehicle part that has been un7 lawfully obtained—

8 (A) to alter, counterfeit, deface, destroy, disguise, falsify, forge, ob9 literate, or remove the identity of the vehicle or part, including the

10 vehicle identification number or a derivative of that number; and

11 (B) to distribute, sell, or dispose of the vehicle or part in inter12 state or foreign commerce.

13 (2) ‘‘covered major part’’ means a major part selected under sections

14 33102(c)(1) and 33104 of this title for coverage by the vehicle theft pre15 vention standard prescribed under section 33102 or 33103.

16 (3) ‘‘existing line’’ means a line introduced into commerce before Jan17 uary 1, 1990.

18 (4) ‘‘first purchaser’’ means the person making the first purchase other

19 than for resale.

20 (5) ‘‘line’’ means a name that a manufacturer of motor vehicles ap21 plies to a group of motor vehicle models of the same make that have the

22 same body or chassis, or otherwise are similar in construction or design.

23 (6) ‘‘major part’’ means—

24 (A) the engine;

25 (B) the transmission;

26 (C) each door to the passenger compartment;

27 (D) the hood;

28 (E) the grille;

29 (F) each bumper;

30 (G) each front fender;

31 (H) the deck lid, tailgate, or hatchback;

32 (I) each rear quarter panel;

33 (J) the trunk floor pan;
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1 (K) the frame or, for a unitized body, the supporting structure

2 serving as the frame; and

3 (L) any other part of a passenger motor vehicle that the Secretary

4 of Transportation by regulation specifies as comparable in design

5 or function to any of the parts listed in subclauses (A)–(K) of this

6 clause.

7 (7) ‘‘major replacement part’’ means a major part that is—

8 (A) an original major part in or on a completed motor vehicle

9 and customized or modified after manufacture of the vehicle but be10 fore the time of its delivery to the first purchaser; or

11 (B) not installed in or on a motor vehicle at the time of its deliv12 ery to the first purchaser and the equitable or legal title to the vehi13 cle has not been transferred to a first purchaser.

14 (8) ‘‘model year’’ has the same meaning given that term in section

15 32901(a) of this title.

16 (9) ‘‘new line’’ means a line introduced into commerce after December

17 31, 1989.

18 (10) ‘‘passenger motor vehicle’’ includes a multipurpose passenger ve19 hicle or light duty truck when that vehicle or truck is rated at not more

20 than 6,000 pounds gross vehicle weight.

21 (11) ‘‘vehicle theft prevention standard’’ means a minimum perform22 ance standard for identifying major parts of new motor vehicles and

23 major replacement parts by inscribing or affixing numbers or symbols

24 on those parts.

25 § 33102. Theft prevention standard for high theft lines

26 (a) GENERAL.—(1) The Secretary of Transportation by regulation shall

27 prescribe a vehicle theft prevention standard that conforms to the require28 ments of this chapter. The standard shall apply to—

29 (A) covered major parts that manufacturers install in passenger motor

30 vehicles in lines designated under section 33104 of this title as high theft

31 lines; and

32 (B) major replacement parts for the major parts described in clause

33 (A) of this paragraph.

34 (2) The standard may apply only to—

35 (A) major parts that manufacturers install in passenger motor vehicles

36 having a model year designation later than the calendar year in which

37 the standard takes effect; and

38 (B) major replacement parts manufactured after the standard takes ef39 fect.

40 (b) STANDARD REQUIREMENTS.—The standard shall be practicable and

41 provide relevant objective criteria.
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1 (c) LIMITATIONS ON MAJOR PART AND REPLACEMENT PART STANDARDS.—

2 (1) For a major part installed by the manufacturer of the motor vehicle, the

3 standard may not require a part to have more than one identification.

4 (2) For a major replacement part, the standard may not require—

5 (A) identification of a part not designed as a replacement for a major

6 part required to be identified under the standard; or

7 (B) the inscribing or affixing of identification except a symbol identi8 fying the manufacturer and a common symbol identifying the part as

9 a major replacement part.

10 (d) RECORDS AND REPORTS.—This chapter does not authorize the Sec11 retary to require a person to keep records or make reports, except as provided

12 in sections 33104(c), 33106(c), 33108(a), and 33112 of this title.

13 § 33103. Theft prevention standard for other lines

14 (a) GENERAL.—Not later than October 25, 1994, the Secretary of Transpor15 tation shall prescribe a vehicle theft standard that conforms to the require16 ments of this chapter for covered major parts that manufacturers install in

17 passenger motor vehicles (except light duty trucks) in not more than 50 per18 cent of the lines not designated under section 33104 of this title as high theft

19 lines.

20 (b) EXTENSION OF APPLICATION.—(1) Not later than 3 years after the

21 standard is prescribed under subsection (a) of this section and based on the

22 finding of the Attorney General under subsection (c) of this section to apply

23 the standard, the Secretary shall apply that standard to covered major parts

24 and major replacement parts for covered parts that manufacturers install in

25 the lines of passenger motor vehicles (except light duty trucks)—

26 (A) not designated under section 33104 of this title as high theft lines;

27 and

28 (B) not covered by the standard prescribed under subsection (a) of this

29 section.

30 (2) The Secretary shall include as part of the regulatory proceeding under

31 this subsection the finding of, and the record developed by, the Attorney Gen32 eral under subsection (c) of this section.

33 (c) INITIAL REVIEW OF EFFECTIVENESS.—Before the Secretary begins a

34 regulatory proceeding under subsection (b) of this section, the Attorney Gen35 eral shall make a finding that the Secretary shall apply the standard pre36 scribed under subsection (a) of this section unless the Attorney General finds,

37 based on information collected and analyzed under section 33112 of this title

38 and other information the Attorney General develops after providing notice

39 and an opportunity for a public hearing, that applying the standard pre40 scribed in subsection (a) to the remaining lines of passenger motor vehicles

41 (except light duty trucks) not covered by that standard would not substan-
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1 tially inhibit chop shop operations and motor vehicle thefts. The Attorney

2 General also shall consider and include in the record additional costs, effec3 tiveness, competition, and available alternative factors. The Attorney General

4 shall submit to the Secretary the finding and record on which the finding is

5 based.

6 (d) LONG RANGE REVIEW OF EFFECTIVENESS.—(1) Not later than Decem7 ber 31, 1999, the Attorney General shall make separate findings, after notice

8 and an opportunity for a public hearing, on the following:

9 (A) whether the application of the standard under subsection (a) or

10 (b) of this subsection, or both, have been effective in substantially inhibit11 ing the operation of chop shops and motor vehicle theft.

12 (B) whether the anti-theft devices for which the Secretary has granted

13 exemptions under section 33106 of this title are an effective substitute

14 for parts marking in substantially inhibiting motor vehicle theft.

15 (2)(A) In making the finding under paragraph (1)(A) of this subsection,

16 the Attorney General shall—

17 (i) consider the additional cost, competition, and available alter18 natives;

19 (ii) base that finding on information collected and analyzed under sec20 tion 33112 of this title;

21 (iii) consider the effectiveness, the extent of use, and the extent to

22 which civil and criminal penalties under section 33115(b) of this title

23 and section 2322 of title 18 on chop shops have been effective in substan24 tially inhibiting operation of chop shops and motor vehicle theft;

25 (iv) base that finding on the 3-year and 5-year reports issued by the

26 Secretary under section 33113 of this title; and

27 (v) base that finding on other information the Attorney General devel28 ops and includes in the public record.

29 (B) The Attorney General shall submit a finding under paragraph (1)(A)

30 of this subsection promptly to the Secretary. If the Attorney General finds

31 that the application of the standard under subsection (a) or (b) of this section,

32 or both, has not been effective, the Secretary shall issue, not later than 180

33 days after receiving that finding, an order terminating the standard the At34 torney General found was ineffective. The termination is effective for the

35 model year beginning after the order is issued.

36 (3) In making a finding under paragraph (1)(B) of this subsection, the

37 Secretary shall consider the additional cost, competition, and available alter38 natives. If the Attorney General finds that the anti-theft devices are an effec39 tive substitute, the Secretary shall continue to grant exemptions under section

40 33106 of this title for the model years after model year 2000 at one of the

41 following levels that the Attorney General decides: at the level authorized be-
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1 fore October 25, 1992, or at the level provided in section 33106(b)(2)(C) of

2 this title for model year 2000.

3 (e) EFFECTIVE DATE OF STANDARD.—A standard prescribed under this

4 section takes effect at least 6 months after the date the standard is prescribed,

5 except that the Secretary may prescribe an earlier effective date if the Sec6 retary—

7 (1) decides with good cause that the earlier date is in the public inter8 est; and

9 (2) publishes the reasons for the decision.

10 (f) NOTIFICATION OF CONGRESS.—The Secretary and the Attorney General

11 shall inform the appropriate legislative committees of Congress with jurisdic12 tion over this part and section 2322 of title 18 of actions taken or planned

13 under this section.

14 § 33104. Designation of high theft vehicle lines and parts

15 (a) DESIGNATION, NONAPPLICATION, SELECTION, AND PROCEDURES.—(1)

16 For purposes of the standard under section 33102 of this title, the following

17 are high theft lines:

18 (A) a passenger motor vehicle line determined under subsection (b) of

19 this section to have had a new passenger motor vehicle theft rate in the

20 2-year period covering calendar years 1990 and 1991 greater than the

21 median theft rate for all new passenger motor vehicle thefts in that 2-

22 year period.

23 (B) a passenger motor vehicle line initially introduced into commerce

24 in the United States after December 31, 1989, that is selected under

25 paragraph (3) of this subsection as likely to have a theft rate greater

26 than the median theft rate referred to in clause (A) of this paragraph.

27 (C) subject to paragraph (2) of this subsection, a passenger motor vehi28 cle line having (for existing lines) or likely to have (for new lines) a theft

29 rate below the median theft rate referred to in clause (A) of this para30 graph, if the major parts in the vehicles are selected under paragraph

31 (3) of this subsection as interchangeable with the majority of the major

32 parts that are subject to the standard and are contained in the motor

33 vehicles of a line described in clause (A) or (B) of this paragraph.

34 (2) The standard may not apply to any major part of a line described in

35 paragraph (1)(C) of this subsection if all the passenger motor vehicles of lines

36 that are, or are likely to be, below the median theft rate, and that contain

37 parts interchangeable with the major parts of the line involved, account (for

38 existing lines), or the Secretary of Transportation determines they are likely

39 to account (for new lines), for more than 90 percent of the total annual pro40 duction of all lines of that manufacturer containing those interchangeable

41 parts.
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1 (3) The lines, and the major parts of the passenger motor vehicles in those

2 lines, that are to be subject to the standard may be selected by agreement be3 tween the manufacturer and the Secretary. If the manufacturer and the Sec4 retary disagree on the selection, the Secretary shall select the lines and parts,

5 after notice to the manufacturer and opportunity for written comment, and

6 subject to the confidentiality requirements of this chapter.

7 (4) To the maximum extent practicable, the Secretary shall prescribe rea8 sonable procedures designed to ensure that a selection under paragraph (3)

9 of this subsection is made at least 6 months before the first applicable model

10 year beginning after the selection.

11 (5) A manufacturer may not be required to comply with the standard

12 under a selection under paragraph (3) of this subsection for a model year be13 ginning earlier than 6 months after the date of the selection.

14 (6) A passenger motor vehicle line subject on October 25, 1992, to parts

15 marking requirements under sections 602 and 603 of the Motor Vehicle Infor16 mation and Cost Savings Act (Public Law 92–513, 86 Stat. 947), as added

17 by section 101(a) of the Motor Vehicle Theft Law Enforcement Act of 1984

18 (Public Law 98–547, 98 Stat. 2756), continues to be subject to the require19 ments of this section and section 33102 of this title unless the line is exempted

20 under section 33106 of this title.

21 (b) DETERMINING THEFT RATE FOR PASSENGER VEHICLES.—(1) In this

22 subsection, ‘‘new passenger motor vehicle thefts’’, when used in reference to a

23 calendar year, means thefts in the United States in that year of passenger

24 motor vehicles with the same model-year designation as that calendar year.

25 (2) Under subsection (a) of this section, the theft rate for passenger motor

26 vehicles of a line shall be determined by a fraction—

27 (A) the numerator of which is the number of new passenger motor ve28 hicle thefts for that line during the 2-year period referred to in subsection

29 (a)(1)(A) of this section; and

30 (B) the denominator of which is the sum of the respective production

31 volumes of all passenger motor vehicles of that line (as reported to the

32 Administrator of the Environmental Protection Agency under chapter

33 329 of this title) that are of model years 1990 and 1991 and are distrib34 uted for sale in commerce in the United States.

35 (3) Under subsection (a) of this section, the median theft rate for all new

36 passenger motor vehicle thefts during that 2-year period is the theft rate mid37 way between the highest and the lowest theft rates determined under para38 graph (2) of this subsection. If there is an even number of theft rates deter39 mined under paragraph (2), the median theft rate is the arithmetic average

40 of the 2 adjoining theft rates midway between the highest and the lowest of

41 those theft rates.
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1 (4) In consultation with the Director of the Federal Bureau of Investiga2 tion, the Secretary periodically shall obtain from the most reliable source ac3 curate and timely theft and recovery information and publish the information

4 for review and comment. To the greatest extent possible, the Secretary shall

5 use theft information reported by United States Government, State, and local

6 police. After publication and opportunity for comment, the Secretary shall use

7 the theft information to determine the median theft rate under this subsection.

8 The Secretary and the Director shall take any necessary actions to improve

9 the accuracy, reliability, and timeliness of the information, including ensur10 ing that vehicles represented as stolen are really stolen.

11 (5) The Secretary periodically (but not more often than once every 2 years)

12 may redetermine and prescribe by regulation the median theft rate under this

13 subsection.

14 (c) PROVIDING INFORMATION.—The Secretary by regulation shall require

15 each manufacturer to provide information necessary to select under subsection

16 (a)(3) of this section the high theft lines and the major parts to be subject

17 to the standard.

18 (d) APPLICATION.—Except as provided in section 33106 of this title, the

19 Secretary may not make the standard inapplicable to a line that has been

20 subject to the standard.

21 § 33105. Cost limitations

22 (a) MAXIMUM MANUFACTURER COSTS.—A standard under section 33102 or

23 33103 of this title may not impose—

24 (1) on a manufacturer of motor vehicles, compliance costs of more than

25 $15 a motor vehicle; or

26 (2) on a manufacturer of major replacement parts, compliance costs

27 for each part of more than the reasonable amount (but less than $15)

28 that the Secretary of Transportation specifies in the standard.

29 (b) COSTS INVOLVED IN ENGINES AND TRANSMISSIONS.—For a manufac30 turer engaged in identifying engines or transmissions on October 25, 1984,

31 in a way that substantially complies with the standard—

32 (1) the costs of identifying engines and transmissions may not be con33 sidered in calculating the manufacturer’s costs under subsection (a) of

34 this section; and

35 (2) the manufacturer may not be required under the standard to con36 form to any identification system for engines and transmissions that im37 poses greater costs on the manufacturer than are incurred under the

38 identification system used by the manufacturer on October 25, 1984.

39 (c) COST ADJUSTMENTS.—(1) In this subsection—

40 (A) ‘‘base period’’ means calendar year 1984.
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1 (B) ‘‘price index’’ means the average over a calendar year of the

2 Consumer Price Index (all items—United States city average) published

3 monthly by the Secretary of Labor.

4 (2) At the beginning of each calendar year, as necessary data become avail5 able from the Bureau of Labor Statistics, the Secretary of Labor shall certify

6 to the Secretary of Transportation and publish in the Federal Register the

7 percentage difference between the price index for the 12 months before the be8 ginning of the calendar year and the price index for the base period. For

9 model years beginning in that calendar year, the amounts specified in sub10 section (a) of this section shall be adjusted by the percentage difference.

11 § 33106. Exemption for passenger motor vehicles equipped

12 with anti-theft devices

13 (a) DEFINITIONS.—In this section—

14 (1) ‘‘anti-theft device’’ means a device to reduce or deter theft that—

15 (A) is in addition to the theft-deterrent devices required by motor

16 vehicle safety standard numbered 114 in section 571.114 of title 49,

17 Code of Federal Regulations;

18 (B) the manufacturer believes will be effective in reducing or de19 terring theft of motor vehicles; and

20 (C) does not use a signaling device reserved by State law for use

21 on police, emergency, or official vehicles, or on schoolbuses.

22 (2) ‘‘standard equipment’’ means equipment already installed in a

23 motor vehicle when it is delivered from the manufacturer and not an ac24 cessory or other item that the first purchaser customarily has the option

25 to have installed.

26 (b) GRANTING EXEMPTIONS AND LIMITATIONS.—(1) A manufacturer may

27 petition the Secretary of Transportation for an exemption from a requirement

28 of a standard prescribed under section 33102 or 33103 of this title for a line

29 of passenger motor vehicles equipped as standard equipment with an anti30 theft device that the Secretary decides is likely to be as effective in reducing

31 and deterring motor vehicle theft as compliance with the standard.

32 (2) The Secretary may grant an exemption—

33 (A) for model year 1987, for not more than 2 lines of a manufacturer;

34 (B) for each of the model years 1988–1996, for not more than 2 addi35 tional lines of a manufacturer;

36 (C) for each of the model years 1997–2000, for not more than one ad37 ditional line of a manufacturer; and

38 (D) for each of the model years after model year 2000, for the number

39 of lines that the Attorney General decides under section 33103(d)(3) of

40 this title.
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1 (3) An additional exemption granted under subparagraph (2)(B) or (C) of

2 this paragraph does not affect an exemption previously granted.

3 (c) PETITIONING PROCEDURE.—A petition must be filed not later than 8

4 months before the start of production for the first model year covered by the

5 petition. The petition must include—

6 (1) a detailed description of the device;

7 (2) the reasons for the manufacturer’s conclusion that the device will

8 be effective in reducing and deterring theft of motor vehicles; and

9 (3) additional information the Secretary reasonably may require to

10 make the decision described in subsection (b)(1) of this section.

11 (d) DECISIONS AND APPROVALS.—The Secretary shall make a decision

12 about a petition filed under this section not later than 120 days after the date

13 the petition is filed. A decision approving a petition must be based on sub14 stantial evidence. The Secretary may approve a petition in whole or in part.

15 If the Secretary does not make a decision within the 120-day period, the peti16 tion shall be deemed to be approved and the manufacturer shall be exempt

17 from the standard for the line covered by the petition for the subsequent model

18 year.

19 (e) RESCISSIONS.—The Secretary may rescind an exemption if the Sec20 retary decides that the anti-theft device has not been as effective in reducing

21 and deterring motor vehicle theft as compliance with the standard. A rescis22 sion may be effective only—

23 (1) for a model year after the model year in which the rescission oc24 curs; and

25 (2) at least 6 months after the manufacturer receives written notice

26 of the rescission from the Secretary.

27 § 33107. Voluntary vehicle identification standards

28 (a) ELECTION TO INSCRIBE OR AFFIX IDENTIFYING MARKS.—The Sec29 retary of Transportation by regulation may prescribe a vehicle theft preven30 tion standard under which a person may elect to inscribe or affix an identify31 ing number or symbol on major parts of a motor vehicle manufactured or

32 owned by the person for purposes of section 511 of title 18 and related provi33 sions. The standard may include provisions for registration of the identifica34 tion with the Secretary or a person designated by the Secretary.

35 (b) STANDARD REQUIREMENTS.—The standard under this section shall be

36 practicable and provide relevant objective criteria.

37 (c) VOLUNTARY COMPLIANCE.—Compliance with the standard under this

38 section is voluntary. Failure to comply does not subject a person to a penalty

39 or enforcement under this chapter.
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1 (d) COMPLIANCE WITH OTHER STANDARDS.—Compliance with the stand2 ard under this section does not relieve a manufacturer from a requirement

3 of a standard prescribed under section 33102 or 33103 of this title.

4 § 33108. Monitoring compliance of manufacturers

5 (a) RECORDS, REPORTS, INFORMATION, AND INSPECTION.—To enable the

6 Secretary of Transportation to decide whether a manufacturer of motor vehi7 cles containing a part subject to a standard prescribed under section 33102

8 or 33103 of this title, or a manufacturer of major replacement parts subject

9 to the standard, is complying with this chapter and the standard, the Sec10 retary may require the manufacturer to—

11 (1) keep records;

12 (2) make reports;

13 (3) provide items and information; and

14 (4) allow an officer or employee designated by the Secretary to inspect

15 the vehicles and parts and relevant records of the manufacturer.

16 (b) ENTRY AND INSPECTION.—To enforce this chapter, an officer or em17 ployee designated by the Secretary, on presenting appropriate credentials and

18 a written notice to the owner, operator, or agent in charge, may inspect a

19 facility in which motor vehicles containing major parts subject to the stand20 ard, or major replacement parts subject to the standard, are manufactured,

21 held for introduction into interstate commerce, or held for sale after introduc22 tion into interstate commerce. An inspection shall be conducted at a reason23 able time, in a reasonable way, and with reasonable promptness.

24 (c) CERTIFICATION OF COMPLIANCE.—(1) A manufacturer of a motor vehi25 cle subject to the standard, and a manufacturer of a major replacement part

26 subject to the standard, shall provide at the time of delivery of the vehicle or

27 part a certification that the vehicle or part conforms to the applicable motor

28 vehicle theft prevention standard. The certification shall accompany the vehi29 cle or part until its delivery to the first purchaser. The Secretary by regula30 tion may prescribe the type and form of the certification.

31 (2) This subsection does not apply to a motor vehicle or major replacement

32 part that is—

33 (A) intended only for export;

34 (B) labeled only for export on the vehicle or replacement part and the

35 outside of any container until exported; and

36 (C) exported.

37 (d) NOTIFICATION OF ERROR.—A manufacturer shall notify the Secretary

38 if the manufacturer discovers that—

39 (1) there is an error in the identification (required by the standard)

40 applied to a major part installed by the manufacturer in a motor vehicle
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1 during its assembly, or to a major replacement part manufactured by

2 the manufacturer; and

3 (2) the motor vehicle or major replacement part has entered interstate

4 commerce.

5 § 33109. National Stolen Passenger Motor Vehicle Informa6 tion System

7 (a) GENERAL REQUIREMENTS.—(1) Not later than July 25, 1993, the At8 torney General shall establish, and thereafter maintain, a National Stolen

9 Passenger Motor Vehicle Information System containing the vehicle identifica10 tion numbers of stolen passenger motor vehicles and stolen passenger motor

11 vehicle parts. The System shall be located in the National Crime Information

12 Center and shall include at least the following information on each passenger

13 motor vehicle reported to a law enforcement authority as stolen and not recov14 ered:

15 (A) the vehicle identification number.

16 (B) the make and model year.

17 (C) the date on which the vehicle was reported as stolen.

18 (D) the location of the law enforcement authority that received the re19 port of the theft of the vehicle.

20 (E) the identification numbers of the vehicle parts (or derivatives of

21 those numbers), at the time of the theft, if those numbers are different

22 from the vehicle identification number of the vehicle.

23 (2) In establishing the System, the Attorney General shall consult with—

24 (A) State and local law enforcement authorities; and

25 (B) the National Crime Information Center Policy Advisory Board to

26 ensure the security of the information in the System and that the System

27 will not compromise the security of stolen passenger motor vehicle and

28 passenger motor vehicle parts information in the System.

29 (3) If the Attorney General decides that the Center is not able to perform

30 the functions of the System, the Attorney General shall make an agreement

31 for the operation of the System separate from the Center.

32 (4) The Attorney General shall prescribe by regulation the effective date of

33 the System.

34 (b) REQUESTS FOR INFORMATION.—(1) The Attorney General shall pre35 scribe by regulation procedures under which an individual or entity intend36 ing to transfer a passenger motor vehicle or passenger motor vehicle part may

37 obtain information on whether the vehicle or part is listed in the System as

38 stolen.

39 (2) On request of an insurance carrier, a person lawfully selling or distrib40 uting passenger motor vehicle parts in interstate commerce, or an individual

41 or enterprise engaged in the business of repairing passenger motor vehicles,
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1 the Attorney General (or the entity the Attorney General designates) imme2 diately shall inform the insurance carrier, person, individual, or enterprise

3 whether the System has a record of a vehicle or vehicle part with a particular

4 vehicle identification number (or derivative of that number) being reported

5 as stolen. The Attorney General may require appropriate verification to en6 sure that the request is legitimate and will not compromise the security of

7 the System.

8 (c) ADVISORY COMMITTEE.—(1) Not later than December 24, 1992, the At9 torney General shall establish in the Department of Justice an advisory com10 mittee. The Attorney General shall develop the System with the advice and

11 recommendations of the committee.

12 (2)(A) The committee is composed of the following 10 members:

13 (i) the Attorney General.

14 (ii) the Secretary of Transportation.

15 (iii) one individual who is qualified to represent the interests of the

16 law enforcement community at the State level.

17 (iv) one individual who is qualified to represent the interests of the

18 law enforcement community at the local level.

19 (v) one individual who is qualified to represent the interests of the

20 automotive recycling industry.

21 (vi) one individual who is qualified to represent the interests of the

22 automotive repair industry.

23 (vii) one individual who is qualified to represent the interests of the

24 automotive rebuilders industry.

25 (viii) one individual who is qualified to represent the interests of the

26 automotive parts suppliers industry.

27 (ix) one individual who is qualified to represent the interests of the

28 insurance industry.

29 (x) one individual who is qualified to represent the interests of con30 sumers.

31 (B) The Attorney General shall appoint the individuals described in sub32 paragraph (A)(iii)–(x) of this paragraph and shall serve as chairman of the

33 committee.

34 (3) The committee shall make recommendations on developing and carrying

35 out—

36 (A) the National Stolen Passenger Motor Vehicle Information System;

37 and

38 (B) the verification system under section 33110 of this title.

39 (4) Not later than April 25, 1993, the committee shall submit to the Attor40 ney General, the Secretary, and Congress a report including the recommenda41 tions of the committee.
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1 § 33110. Verifications involving junk and salvage motor vehi2 cles

3 (a) DEFINITION.—In this section, ‘‘vehicle identification number’’ means a

4 unique identification number (or derivative of that number) assigned to a

5 passenger motor vehicle by a manufacturer in compliance with applicable reg6 ulations.

7 (b) GENERAL REQUIREMENTS.—(1) If an insurance carrier selling com8 prehensive motor vehicle insurance coverage obtains possession of and trans9 fers a junk motor vehicle or a salvage motor vehicle, the carrier shall—

10 (A) under procedures the Attorney General prescribes by regulation

11 under section 33109 of this title in consultation with the Secretary of

12 Transportation, verify whether the vehicle is reported as stolen; and

13 (B) provide the purchaser or transferee of the vehicle from the insur14 ance carrier verification identifying the vehicle identification number

15 and verifying that the vehicle has not been reported as stolen or, if re16 ported as stolen, that the carrier has recovered the vehicle and has proper

17 legal title to the vehicle.

18 (2)(A) This subsection does not prohibit an insurance carrier from transfer19 ring a motor vehicle if, within a reasonable period of time during normal

20 business operations (as decided by the Attorney General under section 33109

21 of this title) using reasonable efforts, the carrier—

22 (i) has not been informed under the procedures prescribed in section

23 33109 of this title that the vehicle has not been reported as stolen; or

24 (ii) has not otherwise established whether the vehicle has been reported

25 as stolen.

26 (B) When a carrier transfers a motor vehicle for which the carrier has not

27 established whether the vehicle has been reported as stolen, the carrier shall

28 provide written certification to the transferee that the carrier has not estab29 lished whether the vehicle has been reported as stolen.

30 (c) REGULATIONS.—In consultation with the Secretary, the Attorney Gen31 eral shall prescribe regulations necessary to ensure that verification performed

32 and provided by an insurance carrier under subsection (b)(1)(B) of this sec33 tion is uniform, effective, and resistant to fraudulent use.

34 § 33111. Verifications involving motor vehicle major parts

35 (a) GENERAL REQUIREMENTS.—A person engaged in the business of sal36 vaging, dismantling, recycling, or repairing passenger motor vehicles may not

37 knowingly sell in commerce or transfer or install a major part marked with

38 an identification number without—

39 (1) first establishing, through a procedure the Attorney General by reg40 ulation prescribes in consultation with the Secretary of Transportation
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1 under section 33109 of this title, that the major part has not been re2 ported as stolen; and

3 (2) providing the purchaser or transferee with a verification—

4 (A) identifying the vehicle identification number (or derivative of

5 that number) of that major part; and

6 (B) verifying that the major part has not been reported as stolen.

7 (b) NONAPPLICATION.—(1) Subsection (a) of this section does not apply to

8 a person that—

9 (A) is the manufacturer of the major part;

10 (B) has purchased the major part directly from the manufacturer; or

11 (C) has received a verification from an insurance carrier under section

12 33110 of this title that the motor vehicle from which the major part is

13 derived has not been reported as stolen, or that the carrier has not estab14 lished whether that vehicle has been stolen.

15 (2) A person described under paragraph (1)(C) of this subsection that sub16 sequently transfers or sells in commerce the motor vehicle or a major part of

17 the vehicle shall provide the verification received from the carrier to the per18 son to whom the vehicle or part is transferred or sold.

19 (c) REGULATIONS.—The Attorney General shall prescribe regulations to

20 carry out this section. The regulations shall include regulations prescribed in

21 consultation with the Secretary that are necessary to ensure that a verifica22 tion a person provides under subsection (a)(2) of this section is uniform, effec23 tive, and resistant to fraudulent use.

24 § 33112. Insurance reports and information

25 (a) PURPOSES.—The purposes of this section are—

26 (1) to prevent or discourage the theft of motor vehicles, particularly

27 those stolen for the removal of certain parts;

28 (2) to prevent or discourage the sale and distribution in interstate

29 commerce of used parts that are removed from those vehicles; and

30 (3) to help reduce the cost to consumers of comprehensive insurance

31 coverage for motor vehicles.

32 (b) DEFINITIONS.—In this section—

33 (1) ‘‘insurer’’ includes a person (except a governmental authority)

34 having a fleet of at least 20 motor vehicles that are used primarily for

35 rental or lease and are not covered by a theft insurance policy issued

36 by an insurer of passenger motor vehicles.

37 (2) ‘‘motor vehicle’’ includes a truck, a multipurpose passenger vehicle,

38 and a motorcycle.

39 (c) ANNUAL INFORMATION REQUIREMENT.—(1) An insurer providing com40 prehensive coverage for motor vehicles shall provide annually to the Secretary

41 of Transportation information on—
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1 (A) the thefts and recoveries (in any part) of motor vehicles;

2 (B) the number of vehicles that have been recovered intact;

3 (C) the rating rules and plans, such as loss information and rating

4 characteristics, used by the insurer to establish premiums for comprehen5 sive coverage, including the basis for the premiums, and premium pen6 alties for motor vehicles considered by the insurer as more likely to be

7 stolen;

8 (D) the actions taken by the insurer to reduce the premiums, including

9 changing rate levels for comprehensive coverage because of a reduction in

10 thefts of motor vehicles;

11 (E) the actions taken by the insurer to assist in deterring or reducing

12 thefts of motor vehicles; and

13 (F) other information the Secretary requires to carry out this chapter

14 and to make the report and findings required by this chapter.

15 (2) The information on thefts and recoveries shall include an explanation

16 on how the information is obtained, the accuracy and timeliness of the infor17 mation, and the use made of the information, including the extent and fre18 quency of reporting the information to national, public, and private entities

19 such as the Federal Bureau of Investigation and State and local police.

20 (d) REPORTS ON REDUCED CLAIMS PAYMENTS.—An insurer shall report

21 promptly in writing to the Secretary if the insurer, in paying a claim under

22 an adjustment or negotiation between the insurer and the insured for a stolen

23 motor vehicle—

24 (1) reduces the payment to the insured by the amount of the value,

25 salvage or otherwise, of a recovered part subject to a standard prescribed

26 under section 33102 or 33103 of this title; and

27 (2) the reduction is not made at the express election of the insured.

28 (e) GENERAL EXEMPTIONS.—The Secretary shall exempt from this section,

29 for one or more years, an insurer that the Secretary decides should be exempt30 ed because—

31 (1) the cost of preparing and providing the information is excessive

32 in relation to the size of the insurer’s business; and

33 (2) the information from that insurer will not contribute significantly

34 to carrying out this chapter.

35 (f) SMALL INSURER EXEMPTIONS.—(1) In this subsection, ‘‘small insurer’’

36 means an insurer whose premiums for motor vehicle insurance issued directly

37 or through an affiliate, including a pooling arrangement established under

38 State law or regulation for the issuance of motor vehicle insurance, account

39 for—

40 (A) less than one percent of the total premiums for all forms of motor

41 vehicle insurance issued by insurers in the United States; and
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1 (B) less than 10 percent of the total premiums for all forms of motor

2 vehicle insurance issued by insurers in any State.

3 (2) The Secretary shall exempt by regulation a small insurer from this sec4 tion if the Secretary finds that the exemption will not significantly affect the

5 validity or usefulness of the information collected and compiled under this

6 section, nationally or State-by-State. However, the Secretary may not exempt

7 an insurer under this paragraph that is considered an insurer only because

8 of subsection (b)(1) of this section.

9 (3) Regulations under this subsection shall provide that eligibility as a

10 small insurer shall be based on the most recent calendar year for which ade11 quate information is available, and that, once attained, the eligibility shall

12 continue without further demonstration of eligibility for one or more years,

13 as the Secretary considers appropriate.

14 (g) PRESCRIBED FORM.—Information required by this section shall be pro15 vided in the form the Secretary prescribes.

16 (h) PERIODIC COMPILATIONS.—Subject to section 552 of title 5, the Sec17 retary periodically shall compile and publish information obtained by the

18 Secretary under this section, in a form that will be helpful to the public, the

19 police, and Congress.

20 (i) CONSULTATION.—In carrying out this section, the Secretary shall con21 sult with public and private agencies and associations the Secretary considers

22 appropriate.

23 § 33113. Theft reports

24 (a) TRUCK, MULTIPURPOSE PASSENGER VEHICLE, AND MOTORCYCLE RE25 PORT.—Not later than October 25, 1995, the Secretary of Transportation shall

26 submit a report to Congress that includes—

27 (1) information on the number of trucks, multipurpose passenger vehi28 cles, and motorcycles distributed for sale in interstate commerce that are

29 stolen and recovered annually, compiled by model, make, and line;

30 (2) information on the extent to which trucks, multipurpose passenger

31 vehicles, and motorcycles stolen annually are dismantled to recover parts

32 or are exported;

33 (3) a description of the market for the stolen parts;

34 (4) information on the premiums charged by insurers of comprehensive

35 coverage of trucks, multipurpose passenger vehicles, or motorcycles, in36 cluding any increase in the premiums charged because any of those

37 motor vehicles is a likely candidate for theft;

38 (5) an assessment of whether the identification of parts of trucks, mul39 tipurpose passenger vehicles, and motorcycles is likely—

40 (A) to decrease the theft rate of those motor vehicles;

41 (B) to increase the recovery rate of those motor vehicles;
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1 (C) to decrease the trafficking in stolen parts of those motor vehi2 cles;

3 (D) to stem the export and import of those stolen motor vehicles

4 or parts; or

5 (E) to have benefits greater than the costs of the identification;

6 and

7 (6) recommendations on whether, and to what extent, the identifica8 tion of trucks, multipurpose passenger vehicles, and motorcycles should

9 be required by law.

10 (b) MOTOR VEHICLE REPORT.—Not later than October 25, 1997, the Sec11 retary shall submit a report to Congress that includes—

12 (1) information on—

13 (A) the methods and procedures used by public and private enti14 ties to collect, compile, and disseminate information on the theft

15 and recovery of motor vehicles, including classes of motor vehicles;

16 and

17 (B) the reliability and timeliness of the information and how the

18 information can be improved;

19 (2) information on the number of motor vehicles distributed for sale

20 in interstate commerce that are stolen and recovered annually, compiled

21 by class, model, make, and line;

22 (3) information on the extent to which motor vehicles stolen annually

23 are dismantled to recover parts or are exported;

24 (4) a description of the market for the stolen parts;

25 (5) information on—

26 (A) the costs to manufacturers and purchasers of passenger motor

27 vehicles of compliance with the standards prescribed under this

28 chapter;

29 (B) the beneficial impacts of the standards and the monetary

30 value of the impacts; and

31 (C) the extent to which the monetary value is greater than the

32 costs;

33 (6) information on the experience of officials of the United States Gov34 ernment, States, and localities in—

35 (A) making arrests and successfully prosecuting persons for vio36 lating a law set forth in title II or III of the Motor Vehicle Theft

37 Law Enforcement Act of 1984;

38 (B) preventing or reducing the number and rate of thefts of motor

39 vehicles that are dismantled for parts subject to this chapter; and

40 (C) preventing or reducing the availability of used parts that are

41 stolen from motor vehicles subject to this chapter;
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1 (7) information on the premiums charged by insurers of comprehensive

2 coverage of motor vehicles subject to this chapter, including any increase

3 in the premiums charged because a motor vehicle is a likely candidate

4 for theft, and the extent to which the insurers have reduced for the benefit

5 of consumers the premiums, or foregone premium increases, because of

6 this chapter;

7 (8) information on the adequacy and effectiveness of laws of the Unit8 ed States and the States aimed at preventing the distribution and sale

9 of used parts that have been removed from stolen motor vehicles and the

10 adequacy of systems available to enforcement personnel for tracing parts

11 to determine if they have been stolen from a motor vehicle;

12 (9) an assessment of whether the identification of parts of other classes

13 of motor vehicles is likely—

14 (A) to decrease the theft rate of those vehicles;

15 (B) to increase the recovery rate of those vehicles;

16 (C) to decrease the trafficking in stolen parts of those vehicles;

17 (D) to stem the export and import of those stolen vehicles, parts,

18 or components; or

19 (E) to have benefits greater than the costs of the identification;

20 and

21 (10) other relevant and reliable information available to the Secretary

22 about the impact, including the beneficial impact, of the laws set forth

23 in titles II and III of the Motor Vehicle Theft Law Enforcement Act of

24 1984 on law enforcement, consumers, and manufacturers; and

25 (11) recommendations (including, as appropriate, legislative and ad26 ministrative recommendations) for—

27 (A) continuing without change the standards prescribed under

28 this chapter;

29 (B) amending this chapter to cover more or fewer lines of pas30 senger motor vehicles;

31 (C) amending this chapter to cover other classes of motor vehicles;

32 or

33 (D) ending the standards for all future motor vehicles.

34 (c) BASES OF REPORTS.—(1) The reports under subsections (a) and (b) of

35 this section each shall be based on—

36 (A) information reported under this chapter by insurers of motor vehi37 cles and manufacturers of motor vehicles and major replacement parts;

38 (B) information provided by the Federal Bureau of Investigation;

39 (C) experience obtained in carrying out this chapter;

40 (D) experience of the Government under the laws set forth in titles II

41 and III of the Motor Vehicle Theft Law Enforcement Act of 1984; and
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1 (E) other relevant and reliable information available to the Secretary.

2 (2) In preparing each report, the Secretary shall consult with the Attorney

3 General and State and local law enforcement officials, as appropriate.

4 (3) The report under subsection (b) of this section shall—

5 (A) cover a period of at least 4 years after the standards required by

6 this chapter are prescribed; and

7 (B) reflect any information, as appropriate, from the report under

8 subsection (a) of this section, updated from the date of the report.

9 (4) At least 90 days before submitting each report to Congress, the Sec10 retary shall publish a proposed report for public review and an opportunity

11 of at least 45 days for written comment. The Secretary shall consider those

12 comments in preparing the report to be submitted and include a summary

13 of the comments with the submitted report.

14 § 33114. Prohibited acts

15 (a) GENERAL.—A person may not—

16 (1) manufacture for sale, sell, offer for sale, introduce or deliver for

17 introduction in interstate commerce, or import into the United States,

18 a motor vehicle or major replacement part subject to a standard pre19 scribed under section 33102 or 33103 of this title, unless it conforms to

20 the standard;

21 (2) fail to comply with a regulation prescribed by the Secretary of

22 Transportation or Attorney General under this chapter;

23 (3) fail to keep specified records, refuse access to or copying of records,

24 fail to make reports or provide items or information, or fail or refuse

25 to allow entry or inspection, as required by this chapter;

26 (4) fail to provide the certification required by section 33108(c) of this

27 title, or provide a certification that the person knows, or in the exercise

28 of reasonable care has reason to know, is false or misleading in a mate29 rial respect; or

30 (5) knowingly—

31 (A) own, operate, maintain, or control a chop shop;

32 (B) conduct operations in a chop shop; or

33 (C) transport a passenger motor vehicle or passenger motor vehi34 cle part to or from a chop shop.

35 (b) NONAPPLICATION.—Subsection (a)(1) of this section does not apply to

36 a person establishing that in the exercise of reasonable care the person did

37 not have reason to know that the motor vehicle or major replacement part

38 was not in conformity with the standard.

39 § 33115. Civil penalties and enforcement

40 (a) GENERAL PENALTY AND CIVIL ACTIONS TO COLLECT.—(1) A person

41 that violates section 33114(a)(1)–(4) of this title is liable to the United States
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1 Government for a civil penalty of not more than $1,000 for each violation.

2 The failure of more than one part of a single motor vehicle to conform to an

3 applicable standard under section 33102 or 33103 of this title is only a single

4 violation. The maximum penalty under this subsection for a related series of

5 violations is $250,000.

6 (2) The Secretary of Transportation imposes a civil penalty under this sub7 section. The Secretary may compromise the amount of a penalty.

8 (3) In determining the amount of a civil penalty or compromise under this

9 subsection, the Secretary shall consider the size of the person’s business and

10 the gravity of the violation.

11 (4) The Attorney General shall bring a civil action in a United States dis12 trict court to collect a civil penalty imposed under this subsection.

13 (5) The Government may deduct the amount of a civil penalty imposed or

14 compromised under this subsection from amounts it owes the person liable for

15 the penalty.

16 (b) CHOP SHOP PENALTY AND ENFORCEMENT.—(1) A person that violates

17 section 33114(a)(5) of this title is liable to the Government for a civil penalty

18 of not more than $100,000 a day for each violation.

19 (2) As appropriate and in consultation with the Attorney General, the Sec20 retary shall—

21 (A) bring a civil action for a temporary or permanent injunction to

22 restrain a person violating section 33114(a)(5) of this section;

23 (B) impose and recover the penalty described in paragraph (1) of this

24 subsection; or

25 (C) take both the actions described in clauses (A) and (B) of this para26 graph.

27 (c) CIVIL ACTIONS TO ENFORCE.—(1) The Attorney General may bring a

28 civil action in a United States district court to enjoin a violation of this

29 chapter or the sale, offer for sale, introduction or delivery for introduction in

30 interstate commerce, or importation into the United States, of a passenger

31 motor vehicle containing a major part, or of a major replacement part, that

32 is subject to the standard and is determined before the sale of the vehicle or

33 part to a first purchaser not to conform to the standard.

34 (2)(A) When practicable, the Secretary—

35 (i) shall notify a person against whom an action under this subsection

36 is planned;

37 (ii) shall give the person an opportunity to present that person’s

38 views; and

39 (iii) except for a knowing and willful violation, shall give the person

40 a reasonable opportunity to comply.
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1 (B) The failure of the Secretary to comply with subparagraph (A) of this

2 paragraph does not prevent a court from granting appropriate relief.

3 (d) JURY TRIAL DEMAND.—In a trial for criminal contempt for violating

4 an injunction or restraining order issued under subsection (c) of this section,

5 the violation of which is also a violation of this chapter, the defendant may

6 demand a jury trial. The defendant shall be tried as provided in rule 42(b)

7 of the Federal Rules of Criminal Procedure (18 App. U.S.C.).

8 (e) VENUE.—A civil action under subsection (a) or (c) of this section may

9 be brought in the judicial district in which the violation occurred or the de10 fendant resides, is found, or transacts business. Process in the action may be

11 served in any other judicial district in which the defendant resides or is

12 found. A subpena for a witness in the action may be served in any judicial

13 district.

14 § 33116. Confidentiality of information

15 (a) GENERAL.—Information obtained by the Secretary of Transportation

16 under this chapter related to a confidential matter referred to in section 1905

17 of title 18 may be disclosed only—

18 (1) to another officer or employee of the United States Government for

19 use in carrying out this chapter; or

20 (2) in a proceeding under this chapter (except a proceeding under sec21 tion 33104(a)(3)).

22 (b) WITHHOLDING INFORMATION FROM CONGRESS.—This section does not

23 authorize information to be withheld from a committee of Congress authorized

24 to have the information.

25 § 33117. Judicial review

26 A person that may be adversely affected by a regulation prescribed under

27 this chapter may obtain judicial review of the regulation under section 32909

28 of this title. A remedy under this section is in addition to any other remedies

29 provided by law.

30 § 33118. Preemption of State and local law

31 When a motor vehicle theft prevention standard prescribed under section

32 33102 or 33103 of this title is in effect, a State or political subdivision of

33 a State may not have a different motor vehicle theft prevention standard for

34 a motor vehicle or major replacement part.

35 SUBTITLE VII—AVIATION PROGRAMS

PART A—AIR COMMERCE AND SAFETY

SUBPART I—GENERAL

CHAPTER Sec.

401. GENERAL PROVISIONS ...................................................................................... 40101

SUBPART II—ECONOMIC REGULATION

411. AIR CARRIER CERTIFICATES ......................................................................... 41101

413. FOREIGN AIR TRANSPORTATION .................................................................. 41301
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415. PRICING .................................................................................................................. 41501

417. OPERATIONS OF CARRIERS ............................................................................ 41701

419. TRANSPORTATION OF MAIL ............................................................................ 41901

421. LABOR-MANAGEMENT PROVISIONS .............................................................. 42101

SUBPART III—SAFETY

441. REGISTRATION AND RECORDATION OF AIRCRAFT ................................ 44101

443. INSURANCE ........................................................................................................... 44301

445. FACILITIES, PERSONNEL, AND RESEARCH ............................................... 44501

447. SAFETY REGULATION ........................................................................................ 44701

449. SECURITY ............................................................................................................... 44901

451. ALCOHOL AND CONTROLLED SUBSTANCES TESTING ........................... 45101

453. FEES ........................................................................................................................ 45301

SUBPART IV—ENFORCEMENT AND PENALTIES

461. INVESTIGATIONS AND PROCEEDINGS ......................................................... 46101

463. PENALTIES ............................................................................................................ 46301

465. SPECIAL AIRCRAFT JURISDICTION OF THE UNITED STATES ........... 46501

PART B—AIRPORT DEVELOPMENT AND NOISE

471. AIRPORT DEVELOPMENT ................................................................................. 47101

473. INTERNATIONAL AIRPORT FACILITIES ...................................................... 47301

475. NOISE ...................................................................................................................... 47501

PART C—FINANCING

481. AIRPORT AND AIRWAY TRUST FUND AUTHORIZATIONS ..................... 48101

PART D—MISCELLANEOUS

491. BUY-AMERICAN PREFERENCES ..................................................................... 49101

1 PART A—AIR COMMERCE AND SAFETY

2 SUBPART I—GENERAL

3 CHAPTER 401—GENERAL PROVISIONS

Sec.

40101. Policy.

40102. Definitions.

40103. Sovereignty and use of airspace.

40104. Promotion of civil aeronautics and air commerce.

40105. International negotiations, agreements, and obligations.

40106. Emergency powers.

40107. Presidential transfers.

40108. Training schools.

40109. Authority to exempt.

40110. General procurement authority.

40111. Multiyear procurement contracts for services and related items.

40112. Multiyear procurement contracts for property.

40113. Administrative.

40114. Reports and records.

40115. Withholding information.

40116. State taxation.

40117. Passenger facility fees.

40118. Government-financed air transportation.

40119. Security and research and development activities.

40120. Relationship to other laws.

4 § 40101. Policy

5 (a) ECONOMIC REGULATION.—In carrying out subpart II of this part and

6 those provisions of subpart IV applicable in carrying out subpart II, the Sec7 retary of Transportation shall consider the following matters, among others,

8 as being in the public interest and consistent with public convenience and ne9 cessity:
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1 (1) assigning and maintaining safety as the highest priority in air

2 commerce.

3 (2) before authorizing new air transportation services, evaluating the

4 safety implications of those services.

5 (3) preventing deterioration in established safety procedures, recogniz6 ing the clear intent, encouragement, and dedication of Congress to fur7 ther the highest degree of safety in air transportation and air commerce,

8 and to maintain the safety vigilance that has evolved in air transpor9 tation and air commerce and has come to be expected by the traveling

10 and shipping public.

11 (4) the availability of a variety of adequate, economic, efficient, and

12 low-priced services without unreasonable discrimination or unfair or de13 ceptive practices.

14 (5) coordinating transportation by, and improving relations among,

15 air carriers, and encouraging fair wages and working conditions.

16 (6) placing maximum reliance on competitive market forces and on

17 actual and potential competition—

18 (A) to provide the needed air transportation system; and

19 (B) to encourage efficient and well-managed air carriers to earn

20 adequate profits and attract capital, considering any material dif21 ferences between interstate air transportation and foreign air trans22 portation.

23 (7) developing and maintaining a sound regulatory system that is re24 sponsive to the needs of the public and in which decisions are reached

25 promptly to make it easier to adapt the air transportation system to the

26 present and future needs of—

27 (A) the commerce of the United States;

28 (B) the United States Postal Service; and

29 (C) the national defense.

30 (8) encouraging air transportation at major urban areas through sec31 ondary or satellite airports if consistent with regional airport plans of

32 regional and local authorities, and if endorsed by appropriate State au33 thorities—

34 (A) encouraging the transportation by air carriers that provide,

35 in a specific market, transportation exclusively at those airports;

36 and

37 (B) fostering an environment that allows those carriers to estab38 lish themselves and develop secondary or satellite airport services.

39 (9) preventing unfair, deceptive, predatory, or anticompetitive prac40 tices in air transportation.
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1 (10) avoiding unreasonable industry concentration, excessive market

2 domination, monopoly powers, and other conditions that would tend to

3 allow at least one air carrier or foreign air carrier unreasonably to in4 crease prices, reduce services, or exclude competition in air transpor5 tation.

6 (11) maintaining a complete and convenient system of continuous

7 scheduled interstate air transportation for small communities and iso8 lated areas with direct financial assistance from the United States Gov9 ernment when appropriate.

10 (12) encouraging, developing, and maintaining an air transportation

11 system relying on actual and potential competition—

12 (A) to provide efficiency, innovation, and low prices; and

13 (B) to decide on the variety and quality of, and determine prices

14 for, air transportation services.

15 (13) encouraging entry into air transportation markets by new and

16 existing air carriers and the continued strengthening of small air car17 riers to ensure a more effective and competitive airline industry.

18 (14) promoting, encouraging, and developing civil aeronautics and a

19 viable, privately-owned United States air transport industry.

20 (15) strengthening the competitive position of air carriers to at least

21 ensure equality with foreign air carriers, including the attainment of the

22 opportunity for air carriers to maintain and increase their profitability

23 in foreign air transportation.

24 (b) ALL-CARGO AIR TRANSPORTATION CONSIDERATIONS.—In carrying out

25 subpart II of this part and those provisions of subpart IV applicable in carry26 ing out subpart II, the Secretary of Transportation shall consider the follow27 ing matters, among others and in addition to the matters referred to in sub28 section (a) of this section, as being in the public interest for all-cargo air

29 transportation:

30 (1) encouraging and developing an expedited all-cargo air transpor31 tation system provided by private enterprise and responsive to—

32 (A) the present and future needs of shippers;

33 (B) the commerce of the United States; and

34 (C) the national defense.

35 (2) encouraging and developing an integrated transportation system

36 relying on competitive market forces to decide the extent, variety, qual37 ity, and price of services provided.

38 (3) providing services without unreasonable discrimination, unfair or

39 deceptive practices, or predatory pricing.

40 (c) GENERAL SAFETY CONSIDERATIONS.—In carrying out subpart III of

41 this part and those provisions of subpart IV applicable in carrying out sub-
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1 part III, the Administrator of the Federal Aviation Administration shall con2 sider the following matters:

3 (1) the requirements of national defense and commercial and general

4 aviation.

5 (2) the public right of freedom of transit through the navigable air6 space.

7 (d) SAFETY CONSIDERATIONS IN PUBLIC INTEREST.—In carrying out sub8 part III of this part and those provisions of subpart IV applicable in carry9 ing out subpart III, the Administrator shall consider the following matters,

10 among others, as being in the public interest:

11 (1) regulating air commerce in a way that best promotes its develop12 ment and safety and fulfills national defense requirements.

13 (2) promoting, encouraging, and developing civil aeronautics.

14 (3) controlling the use of the navigable airspace and regulating civil

15 and military operations in that airspace in the interest of the safety and

16 efficiency of both of those operations.

17 (4) consolidating research and development for air navigation facili18 ties and the installation and operation of those facilities.

19 (5) developing and operating a common system of air traffic control

20 and navigation for military and civil aircraft.

21 (6) providing assistance to law enforcement agencies in the enforce22 ment of laws related to regulation of controlled substances, to the extent

23 consistent with aviation safety.

24 (e) INTERNATIONAL AIR TRANSPORTATION.—In formulating United States

25 international air transportation policy, the Secretaries of State and Trans26 portation shall develop a negotiating policy emphasizing the greatest degree

27 of competition compatible with a well-functioning international air transpor28 tation system, including the following:

29 (1) strengthening the competitive position of air carriers to ensure at

30 least equality with foreign air carriers, including the attainment of the

31 opportunity for air carriers to maintain and increase their profitability

32 in foreign air transportation.

33 (2) freedom of air carriers and foreign air carriers to offer prices that

34 correspond to consumer demand.

35 (3) the fewest possible restrictions on charter air transportation.

36 (4) the maximum degree of multiple and permissive international au37 thority for air carriers so that they will be able to respond quickly to

38 a shift in market demand.

39 (5) eliminating operational and marketing restrictions to the greatest

40 extent possible.

41 (6) integrating domestic and international air transportation.
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1 (7) increasing the number of nonstop United States gateway cities.

2 (8) opportunities for carriers of foreign countries to increase their ac3 cess to places in the United States if exchanged for benefits of similar

4 magnitude for air carriers or the traveling public with permanent link5 age between rights granted and rights given away.

6 (9) eliminating discrimination and unfair competitive practices faced

7 by United States airlines in foreign air transportation, including—

8 (A) excessive landing and user fees;

9 (B) unreasonable ground handling requirements;

10 (C) unreasonable restrictions on operations;

11 (D) prohibitions against change of gauge; and

12 (E) similar restrictive practices.

13 (10) promoting, encouraging, and developing civil aeronautics and a

14 viable, privately-owned United States air transport industry.

15 (f) STRENGTHENING COMPETITION.—In selecting an air carrier to provide

16 foreign air transportation from among competing applicants, the Secretary

17 of Transportation shall consider, in addition to the matters specified in sub18 sections (a) and (b) of this section, the strengthening of competition among

19 air carriers operating in the United States to prevent unreasonable concentra20 tion in the air carrier industry.

21 § 40102. Definitions

22 (a) GENERAL DEFINITIONS.—In this part—

23 (1) ‘‘aeronautics’’ means the science and art of flight.

24 (2) ‘‘air carrier’’ means a citizen of the United States undertaking by

25 any means, directly or indirectly, to provide air transportation.

26 (3) ‘‘air commerce’’ means foreign air commerce, interstate air com27 merce, the transportation of mail by aircraft, the operation of aircraft

28 within the limits of a Federal airway, or the operation of aircraft that

29 directly affects, or may endanger safety in, foreign or interstate air com30 merce.

31 (4) ‘‘air navigation facility’’ means a facility used, available for use,

32 or designed for use, in aid of air navigation, including—

33 (A) a landing area;

34 (B) a light;

35 (C) apparatus or equipment for distributing weather information,

36 signaling, radio-directional finding, or radio or other electro37 magnetic communication; and

38 (D) another structure or mechanism for guiding or controlling

39 flight in the air or the landing and takeoff of aircraft.

40 (5) ‘‘air transportation’’ means foreign air transportation, interstate

41 air transportation, or the transportation of mail by aircraft.
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1 (6) ‘‘aircraft’’ means any contrivance invented, used, or designed to

2 navigate, or fly in, the air.

3 (7) ‘‘aircraft engine’’ means an engine used, or intended to be used,

4 to propel an aircraft, including a part, appurtenance, and accessory of

5 the engine, except a propeller.

6 (8) ‘‘airman’’ means an individual—

7 (A) in command, or as pilot, mechanic, or member of the crew,

8 who navigates aircraft when under way;

9 (B) except to the extent the Administrator of the Federal Aviation

10 Administration may provide otherwise for individuals employed

11 outside the United States, who is directly in charge of inspecting,

12 maintaining, overhauling, or repairing aircraft, aircraft engines,

13 propellers, or appliances; or

14 (C) who serves as an aircraft dispatcher or air traffic control15 tower operator.

16 (9) ‘‘airport’’ means a landing area used regularly by aircraft for re17 ceiving or discharging passengers or cargo.

18 (10) ‘‘all-cargo air transportation’’ means the transportation by air19 craft in interstate air transportation of only property or only mail, or

20 both.

21 (11) ‘‘appliance’’ means an instrument, equipment, apparatus, a part,

22 an appurtenance, or an accessory used, capable of being used, or in23 tended to be used, in operating or controlling aircraft in flight, including

24 a parachute, communication equipment, and another mechanism in25 stalled in or attached to aircraft during flight, and not a part of an air26 craft, aircraft engine, or propeller.

27 (12) ‘‘cargo’’ means property, mail, or both.

28 (13) ‘‘charter air carrier’’ means an air carrier holding a certificate

29 of public convenience and necessity that authorizes it to provide charter

30 air transportation.

31 (14) ‘‘charter air transportation’’ means charter trips in air transpor32 tation authorized under this part.

33 (15) ‘‘citizen of the United States’’ means—

34 (A) an individual who is a citizen of the United States;

35 (B) a partnership each of whose partners is an individual who

36 is a citizen of the United States; or

37 (C) a corporation or association organized under the laws of the

38 United States or a State, the District of Columbia, or a territory

39 or possession of the United States, of which the president and at

40 least two-thirds of the board of directors and other managing offi41 cers are citizens of the United States, and in which at least 75 per-
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1 cent of the voting interest is owned or controlled by persons that are

2 citizens of the United States.

3 (16) ‘‘civil aircraft’’ means an aircraft except a public aircraft.

4 (17) ‘‘civil aircraft of the United States’’ means an aircraft registered

5 under chapter 441 of this title.

6 (18) ‘‘conditional sales contract’’ means a contract—

7 (A) for the sale of an aircraft, aircraft engine, propeller, appli8 ance, or spare part, under which the buyer takes possession of the

9 property but title to the property vests in the buyer at a later time

10 on—

11 (i) paying any part of the purchase price;

12 (ii) performing another condition; or

13 (iii) the happening of a contingency; or

14 (B) to bail or lease an aircraft, aircraft engine, propeller, appli15 ance, or spare part, under which the bailee or lessee—

16 (i) agrees to pay an amount substantially equal to the value

17 of the property; and

18 (ii) is to become, or has the option of becoming, the owner

19 of the property on complying with the contract.

20 (19) ‘‘conveyance’’ means an instrument, including a conditional sales

21 contract, affecting title to, or an interest in, property.

22 (20) ‘‘Federal airway’’ means a part of the navigable airspace that

23 the Administrator designates as a Federal airway.

24 (21) ‘‘foreign air carrier’’ means a person, not a citizen of the United

25 States, undertaking by any means, directly or indirectly, to provide for26 eign air transportation.

27 (22) ‘‘foreign air commerce’’ means the transportation of passengers

28 or property by aircraft for compensation, the transportation of mail by

29 aircraft, or the operation of aircraft in furthering a business or vocation,

30 between a place in the United States and a place outside the United

31 States when any part of the transportation or operation is by aircraft.

32 (23) ‘‘foreign air transportation’’ means the transportation of pas33 sengers or property by aircraft as a common carrier for compensation,

34 or the transportation of mail by aircraft, between a place in the United

35 States and a place outside the United States when any part of the trans36 portation is by aircraft.

37 (24) ‘‘interstate air commerce’’ means the transportation of passengers

38 or property by aircraft for compensation, the transportation of mail by

39 aircraft, or the operation of aircraft in furthering a business or voca40 tion—

41 (A) between a place in—
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1 (i) a State, territory, or possession of the United States and

2 a place in the District of Columbia or another State, territory,

3 or possession of the United States;

4 (ii) a State and another place in the same State through the

5 airspace over a place outside the State;

6 (iii) the District of Columbia and another place in the Dis7 trict of Columbia; or

8 (iv) a territory or possession of the United States and an9 other place in the same territory or possession; and

10 (B) when any part of the transportation or operation is by air11 craft.

12 (25) ‘‘interstate air transportation’’ means the transportation of pas13 sengers or property by aircraft as a common carrier for compensation,

14 or the transportation of mail by aircraft—

15 (A) between a place in—

16 (i) a State, territory, or possession of the United States and

17 a place in the District of Columbia or another State, territory,

18 or possession of the United States;

19 (ii) Hawaii and another place in Hawaii through the air20 space over a place outside Hawaii;

21 (iii) the District of Columbia and another place in the Dis22 trict of Columbia; or

23 (iv) a territory or possession of the United States and an24 other place in the same territory or possession; and

25 (B) when any part of the transportation is by aircraft.

26 (26) ‘‘intrastate air carrier’’ means a citizen of the United States un27 dertaking by any means to provide only intrastate air transportation.

28 (27) ‘‘intrastate air transportation’’ means the transportation by a

29 common carrier of passengers or property for compensation, entirely in

30 the same State, by turbojet-powered aircraft capable of carrying at least

31 30 passengers.

32 (28) ‘‘landing area’’ means a place on land or water, including an

33 airport or intermediate landing field, used, or intended to be used, for

34 the takeoff and landing of aircraft, even when facilities are not provided

35 for sheltering, servicing, or repairing aircraft, or for receiving or dis36 charging passengers or cargo.

37 (29) ‘‘mail’’ means United States mail and foreign transit mail.

38 (30) ‘‘navigable airspace’’ means airspace above the minimum alti39 tudes of flight prescribed by regulations under subparts I and III of this

40 part, including airspace needed to ensure safety in the takeoff and land41 ing of aircraft.
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1 (31) ‘‘navigate aircraft’’ and ‘‘navigation of aircraft’’ include piloting

2 aircraft.

3 (32) ‘‘operate aircraft’’ and ‘‘operation of aircraft’’ mean using air4 craft for the purposes of air navigation, including—

5 (A) the navigation of aircraft; and

6 (B) causing or authorizing the operation of aircraft with or with7 out the right of legal control of the aircraft.

8 (33) ‘‘person’’, in addition to its meaning under section 1 of title 1,

9 includes a governmental authority and a trustee, receiver, assignee, and

10 other similar representative.

11 (34) ‘‘predatory’’ means a practice that violates the antitrust laws as

12 defined in the first section of the Clayton Act (15 U.S.C. 12).

13 (35) ‘‘price’’ means a rate, fare, or charge for air transportation.

14 (36) ‘‘propeller’’ includes a part, appurtenance, and accessory of a

15 propeller.

16 (37) ‘‘public aircraft’’—

17 (A) means an aircraft—

18 (i) used only for the United States Government; or

19 (ii) owned and operated (except for commercial purposes), or

20 exclusively leased for at least 90 continuous days, by a govern21 ment (except the United States Government), including a

22 State, the District of Columbia, or a territory or possession of

23 the United States, or political subdivision of that government;

24 but

25 (B) does not include a government-owned aircraft transporting

26 passengers or property for commercial purposes.

27 (38) ‘‘spare part’’ means an accessory, appurtenance, or part of an

28 aircraft (except an aircraft engine or propeller), aircraft engine (except

29 a propeller), propeller, or appliance, that is to be installed at a later

30 time in an aircraft, aircraft engine, propeller, or appliance.

31 (39) ‘‘State authority’’ means an authority of a State designated

32 under State law—

33 (A) to receive notice required to be given a State authority under

34 subpart II of this part; or

35 (B) as the representative of the State before the Secretary of

36 Transportation in any matter about which the Secretary is required

37 to consult with or consider the views of a State authority under sub38 part II of this part.

39 (40) ‘‘ticket agent’’ means a person (except an air carrier, a foreign

40 air carrier, or an employee of an air carrier or foreign air carrier) that
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1 as a principal or agent sells, offers for sale, negotiates for, or holds itself

2 out as selling, providing, or arranging for, air transportation.

3 (41) ‘‘United States’’ means the States of the United States, the Dis4 trict of Columbia, and the territories and possessions of the United

5 States, including the territorial sea and the overlying airspace.

6 (b) LIMITED DEFINITION.—In subpart II of this part, ‘‘control’’ means con7 trol by any means.

8 § 40103. Sovereignty and use of airspace

9 (a) SOVEREIGNTY AND PUBLIC RIGHT OF TRANSIT.—(1) The United States

10 Government has exclusive sovereignty of airspace of the United States.

11 (2) A citizen of the United States has a public right of transit through the

12 navigable airspace. To further that right, the Secretary of Transportation

13 shall consult with the Architectural and Transportation Barriers Compliance

14 Board established under section 502 of the Rehabilitation Act of 1973 (29

15 U.S.C. 792) before prescribing a regulation or issuing an order or procedure

16 that will have a significant impact on the accessibility of commercial airports

17 or commercial air transportation for handicapped individuals.

18 (b) USE OF AIRSPACE.—(1) The Administrator of the Federal Aviation Ad19 ministration shall develop plans and policy for the use of the navigable air20 space and assign by regulation or order the use of the airspace necessary to

21 ensure the safety of aircraft and the efficient use of airspace. The Adminis22 trator may modify or revoke an assignment when required in the public inter23 est.

24 (2) The Administrator shall prescribe air traffic regulations on the flight

25 of aircraft (including regulations on safe altitudes) for—

26 (A) navigating, protecting, and identifying aircraft;

27 (B) protecting individuals and property on the ground;

28 (C) using the navigable airspace efficiently; and

29 (D) preventing collision between aircraft, between aircraft and land or

30 water vehicles, and between aircraft and airborne objects.

31 (3) To establish security provisions that will encourage and allow maxi32 mum use of the navigable airspace by civil aircraft consistent with national

33 security, the Administrator, in consultation with the Secretary of Defense,

34 shall—

35 (A) establish areas in the airspace the Administrator decides are nec36 essary in the interest of national defense; and

37 (B) by regulation or order, restrict or prohibit flight of civil aircraft

38 that the Administrator cannot identify, locate, and control with available

39 facilities in those areas.
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1 (4) Notwithstanding the military exception in section 553(a)(1) of title 5,

2 subchapter II of chapter 5 of title 5 applies to a regulation prescribed under

3 this subsection.

4 (c) FOREIGN AIRCRAFT.—A foreign aircraft, not part of the armed forces

5 of a foreign country, may be navigated in the United States as provided in

6 section 41703 of this title.

7 (d) AIRCRAFT OF ARMED FORCES OF FOREIGN COUNTRIES.—Aircraft of

8 the armed forces of a foreign country may be navigated in the United States

9 only when authorized by the Secretary of State.

10 (e) NO EXCLUSIVE RIGHTS AT CERTAIN FACILITIES.—A person does not

11 have an exclusive right to use an air navigation facility on which Govern12 ment money has been expended. However, providing services at an airport by

13 only one fixed-based operator is not an exclusive right if—

14 (1) it is unreasonably costly, burdensome, or impractical for more

15 than one fixed-based operator to provide the services; and

16 (2) allowing more than one fixed-based operator to provide the services

17 requires a reduction in space leased under an agreement existing on Sep18 tember 3, 1982, between the operator and the airport.

19 § 40104. Promotion of civil aeronautics and air commerce

20 The Administrator of the Federal Aviation Administration shall encourage

21 the development of civil aeronautics and air commerce in and outside the

22 United States. In carrying out this section, the Administrator shall take ac23 tion that the Administrator considers necessary to establish, within available

24 resources, a program to distribute civil aviation information in each region

25 served by the Administration. The program shall provide, on request, infor26 mational material and expertise on civil aviation to State and local school

27 administrators, college and university officials, and officers of other interested

28 organizations.

29 § 40105. International negotiations, agreements, and obliga30 tions

31 (a) ADVICE AND CONSULTATION.—The Secretary of State shall advise the

32 Administrator of the Federal Aviation Administration and the Secretaries of

33 Transportation and Commerce, and consult with them as appropriate, about

34 negotiations for an agreement with a government of a foreign country to es35 tablish or develop air navigation, including air routes and services. The Sec36 retary of Transportation shall consult with the Secretary of State in carrying

37 out this part to the extent this part is related to foreign air transportation.

38 (b) ACTIONS OF SECRETARY AND ADMINISTRATOR.—(1) In carrying out

39 this part, the Secretary of Transportation and the Administrator—

40 (A) shall act consistently with obligations of the United States Govern41 ment under an international agreement;
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1 (B) shall consider applicable laws and requirements of a foreign coun2 try; and

3 (C) may not limit compliance by an air carrier with obligations or

4 liabilities imposed by the government of a foreign country when the Sec5 retary takes any action related to a certificate of public convenience and

6 necessity issued under chapter 411 of this title.

7 (2) This subsection does not apply to an agreement between an air carrier

8 or an officer or representative of an air carrier and the government of a for9 eign country, if the Secretary of Transportation disapproves the agreement

10 because it is not in the public interest. Section 40106(b)(2) of this title ap11 plies to this subsection.

12 (c) CONSULTATION ON INTERNATIONAL AIR TRANSPORTATION POLICY.—In

13 carrying out section 40101(e) of this title, the Secretaries of State and Trans14 portation, to the maximum extent practicable, shall consult on broad policy

15 goals and individual negotiations with—

16 (1) the Secretaries of Commerce and Defense;

17 (2) airport operators;

18 (3) scheduled air carriers;

19 (4) charter air carriers;

20 (5) airline labor;

21 (6) consumer interest groups;

22 (7) travel agents and tour organizers; and

23 (8) other groups, institutions, and governmental authorities affected by

24 international aviation policy.

25 (d) CONGRESSIONAL OBSERVERS AT INTERNATIONAL AVIATION NEGOTIA26 TIONS.—The President shall grant to at least one representative of each House

27 of Congress the privilege of attending international aviation negotiations as

28 an observer if the privilege is requested in advance in writing.

29 § 40106. Emergency powers

30 (a) DEVIATIONS FROM REGULATIONS.—Appropriate military authority

31 may authorize aircraft of the armed forces of the United States to deviate

32 from air traffic regulations prescribed under section 40103(b)(1) and (2) of

33 this title when the authority decides the deviation is essential to the national

34 defense because of a military emergency or urgent military necessity. The au35 thority shall—

36 (1) give the Administrator of the Federal Aviation Administration

37 prior notice of the deviation at the earliest practicable time; and

38 (2) to the extent time and circumstances allow, make every reasonable

39 effort to consult with the Administrator and arrange for the deviation

40 in advance on a mutually agreeable basis.
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1 (b) SUSPENSION OF AUTHORITY.—(1) When the President decides that the

2 government of a foreign country is acting inconsistently with the Convention

3 for the Suppression of Unlawful Seizure of Aircraft or that the government

4 of a foreign country allows territory under its jurisdiction to be used as a

5 base of operations or training of, or as a sanctuary for, or arms, aids, or

6 abets, a terrorist organization that knowingly uses the unlawful seizure, or

7 the threat of an unlawful seizure, of an aircraft as an instrument of policy,

8 the President may suspend the authority of—

9 (A) an air carrier or foreign air carrier to provide foreign air trans10 portation to and from that foreign country;

11 (B) a person to operate aircraft in foreign air commerce to and from

12 that foreign country;

13 (C) a foreign air carrier to provide foreign air transportation between

14 the United States and another country that maintains air service with

15 the foreign country; and

16 (D) a foreign person to operate aircraft in foreign air commerce be17 tween the United States and another country that maintains air service

18 with the foreign country.

19 (2) The President may act under this subsection without notice or a hear20 ing. The suspension remains in effect for as long as the President decides is

21 necessary to ensure the security of aircraft against unlawful seizure. Notwith22 standing section 40105(b) of this title, the authority of the President to sus23 pend rights under this subsection is a condition to a certificate of public con24 venience and necessity, air carrier operating certificate, foreign air carrier or

25 foreign aircraft permit, or foreign air carrier operating specification issued

26 by the Secretary of Transportation under this part.

27 (3) An air carrier or foreign air carrier may not provide foreign air trans28 portation, and a person may not operate aircraft in foreign air commerce,

29 in violation of a suspension of authority under this subsection.

30 § 40107. Presidential transfers

31 (a) GENERAL AUTHORITY.—The President may transfer to the Adminis32 trator of the Federal Aviation Administration a duty, power, activity, or fa33 cility of a department, agency, or instrumentality of the executive branch of

34 the United States Government, or an officer or unit of a department, agency,

35 or instrumentality of the executive branch, related primarily to selecting, de36 veloping, testing, evaluating, establishing, operating, or maintaining a sys37 tem, procedure, facility, or device for safe and efficient air navigation and

38 air traffic control. In making a transfer, the President may transfer records

39 and property and make officers and employees from the department, agency,

40 instrumentality, or unit available to the Administrator.
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1 (b) DURING WAR.—If war occurs, the President by executive order may

2 transfer to the Secretary of Defense a duty, power, activity, or facility of the

3 Administrator. In making the transfer, the President may transfer records,

4 property, officers, and employees of the Administration to the Department of

5 Defense.

6 § 40108. Training schools

7 (a) AUTHORITY TO OPERATE.—The Administrator of the Federal Aviation

8 Administration may operate schools to train officers and employees of the Ad9 ministration to carry out duties, powers, and activities of the Administrator.

10 (b) ATTENDANCE.—The Administrator may authorize officers and employ11 ees of other departments, agencies, or instrumentalities of the United States

12 Government, officers and employees of governments of foreign countries, and

13 individuals from the aeronautics industry to attend those schools. However,

14 if the attendance of any of those officers, employees, or individuals increases

15 the cost of operating the schools, the Administrator may require the payment

16 or transfer of amounts or other consideration to offset the additional cost. The

17 amount received may be credited to the appropriation current when the ex18 penditures are or were paid, the appropriation current when the amount is

19 received, or both.

20 § 40109. Authority to exempt

21 (a) AIR CARRIERS AND FOREIGN AIR CARRIERS NOT ENGAGED DIRECTLY

22 IN OPERATING AIRCRAFT.—(1) The Secretary of Transportation may exempt

23 from subpart II of this part—

24 (A) an air carrier not engaged directly in operating aircraft in air

25 transportation; or

26 (B) a foreign air carrier not engaged directly in operating aircraft in

27 foreign air transportation.

28 (2) The exemption is effective to the extent and for periods that the Sec29 retary decides are in the public interest.

30 (b) SAFETY REGULATION.—The Administrator of the Federal Aviation Ad31 ministration may grant an exemption from a regulation prescribed in carry32 ing out sections 40103(b)(1) and (2), 40119, 44901, 44903, 44906, and

33 44935–44937 of this title when the Administrator decides the exemption is in

34 the public interest.

35 (c) OTHER ECONOMIC REGULATION.—Except as provided in this section,

36 the Secretary may exempt to the extent the Secretary considers necessary a

37 person or class of persons from a provision of chapter 411, sections 41301–

38 41306, 41308–41310(a), 41501, 41503, 41504, 41506, 41510, 41511, 41701,

39 41702, 41705–41709, 41711, 41712, and 41731–41742, chapter 419, sub40 chapter II of chapter 421, and section 46301(b) of this title, or a regulation
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1 or term prescribed under any of those provisions, when the Secretary decides

2 that the exemption is consistent with the public interest.

3 (d) LABOR REQUIREMENTS.—The Secretary may not exempt an air carrier

4 from section 42112 of this title. However, the Secretary may exempt from sec5 tion 42112(b)(1) and (2) an air carrier not providing scheduled air transpor6 tation, and the operations conducted during daylight hours by an air carrier

7 providing scheduled air transportation, when the Secretary decides that—

8 (1) because of the limited extent of, or unusual circumstances affecting,

9 the operation of the air carrier, the enforcement of section 42112(b)(1)

10 and (2) of this title is or would be an unreasonable burden on the air

11 carrier that would obstruct its development and prevent it from begin12 ning or continuing operations; and

13 (2) the exemption would not affect adversely the public interest.

14 (e) MAXIMUM FLYING HOURS.—The Secretary may not exempt an air car15 rier under this section from a provision referred to in subsection (c) of this

16 section, or a regulation or term prescribed under any of those provisions, that

17 sets maximum flying hours for pilots or copilots.

18 (f) SMALLER AIRCRAFT.—(1) An air carrier is exempt from section

19 41101(a)(1) of this title, and the Secretary may exempt an air carrier from

20 another provision of subpart II of this part, if the air carrier—

21 (A)(i) provides passenger transportation only with aircraft having a

22 maximum capacity of 55 passengers; or

23 (ii) provides the transportation of cargo only with aircraft having a

24 maximum payload of less than 18,000 pounds; and

25 (B) complies with liability insurance requirements and other regula26 tions the Secretary prescribes.

27 (2) The Secretary may increase the passenger or payload capacities when

28 the public interest requires.

29 (3)(A) An exemption under this subsection applies to an air carrier provid30 ing air transportation between 2 places in Alaska, or between Alaska and

31 Canada, only if the carrier is authorized by Alaska to provide the transpor32 tation.

33 (B) The Secretary may limit the number or location of places that may

34 be served by an air carrier providing transportation only in Alaska under

35 an exemption from section 41101(a)(1) of this title, or the frequency with

36 which the transportation may be provided, only when the Secretary decides

37 that providing the transportation substantially impairs the ability of an air

38 carrier holding a certificate issued by the Secretary to provide its authorized

39 transportation, including the minimum transportation requirement for Alas40 ka specified under section 41732(b)(1)(B) of this title.
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1 (g) EMERGENCY AIR TRANSPORTATION BY FOREIGN AIR CARRIERS.—(1)

2 To the extent that the Secretary decides an exemption is in the public interest,

3 the Secretary may exempt by order a foreign air carrier from the require4 ments and limitations of this part for not more than 30 days to allow the

5 foreign air carrier to carry passengers or cargo in interstate air transpor6 tation in certain markets if the Secretary finds that—

7 (A) because of an emergency created by unusual circumstances not

8 arising in the normal course of business, air carriers holding certificates

9 under section 41102 of this title cannot accommodate traffic in those

10 markets;

11 (B) all possible efforts have been made to accommodate the traffic by

12 using the resources of the air carriers, including the use of—

13 (i) foreign aircraft, or sections of foreign aircraft, under lease or

14 charter to the air carriers; and

15 (ii) the air carriers’ reservations systems to the extent practicable;

16 (C) the exemption is necessary to avoid unreasonable hardship for the

17 traffic in the markets that cannot be accommodated by the air carriers;

18 and

19 (D) granting the exemption will not result in an unreasonable advan20 tage to any party in a labor dispute where the inability to accommodate

21 traffic in a market is a result of the dispute.

22 (2) When the Secretary grants an exemption to a foreign air carrier under

23 this subsection, the Secretary shall—

24 (A) ensure that air transportation that the foreign air carrier provides

25 under the exemption is made available on reasonable terms;

26 (B) monitor continuously the passenger load factor of air carriers in

27 the market that hold certificates under section 41102 of this title; and

28 (C) review the exemption at least every 30 days to ensure that the un29 usual circumstances that established the need for the exemption still exist.

30 (3) The Secretary may renew an exemption (including renewals) under this

31 subsection for not more than 30 days. An exemption may continue for not

32 more than 5 days after the unusual circumstances that established the need

33 for the exemption cease.

34 (h) NOTICE AND OPPORTUNITY FOR HEARING.—The Secretary may act

35 under subsections (d) and (f)(3)(B) of this section only after giving the air

36 carrier notice and an opportunity for a hearing.

37 § 40110. General procurement authority

38 (a) GENERAL.—In carrying out this part, the Administrator of the Federal

39 Aviation Administration may—

40 (1) acquire, to the extent that amounts are available for obligation,

41 services or an interest in property, including an interest in airspace im-
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1 mediately adjacent to and needed for airports and other air navigation

2 facilities owned by the United States Government and operated by the

3 Administrator;

4 (2) dispose of an interest in property for adequate compensation; and

5 (3) construct and improve laboratories and other test facilities.

6 (b) DUTIES AND POWERS.—When carrying out subsection (a) of this sec7 tion, the Administrator of the Federal Aviation Administration—

8 (1) is the senior procurement executive referred to in section 16(3) of

9 the Office of Federal Procurement Policy Act (41 U.S.C. 414(3)) for ap10 proving the justification for using procedures other than competitive pro11 cedures, as required under section 303(f)(1)(B)(iii) of the Federal Prop12 erty and Administrative Services Act of 1949 (41 U.S.C.

13 253(f)(1)(B)(iii)); and

14 (2) may—

15 (A) lease an interest in property for not more than 20 years;

16 (B) consider the reasonable probable future use of the underlying

17 land in making an award for a condemnation of an interest in air18 space;

19 (C) construct, or acquire an interest in, a public building (as de20 fined in section 13 of the Public Buildings Act of 1959 (40 U.S.C.

21 612)) only under a delegation of authority from the Administrator

22 of General Services;

23 (D) use procedures other than competitive procedures, as provided

24 under section 303(c) of the Federal Property and Administrative

25 Services Act of 1949 (41 U.S.C. 253(c));

26 (E) use procedures other than competitive procedures only when

27 the property or services needed by the Administrator of the Federal

28 Aviation Administration are available from only one responsible

29 source or only from a limited number of responsible sources and no

30 other type of property or services will satisfy the needs of the Ad31 ministrator; and

32 (F) dispose of property under subsection (a)(2) of this section, ex33 cept for airport and airway property and technical equipment used

34 for the special purposes of the Administration, only under title II

35 of the Federal Property and Administrative Services Act of 1949

36 (40 U.S.C. 481 et seq.).

37 § 40111. Multiyear procurement contracts for services and re38 lated items

39 (a) GENERAL AUTHORITY.—Notwithstanding section 1341(a)(1)(B) of title

40 31, the Administrator of the Federal Aviation Administration may make a

41 contract of not more than 5 years for the following types of services and items
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1 of supply related to those services for which amounts otherwise would be

2 available for obligation only in the fiscal year for which appropriated:

3 (1) operation, maintenance, and support of facilities and installations.

4 (2) operation, maintenance, and modification of aircraft, vehicles, and

5 other highly complex equipment.

6 (3) specialized training requiring high quality instructor skills, in7 cluding training of pilots and aircrew members and foreign language

8 training.

9 (4) base services, including ground maintenance, aircraft refueling,

10 bus transportation, and refuse collection and disposal.

11 (b) REQUIRED FINDINGS.—The Administrator may make a contract under

12 this section only if the Administrator finds that—

13 (1) there will be a continuing requirement for the service consistent

14 with current plans for the proposed contract period;

15 (2) providing the service will require a substantial initial investment

16 in plant or equipment, or will incur a substantial contingent liability

17 for assembling, training, or transporting a specialized workforce; and

18 (3) the contract will promote the best interests of the United States

19 by encouraging effective competition and promoting economies in oper20 ation.

21 (c) CONSIDERATIONS.—When making a contract under this section, the Ad22 ministrator shall be guided by the following:

23 (1) The part of the cost of a plant or equipment amortized as a cost

24 of contract performance may not be more than the ratio between the pe25 riod of contract performance and the anticipated useful commercial life

26 (instead of physical life) of the plant or equipment, considering the loca27 tion and specialized nature of the plant or equipment, obsolescence, and

28 other similar factors.

29 (2) The Administrator shall consider the desirability of—

30 (A) obtaining an option to renew the contract for a reasonable

31 period of not more than 3 years, at a price that does not include

32 charges for nonrecurring costs already amortized; and

33 (B) reserving in the Administrator the right, on payment of the

34 unamortized part of the cost of the plant or equipment, to take title

35 to the plant or equipment under appropriate circumstances.

36 (d) ENDING CONTRACTS.—A contract made under this section shall be

37 ended if amounts are not made available to continue the contract into a sub38 sequent fiscal year. The cost of ending the contract may be paid from—

39 (1) an appropriation originally available for carrying out the con40 tract;
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1 (2) an appropriation currently available for procuring the type of

2 service concerned and not otherwise obligated; or

3 (3) amounts appropriated for payments to end the contract.

4 § 40112. Multiyear procurement contracts for property

5 (a) GENERAL AUTHORITY.—Notwithstanding section 1341(a)(1)(B) of title

6 31 and to the extent that amounts otherwise are available for obligation, the

7 Administrator of the Federal Aviation Administration may make a contract

8 of more than one but not more than 5 fiscal years to purchase property, ex9 cept a contract to construct, alter, or make a major repair or improvement

10 to real property or a contract to purchase property to which section 111 of

11 the Federal Property and Administrative Services Act of 1949 (40 U.S.C.

12 759) applies.

13 (b) REQUIRED FINDINGS.—The Administrator may make a contract under

14 this section if the Administrator finds that—

15 (1) the contract will promote the safety or efficiency of the national

16 airspace system and will result in reduced total contract costs;

17 (2) the minimum need for the property to be purchased is expected to

18 remain substantially unchanged during the proposed contract period in

19 terms of production rate, procurement rate, and total quantities;

20 (3) there is a reasonable expectation that throughout the proposed con21 tract period the Administrator will request appropriations for the con22 tract at the level required to avoid cancellation;

23 (4) there is a stable design for the property to be acquired and the

24 technical risks associated with the property are not excessive; and

25 (5) the estimates of the contract costs and the anticipated savings from

26 the contract are realistic.

27 (c) REGULATIONS.—The Administrator shall prescribe regulations for ac28 quiring property under this section to promote the use of contracts under this

29 section in a way that will allow the most efficient use of those contracts. The

30 regulations may provide for a cancellation provision in the contract to the

31 extent the provision is necessary and in the best interest of the United States.

32 The provision may include consideration of recurring and nonrecurring costs

33 of the contractor associated with producing the item to be delivered under the

34 contract. The regulations shall provide that, to the extent practicable—

35 (1) to broaden the aviation industrial base—

36 (A) a contract under this section shall be used to seek, retain, and

37 promote the use under that contract of subcontractors, vendors, or

38 suppliers; and

39 (B) on accrual of a payment or other benefit accruing on a con40 tract under this section to a subcontractor, vendor, or supplier par-
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1 ticipating in the contract, the payment or benefit shall be delivered

2 in the most expeditious way practicable; and

3 (2) this section and regulations prescribed under this section may not

4 be carried out in a way that precludes or curtails the existing ability

5 of the Administrator to provide for—

6 (A) competition in producing items to be delivered under a con7 tract under this section; or

8 (B) ending a prime contract when performance is deficient with

9 respect to cost, quality, or schedule.

10 (d) CONTRACT PROVISIONS.—(1) A contract under this section may—

11 (A) be used for the advance procurement of components, parts, and

12 material necessary to manufacture equipment to be used in the national

13 airspace system;

14 (B) provide that performance under the contract after the first year

15 is subject to amounts being appropriated; and

16 (C) contain a negotiated priced option for varying the number of end

17 items to be procured over the period of the contract.

18 (2) If feasible and practicable, an advance procurement contract may be

19 made to achieve economic-lot purchases and more efficient production rates.

20 (e) CANCELLATION PAYMENT AND NOTICE OF CANCELLATION CEILING.—(1)

21 If a contract under this section provides that performance is subject to an

22 appropriation being made, it also may provide for a cancellation payment

23 to be made to the contractor if the appropriation is not made.

24 (2) Before awarding a contract under this section containing a cancellation

25 ceiling of more than $100,000,000, the Administrator shall give written notice

26 of the proposed contract and cancellation ceiling to the Committee on Com27 merce, Science, and Transportation of the Senate and the Committee on Pub28 lic Works and Transportation of the House of Representatives. The contract

29 may not be awarded until the end of the 30-day period beginning on the date

30 of the notice.

31 (f) ENDING CONTRACTS.—A contract made under this section shall be

32 ended if amounts are not made available to continue the contract into a sub33 sequent fiscal year. The cost of ending the contract may be paid from—

34 (1) an appropriation originally available for carrying out the con35 tract;

36 (2) an appropriation currently available for procuring the type of

37 property concerned and not otherwise obligated; or

38 (3) amounts appropriated for payments to end the contract.

39 § 40113. Administrative

40 (a) GENERAL AUTHORITY.—The Secretary of Transportation (or the Ad41 ministrator of the Federal Aviation Administration with respect to aviation
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1 safety duties and powers designated to be carried out by the Administrator)

2 may take action the Secretary or Administrator, as appropriate, considers

3 necessary to carry out this part, including conducting investigations, pre4 scribing regulations, standards, and procedures, and issuing orders.

5 (b) HAZARDOUS MATERIAL.—In carrying out this part, the Secretary has

6 the same authority to regulate the transportation of hazardous material by

7 air that the Secretary has under section 5103 of this title. However, this sub8 section does not prohibit or regulate the transportation of a firearm (as de9 fined in section 232 of title 18) or ammunition for a firearm, when trans10 ported by an individual for personal use.

11 (c) GOVERNMENTAL ASSISTANCE.—The Secretary (or the Administrator of

12 the Federal Aviation Administration with respect to aviation safety duties

13 and powers designated to be carried out by the Administrator) may use the

14 assistance of the Administrator of the National Aeronautics and Space Ad15 ministration and any research or technical department, agency, or instru16 mentality of the United States Government on matters related to aircraft fuel

17 and oil, and to the design, material, workmanship, construction, performance,

18 maintenance, and operation of aircraft, aircraft engines, propellers, appli19 ances, and air navigation facilities. Each department, agency, and instru20 mentality may conduct scientific and technical research, investigations, and

21 tests necessary to assist the Secretary or Administrator of the Federal Avia22 tion Administration in carrying out this part. This part does not authorize

23 duplicating laboratory research activities of a department, agency, or instru24 mentality.

25 (d) INDEMNIFICATION.—The Administrator of the Federal Aviation Admin26 istration may indemnify an officer or employee of the Administration against

27 a claim or judgment arising out of an act that the Administrator decides was

28 committed within the scope of the official duties of the officer or employee.

29 § 40114. Reports and records

30 (a) WRITTEN REPORTS.—(1) Except as provided in this part, the Secretary

31 of Transportation (or the Administrator of the Federal Aviation Administra32 tion with respect to aviation safety duties and powers designated to be carried

33 out by the Administrator) shall make a written report of each proceeding and

34 investigation under this part in which a formal hearing was held and shall

35 provide a copy to each party to the proceeding or investigation. The report

36 shall include the decision, conclusions, order, and requirements of the Sec37 retary or Administrator as appropriate.

38 (2) The Secretary (or the Administrator with respect to aviation safety du39 ties and powers designated to be carried out by the Administrator) shall have

40 all reports, orders, decisions, and regulations the Secretary or Administrator,

41 as appropriate, issues or prescribes published in the form and way best adapt-
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1 ed for public use. A publication of the Secretary or Administrator is com2 petent evidence of its contents.

3 (b) PUBLIC RECORDS.—Except as provided in subpart II of this part, cop4 ies of tariffs and arrangements filed with the Secretary under subpart II, and

5 the statistics, tables, and figures contained in reports made to the Secretary

6 under subpart II, are public records. The Secretary is the custodian of those

7 records. A public record, or a copy or extract of it, certified by the Secretary

8 under the seal of the Department of Transportation is competent evidence in

9 an investigation by the Secretary and in a judicial proceeding.

10 § 40115. Withholding information

11 (a) OBJECTIONS TO DISCLOSURE.—(1) A person may object to the public

12 disclosure of information—

13 (A) in a record filed under this part; or

14 (B) obtained under this part by the Secretary of Transportation or

15 State or the United States Postal Service.

16 (2) An objection must be in writing and must state the reasons for the ob17 jection. The Secretary of Transportation or State or the Postal Service shall

18 order the information withheld from public disclosure when the appropriate

19 Secretary or the Postal Service decides that disclosure of the information

20 would—

21 (A) prejudice the United States Government in preparing and present22 ing its position in international negotiations; or

23 (B) have an adverse effect on the competitive position of an air carrier

24 in foreign air transportation.

25 (b) WITHHOLDING INFORMATION FROM CONGRESS.—This section does not

26 authorize information to be withheld from a committee of Congress authorized

27 to have the information.

28 § 40116. State taxation

29 (a) DEFINITION.—In this section, ‘‘State’’ includes the District of Colum30 bia, a territory or possession of the United States, and a political authority

31 of at least 2 States.

32 (b) PROHIBITIONS.—Except as provided in subsection (c) of this section

33 and section 40117 of this title, a State or political subdivision of a State may

34 not levy or collect a tax, fee, head charge, or other charge on—

35 (1) an individual traveling in air commerce;

36 (2) the transportation of an individual traveling in air commerce;

37 (3) the sale of air transportation; or

38 (4) the gross receipts from that air commerce or transportation.

39 (c) AIRCRAFT TAKING OFF OR LANDING IN STATE.—A State or political

40 subdivision of a State may levy or collect a tax on or related to a flight of

41 a commercial aircraft or an activity or service on the aircraft only if the air-
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1 craft takes off or lands in the State or political subdivision as part of the

2 flight.

3 (d) UNREASONABLE BURDENS AND DISCRIMINATION AGAINST INTERSTATE

4 COMMERCE.—(1) In this subsection—

5 (A) ‘‘air carrier transportation property’’ means property (as defined

6 by the Secretary of Transportation) that an air carrier providing air

7 transportation owns or uses.

8 (B) ‘‘assessment’’ means valuation for a property tax levied by a tax9 ing district.

10 (C) ‘‘assessment jurisdiction’’ means a geographical area in a State

11 used in determining the assessed value of property for ad valorem tax12 ation.

13 (D) ‘‘commercial and industrial property’’ means property (except

14 transportation property and land used primarily for agriculture or tim15 ber growing) devoted to a commercial or industrial use and subject to

16 a property tax levy.

17 (2)(A) A State, political subdivision of a State, or authority acting for a

18 State or political subdivision may not do any of the following acts because

19 those acts unreasonably burden and discriminate against interstate commerce:

20 (i) assess air carrier transportation property at a value that has a

21 higher ratio to the true market value of the property than the ratio that

22 the assessed value of other commercial and industrial property of the

23 same type in the same assessment jurisdiction has to the true market

24 value of the other commercial and industrial property.

25 (ii) levy or collect a tax on an assessment that may not be made under

26 clause (i) of this subparagraph.

27 (iii) levy or collect an ad valorem property tax on air carrier trans28 portation property at a tax rate greater than the tax rate applicable to

29 commercial and industrial property in the same assessment jurisdiction.

30 (B) Subparagraph (A) of this paragraph does not apply to an in lieu tax

31 completely used for airport and aeronautical purposes.

32 (e) OTHER ALLOWABLE TAXES AND CHARGES.—Except as provided in sub33 section (d) of this section, a State or political subdivision of a State may levy

34 or collect—

35 (1) taxes (except those taxes enumerated in subsection (b) of this sec36 tion), including property taxes, net income taxes, franchise taxes, and

37 sales or use taxes on the sale of goods or services; and

38 (2) reasonable rental charges, landing fees, and other service charges

39 from aircraft operators for using airport facilities of an airport owned

40 or operated by that State or subdivision.

41 (f) PAY OF AIR CARRIER EMPLOYEES.—(1) In this subsection—
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1 (A) ‘‘pay’’ means money received by an employee for services.

2 (B) ‘‘State’’ means a State of the United States, the District of Colum3 bia, and a territory or possession of the United States.

4 (C) an employee is deemed to have earned 50 percent of the employee’s

5 pay in a State or political subdivision of a State in which the scheduled

6 flight time of the employee in the State or subdivision is more than 50

7 percent of the total scheduled flight time of the employee when employed

8 during the calendar year.

9 (2) The pay of an employee of an air carrier having regularly assigned

10 duties on aircraft in at least 2 States is subject to the income tax laws of

11 only the following:

12 (A) the State or political subdivision of the State that is the residence

13 of the employee.

14 (B) the State or political subdivision of the State in which the em15 ployee earns more than 50 percent of the pay received by the employee

16 from the carrier.

17 § 40117. Passenger facility fees

18 (a) DEFINITIONS.—In this section—

19 (1) ‘‘airport’’, ‘‘commercial service airport’’, and ‘‘public agency’’ have

20 the same meanings given those terms in section 47102 of this title.

21 (2) ‘‘eligible agency’’ means a public agency that controls a commer22 cial service airport.

23 (3) ‘‘eligible airport-related project’’ means a project—

24 (A) for airport development or airport planning under subchapter

25 I of chapter 471 of this title;

26 (B) for terminal development described in section 47110(d) of this

27 title;

28 (C) for airport noise capability planning under section 47505 of

29 this title;

30 (D) to carry out noise compatibility measures eligible for assist31 ance under section 47504 of this title, whether or not a program for

32 those measures has been approved under section 47504; and

33 (E) for constructing gates and related areas at which passengers

34 board or exit aircraft.

35 (4) ‘‘passenger facility fee’’ means a fee imposed under this section.

36 (5) ‘‘passenger facility revenue’’ means revenue derived from a pas37 senger facility fee.

38 (b) GENERAL AUTHORITY.—(1) The Secretary of Transportation may au39 thorize under this section an eligible agency to impose a passenger facility

40 fee of $1, $2, or $3 on each paying passenger of an air carrier or foreign

41 air carrier boarding an aircraft at an airport the agency controls to finance
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1 an eligible airport-related project, including making payments for debt service

2 on indebtedness incurred to carry out the project, to be carried out in connec3 tion with the airport or any other airport the agency controls.

4 (2) A State, political subdivision of a State, or authority of a State or po5 litical subdivision that is not the eligible agency may not regulate or prohibit

6 the imposition or collection of a passenger facility fee or the use of the pas7 senger facility revenue.

8 (3) A passenger facility fee may be imposed on a passenger of an air car9 rier or foreign air carrier originating or connecting at the commercial service

10 airport that the agency controls.

11 (c) APPLICATIONS.—(1) An eligible agency must submit to the Secretary

12 an application for authority to impose a passenger facility fee. The applica13 tion shall contain information and be in the form that the Secretary may

14 require by regulation.

15 (2) Before submitting an application, the eligible agency must provide rea16 sonable notice to, and an opportunity for consultation with, air carriers and

17 foreign air carriers operating at the airport. The Secretary shall prescribe

18 regulations that define reasonable notice and contain at least the following

19 requirements:

20 (A) The agency must provide written notice of individual projects

21 being considered for financing by a passenger facility fee and the date

22 and location of a meeting to present the projects to air carriers and for23 eign air carriers operating at the airport.

24 (B) Not later than 30 days after written notice is provided under sub25 paragraph (A) of this paragraph, each air carrier and foreign air car26 rier operating at the airport must provide to the agency written notice

27 of receipt of the notice. Failure of a carrier to provide the notice may

28 be deemed certification of agreement with the project by the carrier under

29 subparagraph (D) of this paragraph.

30 (C) Not later than 45 days after written notice is provided under sub31 paragraph (A) of this paragraph, the agency must conduct a meeting to

32 provide air carriers and foreign air carriers with descriptions of projects

33 and justifications and a detailed financial plan for projects.

34 (D) Not later than 30 days after the meeting, each air carrier and

35 foreign air carrier must provide to the agency certification of agreement

36 or disagreement with projects (or total plan for the projects). Failure to

37 provide the certification is deemed certification of agreement with the

38 project by the carrier. A certification of disagreement is void if it does

39 not contain the reasons for the disagreement.

40 (3) After receiving an application, the Secretary shall provide notice and

41 an opportunity to air carriers, foreign air carriers, and other interested per-
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1 sons to comment on the application. The Secretary shall make a final decision

2 on the application not later than 120 days after receiving it.

3 (d) LIMITATIONS ON APPROVING APPLICATIONS.—The Secretary may ap4 prove an application that an eligible agency has submitted under subsection

5 (c) of this section to finance a specific project only if the Secretary finds,

6 based on the application, that—

7 (1) the amount and duration of the proposed passenger facility fee will

8 result in revenue (including interest and other returns on the revenue)

9 that is not more than the amount necessary to finance the specific

10 project; and

11 (2) each project is an eligible airport-related project that will—

12 (A) preserve or enhance capacity, safety, or security of the na13 tional air transportation system;

14 (B) reduce noise resulting from an airport that is part of the sys15 tem; or

16 (C) provide an opportunity for enhanced competition between or

17 among air carriers and foreign air carriers.

18 (e) LIMITATIONS ON IMPOSING FEES.—(1) An eligible agency may impose

19 a passenger facility fee only—

20 (A) if the Secretary approves an application that the agency has sub21 mitted under subsection (c) of this section; and

22 (B) subject to terms the Secretary may prescribe to carry out the objec23 tives of this section.

24 (2) A passenger facility fee may not be collected from a passenger—

25 (A) for more than 2 boardings on a one-way trip or a trip in each

26 direction of a round trip;

27 (B) for the boarding to an eligible place under subchapter II of chap28 ter 417 of this title for which essential air service compensation is paid

29 under subchapter II; and

30 (C) for a project the Secretary does not approve under this section be31 fore October 1, 1993, if, during the fiscal year ending September 30,

32 1993, the amount available for obligation under subchapter II of chapter

33 417 of this title is less than $38,600,000, except that this clause—

34 (i) does not apply if the amount available for obligation under

35 subchapter II of chapter 417 of this title is less than $38,600,000

36 because of sequestration or other general appropriations reductions

37 applied proportionately to appropriations accounts throughout an

38 appropriation law; and

39 (ii) does not affect the authority of the Secretary to approve the

40 imposition of a fee or the use of revenues, derived from a fee im41 posed under an approval made under this section, by a public agen-
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1 cy that has received an approval to impose a fee under this section

2 before September 30, 1993, regardless of whether the fee is being im3 posed on September 30, 1993.

4 (f) LIMITATIONS ON CONTRACTS, LEASES, AND USE AGREEMENTS.—(1) A

5 contract between an air carrier or foreign air carrier and an eligible agency

6 made at any time may not impair the authority of the agency to impose a

7 passenger facility fee or to use the passenger facility revenue as provided in

8 this section.

9 (2) A project financed with a passenger facility fee may not be subject to

10 an exclusive long-term lease or use agreement of an air carrier or foreign air

11 carrier, as defined by regulations of the Secretary.

12 (3) A lease or use agreement of an air carrier or foreign air carrier related

13 to a project whose construction or expansion was financed with a passenger

14 facility fee may not restrict the eligible agency from financing, developing,

15 or assigning new capacity at the airport with passenger facility revenue.

16 (g) TREATMENT OF REVENUE.—(1) Passenger facility revenue is not air17 port revenue for purposes of establishing a price under a contract between an

18 eligible agency and an air carrier or foreign air carrier.

19 (2) An eligible agency may not include in its price base the part of the

20 capital costs of a project paid for by using passenger facility revenue to estab21 lish a price under a contract between the agency and an air carrier or foreign

22 air carrier.

23 (3) For a project for terminal development, gates and related areas, or a

24 facility occupied or used by at least one air carrier or foreign air carrier on

25 an exclusive or preferential basis, a price payable by an air carrier or foreign

26 air carrier using the facilities must at least equal the price paid by an air

27 carrier or foreign air carrier using a similar facility at the airport that was

28 not financed with passenger facility revenue.

29 (h) COMPLIANCE.—(1) As necessary to ensure compliance with this section,

30 the Secretary shall prescribe regulations requiring recordkeeping and auditing

31 of accounts maintained by an air carrier or foreign air carrier and its agent

32 collecting a passenger facility fee and by the eligible agency imposing the fee.

33 (2) The Secretary periodically shall audit and review the use by an eligible

34 agency of passenger facility revenue. After review and a public hearing, the

35 Secretary may end any part of the authority of the agency to impose a pas36 senger facility fee to the extent the Secretary decides that the revenue is not

37 being used as provided in this section.

38 (3) The Secretary may set off amounts necessary to ensure compliance with

39 this section against amounts otherwise payable to an eligible agency under

40 subchapter I of chapter 471 of this title if the Secretary decides a passenger
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1 facility fee is excessive or that passenger facility revenue is not being used

2 as provided in this section.

3 (i) REGULATIONS.—The Secretary shall prescribe regulations necessary to

4 carry out this section. The regulations—

5 (1) may prescribe the time and form by which a passenger facility fee

6 takes effect; and

7 (2) shall—

8 (A) require an air carrier or foreign air carrier and its agent

9 to collect a passenger facility fee that an eligible agency imposes

10 under this section;

11 (B) establish procedures for handling and remitting money col12 lected;

13 (C) ensure that the money, less a uniform amount the Secretary

14 determines reflects the average necessary and reasonable expenses

15 (net of interest accruing to the carrier and agent after collection and

16 before remittance) incurred in collecting and handling the fee, is

17 paid promptly to the eligible agency for which they are collected;

18 and

19 (D) require that the amount collected for any air transportation

20 be noted on the ticket for that air transportation.

21 § 40118. Government-financed air transportation

22 (a) TRANSPORTATION BY AIR CARRIERS HOLDING CERTIFICATES.—A de23 partment, agency, or instrumentality of the United States Government shall

24 take necessary steps to ensure that the transportation of passengers and prop25 erty by air is provided by an air carrier holding a certificate under section

26 41102 of this title if—

27 (1) the department, agency, or instrumentality—

28 (A) obtains the transportation for itself or in carrying out an ar29 rangement under which payment is made by the Government or

30 payment is made from amounts provided for the use of the Govern31 ment; or

32 (B) provides the transportation to or for a foreign country or

33 international or other organization without reimbursement;

34 (2) the transportation is authorized by the certificate or by regulation

35 or exemption of the Secretary of Transportation; and

36 (3) the air carrier is—

37 (A) available, if the transportation is between a place in the

38 United States and a place outside the United States; or

39 (B) reasonably available, if the transportation is between 2 places

40 outside the United States.
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1 (b) TRANSPORTATION BY FOREIGN AIR CARRIERS.—This section does not

2 preclude the transportation of passengers and property by a foreign air car3 rier if the transportation is provided under a bilateral or multilateral air

4 transportation agreement to which the Government and the government of a

5 foreign country are parties if the agreement—

6 (1) is consistent with the goals for international aviation policy of sec7 tion 40101(e) of this title; and

8 (2) provides for the exchange of rights or benefits of similar mag9 nitude.

10 (c) PROOF.—The Comptroller General shall allow the expenditure of an ap11 propriation for transportation in violation of this section only when satisfac12 tory proof is presented showing the necessity for the transportation.

13 (d) TRANSPORTATION BY FOREIGN AIR CARRIERS.—Notwithstanding sub14 sections (a) and (c) of this section, any amount appropriated to the Secretary

15 of State, the Director of the United States Information Agency, the Director

16 of the United States International Development Cooperation Agency, or the

17 Director of the Arms Control and Disarmament Agency may be used to pay

18 for the transportation of an officer or employee of the Department of State

19 or one of those agencies, a dependent of the officer or employee, and accom20 panying baggage, by a foreign air carrier when the transportation is between

21 2 places outside the United States.

22 (e) RELATIONSHIP TO OTHER LAWS.—This section does not affect the ap23 plication of the antidiscrimination provisions of this part.

24 § 40119. Security and research and development activities

25 (a) GENERAL REQUIREMENTS.—The Administrator of the Federal Aviation

26 Administration shall conduct research (including behavioral research) and de27 velopment activities appropriate to develop, modify, test, and evaluate a sys28 tem, procedure, facility, or device to protect passengers and property against

29 acts of criminal violence and aircraft piracy.

30 (b) DISCLOSURE.—(1) Notwithstanding section 552 of title 5, the Adminis31 trator shall prescribe regulations prohibiting disclosure of information ob32 tained or developed in carrying out security or research and development ac33 tivities under section 44501(a) or (c), 44502(a)(1) or (3), (b), or (c), 44504,

34 44505, 44507, 44508, 44511, 44512, 44513, 44901, 44903(a), (b), (c), or (e),

35 44905, 44912, 44935, 44936, or 44938(a) or (b) of this title if the Adminis36 trator decides disclosing the information would—

37 (A) be an unwarranted invasion of personal privacy;

38 (B) reveal a trade secret or privileged or confidential commercial or

39 financial information; or

40 (C) be detrimental to the safety of passengers in air transportation.
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1 (2) Paragraph (1) of this subsection does not authorize information to be

2 withheld from a committee of Congress authorized to have the information.

3 (c) TRANSFERS OF DUTIES AND POWERS PROHIBITED.—Except as other4 wise provided by law, the Administrator may not transfer a duty or power

5 under this section to another department, agency, or instrumentality of the

6 United States Government.

7 § 40120. Relationship to other laws

8 (a) NONAPPLICATION.—Except as provided in the International Naviga9 tional Rules Act of 1977 (33 U.S.C. 1601 et seq.), the navigation and ship10 ping laws of the United States and the rules for the prevention of collisions

11 do not apply to aircraft or to the navigation of vessels related to those air12 craft.

13 (b) EXTENDING APPLICATION OUTSIDE UNITED STATES.—The President

14 may extend (in the way and for periods the President considers necessary)

15 the application of this part to outside the United States when—

16 (1) an international arrangement gives the United States Government

17 authority to make the extension; and

18 (2) the President decides the extension is in the national interest.

19 (c) ADDITIONAL REMEDIES.—A remedy under this part is in addition to

20 any other remedies provided by law.

21 SUBPART II—ECONOMIC REGULATION

22 CHAPTER 411—AIR CARRIER CERTIFICATES

Sec.

41101. Requirement for a certificate.

41102. General, temporary, and charter air transportation certificates of air carriers.

41103. All-cargo air transportation certificates of air carriers.

41104. Additional limitations and requirements of charter air carriers.

41105. Transfers of certificates.

41106. Airlift service.

41107. Transportation of mail.

41108. Applications for certificates.

41109. Terms of certificates.

41110. Effective periods and amendments, modifications, suspensions, and revocations of certificates.

41111. Simplified procedure to apply for, amend, modify, suspend, and transfer certificates.

41112. Liability insurance and financial responsibility.

23 § 41101. Requirement for a certificate

24 (a) GENERAL.—Except as provided in this chapter or another law—

25 (1) an air carrier may provide air transportation only if the air car26 rier holds a certificate issued under this chapter authorizing the air

27 transportation;

28 (2) a charter air carrier may provide charter air transportation only

29 if the charter air carrier holds a certificate issued under this chapter au30 thorizing the charter air transportation; and
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1 (3) an air carrier may provide all-cargo air transportation only if the

2 air carrier holds a certificate issued under this chapter authorizing the

3 all-cargo air transportation.

4 (b) THROUGH SERVICE AND JOINT TRANSPORTATION.—A citizen of the

5 United States providing transportation in a State of passengers or property

6 as a common carrier for compensation with aircraft capable of carrying at

7 least 30 passengers, under authority granted by the appropriate State author8 ity—

9 (1) may provide transportation for passengers and property that in10 cludes through service by the citizen over its routes in the State and in

11 air transportation by an air carrier or foreign air carrier; and

12 (2) subject to sections 41309 and 42111 of this title, may make an

13 agreement with an air carrier or foreign air carrier to provide the joint

14 transportation.

15 (c) PROPRIETARY OR EXCLUSIVE RIGHT NOT CONFERRED.—A certificate

16 issued under this chapter does not confer a proprietary or exclusive right to

17 use airspace, an airway of the United States, or an air navigation facility.

18 § 41102. General, temporary, and charter air transportation

19 certificates of air carriers

20 (a) ISSUANCE.—The Secretary of Transportation may issue a certificate of

21 public convenience and necessity to a citizen of the United States authorizing

22 the citizen to provide any part of the following air transportation the citizen

23 has applied for under section 41108 of this title:

24 (1) air transportation as an air carrier.

25 (2) temporary air transportation as an air carrier for a limited pe26 riod.

27 (3) charter air transportation as a charter air carrier.

28 (b) FINDINGS REQUIRED FOR ISSUANCE.—(1) Before issuing a certificate

29 under subsection (a) of this section, the Secretary must find that the citizen

30 is fit, willing, and able to provide the transportation to be authorized by the

31 certificate and to comply with this part and regulations of the Secretary.

32 (2) In addition to the findings under paragraph (1) of this subsection, the

33 Secretary, before issuing a certificate under subsection (a) of this section for

34 foreign air transportation, must find that the transportation is consistent

35 with the public convenience and necessity.

36 (c) TEMPORARY CERTIFICATES.—The Secretary may issue a certificate

37 under subsection (a) of this section for interstate air transportation (except

38 the transportation of passengers) or foreign air transportation for a tem39 porary period of time (whether the application is for permanent or temporary

40 authority) when the Secretary decides that a test period is desirable—
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1 (1) to decide if the projected services, efficiencies, methods, and prices

2 and the projected results will materialize and remain for a sustained pe3 riod of time; or

4 (2) to evaluate the new transportation.

5 (d) FOREIGN AIR TRANSPORTATION.—The Secretary shall submit each de6 cision authorizing the provision of foreign air transportation to the President

7 under section 41307 of this title.

8 § 41103. All-cargo air transportation certificates of air car9 riers

10 (a) APPLICATIONS.—A citizen of the United States may apply to the Sec11 retary of Transportation for a certificate authorizing the citizen to provide

12 all-property air transportation. The application must contain information

13 and be in the form the Secretary by regulation requires.

14 (b) ISSUANCE.—Not later than 180 days after an application for a certifi15 cate is filed under this section, the Secretary shall issue the certificate to a

16 citizen of the United States authorizing the citizen, as an air carrier, to pro17 vide any part of the all-cargo air transportation applied for unless the Sec18 retary finds that the citizen is not fit, willing, and able to provide the all19 cargo air transportation to be authorized by the certificate and to comply

20 with regulations of the Secretary.

21 (c) TERMS.—The Secretary may impose terms the Secretary considers nec22 essary when issuing a certificate under this section. However, the Secretary

23 may not impose terms that restrict the places served or prices charged by the

24 holder of the certificate.

25 (d) EXEMPTIONS AND STATUS.—A citizen issued a certificate under this

26 section—

27 (1) is exempt in providing the transportation under the certificate

28 from the requirements of—

29 (A) section 41101(a)(1) of this title and regulations or procedures

30 prescribed under section 41101(a)(1); and

31 (B) other provisions of this part and regulations or procedures

32 prescribed under those provisions when the Secretary finds under

33 regulations of the Secretary that the exemption is appropriate; and

34 (2) is an air carrier under this part except to the extent the carrier

35 is exempt under this section from a requirement of this part.

36 § 41104. Additional limitations and requirements of charter

37 air carriers

38 (a) RESTRICTIONS.—The Secretary of Transportation may prescribe a reg39 ulation or issue an order restricting the marketability, flexibility, accessibil40 ity, or variety of charter air transportation provided under a certificate is41 sued under section 41102 of this title only to the extent required by the public
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1 interest. A regulation prescribed or order issued under this subsection may

2 not be more restrictive than a regulation related to charter air transportation

3 that was in effect on October 1, 1978.

4 (b) ALASKA.—An air carrier holding a certificate issued under section

5 41102 of this title may provide charter air transportation between places in

6 Alaska only to the extent the Secretary decides the transportation is required

7 by public convenience and necessity. The Secretary may make that decision

8 when issuing, amending, or modifying the certificate. This subsection does not

9 apply to a certificate issued under section 41102 to a citizen of the United

10 States who, before July 1, 1977—

11 (1) maintained a principal place of business in Alaska; and

12 (2) conducted air transport operations between places in Alaska with

13 aircraft with a certificate for gross takeoff weight of more than 40,000

14 pounds.

15 (c) SUSPENSIONS.—(1) The Secretary shall suspend for not more than 30

16 days any part of the certificate of a charter air carrier if the Secretary de17 cides that the failure of the carrier to comply with the requirements described

18 in sections 41110(e) and 41112 of this title, or a regulation or order of the

19 Secretary under section 41110(e) or 41112, requires immediate suspension in

20 the interest of the rights, welfare, or safety of the public. The Secretary may

21 act under this paragraph without notice or a hearing.

22 (2) The Secretary shall begin immediately a hearing to decide if the certifi23 cate referred to in paragraph (1) of this subsection should be amended, modi24 fied, suspended, or revoked. Until the hearing is completed, the Secretary may

25 suspend the certificate for additional periods totaling not more than 60 days.

26 If the Secretary decides that the carrier is complying with the requirements

27 described in sections 41110(e) and 41112 of this title and regulations and or28 ders under sections 41110(e) and 41112, the Secretary immediately may end

29 the suspension period and proceeding begun under this subsection. However,

30 the Secretary is not prevented from imposing a civil penalty on the carrier

31 for violating the requirements described in section 41110(e) or 41112 or a reg32 ulation or order under section 41110(e) or 41112.

33 § 41105. Transfers of certificates

34 (a) GENERAL.—A certificate issued under section 41102 of this title may

35 be transferred only when the Secretary of Transportation approves the trans36 fer as being consistent with the public interest.

37 (b) CERTIFICATION TO CONGRESS.—When a certificate is transferred, the

38 Secretary shall certify to the Committee on Commerce, Science, and Transpor39 tation of the Senate and the Committee on Public Works and Transportation

40 of the House of Representatives that the transfer is consistent with the public
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1 interest. The Secretary shall include with the certification a report analyzing

2 the effects of the transfer on—

3 (1) the viability of each carrier involved in the transfer;

4 (2) competition in the domestic airline industry; and

5 (3) the trade position of the United States in the international air

6 transportation market.

7 § 41106. Airlift service

8 (a) GENERAL.—(1) Except as provided in subsection (b) of this section, the

9 transportation of passengers or property by transport category aircraft in

10 interstate air transportation obtained by the Secretary of Defense or the Sec11 retary of a military department through a contract of at least 31 days for

12 airlift service in the United States may be provided only by an air carrier

13 that—

14 (A) has aircraft in the civil reserve air fleet or offers to place the air15 craft in that fleet; and

16 (B) holds a certificate issued under section 41102 of this title.

17 (2) The Secretary of Transportation shall act as expeditiously as possible

18 on an application for a certificate under section 41102 of this title to provide

19 airlift service.

20 (b) EXCEPTION.—When the Secretary of Defense decides that no air carrier

21 holding a certificate under section 41102 is capable of providing, and willing

22 to provide, the airlift service, the Secretary of Defense may make a contract

23 to provide the service with an air carrier not having a certificate.

24 § 41107. Transportation of mail

25 When the United States Postal Service finds that the needs of the Postal

26 Service require the transportation of mail by aircraft in foreign air transpor27 tation or between places in Alaska, in addition to the transportation of mail

28 authorized under certificates in effect, the Postal Service shall certify that

29 finding to the Secretary of Transportation with a statement about the addi30 tional transportation and facilities necessary to provide the additional trans31 portation. A copy of each certification and statement shall be posted for at

32 least 20 days in the office of the Secretary. After notice and an opportunity

33 for a hearing, the Secretary shall issue a new certificate under section 41102

34 of this title, or amend or modify an existing certificate under section

35 41110(a)(2)(A) of this title, to provide the additional transportation and fa36 cilities if the Secretary finds the additional transportation is required by the

37 public convenience and necessity.

38 § 41108. Applications for certificates

39 (a) FORM, CONTENTS, AND PROOF OF SERVICE.—To be issued a certificate

40 of public convenience and necessity under section 41102 of this title, a citizen
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1 of the United States must apply to the Secretary of Transportation. The ap2 plication must—

3 (1) be in the form and contain information required by regulations

4 of the Secretary; and

5 (2) be accompanied by proof of service on interested persons as re6 quired by regulations of the Secretary and on each community that may

7 be affected by the issuance of the certificate.

8 (b) NOTICE, RESPONSE, AND ACTIONS ON APPLICATIONS.—(1) When an

9 application is filed, the Secretary shall post a notice of the application in

10 the office of the Secretary and give notice of the application to other persons

11 as required by regulations of the Secretary. An interested person may file a

12 response with the Secretary opposing or supporting the issuance of the certifi13 cate. Not later than 90 days after the application is filed, the Secretary

14 shall—

15 (A) provide an opportunity for a public hearing on the application;

16 (B) begin the procedure under section 41111 of this title; or

17 (C) dismiss the application on its merits.

18 (2) An order of dismissal issued by the Secretary under paragraph (1)(C)

19 of this subsection is a final order and may be reviewed judicially under sec20 tion 46110 of this title.

21 (3) If the Secretary provides an opportunity for a hearing under para22 graph (1)(A) of this subsection, an initial or recommended decision shall be

23 issued not later than 150 days after the date the Secretary provides the oppor24 tunity. The Secretary shall issue a final order on the application not later

25 than 90 days after the decision is issued. However, if the Secretary does not

26 act within the 90-day period, the initial or recommended decision on an ap27 plication to provide—

28 (A) interstate air transportation is a final order and may be reviewed

29 judicially under section 46110 of this title; and

30 (B) foreign air transportation shall be submitted to the President

31 under section 41307 of this title.

32 (4) If the Secretary acts under paragraph (1)(B) of this subsection, the Sec33 retary shall issue a final order on the application not later than 180 days

34 after beginning the procedure on the application.

35 (5) If a citizen applying for a certificate does not meet the procedural

36 schedule adopted by the Secretary in a proceeding, the Secretary may extend

37 the period for acting under paragraphs (3) and (4) of this subsection by a

38 period equal to the period of delay caused by the citizen. In addition to an

39 extension under this paragraph, an initial or recommended decision under

40 paragraph (3) of this subsection may be delayed for not more than 30 days

41 in extraordinary circumstances.
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1 (c) PROOF REQUIREMENTS.—(1) A citizen applying for a certificate must

2 prove that the citizen is fit, willing, and able to provide the transportation

3 referred to in section 41102 of this title and to comply with this part.

4 (2) A person opposing a citizen applying for a certificate must prove that

5 the transportation referred to in section 41102(b)(2) of this title is not consist6 ent with the public convenience and necessity. The transportation is deemed

7 to be consistent with the public convenience and necessity unless the Secretary

8 finds, by a preponderance of the evidence, that the transportation is not con9 sistent with the public convenience and necessity.

10 § 41109. Terms of certificates

11 (a) GENERAL.—(1) Each certificate issued under section 41102 of this title

12 shall specify the type of transportation to be provided.

13 (2) The Secretary of Transportation—

14 (A) may prescribe terms for providing air transportation under the

15 certificate that the Secretary finds may be required in the public interest;

16 but

17 (B) may not prescribe a term preventing an air carrier from adding

18 or changing schedules, equipment, accommodations, and facilities for

19 providing the authorized transportation to satisfy business development

20 and public demand.

21 (3) A certificate issued under section 41102 of this title to provide foreign

22 air transportation shall specify the places between which the air carrier is

23 authorized to provide the transportation only to the extent the Secretary con24 siders practicable and otherwise only shall specify each general route to be

25 followed. The Secretary shall authorize an air carrier holding a certificate to

26 provide foreign air transportation to handle and transport mail of countries

27 other than the United States.

28 (4) A certificate issued under section 41102 of this title to provide foreign

29 charter air transportation shall specify the places between which the air car30 rier is authorized to provide the transportation only to the extent the Sec31 retary considers practicable and otherwise only shall specify each geographical

32 area in which, or between which, the transportation may be provided.

33 (b) MODIFYING TERMS.—(1) An air carrier may file with the Secretary an

34 application to modify any term of its certificate issued under section 41102

35 of this title to provide interstate or foreign air transportation. Not later than

36 60 days after an application is filed, the Secretary shall—

37 (A) provide the carrier an opportunity for an oral evidentiary hearing

38 on the record; or

39 (B) begin to consider the application under section 41111 of this title.

40 (2) The Secretary shall modify each term the Secretary finds to be incon41 sistent with the criteria under section 40101(a) and (b) of this title.
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1 (3) An application under this subsection may not be dismissed under sec2 tion 41108(b)(1)(C) of this title.

3 § 41110. Effective periods and amendments, modifications,

4 suspensions, and revocations of certificates

5 (a) GENERAL.—(1) Each certificate issued under section 41102 of this title

6 is effective from the date specified in it and remains in effect until—

7 (A) the Secretary of Transportation suspends or revokes the certificate

8 under this section;

9 (B) the end of the period the Secretary specifies for an air carrier hav10 ing a certificate of temporary authority issued under section 41102(a)(2)

11 of this title; or

12 (C) the Secretary certifies that transportation is no longer being pro13 vided under a certificate.

14 (2) On application or on the initiative of the Secretary and after notice

15 and an opportunity for a hearing or, except as provided in paragraph (4)

16 of this subsection, under section 41111 of this title, the Secretary may—

17 (A) amend, modify, or suspend any part of a certificate if the Sec18 retary finds the public convenience and necessity require amendment,

19 modification, or suspension; and

20 (B) revoke any part of a certificate if the Secretary finds that the

21 holder of the certificate intentionally does not comply with this chapter,

22 sections 41308–41310(a), 41501, 41503, 41504, 41506, 41510, 41511,

23 41701, 41702, 41705–41709, 41711, 41712, and 41731–41742, chapter

24 419, subchapter II of chapter 421, and section 46301(b) of this title, a

25 regulation or order of the Secretary under any of those provisions, or a

26 term of its certificate.

27 (3) The Secretary may revoke a certificate under paragraph (2)(B) of this

28 subsection only if the holder of the certificate does not comply, within a rea29 sonable time the Secretary specifies, with an order to the holder requiring

30 compliance.

31 (4) A certificate to provide foreign air transportation may not be amended,

32 modified, suspended, or revoked under section 41111 of this title if the holder

33 of the certificate requests an oral evidentiary hearing or the Secretary finds,

34 under all the facts and circumstances, that the hearing is required in the pub35 lic interest.

36 (b) ALL-CARGO AIR TRANSPORTATION.—The Secretary may order that a

37 certificate issued under section 41103 of this title authorizing all-cargo air

38 transportation is ineffective if, after notice and an opportunity for a hearing,

39 the Secretary finds that the transportation is not provided to the minimum

40 extent specified by the Secretary.
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1 (c) FOREIGN AIR TRANSPORTATION.—(1) Notwithstanding subsection

2 (a)(2)–(4) of this section, after notice and a reasonable opportunity for the

3 affected air carrier to present its views, but without a hearing, the Secretary

4 may suspend or revoke the authority of an air carrier to provide foreign air

5 transportation to a place under a certificate issued under section 41102 of

6 this title if the carrier—

7 (A) notifies the Secretary, under section 41734(a) of this title or a reg8 ulation of the Secretary, that it intends to suspend all transportation to

9 that place; or

10 (B) does not provide regularly scheduled transportation to the place

11 for 90 days immediately before the date the Secretary notifies the carrier

12 of the action the Secretary proposes.

13 (2) Paragraph (1)(B) of this subsection does not apply to a place provided

14 seasonal transportation comparable to the transportation provided during the

15 prior year.

16 (d) TEMPORARY CERTIFICATES.—On application or on the initiative of the

17 Secretary, the Secretary may—

18 (1) review the performance of an air carrier issued a certificate under

19 section 41102(c) of this title on the basis that the air carrier will provide

20 innovative or low-priced air transportation under the certificate; and

21 (2) amend, modify, suspend, or revoke the certificate or authority

22 under subsection (a)(2) or (c) of this section if the air carrier has not

23 provided, or is not providing, the transportation.

24 (e) CONTINUING REQUIREMENTS.—After notice and an opportunity for a

25 hearing, the Secretary shall amend, modify, suspend, or revoke any part of

26 a certificate issued under section 41102 of this title if the Secretary finds that

27 the air carrier—

28 (1) is not fit, willing, and able to continue to provide the transpor29 tation authorized by the certificate and to comply with this part and

30 regulations of the Secretary; or

31 (2) does not file reports necessary for the Secretary to decide if the

32 carrier is complying with the requirements of clause (1) of this sub33 section.

34 (f) ILLEGAL IMPORTATION OF CONTROLLED SUBSTANCES.—The Sec35 retary—

36 (1) in consultation with appropriate departments, agencies, and in37 strumentalities of the United States Government, shall reexamine imme38 diately the fitness of an air carrier that—

39 (A) violates the laws and regulations of the United States related

40 to the illegal importation of a controlled substance; or
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1 (B) does not adopt available measures to prevent the illegal im2 portation of a controlled substance into the United States on its air3 craft; and

4 (2) when appropriate, shall amend, modify, suspend, or revoke the cer5 tificate of the carrier issued under this chapter.

6 (g) RESPONSES.—An interested person may file a response with the Sec7 retary opposing or supporting the amendment, modification, suspension, or

8 revocation of a certificate under subsection (a) of this section.

9 § 41111. Simplified procedure to apply for, amend, modify,

10 suspend, and transfer certificates

11 (a) GENERAL REQUIREMENTS.—(1) The Secretary of Transportation shall

12 prescribe regulations that simplify the procedure for—

13 (A) acting on an application for a certificate to provide air transpor14 tation under section 41102 of this title; and

15 (B) amending, modifying, suspending, or transferring any part of that

16 certificate under section 41105 or 41110(a) or (c) of this title.

17 (2) Regulations under this section shall provide for notice and an oppor18 tunity for each interested person to file appropriate written evidence and ar19 gument. An oral evidentiary hearing is not required to be provided under this

20 section.

21 (b) WHEN SIMPLIFIED PROCEDURE USED.—The Secretary may use the

22 simplified procedure to act on an application for a certificate to provide air

23 transportation under section 41102 of this title, or to amend, modify, sus24 pend, or transfer any part of that certificate under section 41105 or 41110(a)

25 or (c) of this title, when the Secretary decides the use of the procedure is in

26 the public interest.

27 (c) CONTENTS.—(1) To the extent the Secretary finds practicable, regula28 tions under this section shall include each standard the Secretary will apply

29 when—

30 (A) deciding whether to use the simplified procedure; and

31 (B) making a decision on an action in which the procedure is used.

32 (2) The regulations may provide that written evidence and argument may

33 be filed under section 41108(b) of this title as a part of a response opposing

34 or supporting the issuance of a certificate.

35 § 41112. Liability insurance and financial responsibility

36 (a) LIABILITY INSURANCE.—The Secretary of Transportation may issue a

37 certificate to a citizen of the United States to provide air transportation as

38 an air carrier under section 41102 of this title only if the citizen complies

39 with regulations and orders of the Secretary governing the filing of an insur40 ance policy or self-insurance plan approved by the Secretary. The policy or

41 plan must be sufficient to pay, not more than the amount of the insurance,
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1 for bodily injury to, or death of, an individual or for loss of, or damage to,

2 property of others, resulting from the operation or maintenance of the aircraft

3 under the certificate. A certificate does not remain in effect unless the carrier

4 complies with this subsection.

5 (b) FINANCIAL RESPONSIBILITY.—To protect passengers and shippers using

6 an aircraft operated by an air carrier issued a certificate under section 41102

7 of this title, the Secretary may require the carrier to file a performance bond

8 or equivalent security in the amount and on terms the Secretary prescribes.

9 The bond or security must be sufficient to ensure the carrier adequately will

10 pay the passengers and shippers when the transportation the carrier agrees

11 to provide is not provided. The Secretary shall prescribe the amounts to be

12 paid under this subsection.

13 CHAPTER 413—FOREIGN AIR TRANSPORTATION

Sec.

41301. Requirement for a permit.

41302. Permits of foreign air carriers.

41303. Transfers of permits.

41304. Effective periods and amendments, modifications, suspensions, and revocations of permits.

41305. Applications for permits.

41306. Simplified procedure to apply for, amend, modify, and suspend permits.

41307. Presidential review of actions about foreign air transportation.

41308. Exemption from the antitrust laws.

41309. Cooperative agreements and requests.

41310. Discriminatory practices.

14 § 41301. Requirement for a permit

15 A foreign air carrier may provide foreign air transportation only if the

16 foreign air carrier holds a permit issued under this chapter authorizing the

17 foreign air transportation.

18 § 41302. Permits of foreign air carriers

19 The Secretary of Transportation may issue a permit to a person (except

20 a citizen of the United States) authorizing the person to provide foreign air

21 transportation as a foreign air carrier if the Secretary finds that—

22 (1) the person is fit, willing, and able to provide the foreign air trans23 portation to be authorized by the permit and to comply with this part

24 and regulations of the Secretary; and

25 (2)(A) the person is qualified, and has been designated by the govern26 ment of its country, to provide the foreign air transportation under an

27 agreement with the United States Government; or

28 (B) the foreign air transportation to be provided under the permit will

29 be in the public interest.

30 § 41303. Transfers of permits

31 A permit issued under section 41302 of this title may be transferred only

32 when the Secretary of Transportation approves the transfer because the trans33 fer is in the public interest.
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1 § 41304. Effective periods and amendments, modifications,

2 suspensions, and revocations of permits

3 (a) GENERAL.—The Secretary of Transportation may prescribe the period

4 during which a permit issued under section 41302 of this title is in effect.

5 After notice and an opportunity for a hearing, the Secretary may amend,

6 modify, suspend, or revoke the permit if the Secretary finds that action to

7 be in the public interest.

8 (b) SUSPENSIONS AND RESTRICTIONS.—Without a hearing, but subject to

9 the approval of the President, the Secretary—

10 (1) may suspend summarily the permits of foreign air carriers of a

11 foreign country, or amend, modify, or limit the operations of the foreign

12 air carriers under the permits, when the Secretary finds—

13 (A) the action is in the public interest; and

14 (B) the government, an aeronautical authority, or a foreign air

15 carrier of the foreign country, over the objection of the United States

16 Government, has—

17 (i) limited or denied the operating rights of an air carrier;

18 or

19 (ii) engaged in unfair, discriminatory, or restrictive prac20 tices that have a substantial adverse competitive impact on an

21 air carrier related to air transportation to, from, through, or

22 over the territory of the foreign country; and

23 (2) to make this subsection effective, may restrict operations between

24 the United States and the foreign country by a foreign air carrier of a

25 third country.

26 (c) ILLEGAL IMPORTATION OF CONTROLLED SUBSTANCES.—The Sec27 retary—

28 (1) in consultation with appropriate departments, agencies, and in29 strumentalities of the Government, shall reexamine immediately the fit30 ness of a foreign air carrier that—

31 (A) violates the laws and regulations of the United States related

32 to the illegal importation of a controlled substance; or

33 (B) does not adopt available measures to prevent the illegal im34 portation of a controlled substance into the United States on its air35 craft; and

36 (2) when appropriate, shall amend, modify, suspend, or revoke the per37 mit of the carrier issued under this chapter.

38 (d) RESPONSES.—An interested person may file a response with the Sec39 retary opposing or supporting the amendment, modification, suspension, or

40 revocation of a permit under subsection (a) of this section.
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1 § 41305. Applications for permits

2 (a) FORM, CONTENTS, NOTICE, RESPONSE, AND ACTIONS ON APPLICA3 TIONS.—(1) A person must apply in writing to the Secretary of Transpor4 tation to be issued a permit under section 41302 of this title. The Secretary

5 shall prescribe regulations to require that the application be—

6 (A) verified;

7 (B) in a certain form and contain certain information;

8 (C) served on interested persons; and

9 (D) accompanied by proof of service on those persons.

10 (2) When an application is filed, the Secretary shall post a notice of the

11 application in the office of the Secretary and give notice of the application

12 to other persons as required by regulations of the Secretary. An interested per13 son may file a response with the Secretary opposing or supporting the issu14 ance of the permit. The Secretary shall act on an application as expeditiously

15 as possible.

16 (b) TERMS.—The Secretary may impose terms for providing foreign air

17 transportation under the permit that the Secretary finds may be required in

18 the public interest.

19 § 41306. Simplified procedure to apply for, amend, modify,

20 and suspend permits

21 (a) REGULATIONS.—The Secretary of Transportation shall prescribe regula22 tions that simplify the procedure for—

23 (1) acting on an application for a permit to provide foreign air trans24 portation under section 41302 of this title; and

25 (2) amending, modifying, or suspending any part of that permit

26 under section 41304(a) or (b) of this title.

27 (b) NOTICE AND OPPORTUNITY TO RESPOND.—Regulations under this sec28 tion shall provide for notice and an opportunity for each interested person

29 to file appropriate written evidence and argument. An oral evidentiary hear30 ing is not required to be provided under this section.

31 § 41307. Presidential review of actions about foreign air

32 transportation

33 The Secretary of Transportation shall submit to the President for review

34 each decision of the Secretary to issue, deny, amend, modify, suspend, revoke,

35 or transfer a certificate issued under section 41102 of this title authorizing

36 an air carrier, or a permit issued under section 41302 of this title authoriz37 ing a foreign air carrier, to provide foreign air transportation. The President

38 may disapprove the decision of the Secretary only if the reason for dis39 approval is based on foreign relations or national defense considerations that

40 are under the jurisdiction of the President. The President may not disapprove
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1 a decision of the Secretary if the reason is economic or related to carrier selec2 tion. A decision of the Secretary—

3 (1) is void if the President disapproves the decision and publishes the

4 reasons (to the extent allowed by national security) for disapproval not

5 later than 60 days after it is submitted to the President; or

6 (2)(A) takes effect as a decision of the Secretary if the President does

7 not disapprove the decision not later than 60 days after the decision is

8 submitted to the President; and

9 (B) when effective, may be reviewed judicially under section 46110 of

10 this title.

11 § 41308. Exemption from the antitrust laws

12 (a) DEFINITION.—In this section, ‘‘antitrust laws’’ has the same meaning

13 given that term in the first section of the Clayton Act (15 U.S.C. 12).

14 (b) EXEMPTION AUTHORIZED.—When the Secretary of Transportation de15 cides it is required by the public interest, the Secretary, as part of an order

16 under section 41309 or 42111 of this title, may exempt a person affected by

17 the order from the antitrust laws to the extent necessary to allow the person

18 to proceed with the transaction specifically approved by the order and with

19 any transaction necessarily contemplated by the order.

20 (c) EXEMPTION REQUIRED.—In an order under section 41309 of this title

21 approving an agreement, request, modification, or cancellation, the Secretary,

22 on the basis of the findings required under section 41309(b)(1), shall exempt

23 a person affected by the order from the antitrust laws to the extent necessary

24 to allow the person to proceed with the transaction specifically approved by

25 the order and with any transaction necessarily contemplated by the order.

26 § 41309. Cooperative agreements and requests

27 (a) FILING.—An air carrier or foreign air carrier may file with the Sec28 retary of Transportation a true copy of or, if oral, a true and complete memo29 randum of, an agreement (except an agreement related to interstate air trans30 portation), or a request for authority to discuss cooperative arrangements (ex31 cept arrangements related to interstate air transportation), and any modi32 fication or cancellation of an agreement, between the air carrier or foreign

33 air carrier and another air carrier, a foreign carrier, or another carrier.

34 (b) APPROVAL.—The Secretary of Transportation shall approve an agree35 ment, request, modification, or cancellation referred to in subsection (a) of

36 this section when the Secretary finds it is not adverse to the public interest

37 and is not in violation of this part. However, the Secretary shall dis38 approve—

39 (1) or, after periodic review, end approval of, an agreement, request,

40 modification, or cancellation, that substantially reduces or eliminates

41 competition unless the Secretary finds that—
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1 (A) the agreement, request, modification, or cancellation is nec2 essary to meet a serious transportation need or to achieve important

3 public benefits (including international comity and foreign policy

4 considerations); and

5 (B) the transportation need cannot be met or those benefits can6 not be achieved by reasonably available alternatives that are materi7 ally less anticompetitive; or

8 (2) an agreement that—

9 (A) is between an air carrier not directly operating aircraft in

10 foreign air transportation and a common carrier subject to subtitle

11 IV of this title; and

12 (B) governs the compensation the common carrier may receive for

13 the transportation.

14 (c) NOTICE AND OPPORTUNITY TO RESPOND OR FOR HEARING.—(1) When

15 an agreement, request, modification, or cancellation is filed, the Secretary of

16 Transportation shall give the Attorney General and the Secretary of State

17 written notice of, and an opportunity to submit written comments about, the

18 filing. On the initiative of the Secretary of Transportation or on request of

19 the Attorney General or Secretary of State, the Secretary of Transportation

20 may conduct a hearing to decide whether an agreement, request, modification,

21 or cancellation is consistent with this part whether or not it was approved

22 previously.

23 (2) In a proceeding before the Secretary of Transportation applying stand24 ards under subsection (b)(1) of this section, a party opposing an agreement,

25 request, modification, or cancellation has the burden of proving that it sub26 stantially reduces or eliminates competition and that less anticompetitive al27 ternatives are available. The party defending the agreement, request, modi28 fication, or cancellation has the burden of proving the transportation need or

29 public benefits.

30 (3) The Secretary of Transportation shall include the findings required by

31 subsection (b)(1) of this section in an order of the Secretary approving or dis32 approving an agreement, request, modification, or cancellation.

33 § 41310. Discriminatory practices

34 (a) PROHIBITION.—An air carrier or foreign air carrier may not subject

35 a person, place, port, or type of traffic in foreign air transportation to unrea36 sonable discrimination.

37 (b) REVIEW AND NEGOTIATION OF DISCRIMINATORY FOREIGN CHARGES.—

38 (1) The Secretary of Transportation shall survey charges imposed on an air

39 carrier by the government of a foreign country or another foreign entity for

40 the use of airport property or airway property in foreign air transportation.

41 If the Secretary of Transportation decides that a charge is discriminatory,
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1 the Secretary promptly shall report the decision to the Secretary of State. The

2 Secretaries of State and Transportation promptly shall begin negotiations

3 with the appropriate government to end the discrimination. If the discrimina4 tion is not ended in a reasonable time through negotiation, the Secretary of

5 Transportation shall establish a compensating charge equal to the discrimina6 tory charge. With the approval of the Secretary of State, the Secretary of the

7 Treasury shall impose the compensating charge on a foreign air carrier of

8 that country as a condition to accepting the general declaration of the aircraft

9 of the foreign air carrier when it lands or takes off.

10 (2) The Secretary of the Treasury shall maintain an account to credit

11 money collected under paragraph (1) of this subsection. An air carrier shall

12 be paid from the account an amount certified by the Secretary of Transpor13 tation to compensate the air carrier for the discriminatory charge paid to the

14 government.

15 (c) ACTIONS AGAINST DISCRIMINATORY ACTIVITY.—(1) The Secretary of

16 Transportation may take actions the Secretary considers are in the public in17 terest to eliminate an activity of a government of a foreign country or another

18 foreign entity, including a foreign air carrier, when the Secretary, on the ini19 tiative of the Secretary or on complaint, decides that the activity—

20 (A) is an unjustifiable or unreasonable discriminatory, predatory, or

21 anticompetitive practice against an air carrier; or

22 (B) imposes an unjustifiable or unreasonable restriction on access of

23 an air carrier to a foreign market.

24 (2) The Secretary of Transportation may deny, amend, modify, suspend,

25 revoke, or transfer under paragraph (1) of this subsection a foreign air carrier

26 permit or tariff under section 41302, 41303, 41304(a), 41504(c), 41507, or

27 41509 of this title.

28 (d) FILING OF, AND ACTING ON, COMPLAINTS.—(1) An air carrier or a de29 partment, agency, or instrumentality of the United States Government may

30 file a complaint under subsection (c) of this section with the Secretary of

31 Transportation. The Secretary shall approve, deny, or dismiss the complaint,

32 set the complaint for a hearing or investigation, or begin another proceeding

33 proposing remedial action not later than 60 days after receiving the com34 plaint. The Secretary may extend the period for acting for additional periods

35 totaling not more than 30 days if the Secretary decides that with additional

36 time it is likely that a complaint can be resolved satisfactorily through nego37 tiations with the government of the foreign country or foreign entity. The Sec38 retary must act not later than 90 days after receiving the complaint. How39 ever, the Secretary may extend this 90-day period for not more than an addi40 tional 90 days if, on the last day of the initial 90-day period, the Secretary

41 finds that—
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1 (A) negotiations with the government have progressed to a point that

2 a satisfactory resolution of the complaint appears imminent;

3 (B) an air carrier has not been subjected to economic injury by the

4 government or entity as a result of filing the complaint; and

5 (C) the public interest requires additional time before the Secretary

6 acts on the complaint.

7 (2) In carrying out paragraph (1) of this subsection and subsection (c) of

8 this section, the Secretary of Transportation shall—

9 (A) solicit the views of the Secretaries of Commerce and State and the

10 United States Trade Representative;

11 (B) give an affected air carrier or foreign air carrier reasonable notice

12 and an opportunity to submit written evidence and arguments within

13 the time limits of this subsection; and

14 (C) submit to the President under section 41307 or 41509(f) of this

15 title actions proposed by the Secretary of Transportation.

16 (e) REVIEW.—(1) The Secretaries of State, the Treasury, and Transpor17 tation and the heads of other departments, agencies, and instrumentalities of

18 the Government shall keep under review, to the extent of each of their jurisdic19 tions, each form of discrimination or unfair competitive practice to which an

20 air carrier is subject when providing foreign air transportation. Each Sec21 retary and head shall—

22 (A) take appropriate action to eliminate any discrimination or unfair

23 competitive practice found to exist; and

24 (B) request Congress to enact legislation when the authority to elimi25 nate the discrimination or unfair practice is inadequate.

26 (2) The Secretary of Transportation shall report to Congress annually on

27 each action taken under paragraph (1) of this subsection and on the continu28 ing program to eliminate discrimination and unfair competitive practices.

29 The Secretaries of State and the Treasury each shall give the Secretary of

30 Transportation information necessary to prepare the report.

31 (f) REPORTS.—Not later than 30 days after acting on a complaint under

32 this section, the Secretary of Transportation shall report to the Committee on

33 Public Works and Transportation of the House of Representatives and the

34 Committee on Commerce, Science, and Transportation of the Senate on action

35 taken under this section on the complaint.

36 CHAPTER 415—PRICING

Sec.

41501. Establishing reasonable prices, classifications, rules, practices, and divisions of joint

prices for foreign air transportation.

41502. Establishing joint prices for through routes with other common carriers.

41503. Establishing joint prices for through routes provided by State authorized carriers.

41504. Tariffs for foreign air transportation.
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41505. Uniform methods for establishing joint prices, and divisions of joint prices, applicable

to commuter air carriers.

41506. Price division filing requirements for foreign air transportation.

41507. Authority of the Secretary of Transportation to change prices, classifications, rules, and

practices for foreign air transportation.

41508. Authority of the Secretary of Transportation to adjust divisions of joint prices for foreign air transportation.

41509. Authority of the Secretary of Transportation to suspend, cancel, and reject tariffs for

foreign air transportation.

41510. Required adherence to foreign air transportation tariffs.

41511. Special prices for foreign air transportation.

1 § 41501. Establishing reasonable prices, classifications,

2 rules, practices, and divisions of joint prices for

3 foreign air transportation

4 Every air carrier and foreign air carrier shall establish, comply with, and

5 enforce—

6 (1) reasonable prices, classifications, rules, and practices related to for7 eign air transportation; and

8 (2) for joint prices established for foreign air transportation, reason9 able divisions of those prices among the participating air carriers or for10 eign air carriers without unreasonably discriminating against any of

11 those carriers.

12 § 41502. Establishing joint prices for through routes with

13 other common carriers

14 (a) JOINT PRICES.—An air carrier may establish reasonable joint prices

15 and through service with another common carrier. However, an air carrier

16 not directly operating aircraft in air transportation (except an air express

17 company) may not establish under this section a joint price for the transpor18 tation of property with a common carrier subject to subtitle IV of this title.

19 (b) PRICES, CLASSIFICATIONS, RULES, AND PRACTICES AND DIVISIONS OF

20 JOINT PRICES.—For through service by an air carrier and a common carrier

21 subject to subtitle IV of this title, the participating carriers shall establish—

22 (1) reasonable prices and reasonable classifications, rules, and prac23 tices affecting those prices or the value of the transportation provided

24 under those prices; and

25 (2) for joint prices established for the through service, reasonable divi26 sions of those joint prices among the participating carriers.

27 (c) STATEMENTS INCLUDED IN TARIFFS.—An air carrier and a common

28 carrier subject to subtitle IV of this title that are participating in through

29 service and joint prices shall include in their tariffs, filed with the Secretary

30 of Transportation, a statement showing the through service and joint prices.
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1 § 41503. Establishing joint prices for through routes provided

2 by State authorized carriers

3 Subject to sections 41309 and 42111 of this title, a citizen of the United

4 States providing transportation under section 41101(b) of this title may make

5 an agreement with an air carrier or foreign air carrier for joint prices for

6 that transportation. The joint prices agreed to must be the lowest of—

7 (1) the sum of the applicable prices for—

8 (A) the part of the transportation provided in the State and ap9 proved by the appropriate State authority; and

10 (B) the part of the transportation provided by the air carrier or

11 foreign air carrier;

12 (2) a joint price established and filed under section 41504 of this title;

13 or

14 (3) a joint price prescribed by the Secretary of Transportation under

15 section 41507 of this title.

16 § 41504. Tariffs for foreign air transportation

17 (a) FILING AND CONTENTS.—In the way prescribed by regulation by the

18 Secretary of Transportation, every air carrier and foreign air carrier shall

19 file with the Secretary, publish, and keep open to public inspection, tariffs

20 showing the prices for the foreign air transportation provided between places

21 served by the carrier and provided between places served by the carrier and

22 places served by another air carrier or foreign air carrier with which through

23 service and joint prices have been established. A tariff—

24 (1) shall contain—

25 (A) to the extent the Secretary requires by regulation, a descrip26 tion of the classifications, rules, and practices related to the foreign

27 air transportation;

28 (B) a statement of the prices in money of the United States; and

29 (C) other information the Secretary requires by regulation; and

30 (2) may contain—

31 (A) a statement of the prices in money that is not money of the

32 United States; and

33 (B) information that is required under the laws of a foreign

34 country in or to which the air carrier or foreign air carrier is au35 thorized to operate.

36 (b) CHANGES.—(1) Except as provided in paragraph (2) of this subsection,

37 an air carrier or foreign air carrier may change a price or a classification,

38 rule, or practice affecting that price or the value of the transportation pro39 vided under that price, specified in a tariff of the carrier for foreign air

40 transportation only after 30 days after the carrier has filed, published, and

41 posted notice of the proposed change in the same way as required for a tariff
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1 under subsection (a) of this section. However, the Secretary may prescribe an

2 alternative notice requirement, of at least 25 days, to allow an air carrier

3 or foreign air carrier to match a proposed change in a passenger fare or a

4 charge of another air carrier or foreign air carrier. A notice under this para5 graph must state plainly the change proposed and when the change will take

6 effect.

7 (2) If the effect of a proposed change would be to begin a passenger fare

8 that is outside of, or not covered by, the range of passenger fares specified

9 under section 41509(e)(2) and (3) of this title, the proposed change may be

10 put into effect only on the expiration of 60 days after the notice is filed under

11 regulations prescribed by the Secretary.

12 (c) REJECTION OF CHANGES.—The Secretary may reject a tariff or tariff

13 change that is not consistent with this section and regulations prescribed by

14 the Secretary. A tariff or change that is rejected is void.

15 § 41505. Uniform methods for establishing joint prices, and

16 divisions of joint prices, applicable to commuter

17 air carriers

18 (a) DEFINITION.—In this section, ‘‘commuter air carrier’’ means an air

19 carrier providing transportation under section 40109(f) of this title that pro20 vides at least 5 scheduled roundtrips a week between the same 2 places.

21 (b) GENERAL.—Except as provided in subsection (c) of this section, when

22 the Secretary of Transportation prescribes under section 41508 or 41509 of

23 this title a uniform method generally applicable to establishing joint prices

24 and divisions of joint prices for and between air carriers holding certificates

25 issued under section 41102 of this title, the Secretary shall make that uniform

26 method apply to establishing joint prices and divisions of joint prices for and

27 between air carriers and commuter air carriers.

28 (c) NOTICE REQUIRED BEFORE MODIFYING, SUSPENDING, OR ENDING

29 TRANSPORTATION.—A commuter air carrier that has an agreement with an

30 air carrier to provide transportation for passengers and property that in31 cludes through service by the commuter air carrier over the commuter air car32 rier’s routes and air transportation provided by the air carrier shall give the

33 air carrier and the Secretary at least 90 days’ notice before modifying, sus34 pending, or ending the transportation. If the commuter air carrier does not

35 give that notice, the uniform method of establishing joint prices and divisions

36 of joint prices referred to in subsection (b) of this section does not apply to

37 the commuter air carrier.

38 § 41506. Price division filing requirements for foreign air

39 transportation

40 Every air carrier and foreign air carrier shall keep currently on file with

41 the Secretary of Transportation, if the Secretary requires, the established divi-
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1 sions of all joint prices for foreign air transportation in which the carrier

2 participates.

3 § 41507. Authority of the Secretary of Transportation to

4 change prices, classifications, rules, and practices

5 for foreign air transportation

6 (a) GENERAL.—When the Secretary of Transportation decides that a price

7 charged or received by an air carrier or foreign air carrier for foreign air

8 transportation, or a classification, rule, or practice affecting that price or the

9 value of the transportation provided under that price, is or will be unreason10 ably discriminatory, the Secretary may—

11 (1) change the price, classification, rule, or practice as necessary to

12 correct the discrimination; and

13 (2) order the air carrier or foreign air carrier to stop charging or col14 lecting the discriminatory price or carrying out the discriminatory clas15 sification, rule, or practice.

16 (b) WHEN SECRETARY MAY ACT.—The Secretary may act under this sec17 tion on the Secretary’s own initiative or on a complaint filed with the Sec18 retary and only after notice and an opportunity for a hearing.

19 § 41508. Authority of the Secretary of Transportation to ad20 just divisions of joint prices for foreign air trans21 portation

22 (a) GENERAL.—When the Secretary of Transportation decides that a divi23 sion between air carriers, foreign air carriers, or both, of a joint price for

24 foreign air transportation is or will be unreasonable or unreasonably dis25 criminatory against any of those carriers, the Secretary shall prescribe a rea26 sonable division of the joint price among those carriers. The Secretary may

27 order the adjustment in the division of the joint price to be made retroactively

28 to the date the complaint was filed, the date the order for an investigation

29 was made, or a later date the Secretary decides is reasonable.

30 (b) WHEN SECRETARY MAY ACT.—The Secretary may act under this sec31 tion on the Secretary’s own initiative or on a complaint filed with the Sec32 retary and only after notice and an opportunity for a hearing.

33 § 41509. Authority of the Secretary of Transportation to sus34 pend, cancel, and reject tariffs for foreign air

35 transportation

36 (a) CANCELLATION AND REJECTION.—(1) On the initiative of the Secretary

37 of Transportation or on a complaint filed with the Secretary, the Secretary

38 may conduct a hearing to decide whether a price for foreign air transpor39 tation contained in an existing or newly filed tariff of an air carrier or for40 eign air carrier, a classification, rule, or practice affecting that price, or the

41 value of the transportation provided under that price, is lawful. The Sec-
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1 retary may begin the hearing at once and without an answer or another for2 mal pleading by the air carrier or foreign air carrier, but only after reason3 able notice. If, after the hearing, the Secretary decides that the price, classi4 fication, rule, or practice is or will be unreasonable or unreasonably discrimi5 natory, the Secretary may cancel or reject the tariff and prevent the use of

6 the price, classification, rule, or practice.

7 (2) With or without a hearing, the Secretary may cancel or reject an exist8 ing or newly filed tariff of a foreign air carrier and prevent the use of a

9 price, classification, rule, or practice when the Secretary decides that the can10 cellation or rejection is in the public interest.

11 (3) In deciding whether to cancel or reject a tariff of an air carrier or for12 eign air carrier under this subsection, the Secretary shall consider—

13 (A) the effect of the price on the movement of traffic;

14 (B) the need in the public interest of adequate and efficient transpor15 tation by air carriers and foreign air carriers at the lowest cost consist16 ent with providing the transportation;

17 (C) the standards prescribed under law related to the character and

18 quality of transportation to be provided by air carriers and foreign air

19 carriers;

20 (D) the inherent advantages of transportation by aircraft;

21 (E) the need of the air carrier and foreign air carrier for revenue suf22 ficient to enable the air carrier and foreign air carrier, under honest,

23 economical, and efficient management, to provide adequate and efficient

24 air carrier and foreign air carrier transportation;

25 (F) whether the price will be predatory or tend to monopolize competi26 tion among air carriers and foreign air carriers in foreign air transpor27 tation;

28 (G) reasonably estimated or foreseeable future costs and revenues for

29 the air carrier or foreign air carrier for a reasonably limited future pe30 riod during which the price would be in effect; and

31 (H) other factors.

32 (b) SUSPENSION.—(1)(A) Pending a decision under subsection (a)(1) of

33 this section, the Secretary may suspend a tariff and the use of a price con34 tained in the tariff or a classification, rule, or practice affecting that price.

35 (B) The Secretary may suspend a tariff of a foreign air carrier and the

36 use of a price, classification, rule, or practice when the suspension is in the

37 public interest.

38 (2) A suspension becomes effective when the Secretary files with the tariff

39 and delivers to the air carrier or foreign air carrier affected by the suspension

40 a written statement of the reasons for the suspension. To suspend a tariff, rea41 sonable notice of the suspension must be given to the affected carrier.
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1 (3) The suspension of a newly filed tariff may be for periods totaling not

2 more than 365 days after the date the tariff otherwise would go into effect.

3 The suspension of an existing tariff may be for periods totaling not more than

4 365 days after the effective date of the suspension. The Secretary may rescind

5 at any time the suspension of a newly filed tariff and allow the price, classi6 fication, rule, or practice to go into effect.

7 (c) EFFECTIVE TARIFFS AND PRICES WHEN TARIFF IS SUSPENDED, CAN8 CELED, OR REJECTED.—(1) If a tariff is suspended pending the outcome of

9 a proceeding under subsection (a) of this section and the Secretary does not

10 take final action in the proceeding during the suspension period, the tariff

11 goes into effect at the end of that period subject to cancellation when the pro12 ceeding is concluded.

13 (2)(A) During the period of suspension, or after the cancellation or rejec14 tion, of a newly filed tariff (including a tariff that has gone into effect provi15 sionally), the affected air carrier or foreign air carrier shall maintain in ef16 fect and use—

17 (i) the corresponding seasonal prices, or the classifications, rules, and

18 practices affecting those prices or the value of transportation provided

19 under those prices, that were in effect for the carrier immediately before

20 the new tariff was filed; or

21 (ii) another price provided for under an applicable intergovernmental

22 agreement or understanding.

23 (B) If the suspended, canceled, or rejected tariff is the first tariff of the car24 rier for the covered transportation, the carrier, for the purpose of operations

25 during the period of suspension or pending effectiveness of a new tariff, may

26 file another tariff containing a price or another classification, rule, or prac27 tice affecting the price, or the value of the transportation provided under the

28 price, that is in effect (and not subject to a suspension order) for any air

29 carrier providing the same transportation.

30 (3) If an existing tariff is suspended or canceled, the affected air carrier

31 or foreign air carrier, for the purpose of operations during the period of sus32 pension or pending effectiveness of a new tariff, may file another tariff con33 taining a price or another classification, rule, or practice affecting the price,

34 or the value of the transportation provided under the price, that is in effect

35 (and not subject to a suspension order) for any air carrier providing the same

36 transportation.

37 (d) RESPONSE TO REFUSAL OF FOREIGN COUNTRY TO ALLOW AIR CAR38 RIER TO CHARGE A PRICE.—When the Secretary finds that the government

39 or an aeronautical authority of a foreign country has refused to allow an air

40 carrier to charge a price contained in a tariff filed and published under sec41 tion 41504 of this title for foreign air transportation to the foreign country—
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1 (1) the Secretary, without a hearing—

2 (A) may suspend any existing tariff of a foreign air carrier pro3 viding transportation between the United States and the foreign

4 country for periods totaling not more than 365 days after the date

5 of the suspension; and

6 (B) may order the foreign air carrier to charge, during the sus7 pension periods, prices that are the same as those contained in a

8 tariff (designated by the Secretary) of an air carrier filed and pub9 lished under section 41504 of this title for foreign air transportation

10 to the foreign country; and

11 (2) a foreign air carrier may continue to provide foreign air transpor12 tation to the foreign country only if the government or aeronautical au13 thority of the foreign country allows an air carrier to start or continue

14 foreign air transportation to the foreign country at the prices designated

15 by the Secretary.

16 (e) STANDARD FOREIGN FARE LEVEL.—(1)(A) In this subsection, ‘‘stand17 ard foreign fare level’’ means—

18 (i) for a class of fares existing on October 1, 1979, the fare between

19 2 places (as adjusted under subparagraph (B) of this paragraph) filed

20 for and allowed by the Civil Aeronautics Board to go into effect after

21 September 30, 1979, and before August 13, 1980 (with seasonal fares ad22 justed by the percentage difference that prevailed between seasons in

23 1978), or the fare established under section 1002(j)(8) of the Federal

24 Aviation Act of 1958 (Public Law 85–726, 72 Stat. 731), as added by

25 section 24(a) of the International Air Transportation Competition Act

26 of 1979 (Public Law 96–192, 94 Stat. 46); or

27 (ii) for a class of fares established after October 1, 1979, the fare be28 tween 2 places in effect on the effective date of the establishment of the

29 new class.

30 (B) At least once every 60 days for fuel costs, and at least once every 180

31 days for other costs, the Secretary shall adjust the standard foreign fare level

32 for the particular foreign air transportation to which the standard foreign

33 fare level applies by increasing or decreasing that level by the percentage

34 change from the last previous period in the actual operating cost for each

35 available seat-mile. In adjusting a standard foreign fare level, the Secretary

36 may not make an adjustment to costs actually incurred. In establishing a

37 standard foreign fare level and making adjustments in the level under this

38 paragraph, the Secretary may use all relevant or appropriate information

39 reasonably available to the Secretary.

40 (2) The Secretary may not decide that a proposed fare for foreign air

41 transportation is unreasonable on the basis that the fare is too low or too high
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1 if the proposed fare is neither more than 5 percent higher nor 50 percent

2 lower than the standard foreign fare level for the same or essentially similar

3 class of transportation. The Secretary by regulation may increase the 50 per4 cent specified in this paragraph.

5 (3) Paragraph (2) of this subsection does not apply to a proposed fare that

6 is not more than—

7 (A) 5 percent higher than the standard foreign fare level when the Sec8 retary decides that the proposed fare may be unreasonably discrimina9 tory or that suspension of the fare is in the public interest because of

10 an unreasonable regulatory action by the government of a foreign coun11 try that is related to a fare proposal of an air carrier; or

12 (B) 50 percent lower than the standard foreign fare level when the Sec13 retary decides that the proposed fare may be predatory or discriminatory

14 or that suspension of the fare is required because of an unreasonable reg15 ulatory action by the government of a foreign country that is related to

16 a fare proposal of an air carrier.

17 (f) SUBMISSION OF ORDERS TO PRESIDENT.—The Secretary shall submit

18 to the President an order made under this section suspending, canceling, or

19 rejecting a price for foreign air transportation, and an order rescinding the

20 effectiveness of such an order, before publishing the order. Not later than 10

21 days after its submission, the President may disapprove the order on finding

22 disapproval is necessary for United States foreign policy or national defense

23 reasons.

24 (g) COMPLIANCE AS CONDITION OF CERTIFICATE OR PERMIT.—This section

25 and compliance with an order of the Secretary under this section are condi26 tions to any certificate or permit held by an air carrier or foreign air carrier.

27 An air carrier or foreign air carrier may provide foreign air transportation

28 only as long as the carrier maintains prices for that transportation that com29 ply with this section and orders of the Secretary under this section.

30 § 41510. Required adherence to foreign air transportation

31 tariffs

32 (a) PROHIBITED ACTIONS BY AIR CARRIERS, FOREIGN AIR CARRIERS, AND

33 TICKET AGENTS.—An air carrier, foreign air carrier, or ticket agent may

34 not—

35 (1) charge or receive compensation for foreign air transportation that

36 is different from the price specified in the tariff of the carrier that is

37 in effect for that transportation;

38 (2) refund or remit any part of the price specified in the tariff; or

39 (3) extend to any person a privilege or facility, related to a matter

40 required by the Secretary of Transportation to be specified in a tariff

41 for foreign air transportation, except as specified in the tariff.
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1 (b) PROHIBITED ACTIONS BY ANY PERSON.—A person may not know2 ingly—

3 (1) pay compensation for foreign air transportation of property that

4 is different from the price specified in the tariff in effect for that trans5 portation; or

6 (2) solicit, accept, or receive—

7 (A) a refund or remittance of any part of the price specified in

8 the tariff; or

9 (B) a privilege or facility, related to a matter required by the

10 Secretary to be specified in a tariff for foreign air transportation

11 of property, except as specified in the tariff.

12 § 41511. Special prices for foreign air transportation

13 (a) FREE AND REDUCED PRICING.—This chapter does not prohibit an air

14 carrier or foreign air carrier, under terms the Secretary of Transportation

15 prescribes, from issuing or interchanging tickets or passes for free or reduced16 price foreign air transportation to or for the following:

17 (1) a director, officer, or employee of the carrier (including a retired

18 director, officer, or employee who is receiving retirement benefits from an

19 air carrier or foreign air carrier).

20 (2) a parent or the immediate family of such an officer or employee

21 or the immediate family of such a director.

22 (3) a widow, widower, or minor child of an employee of the carrier

23 who died as a direct result of a personal injury sustained when perform24 ing a duty in the service of the carrier.

25 (4) a witness or attorney attending a legal investigation in which the

26 air carrier is interested.

27 (5) an individual injured in an aircraft accident and a physician or

28 nurse attending the individual.

29 (6) a parent or the immediate family of an individual injured or

30 killed in an aircraft accident when the transportation is related to the

31 accident.

32 (7) an individual or property to provide relief in a general epidemic,

33 pestilence, or other emergency.

34 (8) other individuals under other circumstances the Secretary pre35 scribes by regulation.

36 (b) SPACE-AVAILABLE BASIS.—Under terms the Secretary prescribes, an

37 air carrier or foreign air carrier may grant reduced-price foreign air trans38 portation on a space-available basis to the following:

39 (1) a minister of religion.

40 (2) an individual who is at least 60 years of age and no longer gain41 fully employed.
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1 (3) an individual who is at least 65 years of age.

2 (4) an individual who has severely impaired vision or hearing or an3 other physical or mental handicap and an accompanying attendant

4 needed by that individual.

CHAPTER 417—OPERATIONS OF CARRIERS

SUBCHAPTER I—REQUIREMENTS

Sec.

41701. Classification of air carriers.

41702. Interstate air transportation.

41703. Navigation of foreign civil aircraft.

41704. Transporting property not to be transported in aircraft cabins.

41705. Discrimination against handicapped individuals.

41706. Prohibitions against smoking on scheduled flights.

41707. Incorporating contract terms into written instrument.

41708. Reports.

41709. Records of air carriers.

41710. Time requirements.

41711. Air carrier management inquiry and cooperation with other authorities.

41712. Unfair and deceptive practices and unfair methods of competition.

41713. Preemption of authority over prices, routes, and service.

SUBCHAPTER II—SMALL COMMUNITY AIR SERVICE

41731. Definitions.

41732. Basic essential air service.

41733. Level of basic essential air service.

41734. Ending, suspending, and reducing basic essential air service.

41735. Enhanced essential air service.

41736. Air transportation to noneligible places.

41737. Compensation guidelines, limitations, and claims.

41738. Fitness of air carriers.

41739. Air carrier obligations.

41740. Joint proposals.

41741. Insurance.

41742. Ending effective date.

5 SUBCHAPTER I—REQUIREMENTS

6 § 41701. Classification of air carriers

7 The Secretary of Transportation may establish—

8 (1) reasonable classifications for air carriers when required because of

9 the nature of the transportation provided by them; and

10 (2) reasonable requirements for each class when the Secretary decides

11 those requirements are necessary in the public interest.

12 § 41702. Interstate air transportation

13 An air carrier shall provide safe and adequate interstate air transpor14 tation.

15 § 41703. Navigation of foreign civil aircraft

16 (a) PERMITTED NAVIGATION.—A foreign aircraft, not part of the armed

17 forces of a foreign country, may be navigated in the United States only—

18 (1) if the country of registry grants a similar privilege to aircraft of

19 the United States;

20 (2) by an airman holding a certificate or license issued or made valid

21 by the United States Government or the country of registry;
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1 (3) if the Secretary of Transportation authorizes the navigation; and

2 (4) if the navigation is consistent with terms the Secretary may pre3 scribe.

4 (b) REQUIREMENTS FOR AUTHORIZING NAVIGATION.—The Secretary may

5 authorize navigation under this section only if the Secretary decides the au6 thorization is—

7 (1) in the public interest; and

8 (2) consistent with any agreement between the Government and the

9 government of a foreign country.

10 (c) PROVIDING AIR COMMERCE.—The Secretary may authorize an aircraft

11 permitted to navigate in the United States under this section to provide air

12 commerce in the United States. However, the aircraft may take on for com13 pensation, at a place in the United States, passengers or cargo destined for

14 another place in the United States only if—

15 (1) specifically authorized under section 40109(g) of this title; or

16 (2) under regulations the Secretary prescribes authorizing air carriers

17 to provide otherwise authorized air transportation with foreign registered

18 aircraft under lease or charter to them without crew.

19 (d) PERMIT REQUIREMENTS NOT AFFECTED.—This section does not affect

20 section 41301 or 41302 of this title. However, a foreign air carrier holding

21 a permit under section 41302 does not need to obtain additional authoriza22 tion under this section for an operation authorized by the permit.

23 § 41704. Transporting property not to be transported in air24 craft cabins

25 Under regulations or orders of the Secretary of Transportation, an air car26 rier shall transport as baggage the property of a passenger traveling in air

27 transportation that may not be carried in an aircraft cabin because of a law

28 or regulation of the United States. The carrier is liable to pay an amount

29 not more than the amount declared to the carrier by that passenger for actual

30 loss of, or damage to, the property caused by the carrier. The carrier may

31 impose reasonable charges and conditions for its liability.

32 § 41705. Discrimination against handicapped individuals

33 In providing air transportation, an air carrier may not discriminate

34 against an otherwise qualified individual on the following grounds:

35 (1) the individual has a physical or mental impairment that substan36 tially limits one or more major life activities.

37 (2) the individual has a record of such an impairment.

38 (3) the individual is regarded as having such an impairment.
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1 § 41706. Prohibitions against smoking on scheduled flights

2 (a) GENERAL.—An individual may not smoke in the passenger cabin or

3 lavatory of an aircraft on a scheduled airline flight segment in air transpor4 tation or intrastate air transportation that is—

5 (1) between places in a State of the United States, the District of Co6 lumbia, Puerto Rico, or the Virgin Islands;

7 (2) between a place in any jurisdiction referred to in clause (1) of this

8 subsection (except Alaska and Hawaii) and a place in any other of those

9 jurisdictions; or

10 (3)(A) scheduled for not more than 6 hours’ duration; and

11 (B)(i) between a place referred to in clause (1) of this subsection (ex12 cept Alaska and Hawaii) and Alaska or Hawaii; or

13 (ii) between Alaska and Hawaii.

14 (b) REGULATIONS.—The Secretary of Transportation shall prescribe regula15 tions necessary to carry out this section.

16 § 41707. Incorporating contract terms into written instru17 ment

18 To the extent the Secretary of Transportation prescribes by regulation, an

19 air carrier may incorporate by reference in a ticket or written instrument

20 any term of the contract for providing interstate air transportation.

21 § 41708. Reports

22 (a) APPLICATION.—To the extent the Secretary of Transportation finds nec23 essary to carry out this subpart, this section and section 41709 of this title

24 apply to a person controlling an air carrier or affiliated (within the meaning

25 of section 11343(c) of this title) with a carrier.

26 (b) REQUIREMENTS.—The Secretary may require an air carrier or foreign

27 air carrier—

28 (1)(A) to file annual, monthly, periodical, and special reports with the

29 Secretary in the form and way prescribed by the Secretary; and

30 (B) to file the reports under oath;

31 (2) to provide specific answers to questions on which the Secretary

32 considers information to be necessary; and

33 (3) to file with the Secretary a copy of each agreement, arrangement,

34 contract, or understanding between the carrier and another carrier or

35 person related to transportation affected by this subpart.

36 § 41709. Records of air carriers

37 (a) REQUIREMENTS.—The Secretary of Transportation shall prescribe the

38 form of records to be kept by an air carrier, including records on the move39 ment of traffic, receipts and expenditures of money, and the time period dur40 ing which the records shall be kept. A carrier may keep only records pre41 scribed or approved by the Secretary. However, a carrier may keep additional
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1 records if the additional records do not impair the integrity of the records

2 prescribed or approved by the Secretary and are not an unreasonable finan3 cial burden on the carrier.

4 (b) INSPECTION.—(1) The Secretary at any time may—

5 (A) inspect the land, buildings, and equipment of an air carrier or

6 foreign air carrier when necessary to decide under subchapter II of this

7 chapter or section 41102, 41103, or 41302 of this title whether a carrier

8 is fit, willing, and able; and

9 (B) inspect records kept or required to be kept by an air carrier, for10 eign air carrier, or ticket agent.

11 (2) The Secretary may employ special agents or auditors to carry out this

12 subsection.

13 § 41710. Time requirements

14 When a matter requiring action of the Secretary of Transportation is sub15 mitted under section 40109(a) or (c)–(h), 41309, or 42111 of this title and

16 an evidentiary hearing—

17 (1) is ordered, the Secretary shall make a final decision on the matter

18 not later than the last day of the 12th month that begins after the date

19 the matter is submitted; or

20 (2) is not ordered, the Secretary shall make a final decision on the

21 matter not later than the last day of the 6th month that begins after the

22 date the matter is submitted.

23 § 41711. Air carrier management inquiry and cooperation

24 with other authorities

25 In carrying out this subpart, the Secretary of Transportation may—

26 (1) inquire into the management of the business of an air carrier and

27 obtain from the air carrier, and a person controlling, controlled by, or

28 under common control with the carrier, information the Secretary de29 cides reasonably is necessary to carry out the inquiry;

30 (2) confer and hold a joint hearing with a State authority; and

31 (3) exchange information related to aeronautics with a government of

32 a foreign country through appropriate departments, agencies, and in33 strumentalities of the United States Government.

34 § 41712. Unfair and deceptive practices and unfair methods

35 of competition

36 On the initiative of the Secretary of Transportation or the complaint of

37 an air carrier, foreign air carrier, or ticket agent, and if the Secretary con38 siders it is in the public interest, the Secretary may investigate and decide

39 whether an air carrier, foreign air carrier, or ticket agent has been or is en40 gaged in an unfair or deceptive practice or an unfair method of competition

41 in air transportation or the sale of air transportation. If the Secretary, after
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1 notice and an opportunity for a hearing, finds that an air carrier, foreign

2 air carrier, or ticket agent is engaged in an unfair or deceptive practice or

3 unfair method of competition, the Secretary shall order the air carrier, foreign

4 air carrier, or ticket agent to stop the practice or method.

5 § 41713. Preemption of authority over prices, routes, and

6 service

7 (a) DEFINITION.—In this section, ‘‘State’’ means a State, the District of

8 Columbia, and a territory or possession of the United States.

9 (b) PREEMPTION.—(1) Except as provided in this subsection, a State, polit10 ical subdivision of a State, or political authority of at least 2 States may

11 not enact or enforce a law, regulation, or other provision having the force and

12 effect of law related to a price, route, or service of an air carrier that may

13 provide air transportation under this subpart.

14 (2) Paragraph (1) of this subsection does not apply to air transportation

15 provided entirely in Alaska unless the transportation is air transportation

16 (except charter air transportation) provided under a certificate issued under

17 section 41102 of this title.

18 (3) This subsection does not limit a State, political subdivision of a State,

19 or political authority of at least 2 States that owns or operates an airport

20 served by an air carrier holding a certificate issued by the Secretary of

21 Transportation from carrying out its proprietary powers and rights.

22 SUBCHAPTER II—SMALL COMMUNITY AIR SERVICE

23 § 41731. Definitions

24 (a) GENERAL.—In this subchapter—

25 (1) ‘‘eligible place’’ means a place in the United States that—

26 (A) was an eligible point under section 419 of the Federal Avia27 tion Act of 1958 before October 1, 1988;

28 (B) received scheduled air transportation at any time after Janu29 ary 1, 1990; and

30 (C) is not listed in Department of Transportation Orders 89–9–

31 37 and 89–12–52 as a place ineligible for compensation under this

32 subchapter.

33 (2) ‘‘enhanced essential air service’’ means scheduled air transpor34 tation to an eligible place of a higher level or quality than basic essential

35 air service described in section 41732 of this title.

36 (3) ‘‘hub airport’’ means an airport that each year has at least .25

37 percent of the total annual boardings in the United States.

38 (4) ‘‘nonhub airport’’ means an airport that each year has less than

39 .05 percent of the total annual boardings in the United States.
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1 (5) ‘‘small hub airport’’ means an airport that each year has at least

2 .05 percent, but less than .25 percent, of the total annual boardings in

3 the United States.

4 (b) LIMITATION ON AUTHORITY TO DECIDE A PLACE NOT AN ELIGIBLE

5 PLACE.—The Secretary of Transportation may not decide that a place de6 scribed in subsection (a)(1) of this section is not an eligible place on the basis

7 of a passenger subsidy at that place or on another basis that is not specifi8 cally stated in this subchapter.

9 § 41732. Basic essential air service

10 (a) GENERAL.—Basic essential air service provided under section 41733 of

11 this title is scheduled air transportation of passengers and cargo—

12 (1) to a hub airport that has convenient connecting or single-plane air

13 service to a substantial number of destinations beyond that airport; or

14 (2) to a small hub or nonhub airport, when in Alaska or when the

15 nearest hub airport is more than 400 miles from an eligible place.

16 (b) MINIMUM REQUIREMENTS.—Basic essential air service shall include at

17 least the following:

18 (1)(A) for a place not in Alaska, 2 daily round trips 6 days a week,

19 with not more than one intermediate stop on each flight; or

20 (B) for a place in Alaska, a level of service at least equal to that pro21 vided in 1976 or 2 round trips a week, whichever is greater, except that

22 the Secretary of Transportation and the appropriate State authority of

23 Alaska may agree to a different level of service after consulting with the

24 affected community.

25 (2) flights at reasonable times considering the needs of passengers with

26 connecting flights at the airport and at prices that are not excessive com27 pared to the generally prevailing prices of other air carriers for like serv28 ice between similar places.

29 (3) for a place not in Alaska, service provided in an aircraft with an

30 effective capacity of at least 15 passengers if the average daily boardings

31 at the place in any calendar year from 1976-1986 were more than 11

32 passengers unless—

33 (A) that level-of-service requirement would require paying com34 pensation in a fiscal year under section 41733(d) or 41734(d) or

35 (e) of this title for the place when compensation otherwise would not

36 have been paid for that place in that year; or

37 (B) the affected community agrees with the Secretary in writing

38 to the use of smaller aircraft to provide service to the place.

39 (4) service accommodating the estimated passenger and property traf40 fic at an average load factor, for each class of traffic considering seasonal

41 demands for the service, of not more than—
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1 (A) 50 percent; or

2 (B) 60 percent when service is provided by aircraft with more

3 than 14 passenger seats.

4 (5) service provided in aircraft with at least 2 engines and using 2

5 pilots, unless scheduled air transportation has not been provided to the

6 place in aircraft with at least 2 engines and using 2 pilots for at least

7 60 consecutive operating days at any time since October 31, 1978.

8 (6) service provided by pressurized aircraft when the service is pro9 vided by aircraft that regularly fly above 8,000 feet in altitude.

10 § 41733. Level of basic essential air service

11 (a) DECISIONS MADE BEFORE OCTOBER 1, 1988.—For each eligible place

12 for which a decision was made before October 1, 1988, under section 419 of

13 the Federal Aviation Act of 1958, establishing the level of essential air trans14 portation, the level of basic essential air service for that place shall be the

15 level established by the Secretary of Transportation for that place by not later

16 than December 29, 1988.

17 (b) DECISIONS NOT MADE BEFORE OCTOBER 1, 1988.—(1) The Secretary

18 shall decide on the level of basic essential air service for each eligible place

19 for which a decision was not made before October 1, 1988, establishing the

20 level of essential air transportation, when the Secretary receives notice that

21 service to that place will be provided by only one air carrier. The Secretary

22 shall make the decision by the last day of the 6-month period beginning on

23 the date the Secretary receives the notice. The Secretary may impose notice

24 requirements necessary to carry out this subsection. Before making a decision,

25 the Secretary shall consider the views of any interested community and the

26 appropriate State authority of the State in which the community is located.

27 (2) Until the Secretary has made a decision on a level of basic essential

28 air service for an eligible place under this subsection, the Secretary, on peti29 tion by an appropriate representative of the place, shall prohibit an air car30 rier from ending, suspending, or reducing air transportation to that place

31 that appears to deprive the place of basic essential air service.

32 (c) AVAILABILITY OF COMPENSATION.—(1) If the Secretary decides that

33 basic essential air service will not be provided to an eligible place without

34 compensation, the Secretary shall provide notice that an air carrier may

35 apply to provide basic essential air service to the place for compensation

36 under this section. In selecting an applicant, the Secretary shall consider,

37 among other factors—

38 (A) the demonstrated reliability of the applicant in providing sched39 uled air service;

40 (B) the contractual and marketing arrangements the applicant has

41 made with a larger carrier to ensure service beyond the hub airport;
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1 (C) the interline arrangements that the applicant has made with a

2 larger carrier to allow passengers and cargo of the applicant at the hub

3 airport to be transported by the larger carrier through one reservation,

4 ticket, and baggage check-in;

5 (D) the preferences of the actual and potential users of air transpor6 tation at the eligible place, giving substantial weight to the views of the

7 elected officials representing the users; and

8 (E) for an eligible place in Alaska, the experience of the applicant in

9 providing, in Alaska, scheduled air service, or significant patterns of

10 non-scheduled air service under an exemption granted under section

11 40109(a) and (c)–(h) of this title.

12 (2) Under guidelines prescribed under section 41737(a) of this title, the

13 Secretary shall pay the rate of compensation for providing basic essential air

14 service under this section and section 41734 of this title.

15 (d) COMPENSATION PAYMENTS.—The Secretary shall pay compensation

16 under this section at times and in the way the Secretary decides is appro17 priate. The Secretary shall end payment of compensation to an air carrier

18 for providing basic essential air service to an eligible place when the Sec19 retary decides the compensation is no longer necessary to maintain basic es20 sential air service to the place.

21 (e) REVIEW.—The Secretary shall review periodically the level of basic es22 sential air service for each eligible place. Based on the review and consulta23 tions with an interested community and the appropriate State authority of

24 the State in which the community is located, the Secretary may make appro25 priate adjustments in the level of service.

26 § 41734. Ending, suspending, and reducing basic essential

27 air service

28 (a) NOTICE REQUIRED.—An air carrier may end, suspend, or reduce air

29 transportation to an eligible place below the level of basic essential air service

30 established for that place under section 41733 of this title only after giving

31 the Secretary of Transportation, the appropriate State authority, and the af32 fected communities at least 90 days’ notice before ending, suspending, or re33 ducing that transportation.

34 (b) CONTINUATION OF SERVICE FOR 30 DAYS AFTER NOTICE PERIOD.—

35 If at the end of the notice period under subsection (a) of this section the Sec36 retary has not found another air carrier to provide basic essential air service

37 to the eligible place, the Secretary shall require the carrier providing notice

38 to continue to provide basic essential air service to the place for an additional

39 30-day period or until another carrier begins to provide basic essential air

40 service to the place, whichever occurs first.
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1 (c) CONTINUATION OF SERVICE FOR ADDITIONAL 30-DAY PERIODS.—If at

2 the end of the 30-day period under subsection (b) of this section the Secretary

3 decides another air carrier will not provide basic essential air service to the

4 place on a continuing basis, the Secretary shall require the carrier providing

5 service to continue to provide service for additional 30-day periods until an6 other carrier begins providing service on a continuing basis. At the end of

7 each 30-day period, the Secretary shall decide if another carrier will provide

8 service on a continuing basis.

9 (d) CONTINUATION OF COMPENSATION AFTER NOTICE PERIOD.—If an air

10 carrier receiving compensation under section 41733 of this title for providing

11 basic essential air service to an eligible place is required to continue to pro12 vide service to the place under this section after the 90-day notice period

13 under subsection (a) of this section, the Secretary shall continue to pay that

14 compensation after the last day of that period. The Secretary shall pay the

15 compensation until the Secretary finds another carrier to provide the service

16 to the place or the 90th day after the end of that notice period, whichever

17 is earlier. If, after the 90th day after the end of the 90-day notice period,

18 the Secretary has not found another carrier to provide the service, the carrier

19 required to continue to provide that service shall receive compensation suffi20 cient—

21 (1) to pay for the fully allocated actual cost to the carrier of perform22 ing the basic essential air service that was being provided when the 90-

23 day notice was given under subsection (a) of this section plus a reason24 able return on investment that is at least 5 percent of operating costs;

25 and

26 (2) to provide the carrier an additional return that recognizes the

27 demonstrated additional lost profits from opportunities foregone and the

28 likelihood that those lost profits increase as the period during which the

29 carrier is required to provide the service continues.

30 (e) COMPENSATION TO AIR CARRIERS ORIGINALLY PROVIDING SERVICE

31 WITHOUT COMPENSATION.—If the Secretary requires an air carrier providing

32 basic essential air service to an eligible place without compensation under sec33 tion 41733 of this title to continue providing that service after the 90-day

34 notice period required by subsection (a) of this section, the Secretary shall

35 provide the carrier with compensation after the end of the 90-day notice pe36 riod that is sufficient—

37 (1) to pay for the fully allocated actual cost to the carrier of perform38 ing the basic essential air service that was being provided when the 90-

39 day notice was given under subsection (a) of this section plus a reason40 able return on investment that is at least 5 percent of operating costs;

41 and
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1 (2) to provide the carrier an additional return that recognizes the

2 demonstrated additional lost profits from opportunities foregone and the

3 likelihood that those lost profits increase as the period during which the

4 carrier is required to provide the service continues.

5 (f) FINDING REPLACEMENT CARRIERS.—When the Secretary requires an

6 air carrier to continue to provide basic essential air service to an eligible

7 place, the Secretary shall continue to make every effort to find another carrier

8 to provide at least that basic essential air service to the place on a continuing

9 basis.

10 (g) TRANSFER OF AUTHORITY.—If an air carrier, providing basic essential

11 air service under section 41733 of this title between an eligible place and an

12 airport at which the Administrator of the Federal Aviation Administration

13 limits the number of instrument flight rule takeoffs and landings of aircraft,

14 provides notice under subsection (a) of this section of an intention to end,

15 suspend, or reduce that service and another carrier is found to provide the

16 service, the Secretary shall require the carrier providing notice to transfer any

17 operational authority the carrier has to land or take off at that airport relat18 ed to the service to the eligible place to the carrier that will provide the serv19 ice, if—

20 (1) the carrier that will provide the service needs the authority; and

21 (2) the authority to be transferred is being used only to provide air

22 service to the eligible place.

23 § 41735. Enhanced essential air service

24 (a) PROPOSALS.—(1) A State or local government may submit a proposal

25 to the Secretary of Transportation for enhanced essential air service to an eli26 gible place for which basic essential air service is being provided under section

27 41733 of this title. The proposal shall—

28 (A) specify the level and type of enhanced essential air service the

29 State or local government considers appropriate; and

30 (B) include an agreement related to compensation required for the

31 proposed service.

32 (2) The agreement submitted under paragraph (1)(B) of this subsection

33 shall provide that—

34 (A) the State or local government or a person pay 50 percent of the

35 compensation required for the proposed service and the United States

36 Government pay the remaining 50 percent; or

37 (B)(i) the Government pay 100 percent of the compensation; and

38 (ii) if the proposed service is not successful for at least a 2-year period

39 under the criteria prescribed by the Secretary under paragraph (3) of

40 this subsection, the eligible place is not eligible for air service or air
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1 transportation for which compensation is paid by the Secretary under

2 this subchapter.

3 (3) The Secretary shall prescribe by regulation objective criteria for decid4 ing whether enhanced essential air service to an eligible place under this sec5 tion is successful in terms of—

6 (A) increasing passenger usage of the airport facilities at the place;

7 and

8 (B) reducing the amount of compensation provided by the Secretary

9 under this subchapter for that service.

10 (b) DECISIONS.—Not later than 90 days after receiving a proposal under

11 subsection (a) of this section, the Secretary shall—

12 (1) approve the proposal if the Secretary decides the proposal is rea13 sonable; or

14 (2) if the Secretary decides the proposal is not reasonable, disapprove

15 the proposal and notify the State or local government of the disapproval

16 and the reasons for the disapproval.

17 (c) COMPENSATION PAYMENTS.—(1) The Secretary shall pay compensation

18 under this section when and in the way the Secretary decides is appropriate.

19 Compensation for enhanced essential air service under this section may be

20 paid only for the costs incurred in providing air service to an eligible place

21 that are in addition to the costs incurred in providing basic essential air

22 service to the place under section 41733 of this title. The Secretary shall con23 tinue to pay compensation under this section only as long as—

24 (A) the air carrier maintains the level of enhanced essential air serv25 ice;

26 (B) the State or local government or person agreeing to pay compensa27 tion under this section continues to pay the compensation; and

28 (C) the Secretary decides the compensation is necessary to maintain

29 the service to the place.

30 (2) The Secretary may require the State or local government or person

31 agreeing to pay compensation under this section to make advance payments

32 or provide other security to ensure that timely payments are made.

33 (d) REVIEW.—(1) The Secretary shall review periodically the enhanced es34 sential air service provided to each eligible place under this section.

35 (2) For service for which the Government pays 50 percent of the compensa36 tion, based on the review and consultation with the affected community and

37 the State or local government or person paying the remaining 50 percent of

38 the compensation, the Secretary shall make appropriate adjustments in the

39 type and level of service to the place.

40 (3) For service for which the Government pays 100 percent of the com41 pensation, based on the review and consultation with the State or local gov-
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1 ernment submitting the proposal, the Secretary shall decide whether the serv2 ice has succeeded for at least a 2-year period under the criteria prescribed

3 under subsection (a)(3) of this section. If unsuccessful, the place is not eligible

4 for air service or air transportation for which compensation is paid by the

5 Secretary under this subchapter.

6 (e) ENDING, SUSPENDING, AND REDUCING AIR TRANSPORTATION.—An air

7 carrier may end, suspend, or reduce air transportation to an eligible place

8 below the level of enhanced essential air service established for that place by

9 the Secretary under this section only after giving the Secretary, the affected

10 community, and the State or local government or person paying compensa11 tion for that service at least 30 days’ notice before ending, suspending, or re12 ducing the service. This subsection does not relieve the carrier of an obligation

13 under section 41734 of this title.

14 § 41736. Air transportation to noneligible places

15 (a) PROPOSALS AND DECISIONS.—(1) A State or local government may

16 propose to the Secretary of Transportation that the Secretary provide com17 pensation to an air carrier to provide air transportation to a place that is

18 not an eligible place under this subchapter. Not later than 90 days after re19 ceiving a proposal under this section, the Secretary shall—

20 (A) decide whether to designate the place as eligible to receive com21 pensation under this section; and

22 (B)(i) approve the proposal if the State or local government or a per23 son is willing and able to pay 50 percent of the compensation for provid24 ing the transportation, and notify the State or local government of the

25 approval; or

26 (ii) disapprove the proposal if the Secretary decides the proposal is

27 not reasonable under paragraph (2) of this subsection, and notify the

28 State or local government of the disapproval and the reasons for the dis29 approval.

30 (2) In deciding whether a proposal is reasonable, the Secretary shall con31 sider, among other factors—

32 (A) the traffic-generating potential of the place;

33 (B) the cost to the United States Government of providing the pro34 posed transportation; and

35 (C) the distance of the place from the closest hub airport.

36 (b) APPROVAL FOR CERTAIN AIR TRANSPORTATION.—Notwithstanding sub37 section (a)(1)(B) of this section, the Secretary shall approve a proposal under

38 this section to compensate an air carrier for providing air transportation to

39 a place in the 48 contiguous States or the District of Columbia and designate

40 the place as eligible for compensation under this section if—
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1 (1) at any time before October 23, 1978, the place was served by a

2 carrier holding a certificate under section 401 of the Federal Aviation

3 Act of 1958;

4 (2) the place is more than 50 miles from the nearest small hub airport

5 or an eligible place;

6 (3) the place is more than 150 miles from the nearest hub airport; and

7 (4) the State or local government submitting the proposal or a person

8 is willing and able to pay 25 percent of the cost of providing the com9 pensated transportation.

10 (c) LEVEL OF AIR TRANSPORTATION.—(1) If the Secretary designates a

11 place under subsection (a)(1) of this section as eligible for compensation under

12 this section, the Secretary shall decide, not later than 6 months after the date

13 of the designation, on the level of air transportation to be provided under this

14 section. Before making a decision, the Secretary shall consider the views of

15 any interested community, the appropriate State authority of the State in

16 which the place is located, and the State or local government or person agree17 ing to pay compensation for the transportation under subsection (b)(4) of this

18 section.

19 (2) After making the decision under paragraph (1) of this subsection, the

20 Secretary shall provide notice that any air carrier that is willing to provide

21 the level of air transportation established under paragraph (1) for a place

22 may submit an application to provide the transportation. In selecting an ap23 plicant, the Secretary shall consider, among other factors—

24 (A) the factors listed in section 41733(c)(1) of this title; and

25 (B) the views of the State or local government or person agreeing to

26 pay compensation for the transportation.

27 (d) COMPENSATION PAYMENTS.—(1) The Secretary shall pay compensation

28 under this section when and in the way the Secretary decides is appropriate.

29 The Secretary shall continue to pay compensation under this section only as

30 long as—

31 (A) the air carrier maintains the level of air transportation estab32 lished by the Secretary under subsection (c)(1) of this section;

33 (B) the State or local government or person agreeing to pay compensa34 tion for transportation under this section continues to pay that com35 pensation; and

36 (C) the Secretary decides the compensation is necessary to maintain

37 the transportation to the place.

38 (2) The Secretary may require the State or local government or person

39 agreeing to pay compensation under this section to make advance payments

40 or provide other security to ensure that timely payments are made.
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1 (e) REVIEW.—The Secretary shall review periodically the level of air trans2 portation provided under this section. Based on the review and consultation

3 with any interested community, the appropriate State authority of the State

4 in which the community is located, and the State or local government or per5 son paying compensation under this section, the Secretary may make appro6 priate adjustments in the level of transportation.

7 (f) WITHDRAWAL OF ELIGIBILITY DESIGNATIONS.—After providing notice

8 and an opportunity for interested persons to comment, the Secretary may

9 withdraw the designation of a place under subsection (a)(1) of this section

10 as eligible to receive compensation under this section if the place has received

11 air transportation under this section for at least 2 years and the Secretary

12 decides the withdrawal would be in the public interest. The Secretary by regu13 lation shall prescribe standards for deciding whether the withdrawal of a des14 ignation under this subsection is in the public interest. The standards shall

15 include the factors listed in subsection (a)(2) of this section.

16 (g) ENDING, SUSPENDING, AND REDUCING AIR TRANSPORTATION.—An air

17 carrier providing air transportation for compensation under this section may

18 end, suspend, or reduce that transportation below the level of transportation

19 established by the Secretary under this section only after giving the Secretary,

20 the affected community, and the State or local government or person paying

21 compensation under this section at least 30 days’ notice before ending, sus22 pending, or reducing the transportation.

23 § 41737. Compensation guidelines, limitations, and claims

24 (a) COMPENSATION GUIDELINES.—(1) The Secretary of Transportation

25 shall prescribe guidelines governing the rate of compensation payable under

26 this subchapter. The guidelines shall be used to determine the reasonable

27 amount of compensation required to ensure the continuation of air service or

28 air transportation under this subchapter. The guidelines shall—

29 (A) provide for a reduction in compensation when an air carrier does

30 not provide service or transportation agreed to be provided;

31 (B) consider amounts needed by an air carrier to promote public use

32 of the service or transportation for which compensation is being paid;

33 and

34 (C) include expense elements based on representative costs of air car35 riers providing scheduled air transportation of passengers, property, and

36 mail on aircraft of the type the Secretary decides is appropriate for pro37 viding the service or transportation for which compensation is being pro38 vided.

39 (2) Promotional amounts described in paragraph (1)(B) of this subsection

40 shall be a special, segregated element of the compensation provided to a car41 rier under this subchapter.
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1 (b) REQUIRED FINDING.—The Secretary may pay compensation to an air

2 carrier for providing air service or air transportation under this subchapter

3 only if the Secretary finds the carrier is able to provide the service or trans4 portation in a reliable way.

5 (c) CLAIMS.—Not later than 15 days after receiving a written claim from

6 an air carrier for compensation under this subchapter, the Secretary shall—

7 (1) pay or deny the United States Government’s share of a claim; and

8 (2) if denying the claim, notify the carrier of the denial and the rea9 sons for the denial.

10 (d) AUTHORITY TO MAKE AGREEMENTS AND INCUR OBLIGATIONS.—(1)

11 The Secretary may make agreements and incur obligations from the Airport

12 and Airway Trust Fund established under section 9502 of the Internal Reve13 nue Code of 1986 (26 U.S.C. 9502) to pay compensation under this sub14 chapter. An agreement by the Secretary under this subsection is a contractual

15 obligation of the Government to pay the Government’s share of the compensa16 tion.

17 (2) Not more than $38,600,000 is available to the Secretary out of the Fund

18 for each of the fiscal years ending September 30, 1993–1998, to incur obliga19 tions under this section. Amounts made available under this section remain

20 available until expended.

21 § 41738. Fitness of air carriers

22 Notwithstanding section 40109(a) and (c)–(h) of this title, an air carrier

23 may provide air service to an eligible place or air transportation to a place

24 designated under section 41736 of this title only when the Secretary of Trans25 portation decides that—

26 (1) the carrier is fit, willing, and able to perform the service or trans27 portation; and

28 (2) aircraft used to provide the service or transportation, and oper29 ations related to the service or transportation, conform to the safety

30 standards prescribed by the Administrator of the Federal Aviation Ad31 ministration.

32 § 41739. Air carrier obligations

33 If at least 2 air carriers make an agreement to operate under or use a sin34 gle carrier designator code to provide air transportation, the carrier whose

35 code is being used shares responsibility with the other carriers for the quality

36 of transportation provided the public under the code by the other carriers.

37 § 41740. Joint proposals

38 The Secretary of Transportation shall encourage the submission of joint

39 proposals by 2 or more air carriers for providing air service or air transpor40 tation under this subchapter through arrangements that maximize the service

41 or transportation to and from major destinations beyond the hub.
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1 § 41741. Insurance

2 The Secretary of Transportation may pay an air carrier compensation

3 under this subchapter only when the carrier files with the Secretary an insur4 ance policy or self-insurance plan approved by the Secretary. The policy or

5 plan must be sufficient to pay for bodily injury to, or death of, an individual,

6 or for loss of or damage to property of others, resulting from the operation

7 of aircraft, but not more than the amount of the policy or plan limits.

8 § 41742. Ending effective date

9 This subchapter is not effective after September 30, 1998.

10 CHAPTER 419—TRANSPORTATION OF MAIL

Sec.

41901. General authority.

41902. Schedules for certain transportation of mail.

41903. Duty to provide certain transportation of mail.

41904. Noncitizens transporting mail to or in foreign countries.

41905. Regulating air carrier transportation of foreign mail.

41906. Emergency mail transportation.

41907. Prices for foreign transportation of mail.

41908. Prices for transporting mail of foreign countries.

41909. Duty to oppose unreasonable prices under the Universal Postal Union Convention.

41910. Weighing mail.

41911. Evidence of providing mail service.

41912. Effect on foreign postal arrangements.

11 § 41901. General authority

12 (a) TITLE 39.—The United States Postal Service may provide for the

13 transportation of mail by aircraft in interstate air transportation under sec14 tion 5402(d) and (f) of title 39.

15 (b) AUTHORITY TO PRESCRIBE PRICES.—Except as provided in section

16 5402 of title 39, on the initiative of the Secretary of Transportation or on

17 petition by the Postal Service or an air carrier, the Secretary shall prescribe

18 and publish—

19 (1) after notice and an opportunity for a hearing on the record, rea20 sonable prices to be paid by the Postal Service for the transportation of

21 mail by aircraft in foreign air transportation or between places in Alas22 ka, the facilities used in and useful for the transportation of mail, and

23 the services related to the transportation of mail for each carrier holding

24 a certificate that authorizes that transportation;

25 (2) the methods used, whether by aircraft-mile, pound-mile, weight,

26 space, or a combination of those or other methods, to determine the prices

27 for each air carrier or class of air carriers; and

28 (3) the effective date of the prices.

29 (c) OTHER TRANSPORTATION.—In prescribing prices under subsection (b)

30 of this section, the Secretary may include transportation other than by air31 craft that is incidental to transportation of mail by aircraft or necessary be32 cause of emergency conditions related to aircraft operations.
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1 (d) AUTHORITY TO PRESCRIBE DIFFERENT PRICES.—Considering condi2 tions peculiar to transportation by aircraft and to particular air carriers or

3 classes of air carriers, the Secretary may prescribe different prices under this

4 section for different air carriers or classes of air carriers and for different

5 classes of service. In prescribing a price for a carrier under this section, the

6 Secretary shall consider, among other factors, the following:

7 (1) the condition that the carrier may hold and operate under a cer8 tificate authorizing the transportation of mail only by providing nec9 essary and adequate facilities and service for the transportation of mail.

10 (2) standards related to the character and quality of service to be pro11 vided that are prescribed by or under law.

12 (e) STATEMENTS ON PRICES.—A petition for prescribing a reasonable price

13 under this section must include a statement of the price the petitioner believes

14 is reasonable.

15 (f) STATEMENTS ON REQUIRED SERVICES.—The Postal Service shall intro16 duce as part of the record in every proceeding under this section a comprehen17 sive statement of the services to be required of the air carrier and other infor18 mation the Postal Service has that the Secretary considers material to the

19 proceeding.

20 (g) EXPIRATION DATE.—The authority of the Secretary under this part

21 and section 5402 of title 39 providing for the transportation of mail by air22 craft between places in Alaska expires on the date specified in section 5402(f)

23 of title 39.

24 § 41902. Schedules for certain transportation of mail

25 (a) REQUIREMENT.—Except as provided in section 41906 of this title and

26 section 5402 of title 39, an air carrier may transport mail by aircraft in

27 foreign air transportation or between places in Alaska only under a schedule

28 designated or required to be established under subsection (c) of this section

29 for the transportation of mail.

30 (b) STATEMENTS ON PLACES AND SCHEDULES.—Every air carrier shall

31 file with the Secretary of Transportation and the United States Postal Service

32 a statement showing—

33 (1) the places between which the carrier is authorized to provide for34 eign air transportation;

35 (2) the places between which the carrier is authorized to transport

36 mail in Alaska;

37 (3) every schedule of aircraft regularly operated by the carrier between

38 places described in clauses (1) and (2) of this subsection and every

39 change in each schedule; and

40 (4) for each schedule, the places served by the carrier and the time of

41 arrival at, and departure from, each place.
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1 (c) DESIGNATING AND ADDITIONAL SCHEDULES.—The Postal Service

2 may—

3 (1) designate any schedule of an air carrier filed under subsection

4 (b)(3) of this section for the transportation of mail between the places

5 between which the carrier is authorized by its certificate to transport

6 mail; and

7 (2) require the carrier to establish additional schedules for the trans8 portation of mail between those places.

9 (d) CHANGING SCHEDULES.—A schedule designated or required to be estab10 lished for the transportation of mail under subsection (c) of this section may

11 be changed only after 10 days’ notice of the change is filed as provided in

12 subsection (b)(3) of this section. The Postal Service may disapprove a pro13 posed change in a schedule or amend or modify the schedule or proposed

14 change.

15 (e) ORDERS.—An order of the Postal Service under this section may become

16 effective only after 10 days after the order is issued. A person adversely af17 fected by the order may appeal the order to the Secretary before the end of

18 the 10-day period under regulations the Secretary prescribes. If the public

19 convenience and necessity require, the Secretary may amend, modify, suspend,

20 or cancel the order. Pending a decision about the order, the Secretary may

21 postpone the effective date of the order.

22 (f) PROCEEDINGS PREFERENCES.—The Secretary shall give preference to a

23 proceeding under this section over all other proceedings before the Secretary

24 under this subpart.

25 § 41903. Duty to provide certain transportation of mail

26 (a) AIR CARRIERS.—Subject to subsection (b) of this section, an air carrier

27 authorized by its certificate to transport mail by aircraft in foreign air trans28 portation or between places in Alaska shall—

29 (1) provide facilities and services necessary and adequate to provide

30 that transportation; and

31 (2) transport mail between the places authorized in the certificate for

32 transportation of mail when required, and under regulations prescribed,

33 by the United States Postal Service.

34 (b) MAXIMUM MAIL LOAD.—The Secretary of Transportation may prescribe

35 the maximum mail load for a schedule or for an aircraft or type of aircraft

36 for the transportation of mail by aircraft in foreign air transportation or be37 tween places in Alaska. If the Postal Service tenders to an air carrier mail

38 exceeding the maximum load for transportation by the carrier under a sched39 ule designated or required to be established for the transportation of mail

40 under section 41902(c) of this title, the carrier, as nearly in accordance with

41 the schedule as the Secretary decides is possible, shall—
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1 (1) provide facilities sufficient to transport the mail to the extent the

2 Secretary decides the carrier reasonably is able to do so; and

3 (2) transport that mail.

4 § 41904. Noncitizens transporting mail to or in foreign coun5 tries

6 When the United States Postal Service decides that it may be necessary to

7 have a person not a citizen of the United States transport mail by aircraft

8 to or in a foreign country, the Postal Service may make an arrangement with

9 the person, without advertising, to provide the transportation.

10 § 41905. Regulating air carrier transportation of foreign

11 mail

12 An air carrier holding a certificate that authorizes foreign air transpor13 tation and transporting mail of a foreign country shall transport that mail

14 under the control of, and subject to regulation by, the United States Govern15 ment.

16 § 41906. Emergency mail transportation

17 (a) CONTRACT AUTHORITY.—In an emergency caused by a flood, fire, or

18 other disaster, the United States Postal Service may make a contract without

19 advertising to transport mail by aircraft to or from a locality affected by the

20 emergency when the available facilities of persons authorized to transport

21 mail to or from the locality are inadequate to meet the requirements of the

22 Postal Service during the emergency. The contract may be only for periods

23 necessary to maintain mail service because of the inadequacy of the facilities.

24 Payment for transportation provided under the contract shall be made at

25 prices provided in the contract.

26 (b) TRANSPORTATION NOT AIR TRANSPORTATION.—Transportation pro27 vided under a contract made under subsection (a) of this section is not air

28 transportation within the meaning of this part.

29 § 41907. Prices for foreign transportation of mail

30 (a) LIMITATIONS.—When air transportation is provided between the United

31 States and a foreign country both by aircraft owned or operated by an air

32 carrier holding a certificate under chapter 411 of this title and by aircraft

33 owned or operated by a foreign air carrier, the United States Postal Service

34 may not pay to or for the account of the foreign air carrier a price for trans35 porting mail by aircraft between the United States and the foreign country

36 that the Postal Service believes will result (over a reasonable period deter37 mined by the Postal Service considering exchange fluctuations and other fac38 tors) in the foreign air carrier receiving a price for transporting the mail that

39 is higher than the price—
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1 (1) the government of a foreign country or foreign postal administra2 tion pays to air carriers for transporting mail of the foreign country by

3 aircraft between the foreign country and the United States; or

4 (2) determined by the Postal Service to be comparable to the price the

5 government of a foreign country or foreign postal administration pays

6 to air carriers for transporting mail of the foreign country by aircraft

7 between the foreign country and an intermediate country on the route

8 of the air carrier between the foreign country and the United States.

9 (b) CHANGES.—The Secretary of Transportation shall act expeditiously on

10 proposed changes in prices for transporting mail by aircraft in foreign air

11 transportation. When prescribing those prices, the Secretary shall consider—

12 (1) the prices paid for transportation of mail under the Universal

13 Postal Union Convention as ratified by the United States Government;

14 (2) the price-making elements used by the Universal Postal Union in

15 prescribing its airmail prices; and

16 (3) the competitive disadvantage to United States flag air carriers re17 sulting from foreign air carriers receiving Universal Postal Union prices

18 for transporting United States mail and national origin mail of their

19 own countries.

20 § 41908. Prices for transporting mail of foreign countries

21 (a) PRICE DETERMINATIONS.—The United States Postal Service shall de22 termine the prices that an air carrier holding a certificate that authorizes for23 eign air transportation must charge a government of a foreign country or for24 eign postal administration for transporting mail of the foreign country. The

25 Postal Service shall put those prices into effect under the postal convention

26 regulating postal relations between the United States and the foreign country

27 or as provided under this section.

28 (b) CHANGES.—The Postal Service may authorize an air carrier holding

29 a certificate that authorizes foreign air transportation, under limitations the

30 Postal Service prescribes, to change the prices the carrier charges a govern31 ment of a foreign country or foreign postal administration for transporting

32 mail of the foreign country in the foreign country or between the foreign coun33 try and another foreign country.

34 (c) COLLECTING COMPENSATION.—(1) When an air carrier holding a cer35 tificate that authorizes foreign air transportation transports mail of a foreign

36 country—

37 (A) under an arrangement with a government of a foreign country or

38 foreign postal administration made or approved under this section, the

39 carrier must collect its compensation for the transportation from the for40 eign country under the arrangement; and
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1 (B) without having an arrangement with a government of a foreign

2 country or foreign postal administration consistent with this section, the

3 compensation collected by the United States Government for the trans4 portation shall be for the account of the air carrier.

5 (2) An air carrier holding a certificate that authorizes foreign air transpor6 tation is not entitled to receive compensation from both a government of a

7 foreign country or foreign postal administration and the United States Gov8 ernment for transporting the same mail of the foreign country.

9 § 41909. Duty to oppose unreasonable prices under the Uni10 versal Postal Union Convention

11 The Secretary of State and the United States Postal Service shall—

12 (1) take appropriate action to ensure that the prices paid for trans13 porting mail under the Universal Postal Union Convention are not high14 er than reasonable prices for transporting mail; and

15 (2) oppose any existing or proposed Universal Postal Union price that

16 is higher than a reasonable price for transporting mail.

17 § 41910. Weighing mail

18 The United States Postal Service may weigh mail transported by aircraft

19 and make statistical and administrative computations necessary in the inter20 est of mail service. When the Secretary of Transportation decides that addi21 tional or more frequent weighings of mail are advisable or necessary to carry

22 out this part, the Postal Service shall provide the weighings, but it is not re23 quired to provide them for continuous periods of more than 30 days.

24 § 41911. Evidence of providing mail service

25 When and in the form required by the United States Postal Service, an

26 air carrier transporting or handling—

27 (1) United States mail shall submit evidence, signed by an authorized

28 official, that the transportation or handling has been provided; and

29 (2) mail of a foreign country shall submit evidence, signed by an au30 thorized official, of the amount of mail transported or handled and the

31 compensation payable and received for that transportation or handling.

32 § 41912. Effect on foreign postal arrangements

33 This part does not—

34 (1) affect an arrangement made by the United States Government

35 with the postal administration of a foreign country related to the trans36 portation of mail by aircraft; or

37 (2) impair the authority of the United States Postal Service to make

38 such an arrangement.

39 CHAPTER 421—LABOR-MANAGEMENT PROVISIONS

SUBCHAPTER I—EMPLOYEE PROTECTION PROGRAM

Sec.
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42101. Definitions.

42102. Payments to eligible protected employees.

42103. Duty to hire protected employees.

42104. Congressional review of regulations.

42105. Airline Employees Protective Account.

42106. Ending effective date.

SUBCHAPTER II—MUTUAL AID AGREEMENTS AND LABOR REQUIREMENTS OF AIR

CARRIERS

42111. Mutual aid agreements.

42112. Labor requirements of air carriers.

1 SUBCHAPTER I—EMPLOYEE PROTECTION PROGRAM

2 § 42101. Definitions

3 (a) GENERAL.—In this subchapter—

4 (1) ‘‘eligible protected employee’’ means a protected employee who is

5 deprived of employment, or who is adversely affected related to com6 pensation, because of a qualifying dislocation.

7 (2) ‘‘major contraction’’ means a reduction (except as provided in sub8 section (b) of this section) of at least 7.5 percent in the number of full9 time employees of an air carrier within a 12-month period, except for

10 employees deprived of employment because of a strike or whose employ11 ment is ended for cause.

12 (3) ‘‘protected employee’’ means an individual who on October 24,

13 1978, was employed for at least 4 years by an air carrier that held a

14 certificate under section 401 of the Federal Aviation Act of 1958, but

15 does not include a director or officer of a corporation.

16 (4) ‘‘qualifying dislocation’’ means a bankruptcy or major contraction

17 of an air carrier holding a certificate under section 41102 of this title

18 when the Secretary of Transportation finds the bankruptcy or contrac19 tion occurred after December 31, 1978, and before January 1, 1989, the

20 major cause of which was the change in regulatory structure provided

21 by the Airline Deregulation Act of 1978.

22 (b) MAJOR CONTRACTION.—The Secretary may find a reduction of less

23 than 7.5 percent of the number of full-time employees is part of a major con24 traction if the Secretary decides another reduction is likely to occur within

25 the 12-month period in which the first reduction occurs that, when included

26 with the first reduction, will result in a total reduction of more than 7.5 per27 cent.

28 § 42102. Payments to eligible protected employees

29 (a) AUTHORITY TO PAY AND APPLICATIONS FOR PAYMENTS.—Subject to

30 amounts provided in an appropriation law, the Secretary of Labor shall make

31 monthly assistance payments, moving expense payments, and reimbursement

32 payments as provided under this section to an eligible protected employee

33 whose employment is not ended for cause. The employee must apply to receive

34 the payments and cooperate with the Secretary in finding other employment.
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1 (b) NUMBER AND AMOUNT OF PAYMENTS.—(1) Subject to amounts pro2 vided in an appropriation law, an eligible protected employee shall receive

3 72 monthly assistance payments. However, an eligible protected employee de4 prived of employment may not receive a payment after obtaining other em5 ployment. For each class or craft of protected employees, the Secretary of

6 Labor, after consulting with the Secretary of Transportation, shall prescribe

7 by regulation guidelines for computing the amount of each monthly assistance

8 payment to be made to a member of the class or craft and what percentage

9 of salary that payment represents.

10 (2) The amount of a monthly payment payable under paragraph (1) of this

11 subsection to an eligible protected employee shall be reduced—

12 (A) by unemployment compensation the employee receives; or

13 (B) if the employee does not accept reasonably comparable employ14 ment, to an amount the employee would be entitled to receive if the em15 ployee had accepted the employment.

16 (3) If accepting comparable employment to avoid a reduction in the month17 ly assistance payment under paragraph (2) of this subsection would force an

18 eligible protected employee to relocate, the employee may decide not to relo19 cate. Instead of the payments provided under this section, the employee may

20 receive the lesser of 3 payments or the maximum number of payments that

21 remain to be paid under paragraph (1) of this subsection.

22 (c) MOVING EXPENSES AND REIMBURSEMENTS.—(1) Subject to amounts

23 provided in an appropriation law, an eligible protected employee who relo24 cates shall receive—

25 (A) reasonable moving expense payments to move the employee and the

26 employee’s immediate family; and

27 (B) reimbursement payments for a loss incurred in selling the employ28 ee’s principal place of residence for less than fair market value or in can29 celling a lease on, or contract to buy, the residence.

30 (2) The Secretary of Labor shall decide on the amount of the moving ex31 penses and the fair market value of the residence.

32 § 42103. Duty to hire protected employees

33 (a) REHIRING PROTECTED EMPLOYEES.—A protected employee of an air

34 carrier regulated by the Secretary of Transportation who was furloughed or

35 whose employment was ended by the carrier (except for cause) before October

36 23, 1988, is entitled to be the first employed in the occupational specialty of

37 the employee, regardless of the employee’s age, by any other air carrier hold38 ing a certificate under section 41102 of this title before October 24, 1978.

39 However, the air carrier may recall its furloughed employees before hiring a

40 protected employee of another air carrier regulated by the Secretary who was

41 furloughed or whose employment was ended by the other carrier (except for
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1 cause) before October 23, 1988. An employee hired by an air carrier under

2 this section retains seniority and recall rights with the air carrier that fur3 loughed or ended the employment of the employee.

4 (b) DUTIES OF SECRETARY OF LABOR.—The Secretary of Labor—

5 (1) shall establish and publish periodically a list of jobs available with

6 an air carrier holding a certificate under section 41102 of this title that

7 includes necessary information and detail;

8 (2) shall assist eligible protected employees to find other employment;

9 (3) shall encourage negotiations between air carriers and representa10 tives of employees on rehiring practices and seniority; and

11 (4) may require an air carrier to file with the Secretary information

12 necessary to carry out this section.

13 § 42104. Congressional review of regulations

14 (a) DEFINITION.—In this section, ‘‘legislative day’’ means a calendar day

15 on which both Houses of Congress are in session.

16 (b) SUBMISSION TO CONGRESS.—The Secretary of Labor may not prescribe

17 a regulation under this subchapter until 30 legislative days after the regula18 tion is submitted to the Committee on Commerce, Science, and Transpor19 tation of the Senate and the Committee on Public Works and Transportation

20 of the House of Representatives.

21 (c) EFFECTIVENESS OF REGULATIONS.—A proposed regulation under this

22 subchapter shall be submitted to Congress and becomes effective only if, during

23 the period of 60 legislative days after the regulation is submitted to Congress,

24 either House does not pass a resolution disapproving the regulation. However,

25 if Congress adopts a resolution approving the regulation during the 60-day

26 period, the regulation is effective on that date.

27 § 42105. Airline Employees Protective Account

28 The Department of Labor has an Airline Employees Protective Account

29 consisting of amounts appropriated to it. An amount necessary to carry out

30 this subchapter, including administrative expenses, may be appropriated to

31 the Account annually.

32 § 42106. Ending effective date

33 This subchapter is not effective after the last day the Secretary of Labor

34 must make a payment under this subchapter.

35 SUBCHAPTER II—MUTUAL AID AGREEMENTS AND LABOR

36 REQUIREMENTS OF AIR CARRIERS

37 § 42111. Mutual aid agreements

38 An air carrier that will receive payments from another air carrier under

39 an agreement between the air carriers for the time the one air carrier is not

40 providing foreign air transportation, or is providing reduced levels of foreign

41 air transportation, because of a labor strike must file a true copy of the agree-
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1 ment with the Secretary of Transportation and have it approved by the Sec2 retary under section 41309 of this title. Notwithstanding section 41309, the

3 Secretary shall approve the agreement only if it provides that—

4 (1) the air carrier will receive payments of not more than 60 percent

5 of direct operating expenses, including interest expenses, but not depre6 ciation or amortization expenses;

7 (2) benefits may be paid for not more than 8 weeks, and may not be

8 for losses incurred during the first 30 days of a strike; and

9 (3) on request of the striking employees, the dispute will be submitted

10 to binding arbitration under the Railway Labor Act (45 U.S.C. 151 et

11 seq.).

12 § 42112. Labor requirements of air carriers

13 (a) DEFINITIONS.—In this section—

14 (1) ‘‘copilot’’ means an employee whose duties include assisting or re15 lieving the pilot in manipulating an aircraft and who is qualified to

16 serve as, and has in effect an airman certificate authorizing the employee

17 to serve as, a copilot.

18 (2) ‘‘pilot’’ means an employee who is—

19 (A) responsible for manipulating or who manipulates the flight

20 controls of an aircraft when under way, including the landing and

21 takeoff of an aircraft; and

22 (B) qualified to serve as, and has in effect an airman certificate

23 authorizing the employee to serve as, a pilot.

24 (b) DUTIES OF AIR CARRIERS.—An air carrier shall—

25 (1) maintain rates of compensation, maximum hours, and other work26 ing conditions and relations for its pilots and copilots who are providing

27 interstate air transportation in the 48 contiguous States and the District

28 of Columbia to conform with decision number 83, May 10, 1934, Na29 tional Labor Board, notwithstanding any limitation in that decision on

30 the period of its effectiveness;

31 (2) maintain rates of compensation for its pilots and copilots who are

32 providing foreign air transportation or air transportation only in one

33 territory or possession of the United States; and

34 (3) comply with title II of the Railway Labor Act (45 U.S.C. 181 et

35 seq.) as long as it holds its certificate.

36 (c) MINIMUM ANNUAL RATE OF COMPENSATION.—A minimum annual rate

37 under subsection (b)(2) of this section may not be less than the annual rate

38 required to be paid for comparable service to a pilot or copilot under sub39 section (b)(1) of this section.
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1 (d) COLLECTIVE BARGAINING.—This section does not prevent pilots or copi2 lots of an air carrier from obtaining by collective bargaining higher rates of

3 compensation or more favorable working conditions or relations.

4 SUBPART III—SAFETY

5 CHAPTER 441—REGISTRATION AND RECORDATION OF

6 AIRCRAFT

Sec.

44101. Operation of aircraft.

44102. Registration requirements.

44103. Registration of aircraft.

44104. Registration of aircraft components and dealers’ certificates of registration.

44105. Suspension and revocation of aircraft certificates.

44106. Revocation of aircraft certificates for controlled substance violations.

44107. Recordation of conveyances, leases, and security instruments.

44108. Validity of conveyances, leases, and security instruments.

44109. Reporting transfer of ownership.

44110. Information about aircraft ownership and rights.

44111. Modifications in registration and recordation system for aircraft not providing air

transportation.

44112. Limitation of liability.

7 § 44101. Operation of aircraft

8 (a) REGISTRATION REQUIREMENT.—Except as provided in subsection (b)

9 of this section, a person may operate an aircraft only when the aircraft is

10 registered under section 44103 of this title.

11 (b) EXCEPTIONS.—A person may operate an aircraft in the United States

12 that is not registered—

13 (1) when authorized under section 40103(d) or 41703 of this title;

14 (2) when it is an aircraft of the national defense forces of the United

15 States and is identified in a way satisfactory to the Administrator of

16 the Federal Aviation Administration; and

17 (3) for a reasonable period of time after a transfer of ownership, under

18 regulations prescribed by the Administrator.

19 § 44102. Registration requirements

20 (a) ELIGIBILITY.—An aircraft may be registered under section 44103 of

21 this title only when the aircraft is—

22 (1) not registered under the laws of a foreign country and is owned

23 by—

24 (A) a citizen of the United States;

25 (B) an individual citizen of a foreign country lawfully admitted

26 for permanent residence in the United States; or

27 (C) a corporation not a citizen of the United States when the cor28 poration is organized and doing business under the laws of the

29 United States or a State, and the aircraft is based and primarily

30 used in the United States; or

31 (2) an aircraft of—
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1 (A) the United States Government; or

2 (B) a State, the District of Columbia, a territory or possession

3 of the United States, or a political subdivision of a State, territory,

4 or possession.

5 (b) DUTY TO DEFINE CERTAIN TERM.—In carrying out subsection

6 (a)(1)(C) of this section, the Secretary of Transportation shall define ‘‘based

7 and primarily used in the United States’’.

8 § 44103. Registration of aircraft

9 (a) GENERAL.—(1) On application of the owner of an aircraft that meets

10 the requirements of section 44102 of this title, the Administrator of the Fed11 eral Aviation Administration shall—

12 (A) register the aircraft; and

13 (B) issue a certificate of registration to its owner.

14 (2) The Administrator may prescribe the extent to which an aircraft owned

15 by the holder of a dealer’s certificate of registration issued under section

16 44104(2) of this title also is registered under this section.

17 (b) CONTROLLED SUBSTANCE VIOLATIONS.—(1) The Administrator may

18 not issue an owner’s certificate of registration under subsection (a)(1) of this

19 section to a person whose certificate is revoked under section 44106 of this

20 title during the 5-year period beginning on the date of the revocation, ex21 cept—

22 (A) as provided in section 44106(e)(2) of this title; or

23 (B) that the Administrator may issue the certificate to the person after

24 the one-year period beginning on the date of the revocation if the Admin25 istrator decides that the aircraft otherwise meets the requirements of sec26 tion 44102 of this title and that denial of a certificate for the 5-year pe27 riod—

28 (i) would be excessive considering the nature of the offense or the

29 act committed and the burden the denial places on the person; or

30 (ii) would not be in the public interest.

31 (2) A decision of the Administrator under paragraph (1)(B)(i) or (ii) of

32 this subsection is within the discretion of the Administrator. That decision

33 or failure to make a decision is not subject to administrative or judicial re34 view.

35 (c) CERTIFICATES AS EVIDENCE.—A certificate of registration issued under

36 this section is—

37 (1) conclusive evidence of the nationality of an aircraft for inter38 national purposes, but not conclusive evidence in a proceeding under the

39 laws of the United States; and

40 (2) not evidence of ownership of an aircraft in a proceeding in which

41 ownership is or may be in issue.
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1 (d) CERTIFICATES AVAILABLE FOR INSPECTION.—An operator of an air2 craft shall make available for inspection a certificate of registration for the

3 aircraft when requested by a United States Government, State, or local law

4 enforcement officer.

5 § 44104. Registration of aircraft components and dealers’

6 certificates of registration

7 The Administrator of the Federal Aviation Administration may prescribe

8 regulations—

9 (1) in the interest of safety for registering and identifying an aircraft

10 engine, propeller, or appliance; and

11 (2) in the public interest for issuing, suspending, and revoking a deal12 er’s certificate of registration under this chapter and for its use by a per13 son manufacturing, distributing, or selling aircraft.

14 § 44105. Suspension and revocation of aircraft certificates

15 The Administrator of the Federal Aviation Administration may suspend or

16 revoke a certificate of registration issued under section 44103 of this title

17 when the aircraft no longer meets the requirements of section 44102 of this

18 title.

19 § 44106. Revocation of aircraft certificates for controlled sub20 stance violations

21 (a) DEFINITION.—In this section, ‘‘controlled substance’’ has the same

22 meaning given that term in section 102 of the Comprehensive Drug Abuse

23 Prevention and Control Act of 1970 (21 U.S.C. 802).

24 (b) REVOCATIONS.—(1) The Administrator of the Federal Aviation Admin25 istration shall issue an order revoking the certificate of registration for an

26 aircraft issued to an owner under section 44103 of this title and any other

27 certificate of registration that the owner of the aircraft holds under section

28 44103, if the Administrator finds that—

29 (A) the aircraft was used to carry out, or facilitate, an activity that

30 is punishable by death or imprisonment for more than one year under

31 a law of the United States or a State related to a controlled substance

32 (except a law related to simple possession of a controlled substance); and

33 (B) the owner of the aircraft permitted the use of the aircraft knowing

34 that the aircraft was to be used for the activity described in clause (A)

35 of this paragraph.

36 (2) An aircraft owner that is not an individual is deemed to have per37 mitted the use of the aircraft knowing that the aircraft was to be used for

38 the activity described in paragraph (1)(A) of this subsection only if a major39 ity of the individuals who control the owner of the aircraft or who are in40 volved in forming the major policy of the owner permitted the use of the air-
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1 craft knowing that the aircraft was to be used for the activity described in

2 paragraph (1)(A).

3 (c) ADVICE TO HOLDERS AND OPPORTUNITY TO ANSWER.—Before the Ad4 ministrator revokes a certificate under subsection (b) of this section, the Ad5 ministrator shall—

6 (1) advise the holder of the certificate of the charges or reasons on

7 which the Administrator bases the proposed action; and

8 (2) provide the holder of the certificate an opportunity to answer the

9 charges and state why the certificate should not be revoked.

10 (d) APPEALS.—(1) A person whose certificate is revoked by the Adminis11 trator under subsection (b) of this section may appeal the revocation order

12 to the National Transportation Safety Board. The Board shall affirm or re13 verse the order after providing notice and a hearing on the record. In conduct14 ing the hearing, the Board is not bound by the findings of fact of the Admin15 istrator.

16 (2) When a person files an appeal with the Board under this subsection,

17 the order of the Administrator revoking the certificate is stayed. However, if

18 the Administrator advises the Board that safety in air transportation or air

19 commerce requires the immediate effectiveness of the order—

20 (A) the order remains effective; and

21 (B) the Board shall dispose of the appeal not later than 60 days after

22 notification by the Administrator under this paragraph.

23 (3) A person substantially affected by an order of the Board under this sub24 section may seek judicial review of the order under section 46110 of this title.

25 The Administrator shall be made a party to that judicial proceeding.

26 (e) ACQUITTAL.—(1) The Administrator may not revoke, and the Board

27 may not affirm a revocation of, a certificate of registration under this section

28 on the basis of an activity described in subsection (b)(1)(A) of this section

29 if the holder of the certificate is acquitted of all charges related to a controlled

30 substance in an indictment or information arising from the activity.

31 (2) If the Administrator has revoked a certificate of registration of a person

32 under this section because of an activity described in subsection (b)(1)(A) of

33 this section, the Administrator shall reissue a certificate to the person if the

34 person—

35 (A) subsequently is acquitted of all charges related to a controlled sub36 stance in an indictment or information arising from the activity; and

37 (B) otherwise meets the requirements of section 44102 of this title.

38 § 44107. Recordation of conveyances, leases, and security in39 struments

40 (a) ESTABLISHMENT OF SYSTEM.—The Administrator of the Federal Avia41 tion Administration shall establish a system for recording—
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1 (1) conveyances that affect an interest in civil aircraft of the United

2 States;

3 (2) leases and instruments executed for security purposes, including

4 conditional sales contracts, assignments, and amendments, that affect an

5 interest in—

6 (A) a specifically identified aircraft engine having at least 750

7 rated takeoff horsepower or its equivalent;

8 (B) a specifically identified aircraft propeller capable of absorb9 ing at least 750 rated takeoff shaft horsepower;

10 (C) an aircraft engine, propeller, or appliance maintained for in11 stallation or use in an aircraft, aircraft engine, or propeller, by or

12 for an air carrier holding a certificate issued under section 44705

13 of this title; and

14 (D) spare parts maintained by or for an air carrier holding a

15 certificate issued under section 44705 of this title; and

16 (3) releases, cancellations, discharges, and satisfactions related to a

17 conveyance, lease, or instrument recorded under clause (1) or (2) of this

18 subsection.

19 (b) GENERAL DESCRIPTION REQUIRED.—A lease or instrument recorded

20 under subsection (a)(2)(C) or (D) of this section only has to describe generally

21 the engine, propeller, appliance, or spare part by type and designate its loca22 tion.

23 (c) ACKNOWLEDGMENT.—Except as the Administrator otherwise may pro24 vide, a conveyance, lease, or instrument may be recorded under subsection (a)

25 of this section only after it has been acknowledged before—

26 (1) a notary public; or

27 (2) another officer authorized under the laws of the United States, a

28 State, the District of Columbia, or a territory or possession of the United

29 States to acknowledge deeds.

30 (d) RECORDS AND INDEXES.—The Administrator shall—

31 (1) keep a record of the time and date that each conveyance, lease, and

32 instrument is filed and recorded with the Administrator; and

33 (2) record each conveyance, lease, and instrument filed with the Ad34 ministrator, in the order of their receipt, and index them by—

35 (A) the identifying description of the aircraft, aircraft engine, or

36 propeller, or location specified in a lease or instrument recorded

37 under subsection (a)(2)(C) or (D) of this section; and

38 (B) the names of the parties to each conveyance, lease, and in39 strument.
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1 § 44108. Validity of conveyances, leases, and security instru2 ments

3 (a) VALIDITY BEFORE FILING.—Until a conveyance, lease, or instrument

4 executed for security purposes that may be recorded under section 44107(a)(1)

5 or (2) of this title is filed for recording, the conveyance, lease, or instrument

6 is valid only against—

7 (1) the person making the conveyance, lease, or instrument;

8 (2) that person’s heirs and devisees; and

9 (3) a person having actual notice of the conveyance, lease, or instru10 ment.

11 (b) PERIOD OF VALIDITY.—When a conveyance, lease, or instrument is re12 corded under section 44107 of this title, the conveyance, lease, or instrument

13 is valid from the date of filing against all persons, without other recordation,

14 except that—

15 (1) a lease or instrument recorded under section 44107(a)(2)(A) or (B)

16 of this title is valid for a specifically identified engine or propeller with17 out regard to a lease or instrument previously or subsequently recorded

18 under section 44107(a)(2)(C) or (D); and

19 (2) a lease or instrument recorded under section 44107(a)(2)(C) or (D)

20 of this title is valid only for items at the location designated in the lease

21 or instrument.

22 (c) APPLICABLE LAWS.—(1) The validity of a conveyance, lease, or instru23 ment that may be recorded under section 44107 of this title is subject to the

24 laws of the State, the District of Columbia, or the territory or possession of

25 the United States at which the conveyance, lease, or instrument is delivered,

26 regardless of the place at which the subject of the conveyance, lease, or instru27 ment is located or delivered. If the conveyance, lease, or instrument specifies

28 the place at which delivery is intended, it is presumed that the conveyance,

29 lease, or instrument was delivered at the specified place.

30 (2) This subsection does not take precedence over the Convention on the

31 International Recognition of Rights in Aircraft (4 U.S.T. 1830).

32 (d) NONAPPLICATION.—This section does not apply to—

33 (1) a conveyance described in section 44107(a)(1) of this title that was

34 made before August 22, 1938; or

35 (2) a lease or instrument described in section 44107(a)(2) of this title

36 that was made before June 20, 1948.

37 § 44109. Reporting transfer of ownership

38 (a) FILING NOTICES.—A person having an ownership interest in an air39 craft for which a certificate of registration was issued under section 44103

40 of this title shall file a notice with the Secretary of the Treasury that the Sec-
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1 retary requires by regulation, not later than 15 days after a sale, conditional

2 sale, transfer, or conveyance of the interest.

3 (b) EXEMPTIONS.—The Secretary—

4 (1) shall prescribe regulations that establish guidelines for exempting

5 a person or class from subsection (a) of this section; and

6 (2) may exempt a person or class under the regulations.

7 § 44110. Information about aircraft ownership and rights

8 The Administrator of the Federal Aviation Administration may provide by

9 regulation for—

10 (1) endorsing information on each certificate of registration issued

11 under section 44103 of this title and each certificate issued under section

12 44704 of this title about ownership of the aircraft for which each certifi13 cate is issued; and

14 (2) recording transactions affecting an interest in, and for other

15 records, proceedings, and details necessary to decide the rights of a party

16 related to, a civil aircraft of the United States, aircraft engine, propeller,

17 appliance, or spare part.

18 § 44111. Modifications in registration and recordation sys19 tem for aircraft not providing air transportation

20 (a) APPLICATION.—This section applies only to aircraft not used to provide

21 air transportation.

22 (b) AUTHORITY TO MAKE MODIFICATIONS.—The Administrator of the Fed23 eral Aviation Administration shall make modifications in the system for reg24 istering and recording aircraft necessary to make the system more effective

25 in serving the needs of—

26 (1) buyers and sellers of aircraft;

27 (2) officials responsible for enforcing laws related to the regulation of

28 controlled substances (as defined in section 102 of the Comprehensive

29 Drug Abuse Prevention and Control Act of 1970 (21 U.S.C. 802)); and

30 (3) other users of the system.

31 (c) NATURE OF MODIFICATIONS.—Modifications made under subsection (b)

32 of this section—

33 (1) may include a system of titling aircraft or registering all aircraft,

34 even aircraft not operated;

35 (2) shall ensure positive, verifiable, and timely identification of the

36 true owner; and

37 (3) shall address at least each of the following deficiencies in and

38 abuses of the existing system:

39 (A) the registration of aircraft to fictitious persons.

40 (B) the use of false or nonexistent addresses by persons registering

41 aircraft.
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1 (C) the use by a person registering an aircraft of a post office

2 box or ‘‘mail drop’’ as a return address to evade identification of

3 the person’s address.

4 (D) the registration of aircraft to entities established to facilitate

5 unlawful activities.

6 (E) the submission of names of individuals on applications for

7 registration of aircraft that are not identifiable.

8 (F) the ability to make frequent legal changes in the registration

9 markings assigned to aircraft.

10 (G) the use of false registration markings on aircraft.

11 (H) the illegal use of ‘‘reserved’’ registration markings on air12 craft.

13 (I) the large number of aircraft classified as being in ‘‘self-re14 ported status’’.

15 (J) the lack of a system to ensure timely and adequate notice of

16 the transfer of ownership of aircraft.

17 (K) the practice of allowing temporary operation and navigation

18 of aircraft without the issuance of a certificate of registration.

19 (d) REGULATIONS.—(1) The Administrator of the Federal Aviation Admin20 istration shall prescribe regulations to carry out this section and provide a

21 written explanation of how the regulations address each of the deficiencies and

22 abuses described in subsection (c) of this section. In prescribing the regula23 tions, the Administrator of the Federal Aviation Administration shall consult

24 with the Administrator of Drug Enforcement, the Commissioner of Customs,

25 other law enforcement officials of the United States Government, representa26 tives of State and local law enforcement officials, representatives of the general

27 aviation aircraft industry, representatives of users of general aviation air28 craft, and other interested persons.

29 (2) Regulations prescribed under this subsection shall require that—

30 (A) each individual listed in an application for registration of an air31 craft provide with the application the individual’s driver’s license num32 ber; and

33 (B) each person (not an individual) listed in an application for reg34 istration of an aircraft provide with the application the person’s tax35 payer identifying number.

36 § 44112. Limitation of liability

37 (a) DEFINITIONS.—In this section—

38 (1) ‘‘lessor’’ means a person leasing for at least 30 days a civil air39 craft, aircraft engine, or propeller.

40 (2) ‘‘owner’’ means a person that owns a civil aircraft, aircraft en41 gine, or propeller.
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1 (3) ‘‘secured party’’ means a person having a security interest in, or

2 security title to, a civil aircraft, aircraft engine, or propeller under a

3 conditional sales contract, equipment trust contract, chattel or corporate

4 mortgage, or similar instrument.

5 (b) LIABILITY.—A lessor, owner, or secured party is liable for personal in6 jury, death, or property loss or damage on land or water only when a civil

7 aircraft, aircraft engine, or propeller is in the actual possession or control of

8 the lessor, owner, or secured party, and the personal injury, death, or prop9 erty loss or damage occurs because of—

10 (1) the aircraft, engine, or propeller; or

11 (2) the flight of, or an object falling from, the aircraft, engine, or pro12 peller.

13 CHAPTER 443—INSURANCE

Sec.

44301. Definitions.

44302. General authority.

44303. Coverage.

44304. Reinsurance.

44305. Insuring United States Government property.

44306. Premiums and limitations on coverage and claims.

44307. Revolving fund.

44308. Administrative.

44309. Civil actions.

44310. Ending effective date.

14 § 44301. Definitions

15 In this chapter—

16 (1) ‘‘American aircraft’’ means—

17 (A) a civil aircraft of the United States; and

18 (B) an aircraft owned or chartered by, or made available to—

19 (i) the United States Government; or

20 (ii) a State, the District of Columbia, a territory or posses21 sion of the United States, or a political subdivision of the

22 State, territory, or possession.

23 (2) ‘‘insurance carrier’’ means a person authorized to do aviation in24 surance business in a State, including a mutual or stock insurance com25 pany and a reciprocal insurance association.

26 § 44302. General authority

27 (a) INSURANCE AND REINSURANCE.—(1) Subject to subsection (b) of this

28 section and section 44305(a) of this title, the Secretary of Transportation may

29 provide insurance and reinsurance against loss or damage arising out of any

30 risk from the operation of an American aircraft or foreign-flag aircraft—

31 (A) in foreign air commerce; or

32 (B) between at least 2 places, all of which are outside the United

33 States.
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1 (2) An aircraft may be insured or reinsured for not more than its reason2 able value as determined by the Secretary. Insurance or reinsurance may be

3 provided only when the Secretary decides that the insurance cannot be ob4 tained on reasonable terms from an insurance carrier.

5 (b) PRESIDENTIAL APPROVAL.—The Secretary may provide insurance or

6 reinsurance under subsection (a) of this section only with the approval of the

7 President. The President may approve the insurance or reinsurance only after

8 deciding that the continued operation of the American aircraft or foreign-flag

9 aircraft to be insured or reinsured is necessary to carry out the foreign policy

10 of the United States Government.

11 (c) CONSULTATION.—The President may require the Secretary to consult

12 with interested departments, agencies, and instrumentalities of the Govern13 ment before providing insurance or reinsurance under this chapter.

14 (d) ADDITIONAL INSURANCE.—With the approval of the Secretary, a person

15 having an insurable interest in an aircraft may insure with other under16 writers in an amount that is more than the amount insured with the Sec17 retary. However, the Secretary may not benefit from the additional insurance.

18 This subsection does not prevent the Secretary from making contracts of coin19 surance.

20 § 44303. Coverage

21 The Secretary of Transportation may provide insurance and reinsurance

22 authorized under section 44302 of this title for the following:

23 (1) an American aircraft or foreign-flag aircraft engaged in aircraft

24 operations the President decides are necessary to carry out the foreign

25 policy of the United States Government.

26 (2) property transported or to be transported on aircraft referred to

27 in clause (1) of this section, including—

28 (A) shipments by express or registered mail;

29 (B) property owned by citizens or residents of the United States;

30 (C) property—

31 (i) imported to, or exported from, the United States; and

32 (ii) bought or sold by a citizen or resident of the United

33 States under a contract putting the risk of loss or obligation

34 to provide insurance against risk of loss on the citizen or resi35 dent; and

36 (D) property transported between—

37 (i) a place in a State or the District of Columbia and a

38 place in a territory or possession of the United States;

39 (ii) a place in a territory or possession of the United States

40 and a place in another territory or possession of the United

41 States; or
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1 (iii) 2 places in the same territory or possession of the Unit2 ed States.

3 (3) the personal effects and baggage of officers and members of the

4 crew of an aircraft referred to in clause (1) of this section and of other

5 individuals employed or transported on that aircraft.

6 (4) officers and members of the crew of an aircraft referred to in clause

7 (1) of this section and other individuals employed or transported on that

8 aircraft against loss of life, injury, or detention.

9 (5) statutory or contractual obligations or other liabilities, customarily

10 covered by insurance, of an aircraft referred to in clause (1) of this sec11 tion or of the owner or operator of that aircraft.

12 § 44304. Reinsurance

13 (a) GENERAL AUTHORITY.—To the extent the Secretary of Transportation

14 is authorized to provide insurance under this chapter, the Secretary may re15 insure any part of the insurance provided by an insurance carrier. The Sec16 retary may reinsure with, transfer to, or transfer back to, the carrier any in17 surance or reinsurance provided by the Secretary under this chapter.

18 (b) PREMIUM LEVELS.—The Secretary may provide reinsurance at pre19 miums not less than, or obtain reinsurance at premiums not higher than, the

20 premiums the Secretary establishes on similar risks or the premiums the in21 surance carrier charges for the insurance to be reinsured by the Secretary,

22 whichever is most advantageous to the Secretary. However, the Secretary may

23 make allowances to the insurance carrier for expenses incurred in providing

24 services and facilities that the Secretary considers good business practice, ex25 cept for payments by the carrier for the stimulation or solicitation of insur26 ance business.

27 § 44305. Insuring United States Government property

28 (a) GENERAL.—With the approval of the President, a department, agency,

29 or instrumentality of the United States Government may obtain—

30 (1) insurance under this chapter, including insurance for risks from

31 operating an aircraft in intrastate or interstate air commerce, but not

32 including insurance on valuables subject to sections 1 and 2 of the Gov33 ernment Losses in Shipment Act (40 U.S.C. 721, 722); and

34 (2) insurance for risks arising from providing goods or services di35 rectly related to and necessary for operating an aircraft covered by in36 surance obtained under clause (1) of this subsection if the aircraft is op37 erated—

38 (A) in carrying out a contract of the department, agency, or in39 strumentality; or
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1 (B) to transport military forces or materiel on behalf of the Unit2 ed States under an agreement between the Government and the gov3 ernment of a foreign country.

4 (b) PREMIUM WAIVERS AND INDEMNIFICATION.—With the approval re5 quired under subsection (a) of this section, the Secretary of Transportation

6 may provide the insurance without premium at the request of the Secretary

7 of Defense or the head of a department, agency, or instrumentality designated

8 by the President when the Secretary of Defense or the designated head agrees

9 to indemnify the Secretary of Transportation against all losses covered by the

10 insurance. The Secretary of Defense and any designated head may make in11 demnity agreements with the Secretary of Transportation under this section.

12 § 44306. Premiums and limitations on coverage and claims

13 (a) PREMIUMS BASED ON RISK.—To the extent practical, the premium

14 charged for insurance or reinsurance under this chapter shall be based on con15 sideration of the risk involved.

16 (b) TIME LIMITS.—The Secretary of Transportation may provide insurance

17 and reinsurance under this chapter for a period of not more than 60 days.

18 The period may be extended for additional periods of not more than 60 days

19 each only if the President decides, before each additional period, that the con20 tinued operation of the aircraft to be insured or reinsured is necessary to

21 carry out the foreign policy of the United States Government.

22 (c) MAXIMUM INSURED AMOUNT.—The insurance policy on an aircraft in23 sured or reinsured under this chapter shall specify a stated amount that is

24 not more than the value of the aircraft, as determined by the Secretary. A

25 claim under the policy may not be paid for more than that stated amount.

26 § 44307. Revolving fund

27 (a) EXISTENCE, DISBURSEMENTS, APPROPRIATIONS, AND DEPOSITS.—(1)

28 There is a revolving fund in the Treasury. The Secretary of the Treasury shall

29 disburse from the fund payments to carry out this chapter.

30 (2) Necessary amounts to carry out this chapter may be appropriated to

31 the fund. The amounts appropriated and other amounts received in carrying

32 out this chapter shall be deposited in the fund.

33 (b) INVESTMENT.—On request of the Secretary of Transportation, the Sec34 retary of the Treasury may invest any part of the amounts in the revolving

35 fund in interest-bearing securities of the United States Government. The in36 terest on, and the proceeds from the sale or redemption of, the securities shall

37 be deposited in the fund.

38 (c) EXCESS AMOUNTS.—The balance in the revolving fund in excess of an

39 amount the Secretary of Transportation determines is necessary for the re40 quirements of the fund and for reasonable reserves to maintain the solvency
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1 of the fund shall be deposited at least annually in the Treasury as miscellane2 ous receipts.

3 (d) EXPENSES.—The Secretary of Transportation shall deposit annually an

4 amount in the Treasury as miscellaneous receipts to cover the expenses the

5 Government incurs when the Secretary of Transportation uses appropriated

6 amounts in carrying out this chapter. The deposited amount shall equal an

7 amount determined by multiplying the average monthly balance of appro8 priated amounts retained in the revolving fund by a percentage that is at

9 least the current average rate payable on marketable obligations of the Gov10 ernment. The Secretary of the Treasury shall determine annually in advance

11 the percentage applied.

12 § 44308. Administrative

13 (a) COMMERCIAL PRACTICES.—The Secretary of Transportation may carry

14 out this chapter consistent with commercial practices of the aviation insur15 ance business.

16 (b) ISSUANCE OF POLICIES AND DISPOSITION OF CLAIMS.—(1) The Sec17 retary may issue insurance policies to carry out this chapter. The Secretary

18 may prescribe the forms, amounts insured under the policies, and premiums

19 charged. The Secretary may change an amount of insurance or a premium

20 for an existing policy only with the consent of the insured.

21 (2) For a claim under insurance authorized by this chapter, the Secretary

22 may—

23 (A) settle and pay the claim made for or against the United States

24 Government; and

25 (B) pay the amount of a judgment entered against the Government.

26 (c) UNDERWRITING AGENT.—(1) The Secretary may, and when practical

27 shall, employ an insurance carrier or group of insurance carriers to act as

28 an underwriting agent. The Secretary may use the agent to adjust claims

29 under this chapter, but claims may be paid only when approved by the Sec30 retary.

31 (2) The Secretary may pay reasonable compensation to an underwriting

32 agent for servicing insurance the agent writes for the Secretary. Compensation

33 may include payment for reasonable expenses incurred by the agent but may

34 not include a payment by the agent for stimulation or solicitation of insur35 ance business.

36 (3) Except as provided by this subsection, the Secretary may not pay an

37 insurance broker or other person acting in a similar capacity any consider38 ation for arranging insurance when the Secretary directly insures any part

39 of the risk.
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1 (d) BUDGET.—The Secretary shall submit annually a budget program for

2 carrying out this chapter as provided for wholly owned Government corpora3 tions under chapter 91 of title 31.

4 (e) ACCOUNTS.—The Secretary shall maintain a set of accounts. The Comp5 troller General shall audit those accounts under chapter 35 of title 31. Not6 withstanding chapter 35, the Comptroller General shall allow credit for ex7 penditures under this chapter made consistent with commercial practices in

8 the aviation insurance business when shown to be necessary because of the

9 business activities authorized by this chapter.

10 § 44309. Civil actions

11 (a) DISPUTED LOSSES.—A person may bring a civil action in a district

12 court of the United States against the United States Government when a loss

13 insured under this chapter is in dispute. A civil action involving the same

14 matter (except the action authorized by this subsection) may not be brought

15 against an agent, officer, or employee of the Government carrying out this

16 chapter. To the extent applicable, the procedure in an action brought under

17 section 1346(a)(2) of title 28 applies to an action under this subsection.

18 (b) VENUE AND JOINDER.—(1) A civil action under subsection (a) of this

19 section may be brought in the judicial district for the District of Columbia

20 or in the judicial district in which the plaintiff or the agent of the plaintiff

21 resides if the plaintiff resides in the United States. If the plaintiff does not

22 reside in the United States, the action may be brought in the judicial district

23 for the District of Columbia or in the judicial district in which the Attorney

24 General agrees to accept service.

25 (2) An interested person may be joined as a party to a civil action brought

26 under subsection (a) of this section initially or on motion of either party to

27 the action.

28 (c) TIME REQUIREMENTS.—When an insurance claim is made under this

29 chapter, the period during which, under section 2401 of title 28, a civil action

30 must be brought under subsection (a) of this section is suspended until 60

31 days after the Secretary of Transportation denies the claim. The claim is

32 deemed to be administratively denied if the Secretary does not act on the

33 claim not later than 6 months after filing, unless the Secretary makes a dif34 ferent agreement with the claimant when there is good cause for an agree35 ment.

36 (d) INTERPLEADER.—(1) If the Secretary admits the Government owes

37 money under an insurance claim under this chapter and there is a dispute

38 about the person that is entitled to payment, the Government may bring a

39 civil action of interpleader in a district court of the United States against

40 the persons that may be entitled to payment. The action may be brought in
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1 the judicial district for the District of Columbia or in the judicial district

2 in which any party resides.

3 (2) The district court may order a party not residing or found in the judi4 cial district in which the action is brought to appear in a civil action under

5 this subsection. The order shall be served in a reasonable manner decided by

6 the district court. If the court decides an unknown person might assert a

7 claim under the insurance that is the subject of the action, the court may

8 order service on that person by publication in the Federal Register.

9 (3) Judgment in a civil action under this subsection discharges the Govern10 ment from further liability to the parties to the action and to all other per11 sons served by publication under paragraph (2) of this subsection.

12 § 44310. Ending effective date

13 The authority of the Secretary of Transportation to provide insurance and

14 reinsurance under this chapter is not effective after September 30, 1997.

15 CHAPTER 445—FACILITIES, PERSONNEL, AND

16 RESEARCH

Sec.

44501. Plans and policy.

44502. General facilities and personnel authority.

44503. Reducing nonessential expenditures.

44504. Improved aircraft, aircraft engines, propellers, and appliances.

44505. Systems, procedures, facilities, and devices.

44506. Air traffic controllers.

44507. Civil aeromedical research.

44508. Research advisory committee.

44509. Demonstration projects.

44510. Airway science curriculum grants.

44511. Aviation research grants.

44512. Catastrophic failure prevention research grants.

44513. Regional centers of air transportation excellence.

44514. Flight service stations.

44515. Advanced training facilities for maintenance technicians for air carrier aircraft.

17 § 44501. Plans and policy

18 (a) LONG RANGE PLANS AND POLICY REQUIREMENTS.—The Administrator

19 of the Federal Aviation Administration shall make long range plans and pol20 icy for the orderly development and use of the navigable airspace, and the

21 orderly development and location of air navigation facilities, that will best

22 meet the needs of, and serve the interests of, civil aeronautics and the national

23 defense, except for needs of the armed forces that are peculiar to air warfare

24 and primarily of military concern.

25 (b) AIRWAY CAPITAL INVESTMENT PLAN.—The Administrator of the Fed26 eral Aviation Administration shall review, revise, and publish a national air27 ways system plan, known as the Airway Capital Investment Plan, before the

28 beginning of each fiscal year. The plan shall set forth—

29 (1) for a 10-year period, the research, engineering, and development

30 programs and the facilities and equipment that the Administrator con-
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1 siders necessary for a system of airways, air traffic services, and naviga2 tion aids that will—

3 (A) meet the forecasted needs of civil aeronautics;

4 (B) meet the requirements that the Secretary of Defense estab5 lishes for the support of the national defense; and

6 (C) provide the highest degree of safety in air commerce;

7 (2) for the first and 2d years of the plan, detailed annual estimates

8 of—

9 (A) the number, type, location, and cost of acquiring, operating,

10 and maintaining required facilities and services;

11 (B) the cost of research, engineering, and development required to

12 improve safety, system capacity, and efficiency; and

13 (C) personnel levels required for the activities described in

14 subclauses (A) and (B) of this clause;

15 (3) for the 3d, 4th, and 5th years of the plan, estimates of the total

16 cost of each major program for the 3-year period, and additional major

17 research programs, acquisition of systems and facilities, and changes in

18 personnel levels that may be required to meet long range objectives and

19 that may have significant impact on future funding requirements; and

20 (4) a 10-year investment plan that considers long range objectives that

21 the Administrator considers necessary to—

22 (A) ensure that safety is given the highest priority in providing

23 for a safe and efficient airway system; and

24 (B) meet the current and projected growth of aviation and the re25 quirements of interstate commerce, the United States Postal Service,

26 and the national defense.

27 (c) NATIONAL AVIATION RESEARCH PLAN.—(1) The Administrator of the

28 Federal Aviation Administration shall prepare and publish annually a na29 tional aviation research plan and submit the plan to the Committee on Com30 merce, Science, and Transportation of the Senate and the Committee on

31 Science, Space, and Technology of the House of Representatives. The plan

32 shall be submitted not later than the date of submission of the President’s

33 budget to Congress.

34 (2)(A) The plan shall describe, for a 15-year period, the research, engineer35 ing, and development that the Administrator of the Federal Aviation Admin36 istration considers necessary—

37 (i) to ensure the continued capacity, safety, and efficiency of aviation

38 in the United States, considering emerging technologies and forecasted

39 needs of civil aeronautics; and

40 (ii) to provide the highest degree of safety in air travel.
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1 (B) The plan shall cover all research conducted under sections 40119,

2 44504, 44505, 44507, 44511–44513, and 44912 of this title and shall identify

3 complementary and coordinated research efforts that the Administrator of the

4 National Aeronautics and Space Administration conducts with amounts spe5 cifically appropriated to the Administration. For projects for which the Ad6 ministrator of the Federal Aviation Administration anticipates requesting an

7 appropriation, the plan shall include—

8 (i) for the first 2 years of the plan, detailed annual estimates of the

9 schedule, cost, and work-force levels for each research project, including

10 a description of the scope and content of each major contract, grant, or

11 interagency agreement;

12 (ii) for the 3d, 4th, and 5th years of the plan, estimates of the total

13 cost of each major project and any additional major research projects

14 that may be required to meet long-term objectives and that may have sig15 nificant impact on future appropriations requirements;

16 (iii) for the 6th and subsequent years of the plan, the long-term objec17 tives the Administrator of the Federal Aviation Administration considers

18 necessary to ensure that aviation safety will be given the highest priority;

19 and

20 (iv) details of a program to disseminate to the private sector the re21 sults of aviation research conducted by the Administrator of the Federal

22 Aviation Administration, including any new technologies developed.

23 (3) Subject to section 40119(b) of this title and regulations prescribed under

24 section 40119(b), the Administrator of the Federal Aviation Administration

25 shall submit to the committees named in paragraph (1) of this subsection an

26 annual report on the accomplishments of the research completed during the

27 prior fiscal year. The report shall be submitted with the plan required under

28 paragraph (1) and be organized to allow comparison with the plan in effect

29 for the prior fiscal year.

30 § 44502. General facilities and personnel authority

31 (a) GENERAL AUTHORITY.—(1) The Administrator of the Federal Aviation

32 Administration may—

33 (A) acquire, establish, improve, operate, and maintain air navigation

34 facilities; and

35 (B) provide facilities and personnel to regulate and protect air traffic.

36 (2) The cost of site preparation work associated with acquiring, establish37 ing, or improving an air navigation facility under paragraph (1)(A) of this

38 subsection shall be charged to amounts available for that purpose appro39 priated under section 48101(a) of this title. The Secretary of Transportation

40 may make an agreement with an airport owner or sponsor (as defined in sec-
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1 tion 47102 of this title) so that the owner or sponsor will provide the work

2 and be paid or reimbursed by the Secretary from the appropriated amounts.

3 (3) The Secretary of Transportation may authorize a department, agency,

4 or instrumentality of the United States Government to carry out any duty

5 or power under this subsection with the consent of the head of the department,

6 agency, or instrumentality.

7 (b) CERTIFICATION OF NECESSITY.—Except for Government money ex8 pended under this part or for a military purpose, money may be expended

9 to acquire, establish, construct, operate, repair, alter, or maintain an air

10 navigation facility only if the Administrator of the Federal Aviation Admin11 istration certifies in writing that the facility is reasonably necessary for use

12 in air commerce or for the national defense. An interested person may apply

13 for a certificate for a facility to be acquired, established, constructed, operated,

14 repaired, altered, or maintained by or for the person.

15 (c) ENSURING CONFORMITY WITH PLANS AND POLICIES.—(1) To ensure

16 that conformity with plans and policies for, and allocation of, airspace by

17 the Administrator of the Federal Aviation Administration under section

18 40103(b)(1) of this title, a military airport, military landing area, or missile

19 or rocket site may be acquired, established, or constructed, or a runway may

20 be altered substantially, only if the Administrator of the Federal Aviation Ad21 ministration is given reasonable prior notice so that the Administrator of the

22 Federal Aviation Administration may advise the appropriate committees of

23 Congress and interested departments, agencies, and instrumentalities of the

24 Government on the effect of the acquisition, establishment, construction, or al25 teration on the use of airspace by aircraft. A disagreement between the Ad26 ministrator of the Federal Aviation Administration and the Secretary of De27 fense or the Administrator of the National Aeronautics and Space Adminis28 tration may be appealed to the President for a final decision.

29 (2) To ensure conformity, an airport or landing area not involving the ex30 penditure of Government money may be established or constructed, or a run31 way may be altered substantially, only if the Administrator of the Federal

32 Aviation Administration is given reasonable prior notice so that the Adminis33 trator may provide advice on the effects of the establishment, construction, or

34 alteration on the use of airspace by aircraft.

35 (d) PUBLIC USE AND EMERGENCY ASSISTANCE.—(1) The head of a depart36 ment, agency, or instrumentality of the Government having jurisdiction over

37 an air navigation facility owned or operated by the Government may provide,

38 under regulations the head of the department, agency, or instrumentality pre39 scribes, for public use of the facility.

40 (2) The head of a department, agency, or instrumentality of the Govern41 ment having jurisdiction over an airport or emergency landing field owned
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1 or operated by the Government may provide, under regulations the head of

2 the department, agency, or instrumentality prescribes, for assistance, and the

3 sale of fuel, oil, equipment, and supplies, to an aircraft, but only when nec4 essary, because of an emergency, to allow the aircraft to continue to the near5 est airport operated by private enterprise. The head of the department, agen6 cy, or instrumentality shall provide for the assistance and sale at the prevail7 ing local fair market value as determined by the head of the department,

8 agency, or instrumentality. An amount that the head decides is equal to the

9 cost of the assistance provided and the fuel, oil, equipment, and supplies sold

10 shall be credited to the appropriation from which the cost was paid. The bal11 ance shall be credited to miscellaneous receipts.

12 (e) CONSENT OF CONGRESS.—Congress consents to a State making an

13 agreement, not in conflict with a law of the United States, with another State

14 to develop or operate an airport facility.

15 (f) TRANSFERS OF INSTRUMENT LANDING SYSTEMS.—An airport may

16 transfer, without consideration, to the Administrator of the Federal Aviation

17 Administration an instrument landing system (and associated approach

18 lighting equipment and runway visual range equipment) that conforms to

19 performance specifications of the Administrator if a Government airport aid

20 program, airport development aid program, or airport improvement project

21 grant was used to assist in purchasing the system. The Administrator shall

22 accept the system and operate and maintain it under criteria of the Adminis23 trator.

24 § 44503. Reducing nonessential expenditures

25 The Secretary of Transportation shall attempt to reduce the capital, operat26 ing, maintenance, and administrative costs of the national airport and air27 way system to the maximum extent practicable consistent with the highest de28 gree of aviation safety. At least annually, the Secretary shall consult with and

29 consider the recommendations of users of the system on ways to reduce non30 essential expenditures of the United States Government for aviation. The Sec31 retary shall give particular attention to a recommendation that may reduce,

32 with no adverse effect on safety, future personnel requirements and costs to

33 the Government required to be recovered from user charges.

34 § 44504. Improved aircraft, aircraft engines, propellers, and

35 appliances

36 (a) DEVELOPMENTAL WORK AND SERVICE TESTING.—The Administrator of

37 the Federal Aviation Administration may conduct or supervise developmental

38 work and service testing to improve aircraft, aircraft engines, propellers, and

39 appliances.

40 (b) RESEARCH.—The Administrator shall conduct or supervise research—
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1 (1) to develop technologies and analyze information to predict the ef2 fects of aircraft design, maintenance, testing, wear, and fatigue on the

3 life of aircraft and air safety;

4 (2) to develop methods of analyzing and improving aircraft mainte5 nance technology and practices, including nondestructive evaluation of

6 aircraft structures;

7 (3) to assess the fire and smoke resistance of aircraft material;

8 (4) to develop improved fire and smoke resistant material for aircraft

9 interiors;

10 (5) to develop and improve fire and smoke containment systems for

11 inflight aircraft fires;

12 (6) to develop advanced aircraft fuels with low flammability and tech13 nologies that will contain aircraft fuels to minimize post-crash fire haz14 ards; and

15 (7) to develop technologies and methods to assess the risk of and pre16 vent defects, failures, and malfunctions of products, parts, processes, and

17 articles manufactured for use in aircraft, aircraft engines, propellers,

18 and appliances that could result in a catastrophic failure of an aircraft.

19 (c) AUTHORITY TO BUY ITEMS OFFERING SPECIAL ADVANTAGES.—In car20 rying out this section, the Administrator, by negotiation or otherwise, may

21 buy or exchange experimental aircraft, aircraft engines, propellers, and appli22 ances that the Administrator decides may offer special advantages to aero23 nautics.

24 § 44505. Systems, procedures, facilities, and devices

25 (a) GENERAL REQUIREMENTS.—(1) The Administrator of the Federal

26 Aviation Administration shall—

27 (A) develop, alter, test, and evaluate systems, procedures, facilities,

28 and devices, and define their performance characteristics, to meet the

29 needs for safe and efficient navigation and traffic control of civil and

30 military aviation, except for needs of the armed forces that are peculiar

31 to air warfare and primarily of military concern; and

32 (B) select systems, procedures, facilities, and devices that will best

33 serve those needs and promote maximum coordination of air traffic con34 trol and air defense systems.

35 (2) The Administrator may make contracts to carry out this subsection

36 without regard to section 3324(a) and (b) of title 31.

37 (3) When a substantial question exists under paragraph (1) of this sub38 section about whether a matter is of primary concern to the armed forces, the

39 Administrator shall decide whether the Administrator or the Secretary of the

40 appropriate military department has responsibility. The Administrator shall

41 be given technical information related to each research and development
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1 project of the armed forces that potentially applies to, or potentially conflicts

2 with, the common system to ensure that potential application to the common

3 system is considered properly and that potential conflicts with the system are

4 eliminated.

5 (b) RESEARCH ON HUMAN FACTORS AND SIMULATION MODELS.—The Ad6 ministrator shall conduct or supervise research—

7 (1) to develop a better understanding of the relationship between

8 human factors and aviation accidents and between human factors and

9 air safety;

10 (2) to enhance air traffic controller, mechanic, and flight crew per11 formance;

12 (3) to develop a human-factor analysis of the hazards associated with

13 new technologies to be used by air traffic controllers, mechanics, and

14 flight crews;

15 (4) to identify innovative and effective corrective measures for human

16 errors that adversely affect air safety; and

17 (5) to develop dynamic simulation models of the air traffic control sys18 tem and airport design and operating procedures that will provide ana19 lytical technology—

20 (A) to predict airport and air traffic control safety and capacity

21 problems;

22 (B) to evaluate planned research projects; and

23 (C) to test proposed revisions in airport and air traffic control

24 operations programs.

25 (c) RESEARCH ON DEVELOPING AND MAINTAINING A SAFE AND EFFICIENT

26 SYSTEM.—The Administrator shall conduct or supervise research on—

27 (1) airspace and airport planning and design;

28 (2) airport capacity enhancement techniques;

29 (3) human performance in the air transportation environment;

30 (4) aviation safety and security;

31 (5) the supply of trained air transportation personnel, including pilots

32 and mechanics; and

33 (6) other aviation issues related to developing and maintaining a safe

34 and efficient air transportation system.

35 § 44506. Air traffic controllers

36 (a) RESEARCH ON EFFECT OF AUTOMATION ON PERFORMANCE.—To de37 velop the means necessary to establish appropriate selection criteria and

38 training methodologies for the next generation of air traffic controllers, the

39 Administrator of the Federal Aviation Administration shall conduct research

40 to study the effect of automation on the performance of the next generation
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1 of air traffic controllers and the air traffic control system. The research shall

2 include investigating—

3 (1) methods for improving and accelerating future air traffic control4 ler training through the application of advanced training techniques, in5 cluding the use of simulation technology;

6 (2) the role of automation in the air traffic control system and its

7 physical and psychological effects on air traffic controllers;

8 (3) the attributes and aptitudes needed to function well in a highly

9 automated air traffic control system and the development of appropriate

10 testing methods for identifying individuals with those attributes and ap11 titudes;

12 (4) innovative methods for training potential air traffic controllers to

13 enhance the benefits of automation and maximize the effectiveness of the

14 air traffic control system; and

15 (5) new technologies and procedures for exploiting automated commu16 nication systems, including Mode S Transponders, to improve informa17 tion transfers between air traffic controllers and aircraft pilots.

18 (b) RESEARCH ON HUMAN FACTOR ASPECTS OF AUTOMATION.—The Ad19 ministrators of the Federal Aviation Administration and National Aero20 nautics and Space Administration may make an agreement for the use of the

21 National Aeronautics and Space Administration’s unique human factor fa22 cilities and expertise in conducting research activities to study the human fac23 tor aspects of the highly automated environment for the next generation of

24 air traffic controllers. The research activities shall include investigating—

25 (1) human perceptual capabilities and the effect of computer-aided de26 cision making on the workload and performance of air traffic controllers;

27 (2) information management techniques for advanced air traffic con28 trol display systems; and

29 (3) air traffic controller workload and performance measures, includ30 ing the development of predictive models.

31 (c) COLLEGIATE TRAINING INITIATIVE.—(1) The Administrator of the Fed32 eral Aviation Administration may maintain the Collegiate Training Initia33 tive program by making new agreements and continuing existing agreements

34 with institutions of higher education (as defined by the Administrator) under

35 which the institutions prepare students for the position of air traffic controller

36 with the Department of Transportation (as defined in section 2109 of title

37 5). The Administrator may establish standards for the entry of institutions

38 into the program and for their continued participation.

39 (2)(A) The Administrator of the Federal Aviation Administration may ap40 point an individual who has successfully completed a course of training in

41 a program described in paragraph (1) of this subsection to the position of air
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1 traffic controller noncompetitively in the excepted service (as defined in sec2 tion 2103 of title 5). An individual appointed under this paragraph serves

3 at the pleasure of the Administrator, subject to section 7511 of title 5. How4 ever, an appointment under this paragraph may be converted from one in

5 the excepted service to a career conditional or career appointment in the com6 petitive civil service (as defined in section 2102 of title 5) when the individual

7 achieves full performance level air traffic controller status, as decided by the

8 Administrator.

9 (B) The authority under subparagraph (A) of this paragraph to make ap10 pointments in the excepted service expires on October 6, 1997, except that the

11 Administrator of the Federal Aviation Administration may extend the author12 ity for one or more successive one-year periods.

13 (d) STAFFING REPORT.—The Administrator of the Federal Aviation Ad14 ministration shall submit annually to the Committee on Public Works and

15 Transportation of the House of Representatives and the Committee on Com16 merce, Science, and Transportation of the Senate a report containing—

17 (1) the staffing standards used to determine the number of air traffic

18 controllers needed to operate the air traffic control system of the United

19 States;

20 (2) a 3-year projection of the number of controllers needed to be em21 ployed to operate the system to meet the standards; and

22 (3) a detailed plan for employing the controllers, including projected

23 budget requests.

24 § 44507. Civil aeromedical research

25 The Civil Aeromedical Institute established by section 106(j) of this title

26 may—

27 (1) conduct civil aeromedical research, including research related to—

28 (A) the protection and survival of aircraft occupants;

29 (B) medical accident investigation and airman medical certifi30 cation;

31 (C) toxicology and the effects of drugs on human performance;

32 (D) the impact of disease and disability on human performance;

33 (E) vision and its relationship to human performance and equip34 ment design;

35 (F) human factors of flight crews, air traffic controllers, mechan36 ics, inspectors, airway facility technicians, and other individuals

37 involved in operating and maintaining aircraft and air traffic con38 trol equipment; and

39 (G) agency work force optimization, including training, equip40 ment design, reduction of errors, and identification of candidate

41 tasks for automation;
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1 (2) make comments to the Administrator of the Federal Aviation Ad2 ministration on human factors aspects of proposed air safety regulations;

3 (3) make comments to the Administrator on human factors aspects of

4 proposed training programs, equipment requirements, standards, and

5 procedures for aviation personnel;

6 (4) advise, assist, and represent the Federal Aviation Administration

7 in the human factors aspects of joint projects between the Administration

8 and the National Aeronautics and Space Administration, other depart9 ments, agencies, and instrumentalities of the United States Government,

10 industry, and governments of foreign countries; and

11 (5) provide medical consultation services to the Administrator about

12 medical certification of airmen.

13 § 44508. Research advisory committee

14 (a) ESTABLISHMENT AND DUTIES.—(1) There is a research advisory com15 mittee in the Federal Aviation Administration. The committee shall—

16 (A) provide advice and recommendations to the Administrator of the

17 Federal Aviation Administration about needs, objectives, plans, ap18 proaches, content, and accomplishments of the aviation research program

19 carried out under sections 40119, 44504, 44505, 44507, 44511–44513,

20 and 44912 of this title;

21 (B) assist in ensuring that the research is coordinated with similar

22 research being conducted outside the Administration; and

23 (C) review the operations of the regional centers of air transportation

24 excellence established under section 44513 of this title.

25 (2) The Administrator may establish subordinate committees to provide ad26 vice on specific areas of research conducted under sections 40119, 44504,

27 44505, 44507, 44511–44513, and 44912 of this title.

28 (b) MEMBERS, CHAIRMAN, PAY, AND EXPENSES.—(1) The committee is

29 composed of not more than 30 members appointed by the Administrator from

30 among individuals who are not employees of the Administration and who are

31 specially qualified to serve on the committee because of their education, train32 ing, or experience. In appointing members of the committee, the Adminis33 trator shall ensure that the regional centers of air transportation excellence,

34 universities, corporations, associations, consumers, and other departments,

35 agencies, and instrumentalities of the United States Government are rep36 resented.

37 (2) The Administrator shall designate the chairman of the committee.

38 (3) A member of the committee serves without pay. However, the Adminis39 trator may allow a member, when attending meetings of the committee or a

40 subordinate committee, expenses as authorized under section 5703 of title 5.
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1 (c) SUPPORT STAFF, INFORMATION, AND SERVICES.—The Administrator

2 shall provide support staff for the committee. On request of the committee, the

3 Administrator shall provide information, administrative services, and sup4 plies that the Administrator considers necessary for the committee to carry

5 out its duties and powers.

6 (d) NONAPPLICATION.—Section 14 of the Federal Advisory Committee Act

7 (5 App. U.S.C.) does not apply to the committee.

8 (e) USE AND LIMITATION OF AMOUNTS.—(1) Not more than .1 percent of

9 the amounts made available to conduct research under sections 40119, 44504,

10 44505, 44507, 44511–44513, and 44912 of this title may be used by the Ad11 ministrator to carry out this section.

12 (2) A limitation on amounts available for obligation by or for the commit13 tee does not apply to amounts made available to carry out this section.

14 § 44509. Demonstration projects

15 The Secretary of Transportation may carry out under this chapter dem16 onstration projects that the Secretary considers necessary for research and de17 velopment activities under this chapter.

18 § 44510. Airway science curriculum grants

19 (a) GENERAL AUTHORITY.—The Administrator of the Federal Aviation Ad20 ministration may make competitive grant agreements with institutions of

21 higher education having airway science curricula for the United States Gov22 ernment’s share of the allowable direct costs of the following categories of

23 items to the extent that the items are in support of airway science curricula:

24 (1) the construction, purchase, or lease with an option to purchase, of

25 buildings and associated facilities.

26 (2) instructional material and equipment.

27 (b) COST GUIDELINES.—The Administrator shall establish guidelines to de28 termine the direct costs allowable under a grant to be made under this section.

29 The Government’s share of the allowable cost of a project assisted by a grant

30 under this section may not be more than 65 percent.

31 § 44511. Aviation research grants

32 (a) GENERAL AUTHORITY.—The Administrator of the Federal Aviation Ad33 ministration may make grants to institutions of higher education and non34 profit research organizations to conduct aviation research in areas the Ad35 ministrator considers necessary for the long-term growth of civil aviation.

36 (b) APPLICATIONS.—An institution of higher education or nonprofit re37 search organization interested in receiving a grant under this section may

38 submit an application to the Administrator. The application must be in the

39 form and contain the information the Administrator requires.
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1 (c) SOLICITATION, REVIEW, AND EVALUATION PROCESS.—The Adminis2 trator shall establish a solicitation, review, and evaluation process that en3 sures—

4 (1) providing grants under this section for proposals having adequate

5 merit and relevancy to the mission of the Administration;

6 (2) a fair geographical distribution of grants under this section; and

7 (3) the inclusion of historically black institutions of higher education

8 and other minority nonprofit research organizations for grant consider9 ation under this section.

10 (d) RECORDS.—Each person receiving a grant under this section shall

11 maintain records that the Administrator requires as being necessary to facili12 tate an effective audit and evaluation of the use of money provided under the

13 grant.

14 (e) ANNUAL REPORT.—The Administrator shall submit an annual report

15 to the Committee on Science, Space, and Technology of the House of Rep16 resentatives and the Committee on Commerce, Science, and Transportation of

17 the Senate on carrying out this section.

18 § 44512. Catastrophic failure prevention research grants

19 (a) GENERAL AUTHORITY.—The Administrator of the Federal Aviation Ad20 ministration may make grants to institutions of higher education and non21 profit research organizations—

22 (1) to conduct aviation research related to the development of tech23 nologies and methods to assess the risk of, and prevent, defects, failures,

24 and malfunctions of products, parts, processes, and articles manufac25 tured for use in aircraft, aircraft engines, propellers, and appliances that

26 could result in a catastrophic failure of an aircraft; and

27 (2) to establish centers of excellence for continuing the research.

28 (b) SOLICITATION, APPLICATION, REVIEW, AND EVALUATION PROCESS.—

29 The Administrator shall establish a solicitation, application, review, and eval30 uation process that ensures providing grants under this section for proposals

31 having adequate merit and relevancy to the research described in subsection

32 (a) of this section.

33 § 44513. Regional centers of air transportation excellence

34 (a) GENERAL AUTHORITY.—The Administrator of the Federal Aviation Ad35 ministration may make grants to institutions of higher education to establish

36 and operate regional centers of air transportation excellence. The locations

37 shall be distributed in a geographically fair way.

38 (b) RESPONSIBILITIES.—(1) The responsibilities of each center established

39 under this section shall include—

40 (A) conducting research on—

41 (i) airspace and airport planning and design;
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1 (ii) airport capacity enhancement techniques;

2 (iii) human performance in the air transportation environment;

3 (iv) aviation safety and security;

4 (v) the supply of trained air transportation personnel, including

5 pilots and mechanics; and

6 (vi) other aviation issues related to developing and maintaining

7 a safe and efficient air transportation system; and

8 (B) interpreting, publishing, and disseminating the results of the re9 search.

10 (2) In conducting research described in paragraph (1)(A) of this subsection,

11 each center may make contracts with nonprofit research organizations and

12 other appropriate persons.

13 (c) APPLICATIONS.—An institution of higher education interested in receiv14 ing a grant under this section may submit an application to the Adminis15 trator. The application must be in the form and contain the information that

16 the Administrator requires by regulation.

17 (d) SELECTION CRITERIA.—The Administrator shall select recipients of

18 grants under this section on the basis of the following criteria:

19 (1) the extent to which the needs of the State in which the applicant

20 is located are representative of the needs of the region for improved air

21 transportation services and facilities.

22 (2) the demonstrated research and extension resources available to the

23 applicant to carry out this section.

24 (3) the ability of the applicant to provide leadership in making na25 tional and regional contributions to the solution of both long-range and

26 immediate air transportation problems.

27 (4) the extent to which the applicant has an established air transpor28 tation program.

29 (5) the demonstrated ability of the applicant to disseminate results of

30 air transportation research and educational programs through a state31 wide or regionwide continuing education program.

32 (6) the projects the applicant proposes to carry out under the grant.

33 (e) EXPENDITURE AGREEMENTS.—A grant may be made under this section

34 in a fiscal year only if the recipient makes an agreement with the Adminis35 trator that the Administrator requires to ensure that the recipient will main36 tain its total expenditures from all other sources for establishing and operat37 ing the center and related research activities at a level at least equal to the

38 average level of those expenditures in the 2 fiscal years of the recipient occur39 ring immediately before November 5, 1990.

40 (f) GOVERNMENT’S SHARE OF COSTS.—The United States Government’s

41 share of a grant under this section is 50 percent of the costs of establishing
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1 and operating the center and related research activities that the grant recipi2 ent carries out.

3 (g) ALLOCATING AMOUNTS.—The Administrator shall allocate amounts

4 made available to carry out this section in a geographically fair way.

5 § 44514. Flight service stations

6 (a) HOURS OF OPERATION.—(1) The Secretary of Transportation may

7 close, or reduce the hours of operation of, a flight service station in an area

8 only if the service provided in the area after the closing or during the hours

9 the station is not in operation is provided by an automated flight service sta10 tion with at least model 1 equipment.

11 (2) The Secretary shall reopen a flight service station closed after March

12 24, 1987, but before July 15, 1987, as soon as practicable if the service in

13 the area in which the station is located has not been provided since the closing

14 by an automatic flight service station with at least model 1 equipment. The

15 hours of operation for the reopened station shall be the same as were the hours

16 of operation for the station on March 25, 1987. After reopening the station,

17 the Secretary may close, or reduce the hours of operation of, the station only

18 as provided in paragraph (1) of this subsection.

19 (b) MANNED AUXILIARY STATIONS.—The Secretary and the Administrator

20 of the Federal Aviation Administration shall establish a system of manned

21 auxiliary flight service stations. The manned auxiliary flight service stations

22 shall supplement the services of the planned consolidation to 61 automated

23 flight service stations under the flight service station modernization program.

24 A manned auxiliary flight service station shall be located in an area of

25 unique weather or operational conditions that are critical to the safety of

26 flight.

27 § 44515. Advanced training facilities for maintenance techni28 cians for air carrier aircraft

29 (a) GENERAL AUTHORITY.—The Administrator of the Federal Aviation Ad30 ministration may make grants to not more than 4 vocational technical edu31 cational institutions to acquire or construct facilities to be used for the ad32 vanced training of maintenance technicians for air carrier aircraft.

33 (b) ELIGIBILITY.—The Administrator may make a grant under this section

34 to a vocational technical educational institution only if the institution has

35 a training curriculum that prepares aircraft maintenance technicians who

36 hold airframe and power plant certificates under subpart D of part 65 of title

37 14, Code of Federal Regulations, to maintain, without direct supervision, air

38 carrier aircraft.

39 (c) LIMITATION.—A vocational technical educational institution may not

40 receive more than a total of $5,000,000 in grants under this section.
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1 CHAPTER 447—SAFETY REGULATION

Sec.

44701. General requirements.

44702. Issuance of certificates.

44703. Airman certificates.

44704. Type certificates, production certificates, and airworthiness certificates.

44705. Air carrier operating certificates.

44706. Airport operating certificates.

44707. Examining and rating air agencies.

44708. Inspecting and rating air navigation facilities.

44709. Amendments, modifications, suspensions, and revocations of certificates.

44710. Revocations of airman certificates for controlled substance violations.

44711. Prohibitions and exemption.

44712. Emergency locator transmitters.

44713. Inspection and maintenance.

44714. Aviation fuel standards.

44715. Controlling aircraft noise and sonic boom.

44716. Collision avoidance systems.

44717. Aging aircraft.

44718. Structures interfering with air commerce.

44719. Standards for navigational aids.

44720. Meteorological services.

44721. Aeronautical maps and charts.

44722. Aircraft operations in winter conditions.

44723. Annual report.

2 § 44701. General requirements

3 (a) PROMOTING SAFETY.—The Administrator of the Federal Aviation Ad4 ministration shall promote safe flight of civil aircraft in air commerce by pre5 scribing—

6 (1) minimum standards required in the interest of safety for appli7 ances and for the design, material, construction, quality of work, and

8 performance of aircraft, aircraft engines, and propellers;

9 (2) regulations and minimum standards in the interest of safety for—

10 (A) inspecting, servicing, and overhauling aircraft, aircraft en11 gines, propellers, and appliances;

12 (B) equipment and facilities for, and the timing and manner of,

13 the inspecting, servicing, and overhauling; and

14 (C) a qualified private person, instead of an officer or employee

15 of the Administration, to examine and report on the inspecting,

16 servicing, and overhauling;

17 (3) regulations required in the interest of safety for the reserve supply

18 of aircraft, aircraft engines, propellers, appliances, and aircraft fuel and

19 oil, including the reserve supply of fuel and oil carried in flight;

20 (4) regulations in the interest of safety for the maximum hours or pe21 riods of service of airmen and other employees of air carriers; and

22 (5) regulations and minimum standards for other practices, methods,

23 and procedure the Administrator finds necessary for safety in air com24 merce and national security.
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1 (b) PRESCRIBING MINIMUM SAFETY STANDARDS.—The Administrator may

2 prescribe minimum safety standards for—

3 (1) an air carrier to whom a certificate is issued under section 44705

4 of this title; and

5 (2) operating an airport serving any passenger operation of air car6 rier aircraft designed for at least 31 passenger seats.

7 (c) REDUCING AND ELIMINATING ACCIDENTS.—The Administrator shall

8 carry out this chapter in a way that best tends to reduce or eliminate the

9 possibility or recurrence of accidents in air transportation. However, the Ad10 ministrator is not required to give preference either to air transportation or

11 to other air commerce in carrying out this chapter.

12 (d) CONSIDERATIONS AND CLASSIFICATION OF REGULATIONS AND STAND13 ARDS.—When prescribing a regulation or standard under subsection (a) or

14 (b) of this section or section 44702–44716 of this title, the Administrator

15 shall—

16 (1) consider—

17 (A) the duty of an air carrier to provide service with the highest

18 possible degree of safety in the public interest; and

19 (B) differences between air transportation and other air com20 merce; and

21 (2) classify a regulation or standard appropriate to the differences be22 tween air transportation and other air commerce.

23 (e) EXEMPTIONS.—The Administrator may grant an exemption from a re24 quirement of a regulation prescribed under subsection (a) or (b) of this section

25 or section 44702–44716 of this title if the Administrator finds the exemption

26 is in the public interest.

27 § 44702. Issuance of certificates

28 (a) GENERAL AUTHORITY AND APPLICATIONS.—The Administrator of the

29 Federal Aviation Administration may issue airman certificates, type certifi30 cates, production certificates, airworthiness certificates, air carrier operating

31 certificates, airport operating certificates, air agency certificates, and air

32 navigation facility certificates under this chapter. An application for a cer33 tificate must—

34 (1) be under oath when the Administrator requires; and

35 (2) be in the form, contain information, and be filed and served in

36 the way the Administrator prescribes.

37 (b) CONSIDERATIONS.—When issuing a certificate under this chapter, the

38 Administrator shall—

39 (1) consider—

40 (A) the duty of an air carrier to provide service with the highest

41 possible degree of safety in the public interest; and
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1 (B) differences between air transportation and other air com2 merce; and

3 (2) classify a certificate according to the differences between air trans4 portation and other air commerce.

5 (c) PRIOR CERTIFICATION.—The Administrator may authorize an aircraft,

6 aircraft engine, propeller, or appliance for which a certificate has been issued

7 authorizing the use of the aircraft, aircraft engine, propeller, or appliance in

8 air transportation to be used in air commerce without another certificate

9 being issued.

10 (d) DELEGATION.—(1) Subject to regulations, supervision, and review the

11 Administrator may prescribe, the Administrator may delegate to a qualified

12 private person, or to an employee under the supervision of that person, a mat13 ter related to—

14 (A) the examination, testing, and inspection necessary to issue a cer15 tificate under this chapter; and

16 (B) issuing the certificate.

17 (2) The Administrator may rescind a delegation under this subsection at

18 any time for any reason the Administrator considers appropriate.

19 (3) A person affected by an action of a private person under this subsection

20 may apply for reconsideration of the action by the Administrator. On the Ad21 ministrator’s own initiative, the Administrator may reconsider the action of

22 a private person at any time. If the Administrator decides on reconsideration

23 that the action is unreasonable or unwarranted, the Administrator shall

24 change, modify, or reverse the action. If the Administrator decides the action

25 is warranted, the Administrator shall affirm the action.

26 § 44703. Airman certificates

27 (a) GENERAL.—The Administrator of the Federal Aviation Administration

28 shall issue an airman certificate to an individual when the Administrator

29 finds, after investigation, that the individual is qualified for, and physically

30 able to perform the duties related to, the position to be authorized by the cer31 tificate.

32 (b) CONTENTS.—(1) An airman certificate shall—

33 (A) be numbered and recorded by the Administrator of the Federal

34 Aviation Administration;

35 (B) contain the name, address, and description of the individual to

36 whom the certificate is issued;

37 (C) contain terms the Administrator decides are necessary to ensure

38 safety in air commerce, including terms on the duration of the certifi39 cate, periodic or special examinations, and tests of physical fitness;

40 (D) specify the capacity in which the holder of the certificate may

41 serve as an airman with respect to an aircraft; and
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1 (E) designate the class the certificate covers.

2 (2) A certificate issued to a pilot serving in scheduled air transportation

3 shall have the designation ‘‘airline transport pilot’’ of the appropriate class.

4 (c) APPEALS.—(1) An individual whose application for the issuance or re5 newal of an airman certificate has been denied may appeal the denial to the

6 National Transportation Safety Board, except if the individual holds a cer7 tificate that—

8 (A) is suspended at the time of denial; or

9 (B) was revoked within one year from the date of the denial.

10 (2) The Board shall conduct a hearing on the appeal at a place convenient

11 to the place of residence or employment of the applicant. The Board is not

12 bound by findings of fact of the Administrator of the Federal Aviation Ad13 ministration but is bound by all validly adopted interpretations of laws and

14 regulations the Administrator carries out unless the Board finds an interpre15 tation is arbitrary, capricious, or otherwise not according to law. At the end

16 of the hearing, the Board shall decide whether the individual meets the appli17 cable regulations and standards. The Administrator is bound by that decision.

18 (d) RESTRICTIONS AND PROHIBITIONS.—The Administrator of the Federal

19 Aviation Administration may—

20 (1) restrict or prohibit issuing an airman certificate to an alien; or

21 (2) make issuing the certificate to an alien dependent on a reciprocal

22 agreement with the government of a foreign country.

23 (e) CONTROLLED SUBSTANCE VIOLATIONS.—The Administrator of the Fed24 eral Aviation Administration may not issue an airman certificate to an indi25 vidual whose certificate is revoked under section 44710 of this title except—

26 (1) when the Administrator decides that issuing the certificate will fa27 cilitate law enforcement efforts; and

28 (2) as provided in section 44710(e)(2) of this title.

29 (f) MODIFICATIONS IN SYSTEM.—(1) The Administrator of the Federal

30 Aviation Administration shall make modifications in the system for issuing

31 airman certificates necessary to make the system more effective in serving the

32 needs of pilots and officials responsible for enforcing laws related to the regu33 lation of controlled substances (as defined in section 102 of the Comprehensive

34 Drug Abuse Prevention and Control Act of 1970 (21 U.S.C. 802)). The modi35 fications shall ensure positive and verifiable identification of each individual

36 applying for or holding a certificate and shall address at least each of the

37 following deficiencies in, and abuses of, the existing system:

38 (A) the use of fictitious names and addresses by applicants for those

39 certificates.

40 (B) the use of stolen or fraudulent identification in applying for those

41 certificates.
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1 (C) the use by an applicant of a post office box or ‘‘mail drop’’ as

2 a return address to evade identification of the applicant’s address.

3 (D) the use of counterfeit and stolen airman certificates by pilots.

4 (E) the absence of information about physical characteristics of holders

5 of those certificates.

6 (2) The Administrator of the Federal Aviation Administration shall pre7 scribe regulations to carry out paragraph (1) of this subsection and provide

8 a written explanation of how the regulations address each of the deficiencies

9 and abuses described in paragraph (1). In prescribing the regulations, the Ad10 ministrator of the Federal Aviation Administration shall consult with the Ad11 ministrator of Drug Enforcement, the Commissioner of Customs, other law en12 forcement officials of the United States Government, representatives of State

13 and local law enforcement officials, representatives of the general aviation air14 craft industry, representatives of users of general aviation aircraft, and other

15 interested persons.

16 § 44704. Type certificates, production certificates, and air17 worthiness certificates

18 (a) TYPE CERTIFICATES.—(1) The Administrator of the Federal Aviation

19 Administration shall issue a type certificate for an aircraft, aircraft engine,

20 or propeller, or for an appliance specified under paragraph (2)(A) of this sub21 section when the Administrator finds that the aircraft, aircraft engine, pro22 peller, or appliance is properly designed and manufactured, performs prop23 erly, and meets the regulations and minimum standards prescribed under sec24 tion 44701(a) of this title. On receiving an application for a type certificate,

25 the Administrator shall investigate the application and may conduct a hear26 ing. The Administrator shall make, or require the applicant to make, tests

27 the Administrator considers necessary in the interest of safety.

28 (2) The Administrator may—

29 (A) specify in regulations those appliances that reasonably require a

30 type certificate in the interest of safety;

31 (B) include in a type certificate terms required in the interest of safe32 ty; and

33 (C) record on the certificate a numerical specification of the essential

34 factors related to the performance of the aircraft, aircraft engine, or pro35 peller for which the certificate is issued.

36 (b) PRODUCTION CERTIFICATES.—The Administrator shall issue a produc37 tion certificate authorizing the production of a duplicate of an aircraft, air38 craft engine, propeller, or appliance for which a type certificate has been is39 sued when the Administrator finds the duplicate will conform to the certifi40 cate. On receiving an application, the Administrator shall inspect, and may

41 require testing of, a duplicate to ensure that it conforms to the requirements
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1 of the certificate. The Administrator may include in a production certificate

2 terms required in the interest of safety.

3 (c) AIRWORTHINESS CERTIFICATES.—(1) The registered owner of an air4 craft may apply to the Administrator for an airworthiness certificate for the

5 aircraft. The Administrator shall issue an airworthiness certificate when the

6 Administrator finds that the aircraft conforms to its type certificate and,

7 after inspection, is in condition for safe operation. The Administrator shall

8 register each airworthiness certificate and may include appropriate informa9 tion in the certificate. The certificate number or other individual designation

10 the Administrator requires shall be displayed on the aircraft. The Adminis11 trator may include in an airworthiness certificate terms required in the inter12 est of safety.

13 (2) A person applying for the issuance or renewal of an airworthiness cer14 tificate for an aircraft for which ownership has not been recorded under sec15 tion 44107 or 44110 of this title must submit with the application informa16 tion related to the ownership of the aircraft the Administrator decides is nec17 essary to identify each person having a property interest in the aircraft and

18 the kind and extent of the interest.

19 § 44705. Air carrier operating certificates

20 The Administrator of the Federal Aviation Administration shall issue an

21 air carrier operating certificate to a person desiring to operate as an air car22 rier when the Administrator finds, after investigation, that the person prop23 erly and adequately is equipped and able to operate safely under this part

24 and regulations and standards prescribed under this part. An air carrier op25 erating certificate shall—

26 (1) contain terms necessary to ensure safety in air transportation; and

27 (2) specify the places to and from which, and the airways of the Unit28 ed States over which, a person may operate as an air carrier.

29 § 44706. Airport operating certificates

30 (a) GENERAL.—The Administrator of the Federal Aviation Administration

31 shall issue an airport operating certificate to a person desiring to operate an

32 airport—

33 (1) that serves an air carrier operating aircraft designed for at least

34 31 passenger seats;

35 (2) that the Administrator requires to have a certificate; and

36 (3) when the Administrator finds, after investigation, that the person

37 properly and adequately is equipped and able to operate safely under

38 this part and regulations and standards prescribed under this part.

39 (b) TERMS.—An airport operating certificate issued under this section shall

40 contain terms necessary to ensure safety in air transportation. Unless the Ad-
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1 ministrator decides that it is not in the public interest, the terms shall include

2 conditions related to—

3 (1) operating and maintaining adequate safety equipment, including

4 firefighting and rescue equipment capable of rapid access to any part of

5 the airport used for landing, takeoff, or surface maneuvering of an air6 craft; and

7 (2) friction treatment for primary and secondary runways that the

8 Secretary of Transportation decides is necessary.

9 (c) EXEMPTIONS.—The Administrator may exempt from the requirements

10 of this section, related to firefighting and rescue equipment, an operator of

11 an airport described in subsection (a) of this section having less than .25 per12 cent of the total number of passenger boardings each year at all airports de13 scribed in subsection (a) when the Administrator decides that the require14 ments are or would be unreasonably costly, burdensome, or impractical.

15 § 44707. Examining and rating air agencies

16 The Administrator of the Federal Aviation Administration may examine

17 and rate the following air agencies:

18 (1) civilian schools giving instruction in flying or repairing, altering,

19 and maintaining aircraft, aircraft engines, propellers, and appliances,

20 on the adequacy of instruction, the suitability and airworthiness of

21 equipment, and the competency of instructors.

22 (2) repair stations and shops that repair, alter, and maintain air23 craft, aircraft engines, propellers, and appliances, on the adequacy and

24 suitability of the equipment, facilities, and materials for, and methods

25 of, repair and overhaul, and the competency of the individuals doing the

26 work or giving instruction in the work.

27 (3) other air agencies the Administrator decides are necessary in the

28 public interest.

29 § 44708. Inspecting and rating air navigation facilities

30 The Administrator of the Federal Aviation Administration may inspect,

31 classify, and rate an air navigation facility available for the use of civil air32 craft on the suitability of the facility for that use.

33 § 44709. Amendments, modifications, suspensions, and rev34 ocations of certificates

35 (a) REINSPECTION AND REEXAMINATION.—The Administrator of the Fed36 eral Aviation Administration may reinspect at any time a civil aircraft, air37 craft engine, propeller, appliance, air navigation facility, or air agency, or

38 reexamine an airman holding a certificate issued under section 44703 of this

39 title.

40 (b) ACTIONS OF THE ADMINISTRATOR.—The Administrator may issue an

41 order amending, modifying, suspending, or revoking—
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1 (1) any part of a certificate issued under this chapter if—

2 (A) the Administrator decides after conducting a reinspection, re3 examination, or other investigation that safety in air commerce or

4 air transportation and the public interest require that action; or

5 (B) the holder of the certificate has violated an aircraft noise or

6 sonic boom standard or regulation prescribed under section

7 44715(a) of this title; and

8 (2) an airman certificate when the holder of the certificate is convicted

9 of violating section 13(a) of the Fish and Wildlife Act of 1956 (16 U.S.C.

10 742j–1(a)).

11 (c) ADVICE TO CERTIFICATE HOLDERS AND OPPORTUNITY TO ANSWER.—

12 Before acting under subsection (b) of this section, the Administrator shall ad13 vise the holder of the certificate of the charges or other reasons on which the

14 Administrator relies for the proposed action. Except in an emergency, the Ad15 ministrator shall provide the holder an opportunity to answer the charges and

16 be heard why the certificate should not be amended, modified, suspended, or

17 revoked.

18 (d) APPEALS.—(1) A person adversely affected by an order of the Adminis19 trator under this section may appeal the order to the National Transportation

20 Safety Board. After notice and an opportunity for a hearing, the Board may

21 amend, modify, or reverse the order when the Board finds—

22 (A) if the order was issued under subsection (b)(1)(A) of this section,

23 that safety in air commerce or air transportation and the public interest

24 do not require affirmation of the order; or

25 (B) if the order was issued under subsection (b)(1)(B) of this section—

26 (i) that control or abatement of aircraft noise or sonic boom and

27 the public health and welfare do not require affirmation of the

28 order; or

29 (ii) the order, as it is related to a violation of aircraft noise or

30 sonic boom standards and regulations, is not consistent with safety

31 in air commerce or air transportation.

32 (2) The Board may modify a suspension or revocation of a certificate to

33 imposition of a civil penalty.

34 (3) When conducting a hearing under this subsection, the Board is not

35 bound by findings of fact of the Administrator but is bound by all validly

36 adopted interpretations of laws and regulations the Administrator carries out

37 and of written agency policy guidance available to the public related to sanc38 tions to be imposed under this section unless the Board finds an interpreta39 tion is arbitrary, capricious, or otherwise not according to law.

40 (e) EFFECTIVENESS OF ORDERS PENDING APPEAL.—When a person files

41 an appeal with the Board under subsection (d) of the section, the order of
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1 the Administrator is stayed. However, if the Administrator advises the Board

2 that an emergency exists and safety in air commerce or air transportation

3 requires the order to be effective immediately—

4 (1) the order is effective; and

5 (2) the Board shall make a final disposition of the appeal not later

6 than 60 days after the Administrator so advises the Board.

7 (f) JUDICIAL REVIEW.—A person substantially affected by an order of the

8 Board under this section, or the Administrator when the Administrator de9 cides that an order of the Board under this section will have a significant

10 adverse impact on carrying out this part, may obtain judicial review of the

11 order under section 46110 of this title. The Administrator shall be made a

12 party to the judicial review proceedings. Findings of fact of the Board are

13 conclusive if supported by substantial evidence

14 § 44710. Revocations of airman certificates for controlled

15 substance violations

16 (a) DEFINITION.—In this section, ‘‘controlled substance’’ has the same

17 meaning given that term in section 102 of the Comprehensive Drug Abuse

18 Prevention and Control Act of 1970 (21 U.S.C. 802).

19 (b) REVOCATION.—(1) The Administrator of the Federal Aviation Adminis20 tration shall issue an order revoking an airman certificate issued an individ21 ual under section 44703 of this title after the individual is convicted, under

22 a law of the United States or a State related to a controlled substance (except

23 a law related to simple possession of a controlled substance), of an offense

24 punishable by death or imprisonment for more than one year if the Adminis25 trator finds that—

26 (A) an aircraft was used to commit, or facilitate the commission of,

27 the offense; and

28 (B) the individual served as an airman, or was on the aircraft, in

29 connection with committing, or facilitating the commission of, the of30 fense.

31 (2) The Administrator shall issue an order revoking an airman certificate

32 issued an individual under section 44703 of this title if the Administrator

33 finds that—

34 (A) the individual knowingly carried out an activity punishable,

35 under a law of the United States or a State related to a controlled sub36 stance (except a law related to simple possession of a controlled sub37 stance), by death or imprisonment for more than one year;

38 (B) an aircraft was used to carry out or facilitate the activity; and

39 (C) the individual served as an airman, or was on the aircraft, in

40 connection with carrying out, or facilitating the carrying out of, the ac41 tivity.
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1 (3) The Administrator has no authority under paragraph (1) of this sub2 section to review whether an airman violated a law of the United States or

3 a State related to a controlled substance.

4 (c) ADVICE TO HOLDERS AND OPPORTUNITY TO ANSWER.—Before the Ad5 ministrator revokes a certificate under subsection (b) of this section, the Ad6 ministrator must—

7 (1) advise the holder of the certificate of the charges or reasons on

8 which the Administrator relies for the proposed revocation; and

9 (2) provide the holder of the certificate an opportunity to answer the

10 charges and be heard why the certificate should not be revoked.

11 (d) APPEALS.—(1) An individual whose certificate is revoked by the Ad12 ministrator under subsection (b) of this section may appeal the revocation

13 order to the National Transportation Safety Board. The Board shall affirm

14 or reverse the order after providing notice and an opportunity for a hearing

15 on the record. When conducting the hearing, the Board is not bound by find16 ings of fact of the Administrator but shall be bound by all validly adopted

17 interpretations of laws and regulations the Administrator carries out and of

18 written agency policy guidance available to the public related to sanctions to

19 be imposed under this section unless the Board finds an interpretation is ar20 bitrary, capricious, or otherwise not according to law.

21 (2) When an individual files an appeal with the Board under this sub22 section, the order of the Administrator revoking the certificate is stayed. How23 ever, if the Administrator advises the Board that safety in air transportation

24 or air commerce requires the immediate effectiveness of the order—

25 (A) the order remains effective; and

26 (B) the Board shall make a final disposition of the appeal not later

27 than 60 days after the Administrator so advises the Board.

28 (3) An individual substantially affected by an order of the Board under

29 this subsection, or the Administrator when the Administrator decides that an

30 order of the Board will have a significant adverse effect on carrying out this

31 part, may obtain judicial review of the order under section 46110 of this title.

32 The Administrator shall be made a party to the judicial review proceedings.

33 Findings of fact of the Board are conclusive if supported by substantial evi34 dence.

35 (e) ACQUITTAL.—(1) The Administrator may not revoke, and the Board

36 may not affirm a revocation of, an airman certificate under subsection (b)(2)

37 of this section on the basis of an activity described in subsection (b)(2)(A)

38 if the holder of the certificate is acquitted of all charges related to a controlled

39 substance in an indictment or information arising from the activity.
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1 (2) If the Administrator has revoked an airman certificate under this sec2 tion because of an activity described in subsection (b)(2)(A) of this section,

3 the Administrator shall reissue a certificate to the individual if—

4 (A) the individual otherwise satisfies the requirements for a certificate

5 under section 44703 of this title; and

6 (B)(i) the individual subsequently is acquitted of all charges related

7 to a controlled substance in an indictment or information arising from

8 the activity; or

9 (ii) the conviction on which a revocation under subsection (b)(1) of

10 this section is based is reversed.

11 (f) WAIVERS.—The Administrator may waive the requirement of subsection

12 (b) of this section that an airman certificate of an individual be revoked if—

13 (1) a law enforcement official of the United States Government or of

14 a State requests a waiver; and

15 (2) the Administrator decides that the waiver will facilitate law en16 forcement efforts.

17 § 44711. Prohibitions and exemption

18 (a) PROHIBITIONS.—A person may not—

19 (1) operate a civil aircraft in air commerce without an airworthiness

20 certificate in effect or in violation of a term of the certificate;

21 (2) serve in any capacity as an airman with respect to a civil air22 craft, aircraft engine, propeller, or appliance used, or intended for use,

23 in air commerce—

24 (A) without an airman certificate authorizing the airman to

25 serve in the capacity for which the certificate was issued; or

26 (B) in violation of a term of the certificate or a regulation pre27 scribed or order issued under section 44701(a) or (b) or 44702–

28 44716 of this title;

29 (3) employ for service related to civil aircraft used in air commerce

30 an airman who does not have an airman certificate authorizing the air31 man to serve in the capacity for which the airman is employed;

32 (4) operate as an air carrier without an air carrier operating certifi33 cate or in violation of a term of the certificate;

34 (5) operate aircraft in air commerce in violation of a regulation pre35 scribed or certificate issued under section 44701(a) or (b) or 44702–

36 44716 of this title;

37 (6) operate a seaplane or other aircraft of United States registry on

38 the high seas in violation of a regulation under section 3 of the Inter39 national Navigational Rules Act of 1977 (33 U.S.C. 1602);
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1 (7) violate a term of an air agency or production certificate or a regu2 lation prescribed or order issued under section 44701(a) or (b) or 44702–

3 44716 of this title related to the holder of the certificate;

4 (8) operate an airport without an airport operating certificate re5 quired under section 44706 of this title or in violation of a term of the

6 certificate; or

7 (9) manufacture, deliver, sell, or offer for sale any aviation fuel or ad8 ditive in violation of a regulation prescribed under section 44714 of this

9 title.

10 (b) EXEMPTION.—On terms the Administrator of the Federal Aviation Ad11 ministration prescribes as being in the public interest, the Administrator may

12 exempt a foreign aircraft and airmen serving on the aircraft from subsection

13 (a) of this section. However, an exemption from observing air traffic regula14 tions may not be granted.

15 § 44712. Emergency locator transmitters

16 (a) INSTALLATION.—An emergency locator transmitter must be installed on

17 a fixed-wing powered civil aircraft for use in air commerce.

18 (b) NONAPPLICATION.—Subsection (a) of this section does not apply to—

19 (1) turbojet-powered aircraft;

20 (2) aircraft when used in scheduled flights by scheduled air carriers

21 holding certificates issued by the Secretary of Transportation under sub22 part II of this part;

23 (3) aircraft when used in training operations conducted entirely with24 in a 50 mile radius of the airport from which the training operations

25 begin;

26 (4) aircraft when used in flight operations related to design and test27 ing, the manufacture, preparation, and delivery of the aircraft, or the

28 aerial application of a substance for an agricultural purpose;

29 (5) aircraft holding certificates from the Administrator of the Federal

30 Aviation Administration for research and development;

31 (6) aircraft when used for showing compliance with regulations, crew

32 training, exhibition, air racing, or market surveys; and

33 (7) aircraft equipped to carry only one individual.

34 (c) REMOVAL.—The Administrator shall prescribe regulations specifying the

35 conditions under which an aircraft subject to subsection (a) of this section

36 may operate when its emergency locator transmitter has been removed for in37 spection, repair, alteration, or replacement.

38 § 44713. Inspection and maintenance

39 (a) GENERAL EQUIPMENT REQUIREMENTS.—An air carrier shall make, or

40 cause to be made, any inspection, repair, or maintenance of equipment used

41 in air transportation as required by this part or regulations prescribed or
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1 orders issued by the Administrator of the Federal Aviation Administration

2 under this part. A person operating, inspecting, repairing, or maintaining

3 the equipment shall comply with those requirements, regulations, and orders.

4 (b) DUTIES OF INSPECTORS.—The Administrator of the Federal Aviation

5 Administration shall employ inspectors who shall—

6 (1) inspect aircraft, aircraft engines, propellers, and appliances de7 signed for use in air transportation, during manufacture and when in

8 use by an air carrier in air transportation, to enable the Administrator

9 to decide whether the aircraft, aircraft engines, propellers, or appliances

10 are in safe condition and maintained properly; and

11 (2) advise and cooperate with the air carrier during that inspection

12 and maintenance.

13 (c) UNSAFE AIRCRAFT, ENGINES, PROPELLERS, AND APPLIANCES.—When

14 an inspector decides that an aircraft, aircraft engine, propeller, or appliance

15 is not in condition for safe operation, the inspector shall notify the air carrier

16 in the form and way prescribed by the Administrator of the Federal Aviation

17 Administration. For 5 days after the carrier is notified, the aircraft, engine,

18 propeller, or appliance may not be used in air transportation or in a way

19 that endangers air transportation unless the Administrator or the inspector

20 decides the aircraft, engine, propeller, or appliance is in condition for safe

21 operation.

22 (d) MODIFICATIONS IN SYSTEM.—(1) The Administrator of the Federal

23 Aviation Administration shall make modifications in the system for process24 ing forms for major repairs or alterations to fuel tanks and fuel systems of

25 aircraft not used to provide air transportation that are necessary to make the

26 system more effective in serving the needs of users of the system, including

27 officials responsible for enforcing laws related to the regulation of controlled

28 substances (as defined in section 102 of the Comprehensive Drug Abuse Pre29 vention and Control Act of 1970 (21 U.S.C. 802)). The modifications shall

30 address at least each of the following deficiencies in, and abuses of, the exist31 ing system:

32 (A) the lack of a special identification feature to allow the forms to

33 be distinguished easily from other major repair and alteration forms.

34 (B) the excessive period of time required to receive the forms at the

35 Airmen and Aircraft Registry of the Administration.

36 (C) the backlog of forms waiting for processing at the Registry.

37 (D) the lack of ready access by law enforcement officials to informa38 tion contained on the forms.

39 (2) The Administrator of the Federal Aviation Administration shall pre40 scribe regulations to carry out paragraph (1) of this subsection and provide

41 a written explanation of how the regulations address each of the deficiencies
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1 and abuses described in paragraph (1). In prescribing the regulations, the Ad2 ministrator of the Federal Aviation Administration shall consult with the Ad3 ministrator of Drug Enforcement, the Commissioner of Customs, other law en4 forcement officials of the United States Government, representatives of State

5 and local law enforcement officials, representatives of the general aviation air6 craft industry, representatives of users of general aviation aircraft, and other

7 interested persons.

8 § 44714. Aviation fuel standards

9 The Administrator of the Federal Aviation Administration shall pre10 scribe—

11 (1) standards for the composition or chemical or physical properties

12 of an aircraft fuel or fuel additive to control or eliminate aircraft emis13 sions the Administrator of the Environmental Protection Agency decides

14 under section 231 of the Clean Air Act (42 U.S.C. 7571) endanger the

15 public health or welfare; and

16 (2) regulations providing for carrying out and enforcing those stand17 ards.

18 § 44715. Controlling aircraft noise and sonic boom

19 (a) STANDARDS AND REGULATIONS.—(1) To relieve and protect the public

20 health and welfare from aircraft noise and sonic boom, the Administrator of

21 the Federal Aviation Administration shall prescribe—

22 (A) standards to measure aircraft noise and sonic boom; and

23 (B) regulations to control and abate aircraft noise and sonic boom.

24 (2) The Administrator of the Federal Aviation Administration may pre25 scribe standards and regulations under this subsection only after consulting

26 with the Administrator of the Environmental Protection Agency. The stand27 ards and regulations shall be applied when issuing, amending, modifying,

28 suspending, or revoking a certificate authorized under this chapter.

29 (3) An original type certificate may be issued under section 44704(a) of

30 this title for an aircraft for which substantial noise abatement can be achieved

31 only after the Administrator of the Federal Aviation Administration pre32 scribes standards and regulations under this section that apply to that air33 craft.

34 (b) CONSIDERATIONS AND CONSULTATION.—When prescribing a standard

35 or regulation under this section, the Administrator of the Federal Aviation

36 Administration shall—

37 (1) consider relevant information related to aircraft noise and sonic

38 boom;

39 (2) consult with appropriate departments, agencies, and instrumental40 ities of the United States Government and State and interstate authori41 ties;
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1 (3) consider whether the standard or regulation is consistent with the

2 highest degree of safety in air transportation or air commerce in the

3 public interest;

4 (4) consider whether the standard or regulation is economically rea5 sonable, technologically practicable, and appropriate for the applicable

6 aircraft, aircraft engine, appliance, or certificate; and

7 (5) consider the extent to which the standard or regulation will carry

8 out the purposes of this section.

9 (c) PROPOSED REGULATIONS OF ADMINISTRATOR OF ENVIRONMENTAL

10 PROTECTION AGENCY.—The Administrator of the Environmental Protection

11 Agency shall submit to the Administrator of the Federal Aviation Administra12 tion proposed regulations to control and abate aircraft noise and sonic boom

13 (including control and abatement through the use of the authority of the Ad14 ministrator of the Federal Aviation Administration) that the Administrator

15 of the Environmental Protection Agency considers necessary to protect the

16 public health and welfare. The Administrator of the Federal Aviation Admin17 istration shall consider those proposed regulations and shall publish them in

18 a notice of proposed regulations not later than 30 days after they are received.

19 Not later than 60 days after publication, the Administrator of the Federal

20 Aviation Administration shall begin a hearing at which interested persons are

21 given an opportunity for oral and written presentations. Not later than 90

22 days after the hearing is completed and after consulting with the Adminis23 trator of the Environmental Protection Agency, the Administrator of the Fed24 eral Aviation Administration shall—

25 (1) prescribe regulations as provided by this section—

26 (A) substantially the same as the proposed regulations submitted

27 by the Administrator of the Environmental Protection Agency; or

28 (B) that amend the proposed regulations; or

29 (2) publish in the Federal Register—

30 (A) a notice that no regulation is being prescribed in response to

31 the proposed regulations of the Administrator of the Environmental

32 Protection Agency;

33 (B) a detailed analysis of, and response to, all information the

34 Administrator of the Environmental Protection Agency submitted

35 with the proposed regulations; and

36 (C) a detailed explanation of why no regulation is being pre37 scribed.

38 (d) CONSULTATION AND REPORTS.—(1) If the Administrator of the Envi39 ronmental Protection Agency believes that the action of the Administrator of

40 the Federal Aviation Administration under subsection (c)(1)(B) or (2) of this

41 section does not protect the public health and welfare from aircraft noise or
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1 sonic boom, consistent with the considerations in subsection (b) of this section,

2 the Administrator of the Environmental Protection Agency shall consult with

3 the Administrator of the Federal Aviation Administration and may request

4 a report on the advisability of prescribing the regulation as originally pro5 posed. The request, including a detailed statement of the information on

6 which the request is based, shall be published in the Federal Register.

7 (2) The Administrator of the Federal Aviation Administration shall report

8 to the Administrator of the Environmental Protection Agency within the time,

9 if any, specified in the request. However, the time specified must be at least

10 90 days after the date of the request. The report shall—

11 (A) be accompanied by a detailed statement of the findings of the Ad12 ministrator of the Federal Aviation Administration and the reasons for

13 the findings;

14 (B) identify any statement related to an action under subsection (c)

15 of this section filed under section 102(2)(C) of the National Environ16 mental Policy Act of 1969 (42 U.S.C. 4332(2)(C));

17 (C) specify whether and where that statement is available for public

18 inspection; and

19 (D) be published in the Federal Register unless the request proposes

20 specific action by the Administrator of the Federal Aviation Administra21 tion and the report indicates that action will be taken.

22 (e) SUPPLEMENTAL REPORTS.—The Administrator of the Environmental

23 Protection Agency may request the Administrator of the Federal Aviation Ad24 ministration to file a supplemental report if the report under subsection (d)

25 of this section indicates that the proposed regulations under subsection (c) of

26 this section, for which a statement under section 102(2)(C) of the Act (42

27 U.S.C. 4332(2)(C)) is not required, should not be prescribed. The supple28 mental report shall be published in the Federal Register within the time the

29 Administrator of the Environmental Protection Agency specifies. However, the

30 time specified must be at least 90 days after the date of the request. The sup31 plemental report shall contain a comparison of the environmental effects, in32 cluding those that cannot be avoided, of the action of the Administrator of

33 the Federal Aviation Administration and the proposed regulations of the Ad34 ministrator of the Environmental Protection Agency.

35 (f) EXEMPTIONS.—An exemption from a standard or regulation prescribed

36 under this section may be granted only if, before granting the exemption, the

37 Administrator of the Federal Aviation Administration consults with the Ad38 ministrator of the Environmental Protection Agency. However, if the Admin39 istrator of the Federal Aviation Administration finds that safety in air trans40 portation or air commerce requires an exemption before the Administrator of

41 the Environmental Protection Agency can be consulted, the exemption may
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1 be granted. The Administrator of the Federal Aviation Administration shall

2 consult with the Administrator of the Environmental Protection Agency as

3 soon as practicable after the exemption is granted.

4 § 44716. Collision avoidance systems

5 (a) DEVELOPMENT AND CERTIFICATION.—The Administrator of the Federal

6 Aviation Administration shall—

7 (1) complete the development of the collision avoidance system known

8 as TCAS–II so that TCAS–II can operate under visual and instrument

9 flight rules and can be upgraded to the performance standards applicable

10 to the collision avoidance system known as TCAS–III;

11 (2) develop and carry out a schedule for developing and certifying

12 TCAS–II that will result in certification not later than June 30, 1989;

13 and

14 (3) submit to Congress monthly reports on the progress being made in

15 developing and certifying TCAS–II.

16 (b) INSTALLATION AND OPERATION.—The Administrator shall require by

17 regulation that, not later than 30 months after the date certification is made

18 under subsection (a)(2) of this section, TCAS–II be installed and operated on

19 each civil aircraft that has a maximum passenger capacity of at least 31 seats

20 and is used to provide air transportation of passengers, including intrastate

21 air transportation of passengers. The Administrator may extend the deadline

22 in this subsection for not more than 2 years if the Administrator finds the

23 extension is necessary to promote—

24 (1) a safe and orderly transition to the operation of a fleet of civil

25 aircraft described in this subsection equipped with TCAS–II; or

26 (2) other safety objectives.

27 (c) OPERATIONAL EVALUATION.—Not later than December 30, 1990, the

28 Administrator shall establish a one-year program to collect and assess safety

29 and operational information from civil aircraft equipped with TCAS–II for

30 the operational evaluation of TCAS–II. The Administrator shall encourage

31 foreign air carriers that operate civil aircraft equipped with TCAS–II to par32 ticipate in the program.

33 (d) AMENDING SCHEDULE FOR WINDSHEAR EQUIPMENT.—The Adminis34 trator shall consider the feasibility and desirability of amending the schedule

35 for installing airborne low-altitude windshear equipment to make the schedule

36 compatible with the schedule for installing TCAS–II.

37 (e) DEADLINE FOR DEVELOPMENT AND CERTIFICATION.—(1) The Adminis38 trator shall complete developing and certifying TCAS–III as soon as possible.

39 (2) Necessary amounts may be appropriated from the Airport and Airway

40 Trust Fund established under section 9502 of the Internal Revenue Code of

41 1986 (26 U.S.C. 9502) to carry out this subsection.
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1 (f) INSTALLING AND USING TRANSPONDERS.—The Administrator shall pre2 scribe regulations requiring that, not later than December 30, 1990, operating

3 transponders with automatic altitude reporting capability be installed and

4 used for aircraft operating in designated terminal airspace where radar serv5 ice is provided for separation of aircraft. The Administrator may provide for

6 access to that airspace (except terminal control areas and airport radar serv7 ice areas) by nonequipped aircraft if the Administrator finds the access will

8 not interfere with the normal traffic flow.

9 § 44717. Aging aircraft

10 (a) INSPECTIONS AND REVIEWS.—The Administrator of the Federal Avia11 tion Administration shall prescribe regulations that ensure the continuing

12 airworthiness of aging aircraft. The regulations prescribed under subsection

13 (a) of this section—

14 (1) at least shall require the Administrator to make inspections, and

15 review the maintenance and other records, of each aircraft an air carrier

16 uses to provide air transportation that the Administrator decides may

17 be necessary to enable the Administrator to decide whether the aircraft

18 is in safe condition and maintained properly for operation in air trans19 portation;

20 (2) at least shall require an air carrier to demonstrate to the Adminis21 trator, as part of the inspection, that maintenance of the aircraft’s age22 sensitive parts and components has been adequate and timely enough to

23 ensure the highest degree of safety;

24 (3) shall require the air carrier to make available to the Administrator

25 the aircraft and any records about the aircraft that the Administrator

26 requires to carry out a review; and

27 (4) shall establish procedures to be followed in carrying out an inspec28 tion.

29 (b) WHEN AND HOW INSPECTIONS AND REVIEWS SHALL BE CARRIED

30 OUT.—(1) Inspections and reviews required under subsection (a)(1) of this

31 section shall be carried out as part of each heavy maintenance check of the

32 aircraft conducted after the 14th year in which the aircraft has been in serv33 ice.

34 (2) Inspections under subsection (a)(1) of this section shall be carried out

35 as provided under section 44701(a)(2)(B) and (C) of this title.

36 (c) AIRCRAFT MAINTENANCE SAFETY PROGRAMS.—The Administrator shall

37 establish—

38 (1) a program to verify that air carriers are maintaining their air39 craft according to maintenance programs approved by the Adminis40 trator;

41 (2) a program—
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1 (A) to provide inspectors and engineers of the Administration

2 with training necessary to conduct auditing inspections of aircraft

3 operated by air carriers for corrosion and metal fatigue; and

4 (B) to enhance participation of those inspectors and engineers in

5 those inspections; and

6 (3) a program to ensure that air carriers demonstrate to the Adminis7 trator their commitment and technical competence to ensure the air8 worthiness of aircraft that the carriers operate.

9 (d) FOREIGN AIR TRANSPORTATION.—(1) The Administrator shall take all

10 possible steps to encourage governments of foreign countries and relevant

11 international organizations to develop standards and requirements for inspec12 tions and reviews that—

13 (A) will ensure the continuing airworthiness of aging aircraft used by

14 foreign air carriers to provide foreign air transportation to and from the

15 United States; and

16 (B) will provide passengers of those foreign air carriers with the same

17 level of safety that will be provided passengers of air carriers by carrying

18 out this section.

19 (2) Not later than September 30, 1994, the Administrator shall report to

20 Congress on carrying out this subsection.

21 § 44718. Structures interfering with air commerce

22 (a) NOTICE.—By regulation or by order when necessary, the Secretary of

23 Transportation shall require a person to give adequate public notice, in the

24 form and way the Secretary prescribes, of the construction, alteration, estab25 lishment, or expansion, or the proposed construction, alteration, establish26 ment, or expansion, of a structure or sanitary landfill when the notice will

27 promote—

28 (1) safety in air commerce; and

29 (2) the efficient use and preservation of the navigable airspace and of

30 airport traffic capacity at public-use airports.

31 (b) STUDIES.—(1) Under regulations prescribed by the Secretary, if the

32 Secretary decides that constructing or altering a structure may result in an

33 obstruction of the navigable airspace or an interference with air navigation

34 facilities and equipment or the navigable airspace, the Secretary shall conduct

35 an aeronautical study to decide the extent of any adverse impact on the safe

36 and efficient use of the airspace, facilities, or equipment. In conducting the

37 study, the Secretary shall consider factors relevant to the efficient and effective

38 use of the navigable airspace, including—

39 (A) the impact on arrival, departure, and en route procedures for air40 craft operating under visual flight rules;
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1 (B) the impact on arrival, departure, and en route procedures for air2 craft operating under instrument flight rules;

3 (C) the impact on existing public-use airports and aeronautical facili4 ties;

5 (D) the impact on planned public-use airports and aeronautical facili6 ties; and

7 (E) the cumulative impact resulting from the proposed construction or

8 alteration of a structure when combined with the impact of other existing

9 or proposed structures.

10 (2) On completing the study, the Secretary shall issue a report disclosing

11 completely the extent of the adverse impact on the safe and efficient use of

12 the navigable airspace that the Secretary finds will result from constructing

13 or altering the structure.

14 (c) BROADCAST APPLICATIONS AND TOWER STUDIES.—In carrying out

15 laws related to a broadcast application and conducting an aeronautical study

16 related to broadcast towers, the Administrator of the Federal Aviation Admin17 istration and the Federal Communications Commission shall take action nec18 essary to coordinate efficiently—

19 (1) the receipt and consideration of, and action on, the application;

20 and

21 (2) the completion of any associated aeronautical study.

22 § 44719. Standards for navigational aids

23 The Secretary of Transportation shall prescribe regulations on standards

24 for installing navigational aids, including airport control towers. For each

25 type of facility, the regulations shall consider at a minimum traffic density

26 (number of aircraft operations without consideration of aircraft size), terrain

27 and other obstacles to navigation, weather characteristics, passengers served,

28 and potential aircraft operating efficiencies.

29 § 44720. Meteorological services

30 (a) RECOMMENDATIONS.—The Administrator of the Federal Aviation Ad31 ministration shall make recommendations to the Secretary of Commerce on

32 providing meteorological services necessary for the safe and efficient movement

33 of aircraft in air commerce. In providing the services, the Secretary shall co34 operate with the Administrator and give complete consideration to those rec35 ommendations.

36 (b) PROMOTING SAFETY AND EFFICIENCY.—To promote safety and effi37 ciency in air navigation to the highest possible degree, the Secretary shall—

38 (1) observe, measure, investigate, and study atmospheric phenomena,

39 and maintain meteorological stations and offices, that are necessary or

40 best suited for finding out in advance information about probable weath41 er conditions;
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1 (2) provide reports to the Administrator to persons engaged in civil

2 aeronautics that are designated by the Administrator and to other per3 sons designated by the Secretary in a way and with a frequency that

4 best will result in safety in, and facilitating, air navigation;

5 (3) cooperate with persons engaged in air commerce in meteorological

6 services, maintain reciprocal arrangements with those persons in carry7 ing out this clause, and collect and distribute weather reports available

8 from aircraft in flight;

9 (4) maintain and coordinate international exchanges of meteorological

10 information required for the safety and efficiency of air navigation;

11 (5) in cooperation with other departments, agencies, and instrumen12 talities of the United States Government, meteorological services of for13 eign countries, and persons engaged in air commerce, participate in de14 veloping an international basic meteorological reporting network, includ15 ing the establishment, operation, and maintenance of reporting stations

16 on the high seas, in polar regions, and in foreign countries;

17 (6) coordinate meteorological requirements in the United States to

18 maintain standard observations, to promote efficient use of facilities, and

19 to avoid duplication of services unless the duplication tends to promote

20 the safety and efficiency of air navigation; and

21 (7) promote and develop meteorological science and foster and support

22 research projects in meteorology through the use of private and govern23 mental research facilities and provide for publishing the results of the

24 projects unless publication would not be in the public interest.

25 § 44721. Aeronautical maps and charts

26 (a) PUBLICATION.—(1) The Administrator of the Federal Aviation Admin27 istration may arrange for the publication of aeronautical maps and charts

28 necessary for the safe and efficient movement of aircraft in air navigation,

29 using the facilities and assistance of departments, agencies, and instrumental30 ities of the United States Government as far as practicable.

31 (2) In carrying out paragraph (1) of this subsection, the Administrator

32 shall update and arrange for the publication of clearly defined routes for

33 navigating through a complex terminal airspace area and to and from an

34 airport located in such an area, if the Administrator decides that publication

35 of the routes would promote safety in air navigation. The routes shall be de36 veloped in consultation with pilots and other users of affected airports and

37 shall be for the optional use of pilots operating under visual flight rules.

38 (b) INDEMNIFICATION.—The Government shall make an agreement to in39 demnify any person that publishes a map or chart for use in aeronautics from

40 any part of a claim arising out of the depiction by the person on the map
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1 or chart of a defective or deficient flight procedure or airway if the flight pro2 cedure or airway was—

3 (1) prescribed by the Administrator;

4 (2) depicted accurately on the map or chart; and

5 (3) not obviously defective or deficient.

6 § 44722. Aircraft operations in winter conditions

7 The Administrator of the Federal Aviation Administration shall prescribe

8 regulations requiring procedures to improve safety of aircraft operations dur9 ing winter conditions. In deciding on the procedures to be required, the Ad10 ministrator shall consider at least aircraft and air traffic control modifica11 tions, the availability of different types of deicing fluids (considering their ef12 ficacy and environmental limitations), the types of deicing equipment avail13 able, and the feasibility and desirability of establishing timeframes within

14 which deicing must occur under certain types of inclement weather.

15 § 44723. Annual report

16 Not later than January 1 of each year, the Secretary of Transportation

17 shall submit to Congress a comprehensive report on the safety enforcement ac18 tivities of the Federal Aviation Administration during the fiscal year ending

19 the prior September 30th. The report shall include—

20 (1) a comparison of end-of-year staffing levels by operations, mainte21 nance, and avionics inspector categories to staffing goals and a statement

22 on how staffing standards were applied to make allocations between air

23 carrier and general aviation operations, maintenance, and avionics in24 spectors;

25 (2) schedules showing the range of inspector experience by various in26 spector work force categories, and the number of inspectors in each of the

27 categories who are considered fully qualified;

28 (3) schedules showing the number and percentage of inspectors who

29 have received mandatory training by individual course, and the number

30 of inspectors by work force categories, who have received all mandatory

31 training;

32 (4) a description of the criteria used to set annual work programs, an

33 explanation of how these criteria differ from criteria used in the prior

34 fiscal year and how the annual work programs ensure compliance with

35 appropriate regulations and safe operating practices;

36 (5) a comparison of actual inspections performed during the fiscal

37 year to the annual work programs by field location and, for any field

38 location completing less than 80 percent of its planned number of inspec39 tions, an explanation of why annual work program plans were not met;

40 (6) a statement of the adequacy of Administration internal manage41 ment controls available to ensure that field managers comply with Ad-
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1 ministration policies and procedures, including those on inspector prior2 ities, district office coordination, minimum inspection standards, and

3 inspection followup;

4 (7) the status of efforts made by the Administration to update inspec5 tor guidance documents and regulations to include technological, man6 agement, and structural changes taking place in the aviation industry,

7 including a listing of the backlog of all proposed regulatory amendments;

8 (8) a list of the specific operational measures of effectiveness used to

9 evaluate—

10 (A) the progress in meeting program objectives;

11 (B) the quality of program delivery; and

12 (C) the nature of emerging safety problems;

13 (9) a schedule showing the number of civil penalty cases closed during

14 the 2 prior fiscal years, including the total initial and final penalties

15 imposed, the total number of dollars collected, the range of dollar

16 amounts collected, the average case processing time, and the range of case

17 processing time;

18 (10) a schedule showing the number of enforcement actions taken (ex19 cept civil penalties) during the 2 prior fiscal years, including the total

20 number of violations cited, and the number of cited violation cases closed

21 by certificate suspensions, certificate revocations, warnings, and no ac22 tion taken; and

23 (11) schedules showing the safety record of the aviation industry dur24 ing the fiscal year for air carriers and general aviation, including—

25 (A) the number of inspections performed when deficiencies were

26 identified compared with inspections when no deficiencies were

27 found;

28 (B) the frequency of safety deficiencies for each air carrier; and

29 (C) an analysis based on data of the general status of air carrier

30 and general aviation compliance with aviation regulations.

31 CHAPTER 449—SECURITY

SUBCHAPTER I—REQUIREMENTS

Sec.

44901. Screening passengers and property.

44902. Refusal to transport passengers and property.

44903. Air transportation security.

44904. Domestic air transportation system security.

44905. Information about threats to civil aviation.

44906. Foreign air carrier security programs.

44907. Security standards at foreign airports.

44908. Travel advisory and suspension of foreign assistance.

44909. Passenger manifests.

44910. Agreements on aircraft sabotage, aircraft hijacking, and airport security.

44911. Intelligence.

44912. Research and development.

44913. Explosive detection.
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44914. Airport construction guidelines.

44915. Exemptions.

SUBCHAPTER II—ADMINISTRATION AND PERSONNEL

44931. Director of Intelligence and Security.

44932. Assistant Administrator for Civil Aviation Security.

44933. Federal Security Managers.

44934. Foreign Security Liaison Officers.

44935. Employment standards and training.

44936. Employment investigations and restrictions.

44937. Prohibition on transferring duties and powers.

44938. Reports.

1 SUBCHAPTER I—REQUIREMENTS

2 § 44901. Screening passengers and property

3 (a) GENERAL REQUIREMENTS.—The Administrator of the Federal Aviation

4 Administration shall prescribe regulations requiring screening of all pas5 sengers and property that will be carried in a cabin of an aircraft in air

6 transportation or intrastate air transportation. The screening must take place

7 before boarding and be carried out by a weapon-detecting facility or proce8 dure used or operated by an employee or agent of an air carrier, intrastate

9 air carrier, or foreign air carrier.

10 (b) AMENDING REGULATIONS.—Notwithstanding subsection (a) of this sec11 tion, the Administrator may amend a regulation prescribed under subsection

12 (a) to require screening only to ensure security against criminal violence and

13 aircraft piracy in air transportation and intrastate air transportation.

14 (c) EXEMPTIONS AND ADVISING CONGRESS ON REGULATIONS.—The Ad15 ministrator—

16 (1) may exempt from this section air transportation operations, except

17 scheduled passenger operations of an air carrier providing air transpor18 tation under a certificate issued under section 41102 of this title or a

19 permit issued under section 41302 of this title; and

20 (2) shall advise Congress of a regulation to be prescribed under this

21 section at least 30 days before the effective date of the regulation, unless

22 the Administrator decides an emergency exists requiring the regulation

23 to become effective in fewer than 30 days and notifies Congress of that

24 decision.

25 § 44902. Refusal to transport passengers and property

26 (a) MANDATORY REFUSAL.—The Administrator of the Federal Aviation

27 Administration shall prescribe regulations requiring an air carrier, intrastate

28 air carrier, or foreign air carrier to refuse to transport—

29 (1) a passenger who does not consent to a search under section

30 44901(a) of this title establishing whether the passenger is carrying un31 lawfully a dangerous weapon, explosive, or other destructive substance;

32 or
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1 (2) property of a passenger who does not consent to a search of the

2 property establishing whether the property unlawfully contains a dan3 gerous weapon, explosive, or other destructive substance.

4 (b) PERMISSIVE REFUSAL.—Subject to regulations of the Administrator, an

5 air carrier, intrastate air carrier, or foreign air carrier may refuse to trans6 port a passenger or property the carrier decides is, or might be, inimical to

7 safety.

8 (c) AGREEING TO CONSENT TO SEARCH.—An agreement to carry pas9 sengers or property in air transportation or intrastate air transportation by

10 an air carrier, intrastate air carrier, or foreign air carrier is deemed to in11 clude an agreement that the passenger or property will not be carried if con12 sent to search the passenger or property for a purpose referred to in this sec13 tion is not given.

14 § 44903. Air transportation security

15 (a) DEFINITION.—In this section, ‘‘law enforcement personnel’’ means indi16 viduals—

17 (1) authorized to carry and use firearms;

18 (2) vested with the degree of the police power of arrest the Adminis19 trator of the Federal Aviation Administration considers necessary to

20 carry out this section; and

21 (3) identifiable by appropriate indicia of authority.

22 (b) PROTECTION AGAINST VIOLENCE AND PIRACY.—The Administrator

23 shall prescribe regulations to protect passengers and property on an aircraft

24 operating in air transportation or intrastate air transportation against an

25 act of criminal violence or aircraft piracy. When prescribing a regulation

26 under this subsection, the Administrator shall—

27 (1) consult with the Secretary of Transportation, the Attorney Gen28 eral, the heads of other departments, agencies, and instrumentalities of

29 the United States Government, and State and local authorities;

30 (2) consider whether a proposed regulation is consistent with—

31 (A) protecting passengers; and

32 (B) the public interest in promoting air transportation and

33 intrastate air transportation;

34 (3) to the maximum extent practicable, require a uniform procedure

35 for searching and detaining passengers and property to ensure—

36 (A) their safety; and

37 (B) courteous and efficient treatment by an air carrier, an agent

38 or employee of an air carrier, and Government, State, and local law

39 enforcement personnel carrying out this section; and

40 (4) consider the extent to which a proposed regulation will carry out

41 this section.
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1 (c) SECURITY PROGRAMS.—(1) The Administrator shall prescribe regula2 tions under subsection (b) of this section that require each operator of an air3 port regularly serving an air carrier holding a certificate issued by the Sec4 retary of Transportation to establish an air transportation security program

5 that provides a law enforcement presence and capability at each of those air6 ports that is adequate to ensure the safety of passengers. The regulations shall

7 authorize the operator to use the services of qualified State, local, and private

8 law enforcement personnel. When the Administrator decides, after being noti9 fied by an operator in the form the Administrator prescribes, that not enough

10 qualified State, local, and private law enforcement personnel are available to

11 carry out subsection (b), the Administrator may authorize the operator to use,

12 on a reimbursable basis, personnel employed by the Administrator, or by an13 other department, agency, or instrumentality of the Government with the con14 sent of the head of the department, agency, or instrumentality, to supplement

15 State, local, and private law enforcement personnel. When deciding whether

16 additional personnel are needed, the Administrator shall consider the number

17 of passengers boarded at the airport, the extent of anticipated risk of criminal

18 violence or aircraft piracy at the airport or to the air carrier aircraft oper19 ations at the airport, and the availability of qualified State or local law en20 forcement personnel at the airport.

21 (2)(A) The Administrator may approve a security program of an airport

22 operator, or an amendment in an existing program, that incorporates a secu23 rity program of an airport tenant (except an air carrier separately comply24 ing with part 108 or 129 of title 14, Code of Federal Regulations) having

25 access to a secured area of the airport, if the program or amendment incor26 porates—

27 (i) the measures the tenant will use, within the tenant’s leased areas

28 or areas designated for the tenant’s exclusive use under an agreement

29 with the airport operator, to carry out the security requirements imposed

30 by the Administrator on the airport operator under the access control

31 system requirements of section 107.14 of title 14, Code of Federal Regula32 tions, or under other requirements of part 107 of title 14; and

33 (ii) the methods the airport operator will use to monitor and audit

34 the tenant’s compliance with the security requirements and provides that

35 the tenant will be required to pay monetary penalties to the airport op36 erator if the tenant fails to carry out a security requirement under a

37 contractual provision or requirement imposed by the airport operator.

38 (B) If the Administrator approves a program or amendment described in

39 subparagraph (A) of this paragraph, the airport operator may not be found

40 to be in violation of a requirement of this subsection or subsection (b) of this

41 section when the airport operator demonstrates that the tenant or an em-
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1 ployee, permittee, or invitee of the tenant is responsible for the violation and

2 that the airport operator has complied with all measures in its security pro3 gram for securing compliance with its security program by the tenant.

4 (d) AUTHORIZING INDIVIDUALS TO CARRY FIREARMS AND MAKE AR5 RESTS.—With the approval of the Attorney General and the Secretary of

6 State, the Secretary of Transportation may authorize an individual who car7 ries out air transportation security duties—

8 (1) to carry firearms; and

9 (2) to make arrests without warrant for an offense against the United

10 States committed in the presence of the individual or for a felony under

11 the laws of the United States, if the individual reasonably believes the

12 individual to be arrested has committed or is committing a felony.

13 (e) EXCLUSIVE RESPONSIBILITY OVER PASSENGER SAFETY.—The Admin14 istrator has the exclusive responsibility to direct law enforcement activity re15 lated to the safety of passengers on an aircraft involved in an offense under

16 section 46502 of this title from the moment all external doors of the aircraft

17 are closed following boarding until those doors are opened to allow passengers

18 to leave the aircraft. When requested by the Administrator, other departments,

19 agencies, and instrumentalities of the Government shall provide assistance

20 necessary to carry out this subsection.

21 § 44904. Domestic air transportation system security

22 (a) ASSESSING THREATS.—The Administrator of the Federal Aviation Ad23 ministration and the Director of the Federal Bureau of Investigation jointly

24 shall assess current and potential threats to the domestic air transportation

25 system. The assessment shall include consideration of the extent to which there

26 are individuals with the capability and intent to carry out terrorist or related

27 unlawful acts against that system and the ways in which those individuals

28 might carry out those acts. The Administrator and the Director jointly shall

29 decide on and carry out the most effective method for continuous analysis and

30 monitoring of security threats to that system.

31 (b) ASSESSING SECURITY.—In coordination with the Director, the Admin32 istrator shall carry out periodic threat and vulnerability assessments on secu33 rity at each airport that is part of the domestic air transportation system.

34 Each assessment shall include consideration of—

35 (1) the adequacy of security procedures related to the handling and

36 transportation of checked baggage and cargo;

37 (2) space requirements for security personnel and equipment;

38 (3) separation of screened and unscreened passengers, baggage, and

39 cargo;

40 (4) separation of the controlled and uncontrolled areas of airport fa41 cilities; and
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1 (5) coordination of the activities of security personnel of the Adminis2 tration, the United States Customs Service, the Immigration and Natu3 ralization Service, and air carriers, and of other law enforcement person4 nel.

5 (c) IMPROVING SECURITY.—The Administrator shall take necessary actions

6 to improve domestic air transportation security by correcting any deficiencies

7 in that security discovered in the assessments, analyses, and monitoring car8 ried out under this section.

9 § 44905. Information about threats to civil aviation

10 (a) PROVIDING INFORMATION.—Under guidelines the Secretary of Trans11 portation prescribes, an air carrier, airport operator, ticket agent, or individ12 ual employed by an air carrier, airport operator, or ticket agent, receiving

13 information (except a communication directed by the United States Govern14 ment) about a threat to civil aviation shall provide the information promptly

15 to the Secretary.

16 (b) FLIGHT CANCELLATION.—If a decision is made that a particular threat

17 cannot be addressed in a way adequate to ensure, to the extent feasible, the

18 safety of passengers and crew of a particular flight or series of flights, the

19 Administrator of the Federal Aviation Administration shall cancel the flight

20 or series of flights.

21 (c) GUIDELINES ON PUBLIC NOTICE.—(1) The President shall develop

22 guidelines for ensuring that public notice is provided in appropriate cases

23 about threats to civil aviation. The guidelines shall identify officials respon24 sible for—

25 (A) deciding, on a case-by-case basis, if public notice of a threat is

26 in the best interest of the United States and the traveling public;

27 (B) ensuring that public notice is provided in a timely and effective

28 way, including the use of a toll-free telephone number; and

29 (C) canceling the departure of a flight or series of flights under sub30 section (b) of this section.

31 (2) The guidelines shall provide for consideration of—

32 (A) the specificity of the threat;

33 (B) the credibility of intelligence information related to the threat;

34 (C) the ability to counter the threat effectively;

35 (D) the protection of intelligence information sources and methods;

36 (E) cancellation, by an air carrier or the Administrator, of a flight

37 or series of flights instead of public notice;

38 (F) the ability of passengers and crew to take steps to reduce the risk

39 to their safety after receiving public notice of a threat; and

40 (G) other factors the Administrator considers appropriate.
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1 (d) GUIDELINES ON NOTICE TO CREWS.—The Administrator shall develop

2 guidelines for ensuring that notice in appropriate cases of threats to the secu3 rity of an air carrier flight is provided to the flight crew and cabin crew of

4 that flight.

5 (e) LIMITATION ON NOTICE TO SELECTIVE TRAVELERS.—Notice of a threat

6 to civil aviation may be provided to selective potential travelers only if the

7 threat applies only to those travelers.

8 (f) RESTRICTING ACCESS TO INFORMATION.—In cooperation with the de9 partments, agencies, and instrumentalities of the Government that collect, re10 ceive, and analyze intelligence information related to aviation security, the

11 Administrator shall develop procedures to minimize the number of individuals

12 who have access to information about threats. However, a restriction on access

13 to that information may be imposed only if the restriction does not diminish

14 the ability of the Government to carry out its duties and powers related to

15 aviation security effectively, including providing notice to the public and

16 flight and cabin crews under this section.

17 (g) DISTRIBUTION OF GUIDELINES.—The guidelines developed under this

18 section shall be distributed for use by appropriate officials of the Department

19 of Transportation, the Department of State, the Department of Justice, and

20 air carriers.

21 § 44906. Foreign air carrier security programs

22 The Administrator of the Federal Aviation Administration shall continue

23 in effect the requirement of section 129.25 of title 14, Code of Federal Regula24 tions, that a foreign air carrier must adopt and use a security program ap25 proved by the Administrator. The Administrator may approve a security pro26 gram of a foreign air carrier under section 129.25 only if the Administrator

27 decides the security program provides passengers of the foreign air carrier a

28 level of protection similar to the level those passengers would receive under

29 the security programs of air carriers serving the same airport. The Adminis30 trator shall require a foreign air carrier to use procedures equivalent to those

31 required of air carriers serving the same airport if the Administrator decides

32 that the procedures are necessary to provide a level of protection similar to

33 that provided passengers of the air carriers serving the same airport. The Ad34 ministrator shall prescribe regulations to carry out this section.

35 § 44907. Security standards at foreign airports

36 (a) ASSESSMENT.—(1) At intervals the Secretary of Transportation consid37 ers necessary, the Secretary shall assess the effectiveness of the security meas38 ures maintained at—

39 (A) a foreign airport—

40 (i) served by an air carrier;

41 (ii) from which a foreign air carrier serves the United States; or
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1 (iii) that poses a high risk of introducing danger to international

2 air travel; and

3 (B) other foreign airports the Secretary considers appropriate.

4 (2) The Secretary of Transportation shall conduct an assessment under

5 paragraph (1) of this subsection—

6 (A) in consultation with appropriate aeronautic authorities of the gov7 ernment of a foreign country concerned and each air carrier serving the

8 foreign airport for which the Secretary is conducting the assessment;

9 (B) to establish the extent to which a foreign airport effectively main10 tains and carries out security measures; and

11 (C) by using a standard that will result in an analysis of the security

12 measures at the airport based at least on the standards and appropriate

13 recommended practices contained in Annex 17 to the Convention on

14 International Civil Aviation in effect on the date of the assessment.

15 (3) Each report to Congress required under section 44938(b) of this title

16 shall contain a summary of the assessments conducted under this subsection.

17 (b) CONSULTATION.—In carrying out subsection (a) of this section, the Sec18 retary of Transportation shall consult with the Secretary of State—

19 (1) on the terrorist threat that exists in each country; and

20 (2) to establish which foreign airports are not under the de facto con21 trol of the government of the foreign country in which they are located

22 and pose a high risk of introducing danger to international air travel.

23 (c) NOTIFYING FOREIGN AUTHORITIES.—When the Secretary of Transpor24 tation, after conducting an assessment under subsection (a) of this section, de25 cides that an airport does not maintain and carry out effective security meas26 ures, the Secretary of Transportation, after advising the Secretary of State,

27 shall notify the appropriate authorities of the government of the foreign coun28 try of the decision and recommend the steps necessary to bring the security

29 measures in use at the airport up to the standard used by the Secretary of

30 Transportation in making the assessment.

31 (d) ACTIONS WHEN AIRPORTS NOT MAINTAINING AND CARRYING OUT EF32 FECTIVE SECURITY MEASURES.—(1) When the Secretary of Transportation

33 decides under this section that an airport does not maintain and carry out

34 effective security measures—

35 (A) the Secretary of Transportation shall—

36 (i) publish the identity of the airport in the Federal Register;

37 (ii) have the identity of the airport posted and displayed promi38 nently at all United States airports at which scheduled air carrier

39 operations are provided regularly; and

40 (iii) notify the news media of the identity of the airport;
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1 (B) each air carrier and foreign air carrier providing transportation

2 between the United States and the airport shall provide written notice

3 of the decision, on or with the ticket, to each passenger buying a ticket

4 for transportation between the United States and the airport;

5 (C) notwithstanding section 40105(b) of this title, the Secretary of

6 Transportation, after consulting with the appropriate aeronautic au7 thorities of the foreign country concerned and each air carrier serving

8 the airport and with the approval of the Secretary of State, may with9 hold, revoke, or prescribe conditions on the operating authority of an air

10 carrier or foreign air carrier that uses that airport to provide foreign

11 air transportation; and

12 (D) the President may prohibit an air carrier or foreign air carrier

13 from providing transportation between the United States and any other

14 foreign airport that is served by aircraft flying to or from the airport

15 with respect to which a decision is made under this section.

16 (2)(A) Paragraph (1) of this subsection becomes effective—

17 (i) 90 days after the government of a foreign country is notified under

18 subsection (c) of this section if the Secretary of Transportation finds that

19 the government has not brought the security measures at the airport up

20 to the standard the Secretary used in making an assessment under sub21 section (a) of this section; or

22 (ii) immediately on the decision of the Secretary of Transportation

23 under subsection (c) of this section if the Secretary of Transportation de24 cides, after consulting with the Secretary of State, that a condition exists

25 that threatens the safety or security of passengers, aircraft, or crew trav26 eling to or from the airport.

27 (B) The Secretary of Transportation immediately shall notify the Secretary

28 of State of a decision under subparagraph (A)(ii) of this paragraph so that

29 the Secretary of State may issue a travel advisory required under section

30 44908(a) of this title.

31 (3) The Secretary of Transportation promptly shall submit to Congress a

32 report (and classified annex if necessary) on action taken under paragraph

33 (1) or (2) of this subsection, including information on attempts made to ob34 tain the cooperation of the government of a foreign country in meeting the

35 standard the Secretary used in assessing the airport under subsection (a) of

36 this section.

37 (4) An action required under paragraph (1)(A) and (B) of this subsection

38 is no longer required only if the Secretary of Transportation, in consultation

39 with the Secretary of State, decides that effective security measures are main40 tained and carried out at the airport. The Secretary of Transportation shall

41 notify Congress when the action is no longer required to be taken.
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1 (e) SUSPENSIONS.—Notwithstanding sections 40105(b) and 40106(b) of this

2 title, the Secretary of Transportation, with the approval of the Secretary of

3 State and without notice or a hearing, shall suspend the right of an air car4 rier or foreign air carrier to provide foreign air transportation, and the right

5 of a person to operate aircraft in foreign air commerce, to or from a foreign

6 airport when the Secretary of Transportation decides that—

7 (1) a condition exists that threatens the safety or security of pas8 sengers, aircraft, or crew traveling to or from that airport; and

9 (2) the public interest requires an immediate suspension of transpor10 tation between the United States and that airport.

11 (f) CONDITION OF CARRIER AUTHORITY.—This section is a condition to au12 thority the Secretary of Transportation grants under this part to an air car13 rier or foreign air carrier.

14 § 44908. Travel advisory and suspension of foreign assistance

15 (a) TRAVEL ADVISORIES.—On being notified by the Secretary of Transpor16 tation that the Secretary of Transportation has decided under section

17 44907(d)(2)(A)(ii) of this title that a condition exists that threatens the safety

18 or security of passengers, aircraft, or crew traveling to or from a foreign air19 port that the Secretary of Transportation has decided under section 44907 of

20 this title does not maintain and carry out effective security measures, the Sec21 retary of State—

22 (1) immediately shall issue a travel advisory for that airport;

23 (2) shall publish the advisory in the Federal Register; and

24 (3) shall publicize the advisory widely.

25 (b) SUSPENDING ASSISTANCE.—The President shall suspend assistance pro26 vided under the Foreign Assistance Act of 1961 (22 U.S.C. 2151 et seq.) or

27 the Arms Export Control Act (22 U.S.C. 2751 et seq.) to a country in which

28 is located an airport with respect to which section 44907(d)(1) of this title

29 becomes effective if the Secretary of State decides the country is a high terror30 ist threat country. The President may waive this subsection if the President

31 decides, and reports to Congress, that the waiver is required because of na32 tional security interests or a humanitarian emergency.

33 (c) ACTIONS NO LONGER REQUIRED.—An action required under this sec34 tion is no longer required only if the Secretary of Transportation has made

35 a decision as provided under section 44907(d)(4) of this title. The Secretary

36 shall notify Congress when the action is no longer required to be taken.

37 § 44909. Passenger manifests

38 (a) AIR CARRIER REQUIREMENTS.—(1) Not later than March 16, 1991, the

39 Secretary of Transportation shall require each air carrier to provide a pas40 senger manifest for a flight to an appropriate representative of the Secretary

41 of State—
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1 (A) not later than one hour after that carrier is notified of an aviation

2 disaster outside the United States involving that flight; or

3 (B) if it is not technologically feasible or reasonable to comply with

4 clause (A) of this paragraph, then as expeditiously as possible, but not

5 later than 3 hours after the carrier is so notified.

6 (2) The passenger manifest shall include the following information:

7 (A) the full name of each passenger.

8 (B) the passport number of each passenger, if required for travel.

9 (C) the name and telephone number of a contact for each passenger.

10 (3) In carrying out this subsection, the Secretary of Transportation shall

11 consider the necessity and feasibility of requiring air carriers to collect pas12 senger manifest information as a condition for passengers boarding a flight

13 of the carrier.

14 (b) FOREIGN AIR CARRIER REQUIREMENTS.—The Secretary of Transpor15 tation shall consider imposing a requirement on foreign air carriers com16 parable to that imposed on air carriers under subsection (a)(1) and (2) of

17 this section.

18 § 44910. Agreements on aircraft sabotage, aircraft hijacking,

19 and airport security

20 The Secretary of State shall seek multilateral and bilateral agreement on

21 strengthening enforcement measures and standards for compliance related to

22 aircraft sabotage, aircraft hijacking, and airport security.

23 § 44911. Intelligence

24 (a) DEFINITION.—In this section, ‘‘intelligence community’’ means the in25 telligence and intelligence-related activities of the following units of the Unit26 ed States Government:

27 (1) the Department of State.

28 (2) the Department of Defense.

29 (3) the Department of the Treasury.

30 (4) the Department of Energy.

31 (5) the Departments of the Army, Navy, and Air Force.

32 (6) the Central Intelligence Agency.

33 (7) the National Security Agency.

34 (8) the Defense Intelligence Agency.

35 (9) the Federal Bureau of Investigation.

36 (10) the Drug Enforcement Administration.

37 (b) POLICIES AND PROCEDURES ON REPORT AVAILABILITY.—The head of

38 each unit in the intelligence community shall prescribe policies and proce39 dures to ensure that intelligence reports about international terrorism are

40 made available, as appropriate, to the heads of other units in the intelligence
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1 community, the Secretary of Transportation, and the Administrator of the

2 Federal Aviation Administration.

3 (c) UNIT FOR STRATEGIC PLANNING ON TERRORISM.—The heads of the

4 units in the intelligence community shall consider placing greater emphasis

5 on strategic intelligence efforts by establishing a unit for strategic planning

6 on terrorism.

7 (d) DESIGNATION OF INTELLIGENCE OFFICER.—At the request of the Sec8 retary, the Director of Central Intelligence shall designate at least one intel9 ligence officer of the Central Intelligence Agency to serve in a senior position

10 in the Office of the Secretary.

11 (e) WRITTEN WORKING AGREEMENTS.—The heads of units in the intel12 ligence community, the Secretary, and the Administrator shall review and,

13 as appropriate, revise written working agreements between the intelligence

14 community and the Administrator.

15 § 44912. Research and development

16 (a) PROGRAM REQUIREMENT.—(1) The Administrator of the Federal Avia17 tion Administration shall establish and carry out a program to accelerate and

18 expand the research, development, and implementation of technologies and

19 procedures to counteract terrorist acts against civil aviation. The program

20 shall provide for developing and having in place, not later than November 16,

21 1993, new equipment and procedures necessary to meet the technological chal22 lenges presented by terrorism. The program shall include research on, and de23 velopment of, technological improvements and ways to enhance human per24 formance.

25 (2) In designing and carrying out the program established under this sub26 section, the Administrator shall—

27 (A) consult and coordinate activities with other departments, agencies,

28 and instrumentalities of the United States Government doing similar re29 search;

30 (B) identify departments, agencies, and instrumentalities that would

31 benefit from that research; and

32 (C) seek cost-sharing agreements with those departments, agencies, and

33 instrumentalities.

34 (3) In carrying out the program established under this subsection, the Ad35 ministrator shall review and consider the annual reports the Secretary of

36 Transportation submits to Congress on transportation security and intel37 ligence.

38 (4) The Administrator may—

39 (A) make grants to institutions of higher learning and other appro40 priate research facilities with demonstrated ability to carry out research
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1 described in paragraph (1) of this subsection, and fix the amounts and

2 terms of the grants; and

3 (B) make cooperative agreements with governmental authorities the

4 Administrator decides are appropriate.

5 (b) REVIEW OF THREATS.—(1) The Administrator shall complete an inten6 sive review of threats to civil aviation, with particular focus on—

7 (A) explosive material that presents the most significant threat to civil

8 aircraft;

9 (B) the minimum amounts, configurations, and types of explosive ma10 terial that can cause, or would reasonably be expected to cause, cata11 strophic damage to commercial aircraft in service and expected to be in

12 service in the 10-year period beginning on November, 16, 1990;

13 (C) the amounts, configurations, and types of explosive material that

14 can be detected reliably by existing, or reasonably anticipated, near-term

15 explosive detection technologies;

16 (D) the feasibility of using various ways to minimize damage caused

17 by explosive material that cannot be detected reliably by existing, or rea18 sonably anticipated, near-term explosive detection technologies;

19 (E) the ability to screen passengers, carry-on baggage, checked bag20 gage, and cargo; and

21 (F) the technologies that might be used in the future to attempt to de22 stroy or otherwise threaten commercial aircraft and the way in which

23 those technologies can be countered effectively.

24 (2) The Administrator shall use the results of the review under this sub25 section to develop the focus and priorities of the program established under

26 subsection (a) of this section.

27 (c) SCIENTIFIC ADVISORY PANEL.—The Administrator shall establish a sci28 entific advisory panel, as a subcommittee of the Research, Engineering and

29 Development Advisory Committee, to review, comment on, advise on the

30 progress of, and recommend modifications in, the program established under

31 subsection (a) of this section, including the need for long-range research pro32 grams to detect and prevent catastrophic damage to commercial aircraft by

33 the next generation of terrorist weapons. The panel shall consist of individuals

34 with scientific and technical expertise in—

35 (1) the development and testing of effective explosive detection systems;

36 (2) aircraft structure and experimentation to decide on the type and

37 minimum weights of explosives that an effective technology must be capa38 ble of detecting;

39 (3) technologies involved in minimizing airframe damage to aircraft

40 from explosives; and
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1 (4) other scientific and technical areas the Administrator considers

2 appropriate.

3 § 44913. Explosive detection

4 (a) DEPLOYMENT AND PURCHASE OF EQUIPMENT.—(1) A deployment or

5 purchase of explosive detection equipment under section 108.7(b)(8) or 108.20

6 of title 14, Code of Federal Regulations, or similar regulation is required only

7 if the Administrator of the Federal Aviation Administration certifies that the

8 equipment alone, or as part of an integrated system, can detect under realistic

9 air carrier operating conditions the amounts, configurations, and types of ex10 plosive material that would likely be used to cause catastrophic damage to

11 commercial aircraft. The Administrator shall base the certification on the re12 sults of tests conducted under protocols developed in consultation with expert

13 scientists outside of the Administration. Those tests shall be completed not

14 later than April 16, 1992.

15 (2) Before completion of the tests described in paragraph (1) of this sub16 section, but not later than April 16, 1992, the Administrator may require de17 ployment of explosive detection equipment described in paragraph (1) if the

18 Administrator decides that deployment will enhance aviation security signifi19 cantly. In making that decision, the Administrator shall consider factors such

20 as the ability of the equipment alone, or as part of an integrated system, to

21 detect under realistic air carrier operating conditions the amounts, configura22 tions, and types of explosive material that would likely be used to cause cata23 strophic damage to commercial aircraft. The Administrator shall notify the

24 Committee on Commerce, Science, and Transportation of the Senate and the

25 Committee on Public Works and Transportation of the House of Representa26 tives of a deployment decision made under this paragraph.

27 (3) This subsection does not prohibit the Administrator from purchasing

28 or deploying explosive detection equipment described in paragraph (1) of this

29 subsection.

30 (b) GRANTS.—The Secretary of Transportation may provide grants to con31 tinue the Explosive Detection K-9 Team Training Program to detect explo32 sives at airports and on aircraft.

33 § 44914. Airport construction guidelines

34 In consultation with air carriers, airport authorities, and others the Ad35 ministrator of the Federal Aviation Administration considers appropriate, the

36 Administrator shall develop guidelines for airport design and construction to

37 allow for maximum security enhancement. In developing the guidelines, the

38 Administrator shall consider the results of the assessment carried out under

39 section 44904(a) of this title.
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1 § 44915. Exemptions

2 The Administrator of the Federal Aviation Administration may exempt

3 from sections 44901, 44903(a)–(c) and (e), 44906, 44935, and 44936 of this

4 title airports in Alaska served only by air carriers that—

5 (1) hold certificates issued under section 41102 of this title;

6 (2) operate aircraft with certificates for a maximum gross takeoff

7 weight of less than 12,500 pounds; and

8 (3) board passengers, or load property intended to be carried in an

9 aircraft cabin, that will be screened under section 44901 of this title at

10 another airport in Alaska before the passengers board, or the property

11 is loaded on, an aircraft for a place outside Alaska.

12 SUBCHAPTER II—ADMINISTRATION AND PERSONNEL

13 § 44931. Director of Intelligence and Security

14 (a) ORGANIZATION.—There is in the Office of the Secretary of Transpor15 tation a Director of Intelligence and Security. The Director reports directly

16 to the Secretary.

17 (b) DUTIES AND POWERS.—The Director shall—

18 (1) receive, assess, and distribute intelligence information related to

19 long-term transportation security;

20 (2) develop policies, strategies, and plans for dealing with threats to

21 transportation security;

22 (3) make other plans related to transportation security, including co23 ordinating countermeasures with appropriate departments, agencies, and

24 instrumentalities of the United States Government;

25 (4) serve as the primary liaison of the Secretary to the intelligence

26 and law enforcement communities; and

27 (5) carry out other duties and powers the Secretary decides are nec28 essary to ensure, to the extent possible, the security of the traveling pub29 lic.

30 § 44932. Assistant Administrator for Civil Aviation Security

31 (a) ORGANIZATION.—There is an Assistant Administrator for Civil Avia32 tion Security. The Assistant Administrator reports directly to the Adminis33 trator of the Federal Aviation Administration and is subject to the authority

34 of the Administrator.

35 (b) DUTIES AND POWERS.—The Assistant Administrator shall—

36 (1) on a day-to-day basis, manage and provide operational guidance

37 to the field security resources of the Administration, including Federal

38 Security Managers as provided by section 44933 of this title;

39 (2) enforce security-related requirements;

40 (3) identify the research and development requirements of security-re41 lated activities;
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1 (4) inspect security systems;

2 (5) report information to the Director of Intelligence and Security that

3 may be necessary to allow the Director to carry out assigned duties and

4 powers;

5 (6) assess threats to civil aviation; and

6 (7) carry out other duties and powers the Administrator considers ap7 propriate.

8 (c) REVIEW AND DEVELOPMENT OF WAYS TO STRENGTHEN SECURITY.—

9 The Assistant Administrator shall review and, as necessary, develop ways to

10 strengthen air transportation security, including ways—

11 (1) to strengthen controls over checked baggage in air transportation,

12 including ways to ensure baggage reconciliation and inspection of items

13 in passenger baggage that could potentially contain explosive devices;

14 (2) to strengthen control over individuals having access to aircraft;

15 (3) to improve testing of security systems;

16 (4) to ensure the use of the best available x-ray equipment for air

17 transportation security purposes; and

18 (5) to strengthen preflight screening of passengers.

19 § 44933. Federal Security Managers

20 (a) ESTABLISHMENT, DESIGNATION, AND STATIONING.—The Administrator

21 of the Federal Aviation Administration shall establish the position of Federal

22 Security Manager at each airport in the United States at which the Adminis23 trator decides a Manager is necessary for air transportation security. The Ad24 ministrator shall designate individuals as Managers for, and station those

25 Managers at, those airports. The Administrator may designate a current field

26 employee of the Administration as a Manager. A Manager reports directly to

27 the Assistant Administrator for Civil Aviation Security. The Administrator

28 shall station an individual as Manager at each airport in the United States

29 that the Secretary of Transportation designates as a category X airport.

30 (b) DUTIES AND POWERS.—The Manager at each airport shall—

31 (1) receive intelligence information related to aviation security;

32 (2) ensure, and assist in, the development of a comprehensive security

33 plan for the airport that—

34 (A) establishes the responsibilities of each air carrier and airport

35 operator for air transportation security at the airport; and

36 (B) includes measures to be taken during periods of normal air37 port operations and during periods when the Manager decides that

38 there is a need for additional airport security, and identifies the in39 dividuals responsible for carrying out those measures;
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1 (3) oversee and enforce the carrying out by air carriers and airport

2 operators of United States Government security requirements, including

3 the security plan under clause (2) of this subsection;

4 (4) serve as the on-site coordinator of the Administrator’s response to

5 terrorist incidents and threats at the airport;

6 (5) coordinate the day-to-day Government aviation security activities

7 at the airport;

8 (6) coordinate efforts related to aviation security with local law en9 forcement; and

10 (7) coordinate activities with other Managers.

11 (c) LIMITATION.—A Civil Aviation Security Field Officer may not be as12 signed security duties and powers at an airport having a Manager.

13 § 44934. Foreign Security Liaison Officers

14 (a) ESTABLISHMENT, DESIGNATION, AND STATIONING.—The Administrator

15 of the Federal Aviation Administration shall establish the position of Foreign

16 Security Liaison Officer for each airport outside the United States at which

17 the Administrator decides an Officer is necessary for air transportation secu18 rity. In coordination with the Secretary of State, the Administrator shall des19 ignate an Officer for each of those airports. In coordination with the Sec20 retary, the Administrator shall designate an Officer for each of those airports

21 where extraordinary security measures are in place. The Secretary shall give

22 high priority to stationing those Officers.

23 (b) DUTIES AND POWERS.—An Officer reports directly to the Assistant Ad24 ministrator for Civil Aviation Security. The Officer at each airport shall—

25 (1) serve as the liaison of the Assistant Administrator to foreign secu26 rity authorities (including governments of foreign countries and foreign

27 airport authorities) in carrying out United States Government security

28 requirements at that airport; and

29 (2) to the extent practicable, carry out duties and powers referred to

30 in section 44933(b) of this title.

31 (c) COORDINATION OF ACTIVITIES.—The activities of each Officer shall be

32 coordinated with the chief of the diplomatic mission of the United States to

33 which the Officer is assigned. Activities of an Officer under this section shall

34 be consistent with the duties and powers of the Secretary and the chief of mis35 sion to a foreign country under section 103 of the Omnibus Diplomatic Secu36 rity and Antiterrorism Act of 1986 (22 U.S.C. 4802) and section 207 of the

37 Foreign Service Act of 1980 (22 U.S.C. 3927).

38 § 44935. Employment standards and training

39 (a) EMPLOYMENT STANDARDS.—The Administrator of the Federal Aviation

40 Administration shall prescribe standards for the employment and continued
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1 employment of, and contracting for, air carrier personnel and, as appro2 priate, airport security personnel. The standards shall include—

3 (1) minimum training requirements for new employees;

4 (2) retraining requirements;

5 (3) minimum staffing levels;

6 (4) minimum language skills; and

7 (5) minimum education levels for employees, when appropriate.

8 (b) REVIEW AND RECOMMENDATIONS.—In coordination with air carriers,

9 airport operators, and other interested persons, the Administrator shall review

10 issues related to human performance in the aviation security system to maxi11 mize that performance. When the review is completed, the Administrator shall

12 recommend guidelines and prescribe appropriate changes in existing proce13 dures to improve that performance.

14 (c) SECURITY PROGRAM TRAINING, STANDARDS, AND QUALIFICATIONS.—

15 (1) The Administrator—

16 (A) may train individuals employed to carry out a security program

17 under section 44903(c) of this title; and

18 (B) shall prescribe uniform training standards and uniform minimum

19 qualifications for individuals eligible for that training.

20 (2) The Administrator may authorize reimbursement for travel, transpor21 tation, and subsistence expenses for security training of non-United States

22 Government domestic and foreign individuals whose services will contribute

23 significantly to carrying out civil aviation security programs. To the extent

24 practicable, air travel reimbursed under this paragraph shall be on air car25 riers.

26 (d) EDUCATION AND TRAINING STANDARDS FOR SECURITY COORDINATORS,

27 SUPERVISORY PERSONNEL, AND PILOTS.—(1) The Administrator shall pre28 scribe standards for educating and training—

29 (A) ground security coordinators;

30 (B) security supervisory personnel; and

31 (C) airline pilots as in-flight security coordinators.

32 (2) The standards shall include initial training, retraining, and continuing

33 education requirements and methods. Those requirements and methods shall

34 be used annually to measure the performance of ground security coordinators

35 and security supervisory personnel.

36 § 44936. Employment investigations and restrictions

37 (a) EMPLOYMENT INVESTIGATION REQUIREMENT.—(1) The Administrator

38 of the Federal Aviation Administration shall require by regulation that an

39 employment investigation, including a criminal history record check, shall be

40 conducted, as the Administrator decides is necessary to ensure air transpor41 tation security, of each individual employed in, or applying for, a position
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1 in which the individual has unescorted access, or may permit other individ2 uals to have unescorted access, to—

3 (A) aircraft of an air carrier or foreign air carrier; or

4 (B) a secured area of an airport in the United States the Adminis5 trator designates that serves an air carrier or foreign air carrier.

6 (2) An air carrier, foreign air carrier, or airport operator that employs,

7 or authorizes or makes a contract for the services of, an individual in a posi8 tion described in paragraph (1) of this subsection shall ensure that the inves9 tigation the Administrator requires is conducted.

10 (b) PROHIBITED EMPLOYMENT.—(1) Except as provided in paragraph (3)

11 of this subsection, an air carrier, foreign air carrier, or airport operator may

12 not employ, or authorize or make a contract for the services of, an individual

13 in a position described in subsection (a)(1) of this section if—

14 (A) the investigation of the individual required under this section has

15 not been conducted; or

16 (B) the results of that investigation establish that, in the 10-year pe17 riod ending on the date of the investigation, the individual was convicted

18 of—

19 (i) a crime referred to in section 46306, 46308, 46312, 46314, or

20 46315 or chapter 465 of this title or section 32 of title 18;

21 (ii) murder;

22 (iii) assault with intent to murder;

23 (iv) espionage;

24 (v) sedition;

25 (vi) treason;

26 (vii) rape;

27 (viii) kidnapping;

28 (ix) unlawful possession, sale, distribution, or manufacture of an

29 explosive or weapon;

30 (x) extortion;

31 (xi) armed robbery;

32 (xii) distribution of, or intent to distribute, a controlled sub33 stance; or

34 (xiii) conspiracy to commit any of the acts referred to in clauses

35 (i)–(xii) of this paragraph.

36 (2) The Administrator may specify other factors that are sufficient to pro37 hibit the employment of an individual in a position described in subsection

38 (a)(1) of this section.

39 (3) An air carrier, foreign air carrier, or airport operator may employ,

40 or authorize or contract for the services of, an individual in a position de41 scribed in subsection (a)(1) of this section without carrying out the investiga-
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1 tion required under this section, if the Administrator approves a plan to em2 ploy the individual that provides alternate security arrangements.

3 (c) FINGERPRINTING AND RECORD CHECK INFORMATION.—(1) If the Ad4 ministrator requires an identification and criminal history record check, to

5 be conducted by the Attorney General, as part of an investigation under this

6 section, the Administrator shall designate an individual to obtain fingerprints

7 and submit those fingerprints to the Attorney General. The Attorney General

8 may make the results of a check available to an individual the Administrator

9 designates. Before designating an individual to obtain and submit finger10 prints or receive results of a check, the Administrator shall consult with the

11 Attorney General.

12 (2) The Administrator shall prescribe regulations on—

13 (A) procedures for taking fingerprints; and

14 (B) requirements for using information received from the Attorney

15 General under paragraph (1) of this subsection—

16 (i) to limit the dissemination of the information; and

17 (ii) to ensure that the information is used only to carry out this

18 section.

19 (3) If an identification and criminal history record check is conducted as

20 part of an investigation of an individual under this section, the individual—

21 (A) shall receive a copy of any record received from the Attorney Gen22 eral; and

23 (B) may complete and correct the information contained in the check

24 before a final employment decision is made based on the check.

25 (d) FEES AND CHARGES.—The Administrator and the Attorney General

26 shall establish reasonable fees and charges to pay expenses incurred in carry27 ing out this section. The employer of the individual being investigated shall

28 pay the costs of a record check of the individual. Money collected under this

29 section shall be credited to the account in the Treasury from which the ex30 penses were incurred and are available to the Administrator and the Attorney

31 General for those expenses.

32 (e) WHEN INVESTIGATION OR RECORD CHECK NOT REQUIRED.—This sec33 tion does not require an investigation or record check when the investigation

34 or record check is prohibited by a law of a foreign country.

35 § 44937. Prohibition on transferring duties and powers

36 Except as specifically provided by law, the Administrator of the Federal

37 Aviation Administration may not transfer a duty or power under section

38 44903(a), (b), (c), or (e), 44906(a)(1) or (b), 44912, 44935, 44936, or

39 44938(b)(3) of this title to another department, agency, or instrumentality of

40 the United States Government.
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1 § 44938. Reports

2 (a) TRANSPORTATION SECURITY.—Not later than December 31 of each

3 year, the Secretary of Transportation shall submit to Congress a report on

4 transportation security with recommendations the Secretary considers appro5 priate. The report shall be prepared in conjunction with the annual report

6 the Administrator of the Federal Aviation Administration submits under sub7 section (b) of this section, but may not duplicate the information submitted

8 under subsection (b) or section 44907(a)(3) of this title. The Secretary may

9 submit the report in classified and unclassified parts. The report shall in10 clude—

11 (1) an assessment of trends and developments in terrorist activities,

12 methods, and other threats to transportation;

13 (2) an evaluation of deployment of explosive detection devices;

14 (3) recommendations for research, engineering, and development ac15 tivities related to transportation security, except research engineering

16 and development activities related to aviation security to the extent those

17 activities are covered by the national aviation research plan required

18 under section 44501(c) of this title;

19 (4) identification and evaluation of cooperative efforts with other de20 partments, agencies, and instrumentalities of the United States Govern21 ment;

22 (5) an evaluation of cooperation with foreign transportation and secu23 rity authorities;

24 (6) the status of the extent to which the recommendations of the Presi25 dent’s Commission on Aviation Security and Terrorism have been car26 ried out and the reasons for any delay in carrying out those rec27 ommendations;

28 (7) a summary of the activities of the Director of Intelligence and Se29 curity in the 12-month period ending on the date of the report;

30 (8) financial and staffing requirements of the Director;

31 (9) an assessment of financial and staffing requirements, and attain32 ment of existing staffing goals, for carrying out duties and powers of the

33 Administrator related to security; and

34 (10) appropriate legislative and regulatory recommendations.

35 (b) SCREENING AND FOREIGN AIR CARRIER AND AIRPORT SECURITY.—The

36 Administrator shall submit annually to Congress a report—

37 (1) on the effectiveness of procedures under section 44901 of this title;

38 (2) that includes a summary of the assessments conducted under sec39 tion 44907(a)(1) and (2) of this title; and

40 (3) that includes an assessment of the steps being taken, and the

41 progress being made, in ensuring compliance with section 44906 of this
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1 title for each foreign air carrier security program at airports outside the

2 United States—

3 (A) at which the Administrator decides that Foreign Security Li4 aison Officers are necessary for air transportation security; and

5 (B) for which extraordinary security measures are in place.

6 (c) DOMESTIC AIR TRANSPORTATION SYSTEM SECURITY.—The Adminis7 trator shall submit to Congress an annual report for each of the calendar

8 years 1991 and 1992 on the progress being made, and the problems occurring,

9 in carrying out section 44904 of this title. The report shall include rec10 ommendations for improving domestic air transportation security.

11 CHAPTER 451—ALCOHOL AND CONTROLLED

12 SUBSTANCES TESTING

Sec.

45101. Definition.

45102. Alcohol and controlled substances testing programs.

45103. Prohibited service.

45104. Testing and laboratory requirements.

45105. Rehabilitation.

45106. Relationship to other laws, regulations, standards, and orders.

13 § 45101. Definition

14 In this chapter, ‘‘controlled substance’’ means any substance under section

15 102 of the Comprehensive Drug Abuse Prevention and Control Act of 1970

16 (21 U.S.C. 802) specified by the Administrator of the Federal Aviation Ad17 ministration.

18 § 45102. Alcohol and controlled substances testing programs

19 (a) PROGRAM FOR EMPLOYEES OF AIR CARRIERS AND FOREIGN AIR CAR20 RIERS.—(1) In the interest of aviation safety, the Administrator of the Fed21 eral Aviation Administration shall prescribe regulations not later than Octo22 ber 28, 1992, that establish a program requiring air carriers and foreign air

23 carriers to conduct preemployment, reasonable suspicion, random, and post24 accident testing of airmen, crewmembers, airport security screening contract

25 personnel, and other air carrier employees responsible for safety-sensitive

26 functions (as decided by the Administrator) for the use of alcohol or a con27 trolled substance in violation of law or a United States Government regula28 tion.

29 (2) When the Administrator considers it appropriate in the interest of safe30 ty, the Administrator may prescribe regulations for conducting periodic re31 curring testing of airmen, crewmembers, airport security screening contract

32 personnel, and other air carrier employees responsible for safety-sensitive

33 functions for the use of alcohol or a controlled substance in violation of law

34 or a Government regulation.

35 (b) PROGRAM FOR EMPLOYEES OF THE FEDERAL AVIATION ADMINISTRA36 TION.—(1) The Administrator shall establish a program of preemployment,
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1 reasonable suspicion, random, and post-accident testing for the use of alcohol

2 or a controlled substance in violation of law or a Government regulation for

3 employees of the Administration whose duties include responsibility for safety4 sensitive functions.

5 (2) When the Administrator considers it appropriate in the interest of safe6 ty, the Administrator may prescribe regulations for conducting periodic re7 curring testing of employees of the Administration responsible for safety-sen8 sitive functions for use of alcohol or a controlled substance in violation of law

9 or a Government regulation.

10 (c) SANCTIONS.—In prescribing regulations under the programs required

11 by this section, the Administrator shall require, as the Administrator consid12 ers appropriate, the suspension or revocation of any certificate issued to an

13 individual referred to in this section, or the disqualification or dismissal of

14 the individual, under this chapter when a test conducted and confirmed under

15 this chapter indicates the individual has used alcohol or a controlled sub16 stance in violation of law or a Government regulation.

17 § 45103. Prohibited service

18 (a) USE OF ALCOHOL OR A CONTROLLED SUBSTANCE.—An individual

19 may not use alcohol or a controlled substance after October 28, 1991, in viola20 tion of law or a United States Government regulation and serve as an air21 man, crewmember, airport security screening contract employee, air carrier

22 employee responsible for safety-sensitive functions (as decided by the Adminis23 trator of the Federal Aviation Administration), or employee of the Adminis24 tration with responsibility for safety-sensitive functions.

25 (b) REHABILITATION REQUIRED TO RESUME SERVICE.—Notwithstanding

26 subsection (a) of this section, an individual found to have used alcohol or a

27 controlled substance after October 28, 1991, in violation of law or a Govern28 ment regulation may serve as an airman, crewmember, airport security

29 screening contract employee, air carrier employee responsible for safety-sen30 sitive functions (as decided by the Administrator), or employee of the Admin31 istration with responsibility for safety-sensitive functions only if the individ32 ual completes a rehabilitation program described in section 45105 of this title.

33 (c) PERFORMANCE OF PRIOR DUTIES PROHIBITED.—An individual who

34 served as an airman, crewmember, airport security screening contract em35 ployee, air carrier employee responsible for safety-sensitive functions (as de36 cided by the Administrator), or employee of the Administration with respon37 sibility for safety-sensitive functions and who was found by the Administrator

38 to have used alcohol or a controlled substance after October 28, 1991, in viola39 tion of law or a Government regulation may not carry out the duties related

40 to air transportation that the individual carried out before the finding of the

41 Administrator if the individual—
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1 (1) used the alcohol or controlled substance when on duty;

2 (2) began or completed a rehabilitation program described in section

3 45105 of this title before using the alcohol or controlled substance; or

4 (3) refuses to begin or complete a rehabilitation program described in

5 section 45105 of this title after a finding by the Administrator under

6 this section.

7 § 45104. Testing and laboratory requirements

8 In carrying out section 45102 of this title, the Administrator of the Federal

9 Aviation Administration shall develop requirements that—

10 (1) promote, to the maximum extent practicable, individual privacy

11 in the collection of specimens;

12 (2) for laboratories and testing procedures for controlled substances,

13 incorporate the Department of Health and Human Services scientific

14 and technical guidelines dated April 11, 1988, and any amendments to

15 those guidelines, including mandatory guidelines establishing—

16 (A) comprehensive standards for every aspect of laboratory con17 trolled substances testing and laboratory procedures to be applied in

18 carrying out this chapter, including standards requiring the use of

19 the best available technology to ensure the complete reliability and

20 accuracy of controlled substances tests and strict procedures govern21 ing the chain of custody of specimens collected for controlled sub22 stances testing;

23 (B) the minimum list of controlled substances for which individ24 uals may be tested; and

25 (C) appropriate standards and procedures for periodic review of

26 laboratories and criteria for certification and revocation of certifi27 cation of laboratories to perform controlled substances testing in

28 carrying out this chapter;

29 (3) require that a laboratory involved in controlled substances testing

30 under this chapter have the capability and facility, at the laboratory, of

31 performing screening and confirmation tests;

32 (4) provide that all tests indicating the use of alcohol or a controlled

33 substance in violation of law or a United States Government regulation

34 be confirmed by a scientifically recognized method of testing capable of

35 providing quantitative information about alcohol or a controlled sub36 stance;

37 (5) provide that each specimen be subdivided, secured, and labeled in

38 the presence of the tested individual and that a part of the specimen be

39 retained in a secure manner to prevent the possibility of tampering, so

40 that if the individual’s confirmation test results are positive the individ41 ual has an opportunity to have the retained part tested by a 2d con-
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1 firmation test done independently at another certified laboratory if the

2 individual requests the 2d confirmation test not later than 3 days after

3 being advised of the results of the first confirmation test;

4 (6) ensure appropriate safeguards for testing to detect and quantify

5 alcohol in breath and body fluid samples, including urine and blood,

6 through the development of regulations that may be necessary and in

7 consultation with the Secretary of Health and Human Services;

8 (7) provide for the confidentiality of test results and medical informa9 tion (except information about alcohol or a controlled substance) of em10 ployees, except that this clause does not prevent the use of test results for

11 the orderly imposition of appropriate sanctions under this chapter; and

12 (8) ensure that employees are selected for tests by nondiscriminatory

13 and impartial methods, so that no employee is harassed by being treated

14 differently from other employees in similar circumstances.

15 § 45105. Rehabilitation

16 (a) PROGRAM FOR EMPLOYEES OF AIR CARRIERS AND FOREIGN AIR CAR17 RIERS.—The Administrator of the Federal Aviation Administration shall pre18 scribe regulations establishing requirements for rehabilitation programs that

19 at least provide for the identification and opportunity for treatment of em20 ployees of air carriers and foreign air carriers referred to in section

21 45102(a)(1) of this title who need assistance in resolving problems with the

22 use of alcohol or a controlled substance in violation of law or a United States

23 Government regulation. Each air carrier and foreign air carrier is encour24 aged to make such a program available to all its employees in addition to

25 the employees referred to in section 45102(a)(1)(A). The Administrator shall

26 decide on the circumstances under which employees shall be required to par27 ticipate in a program. This subsection does not prevent an air carrier or for28 eign air carrier from establishing a program under this subsection in coopera29 tion with another air carrier or foreign air carrier.

30 (b) PROGRAM FOR EMPLOYEES OF THE FEDERAL AVIATION ADMINISTRA31 TION.—The Administrator shall establish and maintain a rehabilitation pro32 gram that at least provides for the identification and opportunity for treat33 ment of employees of the Administration whose duties include responsibility

34 for safety-sensitive functions who need assistance in resolving problems with

35 the use of alcohol or a controlled substance.

36 § 45106. Relationship to other laws, regulations, standards,

37 and orders

38 (a) EFFECT ON STATE AND LOCAL GOVERNMENT LAWS, REGULATIONS,

39 STANDARDS, OR ORDERS.—A State or local government may not prescribe,

40 issue, or continue in effect a law, regulation, standard, or order that is incon41 sistent with regulations prescribed under this chapter. However, a regulation
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1 prescribed under this chapter does not preempt a State criminal law that im2 poses sanctions for reckless conduct leading to loss of life, injury, or damage

3 to property.

4 (b) INTERNATIONAL OBLIGATIONS AND FOREIGN LAWS.—(1) In prescribing

5 regulations under this chapter, the Administrator of the Federal Aviation Ad6 ministration—

7 (A) shall establish only requirements applicable to foreign air carriers

8 that are consistent with international obligations of the United States;

9 and

10 (B) shall consider applicable laws and regulations of foreign countries.

11 (2) The Secretaries of State and Transportation jointly shall request the

12 governments of foreign countries that are members of the International Civil

13 Aviation Organization to strengthen and enforce existing standards to pro14 hibit crewmembers in international civil aviation from using alcohol or a

15 controlled substance in violation of law or a United States Government regu16 lation.

17 (c) OTHER REGULATIONS ALLOWED.—This section does not prevent the Ad18 ministrator from continuing in effect, amending, or further supplementing a

19 regulation prescribed before October 28, 1991, governing the use of alcohol or

20 a controlled substance by airmen, crewmembers, airport security screening

21 contract employees, air carrier employees responsible for safety-sensitive func22 tions (as decided by the Administrator), or employees of the Administration

23 with responsibility for safety-sensitive functions.

24 CHAPTER 453—FEES

Sec.

45301. Authority to impose fees.

45302. Fees involving aircraft not providing air transportation.

45303. Maximum fees for private person services.

25 § 45301. Authority to impose fees

26 (a) GENERAL AUTHORITY.—The Secretary of Transportation may impose

27 a fee for an approval, test, authorization, certificate, permit, registration,

28 transfer, or rating related to aviation that has not been approved by Congress

29 only when the fee—

30 (1)(A) was in effect on January 1, 1973; and

31 (B) is not more than the fee in effect on January 1, 1973, adjusted

32 in proportion to changes in the Consumer Price Index of All Urban Con33 sumers published by the Secretary of Labor between January 1, 1973,

34 and the date the fee is imposed; or

35 (2) is imposed under section 45302 of this title.

36 (b) NONAPPLICATION.—This section does not apply to a fee for a test, au37 thorization, certificate, permit, or rating related to an airman or repair sta38 tion administered or issued outside the United States.
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1 § 45302. Fees involving aircraft not providing air transpor2 tation

3 (a) APPLICATION.—This section applies only to aircraft not used to provide

4 air transportation.

5 (b) GENERAL AUTHORITY AND MAXIMUM FEES.—The Administrator of the

6 Federal Aviation Administration may impose fees to pay for the costs of issu7 ing airman certificates to pilots and certificates of registration of aircraft and

8 processing forms for major repairs and alterations of fuel tanks and fuel sys9 tems of aircraft. The following fees may not be more than the amounts speci10 fied:

11 (1) $12 for issuing an airman’s certificate to a pilot.

12 (2) $25 for registering an aircraft after the transfer of ownership.

13 (3) $15 for renewing an aircraft registration.

14 (4) $7.50 for processing a form for a major repair or alteration of a

15 fuel tank or fuel system of an aircraft.

16 (c) ADJUSTMENTS.—The Administrator shall adjust the maximum fees es17 tablished by subsection (b) of this section for changes in the Consumer Price

18 Index of All Urban Consumers published by the Secretary of Labor.

19 (d) CREDIT TO ACCOUNT AND AVAILABILITY.—Money collected from fees

20 imposed under this section shall be credited to the account in the Treasury

21 from which the Administrator incurs expenses in carrying out chapter 441

22 and sections 44701–44716 of this title (except sections 44701(c), 44703(f)(2),

23 and 44713(d)(2)). The money is available to the Administrator to pay ex24 penses for which the fees are collected.

25 § 45303. Maximum fees for private person services

26 The Administrator of the Federal Aviation Administration may establish

27 maximum fees that private persons may charge for services performed under

28 a delegation to the person under section 44702(d) of this title.

29 SUBPART IV—ENFORCEMENT AND PENALTIES

30 CHAPTER 461—INVESTIGATIONS AND PROCEEDINGS

Sec.

46101. Complaints and investigations.

46102. Proceedings.

46103. Service of notice, process, and actions.

46104. Evidence.

46105. Regulations and orders.

46106. Enforcement by the Secretary of Transportation and Administrator of the Federal Aviation Administration.

46107. Enforcement by the Attorney General.

46108. Enforcement of certificate requirements by interested persons.

46109. Joinder and intervention.

46110. Judicial review.

31 § 46101. Complaints and investigations

32 (a) GENERAL.—(1) A person may file a complaint in writing with the Sec33 retary of Transportation (or the Administrator of the Federal Aviation Ad-
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1 ministration with respect to aviation safety duties and powers designated to

2 be carried out by the Administrator) about a person violating this part or

3 a requirement prescribed under this part. Except as provided in subsection

4 (b) of this section, the Secretary or Administrator shall investigate the com5 plaint if a reasonable ground appears to the Secretary or Administrator for

6 the investigation.

7 (2) On the initiative of the Secretary of Transportation or the Adminis8 trator, as appropriate, the Secretary or Administrator may conduct an inves9 tigation, if a reasonable ground appears to the Secretary or Administrator

10 for the investigation, about—

11 (A) a person violating this part or a requirement prescribed under

12 this part; or

13 (B) any question that may arise under this part.

14 (3) The Secretary of Transportation or Administrator may dismiss a com15 plaint without a hearing when the Secretary or Administrator is of the opin16 ion that the complaint does not state facts that warrant an investigation or

17 action.

18 (4) After notice and an opportunity for a hearing and subject to section

19 40105(b) of this title, the Secretary of Transportation or Administrator shall

20 issue an order to compel compliance with this part if the Secretary or Admin21 istrator finds in an investigation under this subsection that a person is vio22 lating this part.

23 (b) COMPLAINTS AGAINST MEMBERS OF ARMED FORCES.—The Secretary

24 of Transportation or Administrator shall refer a complaint against a member

25 of the armed forces of the United States performing official duties to the Sec26 retary of the department concerned for action. Not later than 90 days after

27 receiving the complaint, the Secretary of that department shall inform the

28 Secretary of Transportation or Administrator of the action taken on the com29 plaint, including any corrective or disciplinary action taken.

30 § 46102. Proceedings

31 (a) CONDUCTING PROCEEDINGS.—Subject to subchapter II of chapter 5 of

32 title 5, the Secretary of Transportation (or the Administrator of the Federal

33 Aviation Administration with respect to aviation safety duties and powers

34 designated to be carried out by the Administrator) may conduct proceedings

35 in a way conducive to justice and the proper dispatch of business.

36 (b) APPEARANCE.—A person may appear and be heard before the Secretary

37 and the Administrator in person or by an attorney. The Secretary may ap38 pear and participate as an interested party in a proceeding the Adminis39 trator conducts under section 40113(a) of this title.

40 (c) RECORDING AND PUBLIC ACCESS.—Official action taken by the Sec41 retary and Administrator under this part shall be recorded. Proceedings be-
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1 fore the Secretary and Administrator shall be open to the public on the re2 quest of an interested party unless the Secretary or Administrator decides

3 that secrecy is required because of national defense.

4 (d) CONFLICTS OF INTEREST.—The Secretary, the Administrator, or an of5 ficer or employee of the Administration may not participate in a proceeding

6 referred to in subsection (a) of this section in which the individual has a pe7 cuniary interest.

8 § 46103. Service of notice, process, and actions

9 (a) DESIGNATING AGENTS.—(1) Each air carrier and foreign air carrier

10 shall designate an agent on whom service of notice and process in a proceed11 ing before, and an action of, the Secretary of Transportation (or the Adminis12 trator of the Federal Aviation Administration with respect to aviation safety

13 duties and powers designated to be carried out by the Administrator) may

14 be made.

15 (2) The designation—

16 (A) shall be in writing and filed with the Secretary or Administrator;

17 and

18 (B) may be changed in the same way as originally made.

19 (b) SERVICE.—(1) Service may be made—

20 (A) by personal service;

21 (B) on a designated agent; or

22 (C) by certified or registered mail to the person to be served or the

23 designated agent of the person.

24 (2) The date of service made by certified or registered mail is the date of

25 mailing.

26 (c) SERVING AGENTS.—Service on an agent designated under this section

27 shall be made at the office or usual place of residence of the agent. If an air

28 carrier or foreign air carrier does not have a designated agent, service may

29 be made by posting the notice, process, or action in the office of the Secretary

30 or Administrator.

31 § 46104. Evidence

32 (a) GENERAL.—In conducting a hearing or investigation under this part,

33 the Secretary of Transportation (or the Administrator of the Federal Aviation

34 Administration with respect to aviation safety duties and powers designated

35 to be carried out by the Administrator) may—

36 (1) subpena witnesses and records related to a matter involved in the

37 hearing or investigation from any place in the United States to the des38 ignated place of the hearing or investigation;

39 (2) administer oaths;

40 (3) examine witnesses; and
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1 (4) receive evidence at a place in the United States the Secretary or

2 Administrator designates.

3 (b) COMPLIANCE WITH SUBPENAS.—If a person disobeys a subpena, the

4 Secretary, the Administrator, or a party to a proceeding before the Secretary

5 or Administrator may petition a court of the United States to enforce the sub6 pena. A judicial proceeding to enforce a subpena under this section may be

7 brought in the jurisdiction in which the proceeding or investigation is con8 ducted. The court may punish a failure to obey an order of the court to com9 ply with the subpena as a contempt of court.

10 (c) DEPOSITIONS.—(1) In a proceeding or investigation, the Secretary or

11 Administrator may order a person to give testimony by deposition and to

12 produce records. If a person fails to be deposed or to produce records, the

13 order may be enforced in the same way a subpena may be enforced under

14 subsection (b) of this section.

15 (2) A deposition may be taken before an individual designated by the Sec16 retary or Administrator and having the power to administer oaths.

17 (3) Before taking a deposition, the party or the attorney of the party pro18 posing to take the deposition must give reasonable notice in writing to the

19 opposing party or the attorney of record of that party. The notice shall state

20 the name of the witness and the time and place of taking the deposition.

21 (4) The testimony of a person deposed under this subsection shall be under

22 oath. The person taking the deposition shall prepare, or cause to be prepared,

23 a transcript of the testimony taken. The transcript shall be subscribed by the

24 deponent. Each deposition shall be filed promptly with the Secretary or Ad25 ministrator.

26 (5) If the laws of a foreign country allow, the testimony of a witness in

27 that country may be taken by deposition—

28 (A) by a consular officer or an individual commissioned by the Sec29 retary or Administrator or agreed on by the parties by written stipula30 tion filed with the Secretary or Administrator; or

31 (B) under letters rogatory issued by a court of competent jurisdiction

32 at the request of the Secretary or Administrator.

33 (d) WITNESS FEES AND MILEAGE AND CERTAIN FOREIGN COUNTRY EX34 PENSES.—A witness summoned before the Secretary or Administrator or

35 whose deposition is taken under this section and the individual taking the

36 deposition are each entitled to the same fee and mileage that the witness and

37 individual would have been paid for those services in a court of the United

38 States. Under regulations of the Secretary or Administrator, the Secretary or

39 Administrator shall pay the necessary expenses incident to executing, in an40 other country, a commission or letter rogatory issued at the initiative of the

41 Secretary or Administrator.
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1 (e) DESIGNATING EMPLOYEES TO CONDUCT HEARINGS.—When designated

2 by the Secretary or Administrator, an employee appointed under section 3105

3 of title 5 may conduct a hearing, subpena witnesses, administer oaths, exam4 ine witnesses, and receive evidence at a place in the United States the Sec5 retary or Administrator designates. On request of a party, the Secretary or

6 Administrator shall hear or receive argument.

7 § 46105. Regulations and orders

8 (a) EFFECTIVENESS OF ORDERS.—Except as provided in this part, a regu9 lation prescribed or order issued by the Secretary of Transportation (or the

10 Administrator of the Federal Aviation Administration with respect to avia11 tion safety duties and powers designated to be carried out by the Adminis12 trator) takes effect within a reasonable time prescribed by the Secretary or

13 Administrator. The regulation or order remains in effect under its own terms

14 or until superseded. Except as provided in this part, the Secretary or Admin15 istrator may amend, modify, or suspend an order in the way, and by giving

16 the notice, the Secretary or Administrator decides.

17 (b) CONTENTS AND SERVICE OF ORDERS.—An order of the Secretary or

18 Administrator shall include the findings of fact on which the order is based

19 and shall be served on the parties to the proceeding and the persons affected

20 by the order.

21 (c) EMERGENCIES.—When the Administrator is of the opinion that an

22 emergency exists related to safety in air commerce and requires immediate

23 action, the Administrator, on the initiative of the Administrator or on com24 plaint, may prescribe regulations and issue orders immediately to meet the

25 emergency, with or without notice and without regard to this part and sub26 chapter II of chapter 5 of title 5. The Administrator shall begin a proceeding

27 immediately about an emergency under this subsection and give preference,

28 when practicable, to the proceeding.

29 § 46106. Enforcement by the Secretary of Transportation and

30 Administrator of the Federal Aviation Administra31 tion

32 The Secretary of Transportation (or the Administrator of the Federal Avia33 tion Administration with respect to aviation safety duties and powers des34 ignated to be carried out by the Administrator) may bring a civil action

35 against a person in a district court of the United States to enforce this part

36 or a requirement or regulation prescribed, or an order or any term of a cer37 tificate or permit issued, under this part. The action may be brought in the

38 judicial district in which the person does business or the violation occurred.

39 § 46107. Enforcement by the Attorney General

40 (a) CIVIL ACTIONS TO ENFORCE SECTION 40106(b).—The Attorney Gen41 eral may bring a civil action in a district court of the United States against
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1 a person to enforce section 40106(b) of this title. The action may be brought

2 in the judicial district in which the person does business or the violation oc3 curred.

4 (b) CIVIL ACTIONS TO ENFORCE THIS PART.—(1) On request of the Sec5 retary of Transportation (or the Administrator of the Federal Aviation Ad6 ministration with respect to aviation safety duties and powers designated to

7 be carried out by the Administrator), the Attorney General may bring a civil

8 action in an appropriate court—

9 (A) to enforce this part or a requirement or regulation prescribed, or

10 an order or any term of a certificate or permit issued, under this part;

11 and

12 (B) to prosecute a person violating this part or a requirement or regu13 lation prescribed, or an order or any term of a certificate or permit is14 sued, under this part.

15 (2) The costs and expenses of a civil action shall be paid out of the appro16 priations for the expenses of the courts of the United States.

17 (c) PARTICIPATION OF SECRETARY OR ADMINISTRATOR.—On request of the

18 Attorney General, the Secretary or Administrator, as appropriate, may par19 ticipate in a civil action under this part.

20 § 46108. Enforcement of certificate requirements by inter21 ested persons

22 An interested person may bring a civil action in a district court of the

23 United States against a person to enforce section 41101(a)(1) of this title. The

24 action may be brought in the judicial district in which the defendant does

25 business or the violation occurred.

26 § 46109. Joinder and intervention

27 A person interested in or affected by a matter under consideration in a

28 proceeding before the Secretary of Transportation or civil action to enforce

29 this part or a requirement or regulation prescribed, or an order or any term

30 of a certificate or permit issued, under this part may be joined as a party

31 or permitted to intervene in the proceeding or civil action.

32 § 46110. Judicial review

33 (a) FILING AND VENUE.—Except for an order related to a foreign air car34 rier subject to disapproval by the President under section 41307 or 41509(f)

35 of this title, a person disclosing a substantial interest in an order issued by

36 the Secretary of Transportation (or the Administrator of the Federal Aviation

37 Administration with respect to aviation safety duties and powers designated

38 to be carried out by the Administrator) under this part may apply for review

39 of the order by filing a petition for review in the United States Court of Ap40 peals for the District of Columbia Circuit or in the court of appeals of the

41 United States for the circuit in which the person resides or has its principal
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1 place of business. The petition must be filed not later than 60 days after the

2 order is issued. The court may allow the petition to be filed after the 60th

3 day only if there are reasonable grounds for not filing by the 60th day.

4 (b) JUDICIAL PROCEDURES.—When a petition is filed under subsection (a)

5 of this section, the clerk of the court immediately shall send a copy of the peti6 tion to the Secretary or Administrator, as appropriate. The Secretary or Ad7 ministrator shall file with the court a record of any proceeding in which the

8 order was issued, as provided in section 2112 of title 28.

9 (c) AUTHORITY OF COURT.—When the petition is sent to the Secretary or

10 Administrator, the court has exclusive jurisdiction to affirm, amend, modify,

11 or set aside any part of the order and may order the Secretary or Adminis12 trator to conduct further proceedings. After reasonable notice to the Secretary

13 or Administrator, the court may grant interim relief by staying the order or

14 taking other appropriate action when good cause for its action exists. Find15 ings of fact by the Secretary or Administrator, if supported by substantial

16 evidence, are conclusive.

17 (d) REQUIREMENT FOR PRIOR OBJECTION.—In reviewing an order under

18 this section, the court may consider an objection to an order of the Secretary

19 or Administrator only if the objection was made in the proceeding conducted

20 by the Secretary or Administrator or if there was a reasonable ground for

21 not making the objection in the proceeding.

22 (e) SUPREME COURT REVIEW.—A decision by a court under this section

23 may be reviewed only by the Supreme Court under section 1254 of title 28.

CHAPTER 463—PENALTIES

Sec.

46301. Civil penalties.

46302. False information.

46303. Carrying a weapon.

46304. Liens on aircraft.

46305. Actions to recover civil penalties.

46306. Registration violations involving aircraft not providing air transportation.

46307. Violation of national defense airspace.

46308. Interference with air navigation.

46309. Concession and price violations.

46310. Reporting and recordkeeping violations.

46311. Unlawful disclosure of information.

46312. Transporting hazardous material.

46313. Refusing to appear or produce records.

46314. Entering aircraft or airport area in violation of security requirements.

46315. Lighting violations involving transporting controlled substances by aircraft not providing air transportation.

46316. General criminal penalty when specific penalty not provided.

24 § 46301. Civil penalties

25 (a) GENERAL PENALTY.—(1) A person is liable to the United States Gov26 ernment for a civil penalty of not more than $1,000 for violating—

27 (A) chapter 401 (except sections 40103(a) and (d), 40105, 40116, and

28 40117), chapter 411, section 41301–41306, 41308–41310(a), 41501,
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1 41503, 41504, 41506, 41510, 41511, 41701, 41702, 41705–41709, 41711,

2 41712, or 41731–41742, chapter 419, subchapter II of chapter 421, chap3 ter 441 (except section 44109), or section 44701(a) or (b), 44702–44716,

4 44901, 44903(b) or (c), 44905, 44906, 44907(d)(1)(B), 44909(a), 44912–

5 44915, 44932–44938, 46302, or 46303 of this title;

6 (B) a regulation prescribed or order issued under any provision to

7 which clause (A) of this paragraph applies;

8 (C) any term of a certificate or permit issued under section 41102,

9 41103, or 41302 of this title; or

10 (D) a regulation of the United States Postal Service under this part.

11 (2) A person operating an aircraft for the transportation of passengers or

12 property for compensation (except an airman serving as an airman) is liable

13 to the Government for a civil penalty of not more than $10,000 for violat14 ing—

15 (A) chapter 401 (except sections 40103(a) and (d), 40105, 40106(b),

16 40116, and 40117) or section 44701(a) or (b), 44702–44716, 44901,

17 44903(b) or (c), 44905, 44906, 44912–44915, or 44932–44938 of this

18 title; or

19 (B) a regulation prescribed or order issued under any provision to

20 which clause (A) of this paragraph applies.

21 (3) A civil penalty of not more than $10,000 may be imposed for each vio22 lation under paragraph (1) of this subsection related to—

23 (A) the transportation of hazardous material; or

24 (B) the registration or recordation under chapter 441 of this title of an

25 aircraft not used to provide air transportation.

26 (4) A separate violation occurs under this subsection for each day the viola27 tion continues or, if applicable, for each flight involving the violation.

28 (b) SMOKE ALARM DEVICE PENALTY.—(1) A passenger may not tamper

29 with, disable, or destroy a smoke alarm device located in a lavatory on an

30 aircraft providing air transportation or intrastate air transportation.

31 (2) An individual violating this subsection is liable to the Government for

32 a civil penalty of not more than $2,000.

33 (c) PROCEDURAL REQUIREMENTS.—(1) The Secretary of Transportation

34 may impose a civil penalty for the following violations only after notice and

35 an opportunity for a hearing:

36 (A) a violation of subsection (b) of this section or chapter 411, section

37 41301–41306, 41308–41310(a), 41501, 41503, 41504, 41506, 41510,

38 41511, 41701, 41702, 41705–41709, 41711, 41712, or 41731–41742,

39 chapter 419, or subchapter II of chapter 421 of this title.

40 (B) a violation of a regulation prescribed or order issued under any

41 provision to which clause (A) of this paragraph applies.
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1 (C) a violation of any term of a certificate or permit issued under sec2 tion 41102, 41103, or 41302 of this title.

3 (D) a violation under subsection (a)(1) of this section related to the

4 transportation of hazardous material.

5 (2) The Secretary shall give written notice of the finding of a violation and

6 the civil penalty under paragraph (1) of this subsection.

7 (d) ADMINISTRATIVE IMPOSITION OF PENALTIES.—(1) In this subsection—

8 (A) ‘‘flight engineer’’ means an individual who holds a flight engineer

9 certificate issued under part 63 of title 14, Code of Federal Regulations.

10 (B) ‘‘mechanic’’ means an individual who holds a mechanic certificate

11 issued under part 65 of title 14, Code of Federal Regulations.

12 (C) ‘‘pilot’’ means an individual who holds a pilot certificate issued

13 under part 61 of title 14, Code of Federal Regulations.

14 (D) ‘‘repairman’’ means an individual who holds a repairman certifi15 cate issued under part 65 of title 14, Code of Federal Regulations.

16 (2) The Administrator of the Federal Aviation Administration may impose

17 a civil penalty for a violation of chapter 401 (except sections 40103(a) and

18 (d), 40105, 40106(b), 40116, and 40117), chapter 441 (except section 44109),

19 or section 44701(a) or (b), 44702–44716, 44901, 44903(b) or (c), 44905,

20 44906, 44907(d)(1)(B), 44912–44915, 44932–44938, 46302, or 46303 of this

21 title or a regulation prescribed or order issued under any of those provisions.

22 The Administrator shall give written notice of the finding of a violation and

23 the penalty.

24 (3) In a civil action to collect a civil penalty imposed by the Administrator

25 under this subsection, the issues of liability and the amount of the penalty

26 may not be reexamined.

27 (4) Notwithstanding paragraph (2) of this subsection, the district courts of

28 the United States have exclusive jurisdiction of a civil action involving a pen29 alty the Administrator initiates if—

30 (A) the amount in controversy is more than $50,000;

31 (B) the action is in rem or another action in rem based on the same

32 violation has been brought;

33 (C) the action involves an aircraft subject to a lien that has been

34 seized by the Government; or

35 (D) another action has been brought for an injunction based on the

36 same violation.

37 (5)(A) The Administrator may issue an order imposing a penalty under

38 this subsection against an individual acting as a pilot, flight engineer, me39 chanic, or repairman only after advising the individual of the charges or any

40 reason the Administrator relied on for the proposed penalty and providing
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1 the individual an opportunity to answer the charges and be heard about why

2 the order shall not be issued.

3 (B) An individual acting as a pilot, flight engineer, mechanic, or repair4 man may appeal an order imposing a penalty under this subsection to the

5 National Transportation Safety Board. After notice and an opportunity for

6 a hearing on the record, the Board shall affirm, modify, or reverse the order.

7 The Board may modify a civil penalty imposed to a suspension or revocation

8 of a certificate.

9 (C) When conducting a hearing under this paragraph, the Board is not

10 bound by findings of fact of the Administrator but is bound by all validly

11 adopted interpretations of laws and regulations the Administrator carries out

12 and of written agency policy guidance available to the public related to sanc13 tions to be imposed under this section unless the Board finds an interpreta14 tion is arbitrary, capricious, or otherwise not according to law.

15 (D) When an individual files an appeal with the Board under this para16 graph, the order of the Administrator is stayed.

17 (6) An individual substantially affected by an order of the Board under

18 paragraph (5) of this subsection, or the Administrator when the Adminis19 trator decides that an order of the Board under paragraph (5) will have a

20 significant adverse impact on carrying out this part, may obtain judicial re21 view of the order under section 46110 of this title. The Administrator shall

22 be made a party to the judicial review proceedings. Findings of fact of the

23 Board are conclusive if supported by substantial evidence.

24 (7)(A) The Administrator may impose a penalty on an individual (except

25 an individual acting as a pilot, flight engineer, mechanic, or repairman) only

26 after notice and an opportunity for a hearing on the record.

27 (B) In an appeal from a decision of an administrative law judge as the

28 result of a hearing under subparagraph (A) of this paragraph, the Adminis29 trator shall consider only whether—

30 (i) each finding of fact is supported by a preponderance of reliable,

31 probative, and substantial evidence;

32 (ii) each conclusion of law is made according to applicable law, prece33 dent, and public policy; and

34 (iii) the judge committed a prejudicial error that supports the appeal.

35 (C) Except for good cause, a civil action involving a penalty under this

36 paragraph may not be initiated later than 2 years after the violation occurs.

37 (8) The maximum civil penalty the Administrator or Board may impose

38 under this subsection is $50,000.

39 (9) This subsection applies only to a violation occurring after August 25,

40 1992.
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1 (e) PENALTY CONSIDERATIONS.—In determining the amount of a civil pen2 alty under subsection (a)(3) of this section related to transportation of haz3 ardous material, the Secretary shall consider—

4 (1) the nature, circumstances, extent, and gravity of the violation;

5 (2) with respect to the violator, the degree of culpability, any history

6 of prior violations, the ability to pay, and any effect on the ability to

7 continue doing business; and

8 (3) other matters that justice requires.

9 (f) COMPROMISE AND SETOFF.—(1)(A) The Secretary may compromise the

10 amount of a civil penalty imposed for violating—

11 (i) chapter 401 (except sections 40103(a) and (d), 40105, 40116, and

12 40117), chapter 441 (except section 44109), or section 44701(a) or (b),

13 44702–44716, 44901, 44903(b) or (c), 44905, 44906, 44907(d)(1)(B),

14 44912–44915, or 44932–44938 of this title; or

15 (ii) a regulation prescribed or order issued under any provision to

16 which clause (i) of this subparagraph applies.

17 (B) The Postal Service may compromise the amount of a civil penalty im18 posed under subsection (a)(1)(D) of this section.

19 (2) The Government may deduct the amount of a civil penalty imposed or

20 compromised under this subsection from amounts it owes the person liable for

21 the penalty.

22 (g) JUDICIAL REVIEW.—An order of the Secretary imposing a civil penalty

23 may be reviewed judicially only under section 46110 of this title.

24 (h) NONAPPLICATION.—(1) This section does not apply to the following

25 when performing official duties:

26 (A) a member of the armed forces of the United States.

27 (B) a civilian employee of the Department of Defense subject to the

28 Uniform Code of Military Justice.

29 (2) The appropriate military authority is responsible for taking necessary

30 disciplinary action and submitting to the Secretary (or the Administrator

31 with respect to aviation safety duties and powers designated to be carried out

32 by the Administrator) a timely report on action taken.

33 § 46302. False information

34 (a) CIVIL PENALTY.—A person that, knowing the information to be false,

35 gives, or causes to be given, under circumstances in which the information

36 reasonably may be believed, false information about an alleged attempt being

37 made or to be made to do an act that would violate section 46502(a), 46504,

38 46505, or 46506 of this title, is liable to the United States Government for

39 a civil penalty of not more than $10,000 for each violation.
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1 (b) COMPROMISE AND SETOFF.—(1) The Secretary of Transportation may

2 compromise the amount of a civil penalty imposed under subsection (a) of

3 this section.

4 (2) The Government may deduct the amount of a civil penalty imposed or

5 compromised under this section from amounts it owes the person liable for

6 the penalty.

7 § 46303. Carrying a weapon

8 (a) CIVIL PENALTY.—An individual who, when on, or attempting to board,

9 an aircraft in, or intended for operation in, air transportation or intrastate

10 air transportation, has on or about the individual or the property of the indi11 vidual a concealed dangerous weapon that is or would be accessible to the in12 dividual in flight is liable to the United States Government for a civil penalty

13 of not more than $10,000 for each violation.

14 (b) COMPROMISE AND SETOFF.—(1) The Secretary of Transportation may

15 compromise the amount of a civil penalty imposed under subsection (a) of

16 this section.

17 (2) The Government may deduct the amount of a civil penalty imposed or

18 compromised under this section from amounts it owes the individual liable

19 for the penalty.

20 (c) NONAPPLICATION.—This section does not apply to—

21 (1) a law enforcement officer of a State or political subdivision of a

22 State, or an officer or employee of the Government, authorized to carry

23 arms in an official capacity; or

24 (2) another individual the Administrator of the Federal Aviation Ad25 ministration by regulation authorizes to carry arms in an official capac26 ity.

27 § 46304. Liens on aircraft

28 (a) AIRCRAFT SUBJECT TO LIENS.—When an aircraft is involved in a vio29 lation referred to in section 46301(a)(1)(A)–(C), (2), or (3) of this title and

30 the violation is by the owner of, or individual commanding, the aircraft, the

31 aircraft is subject to a lien for the civil penalty.

32 (b) SEIZURE.—An aircraft subject to a lien under this section may be

33 seized summarily and placed in the custody of a person authorized to take

34 custody of it under regulations of the Secretary of Transportation (or the Ad35 ministrator of the Federal Aviation Administration with respect to aviation

36 safety duties and powers designated to be carried out by the Administrator).

37 A report on the seizure shall be submitted to the Attorney General. The Attor38 ney General promptly shall bring a civil action in rem to enforce the lien

39 or notify the Secretary or Administrator that the action will not be brought.

40 (c) RELEASE.—An aircraft seized under subsection (b) of this section shall

41 be released from custody when—
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1 (1) the civil penalty is paid;

2 (2) a compromise amount agreed on is paid;

3 (3) the aircraft is seized under a civil action in rem to enforce the

4 lien;

5 (4) the Attorney General gives notice that a civil action will not be

6 brought under subsection (b) of this section; or

7 (5) a bond (in an amount and with a surety the Secretary or Admin8 istrator prescribes), conditioned on payment of the penalty or com9 promise, is deposited with the Secretary or Administrator.

10 § 46305. Actions to recover civil penalties

11 A civil penalty under this chapter may be collected by bringing a civil ac12 tion against the person subject to the penalty, a civil action in rem against

13 an aircraft subject to a lien for a penalty, or both. The action shall conform

14 as nearly as practicable to a civil action in admiralty, regardless of the place

15 an aircraft in a civil action in rem is seized. However, a party may demand

16 a jury trial of an issue of fact in an action involving a civil penalty under

17 this chapter (except a penalty imposed by the Secretary of Transportation

18 that formerly was imposed by the Civil Aeronautics Board) if the value of

19 the matter in controversy is more than $20. Issues of fact tried by a jury

20 may be reexamined only under common law rules.

21 § 46306. Registration violations involving aircraft not pro22 viding air transportation

23 (a) APPLICATION.—This section applies only to aircraft not used to provide

24 air transportation.

25 (b) GENERAL CRIMINAL PENALTY.—Except as provided by subsection (c)

26 of this section, a person shall be fined under title 18, imprisoned for not more

27 than 3 years, or both, if the person—

28 (1) knowingly and willfully forges or alters a certificate authorized to

29 be issued under this part;

30 (2) knowingly sells, uses, attempts to use, or possesses with the intent

31 to use, such a certificate;

32 (3) knowingly and willfully displays or causes to be displayed on an

33 aircraft a mark that is false or misleading about the nationality or reg34 istration of the aircraft;

35 (4) obtains a certificate authorized to be issued under this part by

36 knowingly and willfully falsifying or concealing a material fact, making

37 a false, fictitious, or fraudulent statement, or making or using a false

38 document knowing it contains a false, fictitious, or fraudulent statement

39 or entry;
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1 (5) owns an aircraft eligible for registration under section 44102 of

2 this title and knowingly and willfully operates, attempts to operate, or

3 allows another person to operate the aircraft when—

4 (A) the aircraft is not registered under section 44103 of this title

5 or the certificate of registration is suspended or revoked; or

6 (B) the owner knows or has reason to know that the other person

7 does not have proper authorization to operate or navigate the air8 craft without registration for a period of time after transfer of own9 ership;

10 (6) knowingly and willfully operates or attempts to operate an air11 craft eligible for registration under section 44102 of this title knowing

12 that—

13 (A) the aircraft is not registered under section 44103 of this title;

14 (B) the certificate of registration is suspended or revoked; or

15 (C) the person does not have proper authorization to operate or

16 navigate the aircraft without registration for a period of time after

17 transfer of ownership;

18 (7) knowingly and willfully serves or attempts to serve in any capac19 ity as an airman without an airman’s certificate authorizing the indi20 vidual to serve in that capacity;

21 (8) knowingly and willfully employs for service or uses in any capac22 ity as an airman an individual who does not have an airman’s certifi23 cate authorizing the individual to serve in that capacity; or

24 (9) operates an aircraft with a fuel tank or fuel system that has been

25 installed or modified knowing that the tank, system, installation, or

26 modification does not comply with regulations and requirements of the

27 Administrator of the Federal Aviation Administration.

28 (c) CONTROLLED SUBSTANCE CRIMINAL PENALTY.—(1) In this subsection,

29 ‘‘controlled substance’’ has the same meaning given that term in section 102

30 of the Comprehensive Drug Abuse Prevention and Control Act of 1970 (21

31 U.S.C. 802).

32 (2) A person violating subsection (b) of this section shall be fined under

33 title 18, imprisoned for not more than 5 years, or both, if the violation is

34 related to transporting a controlled substance by aircraft or aiding or facili35 tating a controlled substance violation and the transporting, aiding, or facili36 tating—

37 (A) is punishable by death or imprisonment of more than one year

38 under a law of the United States or a State; or

39 (B) provided is related to an act punishable by death or imprisonment

40 for more than one year under a law of the United States or a State re-
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1 lated to a controlled substance (except a law related to simple possession

2 of a controlled substance).

3 (3) A term of imprisonment imposed under paragraph (2) of this sub4 section shall be served in addition to, and not concurrently with, any other

5 term of imprisonment imposed on the individual.

6 (d) SEIZURE AND FORFEITURE.—(1) The Administrator of Drug Enforce7 ment or the Commissioner of Customs may seize and forfeit under the customs

8 laws an aircraft whose use is related to a violation of subsection (b) of this

9 section, or to aid or facilitate a violation, regardless of whether a person is

10 charged with the violation.

11 (2) An aircraft’s use is presumed to have been related to a violation of,

12 or to aid or facilitate a violation of—

13 (A) subsection (b)(1) of this section if the aircraft certificate of reg14 istration has been forged or altered;

15 (B) subsection (b)(3) of this section if there is an external display of

16 false or misleading registration numbers or country of registration;

17 (C) subsection (b)(4) of this section if—

18 (i) the aircraft is registered to a false or fictitious person; or

19 (ii) the application form used to obtain the aircraft certificate of

20 registration contains a material false statement;

21 (D) subsection (b)(5) of this section if the aircraft was operated when

22 it was not registered under section 44103 of this title; or

23 (E) subsection (b)(9) of this section if the aircraft has a fuel tank or

24 fuel system that was installed or altered—

25 (i) in violation of a regulation or requirement of the Adminis26 trator of the Federal Aviation Administration; or

27 (ii) if a certificate required to be issued for the installation or

28 alteration is not carried on the aircraft.

29 (3) The Administrator of the Federal Aviation Administration, the Admin30 istrator of Drug Enforcement, and the Commissioner shall agree to a memo31 randum of understanding to establish procedures to carry out this subsection.

32 (e) RELATIONSHIP TO STATE LAWS.—This part does not prevent a State

33 from establishing a criminal penalty, including providing for forfeiture and

34 seizure of aircraft, for a person that—

35 (1) knowingly and willfully forges or alters an aircraft certificate of

36 registration;

37 (2) knowingly sells, uses, attempts to use, or possesses with the intent

38 to use, a fraudulent aircraft certificate of registration;

39 (3) knowingly and willfully displays or causes to be displayed on an

40 aircraft a mark that is false or misleading about the nationality or reg41 istration of the aircraft; or
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1 (4) obtains an aircraft certificate of registration from the Adminis2 trator of the Federal Aviation Administration by—

3 (A) knowingly and willfully falsifying or concealing a material

4 fact;

5 (B) making a false, fictitious, or fraudulent statement; or

6 (C) making or using a false document knowing it contains a

7 false, fictitious, or fraudulent statement or entry.

8 § 46307. Violation of national defense airspace

9 A person that knowingly or willfully violates section 40103(b)(3) of this

10 title or a regulation prescribed or order issued under section 40103(b)(3) shall

11 be fined under title 18, imprisoned for not more than one year, or both.

12 § 46308. Interference with air navigation

13 A person shall be fined under title 18, imprisoned for not more than 5

14 years, or both, if the person—

15 (1) with intent to interfere with air navigation in the United States,

16 exhibits in the United States a light or signal at a place or in a way

17 likely to be mistaken for a true light or signal established under this part

18 or for a true light or signal used at an air navigation facility;

19 (2) after a warning from the Administrator of the Federal Aviation

20 Administration, continues to maintain a misleading light or signal; or

21 (3) knowingly interferes with the operation of a true light or signal.

22 § 46309. Concession and price violations

23 (a) CRIMINAL PENALTY FOR OFFERING, GRANTING, GIVING, OR HELPING

24 TO OBTAIN CONCESSIONS AND LOWER PRICES.—An air carrier, foreign air

25 carrier, ticket agent, or officer, agent, or employee of an air carrier, foreign

26 air carrier, or ticket agent shall be fined under title 18 if the air carrier,

27 foreign air carrier, ticket agent, officer, agent, or employee—

28 (1) knowingly and willfully offers, grants, or gives, or causes to be of29 fered, granted, or given, a rebate or other concession in violation of this

30 part; or

31 (2) by any means knowingly and willfully assists, or willingly allows,

32 a person to obtain transportation or services subject to this part at less

33 than the price lawfully in effect.

34 (b) CRIMINAL PENALTY FOR RECEIVING REBATES, PRIVILEGES, AND FA35 CILITIES.—A person shall be fined under title 18 if the person by any

36 means—

37 (1) knowingly and willfully solicits, accepts, or receives a rebate of a

38 part of a price lawfully in effect for the foreign air transportation of

39 property, or a service related to the foreign air transportation; or

40 (2) knowingly solicits, accepts, or receives a privilege or facility relat41 ed to a matter the Secretary of Transportation requires be specified in
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1 a currently effective tariff applicable to the foreign air transportation of

2 property.

3 § 46310. Reporting and recordkeeping violations

4 (a) GENERAL CRIMINAL PENALTY.—An air carrier or an officer, agent, or

5 employee of an air carrier shall be fined under title 18 for intentionally—

6 (1) failing to make a report or keep a record under this part;

7 (2) falsifying, mutilating, or altering a report or record under this

8 part; or

9 (3) filing a false report or record under this part.

10 (b) SAFETY REGULATION CRIMINAL PENALTY.—An air carrier or an offi11 cer, agent, or employee of an air carrier shall be fined under title 18, impris12 oned for not more than 5 years, or both, for intentionally falsifying or con13 cealing a material fact, or inducing reliance on a false statement of material

14 fact, in a report or record under section 44701(a) or (b) or 44702–44716 of

15 this title.

16 § 46311. Unlawful disclosure of information

17 (a) CRIMINAL PENALTY.—The Secretary of Transportation, the Adminis18 trator of the Federal Aviation Administration with respect to aviation safety

19 duties and powers designated to be carried out by the Administrator, or an

20 officer or employee of the Secretary or Administrator shall be fined under title

21 18, imprisoned for not more than 2 years, or both, if the Secretary, Adminis22 trator, officer, or employee knowingly and willfully discloses information

23 that—

24 (1) the Secretary, Administrator, officer, or employee acquires when

25 inspecting the records of an air carrier; or

26 (2) is withheld from public disclosure under section 40115 of this title.

27 (b) NONAPPLICATION.—Subsection (a) of this section does not apply if—

28 (1) the officer or employee is directed by the Secretary or Adminis29 trator to disclose information that the Secretary or Administrator had

30 ordered withheld; or

31 (2) the Secretary, Administrator, officer, or employee is directed by a

32 court of competent jurisdiction to disclose the information.

33 (c) WITHHOLDING INFORMATION FROM CONGRESS.—This section does not

34 authorize the Secretary or Administrator to withhold information from a

35 committee of Congress authorized to have the information.

36 § 46312. Transporting hazardous material

37 A person shall be fined under title 18, imprisoned for not more than 5

38 years, or both, if the person, in violation of a regulation or requirement relat39 ed to the transportation of hazardous material prescribed by the Secretary of

40 Transportation under this part—
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1 (1) willfully delivers, or causes to be delivered, property containing

2 hazardous material to an air carrier or to an operator of a civil aircraft

3 for transportation in air commerce; or

4 (2) recklessly causes the transportation in air commerce of the prop5 erty.

6 § 46313. Refusing to appear or produce records

7 A person not obeying a subpena or requirement of the Secretary of Trans8 portation (or the Administrator of the Federal Aviation Administration with

9 respect to aviation safety duties and powers designated to be carried out by

10 the Administrator) to appear and testify or produce records shall be fined

11 under title 18, imprisoned for not more than one year, or both.

12 § 46314. Entering aircraft or airport area in violation of se13 curity requirements

14 (a) PROHIBITION.—A person may not knowingly and willfully enter, in

15 violation of security requirements prescribed under section 44901, 44903(b)

16 or (c), or 44906 of this title, an aircraft or an airport area that serves an

17 air carrier or foreign air carrier.

18 (b) CRIMINAL PENALTY.—(1) A person violating subsection (a) of this sec19 tion shall be fined under title 18, imprisoned for not more than one year,

20 or both.

21 (2) A person violating subsection (a) of this section with intent to commit,

22 in the aircraft or airport area, a felony under a law of the United States

23 or a State shall be fined under title 18, imprisoned for not more than 10

24 years, or both.

25 § 46315. Lighting violations involving transporting con26 trolled substances by aircraft not providing air

27 transportation

28 (a) APPLICATION.—This section applies only to aircraft not used to provide

29 air transportation.

30 (b) CRIMINAL PENALTY.—A person shall be fined under title 18, impris31 oned for not more than 5 years, or both, if—

32 (1) the person knowingly and willfully operates an aircraft in viola33 tion of a regulation or requirement of the Administrator of the Federal

34 Aviation Administration related to the display of navigation or anti35 collision lights;

36 (2) the person is knowingly transporting a controlled substance by air37 craft or aiding or facilitating a controlled substance offense; and

38 (3) the transporting, aiding, or facilitating—

39 (A) is punishable by death or imprisonment for more than one

40 year under a law of the United States or a State; or
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1 (B) is provided in connection with an act punishable by death

2 or imprisonment for more than one year under a law of the United

3 States or a State related to a controlled substance (except a law re4 lated to simple possession of a controlled substance).

5 § 46316. General criminal penalty when specific penalty not

6 provided

7 (a) CRIMINAL PENALTY.—Except as provided by subsection (b) of this sec8 tion, when another criminal penalty is not provided under this chapter, a

9 person that knowingly and willfully violates this part, a regulation prescribed

10 or order issued by the Secretary of Transportation (or the Administrator of

11 the Federal Aviation Administration with respect to aviation safety duties

12 and powers designated to be carried out by the Administrator) under this

13 part, or any term of a certificate or permit issued under section 41102,

14 41103, or 41302 of this title shall be fined under title 18. A separate violation

15 occurs for each day the violation continues.

16 (b) NONAPPLICATION.—Subsection (a) of this section does not apply to

17 chapter 401 (except sections 40103(a) and (d), 40105, 40116, and 40117),

18 chapter 441 (except section 44109), chapter 445, and sections 44701(a) and

19 (b), 44702–44716, 44901, 44903(b) and (c), 44905, 44906, 44912–44915, and

20 44932–44938 of this title.

21 CHAPTER 465—SPECIAL AIRCRAFT JURISDICTION OF

22 THE UNITED STATES

Sec.

46501. Definitions.

46502. Aircraft piracy.

46503. Death penalty sentencing procedure for aircraft piracy.

46504. Interference with flight crew members and attendants.

46505. Carrying a weapon or explosive on an aircraft.

46506. Application of certain criminal laws to acts on aircraft.

46507. False information and threats.

23 § 46501. Definitions

24 In this chapter—

25 (1) ‘‘aircraft in flight’’ means an aircraft from the moment all exter26 nal doors are closed following boarding—

27 (A) through the moment when one external door is opened to

28 allow passengers to leave the aircraft; or

29 (B) until, if a forced landing, competent authorities take over re30 sponsibility for the aircraft and individuals and property on the

31 aircraft.

32 (2) ‘‘special aircraft jurisdiction of the United States’’ includes any

33 of the following aircraft in flight:

34 (A) a civil aircraft of the United States.

35 (B) an aircraft of the armed forces of the United States.
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1 (C) another aircraft in the United States.

2 (D) another aircraft outside the United States—

3 (i) that has its next scheduled destination or last place of de4 parture in the United States, if the aircraft next lands in the

5 United States;

6 (ii) on which an individual commits an offense (as defined

7 in the Convention for the Suppression of Unlawful Seizure of

8 Aircraft) if the aircraft lands in the United States with the in9 dividual still on the aircraft; or

10 (iii) against which an individual commits an offense (as de11 fined in subsection (d) or (e) of article I, section I of the Con12 vention for the Suppression of Unlawful Acts against the Safe13 ty of Civil Aviation) if the aircraft lands in the United States

14 with the individual still on the aircraft.

15 (E) any other aircraft leased without crew to a lessee whose prin16 cipal place of business is in the United States or, if the lessee does

17 not have a principal place of business, whose permanent residence

18 is in the United States.

19 (3) an individual commits an offense (as defined in the Convention

20 for the Suppression of Unlawful Seizure of Aircraft) when the individ21 ual, when on an aircraft in flight—

22 (A) by any form of intimidation, unlawfully seizes, exercises con23 trol of, or attempts to seize or exercise control of, the aircraft; or

24 (B) is an accomplice of an individual referred to in subclause (A)

25 of this clause.

26 § 46502. Aircraft piracy

27 (a) IN SPECIAL AIRCRAFT JURISDICTION.—(1) In this subsection—

28 (A) ‘‘aircraft piracy’’ means seizing or exercising control of an air29 craft in the special aircraft jurisdiction of the United States by force,

30 violence, threat of force or violence, or any form of intimidation, and

31 with wrongful intent.

32 (B) an attempt to commit aircraft piracy is in the special aircraft

33 jurisdiction of the United States although the aircraft is not in flight at

34 the time of the attempt if the aircraft would have been in the special

35 aircraft jurisdiction of the United States had the aircraft piracy been

36 completed.

37 (2) An individual committing or attempting to commit aircraft piracy—

38 (A) shall be imprisoned for at least 20 years; or

39 (B) if the death of another individual results from the commission or

40 attempt, shall be put to death or imprisoned for life.
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1 (b) OUTSIDE SPECIAL AIRCRAFT JURISDICTION.—(1) An individual com2 mitting an offense (as defined in the Convention for the Suppression of Un3 lawful Seizure of Aircraft) on an aircraft in flight outside the special aircraft

4 jurisdiction of the United States and later found in the United States—

5 (A) shall be imprisoned for at least 20 years; or

6 (B) if the death of another individual results from the commission or

7 attempt, shall be put to death or imprisoned for life.

8 (2) This subsection applies only if the place of takeoff or landing of the

9 aircraft on which the individual commits the offense is located outside the ter10 ritory of the country of registration of the aircraft.

11 § 46503. Death penalty sentencing procedure for aircraft pi12 racy

13 (a) GOVERNMENT STIPULATIONS.—An individual convicted of violating

14 section 46502 of this title may not be sentenced to death if the United States

15 Government stipulates that at least one of the mitigating factors specified in

16 subsection (c)(1) of this section exists or none of the aggravating factors speci17 fied in subsection (c)(2) of this section exists. If the Government does not stip18 ulate, the judge presiding at the trial or accepting the guilty plea of the indi19 vidual shall hold a separate hearing to decide on the punishment to be im20 posed.

21 (b) PUNISHMENT HEARINGS.—(1) The hearing under this section shall be

22 conducted—

23 (A) before the jury that found the defendant guilty;

24 (B) before a jury impaneled for the hearing when—

25 (i) the defendant was convicted by a guilty plea;

26 (ii) the defendant was convicted by a judge without a jury; or

27 (iii) the jury finding the defendant guilty was discharged by the

28 judge for good cause; or

29 (C) before the judge, on motion of the defendant and with the approval

30 of the judge and the Government.

31 (2) At the hearing, the judge shall disclose to the defendant or counsel for

32 the defendant all material contained in any presentence report, except mate33 rial the judge decides is required to be withheld to protect human life or na34 tional security. Presentence information withheld from the defendant may not

35 be considered in deciding whether the factors specified in subsection (c) of this

36 section exist.

37 (3) Information relevant to the mitigating factors specified in subsection

38 (c)(1) of this section may be presented by the Government or the defendant

39 without regard to the rules governing the admissibility of evidence at criminal

40 trials. The burden of establishing the existence of a mitigating factor specified

41 in subsection (c)(1) is on the defendant.
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1 (4) Information relevant to the aggravating factors specified in subsection

2 (c)(2) of this section is admissible only under rules governing the admissibil3 ity of evidence at criminal trials. The burden of establishing the existence of

4 an aggravating factor specified in subsection (c)(2) is on the Government.

5 (5) The Government and the defendant may rebut information presented

6 at the hearing. They shall be given an opportunity to present arguments on

7 the adequacy of the information to establish the existence of the factors speci8 fied in subsection (c) of this section.

9 (c) MITIGATING AND AGGRAVATING FACTORS.—(1) The judge may not im10 pose the death penalty on a defendant if the jury or, if there is no jury, the

11 judge finds under this section that at the time of the violation of section

12 46502 of this title—

13 (A) the defendant was not yet 18 years of age;

14 (B) the capacity of the defendant to appreciate the wrongfulness of the

15 defendant’s conduct or to conform the defendant’s conduct to the require16 ments of law was impaired significantly, but the capacity was not im17 paired sufficiently to be a defense to prosecution;

18 (C) the defendant was under unusual and substantial duress, but the

19 duress was not sufficient to be a defense to prosecution;

20 (D) the defendant was a principal (as defined in section 2(a) of title

21 18) in a violation committed by another individual, but the participa22 tion of the defendant was relatively minor, although not sufficiently

23 minor to be a defense to prosecution; or

24 (E) the defendant reasonably could not have foreseen that the conduct

25 of the defendant in the violation would cause or create a grave risk of

26 causing death to another individual.

27 (2) If none of the factors specified in paragraph (1) of this subsection exists,

28 the judge shall impose the death penalty on the defendant if the jury or, if

29 there is no jury, the judge finds under this section that—

30 (A) the death of another individual resulted from the violation after

31 the defendant had seized or exercised control of the aircraft; or

32 (B) the death of another individual resulted from the violation and—

33 (i) the defendant has been convicted of another United States or

34 State offense (committed before or at the time of the violation) for

35 which punishment of life imprisonment or death could be imposed;

36 (ii) the defendant has been convicted of at least 2 United States

37 or State offenses with a penalty of more than one year of imprison38 ment (committed on different occasions before the time of the viola39 tion) that involved inflicting serious bodily injury on another indi40 vidual;
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1 (iii) in committing the violation, the defendant knowingly created

2 a grave risk of death to an individual in addition to the individual

3 whose death resulted from the violation; or

4 (iv) the defendant committed the violation in an especially hei5 nous, cruel, or depraved manner.

6 (d) DEATH PENALTY REQUIREMENTS.—(1) If the jury or, if there is no

7 jury, the judge finds by a preponderance of the information that none of the

8 mitigating factors specified in subsection (c)(1) of this section exists and that

9 at least one of the aggravating factors specified in subsection (c)(2) of this

10 section exists, the judge shall impose the death penalty on the defendant. If

11 the jury or judge finds that at least one of the mitigating factors specified

12 in subsection (c)(1) exists, or that none of the aggravating factors specified

13 in subsection (c)(2) exists, the judge may not impose the death penalty on

14 the defendant but shall impose another penalty provided for the defendant’s

15 violation of section 46502 of this title.

16 (2) The jury or, if there is no jury, the judge shall return a special verdict

17 containing findings on whether each of the factors specified in subsection (c)

18 of this section exists.

19 § 46504. Interference with flight crew members and attend20 ants

21 An individual on an aircraft in the special aircraft jurisdiction of the

22 United States who, by assaulting or intimidating a flight crew member or

23 flight attendant of the aircraft, interferes with the performance of the duties

24 of the member or attendant or lessens the ability of the member or attendant

25 to perform those duties, shall be fined under title 18, imprisoned for not more

26 than 20 years, or both. However, if a dangerous weapon is used in assaulting

27 or intimidating the member or attendant, the individual shall be imprisoned

28 for any term of years or for life.

29 § 46505. Carrying a weapon or explosive on an aircraft

30 (a) DEFINITION.—In this section, ‘‘loaded firearm’’ means a starter gun or

31 a weapon designed or converted to expel a projectile through an explosive, that

32 has a cartridge, a detonator, or powder in the chamber, magazine, cylinder,

33 or clip.

34 (b) GENERAL CRIMINAL PENALTY.—An individual shall be fined under title

35 18, imprisoned for not more than one year, or both, if the individual—

36 (1) when on, or attempting to get on, an aircraft in, or intended for

37 operation in, air transportation or intrastate air transportation, has on

38 or about the individual or the property of the individual a concealed

39 dangerous weapon that is or would be accessible to the individual in

40 flight;
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1 (2) has placed, attempted to place, or attempted to have placed a load2 ed firearm on that aircraft in property not accessible to passengers in

3 flight; or

4 (3) has on or about the individual, or has placed, attempted to place,

5 or attempted to have placed on that aircraft, an explosive or incendiary

6 device.

7 (c) CRIMINAL PENALTY INVOLVING DISREGARD FOR HUMAN LIFE.—An in8 dividual who willfully and without regard for the safety of human life, or

9 with reckless disregard for the safety of human life, violates subsection (b) of

10 this section, shall be fined under title 18, imprisoned for not more than 5

11 years, or both.

12 (d) NONAPPLICATION.—Subsection (b)(1) of this section does not apply to—

13 (1) a law enforcement officer of a State or political subdivision of a

14 State, or an officer or employee of the United States Government, author15 ized to carry arms in an official capacity;

16 (2) another individual the Administrator of the Federal Aviation Ad17 ministration by regulation authorizes to carry a dangerous weapon in

18 air transportation or intrastate air transportation; or

19 (3) an individual transporting a weapon (except a loaded firearm) in

20 baggage not accessible to a passenger in flight if the air carrier was in21 formed of the presence of the weapon.

22 § 46506. Application of certain criminal laws to acts on air23 craft

24 An individual on an aircraft in the special aircraft jurisdiction of the

25 United States who commits an act that—

26 (1) if committed in the special maritime and territorial jurisdiction

27 of the United States (as defined in section 7 of title 18) would violate

28 section 113, 114, 661, 662, 1111, 1112, 1113, or 2111 or chapter 109A

29 of title 18, shall be fined under title 18, imprisoned under that section

30 or chapter, or both; or

31 (2) if committed in the District of Columbia would violate section 9

32 of the Act of July 29, 1892 (D.C. Code § 22-1112), shall be fined under

33 title 18, imprisoned under section 9 of the Act, or both.

34 § 46507. False information and threats

35 An individual shall be fined under title 18, imprisoned for not more than

36 5 years, or both, if the individual—

37 (1) knowing the information to be false, willfully and maliciously or

38 with reckless disregard for the safety of human life, gives, or causes to

39 be given, under circumstances in which the information reasonably may

40 be believed, false information about an alleged attempt being made or to
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1 be made to do an act that would violate section 46502(a), 46504, 46505,

2 or 46506 of this title; or

3 (2)(A) threatens to violate section 46502(a), 46504, 46505, or 46506

4 of this title, or causes a threat to violate any of those sections to be made;

5 and

6 (B) appears ready and willing to carry out the threat.

7 PART B—AIRPORT DEVELOPMENT AND NOISE

8 CHAPTER 471—AIRPORT DEVELOPMENT

SUBCHAPTER I—AIRPORT IMPROVEMENT

Sec.

47101. Policies.

47102. Definitions.

47103. National plan of integrated airport systems.

47104. Project grant authority.

47105. Project grant applications.

47106. Project grant application approval conditioned on satisfaction of project requirements.

47107. Project grant application approval conditioned on assurances about airport operations.

47108. Project grant agreements.

47109. United States Government’s share of project costs.

47110. Allowable project costs.

47111. Payments under project grant agreements.

47112. Carrying out airport development projects.

47113. Minority and disadvantaged business participation.

47114. Apportionments.

47115. Discretionary fund.

47116. Small airport fund.

47117. Use of apportioned amounts.

47118. Designating current and former military airports.

47119. Terminal development costs.

47120. Grant priority.

47121. Records and audits.

47122. Administrative.

47123. Nondiscrimination.

47124. Agreements for State and local operation of airport facilities.

47125. Conveyances of United States Government land.

47126. Criminal penalties for false statements.

47127. Ground transportation demonstration projects.

47128. State block grant pilot program.

47129. Annual report.

SUBCHAPTER II—SURPLUS PROPERTY FOR PUBLIC AIRPORTS

47151. Authority to transfer an interest in surplus property.

47152. Terms of gifts.

47153. Waiving and adding terms.

9 SUBCHAPTER I—AIRPORT IMPROVEMENT

10 § 47101. Policies

11 (a) GENERAL.—It is the policy of the United States—

12 (1) that the safe operation of the airport and airway system is the

13 highest aviation priority;

14 (2) that aviation facilities be constructed and operated to minimize

15 current and projected noise impact on nearby communities;

16 (3) to give special emphasis to developing reliever airports;

17 (4) that appropriate provisions should be made to make the develop18 ment and enhancement of cargo hub airports easier;
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1 (5) to encourage the development of transportation systems that use

2 various modes of transportation in a way that will serve the States and

3 local communities efficiently and effectively;

4 (6) that airport development projects under this subchapter provide for

5 the protection and enhancement of natural resources and the quality of

6 the environment of the United States;

7 (7) that airport construction and improvement projects that increase

8 the capacity of facilities to accommodate passenger and cargo traffic be

9 undertaken to the maximum feasible extent so that safety and efficiency

10 increase and delays decrease;

11 (8) to ensure that nonaviation usage of the navigable airspace be ac12 commodated but not allowed to decrease the safety and capacity of the

13 airspace and airport system;

14 (9) that artificial restrictions on airport capacity—

15 (A) are not in the public interest;

16 (B) should be imposed to alleviate air traffic delays only after

17 other reasonably available and less burdensome alternatives have

18 been tried; and

19 (C) should not discriminate unjustly between categories and class20 es of aircraft; and

21 (10) that special emphasis should be placed on converting appropriate

22 former military air bases to civil use and identifying and improving ad23 ditional joint-use facilities.

24 (b) NATIONAL TRANSPORTATION POLICY.—(1) It is a goal of the United

25 States to develop a national intermodal transportation system that transports

26 passengers and property in an efficient manner. The future economic direc27 tion of the United States depends on its ability to confront directly the enor28 mous challenges of the global economy, declining productivity growth, energy

29 vulnerability, air pollution, and the need to rebuild the infrastructure of the

30 United States.

31 (2) United States leadership in the world economy, the expanding wealth

32 of the United States, the competitiveness of the industry of the United States,

33 the standard of living, and the quality of life are at stake.

34 (3) A national intermodal transportation system is a coordinated, flexible

35 network of diverse but complementary forms of transportation that transports

36 passengers and property in the most efficient manner. By reducing transpor37 tation costs, these intermodal systems will enhance the ability of the industry

38 of the United States to compete in the global marketplace.

39 (4) All forms of transportation, including aviation and other transpor40 tation systems of the future, will be full partners in the effort to reduce energy

41 consumption and air pollution while promoting economic development.
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1 (5) An intermodal transportation system consists of transportation hubs

2 that connect different forms of appropriate transportation and provides users

3 with the most efficient means of transportation and with access to commercial

4 centers, business locations, population centers, and the vast rural areas of the

5 United States, as well as providing links to other forms of transportation and

6 to intercity connections.

7 (6) Intermodality and flexibility are paramount issues in the process of de8 veloping an integrated system that will obtain the optimum yield of United

9 States resources.

10 (7) The United States transportation infrastructure must be reshaped to

11 provide the economic underpinnings for the United States to compete in the

12 21st century global economy. The United States can no longer rely on the

13 sheer size of its economy to dominate international economic rivals and must

14 recognize fully that its economy is no longer a separate entity but is part

15 of the global marketplace. The future economic prosperity of the United States

16 depends on its ability to compete in an international marketplace that is

17 teeming with competitors but in which a full one-quarter of the economic ac18 tivity of the United States takes place.

19 (8) The United States must make a national commitment to rebuild its in20 frastructure through development of a national intermodal transportation sys21 tem. The United States must provide the foundation for its industries to im22 prove productivity and their ability to compete in the global economy with

23 a system that will transport passengers and property in an efficient manner.

24 (c) CAPACITY EXPANSION AND NOISE ABATEMENT.—It is in the public in25 terest to recognize the effects of airport capacity expansion projects on aircraft

26 noise. Efforts to increase capacity through any means can have an impact

27 on surrounding communities. Noncompatible land uses around airports must

28 be reduced and efforts to mitigate noise must be given a high priority.

29 (d) CONSISTENCY WITH AIR COMMERCE AND SAFETY POLICIES.—Each

30 airport and airway program should be carried out consistently with section

31 40101(a), (b), (d), and (f) of this title to foster competition, prevent unfair

32 methods of competition in air transportation, maintain essential air trans33 portation, and prevent unjust and discriminatory practices, including as the

34 practices may be applied between categories and classes of aircraft.

35 (e) ADEQUACY OF NAVIGATION AIDS AND AIRPORT FACILITIES.—This sub36 chapter should be carried out to provide adequate navigation aids and airport

37 facilities for places at which scheduled commercial air service is provided. The

38 facilities provided may include—

39 (1) reliever airports; and
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1 (2) heliports designated by the Secretary of Transportation to relieve

2 congestion at commercial service airports by diverting aircraft pas3 sengers from fixed-wing aircraft to helicopter carriers.

4 (f) MAXIMUM USE OF SAFETY FACILITIES.—This subchapter should be car5 ried out consistently with a comprehensive airspace system plan, giving high6 est priority to commercial service airports, to maximize the use of safety fa7 cilities, including installing, operating, and maintaining, to the extent pos8 sible with available money and considering other safety needs—

9 (1) electronic or visual vertical guidance on each runway;

10 (2) grooving or friction treatment of each primary and secondary run11 way;

12 (3) distance-to-go signs for each primary and secondary runway;

13 (4) a precision approach system, a vertical visual guidance system,

14 and a full approach light system for each primary runway;

15 (5) a nonprecision instrument approach for each secondary runway;

16 (6) runway end identifier lights on each runway that does not have

17 an approach light system;

18 (7) a surface movement radar system at each category III airport;

19 (8) a taxiway lighting and sign system;

20 (9) runway edge lighting and marking; and

21 (10) radar approach coverage for each airport terminal area.

22 (g) COOPERATION.—To carry out the policy of subsection (a)(5) of this sec23 tion, the Secretary of Transportation shall cooperate with State and local offi24 cials in developing airport plans and programs that are based on overall

25 transportation needs. The airport plans and programs shall be developed in

26 coordination with other transportation planning and considering comprehen27 sive long-range land-use plans and overall social, economic, environmental,

28 system performance, and energy conservation objectives. The process of devel29 oping airport plans and programs shall be continuing, cooperative, and com30 prehensive to the degree appropriate to the complexity of the transportation

31 problems.

32 (h) CONSULTATION.—To carry out the policy of subsection (a)(6) of this

33 section, the Secretary of Transportation shall consult with the Secretary of

34 the Interior and the Administrator of the Environmental Protection Agency

35 about any project included in a project grant application involving the loca36 tion of an airport or runway, or a major runway extension, that may have

37 a significant effect on—

38 (1) natural resources, including fish and wildlife;

39 (2) natural, scenic, and recreation assets;

40 (3) water and air quality; or

41 (4) another factor affecting the environment.
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1 § 47102. Definitions

2 In this subchapter—

3 (1) ‘‘air carrier airport’’ means a public airport regularly served by—

4 (A) an air carrier certificated by the Secretary of Transportation

5 under section 41102 of this title (except a charter air carrier); or

6 (B) at least one air carrier—

7 (i) operating under an exemption from section 41101(a)(1)

8 of this title that the Secretary grants; and

9 (ii) having at least 2,500 passenger boardings at the airport

10 during the prior calendar year.

11 (2) ‘‘airport’’—

12 (A) means—

13 (i) an area of land or water used or intended to be used for

14 the landing and taking off of aircraft;

15 (ii) an appurtenant area used or intended to be used for air16 port buildings or other airport facilities or rights of way; and

17 (iii) airport buildings and facilities located in any of those

18 areas; and

19 (B) includes a heliport.

20 (3) ‘‘airport development’’ means the following activities, if under21 taken by the sponsor, owner, or operator of a public-use airport:

22 (A) constructing, repairing, or improving a public-use airport,

23 including—

24 (i) removing, lowering, relocating, marking, and lighting an

25 airport hazard; and

26 (ii) preparing a plan or specification, including carrying

27 out a field investigation.

28 (B) acquiring for, or installing at, a public-use airport—

29 (i) a navigation aid or another aid (including a precision

30 approach system) used by aircraft for landing at or taking off

31 from the airport, including preparing the site as required by

32 the acquisition or installation;

33 (ii) safety or security equipment the Secretary requires by

34 regulation for, or approves as contributing significantly to, the

35 safety or security of individuals and property at the airport;

36 (iii) equipment to remove snow, to measure runway surface

37 friction, or for aviation-related weather reporting;

38 (iv) firefighting and rescue equipment at an airport that

39 serves scheduled passenger operations of air carrier aircraft de40 signed for more than 20 passenger seats;
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1 (v) aircraft deicing equipment and structures (except air2 craft deicing fluids and storage facilities for the equipment and

3 fluids); and

4 (vi) interactive training systems.

5 (C) acquiring an interest in land or airspace, including land for

6 future airport development, that is needed—

7 (i) to carry out airport development described in subclause

8 (A) or (B) of this clause; or

9 (ii) to remove or mitigate an existing airport hazard or pre10 vent or limit the creation of a new airport hazard.

11 (D) acquiring land for, or constructing, a burn area training

12 structure on or off the airport to provide live fire drill training for

13 aircraft rescue and firefighting personnel required to receive the

14 training under regulations the Secretary prescribes, including basic

15 equipment and minimum structures to support the training under

16 standards the Administrator of the Federal Aviation Administra17 tion prescribes.

18 (E) relocating after December 31, 1991, an air traffic control

19 tower and any navigational aid (including radar) if the relocation

20 is necessary to carry out a project approved by the Secretary under

21 this subchapter.

22 (F) constructing, reconstructing, repairing, or improving an air23 port, or purchasing capital equipment for an airport, if paid for

24 by a grant under this subchapter and necessary for compliance with

25 the responsibilities of the operator or owner of the airport under the

26 Americans with Disabilities Act of 1990 (42 U.S.C. 12101 et seq.),

27 the Clean Air Act (42 U.S.C. 7401 et seq.), and the Federal Water

28 Pollution Control Act (33 U.S.C. 1251 et seq.), except constructing

29 or purchasing capital equipment that would benefit primarily a

30 revenue-producing area of the airport used by a nonaeronautical

31 business.

32 (G) acquiring land for, or work necessary to construct, a pad

33 suitable for deicing aircraft before takeoff at a commercial service

34 airport, including constructing or reconstructing paved areas,

35 drainage collection structures, treatment and discharge systems, ap36 propriate lighting, paved access for deicing vehicles and aircraft,

37 but not including acquiring aircraft deicing fluids or constructing

38 or reconstructing storage facilities for aircraft deicing equipment or

39 fluids.

40 (4) ‘‘airport hazard’’ means a structure or object of natural growth lo41 cated on or near a public-use airport, or a use of land near the airport,
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1 that obstructs or otherwise is hazardous to the landing or taking off of

2 aircraft at or from the airport.

3 (5) ‘‘airport planning’’ means planning as defined by regulations the

4 Secretary prescribes and includes integrated airport system planning.

5 (6) ‘‘amount made available under section 48103 of this title’’ means

6 the amount authorized for grants under section 48103 of this title as re7 duced by any law enacted after September 3, 1982.

8 (7) ‘‘commercial service airport’’ means a public airport in a State

9 that the Secretary determines has at least 2,500 passenger boardings each

10 year and is receiving scheduled passenger aircraft service.

11 (8) ‘‘integrated airport system planning’’ means developing for plan12 ning purposes information and guidance to decide the extent, kind, loca13 tion, and timing of airport development needed in a specific area to es14 tablish a viable, balanced, and integrated system of public-use airports,

15 including—

16 (A) identifying system needs;

17 (B) developing an estimate of systemwide development costs;

18 (C) conducting studies, surveys, and other planning actions, in19 cluding those related to airport access, needed to decide which aero20 nautical needs should be met by a system of airports; and

21 (D) standards prescribed by a State, except standards for safety

22 of approaches, for airport development at nonprimary public-use

23 airports.

24 (9) ‘‘landed weight’’ means the weight of aircraft transporting only

25 cargo in intrastate, interstate, and foreign air transportation, as the Sec26 retary determines under regulations the Secretary prescribes.

27 (10) ‘‘passenger boardings’’—

28 (A) means revenue passenger boardings on an aircraft in service

29 in air commerce as the Secretary determines under regulations the

30 Secretary prescribes; and

31 (B) includes passengers who continue on an aircraft in inter32 national flight that stops at an airport in the 48 contiguous States,

33 Alaska, or Hawaii for a nontraffic purpose.

34 (11) ‘‘primary airport’’ means a commercial service airport the Sec35 retary determines to have more than 10,000 passenger boardings each

36 year.

37 (12) ‘‘project’’ means a project, separate projects included in one

38 project grant application, or all projects to be undertaken at an airport

39 in a fiscal year, to achieve airport development or airport planning.

40 (13) ‘‘project cost’’ means a cost involved in carrying out a project.
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1 (14) ‘‘project grant’’ means a grant of money the Secretary makes to

2 a sponsor to carry out at least one project.

3 (15) ‘‘public agency’’ means—

4 (A) a State or political subdivision of a State;

5 (B) a tax-supported organization; or

6 (C) an Indian tribe or pueblo.

7 (16) ‘‘public airport’’ means an airport used or intended to be used

8 for public purposes—

9 (A) that is under the control of a public agency; and

10 (B) of which the area used or intended to be used for the landing,

11 taking off, or surface maneuvering of aircraft is publicly owned.

12 (17) ‘‘public-use airport’’ means—

13 (A) a public airport; or

14 (B) a privately-owned airport used or intended to be used for

15 public purposes that is—

16 (i) a reliever airport; or

17 (ii) determined by the Secretary to have at least 2,500 pas18 senger boardings each year and to receive scheduled passenger

19 aircraft service.

20 (18) ‘‘reliever airport’’ means an airport the Secretary designates to

21 relieve congestion at a commercial service airport and to provide more

22 general aviation access to the overall community.

23 (19) ‘‘sponsor’’ means—

24 (A) a public agency that submits to the Secretary under this sub25 chapter an application for financial assistance; and

26 (B) a private owner of a public-use airport that submits to the

27 Secretary under this subchapter an application for financial assist28 ance for the airport.

29 (20) ‘‘State’’ means a State of the United States, the District of Co30 lumbia, Puerto Rico, the Virgin Islands, American Samoa, the Northern

31 Mariana Islands, the Trust Territory of the Pacific Islands, and Guam.

32 § 47103. National plan of integrated airport systems

33 (a) GENERAL REQUIREMENTS AND CONSIDERATIONS.—The Secretary of

34 Transportation shall maintain the plan for developing public-use airports in

35 the United States, named ‘‘the national plan of integrated airport systems’’.

36 The plan shall include the kind and estimated cost of eligible airport develop37 ment the Secretary of Transportation considers necessary to provide a safe,

38 efficient, and integrated system of public-use airports adequate to anticipate

39 and meet the needs of civil aeronautics, to meet the national defense require40 ments of the Secretary of Defense, and to meet identified needs of the United

41 States Postal Service. Airport development included in the plan may not be
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1 limited to meeting the needs of any particular classes or categories of public2 use airports. In maintaining the plan, the Secretary of Transportation shall

3 consider the needs of each segment of civil aviation and the relationship of

4 each airport to—

5 (1) the rest of the transportation system in the particular area;

6 (2) forecasted technological developments in aeronautics; and

7 (3) forecasted developments in other modes of intercity transportation.

8 (b) SPECIFIC REQUIREMENTS.—In maintaining the plan, the Secretary of

9 Transportation shall—

10 (1) to the extent possible and as appropriate, consult with depart11 ments, agencies, and instrumentalities of the United States Government,

12 with public agencies, and with the aviation community;

13 (2) consider tall structures that reduce safety or airport capacity; and

14 (3) make every reasonable effort to address the needs of air cargo oper15 ations, Short Takeoff and Landing/Very Short Takeoff and Landing air16 craft operations, and rotary wing aircraft operations.

17 (c) AVAILABILITY OF DOMESTIC MILITARY AIRPORTS AND AIRPORT FACILI18 TIES.—To the extent possible, the Secretary of Defense shall make domestic

19 military airports and airport facilities available for civil use. In advising the

20 Secretary of Transportation under subsection (a) of this section, the Secretary

21 of Defense shall indicate the extent to which domestic military airports and

22 airport facilities are available for civil use.

23 (d) PUBLICATION.—The Secretary of Transportation shall publish the sta24 tus of the plan every 2 years.

25 § 47104. Project grant authority

26 (a) GENERAL AUTHORITY.—To maintain a safe and efficient nationwide

27 system of public-use airports that meets the present and future needs of civil

28 aeronautics, the Secretary of Transportation may make project grants under

29 this subchapter from the Airport and Airway Trust Fund.

30 (b) INCURRING OBLIGATIONS.—The Secretary may incur obligations to

31 make grants from amounts made available under section 48103 of this title

32 as soon as the amounts are apportioned under section 47114(c) and (d)(2)

33 of this title.

34 (c) EXPIRATION OF AUTHORITY.—After September 30, 1993, the Secretary

35 may not incur obligations under subsection (b) of this section, except for obli36 gations of amounts remaining available after that date under section

37 47117(b) of this title.

38 § 47105. Project grant applications

39 (a) SUBMISSION AND CONSULTATION.—(1) An application for a project

40 grant under this subchapter may be submitted to the Secretary of Transpor41 tation by—
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1 (A) a sponsor; or

2 (B) a State, as the only sponsor, for an airport development project

3 benefitting at least 2 airports in the State or for airport planning for

4 similar projects for at least 2 airports in the State if—

5 (i) the sponsor of each airport gives written consent that the State

6 be the applicant;

7 (ii) the Secretary is satisfied there is administrative merit and

8 aeronautical benefit in the State being the sponsor; and

9 (iii) an acceptable agreement exists that ensures that the State

10 will comply with appropriate grant conditions and other assurances

11 the Secretary requires.

12 (2) Before deciding to undertake an airport development project at an air13 port under this subchapter, a sponsor shall consult with the airport users that

14 will be affected by the project.

15 (3) This subsection does not authorize a public agency that is subject to

16 the laws of a State to apply for a project grant in violation of a law of the

17 State.

18 (b) CONTENTS AND FORM.—An application for a project grant under this

19 subchapter—

20 (1) shall describe the project proposed to be undertaken;

21 (2) may propose a project only for a public-use airport included in

22 the current national plan of integrated airport systems;

23 (3) may propose airport development only if the development complies

24 with standards the Secretary prescribes or approves, including standards

25 for site location, airport layout, site preparation, paving, lighting, and

26 safety of approaches; and

27 (4) shall be in the form and contain other information the Secretary

28 prescribes.

29 (c) STATE STANDARDS FOR AIRPORT DEVELOPMENT.—The Secretary may

30 approve standards (except standards for safety of approaches) that a State

31 prescribes for airport development at nonprimary public-use airports in the

32 State. On approval under this subsection, a State’s standards apply to the

33 nonprimary public-use airports in the State instead of the comparable stand34 ards prescribed by the Secretary under subsection (b)(3) of this section. The

35 Secretary, or the State with the approval of the Secretary, may revise stand36 ards approved under this subsection.

37 (d) CERTIFICATION OF COMPLIANCE.—The Secretary may require a spon38 sor to certify that the sponsor will comply with this subchapter in carrying

39 out the project. The Secretary may rescind the acceptance of a certification

40 at any time. This subsection does not affect an obligation or responsibility

41 of the Secretary under another law of the United States.
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1 (e) NOTIFICATION.—The sponsor of an airport for which an amount is ap2 portioned under section 47114(c) of this title shall notify the Secretary of the

3 fiscal year in which the sponsor intends to submit a project grant application

4 for the apportioned amount. The notification shall be given by the time and

5 contain the information the Secretary prescribes.

6 § 47106. Project grant application approval conditioned on

7 satisfaction of project requirements

8 (a) PROJECT GRANT APPLICATION APPROVAL.—The Secretary of Transpor9 tation may approve an application under this subchapter for a project grant

10 only if the Secretary is satisfied that—

11 (1) the project is consistent with plans (existing at the time the project

12 is approved) of public agencies authorized by the State in which the air13 port is located to plan for the development of the area surrounding the

14 airport;

15 (2) the project will contribute to carrying out this subchapter;

16 (3) enough money is available to pay the project costs that will not

17 be paid by the United States Government under this subchapter;

18 (4) the project will be completed without unreasonable delay; and

19 (5) the sponsor has authority to carry out the project as proposed.

20 (b) AIRPORT DEVELOPMENT PROJECT GRANT APPLICATION APPROVAL.—

21 The Secretary may approve an application under this subchapter for an air22 port development project grant for an airport only if the Secretary is satisfied

23 that—

24 (1) the sponsor, a public agency, or the Government holds good title

25 to the areas of the airport used or intended to be used for the landing,

26 taking off, or surface maneuvering of aircraft, or that good title will be

27 acquired;

28 (2) the interests of the community in or near which the project may

29 be located have been given fair consideration; and

30 (3) the application provides touchdown zone and centerline runway

31 lighting, high intensity runway lighting, or land necessary for installing

32 approach light systems that the Secretary, considering the category of the

33 airport and the kind and volume of traffic using it, decides is necessary

34 for safe and efficient use of the airport by aircraft.

35 (c) ENVIRONMENTAL REQUIREMENTS.—(1) The Secretary may approve an

36 application under this subchapter for an airport development project involv37 ing the location of an airport or runway or a major runway extension—

38 (A) only if the sponsor certifies to the Secretary that—

39 (i) an opportunity for a public hearing was given to consider the

40 economic, social, and environmental effects of the location and the
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1 location’s consistency with the objectives of any planning that the

2 community has carried out; and

3 (ii) the airport management board has voting representation from

4 the communities in which the project is located or has advised the

5 communities that they have the right to petition the Secretary about

6 a proposed project;

7 (B) only if the chief executive officer of the State in which the project

8 will be located certifies in writing to the Secretary that there is reason9 able assurance that the project will be located, designed, constructed, and

10 operated in compliance with applicable air and water quality standards,

11 except that the Administrator of the Environmental Protection Agency

12 shall make the certification instead of the chief executive officer if—

13 (i) the State has not approved any applicable State or local

14 standards; and

15 (ii) the Administrator has prescribed applicable standards; and

16 (C) if the application is found to have a significant adverse effect on

17 natural resources, including fish and wildlife, natural, scenic, and recre18 ation assets, water and air quality, or another factor affecting the envi19 ronment, only after finding that no possible and prudent alternative to

20 the project exists and that every reasonable step has been taken to mini21 mize the adverse effect.

22 (2) The Secretary may approve an application under this subchapter for

23 an airport development project that does not involve the location of an airport

24 or runway, or a major runway extension, at an existing airport without re25 quiring an environmental impact statement related to noise for the project

26 if—

27 (A) completing the project would allow operations at the airport in28 volving aircraft complying with the noise standards prescribed for ‘‘stage

29 2’’ aircraft in section 36.1 of title 14, Code of Federal Regulations, to

30 replace existing operations involving aircraft that do not comply with

31 those standards; and

32 (B) the project meets the other requirements under this subchapter.

33 (3) At the Secretary’s request, the sponsor shall give the Secretary a copy

34 of the transcript of any hearing held under paragraph (1)(A) of this sub35 section.

36 (4)(A) Notice of certification or of refusal to certify under paragraph (1)(B)

37 of this subsection shall be provided to the Secretary not later than 60 days

38 after the Secretary receives the application.

39 (B) The Secretary shall condition approval of the application on compli40 ance with the applicable standards during construction and operation.
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1 (5) The Secretary may make a finding under paragraph (1)(C) of this sub2 section only after completely reviewing the matter. The review and finding

3 must be a matter of public record.

4 (d) GENERAL AVIATION AIRPORT PROJECT GRANT APPLICATION AP5 PROVAL.—(1) In this subsection, ‘‘general aviation airport’’ means a public

6 airport that is not an air carrier airport.

7 (2) The Secretary may approve an application under this subchapter for

8 an airport development project included in a project grant application involv9 ing the construction or extension of a runway at a general aviation airport

10 located on both sides of a boundary line separating 2 counties within a State

11 only if, before the application is submitted to the Secretary, the project is ap12 proved by the governing body of each village incorporated under the laws of

13 the State and located entirely within 5 miles of the nearest boundary of the

14 airport.

15 (e) WITHHOLDING APPROVAL.—(1) The Secretary may withhold approval

16 of an application under this subchapter for amounts apportioned under sec17 tion 47114(c) and (e) of this title for violating an assurance or requirement

18 of this subchapter only if—

19 (A) the Secretary provides the sponsor an opportunity for a hearing;

20 and

21 (B) not later than 180 days after the later of the date of the applica22 tion or the date the Secretary discovers the noncompliance, the Secretary

23 finds that a violation has occurred.

24 (2) The 180-day period may be extended by—

25 (A) agreement between the Secretary and the sponsor; or

26 (B) the hearing officer if the officer decides an extension is necessary

27 because the sponsor did not follow the schedule the officer established.

28 (3) A person adversely affected by an order of the Secretary withholding

29 approval may obtain review of the order by filing a petition in the United

30 States Court of Appeals for the District of Columbia Circuit or in the court

31 of appeals of the United States for the circuit in which the project is located.

32 The action must be brought not later than 60 days after the order is served

33 on the petitioner.

34 § 47107. Project grant application approval conditioned on

35 assurances about airport operations

36 (a) GENERAL WRITTEN ASSURANCES.—The Secretary of Transportation

37 may approve a project grant application under this subchapter for an airport

38 development project only if the Secretary receives written assurances, satisfac39 tory to the Secretary, that—

40 (1) the airport will be available for public use on reasonable condi41 tions and without unjust discrimination;
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1 (2) air carriers making similar use of the airport will be subject to

2 substantially comparable charges—

3 (A) for facilities directly and substantially related to providing

4 air transportation; and

5 (B) regulations and conditions, except for differences based on

6 reasonable classifications, such as between—

7 (i) tenants and nontenants; and

8 (ii) signatory and nonsignatory carriers;

9 (3) the airport operator will not withhold unreasonably the classifica10 tion or status of tenant or signatory from an air carrier that assumes

11 obligations substantially similar to those already imposed on air carriers

12 of that classification or status;

13 (4) a person providing, or intending to provide, aeronautical services

14 to the public will not be given an exclusive right to use the airport, with

15 a right given to only one fixed-base operator to provide services at an

16 airport deemed not to be an exclusive right if—

17 (A) the right would be unreasonably costly, burdensome, or im18 practical for more than one fixed-base operator to provide the serv19 ices; and

20 (B) allowing more than one fixed-base operator to provide the

21 services would require reducing the space leased under an existing

22 agreement between the one fixed-base operator and the airport owner

23 or operator;

24 (5) fixed-base operators similarly using the airport will be subject to

25 the same charges;

26 (6) an air carrier using the airport may service itself or use any

27 fixed-base operator allowed by the airport operator to service any carrier

28 at the airport;

29 (7) the airport and facilities on or connected with the airport will be

30 operated and maintained suitably, with consideration given to climatic

31 and flood conditions;

32 (8) a proposal to close the airport temporarily for a nonaeronautical

33 purpose must first be approved by the Secretary;

34 (9) appropriate action will be taken to ensure that terminal airspace

35 required to protect instrument and visual operations to the airport (in36 cluding operations at established minimum flight altitudes) will be

37 cleared and protected by mitigating existing, and preventing future, air38 port hazards;

39 (10) appropriate action, including the adoption of zoning laws, has

40 been or will be taken to the extent reasonable to restrict the use of land
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1 next to or near the airport to uses that are compatible with normal air2 port operations;

3 (11) each of the airport’s facilities developed with financial assistance

4 from the United States Government and each of the airport’s facilities

5 usable for the landing and taking off of aircraft always will be available

6 without charge for use by Government aircraft in common with other

7 aircraft, except that if the use is substantial, the Government may be

8 charged a reasonable share, proportionate to the use, of the cost of operat9 ing and maintaining the facility used;

10 (12) the airport owner or operator will provide, without charge to the

11 Government, property interests of the sponsor in land or water areas or

12 buildings that the Secretary decides are desirable for, and that will be

13 used for, constructing at Government expense, facilities for carrying out

14 activities related to air traffic control or navigation;

15 (13) the airport owner or operator will maintain a schedule of charges

16 for use of facilities and services at the airport—

17 (A) that will make the airport as self-sustaining as possible under

18 the circumstances existing at the airport, including volume of traffic

19 and economy of collection; and

20 (B) without including in the rate base used for the charges the

21 Government’s share of costs for any project for which a grant is

22 made under this subchapter or was made under the Federal Airport

23 Act or the Airport and Airway Development Act of 1970;

24 (14) the project accounts and records will be kept using a standard

25 system of accounting that the Secretary, after consulting with appro26 priate public agencies, prescribes;

27 (15) the airport owner or operator will submit any annual or special

28 airport financial and operations reports to the Secretary that the Sec29 retary reasonably requests;

30 (16) the airport owner or operator will maintain a current layout

31 plan of the airport that meets the following requirements:

32 (A) the plan will be in a form the Secretary prescribes;

33 (B) the Secretary will approve the plan and any revision or

34 modification before the plan, revision, or modification takes effect;

35 (C) the owner or operator will not make or allow any alteration

36 in the airport or any of its facilities if the alteration does not com37 ply with the plan the Secretary approves, and the Secretary is of

38 the opinion that the alteration may affect adversely the safety, util39 ity, or efficiency of the airport; and

40 (D) when an alteration in the airport or its facility is made that

41 does not conform to the approved plan and that the Secretary de-
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1 cides adversely affects the safety, utility, or efficiency of any prop2 erty on or off the airport that is owned, leased, or financed by the

3 Government, the owner or operator, if requested by the Secretary,

4 will—

5 (i) eliminate the adverse effect in a way the Secretary ap6 proves; or

7 (ii) bear all cost of relocating the property or its replacement

8 to a site acceptable to the Secretary and of restoring the prop9 erty or its replacement to the level of safety, utility, efficiency,

10 and cost of operation that existed before the alteration was

11 made;

12 (17) each contract and subcontract for program management, con13 struction management, planning studies, feasibility studies, architectural

14 services, preliminary engineering, design, engineering, surveying, map15 ping, and related services will be awarded in the same way that a con16 tract for architectural and engineering services is negotiated under title

17 IX of the Federal Property and Administrative Services Act of 1949 (40

18 U.S.C. 541 et seq.) or an equivalent qualifications-based requirement

19 prescribed for or by the sponsor; and

20 (18) the airport and each airport record will be available for inspec21 tion by the Secretary on reasonable request, and a report of the airport

22 budget will be available to the public at reasonable times and places.

23 (b) WRITTEN ASSURANCES ON USE OF REVENUE.—(1) The Secretary of

24 Transportation may approve a project grant application under this sub25 chapter for an airport development project only if the Secretary receives writ26 ten assurances, satisfactory to the Secretary, that local taxes on aviation fuel

27 (except taxes in effect on December 30, 1987) and the revenues generated by

28 a public airport will be expended for the capital or operating costs of—

29 (A) the airport;

30 (B) the local airport system; or

31 (C) other local facilities owned or operated by the airport owner or

32 operator and directly and substantially related to the air transportation

33 of passengers or property.

34 (2) Paragraph (1) of this subsection does not apply if a provision enacted

35 not later than September 2, 1982, in a law controlling financing by the air36 port owner or operator, or a covenant or assurance in a debt obligation issued

37 not later than September 2, 1982, by the owner or operator, provides that the

38 revenues, including local taxes on aviation fuel at public airports, from any

39 of the facilities of the owner or operator, including the airport, be used to sup40 port not only the airport but also the general debt obligations or other facili41 ties of the owner or operator.
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1 (3) This subsection does not prevent the use of a State tax on aviation fuel

2 to support a State aviation program or the use of airport revenue on or off

3 the airport for a noise mitigation purpose.

4 (c) WRITTEN ASSURANCES ON ACQUIRING LAND.—(1) In this subsection,

5 land is needed for an airport purpose (except a noise compatibility purpose)

6 if—

7 (A)(i) the land may be needed for an aeronautical purpose (including

8 runway protection zone) or serves as noise buffer land; and

9 (ii) revenue from interim uses of the land contributes to the financial

10 self-sufficiency of the airport; and

11 (B) for land purchased with a grant the owner or operator received

12 not later than December 30, 1987, the Secretary of Transportation or the

13 department, agency, or instrumentality of the Government that made the

14 grant was notified by the owner or operator of the use of the land and

15 did not object to the use and the land is still being used for that purpose.

16 (2) The Secretary of Transportation may approve an application under

17 this subchapter for an airport development project grant only if the Secretary

18 receives written assurances, satisfactory to the Secretary, that if an airport

19 owner or operator has received or will receive a grant for acquiring land

20 and—

21 (A) if the land was or will be acquired for a noise compatibility pur22 pose—

23 (i) the owner or operator will dispose of the land at fair market

24 value at the earliest practicable time after the land no longer is

25 needed for a noise compatibility purpose;

26 (ii) the disposition will be subject to retaining or reserving an in27 terest in the land necessary to ensure that the land will be used in

28 a way that is compatible with noise levels associated with operating

29 the airport; and

30 (iii) the part of the proceeds from disposing of the land that is

31 proportional to the Government’s share of the cost of acquiring the

32 land will be paid to the Secretary for deposit in the Airport and

33 Airway Trust Fund established under section 9502 of the Internal

34 Revenue Code of 1986 (26 U.S.C. 9502) or, as the Secretary pre35 scribes, reinvested in an approved noise compatibility project; or

36 (B) if the land was or will be acquired for an airport purpose (except

37 a noise compatibility purpose)—

38 (i) the owner or operator, when the land no longer is needed for

39 an airport purpose, will dispose of the land at fair market value

40 or make available to the Secretary an amount equal to the Govern41 ment’s proportional share of the fair market value;
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1 (ii) the disposition will be subject to retaining or reserving an in2 terest in the land necessary to ensure that the land will be used in

3 a way that is compatible with noise levels associated with operating

4 the airport; and

5 (iii) the part of the proceeds from disposing of the land that is

6 proportional to the Government’s share of the cost of acquiring the

7 land will be reinvested, on application to the Secretary, in another

8 eligible airport development project the Secretary approves under

9 this subchapter or paid to the Secretary for deposit in the Fund if

10 another eligible project does not exist.

11 (3) Proceeds referred to in paragraph (2)(A)(iii) and (B)(iii) of this sub12 section and deposited in the Airport and Airway Trust Fund are available

13 as provided in subsection (f) of this section.

14 (d) ASSURANCES OF CONTINUATION AS PUBLIC-USE AIRPORT.—The Sec15 retary of Transportation may approve an application under this subchapter

16 for an airport development project grant for a privately owned public-use air17 port only if the Secretary receives appropriate assurances that the airport

18 will continue to function as a public-use airport during the economic life

19 (that must be at least 10 years) of any facility at the airport that was devel20 oped with Government financial assistance under this subchapter.

21 (e) WRITTEN ASSURANCES OF OPPORTUNITIES FOR SMALL BUSINESS CON22 CERNS.—(1) The Secretary of Transportation may approve a project grant

23 application under this subchapter for an airport development project only if

24 the Secretary receives written assurances, satisfactory to the Secretary, that

25 the airport owner or operator will take necessary action to ensure, to the max26 imum extent practicable, that at least 10 percent of all businesses at the air27 port selling consumer products or providing consumer services to the public

28 are small business concerns (as defined by regulations of the Secretary) owned

29 and controlled by a socially and economically disadvantaged individual (as

30 defined in section 47113(a) of this title).

31 (2) An airport owner or operator may meet the percentage goal of para32 graph (1) of this subsection by including any business operated through a

33 management contract or subcontract. The dollar amount of a management

34 contract or subcontract with a disadvantaged business enterprise shall be

35 added to the total participation by disadvantaged business enterprises in air36 port concessions and to the base from which the airport’s percentage goal is

37 calculated. The dollar amount of a management contract or subcontract with

38 a non-disadvantaged business enterprise and the gross revenue of business ac39 tivities to which the management contract or subcontract pertains may not

40 be added to this base.
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1 (3) Except as provided in paragraph (4) of this subsection, an airport

2 owner or operator may meet the percentage goal of paragraph (1) of this sub3 section by including the purchase from disadvantaged business enterprises of

4 goods and services used in businesses conducted at the airport, but the owner

5 or operator and the businesses conducted at the airport shall make good faith

6 efforts to explore all available options to achieve, to the maximum extent prac7 ticable, compliance with the goal through direct ownership arrangements, in8 cluding joint ventures and franchises.

9 (4)(A) In complying with paragraph (1) of this subsection, an airport

10 owner or operator shall include the revenues of car rental firms at the airport

11 in the base from which the percentage goal in paragraph (1) is calculated.

12 (B) An airport owner or operator may require a car rental firm to meet

13 a requirement under paragraph (1) of this subsection by purchasing or leas14 ing goods or services from a disadvantaged business enterprise. If an owner

15 or operator requires such a purchase or lease, a car rental firm shall be per16 mitted to meet the requirement by including purchases or leases of vehicles

17 from any vendor that qualifies as a small business concern owned and con18 trolled by a socially and economically disadvantaged individual.

19 (C) This subsection does not require a car rental firm to change its cor20 porate structure to provide for direct ownership arrangements to meet the re21 quirements of this subsection.

22 (5) This subsection does not preempt—

23 (A) a State or local law, regulation, or policy enacted by the governing

24 body of an airport owner or operator; or

25 (B) the authority of a State or local government or airport owner or

26 operator to adopt or enforce a law, regulation, or policy related to dis27 advantaged business enterprises.

28 (6) An airport owner or operator may provide opportunities for a small

29 business concern owned and controlled by a socially and economically dis30 advantaged individual to participate through direct contractual agreement

31 with that concern.

32 (7) An air carrier that provides passenger or property-carrying services or

33 another business that conducts aeronautical activities at an airport may not

34 be included in the percentage goal of paragraph (1) of this subsection for par35 ticipation of small business concerns at the airport.

36 (8) Not later than April 29, 1993, the Secretary of Transportation shall

37 prescribe regulations to carry out this subsection.

38 (f) AVAILABILITY OF AMOUNTS.—An amount deposited in the Airport and

39 Airway Trust Fund under—
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1 (1) subsection (c)(2)(A)(iii) of this section is available to the Secretary

2 of Transportation to make a grant for airport development or airport

3 planning under section 47104 of this title;

4 (2) subsection (c)(2)(B)(iii) of this section is available to the Sec5 retary—

6 (A) to make a grant for a purpose described in section 47115(b)

7 of this title; and

8 (B) for use under section 47114(d)(2) of this title at another air9 port in the State in which the land was disposed of under subsection

10 (c)(2)(B)(ii) of this section; and

11 (3) subsection (c)(2)(B)(iii) of this section is in addition to an amount

12 made available to the Secretary under section 48103 of this title and not

13 subject to apportionment under section 47114 of this title.

14 (g) ENSURING COMPLIANCE.—(1) To ensure compliance with this section,

15 the Secretary of Transportation—

16 (A) shall prescribe requirements for sponsors that the Secretary consid17 ers necessary; and

18 (B) may make a contract with a public agency.

19 (2) The Secretary of Transportation may approve an application for a

20 project grant only if the Secretary is satisfied that the requirements prescribed

21 under paragraph (1)(A) of this subsection have been or will be met.

22 (h) MODIFYING ASSURANCES AND REQUIRING COMPLIANCE WITH ADDI23 TIONAL ASSURANCES.—Before modifying an assurance required of a person

24 receiving a grant under this subchapter and in effect after December 29, 1987,

25 or to require compliance with an additional assurance from the person, the

26 Secretary of Transportation must—

27 (1) publish notice of the proposed modification in the Federal Register;

28 and

29 (2) provide an opportunity for comment on the proposal.

30 (i) RELIEF FROM OBLIGATION TO PROVIDE FREE SPACE.—When a spon31 sor provides a property interest in a land or water area or a building that

32 the Secretary of Transportation uses to construct a facility at Government ex33 pense, the Secretary may relieve the sponsor from an obligation in a contract

34 made under this chapter, the Airport and Airway Development Act of 1970,

35 or the Federal Airport Act to provide free space to the Government in an air36 port building, to the extent the Secretary finds that the free space no longer

37 is needed to carry out activities related to air traffic control or navigation.

38 (j) USE OF REVENUE IN HAWAII.—(1) In this subsection—

39 (A) ‘‘duty-free merchandise’’ and ‘‘duty-free sales enterprise’’ have the

40 same meanings given those terms in section 555(b)(8) of the Tariff Act

41 of 1930 (19 U.S.C. 1555(b)(8)).
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1 (B) ‘‘highway’’ and ‘‘Federal-aid system’’ have the same meanings

2 given those terms in section 101(a) of title 23.

3 (2) Notwithstanding subsection (b)(1) of this section, Hawaii may use, for

4 a project for construction or reconstruction of a highway on a Federal-aid

5 system that is not more than 10 miles by road from an airport and that will

6 facilitate access to the airport, revenue from the sales at off-airport locations

7 in Hawaii of duty-free merchandise under a contract between Hawaii and

8 a duty-free sales enterprise. However, the revenue resulting during a Hawai9 ian fiscal year may be used only if the amount of the revenue, plus amounts

10 Hawaii receives in the fiscal year from all other sources for costs Hawaii in11 curs for operating all airports it operates and for debt service related to cap12 ital projects for the airports (including interest and amortization of principal

13 costs), is more than 150 percent of the projected costs for the fiscal year.

14 (3)(A) Revenue from sales referred to in paragraph (2) of this subsection

15 in a Hawaiian fiscal year that Hawaii may use may not be more than the

16 amount that is greater than 150 percent as determined under paragraph (2).

17 (B) The maximum amount of revenue Hawaii may use under paragraph

18 (2) of this subsection is $250,000,000.

19 (4) If a fee imposed or collected for rent, landing, or service from an air20 craft operator by an airport operated by Hawaii is increased during the pe21 riod from May 4, 1990, through December 31, 1994, by more than the per22 centage change in the Consumer Price Index of All Urban Consumers for

23 Honolulu, Hawaii, that the Secretary of Labor publishes during that period

24 and if revenue derived from the fee increases because the fee increased, the

25 amount under paragraph (3)(B) of this subsection shall be reduced by the

26 amount of the projected revenue increase in the period less the part of the in27 crease attributable to changes in the Index in the period.

28 (5) Hawaii shall determine costs, revenue, and projected revenue increases

29 referred to in this subsection and shall submit the determinations to the Sec30 retary of Transportation. A determination is approved unless the Secretary

31 disapproves it not later than 30 days after it is submitted.

32 (6) Hawaii is not eligible for a grant under section 47115 of this title in

33 a fiscal year in which Hawaii uses under paragraph (2) of this subsection

34 revenue from sales referred to in paragraph (2). Hawaii shall repay amounts

35 it receives in a fiscal year under a grant it is not eligible to receive because

36 of this paragraph to the Secretary of Transportation for deposit in the discre37 tionary fund established under section 47115.

38 (7)(A) This subsection applies only to revenue from sales referred to in

39 paragraph (2) of this subsection from May 5, 1990, through December 30,

40 1994, and to amounts in the Airport Revenue Fund of Hawaii that are at-
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1 tributable to revenue before May 4, 1990, on sales referred to in paragraph

2 (2).

3 (B) Revenue from sales referred to in paragraph (2) of this subsection from

4 May 5, 1990, through December 30, 1994, may be used under paragraph (2)

5 in any Hawaiian fiscal year, including a Hawaiian fiscal year beginning

6 after December 31, 1994.

7 § 47108. Project grant agreements

8 (a) OFFER AND ACCEPTANCE.—On approving a project grant application

9 under this subchapter, the Secretary of Transportation shall offer the sponsor

10 a grant to pay the United States Government’s share of the project costs al11 lowable under section 47110 of this title. The Secretary may impose terms

12 on the offer that the Secretary considers necessary to carry out this subchapter

13 and regulations prescribed under this subchapter. An offer shall state the obli14 gations to be assumed by the sponsor and the maximum amount the Govern15 ment will pay for the project from the amounts authorized under chapter 481

16 of this title (except sections 48102(e), 48106, 48107, and 48110). At the re17 quest of the sponsor, an offer of a grant for a project that will not be com18 pleted in one fiscal year shall provide for the obligation of amounts appor19 tioned or to be apportioned to a sponsor under section 47114(c) of this title

20 for the fiscal years necessary to pay the Government’s share of the cost of the

21 project. An offer that is accepted in writing by the sponsor is an agreement

22 binding on the Government and the sponsor. The Government may pay or

23 be obligated to pay a project cost only after a grant agreement for the project

24 is signed.

25 (b) INCREASING GOVERNMENT’S SHARE UNDER THIS SUBCHAPTER OR

26 CHAPTER 475.—(1) When an offer has been accepted in writing, the amount

27 stated in the offer as the maximum amount the Government will pay may

28 be increased only as provided in paragraphs (2) and (3) of this subsection.

29 (2)(A) For a project receiving assistance under a grant approved under the

30 Airport and Airway Improvement Act of 1982 before October 1, 1987, the

31 amount may be increased by not more than—

32 (i) 10 percent for an airport development project, except a project for

33 acquiring an interest in land; and

34 (ii) 50 percent of the total increase in allowable project costs attrib35 utable to acquiring an interest in land, based on current creditable ap36 praisals.

37 (B) An increase under subparagraph (A) of this paragraph may be paid

38 only from amounts the Government recovers from other grants made under

39 this subchapter.
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1 (3) For a project receiving assistance under a grant approved under the

2 Act, this subchapter, or chapter 475 of this title after September 30, 1987,

3 the amount may be increased—

4 (A) for an airport development project, by not more than 15 percent;

5 and

6 (B) for a grant after September 30, 1992, to acquire an interest in

7 land for an airport (except a primary airport), by not more than the

8 greater of the following, based on current creditable appraisals or a court

9 award in a condemnation proceeding:

10 (i) 15 percent; or

11 (ii) 25 percent of the total increase in allowable project costs at12 tributable to acquiring an interest in land.

13 (c) INCREASING GOVERNMENT’S SHARE UNDER AIRPORT AND AIRWAY DE14 VELOPMENT ACT OF 1970.—For a project receiving assistance under a grant

15 made under the Airport and Airway Development Act of 1970, the maximum

16 amount the Government will pay may be increased by not more than 10 per17 cent. An increase under this subsection may be paid only from amounts the

18 Government recovers from other grants made under the Act.

19 (d) CHANGING WORKSCOPE.—With the consent of the sponsor, the Secretary

20 may amend a grant agreement made under this subchapter to change the

21 workscope of a project financed under the grant if the amendment does not

22 result in an increase in the maximum amount the Government may pay

23 under subsection (b) of this section.

24 § 47109. United States Government’s share of project costs

25 (a) GENERAL.—Except as provided in subsections (b) and (c) of this sec26 tion, the United States Government’s share of allowable project costs is—

27 (1) 75 percent for a project at a primary airport having at least .25

28 percent of the total number of passenger boardings each year at all com29 mercial service airports; and

30 (2) 90 percent for a project at any other airport.

31 (b) INCREASED GOVERNMENT SHARE.—If, under subsection (a) of this sec32 tion, the Government’s share of allowable costs of a project in a State contain33 ing unappropriated and unreserved public lands and nontaxable Indian

34 lands (individual and tribal) of more than 5 percent of the total area of all

35 lands in the State, is less than the share applied on June 30, 1975, under

36 section 17(b) of the Airport and Airway Development Act of 1970, the Govern37 ment’s share under subsection (a) of this section shall be increased by the less38 er of—

39 (1) 25 percent;
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1 (2) one-half of the percentage that the area of unappropriated and un2 reserved public lands and nontaxable Indian lands in the State is of the

3 total area of the State; or

4 (3) the percentage necessary to increase the Government’s share to the

5 percentage that applied on June 30, 1975, under section 17(b) of the Act.

6 (c) LIMITATION.—Notwithstanding subsections (a) and (b) of this section,

7 the Government’s share of project costs allowable under section 47110(d) of

8 this title may not be more than 75 percent, except that the Government’s

9 share shall be 85 percent for a project at a commercial service airport that

10 does not have more than .05 percent of the total annual passenger boardings

11 in the United States..

12 § 47110. Allowable project costs

13 (a) GENERAL AUTHORITY.—Except as provided in section 47111 of this

14 title, the United States Government may pay or be obligated to pay, from

15 amounts appropriated to carry out this subchapter, a cost incurred in carry16 ing out a project under this subchapter only if the Secretary of Transpor17 tation decides the cost is allowable.

18 (b) ALLOWABLE COST STANDARDS.—A project cost is allowable—

19 (1) if the cost necessarily is incurred in carrying out the project in

20 compliance with the grant agreement made for the project under this

21 subchapter, including any cost a sponsor incurs related to an audit the

22 Secretary requires under section 47121(b) or (d) of this title;

23 (2) if the cost is incurred—

24 (A) after the grant agreement is executed and is for airport devel25 opment or airport planning carried out after the grant agreement

26 is executed; or

27 (B) after June 1, 1989, by the airport operator (regardless of

28 when the grant agreement is executed) as part of a Government-ap29 proved noise compatibility program (including project formulation

30 costs) and is consistent with all applicable statutory and adminis31 trative requirements;

32 (3) to the extent the cost is reasonable in amount;

33 (4) if the cost is not incurred in a project for airport development or

34 airport planning for which other Government assistance has been grant35 ed; and

36 (5) if the total costs allowed for the project are not more than the

37 amount stated in the grant agreement as the maximum the Government

38 will pay (except as provided in section 47108(b) of this title).

39 (c) CERTAIN PRIOR COSTS AS ALLOWABLE COSTS.—The Secretary may de40 cide that a project cost under subsection (b)(2)(A) of this section incurred
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1 after May 13, 1946, and before the date the grant agreement is executed is

2 allowable if it is—

3 (1) necessarily incurred in formulating an airport development

4 project, including costs incurred for field surveys, plans and specifica5 tions, property interests in land or airspace, and administration or other

6 incidental items that would not have been incurred except for the project;

7 or

8 (2) necessarily and directly incurred in developing the work scope of

9 an airport planning project.

10 (d) TERMINAL DEVELOPMENT COSTS.—(1) The Secretary may decide that

11 the cost of terminal development (including multi-modal terminal develop12 ment) in a nonrevenue-producing public-use area of a commercial service air13 port is allowable for an airport development project at the airport—

14 (A) if the sponsor certifies that the airport, on the date the grant ap15 plication is submitted to the Secretary, has—

16 (i) all the safety equipment required for certification of the air17 port under section 44706 of this title;

18 (ii) all the security equipment required by regulation; and

19 (iii) provided for access, to the area of the airport for passengers

20 for boarding or exiting aircraft, to those passengers boarding or

21 exiting aircraft, except air carrier aircraft;

22 (B) if the cost is directly related to moving passengers and baggage

23 in air commerce within the airport, including vehicles for moving pas24 sengers between terminal facilities and between terminal facilities and

25 aircraft; and

26 (C) under terms necessary to protect the interests of the Government.

27 (2) In making a decision under paragraph (1) of this subsection, the Sec28 retary may approve as allowable costs the expenses of terminal development

29 in a revenue-producing area and construction, reconstruction, repair, and im30 provement in a nonrevenue-producing parking lot if—

31 (A) the airport does not have more than .05 percent of the total an32 nual passenger boardings in the United States; and

33 (B) the sponsor certifies that any needed airport development project

34 affecting safety, security, or capacity will not be deferred because of the

35 Secretary’s approval.

36 (e) LETTERS OF INTENT.—(1) The Secretary may issue a letter of intent

37 to the sponsor stating an intention to obligate from future budget authority

38 an amount, not more than the Government’s share of allowable project costs,

39 for an airport development project (including costs of formulating the project)

40 at a primary or reliever airport. The letter shall establish a schedule under

41 which the Secretary will reimburse the sponsor for the Government’s share of
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1 allowable project costs, as amounts become available, if the sponsor, after the

2 Secretary issues the letter, carries out the project without receiving amounts

3 under this subchapter.

4 (2) Paragraph (1) of this subsection applies to a project—

5 (A) about which the sponsor notifies the Secretary, before the project

6 begins, of the sponsor’s intent to carry out the project;

7 (B) that will comply with all statutory and administrative require8 ments that would apply to the project if it were carried out with

9 amounts made available under this subchapter; and

10 (C) the Secretary decides will enhance system-wide airport capacity

11 significantly and meets the criteria of section 47115(d) of this title.

12 (3) A letter of intent issued under paragraph (1) of this subsection is not

13 an obligation of the Government under section 1501 of title 31, and the letter

14 is not deemed to be an administrative commitment for financing. An obliga15 tion or administrative commitment may be made only as amounts are pro16 vided in authorization and appropriation laws.

17 (4) The total estimated amount of future Government obligations covered

18 by all outstanding letters of intent under paragraph (1) of this subsection

19 may not be more than the amount authorized to carry out section 48103 of

20 this title, less an amount reasonably estimated by the Secretary to be needed

21 for grants under section 48103 that are not covered by a letter.

22 (5) A letter of intent issued under paragraph (1) of this subsection may

23 not condition the obligation of amounts on the imposition of a passenger fa24 cility fee.

25 (f) NONALLOWABLE COSTS.—Except as provided in subsection (d) of this

26 section and section 47118(f) of this title, a cost is not an allowable airport

27 development project cost if it is for—

28 (1) constructing a public parking facility for passenger automobiles;

29 (2) constructing, altering, or repairing part of an airport building, ex30 cept to the extent the building will be used for facilities or activities di31 rectly related to the safety of individuals at the airport;

32 (3) decorative landscaping; or

33 (4) providing or installing sculpture or art works.

34 § 47111. Payments under project grant agreements

35 (a) GENERAL AUTHORITY.—After making a project grant agreement under

36 this subchapter and consulting with the sponsor, the Secretary of Transpor37 tation may decide when and in what amounts payments under the agreement

38 will be made. Payments totaling not more than 90 percent of the United

39 States Government’s share of the project’s estimated allowable costs may be

40 made before the project is completed if the sponsor certifies to the Secretary

41 that the total amount expended from the advance payments at any time will
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1 not be more than the cost of the airport development work completed on the

2 project at that time.

3 (b) RECOVERING PAYMENTS.—If the Secretary determines that the total

4 amount of payments made under a grant agreement under this subchapter

5 is more than the Government’s share of the total allowable project costs, the

6 Government may recover the excess amount. If the Secretary finds that a

7 project for which an advance payment was made has not been completed

8 within a reasonable time, the Government may recover any part of the ad9 vance payment for which the Government received no benefit.

10 (c) PAYMENT DEPOSITS.—A payment under a project grant agreement

11 under this subchapter may be made only to an official or depository des12 ignated by the sponsor and authorized by law to receive public money.

13 (d) WITHHOLDING PAYMENTS.—(1) The Secretary may withhold a pay14 ment under a grant agreement under this subchapter for more than 180 days

15 after the payment is due only if the Secretary—

16 (A) notifies the sponsor and provides an opportunity for a hearing;

17 and

18 (B) finds that the sponsor has violated the agreement.

19 (2) The 180-day period may be extended by—

20 (A) agreement of the Secretary and the sponsor; or

21 (B) the hearing officer if the officer decides an extension is necessary

22 because the sponsor did not follow the schedule the officer established.

23 (3) A person adversely affected by an order of the Secretary withholding

24 a payment may apply for review of the order by filing a petition in the Unit25 ed States Court of Appeals for the District of Columbia Circuit or in the court

26 of appeals of the United States for the circuit in which the project is located.

27 The petition must be filed not later than 60 days after the order is served

28 on the petitioner.

29 § 47112. Carrying out airport development projects

30 (a) CONSTRUCTION WORK.—The Secretary of Transportation may inspect

31 and approve construction work for an airport development project carried out

32 under a grant agreement under this subchapter. The construction work must

33 be carried out in compliance with regulations the Secretary prescribes. The

34 regulations shall require the sponsor to make necessary cost and progress re35 ports on the project. The regulations may amend or modify a contract related

36 to the project only if the contract was made with actual notice of the regula37 tions.

38 (b) PREVAILING WAGES.—A contract for more than $2,000 involving labor

39 for an airport development project carried out under a grant agreement under

40 this subchapter must require contractors to pay labor minimum wage rates

41 as determined by the Secretary of Labor under the Act of March 3, 1931
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1 (known as the Davis-Bacon Act) (40 U.S.C. 276a—276a–5). The minimum

2 rates must be included in the bids for the work and in the invitation for those

3 bids.

4 (c) VETERANS’ PREFERENCE.—(1) In this subsection—

5 (A) ‘‘disabled veteran’’ has the same meaning given that term in sec6 tion 2108 of title 5.

7 (B) ‘‘Vietnam-era veteran’’ means an individual who served on active

8 duty (as defined in section 101 of title 38) in the armed forces for more

9 than 180 consecutive days, any part of which occurred after August 4,

10 1964, and before May 8, 1975, and who was separated from the armed

11 forces under honorable conditions.

12 (2) A contract involving labor for carrying out an airport development

13 project under a grant agreement under this subchapter must require that pref14 erence in the employment of labor (except in executive, administrative, and

15 supervisory positions) be given to Vietnam-era veterans and disabled veterans

16 when they are available and qualified for the employment.

17 § 47113. Minority and disadvantaged business participation

18 (a) DEFINITIONS.—In this section—

19 (1) ‘‘small business concern’’—

20 (A) has the same meaning given that term in section 3 of the

21 Small Business Act (15 U.S.C. 632); but

22 (B) does not include a concern, or group of concerns controlled

23 by the same socially and economically disadvantaged individual,

24 that has average annual gross receipts over the prior 3 fiscal years

25 of more than $16,015,000, as adjusted by the Secretary of Transpor26 tation for inflation.

27 (2) ‘‘socially and economically disadvantaged individual’’ has the

28 same meaning given that term in section 8(c) of the Act (15 U.S.C.

29 637(c)) and relevant subcontracting regulations prescribed under section

30 8(c), except that women are presumed to be socially and economically

31 disadvantaged.

32 (b) GENERAL REQUIREMENT.—Except to the extent the Secretary decides

33 otherwise, at least 10 percent of amounts available in a fiscal year under sec34 tion 48103 of this title shall be expended with small business concerns owned

35 and controlled by socially and economically disadvantaged individuals.

36 (c) UNIFORM CRITERIA.—The Secretary shall establish minimum uniform

37 criteria for State governments and airport sponsors to use in certifying

38 whether a small business concern qualifies under this section. The criteria

39 shall include on-site visits, personal interviews, licenses, analyses of stock

40 ownership and bonding capacity, listings of equipment and work completed,

41 resumes of principal owners, financial capacity, and type of work preferred.
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1 (d) SURVEYS AND LISTS.—Each State or airport sponsor annually shall

2 survey and compile a list of small business concerns referred to in subsection

3 (b) of this section and the location of each concern in the State.

4 § 47114. Apportionments

5 (a) DEFINITION.—In this section, ‘‘amount subject to apportionment’’

6 means the amount newly made available under section 48103 of this title for

7 a fiscal year.

8 (b) APPORTIONMENT DATE.—On the first day of each fiscal year, the Sec9 retary of Transportation shall apportion the amount subject to apportionment

10 for that fiscal year as provided in this section.

11 (c) AMOUNTS APPORTIONED TO SPONSORS.—(1)(A) The Secretary shall ap12 portion to the sponsor of each primary airport for each fiscal year an amount

13 equal to—

14 (i) $7.80 for each of the first 50,000 passenger boardings at the airport

15 during the prior calendar year;

16 (ii) $5.20 for each of the next 50,000 passenger boardings at the air17 port during the prior calendar year;

18 (iii) $2.60 for each of the next 400,000 passenger boardings at the air19 port during the prior calendar year; and

20 (iv) $.65 for each additional passenger boarding at the airport during

21 the prior calendar year.

22 (B) Not less than $400,000 nor more than $22,000,000 may be apportioned

23 under subparagraph (A) of this paragraph to an airport sponsor for a pri24 mary airport for each fiscal year.

25 (2)(A) The Secretary shall apportion to the sponsors of airports served by

26 aircraft providing air transportation of only cargo with a total annual land27 ed weight of more than 100,000,000 pounds for each fiscal year an amount

28 equal to 3.5 percent of the amount subject to apportionment each year, allo29 cated among those airports in the proportion that the total annual landed

30 weight of those aircraft landing at each of those airports bears to the total

31 annual landed weight of those aircraft landing at all those airports. However,

32 not more than 8 percent of the amount apportioned under this paragraph

33 may be apportioned for any one airport.

34 (B) Landed weight under subparagraph (A) of this paragraph is the landed

35 weight of aircraft landing at each of those airports and all those airports dur36 ing the prior calendar year.

37 (3) The total of all amounts apportioned under paragraphs (1) and (2) of

38 this subsection may not be more than 44 percent of the amount subject to ap39 portionment for a fiscal year. If this paragraph requires reduction of an

40 amount that otherwise would be apportioned under this subsection, the Sec41 retary shall reduce proportionately the amount apportioned to each sponsor
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1 of an airport under paragraphs (1) and (2) until the 44 percent limit is

2 achieved.

3 (d) AMOUNTS APPORTIONED TO STATES.—(1) In this subsection—

4 (A) ‘‘area’’ includes land and water.

5 (B) ‘‘population’’ means the population stated in the latest decennial

6 census of the United States.

7 (2) The Secretary shall apportion to the States 12 percent of the amount

8 subject to apportionment for each fiscal year as follows:

9 (A) one percent of the apportioned amount to Guam, American

10 Samoa, the Northern Mariana Islands, the Trust Territory of the Pacific

11 Islands, and the Virgin Islands.

12 (B) except as provided in paragraph (3) of this subsection, 49.5 per13 cent of the apportioned amount for airports, except primary airports

14 and airports described in section 47117(e)(1)(C) of this title, in States

15 not named in clause (A) of this paragraph in the proportion that the

16 population of each of those States bears to the total population of all of

17 those States.

18 (C) except as provided in paragraph (3) of this subsection, 49.5 per19 cent of the apportioned amount for airports, except primary airports

20 and airports described in section 47117(e)(1)(C) of this title, in States

21 not named in clause (A) of this paragraph in the proportion that the

22 area of each of those States bears to the total area of all of those States.

23 (3) An amount apportioned under paragraph (2) of this subsection for an

24 airport in—

25 (A) Alaska may be made available by the Secretary for a public air26 port described in section 47117(e)(1)(C)(ii) of this title to which section

27 15(a)(3)(A)(II) of the Airport and Airway Development Act of 1970 ap28 plied during the fiscal year that ended September 30, 1981; and

29 (B) Puerto Rico may be made available by the Secretary for a pri30 mary airport and an airport described in section 47117(e)(1)(C) of this

31 title.

32 (e) ALTERNATIVE APPORTIONMENT FOR ALASKA.—(1) Instead of appor33 tioning amounts for airports in Alaska under subsections (c) and (d) of this

34 section, the Secretary may apportion amounts for those airports in the way

35 in which amounts were apportioned in the fiscal year ending September 30,

36 1980, under section 15(a) of the Act. However, in apportioning amounts for

37 a fiscal year under this subsection, the Secretary shall apportion—

38 (A) for each primary airport at least as much as would be appor39 tioned for the airport under subsection (c)(1) of this section; and
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1 (B) a total amount at least equal to the minimum amount required

2 to be apportioned to airports in Alaska in the fiscal year ending Septem3 ber 30, 1980, under section 15(a)(3)(A) of the Act.

4 (2) This subsection does not prohibit the Secretary from making project

5 grants for airports in Alaska from the discretionary fund under section 47115

6 of this title.

7 (3) Airports referred to in this subsection include those public airports that

8 received scheduled service as of September 3, 1982, but were not apportioned

9 amounts in the fiscal year ending September 30, 1980, under section 15(a)

10 of the Act because the airports were not under the control of a State or local

11 public agency.

12 (f) REDUCING APPORTIONMENTS.—An amount that would be apportioned

13 under this section (except subsection (c)(2)) in a fiscal year to the sponsor

14 of an airport having at least .25 percent of the total number of boardings each

15 year in the United States and for which a fee is imposed in the fiscal year

16 under section 40117 of this title shall be reduced by an amount equal to 50

17 percent of the projected revenues from the fee in the fiscal year but not by

18 more than 50 percent of the amount that otherwise would be apportioned

19 under this section.

20 § 47115. Discretionary fund

21 (a) EXISTENCE AND AMOUNTS IN FUND.—The Secretary of Transportation

22 has a discretionary fund. The fund consists of—

23 (1) amounts subject to apportionment for a fiscal year that are not

24 apportioned under section 47114(c)–(e) of this title; and

25 (2) 25 percent of amounts not apportioned under section 47114 of this

26 title because of section 47114(f).

27 (b) AVAILABILITY OF AMOUNTS.—Subject to subsection (c) of this section

28 and section 47117(e) of this title, the fund is available for making grants for

29 any purpose for which amounts are made available under section 48103 of

30 this title that the Secretary considers most appropriate to carry out this sub31 chapter. However, 50 percent of amounts not apportioned under section 47114

32 of this title because of section 47114(f) and added to the fund is available for

33 making grants for projects at small hub airports (as defined in section 41731

34 of this title).

35 (c) MINIMUM PERCENTAGE FOR PRIMARY AND RELIEVER AIRPORTS.—At

36 least 75 percent of the amount in the fund and distributed by the Secretary

37 in a fiscal year shall be used for making grants—

38 (1) to preserve and enhance capacity, safety, and security at primary

39 and reliever airports; and

40 (2) to carry out airport noise compatibility planning and programs

41 at primary and reliever airports.
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1 (d) CONSIDERATIONS.—In selecting a project for a grant to preserve and

2 enhance capacity as described in subsection (c)(1) of this section, the Sec3 retary shall consider—

4 (1) the effect the project will have on the overall national air transpor5 tation system capacity;

6 (2) the project benefit and cost; and

7 (3) the financial commitment from non-United States Government

8 sources to preserve or enhance airport capacity.

9 (e) WAIVING PERCENTAGE REQUIREMENT.—If the Secretary decides the

10 Secretary cannot comply with the percentage requirement of subsection (c) of

11 this section in a fiscal year because there are insufficient qualified grant ap12 plications to meet that percentage, the amount the Secretary determines will

13 not be distributed as required by subsection (c) is available for obligation dur14 ing the fiscal year without regard to the requirement.

15 § 47116. Small airport fund

16 (a) EXISTENCE AND AMOUNTS IN FUND.—The Secretary of Transportation

17 has a small airport fund. The fund consists of 75 percent of amounts not ap18 portioned under section 47114 of this title because of section 47114(f).

19 (b) DISTRIBUTION OF AMOUNTS.—The Secretary may distribute amounts

20 in the fund in each fiscal year for any purpose for which amounts are made

21 available under section 48103 of this title as follows:

22 (1) one-third for grants to sponsors of public-use airports (except com23 mercial service airports).

24 (2) two-thirds for grants to sponsors of each commercial service air25 port that each year has less than .05 percent of the total boardings in

26 the United States in that year.

27 (c) AUTHORITY TO RECEIVE GRANT NOT DEPENDENT ON PARTICIPATION

28 IN BLOCK GRANT PILOT PROGRAM.—An airport in a State participating in

29 the State block grant pilot program under section 47128 of this title may re30 ceive a grant under this section to the same extent the airport may receive

31 a grant if the State were not participating in the program.

32 § 47117. Use of apportioned amounts

33 (a) GRANT PURPOSE.—Except as provided in this section, an amount ap34 portioned under section 47114(c)(1) or (d)(2) of this title is available for

35 making grants for any purpose for which amounts are made available under

36 section 48103 of this title.

37 (b) PERIOD OF AVAILABILITY.—An amount apportioned under section

38 47114 of this title is available to be obligated for grants under the apportion39 ment only during the fiscal year for which the amount was apportioned and

40 the 2 fiscal years immediately after that year. If the amount is not obligated
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1 under the apportionment within that time, it shall be added to the discre2 tionary fund.

3 (c) PRIMARY AIRPORTS.—(1) An amount apportioned to a sponsor of a

4 primary airport under section 47114(c)(1) of this title is available for grants

5 for any public-use airport of the sponsor included in the national plan of in6 tegrated airport systems.

7 (2) A sponsor of a primary airport may make an agreement with the Sec8 retary of Transportation waiving any part of the amount apportioned for the

9 airport under section 47114(c)(1) of this title if the Secretary makes the

10 waived amount available for a grant for another public-use airport in the

11 same State or geographical area as the primary airport.

12 (d) STATE USE.—An amount apportioned to a State under—

13 (1) section 47114(d)(2)(A) of this title is available for grants for air14 ports located in the State; and

15 (2) section 47114(d)(2)(B) or (C) of this title is available for grants

16 for airports described in section 47114(d)(2)(B) or (C) and located in

17 the State.

18 (e) SPECIAL APPORTIONMENT CATEGORIES.—(1) The Secretary shall use

19 amounts made available under section 48103 of this title for each fiscal year

20 as follows:

21 (A) at least 10 percent for grants for reliever airports.

22 (B) at least 12.5 percent for grants for airport noise compatibility

23 planning under section 47505(a)(2) of this title and for carrying out

24 noise compatibility programs under section 47504(c)(1) of this title.

25 (C) at least 2.5 percent for grants for—

26 (i) nonprimary commercial service airports; and

27 (ii) public airports (except commercial service airports) that were

28 eligible for United States Government assistance from amounts ap29 portioned under section 15(a)(3) of the Airport and Airway Devel30 opment Act of 1970, and to which section 15(a)(3)(A)(I) or (II) of

31 the Act applied during the fiscal year that ended September 30,

32 1981.

33 (D) at least .5 percent for integrated airport system planning grants

34 to planning agencies designated by the Secretary and authorized by the

35 laws of a State or political subdivision of a State to do planning for

36 an area of the State or subdivision in which a grant under this chapter

37 is to be used.

38 (E) at least 2.25 percent for the fiscal year ending September 30,

39 1993, and at least 2.5 percent for each of the fiscal years ending Septem40 ber 30, 1994, and 1995, to sponsors of current or former military air41 ports designated by the Secretary under section 47118(a) of this title for
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1 grants for developing current and former military airports to improve

2 the capacity of the national air transportation system.

3 (2) A grant from the amount apportioned under section 47114(e) of this

4 title may not be included as part of the 2.5 percent required to be used for

5 grants under paragraph (1)(C) of this subsection.

6 (3) If the Secretary decides that an amount required to be used for grants

7 under paragraph (1) of this subsection cannot be used for a fiscal year be8 cause there are insufficient qualified grant applications, the amount the Sec9 retary determines cannot be used is available during the fiscal year for grants

10 for other airports or for other purposes for which amounts are authorized for

11 grants under section 48103 of this title.

12 (f) LIMITATION FOR COMMERCIAL SERVICE AIRPORT IN ALASKA.—The Sec13 retary may not make a grant for a commercial service airport in Alaska of

14 more than 110 percent of the amount apportioned for the airport for a fiscal

15 year under section 47114(e) of this title.

16 (g) DISCRETIONARY USE OF APPORTIONMENTS.—(1) Subject to paragraph

17 (2) of this subsection, if the Secretary finds, based on the notices the Secretary

18 receives under section 47105(e) of this title or otherwise, that an amount ap19 portioned under section 47114 of this title will not be used for grants during

20 a fiscal year, the Secretary may use an equal amount for grants during that

21 fiscal year for any of the purposes for which amounts are authorized for

22 grants under section 48103 of this title.

23 (2) The Secretary may make a grant under paragraph (1) of this sub24 section only if the Secretary decides that—

25 (A) the total amount used for grants for the fiscal year under section

26 48103 of this title will not be more than the amount made available

27 under section 48103 for that fiscal year; and

28 (B) the amounts authorized for grants under section 48103 of this title

29 for later fiscal years are sufficient for grants of the apportioned amounts

30 that were not used for grants under the apportionment during the fiscal

31 year and that remain available under subsection (b) of this section.

32 (h) LIMITING AUTHORITY OF SECRETARY.—The authority of the Secretary

33 to make grants during a fiscal year from amounts that were apportioned for

34 a prior fiscal year and remain available for approved airport development

35 project grants under subsection (b) of this section may be impaired only by

36 a law enacted after September 3, 1982, that expressly limits that authority.

37 § 47118. Designating current and former military airports

38 (a) GENERAL REQUIREMENTS.—The Secretary of Transportation shall des39 ignate not more than 12 current or former military airports for which grants

40 may be made under section 47117(e)(1)(E) of this title.
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1 (b) SURVEY.—Not later than September 30, 1991, the Secretary shall com2 plete a survey of current and former military airports to identify which air3 ports have the greatest potential to improve the capacity of the national air

4 transportation system. The survey shall identify the capital development needs

5 of those airports to make them part of the system and which of those qualify

6 for grants under section 47104 of this title.

7 (c) CONSIDERATIONS.—In carrying out this section, the Secretary shall

8 consider only current or former military airports that, when at least partly

9 converted to civilian commercial or reliever airports as part of the national

10 air transportation system, will enhance airport and air traffic control system

11 capacity in major metropolitan areas and reduce current and projected flight

12 delays.

13 (d) GRANTS.—Grants under section 47117(e)(1)(E) of this title may be

14 made for an airport designated under subsection (a) of this section for the

15 5 fiscal years following the designation. If an airport does not have a level

16 of passengers getting on aircraft during that 5-year period that qualifies the

17 airport as a small hub airport (as defined on January 1, 1990) or reliever

18 airport, the Secretary may redesignate the airport for grants for additional

19 fiscal years that the Secretary decides.

20 (e) TERMINAL BUILDING FACILITIES.—Notwithstanding section 47109(c) of

21 this title, not more than $5,000,000 for each airport from amounts the Sec22 retary distributes under section 47115 of this title for a fiscal year is avail23 able to the sponsor of a current or former military airport the Secretary des24 ignates under this section to construct, improve, or repair a terminal building

25 facility, including terminal gates used for revenue passengers getting on or

26 off aircraft. A gate constructed, improved, or repaired under this subsection—

27 (1) may not be leased for more than 10 years; and

28 (2) is not subject to majority in interest clauses.

29 (f) PARKING LOTS, FUEL FARMS, AND UTILITIES.—Not more than a total

30 of $4,000,000 for each airport from amounts the Secretary distributes under

31 section 47115 of this title for the fiscal years ending September 30, 1993–

32 1995, is available to the sponsor of a current or former military airport the

33 Secretary designates under this section to construct, improve, or repair air34 port surface parking lots, fuel farms, and utilities.

35 § 47119. Terminal development costs

36 (a) REPAYING BORROWED MONEY.—An amount apportioned under section

37 47114 of this title and made available to the sponsor of an air carrier airport

38 at which terminal development was carried out after June 30, 1970, and be39 fore July 12, 1976, is available to repay immediately money borrowed and

40 used to pay the costs for terminal development at the airport, if those costs

41 would be allowable project costs under section 47110(d) of this title if they
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1 had been incurred after September 3, 1982. An amount is available for a

2 grant under this subsection—

3 (1) only if—

4 (A) the sponsor submits the certification required under section

5 47110(d) of this title;

6 (B) the Secretary of Transportation decides that using the

7 amount to repay the borrowed money will not defer an airport de8 velopment project outside the terminal area at that airport; and

9 (C) amounts available for airport development under this sub10 chapter will not be used for additional terminal development

11 projects at the airport for at least 3 years beginning on the date

12 the grant is used to repay the borrowed money; and

13 (2) subject to the limitations in subsection (b)(1) and (2) of this sec14 tion.

15 (b) AVAILABILITY OF AMOUNTS.—In a fiscal year, the Secretary may make

16 available—

17 (1) to a sponsor of a primary airport, any part of amounts appor18 tioned to the sponsor for the fiscal year under section 47114(c)(1) of this

19 title to pay project costs allowable under section 47110(d) of this title;

20 (2) to a sponsor of a nonprimary commercial service airport, not more

21 than $200,000 of the amount that may be distributed for the fiscal year

22 from the discretionary fund to pay project costs allowable under section

23 47110(d) of this title; or

24 (3) not more than $25,000,000 to pay project costs allowable for the

25 fiscal year under section 47110(d) of this title for projects at commercial

26 service airports that were not eligible for assistance for terminal develop27 ment during the fiscal year ending September 30, 1980, under section

28 20(b) of the Airport and Airway Development Act of 1970.

29 § 47120. Grant priority

30 In making a grant under this subchapter, the Secretary of Transportation

31 may give priority to a project that is consistent with an integrated airport

32 system plan.

33 § 47121. Records and audits

34 (a) RECORDS.—A sponsor shall keep the records the Secretary of Transpor35 tation requires. The Secretary may require records—

36 (1) that disclose—

37 (A) the amount and disposition by the sponsor of the proceeds of

38 the grant;

39 (B) the total cost of the plan or program for which the grant is

40 given or used; and
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1 (C) the amounts and kinds of costs of the plan or program pro2 vided by other sources; and

3 (2) that make it easier to carry out an audit.

4 (b) AUDITS AND EXAMINATIONS.—The Secretary and the Comptroller Gen5 eral may audit and examine records of a sponsor that are related to a grant

6 made under this subchapter.

7 (c) AUTHORITY OF COMPTROLLER GENERAL.—When an independent audit

8 is made of the accounts of a sponsor under this subchapter related to the dis9 position of the proceeds of the grant or related to the plan or program for

10 which the grant was given or used, the sponsor shall submit a certified copy

11 of the audit to the Comptroller General not more than 6 months after the end

12 of the fiscal year for which the audit was made. Not later than April 15 of

13 each year, the Comptroller General shall report to Congress describing the re14 sults of each audit conducted or reviewed by the Comptroller General under

15 this section during the prior fiscal year. The Comptroller General shall pre16 scribe regulations necessary to carry out this subsection.

17 (d) AUDIT REQUIREMENT.—The Secretary may require a sponsor to con18 duct an appropriate audit as a condition for receiving a grant under this

19 subchapter.

20 (e) ANNUAL REVIEW.—The Secretary shall review annually the record21 keeping and reporting requirements under this subchapter to ensure that they

22 are the minimum necessary to carry out this subchapter.

23 (f) WITHHOLDING INFORMATION FROM CONGRESS.—This section does not

24 authorize the Secretary or the Comptroller General to withhold information

25 from a committee of Congress authorized to have the information.

26 § 47122. Administrative

27 (a) GENERAL.—The Secretary of Transportation may take action the Sec28 retary considers necessary to carry out this subchapter, including conducting

29 investigations and public hearings, prescribing regulations and procedures,

30 and issuing orders.

31 (b) CONDUCTING INVESTIGATIONS AND PUBLIC HEARINGS.—In conducting

32 an investigation or public hearing under this subchapter, the Secretary has

33 the same authority the Secretary has under section 46104 of this title. An ac34 tion of the Secretary in exercising that authority is governed by the proce35 dures specified in section 46104 and shall be enforced as provided in section

36 46104.

37 § 47123. Nondiscrimination

38 The Secretary of Transportation shall take affirmative action to ensure that

39 an individual is not excluded because of race, creed, color, national origin,

40 or sex from participating in an activity carried out with money received

41 under a grant under this subchapter. The Secretary shall prescribe regulations
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1 necessary to carry out this section. The regulations shall be similar to those

2 in effect under title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et

3 seq.). This section is in addition to title VI of the Act.

4 § 47124. Agreements for State and local operation of airport

5 facilities

6 (a) GOVERNMENT RELIEF FROM LIABILITY.—The Secretary of Transpor7 tation shall ensure that an agreement under this subchapter with a State or

8 a political subdivision of a State to allow the State or subdivision to operate

9 an airport facility in the State or subdivision relieves the United States Gov10 ernment from any liability arising out of, or related to, acts or omissions of

11 employees of the State or subdivision in operating the airport facility.

12 (b) AIR TRAFFIC CONTROL CONTRACT PROGRAM.—(1) The Secretary shall

13 continue the low activity (Visual Flight Rules) level I air traffic control tower

14 contract program established under subsection (a) of this section for towers

15 existing on December 30, 1987, and extend the program to other towers as

16 practicable.

17 (2) The Secretary may make a contract, on a sole source basis, with a State

18 or a political subdivision of a State to allow the State or subdivision to oper19 ate an airport traffic control tower classified as a level I (Visual Flight Rules)

20 tower if the Secretary decides that the State or subdivision has the capability

21 to comply with the requirements of this paragraph. The contract shall require

22 that the State or subdivision comply with applicable safety regulations in op23 erating the facility and with applicable competition requirements in making

24 a subcontract to perform work to carry out the contract.

25 § 47125. Conveyances of United States Government land

26 (a) CONVEYANCES TO PUBLIC AGENCIES.—Except as provided in sub27 section (b) of this section, the Secretary of Transportation shall request the

28 head of the department, agency, or instrumentality of the United States Gov29 ernment owning or controlling land or airspace to convey a property interest

30 in the land or airspace to the public agency sponsoring the project or owning

31 or controlling the airport when necessary to carry out a project under this

32 subchapter at a public airport, to operate a public airport, or for the future

33 development of an airport under the national plan of integrated airport sys34 tems. The head of the department, agency, or instrumentality shall decide

35 whether the requested conveyance is consistent with the needs of the depart36 ment, agency, or instrumentality and shall notify the Secretary of that deci37 sion not later than 4 months after receiving the request. If the head of the

38 department, agency, or instrumentality decides that the requested conveyance

39 is consistent with its needs, the head of the department, agency, or instrumen40 tality, with the approval of the Attorney General and without cost to the Gov41 ernment, shall make the conveyance. A conveyance may be made only on the
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1 condition that the property interest conveyed reverts to the Government, at

2 the option of the Secretary, to the extent it is not developed for an airport

3 purpose or used consistently with the conveyance.

4 (b) NONAPPLICATION.—Except as specifically provided by law, subsection

5 (a) of this section does not apply to land or airspace owned or controlled by

6 the Government within—

7 (1) a national park, national monument, national recreation area, or

8 similar area under the administration of the National Park Service;

9 (2) a unit of the National Wildlife Refuge System or similar area

10 under the jurisdiction of the United States Fish and Wildlife Service; or

11 (3) a national forest or Indian reservation.

12 § 47126. Criminal penalties for false statements

13 A person (including an officer, agent, or employee of the United States

14 Government or a public agency) shall be fined under title 18, imprisoned for

15 not more than 5 years, or both, if the person, with intent to defraud the Gov16 ernment, knowingly makes—

17 (1) a false statement about the kind, quantity, quality, or cost of the

18 material used or to be used, or the quantity, quality, or cost of work per19 formed or to be performed, in connection with the submission of a plan,

20 map, specification, contract, or estimate of project cost for a project in21 cluded in a grant application submitted to the Secretary of Transpor22 tation for approval under this subchapter;

23 (2) a false statement or claim for work or material for a project in24 cluded in a grant application approved by the Secretary under this sub25 chapter; or

26 (3) a false statement in a report or certification required under this

27 subchapter.

28 § 47127. Ground transportation demonstration projects

29 (a) GENERAL AUTHORITY.—To improve the airport and airway system of

30 the United States consistent with regional airport system plans financed

31 under section 13(b) of the Airport and Airway Development Act of 1970, the

32 Secretary of Transportation may carry out ground transportation demonstra33 tion projects to improve ground access to air carrier airport terminals. The

34 Secretary may carry out a demonstration project independently or by grant

35 or contract, including an agreement with another department, agency, or in36 strumentality of the United States Government.

37 (b) PRIORITY.—In carrying out this section, the Secretary shall give prior38 ity to a demonstration project that—

39 (1) affects an airport in an area with an operating regional rapid

40 transit system with existing facilities reasonably near the airport;

41 (2) includes connection of the airport terminal to that system;
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1 (3) is consistent with and supports a regional airport system plan

2 adopted by the planning agency for the region and submitted to the Sec3 retary; and

4 (4) improves access to air transportation for individuals residing or

5 working in the region by encouraging the optimal balance of use of air6 ports in the region.

7 § 47128. State block grant pilot program

8 (a) GENERAL REQUIREMENTS.—The Secretary of Transportation shall pre9 scribe regulations to carry out a State block grant pilot program. The regula10 tions shall provide that the Secretary may designate not more than 7 quali11 fied States to assume administrative responsibility for all airport grant

12 amounts available under this subchapter, except for amounts designated for

13 use at primary airports.

14 (b) APPLICATIONS AND SELECTION.—(1) A State wishing to participate in

15 the program must submit an application to the Secretary. The Secretary shall

16 select a State on the basis of its application only after—

17 (A) deciding the State has an organization capable of effectively ad18 ministering a block grant made under this section;

19 (B) deciding the State uses a satisfactory airport system planning

20 process;

21 (C) deciding the State uses a programming process acceptable to the

22 Secretary;

23 (D) finding that the State has agreed to comply with United States

24 Government standard requirements for administering the block grant;

25 and

26 (E) finding that the State has agreed to provide the Secretary with

27 program information the Secretary requires.

28 (2) For the fiscal years ending September 30, 1993–1996, the States selected

29 shall include Illinois, Missouri, and North Carolina.

30 (c) SAFETY AND SECURITY NEEDS AND NEEDS OF SYSTEM.—Before decid31 ing whether a planning process is satisfactory or a programming process is

32 acceptable under subsection (b)(2) or (3) of this section, the Secretary shall

33 ensure that the process provides for meeting critical safety and security needs

34 and that the programming process ensures that the needs of the national air35 port system will be addressed in deciding which projects will receive money

36 from the Government.

37 (d) ENDING EFFECTIVE DATE AND REPORT.—This section is effective only

38 through September 30, 1996.
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1 § 47129. Annual report

2 Not later than April 1 of each year, the Secretary of Transportation shall

3 submit to Congress a report on activities carried out under this subchapter

4 during the prior fiscal year. The report shall include—

5 (1) a detailed statement of airport development completed;

6 (2) the status of each project undertaken;

7 (3) the allocation of appropriations; and

8 (4) an itemized statement of expenditures and receipts.

9 SUBCHAPTER II—SURPLUS PROPERTY FOR PUBLIC AIRPORTS

10 § 47151. Authority to transfer an interest in surplus property

11 (a) GENERAL AUTHORITY.—Subject to sections 47152 and 47153 of this

12 title, a department, agency, or instrumentality of the executive branch of the

13 United States Government or a wholly owned Government corporation may

14 give a State, political subdivision of a State, or tax-supported organization

15 any interest in surplus property—

16 (1) that the Secretary of Transportation decides is—

17 (A) desirable for developing, improving, operating, or maintain18 ing a public airport (as defined in section 47102 of this title);

19 (B) reasonably necessary to fulfill the immediate and foreseeable

20 future requirements for developing, improving, operating, or main21 taining a public airport; or

22 (C) needed for developing sources of revenue from nonaviation

23 businesses at a public airport; and

24 (2) if the Administrator of General Services approves the gift and de25 cides the interest is not best suited for industrial use.

26 (b) ENSURING COMPLIANCE.—Only the Secretary may ensure compliance

27 with an instrument giving an interest in surplus property under this sub28 chapter. The Secretary may amend the instrument to correct the instrument

29 or to make the gift comply with law.

30 (c) DISPOSING OF INTERESTS NOT GIVEN UNDER THIS SUBCHAPTER.—An

31 interest in surplus property that could be used at a public airport but that

32 is not given under this subchapter shall be disposed of under other applicable

33 law.

34 § 47152. Terms of gifts

35 Except as provided in section 47153 of this title, the following terms apply

36 to a gift of an interest in surplus property under this subchapter:

37 (1) A State, political subdivision of a State, or tax-supported organi38 zation receiving the interest may use, lease, salvage, or dispose of the in39 terest for other than airport purposes only after the Secretary of Trans40 portation gives written consent that the interest can be used, leased,

41 salvaged, or disposed of without materially and adversely affecting the
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1 development, improvement, operation, or maintenance of the airport at

2 which the property is located.

3 (2) The interest shall be used and maintained for public use and bene4 fit without unreasonable discrimination.

5 (3) A right may not be vested in a person, excluding others in the

6 same class from using the airport at which the property is located—

7 (A) to conduct an aeronautical activity requiring the operation

8 of aircraft; or

9 (B) to engage in selling or supplying aircraft, aircraft accessories,

10 equipment, or supplies (except gasoline and oil), or aircraft services

11 necessary to operate aircraft (including maintaining and repairing

12 aircraft, aircraft engines, propellers, and appliances).

13 (4) The State, political subdivision, or tax-supported organization ac14 cepting the interest shall clear and protect the aerial approaches to the

15 airport by mitigating existing, and preventing future, airport hazards.

16 (5) During a national emergency declared by the President or Con17 gress, the United States Government is entitled to use, control, or possess,

18 without charge, any part of the public airport at which the property is

19 located. However, the Government shall—

20 (A) pay the entire cost of maintaining the part of the airport it

21 exclusively uses, controls, or possesses during the emergency;

22 (B) contribute a reasonable share, consistent with the Govern23 ment’s use, of the cost of maintaining the property it uses

24 nonexclusively, or over which the Government has nonexclusive con25 trol or possession, during the emergency; and

26 (C) pay a fair rental for use, control, or possession of improve27 ments to the airport made without Government assistance.

28 (6) The Government is entitled to the nonexclusive use, without charge,

29 of the landing area of an airport at which the property is located. The

30 Secretary may limit the use of the landing area if necessary to prevent

31 unreasonable interference with use by other authorized aircraft. However,

32 the Government shall—

33 (A) contribute a reasonable share, consistent with the Govern34 ment’s use, of the cost of maintaining and operating the landing

35 area; and

36 (B) pay for damages caused by its use of the landing area if its

37 use of the landing area is substantial.

38 (7) The State, political subdivision, or tax-supported organization ac39 cepting the interest shall release the Government from all liability for

40 damages arising under an agreement that provides for Government use

41 of any part of an airport owned, controlled, or operated by the State,
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1 political subdivision, or tax-supported organization on which, adjacent

2 to which, or in connection with which, the property is located.

3 (8) When a term under this section is not satisfied, any part of the

4 interest in the property reverts to the Government, at the option of the

5 Government, as the property then exists.

6 § 47153. Waiving and adding terms

7 (a) GENERAL AUTHORITY.—(1) The Secretary of Transportation may

8 waive, without charge, a term of a gift of an interest in property under this

9 subchapter if the Secretary decides that—

10 (A) the property no longer serves the purpose for which it was given;

11 or

12 (B) the waiver will not prevent carrying out the purpose for which

13 the gift was made and is necessary to advance the civil aviation interests

14 of the United States.

15 (2) The Secretary of Transportation shall waive a term under paragraph

16 (1) of this subsection on terms the Secretary considers necessary to protect or

17 advance the civil aviation interests of the United States.

18 (b) WAIVERS AND INCLUSION OF ADDITIONAL TERMS ON REQUEST.—On

19 request of the Secretary of Transportation or the Secretary of a military de20 partment, a department, agency, or instrumentality of the executive branch

21 of the United States Government or a wholly owned Government corporation

22 may waive a term required by section 47152 of this title or add another term

23 if the appropriate Secretary decides it is necessary to protect or advance the

24 interests of the United States in civil aviation or for national defense.

25 CHAPTER 473—INTERNATIONAL AIRPORT FACILITIES

Sec.

47301. Definitions.

47302. Providing airport and airway property in foreign territories.

47303. Training foreign citizens.

47304. Transfer of airport and airway property.

47305. Administrative.

47306. Criminal penalty.

26 § 47301. Definitions

27 In this chapter—

28 (1) ‘‘airport property’’ means an interest in property used or useful

29 in operating and maintaining an airport.

30 (2) ‘‘airway property’’ means an interest in property used or useful

31 in operating and maintaining a ground installation, facility, or equip32 ment desirable for the orderly and safe operation of air traffic, including

33 air navigation, air traffic control, airway communication, and meteoro34 logical facilities.

35 (3) ‘‘foreign territory’’ means an area—
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1 (A) over which no government or a government of a foreign coun2 try has sovereignty;

3 (B) temporarily under military occupation by the United States

4 Government; or

5 (C) occupied or administered by the Government or a government

6 of a foreign country under an international agreement.

7 (4) ‘‘territory outside the continental United States’’ means territory

8 outside the 48 contiguous States and the District of Columbia.

9 § 47302. Providing airport and airway property in foreign

10 territories

11 (a) GENERAL AUTHORITY.—Subject to the concurrence of the Secretary of

12 State and the consideration of objectives of the International Civil Aviation

13 Organization—

14 (1) the Secretary of Transportation may acquire, establish, and con15 struct airport property and airway property (except meteorological fa16 cilities) in foreign territory; and

17 (2) the Secretary of Commerce may acquire, establish, and construct

18 meteorological facilities in foreign territory.

19 (b) SPECIFIC APPROPRIATIONS REQUIRED.—Except for airport property

20 transferred under section 47304(b) of this title, an airport (as defined in sec21 tion 40102(a) of this title) may be acquired, established, or constructed under

22 subsection (a) of this section only if amounts have been appropriated specifi23 cally for the airport.

24 (c) ACCEPTING FOREIGN PAYMENTS.—The Secretary of Transportation or

25 Commerce, as appropriate, may accept payment from a government of a for26 eign country or international organization for facilities or services sold or

27 provided the government or organization under this chapter. The amount re28 ceived may be credited to the appropriation current when the expenditures

29 are or were paid, the appropriation current when the amount is received, or

30 both.

31 § 47303. Training foreign citizens

32 Subject to the concurrence of the Secretary of State, the Secretary of Trans33 portation or Commerce, as appropriate, may train a foreign citizen in a sub34 ject related to aeronautics and essential to the orderly and safe operation of

35 civil aircraft. The training may be provided—

36 (1) directly by the appropriate Secretary or jointly with another de37 partment, agency, or instrumentality of the United States Government;

38 (2) through a public or private agency of the United States (including

39 a State or municipal educational institution); or

40 (3) through an international organization.
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1 § 47304. Transfer of airport and airway property

2 (a) GENERAL AUTHORITY.—When requested by the government of a foreign

3 country or an international organization, the Secretary of Transportation or

4 Commerce, as appropriate, may transfer to the government or organization

5 airport property and airway property operated and maintained under this

6 chapter by the appropriate Secretary in foreign territory. The transfer shall

7 be on terms the appropriate Secretary considers proper, including consider8 ation agreed on through negotiations with the government or organization.

9 (b) PROPERTY INSTALLED OR CONTROLLED BY MILITARY.—Subject to

10 terms to which the parties agree, the Secretary of a military department may

11 transfer without charge to the Secretary of Transportation airport property

12 and airway property (except meteorological facilities), and to the Secretary

13 of Commerce meteorological facilities, that the Secretary of the military de14 partment installed or controls in territory outside the continental United

15 States. The transfer may be made if consistent with the needs of national de16 fense and—

17 (1) the Secretary of the military department finds that the property

18 or facility is no longer required exclusively for military purposes; and

19 (2) the Secretary of Transportation or Commerce, as appropriate, de20 cides that the transfer is or may be necessary to carry out this chapter.

21 (c) REPUBLIC OF PANAMA.—(1) The Secretary of Transportation may pro22 vide, operate, and maintain facilities and services for air navigation, airway

23 communications, and air traffic control in the Republic of Panama subject

24 to—

25 (A) the approval of the Secretary of Defense; and

26 (B) each obligation assumed by the United States Government under

27 an agreement between the Government and the Republic of Panama.

28 (2) The Secretary of a military department may transfer without charge

29 to the Secretary of Transportation property located in the Republic of Pan30 ama when the Secretary of Transportation decides that the transfer may be

31 useful in carrying out this chapter.

32 (3) Subsection (b) of this section (related to the Secretary of Transpor33 tation) and section 47302(a) and (b) of this title do not apply in carrying

34 out this subsection.

35 (d) RETAKING PROPERTY FOR MILITARY REQUIREMENT.—(1) When nec36 essary for a military requirement, the Secretary of a military department im37 mediately may retake property (with any improvements to it) transferred by

38 the Secretary under subsection (b) or (c) of this section. The Secretary shall

39 pay reasonable compensation to each person (or its successor in interest) that

40 made an improvement to the property that was not made at the expense of
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1 the Government. The Secretary or a delegate of the Secretary shall decide on

2 the amount of compensation.

3 (2) On the recommendation of the Secretary of Transportation or Com4 merce, as appropriate, the Secretary of a military department may decide not

5 to act under paragraph (1) of this subsection.

6 § 47305. Administrative

7 (a) GENERAL AUTHORITY.—The Secretary of Transportation shall consoli8 date, operate, protect, maintain, and improve airport property and airway

9 property (except meteorological facilities), and the Secretary of Commerce

10 may consolidate, operate, protect, maintain, and improve meteorological fa11 cilities, that the appropriate Secretary has acquired and that are located in

12 territory outside the continental United States. In carrying out this section,

13 the appropriate Secretary may—

14 (1) adapt the property or facility to the needs of civil aeronautics;

15 (2) lease the property or facility for not more than 20 years;

16 (3) make a contract, or provide directly, for facilities and services;

17 (4) make reasonable charges for aeronautical services; and

18 (5) acquire an interest in property.

19 (b) CREDITING APPROPRIATIONS.—Money received from the direct sale or

20 charge that the Secretary of Transportation or Commerce, as appropriate, de21 cides is equivalent to the cost of facilities and services sold or provided under

22 subsection (a)(3) and (4) of this section is credited to the appropriation from

23 which the cost was paid. The balance shall be deposited in the Treasury as

24 miscellaneous receipts.

25 (c) USING OTHER GOVERNMENT FACILITIES AND SERVICES.—To carry out

26 this chapter and to use personnel and facilities of the United States Govern27 ment most advantageously and without unnecessary duplication, the Sec28 retary of Transportation or Commerce, as appropriate, shall request, when

29 practicable, to use a facility or service of an appropriate department, agency,

30 or instrumentality of the Government on a reimbursable basis. A department,

31 agency, or instrumentality receiving a request under this section may provide

32 the facility or service.

33 (d) ADVERTISING NOT REQUIRED.—Section 3709 of the Revised Statutes

34 (41 U.S.C. 5) does not apply to a lease or contract made by the Secretary

35 of Transportation or Commerce under this chapter.

36 § 47306. Criminal penalty

37 A person that knowingly and willfully violates a regulation prescribed by

38 the Secretary of Transportation to carry out this chapter shall be fined under

39 title 18, imprisoned for not more than 6 months, or both.
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1 CHAPTER 475—NOISE

SUBCHAPTER I—NOISE ABATEMENT

Sec.

47501. Definitions.

47502. Noise measurement and exposure systems and identifying land use compatible with noise

exposure.

47503. Noise exposure maps.

47504. Noise compatibility programs.

47505. Airport noise compatibility planning grants.

47506. Limitations on recovering damages for noise.

47507. Nonadmissibility of noise exposure map and related information as evidence.

47508. Noise standards for air carriers and foreign air carriers providing foreign air transportation.

SUBCHAPTER II—NATIONAL AVIATION NOISE POLICY

47521. Findings.

47522. Definitions.

47523. National aviation noise policy.

47524. Airport noise and access restriction review program.

47525. Decision about airport noise and access restrictions on certain stage 2 aircraft.

47526. Limitations for noncomplying airport noise and access restrictions.

47527. Liability of the United States Government for noise damages.

47528. Prohibition on operating certain aircraft not complying with stage 3 noise levels.

47529. Nonaddition rule.

47530. Nonapplication of sections 47528(a)–(d) and 47529 to aircraft outside the 48 contiguous

States.

47531. Penalties for violating sections 47528–47530.

47532. Judicial review.

47533. Relationship to other laws.

2 SUBCHAPTER I—NOISE ABATEMENT

3 § 47501. Definitions

4 In this subchapter—

5 (1) ‘‘airport’’ means a public-use airport as defined in section 47102

6 of this title.

7 (2) ‘‘airport operator’’ means—

8 (A) for an airport serving air carriers that have certificates from

9 the Secretary of Transportation, any person holding an airport op10 erating certificate issued under section 44706 of this title; and

11 (B) for any other airport, the person operating the airport.

12 § 47502. Noise measurement and exposure systems and iden13 tifying land use compatible with noise exposure

14 After consultation with the Administrator of the Environmental Protection

15 Agency and United States Government, State, and interstate agencies that the

16 Secretary of Transportation considers appropriate, the Secretary shall by reg17 ulation—

18 (1) establish a single system of measuring noise that—

19 (A) has a highly reliable relationship between projected noise ex20 posure and surveyed reactions of individuals to noise; and

21 (B) is applied uniformly in measuring noise at airports and the

22 surrounding area;
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1 (2) establish a single system for determining the exposure of individ2 uals to noise resulting from airport operations, including noise intensity,

3 duration, frequency, and time of occurrence; and

4 (3) identify land uses normally compatible with various exposures of

5 individuals to noise.

6 § 47503. Noise exposure maps

7 (a) SUBMISSION AND PREPARATION.—An airport operator may submit to

8 the Secretary of Transportation a noise exposure map showing the

9 noncompatible uses in each area of the map on the date the map is submitted,

10 a description of estimated aircraft operations during 1985, and how those op11 erations will affect the map. The map shall—

12 (1) be prepared in consultation with public agencies and planning au13 thorities in the area surrounding the airport; and

14 (2) comply with regulations prescribed under section 47502 of this

15 title.

16 (b) REVISED MAPS.—If a change in the operation of an airport will estab17 lish a substantial new noncompatible use in an area surrounding the airport,

18 the airport operator shall submit a revised noise exposure map to the Sec19 retary showing the new noncompatible use.

20 § 47504. Noise compatibility programs

21 (a) SUBMISSIONS.—(1) An airport operator that submitted a noise expo22 sure map and related information under section 47503(a) of this title may

23 submit a noise compatibility program to the Secretary of Transportation

24 after—

25 (A) consulting with public agencies and planning authorities in the

26 area surrounding the airport, United States Government officials having

27 local responsibility for the airport, and air carriers using the airport;

28 and

29 (B) notice and an opportunity for a public hearing.

30 (2) A program submitted under paragraph (1) of this subsection shall state

31 the measures the operator has taken or proposes to take to reduce existing

32 noncompatible uses and prevent introducing additional noncompatible uses in

33 the area covered by the map. The measures may include—

34 (A) establishing a preferential runway system;

35 (B) restricting the use of the airport by a type or class of aircraft be36 cause of the noise characteristics of the aircraft;

37 (C) constructing barriers and acoustical shielding and soundproofing

38 public buildings;

39 (D) using flight procedures to control the operation of aircraft to re40 duce exposure of individuals to noise in the area surrounding the air41 port; and
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1 (E) acquiring land, air rights, easements, development rights, and

2 other interests to ensure that the property will be used in ways compat3 ible with airport operations.

4 (b) APPROVALS.—(1) The Secretary shall approve or disapprove a program

5 submitted under subsection (a) of this section (except as the program is relat6 ed to flight procedures referred to in subsection (a)(2)(D) of this section) not

7 later than 180 days after receiving it. The Secretary shall approve the pro8 gram (except as the program is related to flight procedures referred to in sub9 section (a)(2)(D)) if the program—

10 (A) does not place an unreasonable burden on interstate or foreign

11 commerce;

12 (B) is reasonably consistent with achieving the goal of reducing

13 noncompatible uses and preventing the introduction of additional

14 noncompatible uses; and

15 (C) provides for necessary revisions because of a revised map submit16 ted under section 47503(b) of this title.

17 (2) A program (except as the program is related to flight procedures re18 ferred to in subsection (a)(2)(D) of this section) is deemed to be approved if

19 the Secretary does not act within the 180-day period.

20 (3) The Secretary shall submit any part of a program related to flight pro21 cedures referred to in subsection (a)(2)(D) of this section to the Administrator

22 of the Federal Aviation Administration. The Administrator shall approve or

23 disapprove that part of the program.

24 (c) GRANTS.—(1) The Secretary may incur obligations to make grants from

25 amounts available under section 48103 of this title to carry out a project

26 under a part of a noise compatibility program approved under subsection (b)

27 of this section. A grant may be made to—

28 (A) an airport operator submitting the program;

29 (B) a unit of local government in the area surrounding the airport,

30 if the Secretary decides the unit is able to carry out the project;

31 (C) an airport operator or unit of local government referred to in

32 clause (A) or (B) of this paragraph to carry out any part of a program

33 developed before February 18, 1980, or before implementing regulations

34 were prescribed, if the Secretary decides the program is substantially

35 consistent with reducing existing noncompatible uses and preventing the

36 introduction of additional noncompatible uses and the purposes of this

37 chapter will be furthered by promptly carrying out the program; and

38 (D) an airport operator or unit of local government referred to in

39 clause (A) or (B) of this paragraph to soundproof a building in the noise

40 impact area surrounding the airport that is used primarily for edu-
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1 cational or medical purposes and that the Secretary decides is adversely

2 affected by airport noise.

3 (2) An airport operator may agree to make a grant made under paragraph

4 (1)(A) of this subsection available to a public agency in the area surrounding

5 the airport if the Secretary decides the agency is able to carry out the project.

6 (3) The Government’s share of a project for which a grant is made under

7 paragraph (1) of this subsection is the greater of—

8 (A) 80 percent of the cost of the project; or

9 (B) the Government’s share that would apply if the amounts available

10 for the project were made available under subchapter I of chapter 471

11 of this title for a project at the airport.

12 (4) The provisions of subchapter I of chapter 471 of this title related to

13 grants apply to a grant made under this chapter, except—

14 (A) section 47109(a) and (b) of this title; and

15 (B) any provision that the Secretary decides is inconsistent with, or

16 unnecessary to carry out, this chapter.

17 (d) GOVERNMENT RELIEF FROM LIABILITY.—The Government is not liable

18 for damages from aviation noise because of action taken under this section.

19 § 47505. Airport noise compatibility planning grants

20 (a) GENERAL AUTHORITY.—The Secretary of Transportation may make a

21 grant to a sponsor of an airport to develop, for planning purposes, informa22 tion necessary to prepare and submit—

23 (1) a noise exposure map and related information under section 47503

24 of this title, including the cost of obtaining the information; or

25 (2) a noise compatibility program under section 47504 of this title.

26 (b) AVAILABILITY OF AMOUNTS AND GOVERNMENT’S SHARE OF COSTS.—

27 A grant under subsection (a) of this section may be made from amounts

28 available under section 48103 of this title. The United States Government’s

29 share of the grant is the percent for which a project for airport development

30 at an airport would be eligible under section 47109(a) and (b) of this title.

31 § 47506. Limitations on recovering damages for noise

32 (a) GENERAL LIMITATIONS.—A person acquiring an interest in property

33 after February 18, 1980, in an area surrounding an airport for which a noise

34 exposure map has been submitted under section 47503 of this title and having

35 actual or constructive knowledge of the existence of the map may recover dam36 ages for noise attributable to the airport only if, in addition to any other ele37 ments for recovery of damages, the person shows that—

38 (1) after acquiring the interest, there was a significant—

39 (A) change in the type or frequency of aircraft operations at the

40 airport;

41 (B) change in the airport layout;
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1 (C) change in flight patterns; or

2 (D) increase in nighttime operations; and

3 (2) the damages resulted from the change or increase.

4 (b) CONSTRUCTIVE KNOWLEDGE.—Constructive knowledge of the existence

5 of a map under subsection (a) of this section shall be imputed, at a mini6 mum, to a person if—

7 (1) before the person acquired the interest, notice of the existence of

8 the map was published at least 3 times in a newspaper of general cir9 culation in the county in which the property is located; or

10 (2) the person is given a copy of the map when acquiring the interest.

11 § 47507. Nonadmissibility of noise exposure map and related

12 information as evidence

13 No part of a noise exposure map or related information described in section

14 47503 of this title that is submitted to, or prepared by, the Secretary of

15 Transportation and no part of a list of land uses the Secretary identifies as

16 normally compatible with various exposures of individuals to noise may be

17 admitted into evidence or used for any other purpose in a civil action asking

18 for relief for noise resulting from the operation of an airport.

19 § 47508. Noise standards for air carriers and foreign air car20 riers providing foreign air transportation

21 (a) GENERAL REQUIREMENTS.—The Secretary of Transportation shall re22 quire each air carrier and foreign air carrier providing foreign air transpor23 tation to comply with noise standards—

24 (1) the Secretary prescribed for new subsonic aircraft in regulations

25 of the Secretary in effect on January 1, 1977; or

26 (2) of the International Civil Aviation Organization that are substan27 tially compatible with standards of the Secretary for new subsonic air28 craft in regulations of the Secretary at parts 36 and 91 of title 14, Code

29 of Federal Regulations, prescribed between January 2, 1977, and Janu30 ary 1, 1982.

31 (b) COMPLIANCE AT PHASED RATE.—The Secretary shall require each air

32 carrier and foreign air carrier providing foreign air transportation to comply

33 with the noise standards at a phased rate similar to the rate for aircraft reg34 istered in the United States.

35 (c) NONDISCRIMINATION.—The requirement for air carriers providing for36 eign air transportation may not be more stringent than the requirement for

37 foreign air carriers.

38 SUBCHAPTER II—NATIONAL AVIATION NOISE POLICY

39 § 47521. Findings

40 Congress finds that—
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1 (1) aviation noise management is crucial to the continued increase in

2 airport capacity;

3 (2) community noise concerns have led to uncoordinated and incon4 sistent restrictions on aviation that could impede the national air trans5 portation system;

6 (3) a noise policy must be carried out at the national level;

7 (4) local interest in aviation noise management shall be considered in

8 determining the national interest;

9 (5) community concerns can be alleviated through the use of new tech10 nology aircraft and the use of revenues, including those available from

11 passenger facility fees, for noise management;

12 (6) revenues controlled by the United States Government can help re13 solve noise problems and carry with them a responsibility to the national

14 airport system;

15 (7) revenues derived from a passenger facility fee may be applied to

16 noise management and increased airport capacity; and

17 (8) a precondition to the establishment and collection of a passenger

18 facility fee is the prescribing by the Secretary of Transportation of a reg19 ulation establishing procedures for reviewing airport noise and access re20 strictions on operations of stage 2 and stage 3 aircraft.

21 § 47522. Definitions

22 In this subchapter—

23 (1) ‘‘air carrier’’, ‘‘air transportation’’, and ‘‘United States’’ have the

24 same meanings given those terms in section 40102(a) of this title.

25 (2) ‘‘stage 3 noise levels’’ means the stage 3 noise levels in part 36

26 of title 14, Code of Federal Regulations, in effect on November 5, 1990.

27 § 47523. National aviation noise policy

28 (a) GENERAL REQUIREMENTS.—Not later than July 1, 1991, the Secretary

29 of Transportation shall establish by regulation a national aviation noise pol30 icy that considers this subchapter, including the phaseout and nonaddition

31 of stage 2 aircraft as provided in this subchapter and dates for carrying out

32 that policy and reporting requirements consistent with this subchapter and

33 law existing as of November 5, 1990.

34 (b) DETAILED ECONOMIC ANALYSIS.—The policy shall be based on a de35 tailed economic analysis of the impact of the phaseout date for stage 2 air36 craft on competition in the airline industry, including—

37 (1) the ability of air carriers to achieve capacity growth consistent

38 with the projected rate of growth for the airline industry;

39 (2) the impact of competition in the airline and air cargo industries;

40 (3) the impact on nonhub and small community air service; and

41 (4) the impact on new entry into the airline industry.
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1 § 47524. Airport noise and access restriction review program

2 (a) GENERAL REQUIREMENTS.—The national aviation noise policy estab3 lished under section 47523 of this title shall provide for establishing by regu4 lation a national program for reviewing airport noise and access restrictions

5 on the operation of stage 2 and stage 3 aircraft. The program shall provide

6 for adequate public notice and opportunity for comment on the restrictions.

7 (b) STAGE 2 AIRCRAFT.—Except as provided in subsection (d) of this sec8 tion, an airport noise or access restriction may include a restriction on the

9 operation of stage 2 aircraft proposed after October 1, 1990, only if the air10 port operator publishes the proposed restriction and prepares and makes

11 available for public comment at least 180 days before the effective date of the

12 proposed restriction—

13 (1) an analysis of the anticipated or actual costs and benefits of the

14 existing or proposed restriction;

15 (2) a description of alternative restrictions;

16 (3) a description of the alternative measures considered that do not

17 involve aircraft restrictions; and

18 (4) a comparison of the costs and benefits of the alternative measures

19 to the costs and benefits of the proposed restriction.

20 (c) STAGE 3 AIRCRAFT.—(1) Except as provided in subsection (d) of this

21 section, an airport noise or access restriction on the operation of stage 3 air22 craft not in effect on October 1, 1990, may become effective only if the restric23 tion has been agreed to by the airport proprietor and all aircraft operators

24 or has been submitted to and approved by the Secretary of Transportation

25 after an airport or aircraft operator’s request for approval as provided by the

26 program established under this section. Restrictions to which this paragraph

27 applies include—

28 (A) a restriction on noise levels generated on either a single event or

29 cumulative basis;

30 (B) a restriction on the total number of stage 3 aircraft operations;

31 (C) a noise budget or noise allocation program that would include

32 stage 3 aircraft;

33 (D) a restriction on hours of operations; and

34 (E) any other restriction on stage 3 aircraft.

35 (2) Not later than 180 days after the Secretary receives an airport or air36 craft operator’s request for approval of an airport noise or access restriction

37 on the operation of a stage 3 aircraft, the Secretary shall approve or dis38 approve the restriction. The Secretary may approve the restriction only if the

39 Secretary finds on the basis of substantial evidence that—

40 (A) the restriction is reasonable, nonarbitrary, and nondiscrim41 inatory;
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1 (B) the restriction does not create an unreasonable burden on inter2 state or foreign commerce;

3 (C) the restriction is not inconsistent with maintaining the safe and

4 efficient use of the navigable airspace;

5 (D) the restriction does not conflict with a law or regulation of the

6 United States;

7 (E) an adequate opportunity has been provided for public comment

8 on the restriction; and

9 (F) the restriction does not create an unreasonable burden on the na10 tional aviation system.

11 (3) Paragraphs (1) and (2) of this subsection do not apply if the Adminis12 trator of the Federal Aviation Administration, before November 5, 1990, has

13 formed a working group (outside the process established by part 150 of title

14 14, Code of Federal Regulations) with a local airport operator to examine the

15 noise impact of air traffic control procedure changes at the airport. However,

16 if an agreement on noise reductions at that airport is made between the air17 port proprietor and one or more air carriers or foreign air carriers that con18 stitute a majority of the carrier use of the airport, this paragraph applies

19 only to a local action to enforce the agreement.

20 (4) The Secretary may reevaluate an airport noise or access restriction pre21 viously agreed to or approved under this subsection on request of an aircraft

22 operator able to demonstrate to the satisfaction of the Secretary that there has

23 been a change in the noise environment of the affected airport that justifies

24 a reevaluation. The Secretary shall establish by regulation procedures for con25 ducting a reevaluation. A reevaluation—

26 (A) shall be based on the criteria in paragraph (2) of this subsection;

27 and

28 (B) may be conducted only after 2 years after a decision under para29 graph (2) of this subsection has been made.

30 (d) NONAPPLICATION.—Subsections (b) and (c) of this section do not apply

31 to—

32 (1) a local action to enforce a negotiated or executed airport noise or

33 access agreement between the airport operator and the aircraft operators

34 in effect on November 5, 1990;

35 (2) a local action to enforce a negotiated or executed airport noise or

36 access restriction agreed to by the airport operator and the aircraft oper37 ators before November 5, 1990;

38 (3) an intergovernmental agreement including an airport noise or ac39 cess restriction in effect on November 5, 1990;
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1 (4) a subsequent amendment to an airport noise or access agreement

2 or restriction in effect on November 5, 1990, that does not reduce or limit

3 aircraft operations or affect aircraft safety;

4 (5)(A) an airport noise or access restriction adopted by an airport op5 erator not later than October 1, 1990, and stayed as of October 1, 1990,

6 by a court order or as a result of litigation, if any part of the restriction

7 is subsequently allowed by a court to take effect; or

8 (B) a new restriction imposed by an airport operator to replace any

9 part of a restriction described in subclause (A) of this clause that is dis10 allowed by a court, if the new restriction would not prohibit aircraft op11 erations in effect on November 5, 1990; or

12 (6) a local action that represents the adoption of the final part of a

13 program of a staged airport noise or access restriction if the initial part

14 of the program was adopted during 1988 and was in effect on November

15 5, 1990.

16 (e) GRANT LIMITATIONS.—Beginning on the 91st day after the Secretary

17 prescribes a regulation under subsection (a) of this section, a sponsor of a fa18 cility operating under an airport noise or access restriction on the operation

19 of stage 3 aircraft that first became effective after October 1, 1990, is eligible

20 for a grant under section 47104 of this title and is eligible to impose a pas21 senger facility fee under section 40117 of this title only if the restriction has

22 been—

23 (1) agreed to by the airport proprietor and aircraft operators;

24 (2) approved by the Secretary as required by subsection (c)(1) of this

25 section; or

26 (3) rescinded.

27 § 47525. Decision about airport noise and access restrictions

28 on certain stage 2 aircraft

29 The Secretary of Transportation shall conduct a study and decide on the

30 application of section 47524(a)–(d) of this title to airport noise and access

31 restrictions on the operation of stage 2 aircraft with a maximum weight of

32 not more than 75,000 pounds. In making the decision, the Secretary shall

33 consider—

34 (1) noise levels produced by those aircraft relative to other aircraft;

35 (2) the benefits to general aviation and the need for efficiency in the

36 national air transportation system;

37 (3) the differences in the nature of operations at airports and the

38 areas immediately surrounding the airports;

39 (4) international standards and agreements on aircraft noise; and

40 (5) other factors the Secretary considers necessary.
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1 § 47526. Limitations for noncomplying airport noise and ac2 cess restrictions

3 Unless the Secretary of Transportation is satisfied that an airport is not

4 imposing an airport noise or access restriction not in compliance with this

5 subchapter, the airport may not—

6 (1) receive money under subchapter I of chapter 471 of this title; or

7 (2) impose a passenger facility fee under section 40117 of this title.

8 § 47527. Liability of the United States Government for noise

9 damages

10 When a proposed airport noise or access restriction is disapproved under

11 this subchapter, the United States Government shall assume liability for noise

12 damages only to the extent that a taking has occurred as a direct result of

13 the disapproval. The United States Court of Federal Claims has exclusive ju14 risdiction of a civil action under this section.

15 § 47528. Prohibition on operating certain aircraft not com16 plying with stage 3 noise levels

17 (a) PROHIBITION.—Except as provided in subsection (b) of this section and

18 section 47530 of this title, a person may operate after December 31, 1999,

19 a civil subsonic turbojet with a maximum weight of more than 75,000 pounds

20 to or from an airport in the United States only if the Secretary of Transpor21 tation finds that the aircraft complies with the stage 3 noise levels.

22 (b) WAIVERS.—(1) If, not later than July 1, 1999, at least 85 percent of

23 the aircraft used by an air carrier to provide air transportation comply with

24 the stage 3 noise levels, the carrier may apply for a waiver of subsection (a)

25 of this section for the remaining aircraft used by the carrier to provide air

26 transportation. The application must be filed with the Secretary not later

27 than January 1, 1999, and must include a plan with firm orders for making

28 all aircraft used by the carrier to provide air transportation comply with the

29 noise levels not later than December 31, 2003.

30 (2) The Secretary may grant a waiver under this subsection if the Sec31 retary finds it would be in the public interest. In making the finding, the

32 Secretary shall consider the effect of granting the waiver on competition in

33 the air carrier industry and on small community air service.

34 (3) A waiver granted under this subsection may not permit the operation

35 of stage 2 aircraft in the United States after December 31, 2003.

36 (c) SCHEDULE FOR PHASED-IN COMPLIANCE.—The Secretary shall estab37 lish by regulation a schedule for phased-in compliance with subsection (a) of

38 this section. The phase-in period shall begin on November 5, 1990, and end

39 before December 31, 1999. The regulations shall establish interim compliance

40 dates. The schedule for phased-in compliance shall be based on—
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1 (1) a detailed economic analysis of the impact of the phaseout date

2 for stage 2 aircraft on competition in the airline industry, including—

3 (A) the ability of air carriers to achieve capacity growth consist4 ent with the projected rate of growth for the airline industry;

5 (B) the impact of competition in the airline and air cargo indus6 tries;

7 (C) the impact on nonhub and small community air service; and

8 (D) the impact on new entry into the airline industry; and

9 (2) an analysis of the impact of aircraft noise on individuals residing

10 near airports.

11 (d) ANNUAL REPORT.—Beginning with calendar year 1992—

12 (1) each air carrier shall submit to the Secretary an annual report

13 on the progress the carrier is making toward complying with the require14 ments of this section and regulations prescribed under this section; and

15 (2) the Secretary shall submit to Congress an annual report on the

16 progress being made toward that compliance.

17 (e) HAWAIIAN OPERATIONS.—(1) In this subsection, ‘‘turnaround service’’

18 means a flight between places only in Hawaii.

19 (2)(A) An air carrier or foreign air carrier may not operate in Hawaii,

20 or between a place in Hawaii and a place outside the 48 contiguous States,

21 a greater number of stage 2 aircraft with a maximum weight of more than

22 75,000 pounds than it operated in Hawaii, or between a place in Hawaii

23 and a place outside the 48 contiguous States, on November 5, 1990.

24 (B) An air carrier that provided turnaround service in Hawaii on Novem25 ber 5, 1990, using stage 2 aircraft with a maximum weight of more than

26 75,000 pounds may include in the number of aircraft authorized under sub27 paragraph (A) of this paragraph all stage 2 aircraft with a maximum weight

28 of more than 75,000 pounds that were owned or leased by that carrier on that

29 date, whether or not the aircraft were operated by the carrier on that date.

30 (3) An air carrier may provide turnaround service in Hawaii using stage

31 2 aircraft with a maximum weight of more than 75,000 pounds only if the

32 carrier provided the service on November 5, 1990.

33 § 47529. Nonaddition rule

34 (a) GENERAL LIMITATIONS.—Except as provided in subsection (b) of this

35 section and section 47530 of this title, a person may operate a civil subsonic

36 turbojet aircraft with a maximum weight of more than 75,000 pounds that

37 is imported into the United States after November 4, 1990, only if the air38 craft—

39 (1) complies with the stage 3 noise levels; or
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1 (2) was purchased by the person importing the aircraft into the Unit2 ed States under a legally binding contract made before November 5,

3 1990.

4 (b) EXEMPTIONS.—The Secretary of Transportation may provide an ex5 emption from subsection (a) of this section to permit a person to obtain modi6 fications to an aircraft to meet the stage 3 noise levels.

7 (c) AIRCRAFT DEEMED NOT IMPORTED.—In this section, an aircraft is

8 deemed not to have been imported into the United States if the aircraft—

9 (1) was owned on November 5, 1990, by—

10 (A) a corporation, trust, or partnership organized under the laws

11 of the United States or a State (including the District of Columbia);

12 (B) an individual who is a citizen of the United States; or

13 (C) an entity that is owned or controlled by a corporation, trust,

14 partnership, or individual described in subclause (A) or (B) of this

15 clause; and

16 (2) enters the United States not later than 6 months after the expira17 tion of a lease agreement (including any extension) between an owner

18 described in clause (1) of this subsection and a foreign carrier.

19 § 47530. Nonapplication of sections 47528(a)–(d) and 47529 to

20 aircraft outside the 48 contiguous States

21 Sections 47528(a)–(d) and 47529 of this title do not apply to aircraft used

22 only to provide air transportation outside the 48 contiguous States. A civil

23 subsonic turbojet aircraft with a maximum weight of more than 75,000

24 pounds that is imported into a noncontiguous State or a territory or posses25 sion of the United States after November 4, 1990, may be used to provide air

26 transportation in the 48 contiguous States only if the aircraft complies with

27 the stage 3 noise levels.

28 § 47531. Penalties for violating sections 47528–47530

29 A person violating sections 47528, 47529, or 47530 of this title or a regula30 tion prescribed under those sections is subject to the same civil penalties and

31 procedures under chapter 463 of this title as a person violating section

32 44701(a) or (b) or 44702–44716 of this title.

33 § 47532. Judicial review

34 An action taken by the Secretary of Transportation under sections 47528–

35 47531 of this title is subject to judicial review as provided under section

36 46110 of this title.

37 § 47533. Relationship to other laws

38 Except as provided by section 47524 of this title, this subchapter does not

39 affect—

40 (1) law in effect on November 5, 1990, on airport noise or access re41 strictions by local authorities;
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1 (2) any proposed airport noise or access restriction at a general avia2 tion airport if the airport proprietor has formally initiated a regulatory

3 or legislative process before October 2, 1990; or

4 (3) the authority of the Secretary of Transportation to seek and obtain

5 legal remedies the Secretary considers appropriate, including injunctive

6 relief.

7 PART C—FINANCING

8 CHAPTER 481—AIRPORT AND AIRWAY TRUST FUND

9 AUTHORIZATIONS

Sec.

48101. Air navigation facilities.

48102. Research and development.

48103. Airport planning and development and noise compatibility planning and programs.

48104. Certain direct costs and joint air navigation services.

48105. Weather reporting services.

48106. Airway science curriculum grants.

48107. Civil aviation security research and development.

48108. Availability and uses of amounts.

48109. Submission of budget information and legislative recommendations and comments.

48110. Facilities for advanced training of maintenance technicians for air carrier aircraft.

10 § 48101. Air navigation facilities

11 (a) GENERAL AUTHORIZATION OF APPROPRIATIONS.—Not more than a

12 total of the following amounts may be appropriated to the Secretary of Trans13 portation out of the Airport and Airway Trust Fund established under section

14 9502 of the Internal Revenue Code of 1986 (26 U.S.C. 9502) to acquire, estab15 lish, and improve air navigation facilities under section 44502(a)(1)(A) of

16 this title:

17 (1) for the fiscal years ending September 30, 1991–1993,

18 $8,200,000,000.

19 (2) for the fiscal years ending September 30, 1991–1994,

20 $11,100,000,000.

21 (3) for the fiscal years ending September 30, 1991–1995,

22 $14,000,000,000.

23 (b) MAJOR AIRWAY CAPITAL INVESTMENT PLAN CHANGES.—If the Sec24 retary decides that it is necessary to augment or substantially modify ele25 ments of the Airway Capital Investment Plan referred to in section 44501(b)

26 of this title (including a decision that it is necessary to establish more than

27 23 area control facilities), not more than $100,000,000 may be appropriated

28 to the Secretary out of the Fund for the fiscal year ending September 30,

29 1994, to carry out the augmentation or modification.

30 (c) AVAILABILITY OF AMOUNTS.—Amounts appropriated under this section

31 remain available until expended.
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1 § 48102. Research and development

2 (a) AUTHORIZATION OF APPROPRIATIONS.—Not more than the following

3 amounts may be appropriated to the Secretary of Transportation out of the

4 Airport and Airway Trust Fund established under section 9502 of the Inter5 nal Revenue Code of 1986 (26 U.S.C. 9502) to carry out sections 44504,

6 44505, 44507, 44509, and 44511–44513 of this title:

7 (1) for the fiscal year ending September 30, 1993—

8 (A) $14,700,000 only for management and analysis projects and

9 activities.

10 (B) $87,000,000 only for capacity and air traffic management

11 technology projects and activities.

12 (C) $28,000,000 only for communications, navigation, and sur13 veillance projects and activities.

14 (D) $7,700,000 only for weather projects and activities.

15 (E) $6,800,000 only for airport technology projects and activities.

16 (F) $44,000,000 only for aircraft safety technology projects and

17 activities.

18 (G) $41,100,000 only for system security technology projects and

19 activities.

20 (H) $31,000,000 only for human factors and aviation medicine

21 projects and activities.

22 (I) $4,500,000 for environment and energy projects and activities.

23 (J) $5,200,000 for innovative and cooperative research projects

24 and activities.

25 (2) for the fiscal year ending September 30, 1994, $297,000,000.

26 (b) AVAILABILITY FOR RESEARCH.—(1) At least 15 percent of the amount

27 appropriated under subsection (a) of this section shall be for long-term re28 search projects.

29 (2) At least 3 percent of the amount appropriated under subsection (a) of

30 this section shall be available to the Administrator of the Federal Aviation

31 Administration to make grants under section 44511 of this title.

32 (c) TRANSFERS BETWEEN CATEGORIES.—(1) Not more than 10 percent of

33 the net amount authorized for a category of projects and activities in a fiscal

34 year under subsection (a) of this section may be transferred to or from that

35 category in that fiscal year.

36 (2) The Secretary may transfer more than 10 percent of an authorized

37 amount to or from a category only after—

38 (A) submitting a written explanation of the proposed transfer to the

39 Committees on Science, Space, and Technology and Appropriations of

40 the House of Representatives and the Committees on Commerce, Science,

41 and Transportation and Appropriations of the Senate; and
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1 (B) 30 days have passed after the explanation is submitted or each

2 Committee notifies the Secretary in writing that it does not object to the

3 proposed transfer.

4 (d) AIRPORT CAPACITY RESEARCH AND DEVELOPMENT.—(1) Of the

5 amounts made available under subsection (a) of this section, at least

6 $25,000,000 may be appropriated each fiscal year for research and develop7 ment under section 44505(a) and (c) of this title on preserving and enhancing

8 airport capacity, including research and development on improvements to

9 airport design standards, maintenance, safety, operations, and environmental

10 concerns.

11 (2) The Administrator shall submit to the Committees on Science, Space,

12 and Technology and Public Works and Transportation of the House of Rep13 resentatives and the Committee on Commerce, Science, and Transportation of

14 the Senate a report on expenditures made under paragraph (1) of this sub15 section for each fiscal year. The report shall be submitted not later than 60

16 days after the end of the fiscal year.

17 (e) AIR TRAFFIC CONTROLLER PERFORMANCE RESEARCH.—Necessary

18 amounts may be appropriated to the Secretary out of amounts in the Fund

19 available for research and development to conduct research under section

20 44506(a) and (b) of this title.

21 (f) AVAILABILITY OF AMOUNTS.—Amounts appropriated under subsection

22 (a) of this section remain available until expended.

23 § 48103. Airport planning and development and noise com24 patibility planning and programs

25 Not more than a total of $15,966,700,000 is available to the Secretary of

26 Transportation for the fiscal years ending September 30, 1982–1993, out of

27 the Airport and Airway Trust Fund established under section 9502 of the In28 ternal Revenue Code of 1986 (26 U.S.C. 9502) to make grants for airport

29 planning and airport development under section 47104 of this title, airport

30 noise compatibility planning under section 47505(a)(2) of this title, and car31 rying out noise compatibility programs under section 47504(c) of this title.

32 § 48104. Certain direct costs and joint air navigation serv33 ices

34 (a) AUTHORIZATION OF APPROPRIATIONS.—Except as provided in this sec35 tion, the balance of the money available in the Airport and Airway Trust

36 Fund established under section 9502 of the Internal Revenue Code of 1986

37 (26 U.S.C. 9502) may be appropriated to the Secretary of Transportation out

38 of the Fund for—

39 (1) direct costs the Secretary incurs to flight check, operate, and main40 tain air navigation facilities referred to in section 44502(a)(1)(A) of this

41 title safely and efficiently; and
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1 (2) the costs of services provided under international agreements relat2 ed to the joint financing of air navigation services assessed against the

3 United States Government.

4 (b) LIMITATION.—The amount that may be appropriated out of the Fund

5 for each of the fiscal years ending September 30, 1993–1995, may not be more

6 than an amount equal to—

7 (1) 75 percent of the amount made available under sections 106(k)

8 and 48101–48103 of this title for that fiscal year; less

9 (2) the amount made available under sections 48101–48103 of this

10 title for that fiscal year.

11 § 48105. Weather reporting services

12 To reimburse the Secretary of Commerce for the cost incurred by the Na13 tional Oceanic and Atmospheric Administration of providing weather report14 ing services to the Federal Aviation Administration, the Secretary of Trans15 portation may expend from amounts available under section 48104 of this

16 title not more than the following amounts:

17 (1) for the fiscal year ending September 30, 1993, $35,596,000.

18 (2) for the fiscal year ending September 30, 1994, $37,800,000.

19 (3) for the fiscal year ending September 30, 1995, $39,000,000.

20 § 48106. Airway science curriculum grants

21 Amounts are available from the Airport and Airway Trust Fund estab22 lished under section 9502 of the Internal Revenue Code of 1986 (26 U.S.C.

23 9502) to carry out section 44510 of this title. The amounts remain available

24 until expended.

25 § 48107. Civil aviation security research and development

26 After the review under section 44912(b) of this title is completed, necessary

27 amounts may be appropriated to the Secretary of Transportation out of the

28 Airport and Airway Trust Fund established under section 9502 of the Inter29 nal Revenue Code of 1986 (26 U.S.C. 9502) to make grants under section

30 44912(a)(4)(A).

31 § 48108. Availability and uses of amounts

32 (a) AVAILABILITY OF AMOUNTS.—Amounts equal to the amounts authorized

33 under sections 48101–48105 of this title remain in the Airport and Airway

34 Trust Fund established under section 9502 of the Internal Revenue Code of

35 1986 (26 U.S.C. 9502) until appropriated for the purposes of sections 48101–

36 48105.

37 (b) LIMITATIONS ON USES.—(1) Amounts in the Fund may be appro38 priated only to carry out a program or activity referred to in this chapter.

39 (2) Amounts in the Fund may be appropriated for administrative expenses

40 of the Department of Transportation or a component of the Department only

41 to the extent authorized by section 48104 of this title.
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1 (c) LIMITATION ON OBLIGATING OR EXPENDING AMOUNTS.—In a fiscal

2 year beginning after September 30, 1995, the Secretary of Transportation

3 may obligate or expend an amount appropriated out of the Fund under sec4 tion 48104 of this title only if a law expressly amends section 48104.

5 § 48109. Submission of budget information and legislative

6 recommendations and comments

7 When the Administrator of the Federal Aviation Administration submits

8 to the Secretary of Transportation, the President, or the Director of the Office

9 of Management and Budget any budget information, legislative recommenda10 tion, or comment on legislation about amounts authorized in section 48101

11 or 48102 of this title, the Administrator concurrently shall submit a copy of

12 the information, recommendation, or comment to the Speaker of the House

13 of Representatives, the Committees on Public Works and Transportation and

14 Appropriations of the House, the President of the Senate, and the Committees

15 on Commerce, Science, and Transportation and Appropriations of the Senate.

16 § 48110. Facilities for advanced training of maintenance

17 technicians for air carrier aircraft

18 For the fiscal years ending September 30, 1993–1995, amounts necessary

19 to carry out section 44515 of this title may be appropriated to the Secretary

20 of Transportation out of the Airport and Airway Trust Fund established

21 under section 9502 of the Internal Revenue Code of 1986 (26 U.S.C. 9502).

22 The amounts remain available until expended.

23 PART D—MISCELLANEOUS

24 CHAPTER 491—BUY-AMERICAN PREFERENCES

Sec.

49101. Buying goods produced in the United States.

49102. Restricting contract awards because of discrimination against United States goods or

services.

49103. Contract preference for domestic firms.

49104. Restriction on airport projects using products or services of foreign countries denying

fair market opportunities.

49105. Fraudulent use of ‘‘Made in America’’ label.

25 § 49101. Buying goods produced in the United States

26 (a) PREFERENCE.—The Secretary of Transportation may obligate an

27 amount that may be appropriated to carry out section 106(k), 44502(a)(2),

28 or 44509, subchapter I of chapter 471 (except sections 47106(d) and 47127),

29 or chapter 481 (except sections 48102(e), 48106, 48107, and 48110) of this

30 title for a project only if steel and manufactured goods used in the project

31 are produced in the United States.

32 (b) WAIVER.—The Secretary may waive subsection (a) of this section if the

33 Secretary finds that—

34 (1) applying subsection (a) would be inconsistent with the public in35 terest;
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1 (2) the steel and goods produced in the United States are not produced

2 in a sufficient and reasonably available amount or are not of a satisfac3 tory quality;

4 (3) when procuring a facility or equipment under section 44502(a)(2)

5 or 44509, subchapter I of chapter 471 (except sections 47106(d) and

6 47127), or chapter 481 (except sections 48102(e), 48106, 48107, and

7 48110) of this title—

8 (A) the cost of components and subcomponents produced in the

9 United States is more than 60 percent of the cost of all components

10 of the facility or equipment; and

11 (B) final assembly of the facility or equipment has occurred in

12 the United States; or

13 (4) including domestic material will increase the cost of the overall

14 project by more than 25 percent.

15 (c) LABOR COSTS.—In this section, labor costs involved in final assembly

16 are not included in calculating the cost of components.

17 § 49102. Restricting contract awards because of discrimina18 tion against United States goods or services

19 A person or enterprise domiciled or operating under the laws of a foreign

20 country may not make a contract or subcontract under section 106(k),

21 44502(a)(2), or 44509, subchapter I of chapter 471 (except sections 47106(d)

22 and 47127), or chapter 481 (except sections 48102(e), 48106, 48107, and

23 48110) of this title or subtitle B of title IX of the Omnibus Budget Reconcili24 ation Act of 1990 (Public Law 101–508, 104 Stat. 1388–353) if the govern25 ment of that country unfairly maintains, in government procurement, a sig26 nificant and persistent pattern of discrimination against United States goods

27 or services that results in identifiable harm to United States businesses, that

28 the President identifies under section 305(g)(1)(A) of the Trade Agreements

29 Act of 1979 (19 U.S.C. 2515(g)(1)(A)).

30 § 49103. Contract preference for domestic firms

31 (a) DEFINITIONS.—In this section—

32 (1) ‘‘domestic firm’’ means a business entity incorporated, and con33 ducting business, in the United States.

34 (2) ‘‘foreign firm’’ means a business entity not described in clause (1)

35 of this subsection.

36 (b) PREFERENCE.—Subject to subsections (c) and (d) of this section, the

37 Administrator of the Federal Aviation Administration may make, with a do38 mestic firm, a contract related to a grant made under section 44511, 44512,

39 or 44513 of this title that, under competitive procedures, would be made with

40 a foreign firm, if—
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1 (1) the Administrator decides, and the Secretary of Commerce and the

2 United States Trade Representative concur, that the public interest re3 quires making the contract with the domestic firm, considering United

4 States international obligations and trade relations;

5 (2) the difference between the bids submitted by the foreign firm and

6 the domestic firm is not more than 6 percent;

7 (3) the final product of the domestic firm will be assembled completely

8 in the United States; and

9 (4) at least 51 percent of the final product of the domestic firm will

10 be produced in the United States.

11 (c) NONAPPLICATION.—Subsection (b) of this section does not apply if—

12 (1) compelling national security considerations require that subsection

13 (b) of this section not apply; or

14 (2) the Trade Representative decides that making the contract would

15 violate the General Agreement on Tariffs and Trade or an international

16 agreement to which the United States is a party.

17 (d) APPLICATION TO CERTAIN GRANTS.—This section applies only to a con18 tract related to a grant made under section 44511, 44512, or 44513 of this

19 title for which—

20 (1) an amount is authorized by section 48102(a), (b), or (d) of this

21 title to be made available for the fiscal years ending September 30, 1991,

22 and September 30, 1992; and

23 (2) a solicitation for bid is issued after November 5, 1990.

24 (e) REPORT.—The Administrator shall submit a report to Congress on—

25 (1) contracts to which this section applies that are made with foreign

26 firms in the fiscal years ending September 30, 1991, and September 30,

27 1992;

28 (2) the number of contracts that meet the requirements of subsection

29 (b) of this section, but that the Trade Representative decides would vio30 late the General Agreement on Tariffs and Trade or an international

31 agreement to which the United States is a party; and

32 (3) the number of contracts made under this section.

33 § 49104. Restriction on airport projects using products or

34 services of foreign countries denying fair market

35 opportunities

36 (a) DEFINITION AND RULES FOR CONSTRUING SECTION.—In this section—

37 (1) ‘‘project’’ has the same meaning given that term in section 47102

38 of this title.

39 (2) each foreign instrumentality and each territory and possession of

40 a foreign country administered separately for customs purposes is a sep41 arate foreign country.
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1 (3) an article substantially produced or manufactured in a foreign

2 country is a product of the country.

3 (4) a service provided by a person that is a national of a foreign coun4 try or that is controlled by a national of a foreign country is a service

5 of the country.

6 (b) LIMITATION ON USE OF AVAILABLE AMOUNTS.—(1) An amount made

7 available under subchapter I of chapter 471 of this title (except sections

8 47106(d) and 47127) may not be used for a project that uses a product or

9 service of a foreign country during any period the country is on the list

10 maintained by the United States Trade Representative under subsection

11 (d)(1) of this section.

12 (2) Paragraph (1) of this subsection does not apply when the Secretary of

13 Transportation decides that—

14 (A) applying paragraph (1) to the product, service, or project is not

15 in the public interest;

16 (B) a product or service of the same class or type and of satisfactory

17 quality is not produced or offered in the United States, or in a foreign

18 country not listed under subsection (d)(1) of this section, in a sufficient

19 and reasonably available amount; and

20 (C) the project cost will increase by more than 20 percent if the prod21 uct or service is excluded.

22 (c) DECISIONS ON DENIAL OF FAIR MARKET OPPORTUNITIES.—Not later

23 than 30 days after a report is submitted to Congress under section 181(b) of

24 the Trade Act of 1974 (19 U.S.C. 2241(b)), the Trade Representative, for a

25 construction project of more than $500,000 for which the government of a for26 eign country supplies any part of the amount, shall decide whether the foreign

27 country denies fair market opportunities for products and suppliers of the

28 United States in procurement or for United States bidders. In making the

29 decision, the Trade Representative shall consider information obtained in pre30 paring the report and other information the Trade Representative considers

31 relevant.

32 (d) LIST OF COUNTRIES DENYING FAIR MARKET OPPORTUNITIES.—(1)

33 The Trade Representative shall maintain a list of each foreign country the

34 Trade Representative finds under subsection (c) of this section is denying fair

35 market opportunities. The country shall remain on the list until the Trade

36 Representative decides the country provides fair market opportunities.

37 (2) The Trade Representative shall publish in the Federal Register—

38 (A) annually the list required under paragraph (1) of this subsection;

39 and

40 (B) any modification of the list made before the next list is published.
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1 § 49105. Fraudulent use of ‘‘Made in America’’ label

2 If the Secretary of Transportation decides that a person intentionally af3 fixed a ‘‘Made in America’’ label to goods sold in or shipped to the United

4 States that are not made in the United States, the Secretary shall declare the

5 person ineligible, for not less than 3 nor more than 5 years, to receive a con6 tract or grant from the United States Government related to a contract made

7 under section 106(k), 44502(a)(2), or 44509, subchapter I of chapter 471 (ex8 cept sections 47106(d) and 47127), or chapter 481 (except sections 48102(e),

9 48106, 48107, and 48110) of this title or subtitle B of title IX of the Omnibus

10 Budget Reconciliation Act of 1990 (Public Law 101–508, 104 Stat. 1388–

11 353). The Secretary may bring a civil action to enforce this section in any

12 district court of the United States.

13 SUBTITLE VIII—PIPELINES

CHAPTER Sec.

601. SAFETY ................................................................................................................... 60101

603. USER FEES ............................................................................................................ 60301

605. INTERSTATE COMMERCE REGULATION ..................................................... 60501

14 CHAPTER 601—SAFETY

Sec.

60101. Definitions.

60102. General authority.

60103. Standards for liquefied natural gas pipeline facilities.

60104. Requirements and limitations.

60105. State certifications.

60106. State agreements.

60107. State grants.

60108. Inspection and maintenance.

60109. High-density population areas and environmentally sensitive areas.

60110. Excess flow valves.

60111. Financial responsibility for liquefied natural gas facilities.

60112. Pipeline facilities hazardous to life and property.

60113. Customer-owned natural gas service lines.

60114. One-call notification systems.

60115. Technical safety standards committees.

60116. Public education programs.

60117. Administrative.

60118. Compliance and waivers.

60119. Judicial review.

60120. Enforcement.

60121. Actions by private persons.

60122. Civil penalties.

60123. Criminal penalties.

60124. Annual reports.

60125. Authorization of appropriations.

15 § 60101. Definitions

16 (a) In this chapter—

17 (1) ‘‘existing liquefied natural gas facility’’—

18 (A) means a liquefied natural gas facility for which an applica19 tion to approve the site, construction, or operation of the facility

20 was filed before March 1, 1978, with—
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1 (i) the Federal Energy Regulatory Commission (or any

2 predecessor); or

3 (ii) the appropriate State or local authority, if the facility

4 is not subject to the jurisdiction of the Commission under the

5 Natural Gas Act (15 U.S.C. 717 et seq.); but

6 (B) does not include a facility on which construction is begun

7 after November 29, 1979, without the approval.

8 (2) ‘‘gas’’ means natural gas, flammable gas, or toxic or corrosive gas.

9 (3) ‘‘gas pipeline facility’’ includes a pipeline, a right of way, a facil10 ity, a building, or equipment used in transporting gas or treating gas

11 during its transportation.

12 (4) ‘‘hazardous liquid’’ means—

13 (A) petroleum or a petroleum product; and

14 (B) a substance the Secretary of Transportation decides may pose

15 an unreasonable risk to life or property when transported by a haz16 ardous liquid pipeline facility in a liquid state (except for liquefied

17 natural gas).

18 (5) ‘‘hazardous liquid pipeline facility’’ includes a pipeline, a right

19 of way, a facility, a building, or equipment used or intended to be used

20 in transporting hazardous liquid.

21 (6) ‘‘interstate gas pipeline facility’’—

22 (A) means a gas pipeline facility—

23 (i) used to transport gas; and

24 (ii) subject to the jurisdiction of the Commission under the

25 Natural Gas Act (15 U.S.C. 717 et seq.); but

26 (B) does not include a gas pipeline facility transporting gas from

27 an interstate gas pipeline in a State to a direct sales customer in

28 that State buying gas for its own consumption.

29 (7) ‘‘interstate hazardous liquid pipeline facility’’ means a hazardous

30 liquid pipeline facility used to transport hazardous liquid in interstate

31 or foreign commerce.

32 (8) ‘‘interstate or foreign commerce’’—

33 (A) related to gas, means commerce—

34 (i) between a place in a State and a place outside that

35 State; or

36 (ii) that affects any commerce described in subclause (A)(i)

37 of this clause; and

38 (B) related to hazardous liquid, means commerce between—

39 (i) a place in a State and a place outside that State; or

40 (ii) places in the same State through a place outside the

41 State.
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1 (9) ‘‘intrastate gas pipeline facility’’ means—

2 (A) a gas pipeline facility and transportation of gas within a

3 State not subject to the jurisdiction of the Commission under the

4 Natural Gas Act (15 U.S.C. 717 et seq.); and

5 (B) a gas pipeline facility transporting gas from an interstate

6 gas pipeline in a State to a direct sales customer in that State buy7 ing gas for its own consumption.

8 (10) ‘‘intrastate hazardous liquid pipeline facility’’ means a hazardous

9 liquid pipeline facility that is not an interstate hazardous liquid pipe10 line facility.

11 (11) ‘‘liquefied natural gas’’ means natural gas in a liquid or semi12 solid state.

13 (12) ‘‘liquefied natural gas accident’’ means a release, burning, or ex14 plosion of liquefied natural gas from any cause, except a release, burn15 ing, or explosion that, under regulations prescribed by the Secretary,

16 does not pose a threat to public health or safety, property, or the environ17 ment.

18 (13) ‘‘liquefied natural gas conversion’’ means conversion of natural

19 gas into liquefied natural gas or conversion of liquefied natural gas into

20 natural gas.

21 (14) ‘‘liquefied natural gas pipeline facility’’—

22 (A) means a gas pipeline facility used for transporting or storing

23 liquefied natural gas, or for liquefied natural gas conversion, in

24 interstate or foreign commerce; but

25 (B) does not include any part of a structure or equipment located

26 in navigable waters (as defined in section 3 of the Federal Power

27 Act (16 U.S.C. 796)).

28 (15) ‘‘municipality’’ means a political subdivision of a State.

29 (16) ‘‘new liquefied natural gas pipeline facility’’ means a liquefied

30 natural gas pipeline facility except an existing liquefied natural gas

31 pipeline facility.

32 (17) ‘‘person’’, in addition to its meaning under section 1 of title 1

33 (except as to societies), includes a State, a municipality, and a trustee,

34 receiver, assignee, or personal representative of a person.

35 (18) ‘‘pipeline facility’’ means a gas pipeline facility and a hazardous

36 liquid pipeline facility.

37 (19) ‘‘pipeline transportation’’ means transporting gas and transport38 ing hazardous liquid.

39 (20) ‘‘State’’ means a State of the United States, the District of Co40 lumbia, and Puerto Rico.

41 (21) ‘‘transporting gas’’—
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1 (A) means the gathering, transmission, or distribution of gas by

2 pipeline, or the storage of gas, in interstate or foreign commerce; but

3 (B) does not include gathering gas in a rural area outside a pop4 ulated area designated by the Secretary as a nonrural area.

5 (22) ‘‘transporting hazardous liquid’’—

6 (A) means the movement of hazardous liquid by pipeline, or the

7 storage of hazardous liquid incidental to the movement of hazardous

8 liquid by pipeline, in or affecting interstate or foreign commerce;

9 but

10 (B) does not include moving hazardous liquid through—

11 (i) gathering lines in a rural area;

12 (ii) onshore production, refining, or manufacturing facili13 ties; or

14 (iii) storage or in-plant piping systems associated with on15 shore production, refining, or manufacturing facilities.

16 (b) GATHERING LINES.—(1)(A) Not later than October 24, 1994, the Sec17 retary shall define by regulation the term ‘‘gathering line’’.

18 (B) In defining ‘‘gathering line’’ for gas, the Secretary—

19 (i) shall consider functional and operational characteristics of the

20 lines to be included in the definition; and

21 (ii) is not bound by a classification the Commission establishes under

22 the Natural Gas Act (15 U.S.C. 717 et seq.).

23 (2)(A) Not later than October 24, 1995, the Secretary shall define by regu24 lation the term ‘‘regulated gathering line’’. In defining the term, the Secretary

25 shall consider factors such as location, length of line from the well site, operat26 ing pressure, throughput, and the composition of the transported gas or haz27 ardous liquid, as appropriate, in deciding on the types of lines that function28 ally are gathering but should be regulated under this chapter because of spe29 cific physical characteristics.

30 (B)(i) The Secretary also shall consider diameter when defining ‘‘regulated

31 gathering line’’ for hazardous liquid.

32 (ii) The definition of ‘‘regulated gathering line’’ for hazardous liquid may

33 not include a crude oil gathering line that has a nominal diameter of not

34 more than 6 inches, is operated at low pressure, and is located in a rural

35 area that is not unusually sensitive to environmental damage.

36 § 60102. General authority

37 (a)(1) MINIMUM SAFETY STANDARDS.—The Secretary of Transportation

38 shall prescribe minimum safety standards for pipeline transportation and for

39 pipeline facilities. The standards—

40 (A) apply to transporters of gas and hazardous liquid and to owners

41 and operators of pipeline facilities;
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1 (B) may apply to the design, installation, inspection, emergency plans

2 and procedures, testing, construction, extension, operation, replacement,

3 and maintenance of pipeline facilities; and

4 (C) shall include a requirement that all individuals responsible for the

5 operation and maintenance of pipeline facilities be tested for qualifica6 tions and certified to operate and maintain those facilities.

7 (2) As the Secretary considers appropriate, the operator of a pipeline facil8 ity may make the certification under paragraph (1)(C) of this subsection.

9 Testing and certification under paragraph (1)(C) shall address the ability to

10 recognize and react appropriately to abnormal operating conditions that may

11 indicate a dangerous situation or a condition exceeding design limits.

12 (b) PRACTICABILITY AND SAFETY NEEDS STANDARDS.—A standard pre13 scribed under subsection (a) of this section shall be practicable and designed

14 to meet the need for gas pipeline safety, for safely transporting hazardous liq15 uid, and for protecting the environment. Except as provided in section 60103

16 of this title, when prescribing the standard the Secretary shall consider—

17 (1) relevant available—

18 (A) gas pipeline safety information; or

19 (B) hazardous liquid pipeline information;

20 (2) the appropriateness of the standard for the particular type of pipe21 line transportation or facility;

22 (3) the reasonableness of the standard; and

23 (4) the extent to which the standard will contribute to public safety

24 and the protection of the environment.

25 (c) PUBLIC SAFETY PROGRAM REQUIREMENTS.—(1) The Secretary shall

26 include in the standards prescribed under subsection (a) of this section a re27 quirement that an operator of a gas pipeline facility participate in a public

28 safety program that—

29 (A) notifies an operator of proposed demolition, excavation, tunneling,

30 or construction near or affecting the facility;

31 (B) requires an operator to identify a pipeline facility that may be

32 affected by the proposed demolition, excavation, tunneling, or construc33 tion, to prevent damaging the facility; and

34 (C) the Secretary decides will protect a facility adequately against a

35 hazard caused by demolition, excavation, tunneling, or construction.

36 (2) To the extent a public safety program referred to in paragraph (1) of

37 this subsection is not available, the Secretary shall prescribe standards requir38 ing an operator to take action the Secretary prescribes to provide services

39 comparable to services that would be available under a public safety program.

40 (3) The Secretary may include in the standards prescribed under subsection

41 (a) of this section a requirement that an operator of a hazardous liquid pipe-
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1 line facility participate in a public safety program meeting the requirements

2 of paragraph (1) of this subsection or maintain and carry out a damage pre3 vention program that provides services comparable to services that would be

4 available under a public safety program.

5 (d) FACILITY OPERATION INFORMATION STANDARDS.—The Secretary shall

6 prescribe minimum standards requiring an operator of a pipeline facility

7 subject to this chapter to maintain, to the extent practicable, information re8 lated to operating the facility and, when requested, to provide the information

9 to the Secretary and an appropriate State official. The information shall in10 clude—

11 (1) the business name, address, and telephone number, including an

12 operations emergency telephone number, of the operator;

13 (2) accurate maps and a supplementary geographic description, in14 cluding an identification of areas described in regulations prescribed

15 under section 60109 of this title, that show the location in the State of—

16 (A) major gas pipeline facilities of the operator, including trans17 mission lines and significant distribution lines; and

18 (B) major hazardous liquid pipeline facilities of the operator;

19 (3) a description of—

20 (A) the characteristics of the operator’s pipelines in the State;

21 and

22 (B) products transported through the operator’s pipelines in the

23 State;

24 (4) the manual that governs operating and maintaining pipeline fa25 cilities in the State;

26 (5) an emergency response plan describing the operator’s procedures

27 for responding to and containing releases, including—

28 (A) identifying specific action the operator will take on discover29 ing a release;

30 (B) liaison procedures with State and local authorities for emer31 gency response; and

32 (C) communication and alert procedures for immediately notify33 ing State and local officials at the time of a release; and

34 (6) other information the Secretary considers useful to inform a State

35 of the presence of pipeline facilities and operations in the State.

36 (e) PIPE INVENTORY STANDARDS.—The Secretary shall prescribe minimum

37 standards requiring an operator of a pipeline facility subject to this chapter

38 and, to the extent the Secretary considers necessary, an operator of a gather39 ing line that is not a regulated gathering line (as defined under section

40 60101(b)(2) of this title), to maintain for the Secretary, to the extent prac41 ticable, an inventory with appropriate information about the types of pipe
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1 used for the transmission of gas or hazardous liquid, as appropriate, in the

2 operator’s system and additional information, including the material’s his3 tory and the leak history of the pipe. The inventory—

4 (1) for a gas pipeline facility, shall include an identification of each

5 facility passing through an area described in regulations prescribed

6 under section 60109 of this title but shall exclude equipment used with

7 the compression of gas; and

8 (2) for a hazardous liquid pipeline facility, shall include an identi9 fication of each facility and gathering line passing through an area de10 scribed in regulations prescribed under section 60109 of this title, wheth11 er the facility or gathering line otherwise is subject to this chapter, but

12 shall exclude equipment associated only with the pipeline pumps or stor13 age facilities.

14 (f) STANDARDS AS ACCOMMODATING ‘‘SMART PIGS’’.—(1) The Secretary

15 shall prescribe minimum safety standards requiring that the design and con16 struction of a new gas pipeline transmission facility or hazardous liquid

17 pipeline facility, and the required replacement of an existing gas pipeline

18 transmission facility, hazardous liquid pipeline facility, or equipment, be car19 ried out, to the extent practicable, in a way that accommodates the passage

20 through the facility of an instrumented internal inspection device (commonly

21 referred to as a ‘‘smart pig’’). The Secretary may apply the standard to an

22 existing gas or hazardous liquid transmission facility and require the facility

23 to be changed to allow the facility to be inspected with an instrumented inter24 nal inspection device if the basic construction of the facility will accommodate

25 the device.

26 (2) Not later than October 24, 1995, the Secretary shall prescribe regula27 tions requiring the periodic inspection of each pipeline the operator of the

28 pipeline identifies under section 60109 of this title. The regulations shall in29 clude any circumstances under which an inspection shall be conducted with

30 an instrumented internal inspection device and, if the device is not required,

31 use of an inspection method that is at least as effective as using the device

32 in providing for the safety of the pipeline.

33 (g) EFFECTIVE DATES.—A standard prescribed under this section and sec34 tion 60110 of this title is effective on the 30th day after the Secretary pre35 scribes the standard. However, the Secretary for good cause may prescribe a

36 different effective date when required because of the time reasonably necessary

37 to comply with the standard. The different date must be specified in the regu38 lation prescribing the standard.

39 (h) SAFETY CONDITION REPORTS.—(1) The Secretary shall prescribe regu40 lations requiring each operator of a pipeline facility (except a master meter)

41 to submit to the Secretary a written report on any—
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1 (A) condition that is a hazard to life, property, or the environment;

2 and

3 (B) safety-related condition that causes or has caused a significant

4 change or restriction in the operation of a pipeline facility.

5 (2) The Secretary must receive the report not later than 5 working days

6 after a representative of a person to which this section applies first establishes

7 that the condition exists. Notice of the condition shall be given concurrently

8 to appropriate State authorities.

9 (i) CARBON DIOXIDE REGULATION.—The Secretary shall regulate carbon

10 dioxide transported by a hazardous liquid pipeline facility. The Secretary

11 shall prescribe regulations related to hazardous liquid to ensure the safe trans12 portation of carbon dioxide by such a facility.

13 (j) EMERGENCY FLOW RESTRICTING DEVICES.—(1) Not later than October

14 24, 1994, the Secretary shall survey and assess the effectiveness of emergency

15 flow restricting devices (including remotely controlled valves and check valves)

16 and other procedures, systems, and equipment used to detect and locate haz17 ardous liquid pipeline ruptures and minimize product releases from hazard18 ous liquid pipeline facilities.

19 (2) Not later than 2 years after the survey and assessment are completed,

20 the Secretary shall prescribe regulations on the circumstances under which an

21 operator of a hazardous liquid pipeline facility must use an emergency flow

22 restricting device or other procedure, system, or equipment described in para23 graph (1) of this subsection on the facility.

24 (k) PROHIBITION AGAINST LOW INTERNAL STRESS EXCEPTION.—The Sec25 retary may not provide an exception to this chapter for a hazardous liquid

26 pipeline facility only because the facility operates at low internal stress.

27 § 60103. Standards for liquefied natural gas pipeline facili28 ties

29 (a) LOCATION STANDARDS.—The Secretary of Transportation shall pre30 scribe minimum safety standards for deciding on the location of a new lique31 fied natural gas pipeline facility. In prescribing a standard, the Secretary

32 shall consider the—

33 (1) kind and use of the facility;

34 (2) existing and projected population and demographic characteristics

35 of the location;

36 (3) existing and proposed land use near the location;

37 (4) natural physical aspects of the location;

38 (5) medical, law enforcement, and fire prevention capabilities near the

39 location that can cope with a risk caused by the facility; and

40 (6) need to encourage remote siting.
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1 (b) DESIGN, INSTALLATION, CONSTRUCTION, INSPECTION, AND TESTING

2 STANDARDS.—The Secretary of Transportation shall prescribe minimum safe3 ty standards for designing, installing, constructing, initially inspecting, and

4 initially testing a new liquefied natural gas pipeline facility. When prescrib5 ing a standard, the Secretary shall consider—

6 (1) the characteristics of material to be used in constructing the facil7 ity and of alternative material;

8 (2) design factors;

9 (3) the characteristics of the liquefied natural gas to be stored or con10 verted at, or transported by, the facility; and

11 (4) the public safety factors of the design and of alternative designs,

12 particularly the ability to prevent and contain a liquefied natural gas

13 spill.

14 (c) NONAPPLICATION.—(1) Except as provided in paragraph (2) of this

15 subsection, a design, location, installation, construction, initial inspection, or

16 initial testing standard prescribed under this chapter after March 1, 1978,

17 does not apply to an existing liquefied natural gas pipeline facility if the

18 standard is to be applied because of authority given—

19 (A) under this chapter; or

20 (B) under another law, and the standard is not prescribed at the time

21 the authority is applied.

22 (2)(A) Any design, installation, construction, initial inspection, or initial

23 testing standard prescribed under this chapter after March 1, 1978, may pro24 vide that the standard applies to any part of a replacement component of a

25 liquefied natural gas pipeline facility if the component or part is placed in

26 service after the standard is prescribed and application of the standard—

27 (i) does not make the component or part incompatible with other com28 ponents or parts; or

29 (ii) is not impracticable otherwise.

30 (B) Any location standard prescribed under this chapter after March 1,

31 1978, does not apply to any part of a replacement component of an existing

32 liquefied natural gas pipeline facility.

33 (3) A design, installation, construction, initial inspection, or initial testing

34 standard does not apply to a liquefied natural gas pipeline facility existing

35 when the standard is adopted.

36 (d) OPERATION AND MAINTENANCE STANDARDS.—The Secretary of Trans37 portation shall prescribe minimum operating and maintenance standards for

38 a liquefied natural gas pipeline facility. In prescribing a standard, the Sec39 retary shall consider—

40 (1) the conditions, features, and type of equipment and structures that

41 make up or are used in connection with the facility;
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1 (2) the fire prevention and containment equipment at the facility;

2 (3) security measures to prevent an intentional act that could cause

3 a liquefied natural gas accident;

4 (4) maintenance procedures and equipment;

5 (5) the training of personnel in matters specified by this subsection;

6 and

7 (6) other factors and conditions related to the safe handling of lique8 fied natural gas.

9 (e) EFFECTIVE DATES.—A standard prescribed under this section is effec10 tive on the 30th day after the Secretary of Transportation prescribes the

11 standard. However, the Secretary for good cause may prescribe a different ef12 fective date when required because of the time reasonably necessary to comply

13 with the standard. The different date must be specified in the regulation pre14 scribing the standard.

15 (f) CONTINGENCY PLANS.—A new liquefied natural gas pipeline facility

16 may be operated only after the operator submits an adequate contingency

17 plan that states the action to be taken if a liquefied natural gas accident oc18 curs. The Secretary of Energy or appropriate State or local authority shall

19 decide if the plan is adequate.

20 (g) EFFECT ON OTHER STANDARDS.—This section does not preclude apply21 ing a standard prescribed under section 60102 of this title to a gas pipeline

22 facility (except a liquefied natural gas pipeline facility) associated with a liq23 uefied natural gas pipeline facility.

24 § 60104. Requirements and limitations

25 (a) OPPORTUNITY TO PRESENT VIEWS.—The Secretary of Transportation

26 shall give an interested person an opportunity to make oral and written pres27 entations of information, views, and arguments when prescribing a standard

28 under this chapter.

29 (b) NONAPPLICATION.—A design, installation, construction, initial inspec30 tion, or initial testing standard does not apply to a pipeline facility existing

31 when the standard is adopted.

32 (c) PREEMPTION.—A State authority that has submitted a current certifi33 cation under section 60105(a) of this title may adopt additional or more

34 stringent safety standards for intrastate pipeline facilities and intrastate

35 pipeline transportation only if those standards are compatible with the mini36 mum standards prescribed under this chapter. A State authority may not

37 adopt or continue in force safety standards for interstate pipeline facilities

38 or interstate pipeline transportation.

39 (d) CONSULTATION.—(1) When continuity of gas service is affected by pre40 scribing a standard or waiving compliance with standards under this chap41 ter, the Secretary of Transportation shall consult with and advise the Federal
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1 Energy Regulatory Commission or a State authority having jurisdiction over

2 the affected gas pipeline facility before prescribing the standard or waiving

3 compliance. The Secretary shall delay the effective date of the standard or

4 waiver until the Commission or State authority has a reasonable opportunity

5 to grant an authorization it considers necessary.

6 (2) In a proceeding under section 3 or 7 of the Natural Gas Act (15 U.S.C.

7 717b or 717f), each applicant for authority to import natural gas or to estab8 lish, construct, operate, or extend a gas pipeline facility subject to an applica9 ble safety standard shall certify that it will design, install, inspect, test, con10 struct, operate, replace, and maintain a gas pipeline facility under those

11 standards and plans for inspection and maintenance under section 60108 of

12 this title. The certification is binding on the Secretary of Energy and the

13 Commission except when an appropriate enforcement agency has given timely

14 written notice to the Commission that the applicant has violated a standard

15 prescribed under this chapter.

16 (e) LOCATION AND ROUTING OF FACILITIES.—This chapter does not author17 ize the Secretary of Transportation to prescribe the location or routing of a

18 pipeline facility.

19 § 60105. State certifications

20 (a) GENERAL REQUIREMENTS AND SUBMISSION.—Except as provided in

21 this section and sections 60114 and 60121 of this title, the Secretary of Trans22 portation may not prescribe or enforce safety standards and practices for an

23 intrastate pipeline facility or intrastate pipeline transportation to the extent

24 that the safety standards and practices are regulated by a State authority

25 (including a municipality if the standards and practices apply to intrastate

26 gas pipeline transportation) that submits to the Secretary annually a certifi27 cation for the facilities and transportation that complies with subsections (b)

28 and (c) of this section.

29 (b) CONTENTS.—Each certification submitted under subsection (a) of this

30 section shall state that the State authority—

31 (1) has regulatory jurisdiction over the standards and practices to

32 which the certification applies;

33 (2) has adopted, by the date of certification, each applicable standard

34 prescribed under this chapter or, if a standard under this chapter was

35 prescribed not later than 120 days before certification, is taking steps to

36 adopt that standard;

37 (3) is enforcing each adopted standard through ways that include in38 spections conducted by State employees meeting the qualifications the

39 Secretary prescribes under section 60107(d)(1)(C) of this title;
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1 (4) is encouraging and promoting programs designed to prevent dam2 age by demolition, excavation, tunneling, or construction activity to the

3 pipeline facilities to which the certification applies;

4 (5) may require record maintenance, reporting, and inspection sub5 stantially the same as provided under section 60117 of this title;

6 (6) may require that plans for inspection and maintenance under sec7 tion 60108 (a) and (b) of this title be filed for approval; and

8 (7) may enforce safety standards of the authority under a law of the

9 State by injunctive relief and civil penalties substantially the same as

10 provided under sections 60120 and 60122(a)(1) and (b)–(f) of this title.

11 (c) REPORTS.—(1) Each certification submitted under subsection (a) of this

12 section shall include a report that contains—

13 (A) the name and address of each person to whom the certification ap14 plies that is subject to the safety jurisdiction of the State authority;

15 (B) each accident or incident reported during the prior 12 months by

16 that person involving a fatality, personal injury requiring hospitaliza17 tion, or property damage or loss of more than an amount the Secretary

18 establishes (even if the person sustaining the fatality, personal injury, or

19 property damage or loss is not subject to the safety jurisdiction of the

20 authority), any other accident the authority considers significant, and a

21 summary of the investigation by the authority of the cause and cir22 cumstances surrounding the accident or incident;

23 (C) the record maintenance, reporting, and inspection practices con24 ducted by the authority to enforce compliance with safety standards pre25 scribed under this chapter to which the certification applies, including

26 the number of inspections of pipeline facilities the authority made dur27 ing the prior 12 months; and

28 (D) any other information the Secretary requires.

29 (2) The report included in the first certification submitted under subsection

30 (a) of this section is only required to state information available at the time

31 of certification.

32 (d) APPLICATION.—A certification in effect under this section does not

33 apply to safety standards prescribed under this chapter after the date of cer34 tification. This chapter applies to each applicable safety standard prescribed

35 after the date of certification until the State authority adopts the standard

36 and submits the appropriate certification to the Secretary under subsection

37 (a) of this section.

38 (e) MONITORING.—The Secretary may monitor a safety program estab39 lished under this section to ensure that the program complies with the certifi40 cation. A State authority shall cooperate with the Secretary under this sub41 section.
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1 (f) REJECTIONS OF CERTIFICATION.—If after receiving a certification the

2 Secretary decides the State authority is not enforcing satisfactorily compli3 ance with applicable safety standards prescribed under this chapter, the Sec4 retary may reject the certification, assert United States Government jurisdic5 tion, or take other appropriate action to achieve adequate enforcement. The

6 Secretary shall give the authority notice and an opportunity for a hearing

7 before taking final action under this subsection. When notice is given, the bur8 den of proof is on the authority to demonstrate that it is enforcing satisfac9 torily compliance with the prescribed standards.

10 § 60106. State agreements

11 (a) GENERAL AUTHORITY.—If the Secretary of Transportation does not re12 ceive a certification under section 60105 of this title, the Secretary may make

13 an agreement with a State authority (including a municipality if the agree14 ment applies to intrastate gas pipeline transportation) authorizing it to take

15 necessary action. Each agreement shall—

16 (1) establish an adequate program for record maintenance, reporting,

17 and inspection designed to assist compliance with applicable safety

18 standards prescribed under this chapter; and

19 (2) prescribe procedures for approval of plans of inspection and main20 tenance substantially the same as required under section 60108 (a) and

21 (b) of this title.

22 (b) NOTIFICATION.—Each agreement shall require the State authority to

23 notify the Secretary promptly of a violation or probable violation of an appli24 cable safety standard discovered as a result of action taken in carrying out

25 an agreement under this section.

26 (c) MONITORING.—The Secretary may monitor a safety program estab27 lished under this section to ensure that the program complies with the agree28 ment. A State authority shall cooperate with the Secretary under this sub29 section.

30 (d) ENDING AGREEMENTS.—The Secretary may end an agreement made

31 under this section when the Secretary finds that the State authority has not

32 complied with any provision of the agreement. The Secretary shall give the

33 authority notice and an opportunity for a hearing before ending an agree34 ment. The finding and decision to end the agreement shall be published in

35 the Federal Register and may not become effective for at least 15 days after

36 the date of publication.

37 § 60107. State grants

38 (a) GENERAL AUTHORITY.—If a State authority files an application not

39 later than September 30 of a calendar year, the Secretary of Transportation

40 shall pay not more than 50 percent of the cost of the personnel, equipment,
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1 and activities the authority reasonably requires during the next calendar

2 year—

3 (1) to carry out a safety program under a certification under section

4 60105 of this title or an agreement under section 60106 of this title; or

5 (2) to act as an agent of the Secretary on interstate gas pipeline

6 transmission facilities or interstate hazardous liquid pipeline facilities.

7 (b) PAYMENTS.—After notifying and consulting with a State authority, the

8 Secretary may withhold any part of a payment when the Secretary decides

9 that the authority is not carrying out satisfactorily a safety program or not

10 acting satisfactorily as an agent. The Secretary may pay an authority under

11 this section only when the authority ensures the Secretary that it will provide

12 the remaining costs of a safety program and that the total State amount

13 spent for a safety program (excluding grants of the United States Govern14 ment) will at least equal the average amount spent—

15 (1) for a gas safety program, for the fiscal years that ended June 30,

16 1967, and June 30, 1968; and

17 (2) for a hazardous liquid safety program, for the fiscal years that

18 ended September 30, 1978, and September 30, 1979.

19 (c) APPORTIONMENT AND METHOD OF PAYMENT.—The Secretary shall ap20 portion the amount appropriated to carry out this section among the States.

21 A payment may be made under this section in installments, in advance, or

22 on a reimbursable basis.

23 (d) ADDITIONAL AUTHORITY AND CONSIDERATIONS.—(1) The Secretary

24 may prescribe—

25 (A) the form of, and way of filing, an application under this section;

26 (B) reporting and fiscal procedures the Secretary considers necessary

27 to ensure the proper accounting of money of the Government; and

28 (C) qualifications for a State to meet to receive a payment under this

29 section, including qualifications for State employees who perform inspec30 tion activities under section 60105 or 60106 of this title.

31 (2) The qualifications prescribed under paragraph (1)(C) of this subsection

32 may—

33 (A) consider the experience and training of the employee;

34 (B) order training or other requirements; and

35 (C) provide for approval of qualifications on a conditional basis until

36 specified requirements are met.

37 § 60108. Inspection and maintenance

38 (a) PLANS.—(1) Each person transporting gas or hazardous liquid or own39 ing or operating an intrastate gas pipeline facility or hazardous liquid pipe40 line facility shall carry out a current written plan (including any changes)

41 for inspection and maintenance of each facility used in the transportation
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1 and owned or operated by the person. A copy of the plan shall be kept at

2 any office of the person the Secretary of Transportation considers appro3 priate. The Secretary also may require a person transporting gas or hazard4 ous liquid or owning or operating a pipeline facility subject to this chapter

5 to file a plan for inspection and maintenance for approval.

6 (2) If the Secretary or a State authority responsible for enforcing standards

7 prescribed under this chapter decides that a plan required under paragraph

8 (1) of this subsection is inadequate for safe operation, the Secretary or author9 ity shall require the person to revise the plan. Revision may be required only

10 after giving notice and an opportunity for a hearing. A plan required under

11 paragraph (1) must be practicable and designed to meet the need for pipeline

12 safety and must include terms designed to enhance the ability to discover safe13 ty-related conditions described in section 60102(h)(1) of this title. In deciding

14 on the adequacy of a plan, the Secretary or authority shall consider—

15 (A) relevant available pipeline safety information;

16 (B) the appropriateness of the plan for the particular kind of pipeline

17 transportation or facility;

18 (C) the reasonableness of the plan; and

19 (D) the extent to which the plan will contribute to public safety and

20 the protection of the environment.

21 (3) A plan required under this subsection shall be made available to the

22 Secretary or State authority on request under section 60117 of this title.

23 (b) INSPECTION AND TESTING.—(1) The Secretary shall inspect and require

24 appropriate testing of a pipeline facility subject to this chapter that is not

25 covered by a certification under section 60105 of this title or an agreement

26 under section 60106 of this title. The Secretary shall decide on the frequency

27 and type of inspection and testing under this subsection on a case-by-case

28 basis after considering the following:

29 (A) the location of the pipeline facility.

30 (B) the type, size, age, manufacturer, method of construction, and con31 dition of the pipeline facility.

32 (C) the nature and volume of material transported through the pipe33 line facility.

34 (D) the pressure at which that material is transported.

35 (E) climatic, geologic, and seismic characteristics (including soil char36 acteristics) and conditions of the area in which the pipeline facility is

37 located.

38 (F) existing and projected population and demographic characteristics

39 of the area in which the pipeline facility is located.
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1 (G) for a hazardous liquid pipeline facility, the proximity of the area

2 in which the facility is located to an area that is unusually sensitive

3 to environmental damage.

4 (H) the frequency of leaks.

5 (I) other factors the Secretary decides are relevant to the safety of

6 pipeline facilities.

7 (2) To the extent and in amounts provided in advance in an appropriation

8 law, the Secretary shall decide on the frequency of inspection under para9 graph (1) of this subsection. However, an inspection must occur at least once

10 every 2 years. The Secretary may reduce the frequency of an inspection of

11 a master meter system.

12 (3) Testing under this subsection shall use the most appropriate technology

13 practicable.

14 (c) PIPELINE FACILITIES OFFSHORE AND IN NAVIGABLE WATERS.—(1) In

15 this subsection—

16 (A) ‘‘abandoned’’ means permanently removed from service.

17 (B) ‘‘pipeline facility’’ includes an underwater abandoned pipeline fa18 cility.

19 (C) if a pipeline facility has no operator, the most recent operator of

20 the facility is deemed to be the operator of the facility.

21 (2)(A) Not later than May 16, 1993, on the basis of experience with the

22 inspections under section 3(h)(1)(A) of the Natural Gas Pipeline Safety Act

23 of 1968 or section 203(l)(1)(A) of the Hazardous Liquid Pipeline Safety Act

24 of 1979, as appropriate, and any other information available to the Sec25 retary, the Secretary shall establish a mandatory, systematic, and, where ap26 propriate, periodic inspection program of—

27 (i) all offshore pipeline facilities; and

28 (ii) any other pipeline facility crossing under, over, or through navi29 gable waters (as defined by the Secretary) if the Secretary decides that

30 the location of the facility in those navigable waters could pose a hazard

31 to navigation or public safety.

32 (B) In prescribing regulations to carry out subparagraph (A) of this para33 graph—

34 (i) the Secretary shall identify what is a hazard to navigation with

35 respect to an underwater abandoned pipeline facility; and

36 (ii) for an underwater pipeline facility abandoned after October 24,

37 1992, the Secretary shall include requirements that will lessen the poten38 tial that the facility will pose a hazard to navigation and shall consider

39 the relationship between water depth and navigational safety and factors

40 relevant to the local marine environment.
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1 (3)(A) The Secretary shall establish by regulation a program requiring an

2 operator of a pipeline facility described in paragraph (2) of this subsection

3 to report a potential or existing navigational hazard involving that pipeline

4 facility to the Secretary through the appropriate Coast Guard office.

5 (B) The operator of a pipeline facility described in paragraph (2) of this

6 subsection that discovers any part of the pipeline facility that is a hazard

7 to navigation shall mark the location of the hazardous part with a Coast8 Guard-approved marine buoy or marker and immediately shall notify the

9 Secretary as provided by the Secretary under subparagraph (A) of this para10 graph. A marine buoy or marker used under this subparagraph is deemed a

11 pipeline sign or right-of-way marker under section 60123(c) of this title.

12 (4)(A) The Secretary shall require by regulation that each pipeline facility

13 described in paragraph (2) of this subsection that is a hazard to navigation

14 is buried not later than 6 months after the date the condition of the facility

15 is reported to the Secretary. The Secretary may extend that 6-month period

16 for a reasonable period to ensure compliance with this paragraph.

17 (B) In prescribing regulations for subparagraph (A) of this paragraph for

18 an underwater pipeline facility abandoned after October 24, 1992, the Sec19 retary shall include requirements that will lessen the potential that the facil20 ity will pose a hazard to navigation and shall consider the relationship be21 tween water depth and navigational safety and factors relevant to the local

22 marine environment.

23 (5)(A) Not later than October 24, 1994, the Secretary shall establish stand24 ards on what is an exposed offshore pipeline facility and what is a hazard

25 to navigation under this subsection.

26 (B) Not later than 6 months after the Secretary establishes standards under

27 subparagraph (A) of this paragraph, or October 24, 1995, whichever occurs

28 first, the operator of each offshore pipeline facility not described in section

29 3(h)(1)(A) of the Natural Gas Pipeline Safety Act of 1968 or section

30 203(l)(1)(A) of the Hazardous Liquid Pipeline Safety Act of 1979, as appro31 priate, shall inspect the facility and report to the Secretary on any part of

32 the facility that is exposed or is a hazard to navigation. This subparagraph

33 applies only to a facility that is between the high water mark and the point

34 at which the subsurface is under 15 feet of water, as measured from mean

35 low water. An inspection that occurred after October 3, 1989, may be used

36 for compliance with this subparagraph if the inspection conforms to the re37 quirements of this subparagraph.

38 (C) The Secretary may extend the time period specified in subparagraph

39 (B) of this paragraph for not more than 6 months if the operator of a facility

40 satisfies the Secretary that the operator has made a good faith effort, with

41 reasonable diligence, but has been unable to comply by the end of that period.
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1 (6)(A) The operator of a pipeline facility abandoned after October 24, 1992,

2 shall report the abandonment to the Secretary in a way that specifies whether

3 the facility has been abandoned properly according to applicable United

4 States Government and State requirements.

5 (B) Not later than October 24, 1995, the operator of a pipeline facility

6 abandoned before October 24, 1992, shall report to the Secretary reasonably

7 available information related to the facility, including information that a

8 third party possesses. The information shall include the location, size, date,

9 and method of abandonment, whether the facility has been abandoned prop10 erly under applicable law, and other relevant information the Secretary may

11 require. Not later than April 24, 1994, the Secretary shall specify how the

12 information shall be reported. The Secretary shall ensure that the Government

13 maintains the information in a way accessible to appropriate Government

14 agencies and State authorities.

15 (C) The Secretary shall request that a State authority having information

16 on a collision between a vessel and an underwater pipeline facility report the

17 information to the Secretary in a timely way and make a reasonable effort

18 to specify the location, date, and severity of the collision. Chapter 35 of title

19 44 does not apply to this subparagraph.

20 (7) The Secretary may not exempt from this chapter an offshore hazardous

21 liquid pipeline facility only because the pipeline facility transfers hazardous

22 liquid in an underwater pipeline between a vessel and an onshore facility.

23 (d) REPLACING CAST IRON GAS PIPELINES.—(1) The Secretary shall pub24 lish a notice on the availability of industry guidelines, developed by the Gas

25 Piping Technology Committee, for replacing cast iron pipelines. Not later

26 than 2 years after the guidelines become available, the Secretary shall conduct

27 a survey of gas pipeline operators with cast iron pipe in their systems to es28 tablish—

29 (A) the extent to which each operator has adopted a plan for the safe

30 management and replacement of cast iron;

31 (B) the elements of the plan, including the anticipated rate of replace32 ment; and

33 (C) the progress that has been made.

34 (2) Chapter 35 of title 44 does not apply to the conduct of the survey.

35 (3) This subsection does not prevent the Secretary from developing Govern36 ment guidelines or regulations for cast iron gas pipelines as the Secretary

37 considers appropriate.

38 § 60109. High-density population areas and environmentally

39 sensitive areas

40 (a) IDENTIFICATION REQUIREMENTS.—Not later than October 24, 1994, the

41 Secretary of Transportation shall prescribe regulations that—
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1 (1) establish criteria for identifying—

2 (A) by operators of gas pipeline facilities, each gas pipeline facil3 ity (except a natural gas distribution line) located in a high-density

4 population area; and

5 (B) by operators of hazardous liquid pipeline facilities and gath6 ering lines—

7 (i) each hazardous liquid pipeline facility, whether otherwise

8 subject to this chapter, that crosses a navigable waterway (as

9 the Secretary defines by regulation) or that is located in an

10 area described in the criteria as a high-density population

11 area; and

12 (ii) each hazardous liquid pipeline facility and gathering

13 line, whether otherwise subject to this chapter, located in an

14 area that the Secretary, in consultation with the Administrator

15 of the Environmental Protection Agency, describes as unusu16 ally sensitive to environmental damage if there is a hazardous

17 liquid pipeline accident; and

18 (2) provide that the identification be carried out through the inventory

19 required under section 60102(c) of this title.

20 (b) AREAS TO BE INCLUDED AS UNUSUALLY SENSITIVE.—When describing

21 an area that is unusually sensitive to environmental damage if there is a haz22 ardous liquid pipeline accident, the Secretary shall consider including—

23 (1) earthquake zones and areas subject to landslides and other substan24 tial ground movements;

25 (2) areas of likely ground water contamination if a hazardous liquid

26 pipeline facility ruptures;

27 (3) freshwater lakes, rivers, and waterways; and

28 (4) river deltas and other areas subject to soil erosion or subsidence

29 from flooding or other water action where a hazardous liquid pipeline

30 facility is likely to become exposed or undermined.

31 § 60110. Excess flow valves

32 (a) APPLICATION.—This section applies only to—

33 (1) a natural gas distribution system installed after the effective date

34 of regulations prescribed under this section; and

35 (2) any other natural gas distribution system when repair to the sys36 tem requires replacing a part to accommodate installing excess flow

37 valves.

38 (b) INSTALLATION REQUIREMENTS AND CONSIDERATIONS.—Not later than

39 April 24, 1994, the Secretary of Transportation shall prescribe regulations on

40 the circumstances under which an operator of a natural gas distribution sys-
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1 tem must install excess flow valves in the system. The Secretary shall con2 sider—

3 (1) the system design pressure;

4 (2) the system operating pressure;

5 (3) the types of customers to which the distribution system supplies

6 gas, including hospitals, schools, and commercial enterprises;

7 (4) the technical feasibility and cost of installing the valve;

8 (5) the public safety benefits of installing the valve;

9 (6) the location of customer meters; and

10 (7) other factors the Secretary considers relevant.

11 (c) NOTIFICATION OF AVAILABILITY.—(1) Not later than October 24, 1994,

12 the Secretary shall prescribe regulations requiring an operator of a natural

13 gas distribution system to notify in writing its customers having lines in

14 which excess flow valves are not required by law but can be installed accord15 ing to the standards prescribed under subsection (e) of this section, of—

16 (A) the availability of excess flow valves for installation in the system;

17 (B) safety benefits to be derived from installation; and

18 (C) costs associated with installation.

19 (2) The regulations shall provide that, except when installation is required

20 under subsection (b) of this section, excess flow valves shall be installed at the

21 request of the customer if the customer will pay all costs associated with in22 stallation.

23 (d) REPORT.—If the Secretary decides under subsection (b) of this section

24 that there are no circumstances under which an operator must install excess

25 flow valves, the Secretary shall submit to Congress a report on the reasons

26 for the decision not later than 30 days after the decision is made.

27 (e) PERFORMANCE STANDARDS.—Not later than April 24, 1994, the Sec28 retary shall develop standards for the performance of excess flow valves used

29 to protect lines in a natural gas distribution system. The standards shall be

30 incorporated into regulations the Secretary prescribes under this section. All

31 excess flow valves shall be installed according to the standards.

32 § 60111. Financial responsibility for liquefied natural gas fa33 cilities

34 (a) NOTICE.—When the Secretary of Transportation believes that an opera35 tor of a liquefied natural gas facility does not have adequate financial respon36 sibility for the facility, the Secretary may issue a notice to the operator about

37 the inadequacy and the amount of financial responsibility the Secretary con38 siders adequate.

39 (b) HEARINGS.—An operator receiving a notice under subsection (a) of this

40 section may have a hearing on the record not later than 30 days after receiv41 ing the notice. The operator may show why the Secretary should not issue
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1 an order requiring the operator to demonstrate and maintain financial re2 sponsibility in at least the amount the Secretary considers adequate.

3 (c) ORDERS.—After an opportunity for a hearing on the record, the Sec4 retary may issue the order if the Secretary decides it is justified in the public

5 interest.

6 § 60112. Pipeline facilities hazardous to life and property

7 (a) GENERAL AUTHORITY.—After notice and an opportunity for a hearing,

8 the Secretary of Transportation may decide a pipeline facility is hazardous

9 if the Secretary decides the facility is—

10 (1) hazardous to life, property, or the environment; or

11 (2) constructed or operated, or a component of the facility is con12 structed or operated, with equipment, material, or a technique the Sec13 retary decides is hazardous to life, property, or the environment.

14 (b) CONSIDERATIONS.—In making a decision under subsection (a) of this

15 section, the Secretary shall consider, if relevant—

16 (1) the characteristics of the pipe and other equipment used in the

17 pipeline facility, including the age, manufacture, physical properties,

18 and method of manufacturing, constructing, or assembling the equip19 ment;

20 (2) the nature of the material the pipeline facility transports, the cor21 rosive and deteriorative qualities of the material, the sequence in which

22 the material are transported, and the pressure required for transporting

23 the material;

24 (3) the aspects of the area in which the pipeline facility is located,

25 including climatic and geologic conditions and soil characteristics;

26 (4) the proximity of the area in which the hazardous liquid pipeline

27 facility is located to environmentally sensitive areas;

28 (5) the population density and population and growth patterns of the

29 area in which the pipeline facility is located;

30 (6) any recommendation of the National Transportation Safety Board

31 made under another law; and

32 (7) other factors the Secretary considers appropriate.

33 (c) OPPORTUNITY FOR STATE COMMENT.—The Secretary shall provide, to

34 any appropriate official of a State in which a pipeline facility is located and

35 about which a proceeding has begun under this section, notice and an oppor36 tunity to comment on an agreement the Secretary proposes to make to resolve

37 the proceeding. State comment shall incorporate comments of affected local of38 ficials.

39 (d) CORRECTIVE ACTION ORDERS.—If the Secretary decides under sub40 section (a) of this section that a pipeline facility is hazardous, the Secretary

41 shall order the operator of the facility to take necessary corrective action.
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1 (e) WAIVER OF NOTICE AND HEARING IN EMERGENCY.—The Secretary

2 may waive the requirements for notice and an opportunity for a hearing

3 under this section and issue expeditiously an order under this section if the

4 Secretary decides failure to issue the order expeditiously will result in likely

5 serious harm to life, property, or the environment. An order under this sub6 section shall provide an opportunity for a hearing as soon as practicable after

7 the order is issued.

8 § 60113. Customer-owned natural gas service lines

9 (a) MAINTENANCE INFORMATION.—Not later than October 24, 1993, the

10 Secretary of Transportation shall prescribe regulations requiring an operator

11 of a natural gas distribution pipeline that does not maintain customer-owned

12 natural gas service lines up to building walls to advise its customers of—

13 (1) the requirements for maintaining those lines;

14 (2) any resources known to the operator that could assist customers

15 in carrying out the maintenance;

16 (3) information the operator has on operating and maintaining its

17 lines that could assist customers; and

18 (4) the potential hazards of not maintaining the lines.

19 (b) Actions To Promote Safety.—Not later than one year after submitting

20 the report required under section 115(b) of the Pipeline Safety Act of 1992

21 (Public Law 102–508, 106 Stat. 3296), the Secretary, considering the report

22 and in cooperation and coordination with appropriate State and local au23 thorities, shall take appropriate action to promote the adoption of measures

24 to improve the safety of customer-owned natural gas service lines.

25 § 60114. One-call notification systems

26 (a) MINIMUM REQUIREMENTS.—The Secretary of Transportation shall pre27 scribe regulations providing minimum requirements for establishing and oper28 ating a one-call notification system for a State to adopt that will notify an

29 operator of a pipeline facility of activity in the vicinity of the facility that

30 could threaten the safety of the facility. The regulations shall include the fol31 lowing:

32 (1) a requirement that the system apply to all areas of the State con33 taining underground pipeline facilities.

34 (2) a requirement that a person intending to engage in an activity

35 the Secretary decides could cause physical damage to an underground fa36 cility must contact the appropriate system to establish if there are under37 ground facilities present in the area of the intended activity.

38 (3) a requirement that all operators of underground pipeline facilities

39 participate in an appropriate one-call notification system.

40 (4) qualifications for an operator of a facility, a private contractor,

41 or a State or local authority to operate a system.
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1 (5) procedures for advertisement and notice of the availability of a

2 system.

3 (6) a requirement about the information to be provided by a person

4 contacting the system under clause (2) of this subsection.

5 (7) a requirement for the response of the operator of the system and

6 of the facility after they are contacted by an individual under this sub7 section.

8 (8) a requirement that each State decide whether the system will be

9 toll free.

10 (9) a requirement for sanctions substantially the same as provided

11 under sections 60120, 60122, and 60123 of this title.

12 (b) GRANTS.—The Secretary may make a grant to a State under this sec13 tion to develop and establish a one-call notification system consistent with

14 subsection (a) of this section.

15 (c) MARKING FACILITIES.—On notification by an operator of a damage

16 prevention program or by a person planning to carry out demolition, exca17 vation, tunneling, or construction in the vicinity of a pipeline facility, the

18 operator of the facility shall mark accurately, in a reasonable and timely

19 way, the location of the pipeline facilities in the vicinity of the demolition,

20 excavation, tunneling, or construction.

21 (d) APPORTIONMENT.—When apportioning the amount appropriated to

22 carry out section 60107 of this title among the States, the Secretary—

23 (1) shall consider whether a State has adopted or is seeking adoption

24 of a one-call notification system under this section; and

25 (2) shall withhold part of a payment under section 60107 of this title

26 when the Secretary decides a State has not adopted, or is not seeking

27 adoption of, a one-call notification system.

28 (e) RELATIONSHIP TO OTHER LAWS.—This section and regulations pre29 scribed under this section do not affect the liability established under a law

30 of the United States or a State for damage caused by an activity described

31 in subsection (a)(2) of this section.

32 § 60115. Technical safety standards committees

33 (a) ORGANIZATION.—The Technical Pipeline Safety Standards Committee

34 and the Technical Hazardous Liquid Pipeline Safety Standards Committee

35 are committees in the Department of Transportation.

36 (b) COMPOSITION AND APPOINTMENT.—(1) The Technical Pipeline Safety

37 Standards Committee is composed of 15 members appointed by the Secretary

38 of Transportation after consulting with public and private agencies concerned

39 with the technical aspect of transporting gas or operating a gas pipeline facil40 ity. Each member must be experienced in the safety regulation of transporting

41 gas and of gas pipeline facilities or technically qualified, by training, experi-
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1 ence, or knowledge in at least one field of engineering applicable to transport2 ing gas or operating a gas pipeline facility, to evaluate gas pipeline safety

3 standards.

4 (2) The Technical Hazardous Liquid Pipeline Safety Standards Committee

5 is composed of 15 members appointed by the Secretary after consulting with

6 public and private agencies concerned with the technical aspect of transport7 ing hazardous liquid or operating a hazardous liquid pipeline facility. Each

8 member must be experienced in the safety regulation of transporting hazard9 ous liquid and of hazardous liquid pipeline facilities or technically qualified,

10 by training, experience, or knowledge in at least one field of engineering ap11 plicable to transporting hazardous liquid or operating a hazardous liquid

12 pipeline facility, to evaluate hazardous liquid pipeline safety standards.

13 (3) The members of each committee are appointed as follows:

14 (A) 5 individuals selected from departments, agencies, and instrumen15 talities of the United States Government and of the States.

16 (B) 4 individuals selected from the natural gas or hazardous liquid

17 industry, as appropriate, after consulting with industry representatives.

18 (C) 6 individuals selected from the general public.

19 (4)(A) Two of the individuals selected for each committee under paragraph

20 (3)(A) of this subsection must be State commissioners. The Secretary shall

21 consult with the national organization of State commissions (referred to in

22 section 10344(f) of this title) before selecting those 2 individuals.

23 (B) At least 3 of the individuals selected for each committee under para24 graph (3)(B) of this subsection must be currently in the active operation of

25 natural gas pipelines or hazardous liquid pipeline facilities, as appropriate.

26 (C) Two of the individuals selected for each committee under paragraph

27 (3)(C) of this subsection must have education, background, or experience in

28 environmental protection or public safety. At least one individual selected for

29 each committee under paragraph (3)(C) may not have a financial interest in

30 the pipeline, petroleum, or natural gas industries.

31 (c) COMMITTEE REPORTS ON PROPOSED STANDARDS.—(1) The Secretary

32 shall give to—

33 (A) the Technical Pipeline Safety Standards Committee each standard

34 proposed under this chapter for transporting gas and for gas pipeline

35 facilities; and

36 (B) the Technical Hazardous Liquid Pipeline Safety Standards Com37 mittee each standard proposed under this chapter for transporting haz38 ardous liquid and for hazardous liquid pipeline facilities.

39 (2) Not later than 90 days after receiving the proposed standard, the ap40 propriate committee shall prepare a report on the technical feasibility, reason41 ableness, and practicability of the proposed standard. The Secretary shall
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1 publish each report, including minority views. The report if timely made is

2 part of the proceeding for prescribing the standard. The Secretary is not

3 bound by the conclusions of the committee. However, if the Secretary rejects

4 the conclusions of the committee, the Secretary shall publish the reasons.

5 (3) The Secretary may prescribe a standard after the end of the 90-day

6 period.

7 (d) PROPOSED COMMITTEE STANDARDS AND POLICY DEVELOPMENT REC8 OMMENDATIONS.—(1) The Technical Pipeline Safety Standards Committee

9 may propose to the Secretary a safety standard for transporting gas and for

10 gas pipeline facilities. The Technical Hazardous Liquid Pipeline Safety

11 Standards Committee may propose to the Secretary a safety standard for

12 transporting hazardous liquid and for hazardous liquid pipeline facilities.

13 (2) If requested by the Secretary, a committee shall make policy develop14 ment recommendations to the Secretary.

15 (e) MEETINGS.—Each committee shall meet with the Secretary at least

16 twice annually. Each committee proceeding shall be recorded. The record of

17 the proceeding shall be available to the public.

18 (f) PAY AND EXPENSES.—The Secretary may establish the pay for each

19 member of a committee for each day (including travel time) when performing

20 duties of the committee. However, a member may not be paid more than the

21 daily equivalent of the maximum annual rate of basic pay payable under sec22 tion 5376 of title 5. A member is entitled to expenses under section 5703 of

23 title 5. A payment under this subsection does not make a member an officer

24 or employee of the Government. This subsection does not apply to members

25 regularly employed by the Government.

26 § 60116. Public education programs

27 Under regulations the Secretary of Transportation prescribes, each person

28 transporting gas shall carry out a program to educate the public on the pos29 sible hazards associated with gas leaks and the importance of reporting gas

30 odors and leaks to the appropriate authority. The Secretary may develop ma31 terial suitable for use in the program.

32 § 60117. Administrative

33 (a) GENERAL AUTHORITY.—To carry out this chapter, the Secretary of

34 Transportation may conduct investigations, make reports, issue subpenas,

35 conduct hearings, require the production of records, take depositions, and con36 duct research, testing, development, demonstration, and training activities.

37 The Secretary may not charge a tuition-type fee for training State or local

38 government personnel in the enforcement of regulations prescribed under this

39 chapter.

40 (b) RECORDS, REPORTS, AND INFORMATION.—To enable the Secretary to

41 decide whether a person transporting gas or hazardous liquid or operating a
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1 pipeline facility is complying with this chapter and standards prescribed or

2 orders issued under this chapter, the person shall—

3 (1) maintain records, make reports, and provide information the Sec4 retary requires; and

5 (2) make the records, reports, and information available when the Sec6 retary requests.

7 (c) ENTRY AND INSPECTION.—An officer, employee, or agent of the Depart8 ment of Transportation designated by the Secretary, on display of proper cre9 dentials to the individual in charge, may enter premises to inspect the records

10 and property of a person at a reasonable time and in a reasonable way to

11 decide whether a person is complying with this chapter and standards pre12 scribed or orders issued under this chapter.

13 (d) CONFIDENTIALITY OF INFORMATION.—Information related to a con14 fidential matter referred to in section 1905 of title 18 that is obtained by the

15 Secretary or an officer, employee, or agent in carrying out this section may

16 be disclosed only to another officer or employee concerned with carrying out

17 this chapter or in a proceeding under this chapter.

18 (e) USE OF ACCIDENT REPORTS.—(1) Each accident report made by an

19 officer, employee, or agent of the Department may be used in a judicial pro20 ceeding resulting from the accident. The officer, employee, or agent may be

21 required to testify in the proceeding about the facts developed in investigating

22 the accident. The report shall be made available to the public in a way that

23 does not identify an individual.

24 (2) Each report related to research and demonstration projects and related

25 activities is public information.

26 (f) TESTING FACILITIES INVOLVED IN ACCIDENTS.—The Secretary may re27 quire testing of a part of a pipeline facility subject to this chapter that has

28 been involved in or affected by an accident only after—

29 (1) notifying the appropriate State official in the State in which the

30 facility is located; and

31 (2) attempting to negotiate a mutually acceptable plan for testing

32 with the owner of the facility and, when the Secretary considers appro33 priate, the National Transportation Safety Board.

34 (g) PROVIDING SAFETY INFORMATION.—On request, the Secretary shall

35 provide the Federal Energy Regulatory Commission or appropriate State au36 thority with information the Secretary has on the safety of material, oper37 ations, devices, or processes related to pipeline transportation or operating a

38 pipeline facility.

39 (h) COOPERATION.—The Secretary may—

40 (1) advise, assist, and cooperate with other departments, agencies, and

41 instrumentalities of the United States Government, the States, and pub-
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1 lic and private agencies and persons in planning and developing safety

2 standards and ways to inspect and test to decide whether those standards

3 have been complied with;

4 (2) consult with and make recommendations to other departments,

5 agencies, and instrumentalities of the Government, State and local gov6 ernments, and public and private agencies and persons to develop and

7 encourage activities, including the enactment of legislation, that will as8 sist in carrying out this chapter and improve State and local pipeline

9 safety programs; and

10 (3) participate in a proceeding involving safety requirements related

11 to a liquefied natural gas facility before the Commission or a State au12 thority.

13 (i) PROMOTING COORDINATION.—After consulting with appropriate State

14 officials, the Secretary shall establish procedures to promote more effective co15 ordination between departments, agencies, and instrumentalities of the Gov16 ernment and State authorities with regulatory authority over pipeline facili17 ties about responses to a pipeline accident.

18 (j) WITHHOLDING INFORMATION FROM CONGRESS.—This section does not

19 authorize information to be withheld from a committee of Congress authorized

20 to have the information.

21 § 60118. Compliance and waivers

22 (a) GENERAL REQUIREMENTS.—A person transporting gas or hazardous

23 liquid or owning or operating a pipeline facility shall—

24 (1) comply with applicable safety standards prescribed under this

25 chapter, except as provided in this section;

26 (2) prepare and carry out a plan for inspection and maintenance re27 quired under section 60108(a) and (b) of this title; and

28 (3) allow access to or copying of records, make reports and provide

29 information, and allow entry or inspection required under section

30 60117(a)–(d) of this title.

31 (b) COMPLIANCE ORDERS.—The Secretary of Transportation may issue or32 ders directing compliance with this chapter or a regulation prescribed under

33 this chapter. An order shall state clearly the action a person must take to

34 comply.

35 (c) WAIVERS BY SECRETARY.—On application of a person transporting gas

36 or hazardous liquid or operating a pipeline facility, the Secretary by order

37 may waive compliance with any part of an applicable standard prescribed

38 under this chapter on terms the Secretary considers appropriate, if the waiver

39 is not inconsistent with pipeline safety. The Secretary shall state the reasons

40 for granting a waiver under this subsection. The Secretary may act on a

41 waiver only after notice and an opportunity for a hearing.
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1 (d) WAIVERS BY STATE AUTHORITIES.—If a certification under section

2 60105 of this title or an agreement under section 60106 of this title is in ef3 fect, the State authority may waive compliance with a safety standard to

4 which the certification or agreement applies in the same way and to the same

5 extent the Secretary may waive compliance under subsection (c) of this sec6 tion. However, the authority must give the Secretary written notice of the

7 waiver at least 60 days before its effective date. If the Secretary makes a writ8 ten objection before the effective date of the waiver, the waiver is stayed. After

9 notifying the authority of the objection, the Secretary shall provide a prompt

10 opportunity for a hearing. The Secretary shall make the final decision on

11 granting the waiver.

12 § 60119. Judicial review

13 (a) REVIEW OF REGULATIONS AND WAIVER ORDERS.—(1) Except as pro14 vided in subsection (b) of this section, a person adversely affected by a regula15 tion prescribed under this chapter or an order issued about an application

16 for a waiver under section 60118(c) or (d) of this title may apply for review

17 of the regulation or order by filing a petition for review in the United States

18 Court of Appeals for the District of Columbia Circuit or in the court of ap19 peals of the United States for the circuit in which the person resides or has

20 its principal place of business. The petition must be filed not later than 89

21 days after the regulation is prescribed or order is issued. The clerk of the court

22 immediately shall send a copy of the petition to the Secretary of Transpor23 tation.

24 (2) A judgment of a court under paragraph (1) of this subsection may be

25 reviewed only by the Supreme Court under section 1254 of title 28. A remedy

26 under paragraph (1) is in addition to any other remedies provided by law.

27 (b) REVIEW OF FINANCIAL RESPONSIBILITY ORDERS.—(1) A person ad28 versely affected by an order issued under section 60111 of this title may apply

29 for review of the order by filing a petition for review in the appropriate court

30 of appeals of the United States. The petition must be filed not later than 60

31 days after the order is issued. Findings of fact the Secretary makes are con32 clusive if supported by substantial evidence.

33 (2) A judgment of a court under paragraph (1) of this subsection may be

34 reviewed only by the Supreme Court under section 1254(1) of title 28.

35 § 60120. Enforcement

36 (a) CIVIL ACTIONS.—(1) On the request of the Secretary of Transportation,

37 the Attorney General may bring a civil action in an appropriate district

38 court of the United States to enforce this chapter or a regulation prescribed

39 or order issued under this chapter. The court may award appropriate relief,

40 including punitive damages.
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1 (2) At the request of the Secretary, the Attorney General may bring a civil

2 action in a district court of the United States to require a person to comply

3 immediately with a subpena or to allow an officer, employee, or agent author4 ized by the Secretary to enter the premises, and inspect the records and prop5 erty, of the person to decide whether the person is complying with this chap6 ter. The action may be brought in the judicial district in which the defendant

7 resides, is found, or does business. The court may punish a failure to obey

8 the order as a contempt of court.

9 (b) JURY TRIAL DEMAND.—In a trial for criminal contempt for violating

10 an injunction issued under this section, the violation of which is also a viola11 tion of this chapter, the defendant may demand a jury trial. The defendant

12 shall be tried as provided in rule 42(b) of the Federal Rules of Criminal Pro13 cedure (18 App. U.S.C.).

14 (c) EFFECT ON TORT LIABILITY.—This chapter does not affect the tort li15 ability of any person.

16 § 60121. Actions by private persons

17 (a) GENERAL AUTHORITY.—(1) A person may bring a civil action in an

18 appropriate district court of the United States for an injunction against an19 other person (including the United States Government and other govern20 mental authorities to the extent permitted under the 11th amendment to the

21 Constitution) for a violation of this chapter or a regulation prescribed or

22 order issued under this chapter. However, the person—

23 (A) may bring the action only after 60 days after the person has given

24 notice of the violation to the Secretary of Transportation or to the appro25 priate State authority (when the violation is alleged to have occurred in

26 a State certified under section 60105 of this title) and to the person al27 leged to have committed the violation;

28 (B) may not bring the action if the Secretary or authority has begun

29 and diligently is pursuing an administrative proceeding for the viola30 tion; and

31 (C) may not bring the action if the Attorney General of the United

32 States, or the chief law enforcement officer of a State, has begun and

33 diligently is pursuing a judicial proceeding for the violation.

34 (2) The Secretary shall prescribe the way in which notice is given under

35 this subsection.

36 (3) The Secretary, with the approval of the Attorney General, or the Attor37 ney General may intervene in an action under paragraph (1) of this sub38 section.

39 (b) COSTS AND FEES.—The court may award costs, reasonable expert wit40 ness fees, and a reasonable attorney’s fee to a prevailing plaintiff in a civil

41 action under this section. The court may award costs to a prevailing defend-
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1 ant when the action is unreasonable, frivolous, or meritless. In this subsection,

2 a reasonable attorney’s fee is a fee—

3 (1) based on the actual time spent and the reasonable expenses of the

4 attorney for legal services provided to a person under this section; and

5 (2) computed at the rate prevailing for providing similar services for

6 actions brought in the court awarding the fee.

7 (c) STATE VIOLATIONS AS VIOLATIONS OF THIS CHAPTER.—In this section,

8 a violation of a safety standard or practice of a State is deemed to be a viola9 tion of this chapter or a regulation prescribed or order issued under this chap10 ter only to the extent the standard or practice is not more stringent than a

11 comparable minimum safety standard prescribed under this chapter.

12 (d) ADDITIONAL REMEDIES.—A remedy under this section is in addition

13 to any other remedies provided by law. This section does not restrict a right

14 to relief that a person or a class of persons may have under another law or

15 at common law.

16 § 60122. Civil penalties

17 (a) GENERAL PENALTIES.—(1) A person that the Secretary of Transpor18 tation decides, after written notice and an opportunity for a hearing, has vio19 lated section 60114(c) or 60118(a) of this title or a regulation prescribed or

20 order issued under this chapter is liable to the United States Government for

21 a civil penalty of not more than $25,000 for each violation. A separate viola22 tion occurs for each day the violation continues. The maximum civil penalty

23 under this paragraph for a related series of violations is $500,000.

24 (2) A person violating a standard or order under section 60103 or 60111

25 of this title is liable to the Government for a civil penalty of not more than

26 $50,000 for each violation. A penalty under this paragraph may be imposed

27 in addition to penalties imposed under paragraph (1) of this subsection.

28 (b) PENALTY CONSIDERATIONS.—In determining the amount of a civil pen29 alty under this section, the Secretary shall consider—

30 (1) the nature, circumstances, and gravity of the violation;

31 (2) with respect to the violator, the degree of culpability, any history

32 of prior violations, the ability to pay, and any effect on ability to con33 tinue doing business;

34 (3) good faith in attempting to comply; and

35 (4) other matters that justice requires.

36 (c) COLLECTION AND COMPROMISE.—(1) The Secretary may request the At37 torney General to bring a civil action in an appropriate district court of the

38 United States to collect a civil penalty imposed under this section.

39 (2) The Secretary may compromise the amount of a civil penalty imposed

40 under this section before referral to the Attorney General.
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1 (d) SETOFF.—The Government may deduct the amount of a civil penalty

2 imposed or compromised under this section from amounts it owes the person

3 liable for the penalty.

4 (e) DEPOSIT IN TREASURY.—Amounts collected under this section shall be

5 deposited in the Treasury as miscellaneous receipts.

6 (f) PROHIBITION ON MULTIPLE PENALTIES FOR SAME ACT.—Separate

7 penalties for violating a regulation prescribed under this chapter and for vio8 lating an order under section 60112 or 60118(b) of this title may not be im9 posed under this chapter if both violations are based on the same act.

10 § 60123. Criminal penalties

11 (a) GENERAL PENALTY.—A person knowingly and willfully violating sec12 tion 60114(c) or 60118(a) of this title or a regulation prescribed or order is13 sued under this chapter shall be fined under title 18, imprisoned for not more

14 than 5 years, or both.

15 (b) PENALTY FOR DAMAGING OR DESTROYING FACILITY.—A person know16 ingly and willfully damaging or destroying, or attempting to damage or de17 stroy, an interstate transmission facility or interstate hazardous liquid pipe18 line facility shall be fined under title 18, imprisoned for not more than 15

19 years, or both.

20 (c) PENALTY FOR DAMAGING OR DESTROYING SIGN.—A person knowingly

21 and willfully defacing, damaging, removing, or destroying a pipeline sign or

22 right-of-way marker required by a law or regulation of the United States

23 shall be fined under title 18, imprisoned for not more than one year, or both.

24 (d) PENALTY FOR NOT USING ONE-CALL NOTIFICATION SYSTEM OR NOT

25 HEEDING LOCATION INFORMATION OR MARKINGS.—A person shall be fined

26 under title 18, imprisoned for not more than 5 years, or both, if the person

27 knowingly and willfully—

28 (1) engages in an excavation activity—

29 (A) without first using an available one-call notification system

30 to establish the location of underground facilities in the excavation

31 area; or

32 (B) without paying attention to appropriate location information

33 or markings the operator of a pipeline facility establishes; and

34 (2) subsequently damages—

35 (A) a pipeline facility that results in death, serious bodily harm,

36 or actual damage to property of more than $50,000; or

37 (B) a hazardous liquid pipeline facility that results in the release

38 of more than 50 barrels of product.

39 § 60124. Annual reports

40 (a) SUBMISSION AND CONTENTS.—The Secretary of Transportation shall

41 submit to Congress not later than August 15 of each year a report on carry-
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1 ing out this chapter for the prior calendar year for gas and a report on carry2 ing out this chapter for the prior calendar year for hazardous liquid. Each

3 report shall include the following information about the prior year for gas

4 or hazardous liquid, as appropriate:

5 (1) a thorough compilation of the leak repairs, accidents, and casual6 ties and a statement of cause when investigated and established by the

7 National Transportation Safety Board.

8 (2) a list of applicable pipeline safety standards prescribed under this

9 chapter including identification of standards prescribed during the year.

10 (3) a summary of the reasons for each waiver granted under section

11 60118(c) and (d) of this title.

12 (4) an evaluation of the degree of compliance with applicable safety

13 standards, including a list of enforcement actions and compromises of al14 leged violations by location and company name.

15 (5) a summary of outstanding problems in carrying out this chapter,

16 in order of priority.

17 (6) an analysis and evaluation of—

18 (A) research activities, including their policy implications, com19 pleted as a result of the United States Government and private

20 sponsorship; and

21 (B) technological progress in safety achieved.

22 (7) a list, with a brief statement of the issues, of completed or pending

23 judicial actions under this chapter.

24 (8) the extent to which technical information was distributed to the

25 scientific community and consumer-oriented information was made

26 available to the public.

27 (9) a compilation of certifications filed under section 60105 of this

28 title that were—

29 (A) in effect; or

30 (B) rejected in any part by the Secretary and a summary of the

31 reasons for each rejection.

32 (10) a compilation of agreements made under section 60106 of this

33 title that were—

34 (A) in effect; or

35 (B) ended in any part by the Secretary and a summary of the

36 reasons for ending each agreement.

37 (11) a description of the number and qualifications of State pipeline

38 safety inspectors in each State for which a certification under section

39 60105 of this title or an agreement under section 60106 of this title is

40 in effect and the number and qualifications of inspectors the Secretary

41 recommends for that State.
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1 (12) recommendations for legislation the Secretary considers nec2 essary—

3 (A) to promote cooperation among the States in improving—

4 (i) gas pipeline safety; or

5 (ii) hazardous liquid pipeline safety programs; and

6 (B) to strengthen the national gas pipeline safety program.

7 (b) SUBMISSION OF ONE REPORT.—The Secretary may submit one report

8 to carry out subsection (a) of this section.

9 § 60125. Authorization of appropriations

10 (a) GAS.—Not more than the following amounts may be appropriated to

11 the Secretary of Transportation to carry out this chapter (except sections

12 60107 and 60114(b)) related to gas:

13 (1) $6,857,000 for the fiscal year ending September 30, 1993.

14 (2) $7,000,000 for the fiscal year ending September 30, 1994.

15 (3) $7,500,000 for the fiscal year ending September 30, 1995.

16 (b) HAZARDOUS LIQUID.—Not more than the following amounts may be

17 appropriated to the Secretary to carry out this chapter (except sections 60107

18 and 60114(b)) related to hazardous liquid:

19 (1) $1,728,500 for the fiscal year ending September 30, 1993.

20 (2) $1,866,800 for the fiscal year ending September 30, 1994.

21 (3) $2,000,000 for the fiscal year ending September 30, 1995.

22 (c) STATE GRANTS.—(1) Not more than the following amounts may be ap23 propriated to the Secretary to carry out section 60107 of this title:

24 (A) $7,750,000 for the fiscal year ending September 30, 1993.

25 (B) $9,000,000 for the fiscal year ending September 30, 1994.

26 (C) $10,000,000 for the fiscal year ending September 30, 1995.

27 (2) At least 5 percent of amounts appropriated to carry out United States

28 Government grants-in-aid programs for a fiscal year are available only to

29 carry out section 60107 of this title related to hazardous liquid.

30 (3) Not more than 20 percent of a pipeline safety program grant under

31 section 60107 of this title may be allocated to indirect expenses.

32 (d) GRANTS FOR ONE-CALL NOTIFICATION SYSTEMS.—Not more than

33 $lllll may be appropriated to the Secretary for the fiscal year ending

34 September 30, 19l, to carry out section 60114(b) of this title. Amounts

35 under this subsection remain available until expended.

36 (e) CREDITING APPROPRIATIONS FOR EXPENDITURES FOR TRAINING.—The

37 Secretary may credit to an appropriation authorized under subsection (a) or

38 (b) of this section amounts received from sources other than the Government

39 for reimbursement for expenses incurred by the Secretary in providing train40 ing.
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1 (f) AVAILABILITY OF UNUSED AMOUNTS FOR GRANTS.—(1) The Secretary

2 shall make available for grants to States amounts appropriated for each of

3 the fiscal years that ended September 30, 1986, and 1987, that have not been

4 expended in making grants under section 60107 of this title.

5 (2) A grant under this subsection is available to a State that after Decem6 ber 31, 1987—

7 (A) undertakes a new responsibility under section 60105 of this title;

8 or

9 (B) implements a one-call damage prevention program established

10 under State law.

11 (3) This subsection does not authorize a State to receive more than 50 per12 cent of its allowable pipeline safety costs from a grant under this chapter.

13 (4) A State may receive not more than $75,000 under this subsection.

14 (5) Amounts under this subsection remain available until expended.

15 CHAPTER 603—USER FEES

Sec.

60301. User fees.

16 § 60301. User fees

17 (a) SCHEDULE OF FEES.—The Secretary of Transportation shall prescribe

18 a schedule of fees for all natural gas and hazardous liquids transported by

19 pipelines subject to chapter 601 of this title. The fees shall be based on usage

20 (in reasonable relationship to volume-miles, miles, revenues, or a combination

21 of volume-miles, miles, and revenues) of the pipelines. The Secretary shall

22 consider the allocation of resources of the Department of Transportation when

23 establishing the schedule.

24 (b) IMPOSITION AND TIME OF COLLECTION.—A fee shall be imposed on each

25 person operating a gas pipeline transmission facility, a liquefied natural gas

26 pipeline facility, or a hazardous liquid pipeline facility to which chapter 601

27 of this title applies. The fee shall be collected before the end of the fiscal year

28 to which it applies.

29 (c) MEANS OF COLLECTION.—The Secretary shall prescribe procedures to

30 collect fees under this section. The Secretary may use a department, agency,

31 or instrumentality of the United States Government or of a State or local gov32 ernment to collect the fee and may reimburse the department, agency, or in33 strumentality a reasonable amount for its services.

34 (d) USE OF FEES.—A fee collected under this section—

35 (1)(A) related to a gas pipeline facility may be used only for an activ36 ity related to gas under chapter 601 of this title; and

37 (B) related to a hazardous liquid pipeline facility may be used only

38 for an activity related to hazardous liquid under chapter 601 of this

39 title; and
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1 (2) may be used only to the extent provided in advance in an appro2 priation law.

3 (e) LIMITATIONS.—Fees prescribed under subsection (a) of this section shall

4 be sufficient to pay for the costs of activities described in subsection (d) of

5 this section. However, the total amount collected for a fiscal year may not

6 be more than 105 percent of the total amount of the appropriations made for

7 the fiscal year for activities to be financed by the fees.

8 CHAPTER 605—INTERSTATE COMMERCE REGULATION

Sec.

60501. Secretary of Energy.

60502. Federal Energy Regulatory Commission.

60503. Effect of enactment.

9 § 60501. Secretary of Energy

10 Except as provided in section 60502 of this title, the Secretary of Energy

11 has the duties and powers related to the transportation of oil by pipeline that

12 were vested on October 1, 1977, in the Interstate Commerce Commission or

13 the chairman or a member of the Commission.

14 § 60502. Federal Energy Regulatory Commission

15 The Federal Energy Regulatory Commission has the duties and powers re16 lated to the establishment of a rate or charge for the transportation of oil by

17 pipeline or the valuation of that pipeline that were vested on October 1, 1977,

18 in the Interstate Commerce Commission or an officer or component of the

19 Interstate Commerce Commission.

20 § 60503. Effect of enactment

21 The enactment of the Act of October 17, 1978 (Public Law 95–473, 92 Stat.

22 1337), the Act of January 12, 1983 (Public Law 97–449, 96 Stat. 2413), and

23 the Act enacting this section does not repeal, and has no substantive effect

24 on, any right, obligation, liability, or remedy of an oil pipeline, including

25 a right, obligation, liability, or remedy arising under the Interstate Commerce

26 Act or the Act of August 29, 1916 (known as the Pomerene Bills of Lading

27 Act), before any department, agency, or instrumentality of the United States

28 Government, an officer or employee of the Government, or a court of com29 petent jurisdiction.

30 SUBTITLE IX—COMMERCIAL SPACE

31 TRANSPORTATION

CHAPTER Sec.

701. COMMERCIAL SPACE LAUNCH ACTIVITIES ............................................... 70101

703. SPACE TRANSPORTATION INFRASTRUCTURE MATCHING GRANTS .. 70301

CHAPTER 701—COMMERCIAL SPACE LAUNCH ACTIVITIES

Sec.

70101. Findings and purposes.

70102. Definitions.

70103. General authority.

70104. Restrictions on launches and operations.

70105. License applications and requirements.
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70106. Monitoring activities.

70107. Effective periods, and modifications, suspensions, and revocations, of licenses.

70108. Prohibition, suspension, and end of launches and operation of launch sites.

70109. Preemption of scheduled launches.

70110. Administrative hearings and judicial review.

70111. Acquiring United States Government property and services.

70112. Liability insurance and financial responsibility requirements.

70113. Paying claims exceeding liability insurance and financial responsibility requirements.

70114. Disclosing information.

70115. Enforcement and penalty.

70116. Consultation.

70117. Relationship to other executive agencies, laws, and international obligations.

70118. User fees.

70119. Authorization of appropriations.

1 § 70101. Findings and purposes

2 (a) FINDINGS.—Congress finds that—

3 (1) the peaceful uses of outer space continue to be of great value and

4 to offer benefits to all mankind;

5 (2) private applications of space technology have achieved a signifi6 cant level of commercial and economic activity and offer the potential

7 for growth in the future, particularly in the United States;

8 (3) new and innovative equipment and services are being sought, pro9 duced, and offered by entrepreneurs in telecommunications, information

10 services, and remote sensing technologies;

11 (4) the private sector in the United States has the capability of devel12 oping and providing private satellite launching and associated services

13 that would complement the launching and associated services now avail14 able from the United States Government;

15 (5) the development of commercial launch vehicles and associated serv16 ices would enable the United States to retain its competitive position

17 internationally, contributing to the national interest and economic well18 being of the United States;

19 (6) providing launch services by the private sector is consistent with

20 the national security and foreign policy interests of the United States

21 and would be facilitated by stable, minimal, and appropriate regulatory

22 guidelines that are fairly and expeditiously applied;

23 (7) the United States should encourage private sector launches and as24 sociated services and, only to the extent necessary, regulate those launches

25 and services to ensure compliance with international obligations of the

26 United States and to protect the public health and safety, safety of prop27 erty, and national security and foreign policy interests of the United

28 States;

29 (8) space transportation, including the establishment and operation of

30 launch sites and complementary facilities, the providing of launch serv31 ices, the establishment of support facilities, and the providing of support

32 services, is an important element of the transportation system of the
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1 United States, and in connection with the commerce of the United States

2 there is a need to develop a strong space transportation infrastructure

3 with significant private sector involvement; and

4 (9) the participation of State governments in encouraging and facili5 tating private sector involvement in space-related activity, particularly

6 through the establishment of a space transportation-related infrastruc7 ture, including launch sites, complementary facilities, and launch site

8 support facilities, is in the national interest and is of significant public

9 benefit.

10 (b) PURPOSES.—The purposes of this chapter are—

11 (1) to promote economic growth and entrepreneurial activity through

12 use of the space environment for peaceful purposes;

13 (2) to encourage the United States private sector to provide launch ve14 hicles and associated services by—

15 (A) simplifying and expediting the issuance and transfer of com16 mercial launch licenses; and

17 (B) facilitating and encouraging the use of Government-developed

18 space technology;

19 (3) to provide that the Secretary of Transportation is to oversee and

20 coordinate the conduct of commercial launch operations, issue and trans21 fer commercial launch licenses authorizing those operations, and protect

22 the public health and safety, safety of property, and national security

23 and foreign policy interests of the United States; and

24 (4) to facilitate the strengthening and expansion of the United States

25 space transportation infrastructure, including the enhancement of United

26 States launch sites and launch-site support facilities, with Government,

27 State, and private sector involvement, to support the full range of United

28 States space-related activities.

29 § 70102. Definitions

30 In this chapter—

31 (1) ‘‘citizen of the United States’’ means—

32 (A) an individual who is a citizen of the United States;

33 (B) an entity organized or existing under the laws of the United

34 States or a State; or

35 (C) an entity organized or existing under the laws of a foreign

36 country if the controlling interest (as defined by the Secretary of

37 Transportation) is held by an individual or entity described in

38 subclause (A) or (B) of this clause.

39 (2) ‘‘executive agency’’ has the same meaning given that term in sec40 tion 105 of title 5.
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1 (3) ‘‘launch’’ means to place or try to place a launch vehicle and any

2 payload—

3 (A) in a suborbital trajectory;

4 (B) in Earth orbit in outer space; or

5 (C) otherwise in outer space.

6 (4) ‘‘launch property’’ means an item built for, or used in, the launch

7 preparation or launch of a launch vehicle.

8 (5) ‘‘launch services’’ means—

9 (A) activities involved in the preparation of a launch vehicle and

10 payload for launch; and

11 (B) the conduct of a launch.

12 (6) ‘‘launch site’’ means the location on Earth from which a launch

13 takes place (as defined in a license the Secretary issues or transfers

14 under this chapter) and necessary facilities.

15 (7) ‘‘launch vehicle’’ means—

16 (A) a vehicle built to operate in, or place a payload in, outer

17 space; and

18 (B) a suborbital rocket.

19 (8) ‘‘payload’’ means an object that a person undertakes to place in

20 outer space by means of a launch vehicle, including components of the

21 vehicle specifically designed or adapted for that object.

22 (9) ‘‘person’’ means an individual and an entity organized or existing

23 under the laws of a State or country.

24 (10) ‘‘State’’ means a State of the United States, the District of Co25 lumbia, and a territory or possession of the United States.

26 (11) ‘‘third party’’ means a person except—

27 (A) the United States Government or the Government’s contrac28 tors or subcontractors involved in launch services;

29 (B) a licensee or transferee under this chapter;

30 (C) a licensee’s or transferee’s contractors, subcontractors, or cus31 tomers involved in launch services; or

32 (D) the customer’s contractors or subcontractors involved in

33 launch services.

34 (12) ‘‘United States’’ means the States of the United States, the Dis35 trict of Columbia, and the territories and possessions of the United

36 States.

37 § 70103. General authority

38 (a) GENERAL.—The Secretary of Transportation shall carry out this chap39 ter.

40 (b) FACILITATING COMMERCIAL LAUNCHES.—In carrying out this chapter,

41 the Secretary shall—
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1 (1) encourage, facilitate, and promote commercial space launches by

2 the private sector; and

3 (2) take actions to facilitate private sector involvement in commercial

4 space transportation activity, and to promote public-private partner5 ships involving the United States Government, State governments, and

6 the private sector to build, expand, modernize, or operate a space launch

7 infrastructure.

8 (c) EXECUTIVE AGENCY ASSISTANCE.—When necessary, the head of an ex9 ecutive agency shall assist the Secretary in carrying out this chapter.

10 § 70104. Restrictions on launches and operations

11 (a) LICENSE REQUIREMENT.—A license issued or transferred under this

12 chapter is required for the following:

13 (1) for a person to launch a launch vehicle or to operate a launch site

14 in the United States.

15 (2) for a citizen of the United States (as defined in section

16 70102(1)(A) or (B) of this title) to launch a launch vehicle or to operate

17 a launch site outside the United States.

18 (3) for a citizen of the United States (as defined in section

19 70102(1)(C) of this title) to launch a launch vehicle or to operate a

20 launch site outside the United States and outside the territory of a for21 eign country unless there is an agreement between the United States Gov22 ernment and the government of the foreign country providing that the

23 government of the foreign country has jurisdiction over the launch or op24 eration.

25 (4) for a citizen of the United States (as defined in section

26 70102(1)(C) of this title) to launch a launch vehicle or to operate a

27 launch site in the territory of a foreign country if there is an agreement

28 between the United States Government and the government of the foreign

29 country providing that the United States Government has jurisdiction

30 over the launch or operation.

31 (b) COMPLIANCE WITH PAYLOAD REQUIREMENTS.—The holder of a launch

32 license under this chapter may launch a payload only if the payload complies

33 with all requirements of the laws of the United States related to launching

34 a payload.

35 (c) PREVENTING LAUNCHES.—The Secretary of Transportation shall estab36 lish whether all required licenses, authorizations, and permits required for a

37 payload have been obtained. If no license, authorization, or permit is re38 quired, the Secretary may prevent the launch if the Secretary decides the

39 launch would jeopardize the public health and safety, safety of property, or

40 national security or foreign policy interest of the United States.
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1 § 70105. License applications and requirements

2 (a) APPLICATIONS.—A person may apply to the Secretary of Transpor3 tation for a license or transfer of a license under this chapter in the form

4 and way the Secretary prescribes. Consistent with the public health and safe5 ty, safety of property, and national security and foreign policy interests of

6 the United States, the Secretary, not later than 180 days after receiving an

7 application, shall issue or transfer a license if the Secretary decides in writ8 ing that the applicant complies, and will continue to comply, with this chap9 ter and regulations prescribed under this chapter. The Secretary shall inform

10 the applicant of any pending issue and action required to resolve the issue

11 if the Secretary has not made a decision not later than 120 days after receiv12 ing an application.

13 (b) REQUIREMENTS.—(1) Except as provided in this subsection, all require14 ments of the laws of the United States applicable to the launch of a launch

15 vehicle or the operation of a launch site are requirements for a license under

16 this chapter.

17 (2) The Secretary may prescribe—

18 (A) any term necessary to ensure compliance with this chapter, in19 cluding on-site verification that a launch or operation complies with rep20 resentations stated in the application;

21 (B) an additional requirement necessary to protect the public health

22 and safety, safety of property, national security interests, and foreign

23 policy interests of the United States; and

24 (C) by regulation that a requirement of a law of the United States

25 not be a requirement for a license if the Secretary, after consulting with

26 the head of the appropriate executive agency, decides that the require27 ment is not necessary to protect the public health and safety, safety of

28 property, and national security and foreign policy interests of the United

29 States.

30 (3) The Secretary may waive a requirement for an individual applicant

31 if the Secretary decides that the waiver is in the public interest and will not

32 jeopardize the public health and safety, safety of property, and national secu33 rity and foreign policy interests of the United States.

34 (c) PROCEDURES AND TIMETABLES.—The Secretary shall establish proce35 dures and timetables that expedite review of a license application and reduce

36 the regulatory burden for an applicant.

37 § 70106. Monitoring activities

38 (a) GENERAL REQUIREMENTS.—A licensee under this chapter must allow

39 the Secretary of Transportation to place an officer or employee of the United

40 States Government or another individual as an observer at a launch site the

41 licensee uses, at a production facility or assembly site a contractor of the li-
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1 censee uses to produce or assemble a launch vehicle, or at a site at which a

2 payload is integrated with a launch vehicle. The observer will monitor the ac3 tivity of the licensee or contractor at the time and to the extent the Secretary

4 considers reasonable to ensure compliance with the license or to carry out the

5 duties of the Secretary under section 70104(c) of this title. A licensee must

6 cooperate with an observer carrying out this subsection.

7 (b) CONTRACTS.—To the extent provided in advance in an appropriation

8 law, the Secretary may make a contract with a person to carry out subsection

9 (a) of this section.

10 § 70107. Effective periods, and modifications, suspensions,

11 and revocations, of licenses

12 (a) EFFECTIVE PERIODS OF LICENSES.—The Secretary of Transportation

13 shall specify the period for which a license issued or transferred under this

14 chapter is in effect.

15 (b) MODIFICATIONS.—On the initiative of the Secretary or on application

16 of the licensee, the Secretary may modify a license issued or transferred under

17 this chapter if the Secretary decides the modification will comply with this

18 chapter.

19 (c) SUSPENSIONS AND REVOCATIONS.—The Secretary may suspend or re20 voke a license if the Secretary decides that—

21 (1) the licensee has not complied substantially with a requirement of

22 this chapter or a regulation prescribed under this chapter; or

23 (2) the suspension or revocation is necessary to protect the public

24 health and safety, the safety of property, or a national security or foreign

25 policy interest of the United States.

26 (d) EFFECTIVE PERIODS OF MODIFICATIONS, SUSPENSIONS, AND REVOCA27 TIONS.—Unless the Secretary specifies otherwise, a modification, suspension,

28 or revocation under this section takes effect immediately and remains in effect

29 during a review under section 70110 of this title.

30 (e) NOTIFICATION.—The Secretary shall notify the licensee in writing of the

31 decision of the Secretary under this section and any action the Secretary

32 takes or proposes to take based on the decision.

33 § 70108. Prohibition, suspension, and end of launches and

34 operation of launch sites

35 (a) GENERAL AUTHORITY.—The Secretary of Transportation may prohibit,

36 suspend, or end immediately the launch of a launch vehicle or the operation

37 of a launch site licensed under this chapter if the Secretary decides the launch

38 or operation is detrimental to the public health and safety, the safety of prop39 erty, or a national security or foreign policy interest of the United States.
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1 (b) EFFECTIVE PERIODS OF ORDERS.—An order under this section takes

2 effect immediately and remains in effect during a review under section 70110

3 of this title.

4 § 70109. Preemption of scheduled launches

5 (a) GENERAL.—With the cooperation of the Secretary of Defense and the

6 Administrator of the National Aeronautics and Space Administration, the

7 Secretary of Transportation shall act to ensure that a launch of a payload

8 is not preempted from access to a United States Government launch site or

9 launch property, except for imperative national need, when a launch date

10 commitment from the Government has been obtained for a launch licensed

11 under this chapter. A licensee or transferee preempted from access to a launch

12 site or launch property does not have to pay the Government any amount

13 for launch services attributable only to the scheduled launch prevented by the

14 preemption.

15 (b) IMPERATIVE NATIONAL NEED DECISIONS.—In consultation with the

16 Secretary of Transportation, the Secretary of Defense or the Administrator

17 shall decide when an imperative national need requires preemption under

18 subsection (a) of this section. That decision may not be delegated.

19 (c) REPORTS.—In cooperation with the Secretary of Transportation, the

20 Secretary of Defense or the Administrator, as appropriate, shall submit to

21 Congress not later than 7 days after a decision to preempt under subsection

22 (a) of this section, a report that includes an explanation of the circumstances

23 justifying the decision and a schedule for ensuring the prompt launching of

24 a preempted payload.

25 § 70110. Administrative hearings and judicial review

26 (a) ADMINISTRATIVE HEARINGS.—The Secretary of Transportation shall

27 provide an opportunity for a hearing on the record to—

28 (1) an applicant under this chapter, for a decision of the Secretary

29 under section 70105(a) of this title to issue or transfer a license with

30 terms or deny the issuance or transfer of a license;

31 (2) an owner or operator of a payload under this chapter, for a deci32 sion of the Secretary under section 70104(c) of this title to prevent the

33 launch of the payload; and

34 (3) a licensee under this chapter, for a decision of the Secretary

35 under—

36 (A) section 70107 (b) or (c) of this title to modify, suspend, or

37 revoke a license; or

38 (B) section 70108(a) of this title to prohibit, suspend, or end a

39 launch or operation of a launch site licensed by the Secretary.

40 (b) JUDICIAL REVIEW.—A final action of the Secretary under this chapter

41 is subject to judicial review as provided in chapter 7 of title 5.
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1 § 70111. Acquiring United States Government property and

2 services

3 (a) GENERAL REQUIREMENTS AND CONSIDERATIONS.—(1) The Secretary of

4 Transportation shall facilitate and encourage the acquisition by the private

5 sector and State governments of—

6 (A) launch property of the United States Government that is excess

7 or otherwise is not needed for public use; and

8 (B) launch services, including utilities, of the Government otherwise

9 not needed for public use.

10 (2) In acting under paragraph (1) of this subsection, the Secretary shall

11 consider the commercial availability on reasonable terms of substantially

12 equivalent launch property or launch services from a domestic source.

13 (b) PRICE.—(1) In this subsection, ‘‘direct costs’’ means the actual costs

14 that—

15 (A) can be associated unambiguously with a commercial launch effort;

16 and

17 (B) the Government would not incur if there were no commercial

18 launch effort.

19 (2) In consultation with the Secretary, the head of the executive agency pro20 viding the property or service under subsection (a) of this section shall estab21 lish the price for the property or service. The price for—

22 (A) acquiring launch property by sale or transaction instead of sale

23 is the fair market value;

24 (B) acquiring launch property (except by sale or transaction instead

25 of sale) is an amount equal to the direct costs, including specific wear

26 and tear and property damage, the Government incurred because of ac27 quisition of the property; and

28 (C) launch services is an amount equal to the direct costs, including

29 the basic pay of Government civilian and contractor personnel, the Gov30 ernment incurred because of acquisition of the services.

31 (c) COLLECTION BY SECRETARY.—The Secretary may collect a payment

32 under this section with the consent of the head of the executive agency estab33 lishing the price. Amounts collected under this subsection shall be deposited

34 in the Treasury. Amounts (except for excess launch property) shall be credited

35 to the appropriation from which the cost of providing the property or services

36 was paid.

37 (d) COLLECTION BY OTHER GOVERNMENTAL HEADS.—The head of a de38 partment, agency, or instrumentality of the Government may collect a pay39 ment for an activity involved in producing a launch vehicle or its payload

40 for launch if the activity was agreed to by the owner or manufacturer of the

41 launch vehicle or payload.
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1 § 70112. Liability insurance and financial responsibility re2 quirements

3 (a) GENERAL REQUIREMENTS.—(1) When a license is issued or transferred

4 under this chapter, the licensee or transferee shall obtain liability insurance

5 or demonstrate financial responsibility in amounts to compensate for the

6 maximum probable loss from claims by—

7 (A) a third party for death, bodily injury, or property damage or loss

8 resulting from an activity carried out under the license; and

9 (B) the United States Government against a person for damage or loss

10 to Government property resulting from an activity carried out under the

11 license.

12 (2) The Secretary of Transportation shall determine the amounts required

13 under paragraph (1)(A) and (B) of this subsection, after consulting with the

14 Administrator of the National Aeronautics and Space Administration, the

15 Secretary of the Air Force, and the heads of other appropriate executive agen16 cies.

17 (3) For the total claims related to one launch, a licensee or transferee is

18 not required to obtain insurance or demonstrate financial responsibility of

19 more than—

20 (A)(i) $500,000,000 under paragraph (1)(A) of this subsection; or

21 (ii) $100,000,000 under paragraph (1)(B) of this subsection; or

22 (B) the maximum liability insurance available on the world market

23 at reasonable cost if the amount is less than the applicable amount in

24 clause (A) of this paragraph.

25 (4) An insurance policy or demonstration of financial responsibility under

26 this subsection shall protect the following, to the extent of their potential li27 ability for involvement in launch services, at no cost to the Government:

28 (A) the Government.

29 (B) executive agencies and personnel, contractors, and subcontractors

30 of the Government.

31 (C) contractors, subcontractors, and customers of the licensee or trans32 feree.

33 (D) contractors and subcontractors of the customer.

34 (b) RECIPROCAL WAIVER OF CLAIMS.—(1) A license issued or transferred

35 under this chapter shall contain a provision requiring the licensee or trans36 feree to make a reciprocal waiver of claims with its contractors, subcontrac37 tors, and customers, and contractors and subcontractors of the customers, in38 volved in launch services under which each party to the waiver agrees to be

39 responsible for property damage or loss it sustains, or for personal injury to,

40 death of, or property damage or loss sustained by its own employees resulting

41 from an activity carried out under the license.
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1 (2) The Secretary of Transportation shall make, for the Government, execu2 tive agencies of the Government involved in launch services, and contractors

3 and subcontractors involved in launch services, a reciprocal waiver of claims

4 with the licensee or transferee, contractors, subcontractors, and customers of

5 the licensee or transferee, and contractors and subcontractors of the customers,

6 involved in launch services under which each party to the waiver agrees to

7 be responsible for property damage or loss it sustains, or for personal injury

8 to, death of, or property damage or loss sustained by its own employees result9 ing from an activity carried out under the license. The waiver applies only

10 to the extent that claims are more than the amount of insurance or dem11 onstration of financial responsibility required under subsection (a)(1)(B) of

12 this section. After consulting with the Administrator and the Secretary of the

13 Air Force, the Secretary of Transportation may waive, for the Government

14 and a department, agency, and instrumentality of the Government, the right

15 to recover damages for damage or loss to Government property to the extent

16 insurance is not available because of a policy exclusion the Secretary of

17 Transportation decides is usual for the type of insurance involved.

18 (c) DETERMINATION OF MAXIMUM PROBABLE LOSSES.—The Secretary of

19 Transportation shall determine the maximum probable losses under subsection

20 (a)(1)(A) and (B) of this section associated with an activity under a license

21 not later than 90 days after a licensee or transferee requires a determination

22 and submits all information the Secretary requires. The Secretary shall

23 amend the determination as warranted by new information.

24 (d) ANNUAL REPORT.—(1) Not later than November 15 of each year, the

25 Secretary of Transportation shall submit to the Committee on Commerce,

26 Science, and Transportation of the Senate and the Committee on Science,

27 Space, and Technology of the House of Representatives a report on current

28 determinations made under subsection (c) of this section related to all issued

29 licenses and the reasons for the determinations.

30 (2) Not later than May 15 of each year, the Secretary of Transportation

31 shall review the amounts specified in subsection (a)(3)(A) of this section and

32 submit a report to Congress that contains proposed adjustments in the

33 amounts to conform with changed liability expectations and availability of

34 insurance on the world market. The proposed adjustment takes effect 30 days

35 after a report is submitted.

36 (e) LAUNCHES INVOLVING GOVERNMENT FACILITIES AND PERSONNEL.—

37 The Secretary of Transportation shall establish requirements consistent with

38 this chapter for proof of financial responsibility and other assurances nec39 essary to protect the Government and its executive agencies and personnel

40 from liability, death, bodily injury, or property damage or loss as a result

41 of a launch or operation of a launch site involving a facility or personnel
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1 of the Government. The Secretary may not relieve the Government of liability

2 under this subsection for death, bodily injury, or property damage or loss re3 sulting from the willful misconduct of the Government or its agents.

4 (f) COLLECTION AND CREDITING PAYMENTS.—The head of a department,

5 agency, or instrumentality of the Government shall collect a payment owed

6 for damage or loss to Government property under its jurisdiction or control

7 resulting from an activity carried out under a license issued or transferred

8 under this chapter. The payment shall be credited to the current applicable

9 appropriation, fund, or account of the department, agency, or instrumental10 ity.

11 § 70113. Paying claims exceeding liability insurance and fi12 nancial responsibility requirements

13 (a) GENERAL REQUIREMENTS.—(1) To the extent provided in advance in

14 an appropriation law or to the extent additional legislative authority is en15 acted providing for paying claims in a compensation plan submitted under

16 subsection (d) of this section, the Secretary of Transportation shall provide

17 for the payment by the United States Government of a successful claim (in18 cluding reasonable litigation or settlement expenses) of a third party against

19 a licensee or transferee under this chapter, a contractor, subcontractor, or cus20 tomer of the licensee or transferee, or a contractor or subcontractor of a cus21 tomer, resulting from an activity carried out under the license issued or

22 transferred under this chapter for death, bodily injury, or property damage

23 or loss resulting from an activity carried out under the license. However,

24 claims may be paid under this section only to the extent the total amount

25 of successful claims related to one launch—

26 (A) is more than the amount of insurance or demonstration of finan27 cial responsibility required under section 70112(a)(1)(A) of this title;

28 and

29 (B) is not more than $1,500,000,000 (plus additional amounts nec30 essary to reflect inflation occurring after January 1, 1989) above that

31 insurance or financial responsibility amount.

32 (2) The Secretary may not provide for paying a part of a claim for which

33 death, bodily injury, or property damage or loss results from willful mis34 conduct by the licensee or transferee. To the extent insurance required under

35 section 70112(a)(1)(A) of this title is not available to cover a successful third

36 party liability claim because of an insurance policy exclusion the Secretary

37 decides is usual for the type of insurance involved, the Secretary may provide

38 for paying the excluded claims without regard to the limitation contained in

39 section 70112(a)(1).

40 (b) NOTICE, PARTICIPATION, AND APPROVAL.—Before a payment under

41 subsection (a) of this section is made—
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1 (1) notice must be given to the Government of a claim, or a civil ac2 tion related to the claim, against a party described in subsection (a)(1)

3 of this section for death, bodily injury, or property damage or loss;

4 (2) the Government must be given an opportunity to participate or

5 assist in the defense of the claim or action; and

6 (3) the Secretary must approve any part of a settlement to be paid

7 out of appropriations of the Government.

8 (c) WITHHOLDING PAYMENTS.—The Secretary may withhold a payment

9 under subsection (a) of this section if the Secretary certifies that the amount

10 is not reasonable. However, the Secretary shall deem to be reasonable the

11 amount of a claim finally decided by a court of competent jurisdiction.

12 (d) SURVEYS, REPORTS, AND COMPENSATION PLANS.—(1) If as a result of

13 an activity carried out under a license issued or transferred under this chap14 ter the total of claims related to one launch is likely to be more than the

15 amount of required insurance or demonstration of financial responsibility, the

16 Secretary shall—

17 (A) survey the causes and extent of damage; and

18 (B) submit expeditiously to Congress a report on the results of the sur19 vey.

20 (2) Not later than 90 days after a court determination indicates that the

21 liability for the total of claims related to one launch may be more than the

22 required amount of insurance or demonstration of financial responsibility, the

23 President, on the recommendation of the Secretary, shall submit to Congress

24 a compensation plan that—

25 (A) outlines the total dollar value of the claims;

26 (B) recommends sources of amounts to pay for the claims;

27 (C) includes legislative language required to carry out the plan if ad28 ditional legislative authority is required; and

29 (D) for a single event or incident, may not be for more than

30 $1,500,000,000.

31 (3) A compensation plan submitted to Congress under paragraph (2) of this

32 subsection shall—

33 (A) have an identification number; and

34 (B) be submitted to the Senate and the House of Representatives on

35 the same day and when the Senate and House are in session.

36 (e) CONGRESSIONAL RESOLUTIONS.—(1) In this subsection, ‘‘resolution’’—

37 (A) means a joint resolution of Congress the matter after the resolving

38 clause of which is as follows: ‘‘That the Congress approves the compensa39 tion plan numbered lllll submitted to the Congress on

40 lllll ll, l9ll.’’, with the blank spaces being filled appro41 priately; but
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1 (B) does not include a resolution that includes more than one com2 pensation plan.

3 (2) The Senate shall consider under this subsection a compensation plan

4 requiring additional appropriations or legislative authority not later than 60

5 calendar days of continuous session of Congress after the date on which the

6 plan is submitted to Congress.

7 (3) A resolution introduced in the Senate shall be referred immediately to

8 a committee by the President of the Senate. All resolutions related to the same

9 plan shall be referred to the same committee.

10 (4)(A) If the committee of the Senate to which a resolution has been re11 ferred does not report the resolution within 20 calendar days after it is re12 ferred, a motion is in order to discharge the committee from further consider13 ation of the resolution or to discharge the committee from further consider14 ation of the plan.

15 (B) A motion to discharge may be made only by an individual favoring

16 the resolution and is highly privileged (except that the motion may not be

17 made after the committee has reported a resolution on the plan). Debate on

18 the motion is limited to one hour, to be divided equally between those favoring

19 and those opposing the resolution. An amendment to the motion is not in

20 order. A motion to reconsider the vote by which the motion is agreed to or

21 disagreed to is not in order.

22 (C) If the motion to discharge is agreed to or disagreed to, the motion may

23 not be renewed and another motion to discharge the committee from another

24 resolution on the same plan may not be made.

25 (5)(A) After a committee of the Senate reports, or is discharged from fur26 ther consideration of, a resolution, a motion to proceed to the consideration

27 of the resolution is in order at any time, even though a similar previous mo28 tion has been disagreed to. The motion is highly privileged and is not debat29 able. An amendment to the motion is not in order. A motion to reconsider

30 the vote by which the motion is agreed to or disagreed to is not in order.

31 (B) Debate on the resolution referred to in subparagraph (A) of this para32 graph is limited to not more than 10 hours, to be divided equally between

33 those favoring and those opposing the resolution. A motion further to limit

34 debate is not debatable. An amendment to, or motion to recommit, the resolu35 tion is not in order. A motion to reconsider the vote by which the resolution

36 is agreed to or disagreed to is not in order.

37 (6) The following shall be decided in the Senate without debate:

38 (A) a motion to postpone related to the discharge from committee.

39 (B) a motion to postpone consideration of a resolution.

40 (C) a motion to proceed to the consideration of other business.
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1 (D) an appeal from a decision of the chair related to the application

2 of the rules of the Senate to the procedures related to resolution.

3 (f) APPLICATION.—This section applies to a license issued or transferred

4 under this chapter for which the Secretary receives a complete and valid ap5 plication not later than December 31, 1999.

6 § 70114. Disclosing information

7 The Secretary of Transportation, an officer or employee of the United

8 States Government, or a person making a contract with the Secretary under

9 section 70106(b) of this title may disclose information under this chapter that

10 qualifies for an exemption under section 552(b)(4) of title 5 or is designated

11 as confidential by the person or head of the executive agency providing the

12 information only if the Secretary decides withholding the information is con13 trary to the public or national interest.

14 § 70115. Enforcement and penalty

15 (a) PROHIBITIONS.—A person may not violate this chapter, a regulation

16 prescribed under this chapter, or any term of a license issued or transferred

17 under this chapter.

18 (b) GENERAL AUTHORITY.—(1) In carrying out this chapter, the Secretary

19 of Transportation may—

20 (A) conduct investigations and inquiries;

21 (B) administer oaths;

22 (C) take affidavits; and

23 (D) under lawful process—

24 (i) enter at a reasonable time a launch site, production facility,

25 assembly site of a launch vehicle, or site at which a payload is inte26 grated with a launch vehicle to inspect an object to which this chap27 ter applies or a record or report the Secretary requires be made or

28 kept under this chapter; and

29 (ii) seize the object, record, or report when there is probable cause

30 to believe the object, record, or report was used, is being used, or

31 likely will be used in violation of this chapter.

32 (2) The Secretary may delegate a duty or power under this chapter related

33 to enforcement to an officer or employee of another executive agency with the

34 consent of the head of the agency.

35 (c) CIVIL PENALTY.—(1) After notice and an opportunity for a hearing on

36 the record, a person the Secretary finds to have violated subsection (a) of this

37 section is liable to the United States Government for a civil penalty of not

38 more than $100,000. A separate violation occurs for each day the violation

39 continues.

40 (2) In conducting a hearing under paragraph (1) of this subsection, the

41 Secretary may—
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1 (A) subpena witnesses and records; and

2 (B) enforce a subpena in an appropriate district court of the United

3 States.

4 (3) The Secretary shall impose the civil penalty by written notice. The Sec5 retary may compromise or remit a penalty imposed, or that may be imposed,

6 under this section.

7 (4) The Secretary shall recover a civil penalty not paid after the penalty

8 is final or after a court enters a final judgment for the Secretary.

9 § 70116. Consultation

10 (a) MATTERS AFFECTING NATIONAL SECURITY.—The Secretary of Trans11 portation shall consult with the Secretary of Defense on a matter under this

12 chapter affecting national security. The Secretary of Defense shall identify

13 and notify the Secretary of Transportation of a national security interest rel14 evant to an activity under this chapter.

15 (b) MATTERS AFFECTING FOREIGN POLICY.—The Secretary of Transpor16 tation shall consult with the Secretary of State on a matter under this chap17 ter affecting foreign policy. The Secretary of State shall identify and notify

18 the Secretary of Transportation of a foreign policy interest or obligation rel19 evant to an activity under this chapter.

20 (c) OTHER MATTERS.—In carrying out this chapter, the Secretary of

21 Transportation shall consult with the head of another executive agency—

22 (1) to provide consistent application of licensing requirements under

23 this chapter;

24 (2) to ensure fair treatment for all license applicants; and

25 (3) when appropriate.

26 § 70117. Relationship to other executive agencies, laws, and

27 international obligations

28 (a) EXECUTIVE AGENCIES.—Except as provided in this chapter, a person

29 is not required to obtain from an executive agency a license, approval, waiver,

30 or exemption to launch a launch vehicle or operate a launch site.

31 (b) FEDERAL COMMUNICATIONS COMMISSION AND SECRETARY OF COM32 MERCE.—This chapter does not affect the authority of—

33 (1) the Federal Communications Commission under the Communica34 tions Act of 1934 (47 U.S.C. 151 et seq.); or

35 (2) the Secretary of Commerce under the Land Remote-Sensing Com36 mercialization Act of 1984 (15 U.S.C. 4201 et seq.).

37 (c) STATES AND POLITICAL SUBDIVISIONS.—A State or political subdivi38 sion of a State—

39 (1) may not adopt or have in effect a law, regulation, standard, or

40 order inconsistent with this chapter; but
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1 (2) may adopt or have in effect a law, regulation, standard, or order

2 consistent with this chapter that is in addition to or more stringent than

3 a requirement of, or regulation prescribed under, this chapter.

4 (d) CONSULTATION.—The Secretary of Transportation is encouraged to

5 consult with a State to simplify and expedite the approval of a space launch

6 activity.

7 (e) FOREIGN COUNTRIES.—The Secretary of Transportation shall—

8 (1) carry out this chapter consistent with an obligation the United

9 States Government assumes in a treaty, convention, or agreement in

10 force between the Government and the government of a foreign country;

11 and

12 (2) consider applicable laws and requirements of a foreign country

13 when carrying out this chapter.

14 (f) LAUNCH NOT AN EXPORT.—A launch vehicle or payload that is

15 launched is not, because of the launch, an export for purposes of a law con16 trolling exports.

17 (g) NONAPPLICATION.—This chapter does not apply to—

18 (1) a launch, operation of a launch vehicle or launch site, or other

19 space activity the Government carries out for the Government; or

20 (2) planning or policies related to the launch, operation, or activity.

21 § 70118. User fees

22 The Secretary of Transportation may collect a user fee for a regulatory or

23 other service conducted under this chapter only if specifically authorized by

24 this chapter.

25 § 70119. Authorization of appropriations

26 The following amounts may be appropriated to the Secretary of Transpor27 tation for the fiscal year ending September 30, 1993:

28 (1) $4,900,000 to carry out this chapter.

29 (2) $20,000,000 for a program to ensure the resiliency of the space

30 launch infrastructure of the United States if a law is enacted to establish

31 that program in the Department of Transportation.

32 CHAPTER 703—SPACE TRANSPORTATION

33 INFRASTRUCTURE MATCHING GRANTS

Sec.

70301. Definitions.

70302. Grant authority.

70303. Grant applications.

70304. Environmental requirements.

70305. Authorization of appropriations.

34 § 70301. Definitions

35 In this chapter—
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1 (1) the definitions in section 502 of the National Aeronautics and

2 Space Administration Authorization Act, Fiscal Year 1993 (15 U.S.C.

3 5802) apply.

4 (2) ‘‘commercial space transportation infrastructure development’’ in5 cludes—

6 (A) construction, improvement, design, and engineering of space

7 transportation infrastructure in the United States; and

8 (B) technical studies to define how new or enhanced space trans9 portation infrastructure can best meet the needs of the United States

10 commercial space transportation industry.

11 (3) ‘‘project’’ means a project (or separate projects submitted together)

12 to carry out commercial space transportation infrastructure development,

13 including the combined submission of all projects to be undertaken at a

14 particular site in a fiscal year.

15 (4) ‘‘project grant’’ means a grant of an amount by the Secretary of

16 Transportation to a sponsor for one or more projects.

17 (5) ‘‘public agency’’ means a State or an agency of a State, a political

18 subdivision of a State, or a tax-supported organization.

19 (6) ‘‘sponsor’’ means a public agency that, individually or jointly with

20 one or more other public agencies, submits to the Secretary under this

21 chapter an application for a project grant.

22 § 70302. Grant authority

23 (a) GENERAL AUTHORITY.—To ensure the resiliency of the space transpor24 tation infrastructure of the United States, the Secretary of Transportation

25 may make project grants to sponsors as provided in this chapter.

26 (b) LIMITATIONS.—The Secretary may make a project grant under this

27 chapter only if—

28 (1) at least 10 percent of the total cost of the project will be paid by

29 the private sector; and

30 (2) the grant will not be for more than 50 percent of the total cost

31 of the project.

32 § 70303. Grant applications

33 (a) GENERAL.—A sponsor may submit to the Secretary of Transportation

34 an application for a project grant. The application must state the project to

35 be undertaken and be in the form and contain the information the Secretary

36 requires.

37 (b) CONSIDERATIONS AND CONSULTATION.—(1) In selecting proposed

38 projects for grants under this section, the Secretary of Transportation shall

39 consider—

40 (A) the contribution of the project to industry capabilities that serve

41 the United States Government’s space transportation needs;
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1 (B) the extent of industry’s financial contribution to the project;

2 (C) the extent of industry’s participation in the project;

3 (D) the positive impact of the project on the international competitive4 ness of the United States space transportation industry;

5 (E) the extent of State contributions to the project; and

6 (F) the impact of the project on launch operations and other activities

7 at Government launch ranges.

8 (2) The Secretary of Transportation shall consult with the Secretary of De9 fense, the Administrator of the National Space and Aeronautics Administra10 tion, and the heads of other appropriate agencies of the Government about

11 paragraph (1)(A) and (F) of this subsection.

12 (c) REQUIREMENTS.—The Secretary of Transportation may approve an

13 application only if the Secretary is satisfied that—

14 (1) the project will contribute to the purposes of this chapter;

15 (2) the project is reasonably consistent with plans (existing at the time

16 of approval of the project) of public agencies that are—

17 (A) authorized by the State in which the project is located; and

18 (B) responsible for the development of the area surrounding the

19 project site;

20 (3) if the application proposes to use Government property, the spe21 cific consent of the head of the appropriate agency has been obtained;

22 (4) the project will be completed without unreasonable delay;

23 (5) the sponsor submitting the application has the legal authority to

24 engage in the project; and

25 (6) any additional requirements prescribed by the Secretary have been

26 met.

27 (d) PREFERENCE FOR INDUSTRY CONTRIBUTIONS.—The Secretary of

28 Transportation shall give preference to applications for projects for which

29 there will be greater industry financial contributions, all other factors being

30 equal.

31 § 70304. Environmental requirements

32 (a) POLICY.—It is the policy of the United States that projects selected

33 under this chapter shall provide for the protection and enhancement of the

34 natural resources and the quality of the environment of the United States.

35 In carrying out this policy, the Secretary of Transportation shall consult with

36 the Secretary of the Interior and the Administrator of the Environmental

37 Protection Agency about a project that may have a significant effect on natu38 ral resources, including fish and wildlife, natural, scenic, and recreational as39 sets, water and air quality, and other factors affecting the environment. If

40 the Secretary of Transportation finds that a project will have a significant

41 adverse effect, the Secretary may approve the application for the project only
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1 if, after a complete review that is a matter of public record, the Secretary

2 makes a written finding that no feasible and prudent alternative to the

3 project exists and that all reasonable steps have been taken to minimize the

4 adverse effect.

5 (b) PUBLIC HEARING REQUIREMENT.—The Secretary of Transportation

6 may approve an application only if the sponsor of the project certifies to the

7 Secretary that an opportunity for a public hearing has been provided to con8 sider the economic, social, and environmental effects of the project and its con9 sistency with the goals of any planning carried out by the community. When

10 a hearing is held under this paragraph, the sponsor shall submit a copy of

11 the transcript of the hearing to the Secretary.

12 (c) COMPLIANCE WITH AIR AND WATER QUALITY STANDARDS.—(1) The

13 Secretary of Transportation may approve an application only if the chief ex14 ecutive officer of the State in which the project is located certifies in writing

15 to the Secretary that there is reasonable assurance that the project will be lo16 cated, designed, constructed, and operated to comply with applicable air and

17 water quality standards. If the Administrator has not prescribed those stand18 ards, certification shall be obtained from the Administrator. Notice of certifi19 cation or refusal to certify shall be provided not later than 60 days after the

20 Secretary receives the application.

21 (2) The Secretary of Transportation shall condition the approval of an ap22 plication on compliance with applicable air and water quality standards dur23 ing construction and operation.

24 (d) COMPLIANCE WITH LAWS AND REGULATIONS.—The Secretary of Trans25 portation may require a certification from a sponsor that the sponsor will

26 comply with all applicable laws and regulations. The Secretary may rescind

27 at any time acceptance of a certification from a sponsor under this sub28 section. This subsection does not affect any responsibility of the Secretary

29 under another law, including—

30 (1) section 303 of this title;

31 (2) title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et seq.);

32 (3) title VIII of the Act of April 11, 1968 (42 U.S.C. 3601 et seq.);

33 (4) the National Environmental Policy Act of 1969 (42 U.S.C. 4321

34 et seq.); and

35 (5) the Uniform Relocation Assistance and Real Property Acquisition

36 Policies Act of 1970 (42 U.S.C. 4601 et seq.).

37 § 70305. Authorization of appropriations

38 Not more than $10,000,000 may be appropriated to the Secretary of Trans39 portation to make grants under this chapter. Amounts appropriated under

40 this section remain available until expended.
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1 SUBTITLE X—MISCELLANEOUS

CHAPTER Sec.

801. BILLS OF LADING ............................................................................................... 80101

803. CONTRABAND ........................................................................................................ 80301

805. MISCELLANEOUS ................................................................................................. 80501

CHAPTER 801—BILLS OF LADING

Sec.

80101. Definitions.

80102. Application.

80103. Negotiable and nonnegotiable bills.

80104. Form and requirements for negotiation.

80105. Title and rights affected by negotiation.

80106. Transfer without negotiation.

80107. Warranties and liability.

80108. Alterations and additions.

80109. Liens under negotiable bills.

80110. Duty to deliver goods.

80111. Liability for delivery of goods.

80112. Liability under negotiable bills issued in parts, sets, or duplicates.

80113. Liability for nonreceipt, misdescription, and improper loading.

80114. Lost, stolen, and destroyed negotiable bills.

80115. Limitation on use of judicial process to obtain possession of goods from common carriers.

80116. Criminal penalty.

2 § 80101. Definitions

3 In this chapter—

4 (1) ‘‘consignee’’ means the person named in a bill of lading as the per5 son to whom the goods are to be delivered.

6 (2) ‘‘consignor’’ means the person named in a bill of lading as the per7 son from whom the goods have been received for shipment.

8 (3) ‘‘goods’’ means merchandise or personal property that has been, is

9 being, or will be transported.

10 (4) ‘‘holder’’ means a person having possession of, and a property

11 right in, a bill of lading.

12 (5) ‘‘order’’ means an order by indorsement on a bill of lading.

13 (6) ‘‘purchase’’ includes taking by mortgage or pledge.

14 (7) ‘‘State’’ means a State of the United States, the District of Colum15 bia, and a territory or possession of the United States.

16 § 80102. Application

17 This chapter applies to a bill of lading when the bill is issued by a common

18 carrier for the transportation of goods—

19 (1) between a place in the District of Columbia and another place in

20 the District of Columbia;

21 (2) between a place in a territory or possession of the United States

22 and another place in the same territory or possession;

23 (3) between a place in a State and a place in another State;

24 (4) between a place in a State and a place in the same State through

25 another State or a foreign country; or
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1 (5) from a place in a State to a place in a foreign country.

2 § 80103. Negotiable and nonnegotiable bills

3 (a) NEGOTIABLE BILLS.—(1) A bill of lading is negotiable if the bill—

4 (A) states that the goods are to be delivered to the order of a consignee;

5 and

6 (B) does not contain on its face an agreement with the shipper that

7 the bill is not negotiable.

8 (2) Inserting in a negotiable bill of lading the name of a person to be noti9 fied of the arrival of the goods—

10 (A) does not limit its negotiability; and

11 (B) is not notice to the purchaser of the goods of a right the named

12 person has to the goods.

13 (b) NONNEGOTIABLE BILLS.—(1) A bill of lading is nonnegotiable if the

14 bill states that the goods are to be delivered to a consignee. The indorsement

15 of a nonnegotiable bill does not—

16 (A) make the bill negotiable; or

17 (B) give the transferee any additional right.

18 (2) A common carrier issuing a nonnegotiable bill of lading must put

19 ‘‘nonnegotiable’’ or ‘‘not negotiable’’ on the bill. This paragraph does not

20 apply to an informal memorandum or acknowledgment.

21 § 80104. Form and requirements for negotiation

22 (a) GENERAL RULES.—(1) A negotiable bill of lading may be negotiated

23 by indorsement. An indorsement may be made in blank or to a specified per24 son. If the goods are deliverable to the order of a specified person, then the

25 bill must be indorsed by that person.

26 (2) A negotiable bill of lading may be negotiated by delivery when the com27 mon carrier, under the terms of the bill, undertakes to deliver the goods to

28 the order of a specified person and that person or a subsequent indorsee has

29 indorsed the bill in blank.

30 (3) A negotiable bill of lading may be negotiated by a person possessing

31 the bill, regardless of the way in which the person got possession, if—

32 (A) a common carrier, under the terms of the bill, undertakes to de33 liver the goods to that person; or

34 (B) when the bill is negotiated, it is in a form that allows it to be

35 negotiated by delivery.

36 (b) VALIDITY NOT AFFECTED.—The validity of a negotiation of a bill of

37 lading is not affected by the negotiation having been a breach of duty by the

38 person making the negotiation, or by the owner of the bill having been de39 prived of possession by fraud, accident, mistake, duress, loss, theft, or conver40 sion, if the person to whom the bill is negotiated, or a person to whom the

41 bill is subsequently negotiated, gives value for the bill in good faith and with-
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1 out notice of the breach of duty, fraud, accident, mistake, duress, loss, theft,

2 or conversion.

3 (c) NEGOTIATION BY SELLER, MORTGAGOR, OR PLEDGOR TO PERSON

4 WITHOUT NOTICE.—When goods for which a negotiable bill of lading has been

5 issued are in a common carrier’s possession, and the person to whom the bill

6 has been issued retains possession of the bill after selling, mortgaging, or

7 pledging the goods or bill, the subsequent negotiation of the bill by that person

8 to another person receiving the bill for value, in good faith, and without no9 tice of the prior sale, mortgage, or pledge has the same effect as if the first

10 purchaser of the goods or bill had expressly authorized the subsequent negotia11 tion.

12 § 80105. Title and rights affected by negotiation

13 (a) TITLE.—When a negotiable bill of lading is negotiated—

14 (1) the person to whom it is negotiated acquires the title to the goods

15 that—

16 (A) the person negotiating the bill had the ability to convey to

17 a purchaser in good faith for value; and

18 (B) the consignor and consignee had the ability to convey to such

19 a purchaser; and

20 (2) the common carrier issuing the bill becomes obligated directly to

21 the person to whom the bill is negotiated to hold possession of the goods

22 under the terms of the bill the same as if the carrier had issued the bill

23 to that person.

24 (b) SUPERIORITY OF RIGHTS.—When a negotiable bill of lading is nego25 tiated to a person for value in good faith, that person’s right to the goods

26 for which the bill was issued is superior to a seller’s lien or to a right to

27 stop the transportation of the goods. This subsection applies whether the nego28 tiation is made before or after the common carrier issuing the bill receives

29 notice of the seller’s claim. The carrier may deliver the goods to an unpaid

30 seller only if the bill first is surrendered for cancellation.

31 (c) MORTGAGEE AND LIEN HOLDER RIGHTS NOT AFFECTED.—Except as

32 provided in subsection (b) of this section, this chapter does not limit a right

33 of a mortgagee or lien holder having a mortgage or lien on goods against a

34 person that purchased for value in good faith from the owner, and got posses35 sion of the goods immediately before delivery to the common carrier.

36 § 80106. Transfer without negotiation

37 (a) DELIVERY AND AGREEMENT.—The holder of a bill of lading may trans38 fer the bill without negotiating it by delivery and agreement to transfer title

39 to the bill or to the goods represented by it. Subject to the agreement, the per40 son to whom the bill is transferred has title to the goods against the trans41 feror.
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1 (b) COMPELLING INDORSEMENT.—When a negotiable bill of lading is trans2 ferred for value by delivery without being negotiated and indorsement of the

3 transferor is essential for negotiation, the transferee may compel the trans4 feror to indorse the bill unless a contrary intention appears. The negotiation

5 is effective when the indorsement is made.

6 (c) EFFECT OF NOTIFICATION.—(1) When a transferee notifies the common

7 carrier that a nonnegotiable bill of lading has been transferred under sub8 section (a) of this section, the carrier is obligated directly to the transferee

9 for any obligations the carrier owed to the transferor immediately before the

10 notification. However, before the carrier is notified, the transferee’s title to the

11 goods and right to acquire the obligations of the carrier may be defeated by—

12 (A) garnishment, attachment, or execution on the goods by a creditor

13 of the transferor; or

14 (B) notice to the carrier by the transferor or a purchaser from the

15 transferor of a later purchase of the goods from the transferor.

16 (2) A common carrier has been notified under this subsection only if—

17 (A) an officer or agent of the carrier, whose actual or apparent au18 thority includes acting on the notification, has been notified; and

19 (B) the officer or agent has had time, exercising reasonable diligence,

20 to communicate with the agent having possession or control of the goods.

21 § 80107. Warranties and liability

22 (a) GENERAL RULE.—Unless a contrary intention appears, a person nego23 tiating or transferring a bill of lading for value warrants that—

24 (1) the bill is genuine;

25 (2) the person has the right to transfer the bill and the title to the

26 goods described in the bill;

27 (3) the person does not know of a fact that would affect the validity

28 or worth of the bill; and

29 (4) the goods are merchantable or fit for a particular purpose when

30 merchantability or fitness would have been implied if the agreement of

31 the parties had been to transfer the goods without a bill of lading.

32 (b) SECURITY FOR DEBT.—A person holding a bill of lading as security

33 for a debt and in good faith demanding or receiving payment of the debt from

34 another person does not warrant by the demand or receipt—

35 (1) the genuineness of the bill; or

36 (2) the quantity or quality of the goods described in the bill.

37 (c) DUPLICATES.—A common carrier issuing a bill of lading, on the face

38 of which is the word ‘‘duplicate’’ or another word indicating that the bill is

39 not an original bill, is liable the same as a person that represents and war40 rants that the bill is an accurate copy of an original bill properly issued.

41 The carrier is not otherwise liable under the bill.
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1 (d) INDORSER LIABILITY.—Indorsement of a bill of lading does not make

2 the indorser liable for failure of the common carrier or a previous indorser

3 to fulfill its obligations.

4 § 80108. Alterations and additions

5 An alteration or addition to a bill of lading after its issuance by a common

6 carrier, without authorization from the carrier in writing or noted on the bill,

7 is void. However, the original terms of the bill are enforceable.

8 § 80109. Liens under negotiable bills

9 A common carrier issuing a negotiable bill of lading has a lien on the goods

10 covered by the bill for—

11 (1) charges for storage, transportation, and delivery (including demur12 rage and terminal charges), and expenses necessary to preserve the goods

13 or incidental to transporting the goods after the date of the bill; and

14 (2) other charges for which the bill expressly specifies a lien is claimed

15 to the extent the charges are allowed by law and the agreement between

16 the consignor and carrier.

17 § 80110. Duty to deliver goods

18 (a) GENERAL RULES.—Except to the extent a common carrier establishes

19 an excuse provided by law, the carrier must deliver goods covered by a bill

20 of lading on demand of the consignee named in a nonnegotiable bill or the

21 holder of a negotiable bill for the goods when the consignee or holder—

22 (1) offers in good faith to satisfy the lien of the carrier on the goods;

23 (2) has possession of the bill and, if a negotiable bill, offers to indorse

24 and give the bill to the carrier; and

25 (3) agrees to sign, on delivery of the goods, a receipt for delivery if

26 requested by the carrier.

27 (b) PERSONS TO WHOM GOODS MAY BE DELIVERED.—Subject to section

28 80111 of this title, a common carrier may deliver the goods covered by a bill

29 of lading to—

30 (1) a person entitled to their possession;

31 (2) the consignee named in a nonnegotiable bill; or

32 (3) a person in possession of a negotiable bill if—

33 (A) the goods are deliverable to the order of that person; or

34 (B) the bill has been indorsed to that person or in blank by the

35 consignee or another indorsee.

36 (c) COMMON CARRIER CLAIMS OF TITLE AND POSSESSION.—A claim by a

37 common carrier that the carrier has title to goods or right to their possession

38 is an excuse for nondelivery of the goods only if the title or right is derived

39 from—

40 (1) a transfer made by the consignor or consignee after the shipment;

41 or
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1 (2) the carrier’s lien.

2 (d) ADVERSE CLAIMS.—If a person other than the consignee or the person

3 in possession of a bill of lading claims title to or possession of goods and the

4 common carrier knows of the claim, the carrier is not required to deliver the

5 goods to any claimant until the carrier has had a reasonable time to decide

6 the validity of the adverse claim or to bring a civil action to require all

7 claimants to interplead.

8 (e) INTERPLEADER.—If at least 2 persons claim title to or possession of the

9 goods, the common carrier may—

10 (1) bring a civil action to interplead all known claimants to the goods;

11 or

12 (2) require those claimants to interplead as a defense in an action

13 brought against the carrier for nondelivery.

14 (f) THIRD PERSON CLAIMS NOT A DEFENSE.—Except as provided in sub15 sections (b), (d), and (e) of this section, title or a right of a third person is

16 not a defense to an action brought by the consignee of a nonnegotiable bill

17 of lading or by the holder of a negotiable bill against the common carrier for

18 failure to deliver the goods on demand unless enforced by legal process.

19 § 80111. Liability for delivery of goods

20 (a) GENERAL RULES.—A common carrier is liable for damages to a person

21 having title to, or right to possession of, goods when—

22 (1) the carrier delivers the goods to a person not entitled to their pos23 session unless the delivery is authorized under section 80110(b)(2) or (3)

24 of this title;

25 (2) the carrier makes a delivery under section 80110(b)(2) or (3) of

26 this title after being requested by or for a person having title to, or right

27 to possession of, the goods not to make the delivery; or

28 (3) at the time of delivery under section 80110(b)(2) or (3) of this

29 title, the carrier has information it is delivering the goods to a person

30 not entitled to their possession.

31 (b) EFFECTIVENESS OF REQUEST OR INFORMATION.—A request or infor32 mation is effective under subsection (a)(2) or (3) of this section only if—

33 (1) an officer or agent of the carrier, whose actual or apparent author34 ity includes acting on the request or information, has been given the re35 quest or information; and

36 (2) the officer or agent has had time, exercising reasonable diligence,

37 to stop delivery of the goods.

38 (c) FAILURE TO TAKE AND CANCEL BILLS.—Except as provided in sub39 section (d) of this section, if a common carrier delivers goods for which a ne40 gotiable bill of lading has been issued without taking and canceling the bill,

41 the carrier is liable for damages for failure to deliver the goods to a person
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1 purchasing the bill for value in good faith whether the purchase was before

2 or after delivery and even when delivery was made to the person entitled to

3 the goods. The carrier also is liable under this paragraph if part of the goods

4 are delivered without taking and canceling the bill or plainly noting on the

5 bill that a partial delivery was made and generally describing the goods or

6 the remaining goods kept by the carrier.

7 (d) EXCEPTIONS TO LIABILITY.—A common carrier is not liable for failure

8 to deliver goods to the consignee or owner of the goods or a holder of the bill

9 if—

10 (1) a delivery described in subsection (c) of this section was compelled

11 by legal process;

12 (2) the goods have been sold lawfully to satisfy the carrier’s lien;

13 (3) the goods have not been claimed; or

14 (4) the goods are perishable or hazardous.

15 § 80112. Liability under negotiable bills issued in parts, sets,

16 or duplicates

17 (a) PARTS AND SETS.—A negotiable bill of lading issued in a State for

18 the transportation of goods to a place in the 48 contiguous States or the Dis19 trict of Columbia may not be issued in parts or sets. A common carrier issu20 ing a bill in violation of this subsection is liable for damages for failure to

21 deliver the goods to a purchaser of one part for value in good faith even

22 though the purchase occurred after the carrier delivered the goods to a holder

23 of one of the other parts.

24 (b) DUPLICATES.—When at least 2 negotiable bills of lading are issued in

25 a State for the same goods to be transported to a place in the 48 contiguous

26 States or the District of Columbia, the word ‘‘duplicate’’ or another word in27 dicating that the bill is not an original must be put plainly on the face of

28 each bill except the original. A common carrier violating this subsection is

29 liable for damages caused by the violation to a purchaser of the bill for value

30 in good faith as an original bill even though the purchase occurred after the

31 carrier delivered the goods to the holder of the original bill.

32 § 80113. Liability for nonreceipt, misdescription, and im33 proper loading

34 (a) LIABILITY FOR NONRECEIPT AND MISDESCRIPTION.—Except as pro35 vided in this section, a common carrier issuing a bill of lading is liable for

36 damages caused by nonreceipt by the carrier of any part of the goods by the

37 date shown in the bill or by failure of the goods to correspond with the de38 scription contained in the bill. The carrier is liable to the owner of goods

39 transported under a nonnegotiable bill (subject to the right of stoppage in

40 transit) or to the holder of a negotiable bill if the owner or holder gave value
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1 in good faith relying on the description of the goods in the bill or on the ship2 ment being made on the date shown in the bill.

3 (b) NONLIABILITY OF CARRIERS.—A common carrier issuing a bill of lad4 ing is not liable under subsection (a) of this section—

5 (1) when the goods are loaded by the shipper;

6 (2) when the bill—

7 (A) describes the goods in terms of marks or labels, or in a state8 ment about kind, quantity, or condition; or

9 (B) is qualified by ‘‘contents or condition of contents of packages

10 unknown’’, ‘‘said to contain’’, ‘‘shipper’s weight, load, and count’’,

11 or words of the same meaning; and

12 (3) to the extent the carrier does not know whether any part of the

13 goods were received or conform to the description.

14 (c) LIABILITY FOR IMPROPER LOADING.—A common carrier issuing a bill

15 of lading is not liable for damages caused by improper loading if—

16 (1) the shipper loads the goods; and

17 (2) the bill contains the words ‘‘shipper’s weight, load, and count’’, or

18 words of the same meaning indicating the shipper loaded the goods.

19 (d) CARRIER’S DUTY TO DETERMINE KIND, QUANTITY, AND NUMBER.—(1)

20 When bulk freight is loaded by a shipper that makes available to the common

21 carrier adequate facilities for weighing the freight, the carrier must determine

22 the kind and quantity of the freight within a reasonable time after receiving

23 the written request of the shipper to make the determination. In that situa24 tion, inserting the words ‘‘shipper’s weight’’ or words of the same meaning

25 in the bill of lading has no effect.

26 (2) When goods are loaded by a common carrier, the carrier must count

27 the packages of goods, if package freight, and determine the kind and quan28 tity, if bulk freight. In that situation, inserting in the bill of lading or in

29 a notice, receipt, contract, rule, or tariff, the words ‘‘shipper’s weight, load,

30 and count’’ or words indicating that the shipper described and loaded the

31 goods, has no effect except for freight concealed by packages.

32 § 80114. Lost, stolen, and destroyed negotiable bills

33 (a) DELIVERY ON COURT ORDER AND SURETY BOND.—If a negotiable bill

34 of lading is lost, stolen, or destroyed, a court of competent jurisdiction may

35 order the common carrier to deliver the goods if the person claiming the goods

36 gives a surety bond, in an amount approved by the court, to indemnify the

37 carrier or a person injured by delivery against liability under the outstanding

38 original bill. The court also may order payment of reasonable costs and attor39 ney’s fees to the carrier. A voluntary surety bond, without court order, is

40 binding on the parties to the bond.
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1 (b) LIABILITY TO HOLDER.—Delivery of goods under a court order under

2 subsection (a) of this section does not relieve a common carrier from liability

3 to a person to whom the negotiable bill has been or is negotiated for value

4 without notice of the court proceeding or of the delivery of the goods.

5 § 80115. Limitation on use of judicial process to obtain pos6 session of goods from common carriers

7 (a) ATTACHMENT AND LEVY.—Except when a negotiable bill of lading was

8 issued originally on delivery of goods by a person that did not have the power

9 to dispose of the goods, goods in the possession of a common carrier for which

10 a negotiable bill has been issued may be attached through judicial process or

11 levied on in execution of a judgment only if the bill is surrendered to the car12 rier or its negotiation is enjoined.

13 (b) DELIVERY.—A common carrier may be compelled by judicial process

14 to deliver goods under subsection (a) of this section only when the bill is sur15 rendered to the carrier or impounded by the court.

16 § 80116. Criminal penalty

17 A person shall be fined under title 18, imprisoned for not more than 5

18 years, or both, if the person—

19 (1) violates this chapter with intent to defraud; or

20 (2) knowingly or with intent to defraud—

21 (A) falsely makes, alters, or copies a bill of lading subject to this

22 chapter;

23 (B) utters, publishes, or issues a falsely made, altered, or copied

24 bill subject to this chapter; or

25 (C) negotiates or transfers for value a bill containing a false

26 statement.

27 CHAPTER 803—CONTRABAND

Sec.

80301. Definitions.

80302. Prohibitions.

80303. Seizure and forfeiture.

80304. Administrative.

80305. Availability of certain appropriations.

80306. Relationship to other laws.

28 § 80301. Definitions

29 In this chapter—

30 (1) ‘‘aircraft’’ means a contrivance used, or capable of being used, for

31 transportation in the air.

32 (2) ‘‘vehicle’’ means a contrivance used, or capable of being used, for

33 transportation on, below, or above land, but does not include aircraft.

34 (3) ‘‘vessel’’ means a contrivance used, or capable of being used, for

35 transportation in water, but does not include aircraft.
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1 § 80302. Prohibitions

2 (a) DEFINITION.—In this section, ‘‘contraband’’ means—

3 (1) a narcotic drug (as defined in section 102 of the Comprehensive

4 Drug Abuse Prevention and Control Act of 1970 (21 U.S.C. 802)), in5 cluding marihuana (as defined in section 102 of that Act (21 U.S.C.

6 802)), that—

7 (A) is possessed with intent to sell or offer for sale in violation

8 of the laws and regulations of the United States;

9 (B) is acquired, possessed, sold, transferred, or offered for sale in

10 violation of those laws;

11 (C) is acquired by theft, robbery, or burglary and transported—

12 (i) in the District of Columbia or a territory or possession

13 of the United States; or

14 (ii) from a place in a State, the District of Columbia, or a

15 territory or possession of the United States, to a place in an16 other State, the District of Columbia, or a territory or posses17 sion; or

18 (D) does not bear tax-paid internal revenue stamps required by

19 those laws or regulations;

20 (2) a firearm involved in a violation of chapter 53 of the Internal

21 Revenue Code of 1986 (26 U.S.C. 5801 et seq.);

22 (3) a forged, altered, or counterfeit—

23 (A) coin or an obligation or other security of the United States

24 Government (as defined in section 8 of title 18); or

25 (B) coin, obligation, or other security of the government of a for26 eign country;

27 (4) material or equipment used, or intended to be used, in making a

28 coin, obligation, or other security referred to in clause (3) of this sub29 section; or

30 (5) a cigarette involved in a violation of chapter 114 of title 18 or

31 a regulation prescribed under chapter 114.

32 (b) PROHIBITIONS.—A person may not—

33 (1) transport contraband in an aircraft, vehicle, or vessel;

34 (2) conceal or possess contraband on an aircraft, vehicle, or vessel; or

35 (3) use an aircraft, vehicle, or vessel to facilitate the transportation,

36 concealment, receipt, possession, purchase, sale, exchange, or giving away

37 of contraband.

38 § 80303. Seizure and forfeiture

39 The Secretary of the Treasury or the Governor of Guam or of the Northern

40 Mariana Islands as provided in section 80304 of this title, or a person au41 thorized by another law to enforce section 80302 of this title, shall seize an
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1 aircraft, vehicle, or vessel involved in a violation of section 80302 and place

2 it in the custody of a person designated by the Secretary or appropriate Gov3 ernor, as the case may be. The seized aircraft, vehicle, or vessel shall be for4 feited, except when the owner establishes that a person except the owner com5 mitted the violation when the aircraft, vehicle, or vessel was in the possession

6 of a person who got possession by violating a criminal law of the United

7 States or a State. However, an aircraft, vehicle, or vessel used by a common

8 carrier to provide transportation for compensation may be forfeited only

9 when—

10 (1) the owner, conductor, driver, pilot, or other individual in charge

11 of the aircraft or vehicle (except a rail car or engine) consents to, or

12 knows of, the alleged violation when the violation occurs;

13 (2) the owner of the rail car or engine consents to, or knows of, the

14 alleged violation when the violation occurs; or

15 (3) the master or owner of the vessel consents to, or knows of, the al16 leged violation when the violation occurs.

17 § 80304. Administrative

18 (a) GENERAL.—Except as provided in subsections (b) and (c) of this sec19 tion, the Secretary of the Treasury—

20 (1) may designate officers, employees, agents, or other persons to carry

21 out this chapter; and

22 (2) shall prescribe regulations to carry out this chapter.

23 (b) IN GUAM.—The Governor of Guam—

24 (1) or officers of the government of Guam designated by the Governor

25 shall carry out this chapter in Guam;

26 (2) may carry out laws referred to in section 80306(b) of this title

27 with modifications the Governor decides are necessary to meet conditions

28 in Guam; and

29 (3) may prescribe regulations to carry out this chapter in Guam.

30 (c) IN NORTHERN MARIANA ISLANDS.—The Governor of the Northern Mari31 ana Islands—

32 (1) or officers of the government of the Northern Mariana Islands des33 ignated by the Governor shall carry out this chapter in the Northern

34 Mariana Islands;

35 (2) may carry out laws referred to in section 80306(b) of this title

36 with modifications the Governor decides are necessary to meet conditions

37 in the Northern Mariana Islands; and

38 (3) may prescribe regulations to carry out this chapter in the North39 ern Mariana Islands.

40 (d) CUSTOMS LAWS ON SEIZURE AND FORFEITURE.—The Secretary, or the

41 Governor of Guam or of the Northern Mariana Islands as provided in sub-
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1 sections (b) and (c) of this section, shall carry out the customs laws on the

2 seizure and forfeiture of aircraft, vehicles, and vessels under this chapter.

3 § 80305. Availability of certain appropriations

4 Appropriations for enforcing customs, narcotics, counterfeiting, or internal

5 revenue laws are available to carry out this chapter.

6 § 80306. Relationship to other laws

7 (a) CHAPTER AS ADDITIONAL LAW.—This chapter is in addition to another

8 law—

9 (1) imposing, or authorizing the compromise of, fines, penalties, or

10 forfeitures; or

11 (2) providing for seizure, condemnation, or disposition of forfeited

12 property, or the proceeds from the property.

13 (b) LAWS APPLICABLE TO SEIZURES AND FORFEITURES.—To the extent

14 applicable and consistent with this chapter, the following apply to a seizure

15 or forfeiture under this chapter:

16 (1) provisions of law related to the seizure, forfeiture, and condemna17 tion of vehicles and vessels violating the customs laws.

18 (2) provisions of law related to the disposition of those vehicles or ves19 sels or the proceeds from the sale of those vehicles or vessels.

20 (3) provisions of law related to the compromise of those forfeitures or

21 claims related to those forfeitures.

22 (4) provisions of law related to the award of compensation to an in23 former about those forfeitures.

24 CHAPTER 805—MISCELLANEOUS

Sec.

80501. Damage to transported property.

80502. Transportation of animals.

80503. Payments for inspection and quarantine services.

80504. Medals of honor.

25 § 80501. Damage to transported property

26 (a) CRIMINAL PENALTY.—A person willfully damaging, or attempting to

27 damage, property in the possession of an air carrier, motor carrier, or rail

28 carrier and being transported in interstate or foreign commerce, shall be fined

29 under title 18, imprisoned for not more than 10 years, or both. In a criminal

30 proceeding under this section, a shipping document for the property is prima

31 facie evidence of the places to which and from which the property was being

32 transported.

33 (b) PROHIBITION AGAINST MULTIPLE PROSECUTIONS FOR SAME ACT.—A

34 person may not be prosecuted for an act under this section when the person

35 has been convicted or acquitted on the merits for the same act under the laws

36 of a State, the District of Columbia, or a territory or possession of the United

37 States.
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1 § 80502. Transportation of animals

2 (a) CONFINEMENT.—(1) Except as provided in this section, a rail carrier,

3 express carrier, or common carrier (except by air or water), a receiver, trust4 ee, or lessee of one of those carriers, or an owner or master of a vessel trans5 porting animals from a place in a State, the District of Columbia, or a terri6 tory or possession of the United States through or to a place in another State,

7 the District of Columbia, or a territory or possession, may not confine ani8 mals in a vehicle or vessel for more than 28 consecutive hours without unload9 ing the animals for feeding, water, and rest.

10 (2) Sheep may be confined for an additional 8 consecutive hours without

11 being unloaded when the 28-hour period of confinement ends at night. Ani12 mals may be confined for—

13 (A) more than 28 hours when the animals cannot be unloaded because

14 of accidental or unavoidable causes that could not have been anticipated

15 or avoided when being careful; and

16 (B) 36 consecutive hours when the owner or person having custody of

17 animals being transported requests, in writing and separate from a bill

18 of lading or other rail form, that the 28-hour period be extended to 36

19 hours.

20 (3) Time spent in loading and unloading animals is not included as part

21 of a period of confinement under this subsection.

22 (b) UNLOADING, FEEDING, WATERING, AND REST.—Animals being trans23 ported shall be unloaded in a humane way into pens equipped for feeding,

24 water, and rest for at least 5 consecutive hours. The owner or person having

25 custody of the animals shall feed and water the animals. When the animals

26 are not fed and watered by the owner or person having custody, the rail car27 rier, express carrier, or common carrier (except by air or water), the receiver,

28 trustee, or lessee of one of those carriers, or the owner or master of a vessel

29 transporting the animals—

30 (1) shall feed and water the animals at the reasonable expense of the

31 owner or person having custody, except that the owner or shipper may

32 provide food;

33 (2) has a lien on the animals for providing food, care, and custody

34 that may be collected at the destination in the same way that a transpor35 tation charge is collected; and

36 (3) is not liable for detaining the animals for a reasonable period to

37 comply with subsection (a) of this section.

38 (c) NONAPPLICATION.—This section does not apply when animals are

39 transported in a vehicle or vessel in which the animals have food, water,

40 space, and an opportunity for rest.
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1 (d) CIVIL PENALTY.—A rail carrier, express carrier, or common carrier

2 (except by air or water), a receiver, trustee, or lessee of one of those carriers,

3 or an owner or master of a vessel that knowingly and willfully violates this

4 section is liable to the United States Government for a civil penalty of at least

5 $100 but not more than $500 for each violation. On learning of a violation,

6 the Attorney General shall bring a civil action to collect the penalty in the

7 district court of the United States for the judicial district in which the viola8 tion occurred or the defendant resides or does business.

9 § 80503. Payments for inspection and quarantine services

10 (a) GENERAL.—(1) In this subsection—

11 (A) ‘‘private aircraft’’ means a civilian aircraft not being used to

12 transport passengers or property for compensation.

13 (B) ‘‘private vessel’’ means a civilian vessel not being used—

14 (i) to transport passengers or property for compensation; or

15 (ii) in fishing or fish processing operations.

16 (2) Notwithstanding section 451 of the Tariff Act of 1930 (19 U.S.C. 1451),

17 the owner, operator, or agent of a private aircraft or private vessel may pay

18 not more than $25 for the services of an officer or employee of the Department

19 of Agriculture, the Customs Service, the Immigration and Naturalization

20 Service, or the Public Health Service (including an independent contractor

21 performing an inspection service for the Public Health Service) when the serv22 ices are performed on a Sunday, holiday, or from 5 p.m. through 8 a.m. on

23 a weekday, and are related to the aircraft’s or vessel’s arrival in, or departure

24 from, the United States. However, the owner, operator, or agent does not have

25 to pay for the services from 5 p.m. through 8 a.m. on a weekday when an

26 officer or employee on regular duty is available at the place of arrival or de27 parture to perform services.

28 (3) The head of a department, agency, or instrumentality of the United

29 States Government providing services under paragraph (2) of this subsection

30 shall collect the amount paid for the services and deposit the amount in the

31 Treasury. The amount shall be credited to the appropriation of the depart32 ment, agency, or instrumentality against which the expense of those services

33 was charged.

34 (b) LIMITATIONS ON REIMBURSEMENT.—(1) An owner or operator of an

35 aircraft is required to reimburse the head of a department, agency, or instru36 mentality of the Government for the expenses of performing an inspection or

37 quarantine service related to the aircraft at a place of inspection during regu38 lar service hours on a Sunday or holiday only to the same extent that an

39 owner or operator makes reimbursement for the service during regular service

40 hours on a weekday. The head of the department, agency, or instrumentality

41 may not assess an owner or operator of an aircraft for administrative over-
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1 head expenses for inspection or quarantine service provided by the depart2 ment, agency, or instrumentality at an entry airport.

3 (2) This subsection does not require reimbursement for costs incurred by

4 the Secretary of the Treasury in providing customs services described in sec5 tion 13031(e)(1) of the Consolidated Omnibus Budget Reconciliation Act of

6 1985 (19 U.S.C. 58c(e)(1)).

7 § 80504. Medals of honor

8 (a) MEDALS.—The President may prepare and give a bronze medal of

9 honor with emblematic devices to an individual who by extreme daring en10 dangers that individual’s life in trying to prevent, or save the life of another

11 in, a grave accident in the United States involving a rail carrier providing

12 transportation in interstate commerce or involving a motor vehicle on the

13 public streets, roads, or highways. The President may give a medal only when

14 sufficient evidence that the individual deserves the medal has been filed under

15 regulations prescribed by the President.

16 (b) RIBBONS, KNOTS, AND ROSETTES.—The President may give an indi17 vidual who receives a medal a ribbon to be worn with the medal and a knot

18 or rosette to be worn in place of the medal. The President shall prescribe the

19 design for the ribbon, knot, and rosette. If the ribbon is lost, destroyed, or

20 made unfit for use and the individual receiving the medal is not negligent,

21 the President shall issue a new ribbon without charge to the individual.

22 (c) AVAILABILITY OF APPROPRIATIONS.—Appropriations made to the Sec23 retary of Transportation are available to carry out this section.

24 PORTS OF ENTRY

25 Sec. 2. (a) The definitions in section 40102(a) of title 49, United States

26 Code, apply to this section.

27 (b)(1) The Secretary of the Treasury may—

28 (A) designate ports of entry in the United States for civil aircraft ar29 riving in the United States from a place outside the United States and

30 property transported on that aircraft;

31 (B) detail to ports of entry officers and employees of the United States

32 Customs Service the Secretary considers necessary;

33 (C) give an officer or employee of the United States Government sta34 tioned at a port of entry (with the consent of the head of the department,

35 agency, or instrumentality of the Government with jurisdiction over the

36 officer or employee) duties and powers of officers or employees of the Cus37 toms Service;

38 (D) by regulation, apply to civil air navigation the laws and regula39 tions on carrying out the customs laws, to the extent and under condi40 tions the Secretary considers necessary; and
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1 (E) by regulation, apply to civil aircraft the laws and regulations on

2 entry and clearance of vessels, to the extent and under conditions the Sec3 retary considers necessary.

4 (2) A person violating a customs regulation prescribed under paragraph

5 (1)(A)–(D) of this subsection or a public health or customs law or regulation

6 made applicable to aircraft by a regulation under paragraph (1)(A)–(D) is

7 liable to the Government for a civil penalty of $5,000 for each violation. An

8 aircraft involved in the violation may be seized and forfeited under the cus9 toms laws. The Secretary of the Treasury may remit or mitigate a penalty

10 and forfeiture under this paragraph.

11 (3) A person violating a regulation made applicable under paragraph

12 (1)(E) of this subsection or an immigration regulation prescribed under para13 graph (1)(E) is liable to the Government for a civil penalty of $5,000 for each

14 violation. The Secretary of the Treasury or the Attorney General may remit

15 or mitigate a penalty under this paragraph.

16 (4) In addition to any other penalty, when a controlled substance described

17 in section 584 of the Tariff Act of 1930 (19 U.S.C. 1584) is found on, or to

18 have been unloaded from, an aircraft to which this subsection applies, the

19 owner of, or individual commanding, the aircraft is liable to the Government

20 for the penalties provided in section 584 for each violation unless the owner

21 or individual, by a preponderance of the evidence, demonstrates that the

22 owner or individual did not know, and by exercising the highest degree of care

23 and diligence, could not have known, that a controlled substance was on the

24 aircraft.

25 (5) If a violation under this subsection is by the owner or operator of, or

26 individual commanding, the aircraft, the aircraft is subject to a lien for the

27 penalty.

28 (c)(1) The Secretary of Agriculture by regulation may apply laws and reg29 ulations on animal and plant quarantine (including laws and regulations on

30 importing, exporting, transporting, and quarantining animals, plants, ani31 mal and plant products, insects, bacterial and fungus cultures, viruses, and

32 serums) to civil air navigation to the extent and under conditions the Sec33 retary considers necessary.

34 (2) A person violating a law or regulation made applicable under para35 graph (1) of this subsection is liable for the penalties provided under that law

36 or regulation.

37 (d) A decision to remit or mitigate a civil penalty under this section is

38 final. When libel proceedings are pending during a proceeding to remit or

39 mitigate a penalty, the appropriate Secretary shall notify the Attorney Gen40 eral of the remission or mitigation proceeding.
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1 (e)(1) An aircraft subject to a lien under this section may be seized sum2 marily by and placed in the custody of a person authorized by regulations

3 of the appropriate Secretary or the Attorney General. A report of the case

4 shall be sent to the Attorney General. The Attorney General shall bring

5 promptly a civil action in rem to enforce the lien or notify the appropriate

6 Secretary that the action will not be brought.

7 (2) An aircraft seized under this section shall be released from custody

8 when—

9 (A) the civil penalty or amount not remitted or mitigated is paid;

10 (B) the aircraft is seized under process of a court in a civil action

11 in rem to enforce the lien;

12 (C) the Attorney General gives notice that a civil action will not be

13 brought under paragraph (1) of this subsection; or

14 (D) a bond is deposited with the appropriate Secretary or the Attor15 ney General in an amount and with a surety the appropriate Secretary

16 or the Attorney General prescribes, conditioned on payment of the pen17 alty or amount not remitted or mitigated.

18 (f) A civil penalty under this section may be collected by bringing a civil

19 action against the person subject to the penalty, a civil action in rem against

20 an aircraft subject to a lien for a penalty, or both. The action shall conform

21 as nearly as practicable to a civil action in admiralty, regardless of the place

22 an aircraft in a civil action in rem is seized. However, a party may demand

23 a trial by jury of an issue of fact if the value of the matter in controversy

24 is more than $20. An issue of fact tried by jury may be reexamined only

25 under common law rules.

26 (g) Necessary amounts may be appropriated to allow the head of a depart27 ment, agency, or instrumentality of the Government to acquire space at a

28 public airport (as defined in section 47102 of title 49) when the head decides

29 the space is necessary to carry out inspections, clearance, collection of taxes

30 or duties, or a similar responsibility of the head, related to transporting pas31 sengers or property in air commerce. The head must consult with the Sec32 retary of Transportation before making a decision on space.

33 MASS TRANSPORTATION EXEMPTION

34 Sec. 3. Chapter 105 of title 49, United States Code, is amended as follows:

35 (1) Insert immediately after section 10530 the following new section:

36 ‘‘§ 10531. Mass transportation exemption

37 ‘‘(a) DEFINITIONS.—The definitions in section 5302(a) of this title apply

38 to this section.

39 ‘‘(b) PETITION FOR GRANTING EXEMPTIONS.—A State or local govern40 mental authority may petition the Interstate Commerce Commission for an

41 exemption from the jurisdiction of the Commission under this subchapter for
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1 mass transportation the authority provides or has provided to it by contract.

2 Not later than 180 days after the Commission receives a petition and after

3 notice and a reasonable opportunity for a proceeding, the Commission shall

4 exempt the State, local governmental authority, or contractor unless the Com5 mission finds that—

6 ‘‘(1) the public interest would not be served by an exemption;

7 ‘‘(2) the exemption would result in an unreasonable burden on inter8 state or foreign commerce; or

9 ‘‘(3) a State or local governmental authority may not regulate the

10 mass transportation to be exempt under this section.

11 ‘‘(c) APPLICATION OF OTHER LAWS.—All applicable laws of the United

12 States related to safety and to representation of employees for collective bar13 gaining purposes, retirement, annuities, and unemployment systems, and all

14 other laws related to employee–employer relations, apply to a State or local

15 governmental authority that was granted, or whose contractor was granted,

16 an exemption under this section.

17 ‘‘(d) CHANGING AND REVOKING EXEMPTIONS.—The Commission may

18 change or revoke an exemption if it finds that new evidence, material error,

19 or changed circumstances exist that materially affect the original order. The

20 Commission may act on its own initiative or on application of an interested

21 party.’’.

22 (2) Insert immediately below item 10530 in the analysis of the chapter

23 the following new item:

‘‘10531. Mass transportation exemption.’’.

24 CONFORMING PROVISIONS

25 Sec. 4. (a) Section 401 of the Federal Election Campaign Act of 1971 (2

26 U.S.C. 451) is amended by striking ‘‘Civil Aeronautics Board’’ and ‘‘Board

27 or Commission’’ and substituting ‘‘Secretary of Transportation’’ and ‘‘Sec28 retary under subpart II of part A of subtitle VII of title 49, United States

29 Code, or such Commission,’’, respectively.

30 (b) Title 5, United States Code, is amended as follows:

31 (1) In section 5109, add at the end of the section the following new

32 subsection:

33 ‘‘(c)(1) The position held by a fully experienced and qualified railroad safe34 ty inspector of the Department of Transportation shall be classified in accord35 ance with this chapter, but not lower than GS–12.

36 ‘‘(2) The position held by a railroad safety specialist of the Department

37 shall be classified in accordance with this chapter, but not lower than GS–

38 13.’’.

39 (2) In section 5315, strike—
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1 ‘‘Administrator of the St. Lawrence Seaway Development Corpora2 tion.’’

3 and substitute—

4 ‘‘Administrator of the Saint Lawrence Seaway Development Corpora5 tion.’’.

6 (3) In section 8172, strike ‘‘Secretary of the Treasury’’ and substitute

7 ‘‘Secretary of Transportation’’.

8 (c) Section 511(e) of the Motor Vehicle Information and Cost Savings Act

9 (15 U.S.C. 2011(e)) is amended to read as follows:

10 ‘‘(e) For purposes of this section—

11 ‘‘(1) ‘retrofit device’ means any component, equipment, or other de12 vice—

13 ‘‘(A) which is designed to be installed in or on an automobile (as

14 an addition to, as a replacement for, or through alteration or modi15 fication of, any original component, equipment, or other device);

16 and

17 ‘‘(B) which any manufacturer, dealer, or distributor of such de18 vice represents will provide higher fuel economy than would have re19 sulted with the automobile as originally equipped,

20 as determined under rules of the Administrator. Such term also includes

21 a fuel additive for use in an automobile.

22 ‘‘(2) the definitions in section 32901(a) of title 49, United States Code,

23 apply.’’.

24 (d) Section 6001(1) of title 18, United States Code, is amended by striking

25 ‘‘the Civil Aeronautics Board,’’.

26 (e) Chapter 33 of title 28, United States Code, is amended as follows:

27 (1) Insert immediately after section 537 the following new section:

28 ‘‘§ 538. Investigation of aircraft piracy and related violations

29 ‘‘The Federal Bureau of Investigation shall investigate any violation of sec30 tion 46314 or chapter 465 of title 49.’’.

31 (2) In the analysis of chapter 33, insert immediately after item 537

32 the following new item:

‘‘538. Investigation of aircraft piracy and related violations.’’.

33 (f)(1) Title 31, United States Code, is amended as follows:

34 (A) In section 309, strike ‘‘section 2A(a)’’ and substitute ‘‘section

35 3(a)’’.

36 (B) In section 503(b)(9), strike ‘‘perform’’ and substitute ‘‘Perform’’.

37 (C) In the analysis of chapter 7, immediately above item 781, strike—

‘‘Sec.’’.

38 (D) In section 782, strike ‘‘612a).’’ and substitute ‘‘612a)).’’.

39 (E) In section 1105(a), strike—
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1 ‘‘(26) a separate’’

2 and substitute—

3 ‘‘(27) a separate’’.

4 (F) Section 1352 is amended as follows:

5 (i) Immediately below subsection (b)(7), strike—

6 ‘‘(C)(1) Any’’

7 and substitute—

8 ‘‘(c)(1) Any’’.

9 (ii) In subsection (e)(1)(C), strike ‘‘appropirated’’ and ‘‘law’’ and

10 substitute ‘‘appropriated’’ and ‘‘law.’’, respectively.

11 (iii) In subsection (h)(7), strike ‘‘agency’’ and ‘‘guaranty’’ and

12 substitute ‘‘agency.’’ and ‘‘guaranty.’’, respectively.

13 (G) The analysis of chapter 33 is amended by inserting below item

14 3333 the following new item:

‘‘3334. Cancellation and proceeds distribution of Treasury checks.’’.

15 (H) In section 3302(c)(1), strike the comma at the end and substitute

16 a period.

17 (I) In section 3330(d)(1)(B), strike ‘‘Administrator’’ and substitute

18 ‘‘Secretary of Veterans Affairs’’.

19 (J)(i) In section 3512(c)(1), strike ‘‘subsection (a)(3)’’ and substitute

20 ‘‘subsection (b)(3)’’.

21 (ii) In section 3512(d)(1) and (2), strike ‘‘subsection (b)’’ wherever it

22 appears and substitute ‘‘subsection (c)’’.

23 (K) In section 3551(1), strike ‘‘an Federal’’ and substitute ‘‘a Fed24 eral’’.

25 (L) In section 3552, strike ‘‘section 111(h)’’ and ‘‘(40 U.S.C. 759(h))’’

26 and substitute ‘‘section 111(f)’’ and ‘‘(40 U.S.C. 759(f))’’, respectively.

27 (M) In section 3718(b)(3)(A), strike ‘‘15 U.S.C. 6376(d)(3)(C)(i)’’ and

28 substitute ‘‘15 U.S.C. 637(d)(3)(C)(i)’’.

29 (N) In section 3726(d), strike ‘‘miscellaneous receipt’’ and substitute

30 ‘‘miscellaneous receipts’’.

31 (O) In section 3729(e), strike ‘‘1954’’ and substitute ‘‘1986’’.

32 (P) In section 3730(e)(2)(B), strike ‘‘section paragraphs (1)’’ and sub33 stitute ‘‘paragraphs (1)’’.

34 (Q) In section 3801(a)(7)(B)(ii), strike ‘‘section 3803 of such title’’

35 and substitute ‘‘section 3803 of this title’’.

36 (R) In section 5112(h), strike ‘‘title 31, United States Code’’ and sub37 stitute ‘‘this title’’.

38 (S) In section 6101(4)(B), strike ‘‘agency’’ and substitute ‘‘agency.’’.

39 (T) In the catchline of section 6202, strike ‘‘form’’ and substitute

40 ‘‘form,’’.
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1 (U)(i) At the end of the analysis of chapter 69, add the following new

2 item:

‘‘6907. State legislation requiring reallocation or redistribution of payments to smaller units

of general purpose government.’’.

3 (ii) Section 6907 is amended by adding before subsection (a) the fol4 lowing:

5 ‘‘§ 6907. State legislation requiring reallocation or redis6 tribution of payments to smaller units of general

7 purpose government’’.

8 (V) In section 7102(3), strike ‘‘politicial’’ and substitute ‘‘political’’.

9 (W) Section 7502 is amended as follows:

10 (i) In subsection (b)(2)(A), strike ‘‘the date of enactment of this

11 chapter’’ and substitute ‘‘October 19, 1984’’.

12 (ii) In subsection (b)(2)(B), strike ‘‘such date’’ and substitute

13 ‘‘October 19, 1984’’.

14 (iii) In subsection (d), strike paragraph (5) and redesignate

15 paragraph (6) as paragraph (5).

16 (iv) In subsection (g), strike ‘‘section 3512(b)’’ and substitute

17 ‘‘section 3512(c)’’.

18 (X) In section 7503(a), strike ‘‘To the extend’’ and substitute ‘‘To the

19 extent’’.

20 (Y)(i) Subtitle V is amended by adding at the end of the subtitle the

21 following new chapter:

22 ‘‘CHAPTER 77—LOAN REQUIREMENTS

‘‘Sec.

‘‘7701. Taxpayer identifying number.

23 ‘‘§ 7701. Taxpayer identifying number

24 ‘‘(a) In this section—

25 ‘‘(1) ‘included Federal loan program’ has the same meaning given that

26 term in section 6103(l)(3)(C) of the Internal Revenue Code of 1986 (26

27 U.S.C. 6103(l)(3)(C)).

28 ‘‘(2) ‘taxpayer identifying number’ means the identifying number re29 quired under section 6109 of the Internal Revenue Code of 1986 (26

30 U.S.C. 6109).

31 ‘‘(b) The head of an agency administering an included Federal loan pro32 gram shall require a person applying for a loan under the program to provide

33 that person’s taxpayer identifying number.’’.

34 (ii) The analysis of subtitle V is amended by adding immediately after

35 item 75 the following new item:

‘‘77. Loan Requirements .................................................................................................. 7701’’.

36 (Z) In section 9101(2)(K), strike ‘‘The’’ and substitute ‘‘the’’.
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1 (AA) In section 9110(e)(1), strike ‘‘subparagraph’’ and substitute ‘‘sec2 tion’’.

3 (2) Effective December 22, 1987, section 407 of The Judiciary Appropria4 tion Act, 1988 (Public Law 100–202, 101 Stat. 1329–26), is amended to read

5 as follows:

6 ‘‘Sec. 407. Section 1344 of title 31, United States Code, is amended as fol7 lows:

8 ‘‘(1) In subsection (b)—

9 ‘‘(A) redesignate clauses (2)–(8) as clauses (3)–(9), respectively;

10 ‘‘(B) insert below clause (1) the following:

11 ‘‘ ‘(2) the Chief Justice and the Associate Justices of the Supreme

12 Court;’;

13 ‘‘(C) in clause (3)(B), as redesignated by clause (A) of this para14 graph, strike ‘subparagraph (A) of this paragraph’ and substitute

15 ‘subclause (A) of this clause’; and

16 ‘‘(D) in the last sentence, strike ‘paragraph (8)’ and substitute

17 ‘clause (9)’.

18 ‘‘(2) In subsection (d)—

19 ‘‘(A) in paragraphs (1) and (2), strike ‘paragraph (8) of sub20 section (b)’ wherever it appears and substitute ‘subsection (b)(9) of

21 this section’;

22 ‘‘(B) in paragraph (3), strike ‘subsections (a)(2), (b)(2)(B), and

23 (b)(8)’ and ‘subsection (b)(8)’ and substitute ‘subsections (a)(2) and

24 (b)(3)(B) and (9)’ and ‘subsection (b)(9)’, respectively; and

25 ‘‘(C) in paragraph (4), strike ‘paragraphs (1), (2)(B), and (8) of

26 subsection (b)’ and ‘paragraph (8) of subsection (b), and the ex27 pected duration of any authorization under such paragraph’ and

28 substitute ‘subsection (b)(1), (3)(B), and (9) of this section’ and

29 ‘subsection (b)(9), and the expected duration of any authorization

30 under subsection (b)(9)’, respectively.

31 ‘‘(3) In subsection (e)(1), strike ‘(b)(8)’ and substitute ‘(b)(9)’.’’.

32 (3) Effective September 27, 1988, the last sentence of the paragraph headed

33 ‘‘PAYMENTS IN LIEU OF TAXES’’ in title I of the Act of September 27,

34 1988 (Public Law 100–446, 102 Stat. 1775), is amended to read as follows:

35 ‘‘Section 6901(2)(A) of title 31, United States Code, is amended by striking

36 ‘existing in Alaska on October 20, 1976’.’’.

37 (g) Title 39, United States Code, is amended as follows:

38 (1) In section 5007—

39 (A) insert the subsection designation ‘‘(a)’’ at the beginning of the

40 text of the section; and

41 (B) add at the end of the section the following new subsection:
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1 ‘‘(b)(1) In this subsection, ‘air carrier’ and ‘aircraft’ have the same mean2 ings given those terms in section 40102(a) of title 49.

3 ‘‘(2) An air carrier engaged in transporting mail shall carry without

4 charge on any plane it operates those agents and officers of the Postal Service

5 traveling on official business related to transporting mail by aircraft, as pre6 scribed by regulations of the Secretary of Transportation, on exhibiting cre7 dentials.’’.

8 (2) Amend section 5402 as follows:

9 (A) In subsection (a), strike ‘‘section 1302’’ and substitute ‘‘sec10 tion 40101(a)’’.

11 (B) In subsection (b), strike ‘‘sections 1371(k) and 1386(b)’’, ‘‘sec12 tions 1301–1542’’, and ‘‘sections 1371–1386’’ and substitute ‘‘sec13 tions 40109(a) and (c)–(h) and 42112’’, ‘‘part A of subtitle VII’’,

14 and ‘‘chapters 411 and 413’’, respectively.

15 (C) In subsection (d)—

16 (i) insert ‘‘determine rates and’’ after ‘‘may’’; and

17 (ii) strike ‘‘and overseas’’.

18 (D) In subsection (e)—

19 (i) strike ‘‘ ‘overseas air transportation’,’’; and

20 (ii) strike ‘‘section 101 of the Federal Aviation Act of 1958

21 (49 U.S.C. 1301)’’ and substitute ‘‘section 40102(a) of title 49’’.

22 (h) Section 382 of the Energy Policy and Conservation Act (42 U.S.C.

23 6362) is amended as follows:

24 (1) Strike subsection (a) and substitute the following:

25 ‘‘(a) In this section, ‘agency’ means—

26 ‘‘(1) the Department of Transportation with respect to part A of sub27 title VII of title 49, United States Code;

28 ‘‘(2) the Interstate Commerce Commission;

29 ‘‘(3) the Federal Maritime Commission; and

30 ‘‘(4) the Federal Power Commission.’’.

31 (2) In subsection (b), strike ‘‘subsection (a)(1)’’ and substitute ‘‘sub32 section (a)’’.

33 (i) The Act of April 22, 1908 (45 U.S.C. 51 et seq.), is amended by insert34 ing immediately after section 4 the following new section:

35 ‘‘SEC. 4A. A regulation, standard, or requirement in force, or prescribed

36 by the Secretary of Transportation under chapter 201 of title 49, United

37 States Code, or by a State agency that is participating in investigative and

38 surveillance activities under section 20105 of title 49, is deemed to be a stat39 ute under sections 3 and 4 of this Act.’’.

40 (j) Title 49, United States Code, is amended as follows:
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1 (1) In section 102, redesignate subsection (e), as enacted by section

2 1(b) of the Act of January 12, 1983 (Public Law 97–449, 96 Stat. 2414),

3 as subsection (f).

4 (2) In section 104(b)(1), strike ‘‘Admininstrator’’ and substitute ‘‘Ad5 ministrator’’.

6 (3) Amend section 106 as follows:

7 (A) In subsection (f), strike ‘‘Secretary shall’’ and substitute ‘‘Sec8 retary of Transportation shall’’.

9 (B) Subsection (g) is amended to read as follows:

10 ‘‘(g) DUTIES AND POWERS OF ADMINISTRATOR.—(1) Except as provided in

11 paragraph (2) of this subsection, the Administrator shall carry out—

12 ‘‘(A) duties and powers of the Secretary of Transportation under sub13 section (f) of this section related to aviation safety (except those related

14 to transportation, packaging, marking, or description of hazardous mate15 rial) and stated in sections 308(b), 1132(c) and (d), 40101(c), 40103(b),

16 40106(a), 40108, 40109(b), 40113(a), (c), and (d), 40114(a), 40119,

17 44501(a) and (c), 44502(a)(1), (b), and (c), 44504, 44505, 44507, 44508,

18 44511–44513, 44701–44716, 44718(c), 44721(a), 44901, 44902,

19 44903(a)–(c) and (e), 44906, 44912, 44935–44937, and 44938(a) and

20 (b), chapter 451, sections 45302, 45303, 46104, 46301(d) and (h)(2),

21 46303(c), 46304–46308, 46310, 46311, and 46313–46316, chapter 465,

22 and sections 47504(b)(related to flight procedures), 47508(a), and 48107

23 of this title; and

24 ‘‘(B) additional duties and powers prescribed by the Secretary of

25 Transportation.

26 ‘‘(2) In carrying out sections 40119, 44901, 44903(a)–(c) and (e), 44906,

27 44912, 44935–44937, 44938(a) and (b), and 48107 of this title, paragraph

28 (1)(A) of this subsection does not apply to duties and powers vested in the

29 Director of Intelligence and Security by section 44931 of this title.’’.

30 (C) In subsection (k), insert ‘‘to the Secretary of Transportation’’

31 immediately after ‘‘appropriated’’.

32 (4) In section 108(a)—

33 (A) strike—

34 ‘‘(a) Except when operating as a service in the Navy, the’’

35 and substitute—

36 ‘‘(a)(1) The’’; and

37 (B) add at the end of subsection (a) the following new paragraph:

38 ‘‘(2) Notwithstanding paragraph (1) of this subsection, the Coast Guard,

39 together with the duties and powers of the Coast Guard, shall operate as a

40 service in the Navy as provided under section 3 of title 14.’’.
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1 (5)(A) In section 110(a), strike ‘‘St. Lawrence’’ and substitute ‘‘Saint

2 Lawrence’’.

3 (B) In the analysis of chapter 1, strike—

‘‘110. St. Lawrence Seaway Development Corporation.

‘‘110. Saint Lawrence Seaway Development Corporation.

‘‘111. Bureau of Transportation Statistics.’’.

4 and substitute—

‘‘110. Saint Lawrence Seaway Development Corporation.

‘‘111. Bureau of Transportation Statistics.’’.

5 (6)(A) Chapter 3 is amended by inserting immediately after section

6 303 the following new section:

7 ‘‘§ 303a. Development of water transportation

8 ‘‘(a) POLICY.—It is the policy of Congress—

9 ‘‘(1) to promote, encourage, and develop water transportation, service,

10 and facilities for the commerce of the United States; and

11 ‘‘(2) to foster and preserve rail and water transportation.

12 ‘‘(b) DEFINITION.—In this section, ‘inland waterway’ includes the Great

13 Lakes.

14 ‘‘(c) REQUIREMENTS.—The Secretary of Transportation shall—

15 ‘‘(1) investigate the types of vessels suitable for different classes of in16 land waterways to promote, encourage, and develop inland waterway

17 transportation facilities for the commerce of the United States;

18 ‘‘(2) investigate water terminals, both for inland waterway traffic and

19 for through traffic by water and rail, including the necessary docks,

20 warehouses, and equipment, and investigate railroad spurs and switches

21 connecting with those water terminals, to develop the types most appro22 priate for different locations and for transferring passengers or property

23 between water carriers and rail carriers more expeditiously and economi24 cally;

25 ‘‘(3) consult with communities, cities, and towns about the location of

26 water terminals, and cooperate with them in preparing plans for termi27 nal facilities;

28 ‘‘(4) investigate the existing status of water transportation on the dif29 ferent inland waterways of the United States to learn the extent to

30 which—

31 ‘‘(A) the waterways are being used to their capacity and are

32 meeting the demands of traffic; and

33 ‘‘(B) water carriers using those waterways are interchanging

34 traffic with rail carriers;

35 ‘‘(5) investigate other matters that may promote and encourage inland

36 water transportation; and
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1 ‘‘(6) compile, publish, and distribute information about transportation

2 on inland waterways that the Secretary considers useful to the commer3 cial interests of the United States.’’.

4 (B) The analysis of chapter 3 is amended by inserting immediately

5 after item 303 the following new item:

‘‘303a. Development of water transportation.’’.

6 (7) Amend section 329 as follows:

7 (A) In subsection (b)(1)—

8 (i) strike ‘‘title VII of the Federal Aviation Act of 1958 (49

9 U.S.C. 1441 et seq.)’’ and substitute ‘‘chapter 11 of this title’’;

10 (ii) strike ‘‘and overseas’’ and ‘‘or overseas’’ wherever it ap11 pears; and

12 (iii) strike ‘‘section 419 of the Federal Aviation Act of 1958’’

13 and substitute ‘‘subchapter II of chapter 417 of this title’’.

14 (B) In subsection (d), strike ‘‘the Federal Aviation Act of 1958

15 (49 App. U.S.C. 1301 et seq.)’’ and substitute ‘‘part A of subtitle

16 VII of this title’’.

17 (8) In section 331(b), strike ‘‘services, supplies, and facilities provided

18 under subsection (a)(1), (2), and (3) of this section’’ and substitute

19 ‘‘medical treatment provided under subsection (a)(1) of this section and

20 for supplies and services provided under subsection (a)(2) and (3) of this

21 section’’.

22 (9)(A) Sections 334 and 335 are repealed.

23 (B) Items 334 and 335 in the analysis of chapter 3 are repealed.

24 (10)(A) Chapter 3 is amended by adding immediately after section

25 336 the following:

26 ‘‘§ 337. Budget request for the Director of Intelligence and

27 Security

28 ‘‘The annual budget the Secretary of Transportation submits shall include

29 a specific request for the Office of the Director of Intelligence and Security.

30 In deciding on the budget request for the Office, the Secretary shall consider

31 recommendations in the annual report submitted under section 44938(a) of

32 this title.

33 ‘‘SUBCHAPTER III—MISCELLANEOUS

34 ‘‘§ 351. Judicial review of actions in carrying out certain

35 transferred duties and powers

36 ‘‘(a) JUDICIAL REVIEW.—An action of the Secretary of Transportation in

37 carrying out a duty or power transferred under the Department of Transpor38 tation Act (Public Law 89–670, 80 Stat. 931), or an action of the Adminis39 trator of the Federal Railroad Administration, the Federal Highway Admin40 istration, or the Federal Aviation Administration in carrying out a duty or
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1 power specifically assigned to the Administrator by that Act, may be reviewed

2 judicially to the same extent and in the same way as if the action had been

3 an action by the department, agency, or instrumentality of the United States

4 Government carrying out the duty or power immediately before the transfer

5 or assignment.

6 ‘‘(b) APPLICATION OF PROCEDURAL REQUIREMENTS.—A statutory require7 ment related to notice, an opportunity for a hearing, action on the record,

8 or administrative review that applied to a duty or power transferred by the

9 Act applies to the Secretary or Administrator when carrying out the duty or

10 power.

11 ‘‘(c) NONAPPLICATION.—This section does not apply to a duty or power

12 transferred from the Interstate Commerce Commission to the Secretary under

13 section 6(e)(1)–(4) and (6)(A) of the Act.

14 ‘‘§ 352. Authority to carry out certain transferred duties and

15 powers

16 ‘‘In carrying out a duty or power transferred under the Department of

17 Transportation Act (Public Law 89–670, 80 Stat. 931), the Secretary of

18 Transportation and the Administrators of the Federal Railroad Administra19 tion, the Federal Highway Administration, and the Federal Aviation Admin20 istration have the same authority that was vested in the department, agency,

21 or instrumentality of the United States Government carrying out the duty or

22 power immediately before the transfer. An action of the Secretary or Adminis23 trator in carrying out the duty or power has the same effect as when carried

24 out by the department, agency, or instrumentality.

25 ‘‘§ 353. Toxicological testing of officers and employees

26 ‘‘(a) COLLECTING SPECIMENS.—When the Secretary of Transportation or

27 the head of a component of the Department of Transportation conducts post28 accident or post-incident toxicological testing of an officer or employee of the

29 Department, the Secretary or head shall collect the specimen from the officer

30 or employee as soon as practicable after the accident or incident. The Sec31 retary or head shall try to collect the specimen not later than 4 hours after

32 the accident or incident.

33 ‘‘(b) REPORTS.—The head of each component shall submit a report to the

34 Secretary on the circumstances about the amount of time required to collect

35 the specimen for a toxicological test conducted on an officer or employee who

36 is reasonably associated with the circumstances of an accident or incident

37 under the investigative jurisdiction of the National Transportation Safety

38 Board.

39 ‘‘(c) NONCOMPLIANCE NOT A DEFENSE.—An officer or employee required

40 to submit to toxicological testing may not assert failure to comply with this
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1 section as a claim, cause of action, or defense in an administrative or judicial

2 proceeding.’’.

3 (B) The analysis of chapter 3 is amended by adding immediately after

4 item 336 the following:

‘‘337. Budget request for the Director of Intelligence and Security.

‘‘SUBCHAPTER III—MISCELLANEOUS

‘‘351. Judicial review of actions in carrying out certain transferred duties and powers.

‘‘352. Authority to carry out certain transferred duties and powers.

‘‘353. Toxicological testing of officers and employees.’’.

5 (11)(A) In section 501(a), strike clauses (4)–(9).

6 (B) Strike section 508.

7 (C) In the analysis of chapter 105, strike the item related to section

8 508.

9 (D) In section 521(b)(2)(A), strike ‘‘section 508’’ and substitute ‘‘chap10 ter 59’’.

11 (12) In sections 502(e)(2) and 10321(d)(3), insert ‘‘judge’’ after ‘‘Unit12 ed States magistrate’’.

13 (13) Section 10362(b)(5) is amended to read as follows:

14 ‘‘(5) prescribe regulations that contain standards for the computation

15 of subsidies for rail passenger transportation (except passenger transpor16 tation compensation disputes subject to the jurisdiction of the Commis17 sion under sections 24308(a) and 24903(c)(2) of this title) that are con18 sistent with the compensation principles described in the final system

19 plan established under the Regional Rail Reorganization Act of 1973 (45

20 U.S.C. 701 et seq.) and that avoid cross-subsidization among commuter,

21 intercity, and freight rail transportation;’’.

22 (14) In sections 10363(c) and 10383(c), strike ‘‘rate for GS–18’’ and

23 substitute ‘‘maximum rate payable under section 5376 of title 5’’.

24 (15) In section 10501(d)—

25 (A) strike ‘‘procedures of this title’’ and substitute ‘‘procedures of

26 this subtitle’’; and

27 (B) strike ‘‘provided in this title’’ and substitute ‘‘provided in

28 this subtitle’’.

29 (16) In section 10504—

30 (A) strike ‘‘local public body’’ wherever it appears and substitute

31 ‘‘local governmental authority’’;

32 (B) strike ‘‘rail mass transportation’’ wherever it appears and

33 substitute ‘‘mass transportation’’;

34 (C) in subsection (a)(1)(A), strike ‘‘section 1608(c)(2)’’ and sub35 stitute ‘‘section 5302(a)’’; and

36 (D) in subsection (a)(2), strike ‘‘section 1608(c)(5)’’ and sub37 stitute ‘‘section 5302(a)’’.
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1 (17) In section 10526(a)—

2 (A) in clause (8)(B), strike ‘‘Civil Aeronautics Board or its suc3 cessor agency’’ and substitute ‘‘Secretary of Transportation’’;

4 (B) in clause (10), strike ‘‘work.’’ and substitute ‘‘work;’’;

5 (C) in clause (13), strike ‘‘or’’; and

6 (D) in clause (14), strike ‘‘title.’’ and substitute ‘‘title; or’’.

7 (18) In section 10530(i)(3), strike ‘‘notifed’’ and substitute ‘‘notified’’.

8 (19) In section 10701a(b)(3), strike ‘‘policy of this title’’ and substitute

9 ‘‘policy of this subtitle’’.

10 (20) In section 10705a(g)(3)—

11 (A) before clause (A), strike ‘‘provision of this title’’ and sub12 stitute ‘‘provision of this subtitle’’; and

13 (B) in clause (A), strike ‘‘service over any rate’’ and substitute

14 ‘‘service over any route’’.

15 (21) In section 10707(d)—

16 (A) in paragraph (2), strike ‘‘under this title’’ and substitute

17 ‘‘under this subtitle’’; and

18 (B) in paragraph (3), strike ‘‘title’’ wherever it appears and sub19 stitute ‘‘subtitle’’.

20 (22) In section 10707a(b)(1), strike ‘‘paragraph (2)’’ and substitute

21 ‘‘paragraph (3)’’.

22 (23) In section 10731(e), strike ‘‘provision of this title’’ and substitute

23 ‘‘provision of this subtitle’’.

24 (24) In section 10749(b)(2), strike ‘‘Civil Aeronautics Board under the

25 Federal Aviation Act of 1958 (49 App. U.S.C. 1301 et seq.)’’ and sub26 stitute ‘‘Secretary of Transportation under part A of subtitle VII of this

27 title’’.

28 (25) In section 10751(b), strike ‘‘purposes of this title’’ and substitute

29 ‘‘purposes of this subtitle’’.

30 (26) In section 10905(d)(1) and (e), strike ‘‘government authority’’

31 and substitute ‘‘governmental authority’’.

32 (27) In section 10910—

33 (A) in subsection (a)(1), strike ‘‘government authority’’ and sub34 stitute ‘‘governmental authority’’; and

35 (B) in subsection (g)(1), strike ‘‘provisions of this title’’ and sub36 stitute ‘‘provisions of this subtitle’’.

37 (28) In section 10924(e), insert ‘‘of’’ after ‘‘protection’’.

38 (29) In the analysis of chapter 111—

39 (A) in item 11128, strike ‘‘Water’’ and substitute ‘‘War’’; and

40 (B) in item 11142, strike ‘‘systems’’ and substitute ‘‘system’’.
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1 (30) In section 11162(a), strike ‘‘proceedings under this title’’ and sub2 stitute ‘‘proceedings under this subtitle’’.

3 (31) In section 11163, strike ‘‘purposes of this title’’ and substitute

4 ‘‘purposes of this subtitle’’.

5 (32) In section 11166(a), strike ‘‘pursuant to this title’’ and substitute

6 ‘‘under this subtitle’’.

7 (33) In section 11167, strike ‘‘under this title’’ and substitute ‘‘under

8 this subtitle’’.

9 (34) In section 11501(b)(3)(A), strike ‘‘title’’ and substitute ‘‘subtitle’’.

10 (35) In section 11909(b), strike ‘‘1966,,’’ and substitute ‘‘1966,’’.

11 (k) Effective January 1, 1999, the following sections of title 49, United

12 States Code, as enacted by section 1 of this Act, are amended as follows:

13 (1) In sections 41107, 41901(b)(1), 41902(a), and 41903, strike

14 ‘‘transportation or between places in Alaska’’ wherever it appears

15 and substitute ‘‘transportation’’.

16 (2) Strike section 41901(g).

17 (3) In section 41902(b)—

18 (A) strike clause (3); and

19 (B) in clause (4), strike ‘‘clauses (1)–(3)’’ and substitute

20 ‘‘clauses (1) and (2)’’.

21 (l) The Act of June 29, 1940 (ch. 444, 54 Stat. 686), is amended as follows:

22 (1) Except as provided in paragraphs (2) and (3) of this subsection,

23 strike ‘‘Administrator’’ wherever it appears and substitute ‘‘Secretary’’.

24 (2) In subsection (a) of the first section, strike ‘‘ ‘Administrator’ means

25 the Administrator of the Federal Aviation Agency’’ and substitute ‘‘ ‘Sec26 retary’ means the Secretary of Transportation’’.

27 (3) In section 4(a), strike ‘‘Administrator, and any Federal Aviation

28 Agency’’ and substitute ‘‘Secretary, and any Department of Transpor29 tation’’.

30 (4) In section 6, strike ‘‘United States commissioner’’ wherever it ap31 pears and substitute ‘‘United States magistrate judge’’.

32 (m) The Act of September 7, 1950 (ch. 905, 64 Stat. 770), is amended as

33 follows:

34 (1) Except as provided in paragraph (2) of this subsection, strike ‘‘Ad35 ministrator’’ wherever it appears and substitute ‘‘Secretary’’.

36 (2) In the first section, strike ‘‘Administrator of the Federal Aviation

37 Agency’’ and ‘‘ ‘Administrator’ ’’ and substitute ‘‘Secretary of Transpor38 tation’’ and ‘‘ ‘Secretary’ ’’, respectively.

39 (3) In sections 4 and 8(a), strike ‘‘Federal Aviation Agency’’ and sub40 stitute ‘‘Department of Transportation’’.
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1 (4) In section 8(d), strike ‘‘United States Commissioner’’ wherever it

2 appears and substitute ‘‘United States magistrate judge’’.

3 (n) Section 101(1st complete par. on p. 646) of the Act of August 30, 1964

4 (Public Law 88–507, 78 Stat. 646), is amended by striking ‘‘Administrator

5 of the Federal Aviation Agency’’ and substituting ‘‘Secretary of Transpor6 tation’’.

7 (o ) Section 9111 of the Anti-Drug Abuse Act of 1988 (Public Law 100–

8 690, 102 Stat. 4531) is amended as follows:

9 (1) In the introductory language of subsection (b)(1), strike ‘‘Sub10 section (b) of section 10530 of such title is amended by striking out para11 graph (1) and inserting in lieu thereof the following new paragraph:’’

12 and substitute ‘‘Subsection (b)(1) of section 10530 of title 49 is amended

13 to read as follows:’’.

14 (2) In subsection (b)(2), strike ‘‘Such subsection’’ and substitute ‘‘Sub15 section (b) of section 10530’’.

16 (3) In the introductory language of subsection (f)(1), strike ‘‘Sub17 section (g) of such section is amended by striking out paragraph (1) and

18 inserting in lieu thereof the following:’’ and substitute ‘‘Subsection (g)(1)

19 of section 10530 of title 49 is amended to read as follows:’’.

20 (4) In subsection (f)(2), strike ‘‘Such subsection’’ and substitute ‘‘Sub21 section (g) of section 10530’’.

22 (p) Section 4007(e) of the Intermodal Surface Transportation Efficiency

23 Act of 1991 (Public Law 102–240, 105 Stat. 2153) is amended by inserting

24 ‘‘and section 31307 of title 49, United States Code’’ immediately after ‘‘this

25 section’’.

26 (q) The revision of regulations, referred to in section 32705(b)(2)(A) of title

27 49, United States Code, as enacted by section 1 of this Act, that is required

28 by section 7 of the Independent Safety Board Act Amendments of 1990 (Pub29 lic Law 101–641, 104 Stat. 4657) shall be prescribed not later than May 28,

30 1991.

31 (r) Section 165 of the Surface Transportation Assistance Act of 1982 (Pub32 lic Law 97–424, 96 Stat. 2136) is amended as follows:

33 (1) In subsections (a) and (d), strike ‘‘the Urban Mass Transportation

34 Act of 1964,’’.

35 (2) In subsection (b)—

36 (A) after the semicolon at the end of clause (2), add ‘‘or’’; and

37 (B) strike clause (3).

38 (s) Effective on the date the regulations required under section 60101(b) of

39 title 49, United States Code, as enacted by section 1 of this Act, are effective,

40 section 60101(a)(21) and (22) of title 49, as enacted by section 1, is amended

41 to read as follows:
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1 ‘‘(21) ‘transporting gas’—

2 ‘‘(A) means—

3 ‘‘(i) the gathering, transmission, or distribution of gas by

4 pipeline, or the storage of gas, in interstate or foreign com5 merce; and

6 ‘‘(ii) the movement of gas through regulated gathering lines;

7 but

8 ‘‘(B) does not include gathering gas (except through regulated

9 gathering lines) in a rural area outside a populated area designated

10 by the Secretary as a nonrural area.

11 ‘‘(22) ‘transporting hazardous liquid’—

12 ‘‘(A) means—

13 ‘‘(i) the movement of hazardous liquid by pipeline, or the

14 storage of hazardous liquid incidental to the movement of haz15 ardous liquid by pipeline, in or affecting interstate or foreign

16 commerce; and

17 ‘‘(ii) the movement of hazardous liquid through regulated

18 gathering lines; but

19 ‘‘(B) does not include moving hazardous liquid through—

20 ‘‘(i) gathering lines (except regulated gathering lines) in a

21 rural area;

22 ‘‘(ii) onshore production, refining, or manufacturing facili23 ties; or

24 ‘‘(iii) storage or in-plant piping systems associated with on25 shore production, refining, or manufacturing facilities.’’.

26 (t)(1) Not later than March 3, 1995, the Secretary of Transportation shall

27 complete a regulatory proceeding to consider prescribing regulations to im28 prove the safety and working conditions of locomotive cabs. The proceeding

29 shall assess—

30 (A) the adequacy of Locomotive Crashworthiness Requirements Stand31 ard S–580, or any successor standard, adopted by the Association of

32 American Railroads in 1989 in improving the safety of locomotive cabs;

33 and

34 (B) the extent to which environmental, sanitary, and other working

35 conditions in locomotive cabs affect productivity, health, and the safe op36 eration of locomotives.

37 (2) SUPPORTING RESEARCH AND ANALYSIS.—In support of the proceeding

38 required under paragraph (1) of this subsection, the Secretary shall conduct

39 research and analysis, including computer modeling and full-scale crash test40 ing, as appropriate, to consider—
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1 (A) the costs and benefits associated with equipping locomotives

2 with—

3 (i) braced collision posts;

4 (ii) rollover protection devices;

5 (iii) deflection plates;

6 (iv) shatterproof windows;

7 (v) readily accessible crash refuges;

8 (vi) uniform sill heights;

9 (vii) anticlimbers, or other equipment designed to prevent over10 rides resulting from head-on locomotive collisions;

11 (viii) equipment to deter post-collision entry of flammable liquids

12 into locomotive cabs;

13 (ix) any other devices intended to provide crash protection for oc14 cupants of locomotive cabs; and

15 (x) functioning and regularly maintained sanitary facilities; and

16 (B) the effects on train crews of the presence of asbestos in locomotive

17 components.

18 (3) REPORT.—If, on the basis of the proceeding required under paragraph

19 (1) of this subsection, the Secretary decides not to prescribe regulations, the

20 Secretary shall report to Congress on the reasons for that decision.

21 (u) Not later than April 25, 1993, the Attorney General shall prescribe the

22 regulations required under section 33110(c) of title 49, United States Code,

23 as enacted by section 1 of this Act. Section 33110(b) of title 49 is effective

24 not later than 3 months after those regulations are prescribed but not before

25 the date on which the National Stolen Passenger Motor Vehicle Information

26 System established under section 33109 of title 49 is operational.

27 (v) Section 33111 of title 49, United States Code, as enacted by section 1

28 of this Act, is effective on the date on which the National Stolen Passenger

29 Motor Vehicle Information System is established under section 33109 of title

30 49.

31 CONFORMING CROSS-REFERENCES

32 Sec. 5. (a) Sections 551(1)(H) and 701(b)(1)(H) of title 5, United States

33 Code, are amended by striking ‘‘or sections 1622,’’ and substituting ‘‘sub34 chapter II of chapter 471 of title 49; or sections’’.

35 (b) Title 10, United States Code, is amended as follows:

36 (1) In section 2640—

37 (A) in subsections (a)(1)(A) and (d)(1)(B)(i), strike ‘‘title VI of

38 the Federal Aviation Act of 1958 (49 U.S.C. App. 1421 et seq.)’’

39 and substitute ‘‘chapter 447 of title 49’’; and

40 (B) in subsection (i), strike ‘‘sections 101(3), 101(5), 101(10), and

41 101(15), respectively, of the Federal Aviation Act of 1958 (49 U.S.C.
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1 App. 1301(3), 1301(5), 1301(10), and 1301(15))’’ and substitute

2 ‘‘section 40102(a) of title 49’’.

3 (2) In section 9511(1), strike ‘‘section 101 of the Federal Aviation Act

4 of 1958 (49 U.S.C. 1301)’’ and substitute ‘‘section 40102(a) of title 49’’.

5 (3) In section 9512(b)(4), strike ‘‘section 501 of the Federal Aviation

6 Act of 1958 (49 U.S.C. App. 1401)’’ and substitute ‘‘section 44103 of title

7 49’’.

8 (c) Section 1110(a) of title 11, United States Code, is amended by striking

9 ‘‘section 101 of the Federal Aviation Act of 1958 (49 U.S.C. 1301)’’, ‘‘sub10 section B(4) of the Ship Mortgage Act, 1920 (46 U.S.C. 911(4))’’, and ‘‘Civil

11 Aeronautics Board’’ and substituting ‘‘section 40102(a) of title 49’’, ‘‘section

12 30101 of title 46’’, and ‘‘Secretary of Transportation’’, respectively.

13 (d) The last sentence of section 82 of title 14, United States Code, is amend14 ed to read as follows: ‘‘Nothing in this title shall be deemed to limit the au15 thority granted by chapter 167 of title 10 or part A of subtitle VII of title

16 49.’’.

17 (e) Title 18, United States Code, is amended as follows:

18 (1) In section 31, strike ‘‘the Federal Aviation Act of 1958, as amend19 ed’’ and substitute ‘‘sections 40102(a) and 46501 of title 49’’.

20 (2) In the last sentence of sections 112(e), 878(d), 1116(c), and

21 1201(e), strike ‘‘section’’ and all that follows and substitute ‘‘section

22 46501(2) of title 49.’’.

23 (3) In section 511(c)—

24 (A) in clause (1), strike ‘‘the National Traffic and Motor Vehicle

25 Safety Act of 1966, or the Motor Vehicle Information and Cost Sav26 ings Act’’ and substitute ‘‘chapter 301 and part C of subtitle VI of

27 title 49’’; and

28 (B) in clause (2), strike ‘‘section 2 of the Motor Vehicle Informa29 tion and Cost Savings Act’’ and substitute ‘‘section 32101 of title

30 49’’.

31 (4) In section 512(a)(2)(A), strike ‘‘the National Traffic and Motor Ve32 hicle Safety Act of 1966’’ and substitute ‘‘chapter 301 of title 49’’.

33 (5) In section 553(c)—

34 (A) in clause (1), strike ‘‘section 2 of the Motor Vehicle Informa35 tion and Cost Savings Act’’ and substitute ‘‘section 32101 of title

36 49’’; and

37 (B) in clause (4), strike ‘‘section 101 of the Federal Aviation Act

38 of 1958 (49 U.S.C. App. 1301)’’ and substitute ‘‘section 40102(a)

39 of title 49’’.

40 (6) In section 831(c)(1), strike ‘‘section 101 of the Federal Aviation

41 Act of 1958 (49 U.S.C. 1301)’’ and substitute ‘‘section 46501 of title 49’’.
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1 (7) In section 844(g)(2)(B), strike ‘‘the Hazardous Materials Trans2 portation Act (49 App. U.S.C. 1801, et seq.)’’ and substitute ‘‘chapter

3 51 of title 49’’.

4 (8) In section 1201(a)(3), strike ‘‘section’’ and all that follows and

5 substitute ‘‘section 46501 of title 49;’’.

6 (9) In section 1366(c), strike ‘‘interstate transmission facilities, as de7 fined in section 2 of the Natural Gas Pipeline Safety Act of 1968’’ and

8 substitute ‘‘an interstate gas pipeline facility as defined in section 60101

9 of title 49’’.

10 (10) In section 2318(c)(1), strike ‘‘section 101 of the Federal Aviation

11 Act of 1958’’ and substitute ‘‘section 46501 of title 49’’.

12 (11) In section 2516(1)(j), strike ‘‘section’’ and all that follows and

13 substitute ‘‘section 60123(b) (relating to destruction of a natural gas

14 pipeline) or 46502 (relating to aircraft piracy) of title 49;’’.

15 (12) In section 3663(a)(1), strike ‘‘under subsection (h), (i), (j), or (n)

16 of section 902 of the Federal Aviation Act of 1958 (49 U.S.C. 1472)’’

17 and substitute ‘‘section 46312, 46502, or 46504 of title 49’’.

18 (f) Title 23, United State Code, is amended as follows:

19 (1) In section 103(e)(4)(L)—

20 (A) in clause (i), strike ‘‘the Urban Mass Transportation Act of

21 1964’’ and substitute ‘‘chapter 53 of title 49’’; and

22 (B) in clause (ii), strike ‘‘section 3(e)(4) of the Urban Mass

23 Transportation Act of 1964’’ and substitute ‘‘section 5323(a)(1)(D)

24 of title 49’’.

25 (2) In section 142—

26 (A) in subsection (a)(2), strike ‘‘the Federal Transit Act’’ and

27 substitute ‘‘chapter 53 of title 49’’;

28 (B) in subsection (h), strike ‘‘the Urban Mass Transportation Act

29 of 1964, as amended’’ and substitute ‘‘chapter 53 of title 49’’; and

30 (C) in subsection (i), strike ‘‘section 3(e)(4) of the Urban Mass

31 Transportation Act of 1964, as amended,’’ and substitute ‘‘section

32 5323(a)(1)(D) of title 49’’.

33 (3) In section 157(a)(2) and (3)(A), strike ‘‘section 404 of the Surface

34 Transportation Assistance Act of 1982’’ and substitute ‘‘section 31104 of

35 title 49’’.

36 (g) The Internal Revenue Code of 1986 (26 U.S.C. 1 et seq.) is amended

37 as follows:

38 (1) In section 4064(b)(1)(B), strike ‘‘section 501 of the Motor Vehicle

39 Information and Cost Savings Act (15 U.S.C. 2001)’’ and substitute

40 ‘‘section 32901 of title 49, United States Code,’’.
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1 (2) In section 4261(e) and (f)(2), strike ‘‘the Airport and Airway Im2 provement Act of 1982’’ and substitute ‘‘section 44509 or 44913(b) or

3 subchapter I of chapter 471 of title 49, United States Code,’’.

4 (3) In section 9502(d)(1)(B), strike ‘‘the Federal Aviation Act of 1958,

5 as amended (49 U.S.C. 1301 et seq.),’’ and substitute ‘‘part A of subtitle

6 VII of title 49, United States Code,’’.

7 (h) Section 2342(7) of title 28, United States Code, is amended by striking

8 ‘‘section 202(f) of the Federal Railroad Safety Act of 1970’’ and substituting

9 ‘‘section 20114(c) of title 49’’.

10 (i) Title 31, United States Code, is amended as follows:

11 (1) In section 3711(c)(2), strike ‘‘section 6 of the Act of March 2, 1893

12 (45 U.S.C. 6), section 4 of the Act of April 14, 1910 (45 U.S.C. 13), sec13 tion 9 of the Act of February 17, 1911 (45 U.S.C. 34), and section 25(h)

14 of the Interstate Commerce Act (49 App. U.S.C. 26(h))’’ and substitute

15 ‘‘section 21302 of title 49 for a violation of chapter 203, 205, or 207 of

16 title 49 or a regulation or requirement prescribed or order issued under

17 any of those chapters’’.

18 (2) In section 3726(b)(1), strike ‘‘the Federal Aviation Act of 1958’’

19 and substitute ‘‘section 40102(a) of title 49’’.

20 (j) Section 210(a)(4) of title 35, United States Code, is amended by striking

21 ‘‘section 106(c) of the National Traffic and Motor Vehicle Safety Act of 1966

22 (15 U.S.C. 1395(c); 80 Stat. 721)’’ and substituting ‘‘section 30168(e) of title

23 49’’.

24 (k) Title 39, United States Code, is amended as follows:

25 (1) In section 3401(b) and (c), strike ‘‘section 1376’’ and substitute

26 ‘‘section 41901’’.

27 (2) In section 5005(b)(3), strike ‘‘section 101 of the Federal Aviation

28 Act of 1958’’ and substitute ‘‘section 40102(a) of title 49’’.

29 (3) In section 5401(b), strike ‘‘sections 1301–1542’’ and substitute

30 ‘‘part A of subtitle VII’’.

31 (l) Section 2101(14)(C) of title 46, United States Code, is amended by

32 striking ‘‘section 104 of the Hazardous Materials Transportation Act (49

33 App. U.S.C. 1803)’’ and substituting ‘‘section 5103(a) of title 49’’.

34 (m) Title 49, United States Code, is amended as follows:

35 (1) In section 103(c)(1), strike ‘‘section 6(e)(1), (2), and (6)(A) of the

36 Department of Transportation Act (49 App. U.S.C. 1655(e)(1), (2), and

37 (6)(A))’’ and substitute ‘‘section 20134(c) and chapters 203–211 of this

38 title, and chapter 213 of this title in carrying out chapters 203–211’’.

39 (2) In section 104(c)(2), strike ‘‘31’’ and substitute ‘‘315’’.
754

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1 (3) In section 105(d), strike ‘‘the National Traffic and Motor Vehicle

2 Safety Act of 1966 (15 U.S.C. 1381 et seq.)’’ and substitute ‘‘chapter 301

3 of this title’’.

4 (4) In section 106—

5 (A) in subsection (h), strike ‘‘Section 103 of the Federal Aviation

6 Act of 1958 (49 App. U.S.C. 1303)’’ and substitute ‘‘Section

7 40101(d) of this title’’; and

8 (B) in subsection (j), strike ‘‘section 312(e) of the Federal Avia9 tion Act of 1958’’ and substitute ‘‘section 44507 of this title’’.

10 (5) In section 109(a) and (b), insert ‘‘App.’’ immediately after ‘‘(46’’.

11 (6) In section 302(b), strike ‘‘Subtitle I and chapter 31 of subtitle II

12 of this title and the Department of Transportation Act (49 App. U.S.C.

13 1651 et seq.)’’ and substitute ‘‘This subtitle and chapters 221 and 315

14 of this title’’.

15 (7) In section 306(b), strike ‘‘section 332 or 333 of this title, section

16 211 or 216 of the Regional Rail Reorganization Act of 1973 (45 U.S.C.

17 721, 726), title V or VII of the Railroad Revitalization and Regulatory

18 Reform Act of 1976 (45 U.S.C. 821 et seq., 851 et seq.), or section 4(i)

19 or 5 of the Department of Transportation Act (49 App. U.S.C. 1653(i),

20 1654)’’ and substitute ‘‘section 332 or 333 or chapter 221 or 249 of this

21 title, section 211 or 216 of the Regional Rail Reorganization Act of 1973

22 (45 U.S.C. 721, 726), or title V of the Railroad Revitalization and Regu23 latory Reform Act of 1976 (45 U.S.C. 821 et seq.)’’.

24 (8) In section 321, strike ‘‘section 101(2), (4), and (8) of the Federal

25 Aviation Act of 1958 (49 App. U.S.C. 1301(2), (4), (8))’’ and substitute

26 ‘‘section 40102(a) of this title’’.

27 (9) In section 501—

28 (A) in subsection (a)(2), strike ‘‘section 3101’’ and substitute

29 ‘‘section 31501’’;

30 (B) in subsection (a)(3), strike ‘‘section 3102(c)’’ and substitute

31 ‘‘section 31502(c)’’; and

32 (C) strike subsection (b) and substitute the following:

33 ‘‘(b) APPLICATION.—This chapter only applies in carrying out sections

34 20302(a)(1)(B) and (C), (2), and (3), (c), and (d)(1) and 20303 and chapters

35 205 (except section 20504(b)), 211, 213 (in carrying out those sections and

36 chapters), and 315 of this title.’’.

37 (10) In section 507(c), strike ‘‘section 3102 of this title or the Motor

38 Carrier Safety Act of 1984’’ and ‘‘such section or Act’’ and substitute

39 ‘‘subchapter III of chapter 311 (except sections 31138 and 31139) or sec40 tion 31502 of this title’’ and ‘‘any of those provisions’’, respectively.

41 (11) In section 521(b)—
755

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1 (A) in paragraph (1)(A), strike ‘‘section 3102 of this title or the

2 Motor Carrier Safety Act of 1984 or section 12002, 12003, 12004,

3 12005(b), or 12008(d)(2) of the Commercial Motor Vehicle Safety

4 Act of 1986’’ and ‘‘such sections or Act’’ and substitute ‘‘a provision

5 of subchapter III of chapter 311 (except sections 31138 and 31139)

6 or section 31302, 31303, 31304, 31305(b), 31310(g)(1)(A), or 31502

7 of this title’’ and ‘‘any of those provisions’’, respectively;

8 (B) in paragraph (2)(A), strike ‘‘pursuant to section 3102 of this

9 title or the Motor Carrier Safety Act of 1984’’ and substitute ‘‘under

10 subchapter III of chapter 311 (except sections 31138 and 31139) or

11 section 31502 of this title’’;

12 (C) in paragraph (2)(B), strike ‘‘section 12002, 12003, 12004,

13 12005(b), or 12008(d)(2) of the Commercial Motor Vehicle Safety

14 Act of 1986’’ and substitute ‘‘section 31302, 31303, 31304, 31305(b),

15 or 31310(g)(1)(A) of this title’’;

16 (D) in paragraph (3), strike ‘‘section 3102 of this title or the

17 Motor Carrier Safety Act of 1984 or section 12002, 12003, 12004,

18 or 12005(b) of the Commercial Motor Vehicle Safety Act of 1986’’

19 and substitute ‘‘subchapter III of chapter 311 (except sections 31138

20 and 31139) or section 31302, 31303, 31304, 31305(b), or 31502 of

21 this title’’;

22 (E) in paragraph (5)(A), strike ‘‘section 3102 of this title or the

23 Motor Carrier Safety Act of 1984 or section 12002, 12003, 12004,

24 or 12005(b) of the Commercial Motor Vehicle Safety Act of 1986’’

25 and ‘‘such sections or Act’’ and substitute ‘‘a provision of subchapter

26 III of chapter 311 (except sections 31138 and 31139) or section

27 31302, 31303, 31304, 31305(b), or 31502 of this title’’ and ‘‘any of

28 those provisions’’, respectively;

29 (F) in paragraph (6)(A), strike ‘‘section 3102 of this title, the

30 Motor Carrier Safety Act of 1984’’, ‘‘such section or Act’’, and ‘‘lia31 ble’’ and substitute ‘‘subchapter III of chapter 311 (except sections

32 31138 and 31139) or section 31502 of this title’’, ‘‘any of those pro33 visions’’, and ‘‘subject’’, respectively;

34 (G) in paragraph (6)(B)(i), strike ‘‘section 12002, 12003(b),

35 12003(c), 12004, 12005(b), or 12008(d)(2) of the Commercial Motor

36 Vehicle Safety Act of 1986’’ and substitute ‘‘section 31302, 31303(b)

37 or (c), 31304, 31305(b), or 31310(g)(1)(A) of this title’’;

38 (H) in paragraph (6)(B)(ii), strike ‘‘section 12019 of such Act’’,

39 ‘‘section 12003(a) of such Act’’, and ‘‘such section 12003(a)’’ and

40 substitute ‘‘section 31301 of this title’’, ‘‘section 31303(a) of this

41 title’’, and ‘‘section 31303(a)’’, respectively;
756

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1 (I) in paragraph (12), strike ‘‘any provision of the Hazardous

2 Materials Transportation Act (49 U.S.C. App. 1801–1812)’’ and

3 ‘‘such Act’’ and substitute ‘‘chapter 51 of this title’’ and ‘‘chapter

4 51’’, respectively; and

5 (J) in paragraph (13), strike ‘‘section 204 of the Motor Carrier

6 Safety Act of 1984’’ and substitute ‘‘section 31132 of this title’’.

7 (12) In section 526, strike ‘‘this chapter, section 3102 of this title, or

8 the Motor Carrier Safety Act of 1984, a person that knowingly and will9 fully violates a provision of this chapter or such section or Act, or a reg10 ulation or order of the Secretary of Transportation under this chapter

11 or such section or Act’’ and substitute ‘‘a provision of this chapter, sub12 chapter III of chapter 311 (except sections 31138 and 31139), or section

13 31502 of this title, a person that knowingly and willfully violates any

14 of those provisions or a regulation or order of the Secretary of Transpor15 tation under any of those provisions’’.

16 (13) In section 10102(9), strike ‘‘the Federal Aviation Act of 1958’’

17 and substitute ‘‘part A of subtitle VII of this title’’.

18 (14) In section 10322(a), strike ‘‘subtitle’’ wherever it appears and

19 substitute ‘‘title’’.

20 (15) In sections 10364(a) and 10385(a), strike ‘‘section 5 of title 41’’

21 and substitute ‘‘section 3709 of the Revised Statutes (41 U.S.C. 5)’’.

22 (16) In sections 10527(a), strike ‘‘subchapter’’ and substitute ‘‘title’’.

23 (17) In section 10528, strike ‘‘subchapter’’ and ‘‘subtitle’’ wherever ei24 ther word appears and substitute ‘‘title’’.

25 (18) In section 10529(a), strike ‘‘(12 U.S.C. 1141j(a))’’ and substitute

26 ‘‘(12 U.S.C. 1141j(a)))’’.

27 (19) In sections 10542(a)(2) and 10544(d)(1)(B), insert ‘‘App.’’ imme28 diately after ‘‘(46’’ wherever it appears.

29 (20) In section 10561(b)(1), strike ‘‘chapter 20’’ and substitute ‘‘part

30 A of subtitle VII’’.

31 (21) In section 10703(a)(4)—

32 (A) in paragraph (D)(ii), insert ‘‘App.’’ immediately after ‘‘(46’’

33 wherever it appears; and

34 (B) in paragraph (E), strike ‘‘(46 U.S.C. 801 et seq.)’’ and ‘‘(46

35 U.S.C. 843–848)’’ and substitute ‘‘(46 App. U.S.C. 801 et seq.)’’ and

36 ‘‘(46 App. U.S.C. 843 et seq.)’’, respectively.

37 (22) In section 10721(a)(1), strike ‘‘Section 5 of title 41’’ and sub38 stitute ‘‘Section 3709 of the Revised Statutes (41 U.S.C. 5)’’.

39 (23) In section 10735(b)(1), strike ‘‘under this title’’ and substitute

40 ‘‘under this subtitle’’.
757

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1 (24) In section 10903(b)(2), strike ‘‘section 11347 of this title and sec2 tion 405(b) of the Rail Passenger Service Act (45 U.S.C. 565(b))’’ and

3 substitute ‘‘sections 11347 and 24706(c) of this title’’.

4 (25) In section 10922—

5 (A) in subsection (c)(1)(E), strike ‘‘provisions of section 12(f) of

6 the Urban Mass Transportation Act of 1964’’ and substitute ‘‘sec7 tion 10531 of this title’’;

8 (B) in subsection (c)(2)(D), strike ‘‘subtitle’’ wherever it appears

9 and substitute ‘‘title’’;

10 (C) in subsection (c)(4)(C) and (j)(1), strike ‘‘subchapter’’ wher11 ever it appears and substitute ‘‘title’’; and

12 (D) in subsection (j)(2)(C), strike ‘‘subtitle’’ and substitute

13 ‘‘title’’.

14 (26) In section 10927(a)(1), insert ‘‘section’’ before ‘‘10923’’.

15 (27) In section 10935(a) and (e)(3), strike ‘‘subchapter’’ and substitute

16 ‘‘title’’.

17 (28) In section 11125(b)(2)(A), strike ‘‘the Federal Railroad Safety

18 Act of 1970 (45 U.S.C. 431 et seq.)’’ and substitute ‘‘chapter 201 of this

19 title’’.

20 (29) In section 11126(a), strike ‘‘11501(c)’’ and substitute ‘‘11501(f)’’.

21 (30) In section 11303(a), strike ‘‘the Ship Mortgage Act, 1920’’ wher22 ever it appears and substitute ‘‘chapter 313 of title 46’’.

23 (31) In section 11347, strike ‘‘section 405 of the Rail Passenger Serv24 ice Act (45 U.S.C. 565)’’ and substitute ‘‘sections 24307(c), 24312, and

25 24706(c) of this title’’.

26 (32) In section 11348(a), strike ‘‘section 504(f),’’ and substitute ‘‘sec27 tions 504(f) and’’.

28 (33) In section 11504(b)(2), strike ‘‘section 204 of the Motor Carrier

29 Safety Act of 1984 (49 App. U.S.C. 2503)’’ and substitute ‘‘section 31132

30 of this title’’.

31 (34) In section 11701(a), strike ‘‘section 10530 of this subtitle’’ and

32 substitute ‘‘section 10530 of this title’’.

33 LEGISLATIVE PURPOSE AND CONSTRUCTION

34 Sec. 6. (a) Sections 1–4 of this Act restate, without substantive change,

35 laws enacted before July 1, 1993, that were replaced by those sections. Those

36 sections may not be construed as making a substantive change in the laws

37 replaced. Laws enacted after June 30, 1993, that are inconsistent with this

38 Act supersede this Act to the extent of the inconsistency.

39 (b) A reference to a law replaced by sections 1–4 of this Act, including a

40 reference in a regulation, order, or other law, is deemed to refer to the cor41 responding provision enacted by this Act.
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1 (c) An order, rule, or regulation in effect under a law replaced by sections

2 1–4 of this Act continues in effect under the corresponding provision enacted

3 by this Act until repealed, amended, or superseded.

4 (d) An action taken or an offense committed under a law replaced by sec5 tions 1–4 of this Act is deemed to have been taken or committed under the

6 corresponding provision enacted by this Act.

7 (e) An inference of legislative construction is not to be drawn by reason

8 of the location in the United States Code of a provision enacted by this Act

9 or by reason of a caption or catch line of the provision.

10 (f) If a provision enacted by this Act is held invalid, all valid provisions

11 that are severable from the invalid provision remain in effect. If a provision

12 enacted by this Act is held invalid in any of its applications, the provision

13 remains valid for all valid applications that are severable from any of the

14 invalid applications.

15 REPEALS

16 Sec. 7. (a) The repeal of a law by this Act may not be construed as a legis17 lative implication that the provision was or was not in effect before its repeal.

18 (b) The laws specified in the following schedule are repealed, except for

19 rights and duties that matured, penalties that were incurred, and proceedings

20 that were begun before the date of enactment of this Act:
759

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Schedule of Laws Repealed

Statutes at Large

Date Chapter or Public Law Section

Statutes at Large U.S. Code

Volume Page Title Section

1864

July 2 216 .......................................... 15 ........................................................................................................................................................ 13 362 ................................................ 45 83

1873

Mar. 3 226 .......................................... 2(words after 2d semicolon) ............................................................................................................. 17 508 ................................................ ............. .................................

1874

June 20 331 .......................................... ............................................................................................................................................................. 18 111 ................................................ 45 83June 22 414 .......................................... ............................................................................................................................................................. 18 200 ................................................ 45 89

1879

Mar. 3 183 .......................................... 1(4th par. on p. 420) ........................................................................................................................ 20 420 ................................................ 45 90

1887

Feb. 4 104 .......................................... 25 ........................................................................................................................................................ 24 379 ................................................ 49 App. 26Mar. 3 345 .......................................... ............................................................................................................................................................. 24 488 ................................................ 45 94, 95

1893

Mar. 2 196 .......................................... ............................................................................................................................................................. 27 531 ................................................ 45 1–7

1896

Apr. 1 87 ............................................ ............................................................................................................................................................. 29 85 .................................................. 45 6

1897

Mar. 3 386 .......................................... (proviso under heading ‘‘Transportation and Recruiting, Marine Corps’’) ................................ 29 663 ................................................ 45 91

1901

Mar. 3 831 .......................................... (last proviso of last par. under heading ‘‘Pay Department’’) ....................................................... 31 1023 .............................................. 45 92

1903

Mar. 2 976 .......................................... ............................................................................................................................................................. 32 943 ................................................ 45 10

1905

Feb. 23 744 .......................................... ............................................................................................................................................................. 33 743 ................................................ 49 App. 1201–1203
760

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Schedule of Laws Repealed—Continued

Statutes at Large

Date Chapter or Public Law Section

Statutes at Large U.S. Code

Volume Page Title Section

1906

June 29 3594 ........................................ ............................................................................................................................................................. 34 607 ................................................ 45 71–74June 30 P.R. 46 ................................... ............................................................................................................................................................. 34 838 ................................................ 45 35

1907

Mar. 4 2939 ........................................ ............................................................................................................................................................. 34 1415 .............................................. 45 61–64b

1908

May 27 200 .......................................... 1(6th par. last sentence under heading ‘‘Interstate Commerce Commission’’, 1st complete par. on p. 325). 35 325 ................................................ 45 36, 37

1909

Mar. 4 299 .......................................... 1(6th par. last sentence under heading ‘‘Interstate Commerce Commission’’) ............................. 35 965 ................................................ 45 37

1910

Apr. 14 160 .......................................... ............................................................................................................................................................. 36 298 ................................................ 45 11–16May 6 208 .......................................... ............................................................................................................................................................. 36 350 ................................................ 45 38–43

1911

Feb. 17 103 .......................................... ............................................................................................................................................................. 36 913 ................................................ 45 22–29, 31–34

1915

Mar. 4 169 .......................................... ............................................................................................................................................................. 38 1192 .............................................. 45 23, 30

1916

May 4 109 .......................................... ............................................................................................................................................................. 39 61 .................................................. 45 63Aug. 29 415 .......................................... ............................................................................................................................................................. 39 538 ................................................ 49 App. 81–124

1920

Feb. 28 91 ............................................ 441, 500 .............................................................................................................................................. 41 498, 499 ........................................ 49 App. 26, 142

1921

Mar. 4 161 .......................................... 1(last proviso in par. under heading ‘‘Transportation Facilities on Inland and Coastal Wa- terways’’). 41 1392 .............................................. 49 App. 141Dec. 15 1 .............................................. 1(last par. under heading ‘‘Board of Mediation and Conciliation’’) ........................................... 42 328 ................................................ 45 126
761

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Schedule of Laws Repealed—Continued

Statutes at Large

Date Chapter or Public Law Section

Statutes at Large U.S. Code

Volume Page Title Section

1924

June 7 355 .......................................... ............................................................................................................................................................. 43 659 ................................................ 45 22, 23, 25, 27

1927

Mar. 4 510 .......................................... ............................................................................................................................................................. 44 1446 .............................................. 49 App. 102

1929

Feb. 28 369 .......................................... ............................................................................................................................................................. 45 1404 .............................................. 49 App. 173

1931

Feb. 14 189 .......................................... ............................................................................................................................................................. 46 1162 .............................................. 49 App. 231

1934

June 13 498 .......................................... ............................................................................................................................................................. 48 954 ................................................ 49 App. 264June 19 654 .......................................... ............................................................................................................................................................. 48 1113 .............................................. 49 App. 171–173a, 175,

179–184

656 .......................................... 2 .......................................................................................................................................................... 48 1116 .............................................. 49 App. 181

1935

Aug. 7 455 .......................................... ............................................................................................................................................................. 49 540 ................................................ 49 App. 231

1937

Aug. 26 818 .......................................... ............................................................................................................................................................. 50 835 ................................................ 49 App. 26

1939

June 27 244 .......................................... ............................................................................................................................................................. 53 855 ................................................ 49 App. 751–757Aug. 9 618 .......................................... ............................................................................................................................................................. 53 1291 .............................................. 49 App. 781–789

633 .......................................... 1(1st. par. under heading ‘‘Civil Aeronautics Authority.’’) .......................................................... 53 1302 .............................................. 49 App. 682

1940

Apr. 22 124 .......................................... ............................................................................................................................................................. 54 148 ................................................ 45 24–34July 2 526 .......................................... ............................................................................................................................................................. 54 735 ................................................ 49 App. 485Sept. 18 722 .......................................... 14(b) ................................................................................................................................................... 54 919 ................................................ 49 App. 26
762

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Schedule of Laws Repealed—Continued

Statutes at Large

Date Chapter or Public Law Section

Statutes at Large U.S. Code

Volume Page Title Section

1941

June 28 258 .......................................... 201(last par. under heading ‘‘Civil Aeronautics Board’’) ............................................................. 55 282 ................................................ 49 App. 422a

1942

July 24 522 .......................................... ............................................................................................................................................................. 56 704 ................................................ 49 App. 752

1943

May 7 94 ............................................ (par. under heading ‘‘Office of Administrator of Civil Aeronautics’’) ......................................... 57 80 .................................................. 49 App. 758June 10 121 .......................................... ............................................................................................................................................................. 57 150 ................................................ 49 App. 752

1944

June 30 333 .......................................... ............................................................................................................................................................. 58 648 ................................................ 49 App. 757July 1 373 .......................................... 813(5th, 6th complete pars. on p. 718) ........................................................................................... 58 718 ................................................ 49 App. 177, 181Oct. 3 479 .......................................... 13(g) ................................................................................................................................................... ....... ........................................................ 50 App. 1622

1946

Aug. 8 911 .......................................... ............................................................................................................................................................. 60 944 ................................................ 49 App. 603

1947

May 27 85 ............................................ ............................................................................................................................................................. 61 120 ................................................ 45 24–26July 30 404 .......................................... 2 .......................................................................................................................................................... 61 678 ................................................ 50 App. 1622Aug. 4 471 .......................................... ............................................................................................................................................................. 61 743 ................................................ 49 App. 643

1948

Apr. 17 192 .......................................... ............................................................................................................................................................. 62 173 ................................................ 49 App. 1101, 1102, 1106,

1108, 1109

June 16 473 .......................................... ............................................................................................................................................................. 62 450 ................................................ 49 App. 1151, 1151(note),

1152–1159a, 1160

482 .......................................... ............................................................................................................................................................. 62 470 ................................................ 49 App. 524

June 19 523 .......................................... ............................................................................................................................................................. 62 493 ................................................ 49 App. 401, 523June 25 646 .......................................... 4 .......................................................................................................................................................... 62 986 ................................................ 45 87June 29 713 .......................................... ............................................................................................................................................................. 62 1093 .............................................. 49 App. 452

738 .......................................... ............................................................................................................................................................. 62 1111 .............................................. 49 App. 1116

July 1 792 .......................................... ............................................................................................................................................................. 62 1216 .............................................. 49 App. 452, 459, 551
763

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Schedule of Laws Repealed—Continued

Statutes at Large

Date Chapter or Public Law Section

Statutes at Large U.S. Code

Volume Page Title Section

1949

July 25 359 .......................................... ............................................................................................................................................................. 63 478 ................................................ 49 App. 1111 July 26 362 .......................................... ............................................................................................................................................................. 63 480 ................................................ 49 App. 622

363 .......................................... ............................................................................................................................................................. 63 480 ................................................ 49 App. 1114

Aug. 12 423 .......................................... ............................................................................................................................................................. 63 603 ................................................ 49 App. 1113 Aug. 15 426 .......................................... ............................................................................................................................................................. 63 605 ................................................ 49 App. 1109 Aug. 30 520 .......................................... ............................................................................................................................................................. 63 678 ................................................ 49 App. 427 Oct. 1 589 .......................................... ............................................................................................................................................................. 63 700 ................................................ 50 App. 1622–1622cOct. 25 724 .......................................... ............................................................................................................................................................. 63 903 ................................................ 49 App. 1105Oct. 26 751 .......................................... ............................................................................................................................................................. 63 925 ................................................ 49 App. 1104

1950

Feb. 9 5 .............................................. ............................................................................................................................................................. 64 4 .................................................... 49 App. 1107Mar. 18 72 ............................................ 6, 7 ...................................................................................................................................................... 64 28 .................................................. 49 App. 1102, 1108Aug. 3 517 .......................................... ............................................................................................................................................................. 64 395 ................................................ 49 App. 622 Aug. 5 591 .......................................... ............................................................................................................................................................. 64 414 ................................................ 49 App. 177, 181 Aug. 8 643 .......................................... ............................................................................................................................................................. 64 417 ................................................ 49 App. 457 Aug. 9 655 .......................................... ............................................................................................................................................................. 64 427 ................................................ 49 App. 781 Sept. 9 938 .......................................... ............................................................................................................................................................. 64 825 ................................................ 49 App. 701–705Sept. 27 1055 ........................................ ............................................................................................................................................................. 64 1071 .............................................. 49 App. 1104Sept. 29 1107 ........................................ ............................................................................................................................................................. 64 1079 .............................................. 49 App. 460Sept. 30 1117 ........................................ ............................................................................................................................................................. 64 1090 .............................................. 49 App. 1181–1185

1951

Jan. 9 1214 ........................................ ............................................................................................................................................................. 64 1237 .............................................. 49 App. 1109June 14 123 .......................................... ............................................................................................................................................................. 65 65 .................................................. 49 App. 401, 711–722Oct. 11 495 .......................................... 3, 4 ...................................................................................................................................................... 65 407 ................................................ 49 App. 177, 560Oct. 31 655 .......................................... 55(b) ................................................................................................................................................... 65 729 ................................................ 49 App. 787

1952

June 28 485 .......................................... 1(5) ..................................................................................................................................................... 66 286 ................................................ 49 App. 485 July 14 740 .......................................... ............................................................................................................................................................. 66 628 ................................................ 49 App. 401, 491, 622

1953

July 8 181 .......................................... ............................................................................................................................................................. 67 140 ................................................ 49 App. 1116 Aug. 8 379 .......................................... ............................................................................................................................................................. 67 489 ................................................ 49 App. 176
764

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Schedule of Laws Repealed—Continued

Statutes at Large

Date Chapter or Public Law Section

Statutes at Large U.S. Code

Volume Page Title Section

1955

May 19 41 ............................................ ............................................................................................................................................................. 69 49 .................................................. 49 App. 481Aug. 3 494 .......................................... ............................................................................................................................................................. 69 441 ................................................ 49 App. 1101–1103, 1104,

1105, 1107, 1108,

1111

1956

July 20 650 .......................................... ............................................................................................................................................................. 70 591 ................................................ 49 App. 481

655 .......................................... ............................................................................................................................................................. 70 594 ................................................ 49 App. 722

Aug. 1 816 .......................................... ............................................................................................................................................................. 70 784 ................................................ 49 App. 483

852 .......................................... 22 ........................................................................................................................................................ 70 911 ................................................ 49 App. 789

1957

June 13 85–50 ...................................... ............................................................................................................................................................. 71 69 .................................................. 49 App. 1201–1203Aug. 14 85–135 .................................... ............................................................................................................................................................. 71 352 ................................................ 45 6, 13, 34, 63Aug. 26 85–166 .................................... ............................................................................................................................................................. 71 415 ................................................ 49 App. 481Sept. 7 85–307 .................................... ............................................................................................................................................................. 71 629 ................................................ 49 App. 1324(note)

1958

Apr. 9 85–373 .................................... ............................................................................................................................................................. 72 84 .................................................. 49 App. 486Apr. 11 85–375 .................................... ............................................................................................................................................................. 72 86 .................................................. 45 9July 7 85–507 .................................... 21(b)(3), (c) ....................................................................................................................................... 72 337, 338 ........................................ 49 App. 457, 603Aug. 23 85–726 .................................... (less 613(a), (b), 1402(a), (e)–(g), 1404, 1406, 1411) .................................................................... 72 731 ................................................ 49 App. 1301–1308, 1321–

1325, 1341–1346,

1347–1356, 1357–

1359, 1371, 1372–

1376, 1377–1389,

1401–1406, 1421–

1434, 1441–1443,

1461–1463, 1471–

1474, 1481, 1482,

1483–1490, 1501–

1515, 1516–1518,

1531–1542, 1551
765

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Schedule of Laws Repealed—Continued

Statutes at Large

Date Chapter or Public Law Section

Statutes at Large U.S. Code

Volume Page Title Section

1959

Mar. 18 86–3 ........................................ 21 ........................................................................................................................................................ 73 13 .................................................. 49 App. 1324(note)June 25 86–70 ...................................... 39 ........................................................................................................................................................ 73 150 ................................................ 49 App. 1324(note)June 29 86–72 ...................................... ............................................................................................................................................................. 73 155 ................................................ 49 App. 1101, 1102, 1104,

1106, 1108, 1109,

1112

July 8 86–81 ...................................... ............................................................................................................................................................. 73 180 ................................................ 49 App. 1403, 1404Aug. 11 86–154 .................................... ............................................................................................................................................................. 73 333 ................................................ 49 App. 1743Aug. 25 86–199 .................................... ............................................................................................................................................................. 73 427 ................................................ 49 App. 1485Sept. 21 86–295 .................................... ............................................................................................................................................................. 73 572 ................................................ 49 App. 1105

1960

June 29 86–546 .................................... 1 .......................................................................................................................................................... 74 255 ................................................ 49 App. 1486July 12 86–624 .................................... 37 ........................................................................................................................................................ 74 421 ................................................ 49 App. 1324(note)

86–627 .................................... ............................................................................................................................................................. 74 445 ................................................ 49 App. 1373

July 14 86–661 .................................... ............................................................................................................................................................. 74 527 ................................................ ............. .................................Sept. 13 86–758 .................................... ............................................................................................................................................................. 74 901 ................................................ 49 App. 1378, 1378(note)

86–762 .................................... ............................................................................................................................................................. 74 903 ................................................ 45 38, 42, 43

1961

July 20 87–89 ...................................... ............................................................................................................................................................. 75 210 ................................................ 49 App. 1542Sept. 5 87–197 .................................... ............................................................................................................................................................. 75 466 ................................................ 49 App. 1301, 1472, 1511Sept. 13 87–221 .................................... ............................................................................................................................................................. 75 494 ................................................ 15 1281, 1282

87–225 .................................... ............................................................................................................................................................. 75 497 ................................................ 49 App. 1486

Sept. 20 87–255 .................................... ............................................................................................................................................................. 75 523 ................................................ 49 App. 1101–1106, 1108–

1110, 1112, 1509

Oct. 4 87–367 .................................... 103(2), (6), (15), 205 ........................................................................................................................ 75 787, 788, 791 ............................... 49 App. 1322, 1343,

1343(note)

1962

July 10 87–528 .................................... ............................................................................................................................................................. 76 143 ................................................ 49 App. 1301, 1371, 1371(note), 1376,

1387, 1471, 1472

Oct. 15 87–810 .................................... ............................................................................................................................................................. 76 921 ................................................ 49 App. 1323, 1441, 1472,

1505
766

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Date Chapter or Public Law Section

Statutes at Large U.S. Code

Volume Page Title Section

87–820 .................................... ............................................................................................................................................................. 76 936 ................................................ 49 App. 1324(note), 1380

1964

Mar. 11 88–280 .................................... ............................................................................................................................................................. 78 158 ................................................ 49 App. 1101–1106, 1107a,

1108–1111, 1113,

1120

June 30 88–346 .................................... ............................................................................................................................................................. 78 236 ................................................ 49 App. 1403, 1406,

1406(note)

July 2 88–349 .................................... 2 .......................................................................................................................................................... 78 239 ................................................ 49 App. 1114July 9 88–365 .................................... ............................................................................................................................................................. 78 302 ................................................ 49 App. 1601, 1601(note),

1602, 1603, 1604,

1605–1625

Aug. 14 88–426 .................................... 305(16) ............................................................................................................................................... 78 424 ................................................ 49 App. 1321, 1341, 1342

1965

Aug. 10 89–117 .................................... 304(b), 1109 ....................................................................................................................................... 79 475, 507 ........................................ 49 App. 1605, 1608Sept. 30 89–220 .................................... 13 ........................................................................................................................................................ ....... ........................................................ 49 App. 1643Nov. 8 89–348 .................................... 1(6) ..................................................................................................................................................... 79 1310 .............................................. 49 App. 1539

1966

June 13 89–447 .................................... ............................................................................................................................................................. 80 199 ................................................ 49 App. 1542Sept. 8 89–562 .................................... ............................................................................................................................................................. 80 715 ................................................ 49 App. 1602, 1603, 1605,

1607a(note), 1607b,

1607c, 1608–1611

Sept. 9 89–563 .................................... (less 401) ............................................................................................................................................ 80 718 ................................................ 15 1301–1303, 1321–

1323, 1381,

1381(note), 1391–

1403, 1403(note),

1404–1431

Oct. 13 89–647 .................................... ............................................................................................................................................................. 80 894 ................................................ 49 App. 1104, 1105Oct. 15 89–670 .................................... 1–8(a), (f), (i), 9, 10(e), 13–16 ........................................................................................................ 80 931, 943, 944, 948, 949 ............... 15 1404

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 1376, 1651,

1651(note), 1652,

1653, 1654, 1655–

1657, 1659
767

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Statutes at Large

Date Chapter or Public Law Section

Statutes at Large U.S. Code

Volume Page Title Section

................................................. ............................................................................................................................................................. ....... ........................................................ 50 123

1967

May 25 90–19 ...................................... 20 ........................................................................................................................................................ 81 25 .................................................. 49 App. 1602, 1603, 1605,

1606, 1608–1610

June 28 90–34 ...................................... ............................................................................................................................................................. 81 81 .................................................. 49 App. 1604Dec. 1 90–169 .................................... ............................................................................................................................................................. 81 526 ................................................ 49 App. 1604

1968

Apr. 10 90–283 .................................... ............................................................................................................................................................. 82 72 .................................................. 15 1410July 21 90–411 .................................... ............................................................................................................................................................. 82 395 ................................................ 49 App. 1431July 24 90–423 .................................... 1(f) ...................................................................................................................................................... 82 424 ................................................ 49 App. 1642Aug. 1 90–448 .................................... 701–704 .............................................................................................................................................. 82 534 ................................................ 49 App. 1603, 1604, 1605,

1608

Aug. 12 90–481 .................................... ............................................................................................................................................................. 82 720 ................................................ 49 App. 1671, 1671(note),

1672–1686

Sept. 26 90–514 .................................... ............................................................................................................................................................. 82 867 ................................................ 49 App. 1301, 1371,

1371(note)

Oct. 12 90–568 .................................... ............................................................................................................................................................. 82 1003 .............................................. 49 App. 1324(note)

1969

Aug. 20 91–62 ...................................... ............................................................................................................................................................. 83 103 ................................................ 49 App. 1377, 1377(note),

1378

Dec. 24 91–152 .................................... 306 ...................................................................................................................................................... 83 392 ................................................ 49 App. 1603, 1604Dec. 26 91–169 .................................... ............................................................................................................................................................. 83 463 ................................................ 45 61, 61(note), 62–

64b

1970

May 21 91–258 .................................... 31, 51, 52(a), (b)(4), (6), (c), (d), 53, 209 ...................................................................................... 84 234, 235, 236, 252 ....................... 49 App. 1101–1103, 1104–

1106, 1107a–1120,

1354, 1430,

1430(note), 1432,

1509, 1622,

1701(note), 1731,

1741, 1742(note)
768

•HR 1758 RH

Schedule of Laws Repealed—Continued

Statutes at Large

Date Chapter or Public Law Section

Statutes at Large U.S. Code

Volume Page Title Section

May 22 91–265 .................................... ............................................................................................................................................................. 84 262 ................................................ 15 1381(note), 1391,

1401, 1408, 1409,

1426, 1431

Sept. 8 91–399 .................................... ............................................................................................................................................................. 84 837 ................................................ 49 App. 1542Oct. 13 91–444 .................................... 1(b) ..................................................................................................................................................... 84 915 ................................................ 49 App. 1642Oct. 14 91–449 .................................... ............................................................................................................................................................. 84 921 ................................................ 49 App. 1301, 1472Oct. 15 91–453 .................................... 1–9, 13, 14 ......................................................................................................................................... 84 962, 969 ........................................ 49 App. 1601(note), 1601a,

1602, 1602(note),

1603–1605, 1610–

1612

Oct. 16 91–458 .................................... ............................................................................................................................................................. 84 971 ................................................ 45 421, 421(note),

431–441, 443, 444

Oct. 27 91–513 .................................... 1102(r) ............................................................................................................................................... 84 1294 .............................................. 49 App. 787Oct. 30 91–518 .................................... (less 404(f), 814, 815, 901) ............................................................................................................... 84 1327 .............................................. 45 501, 501(note),

501a, 502, 521,

522, 541–545, 546,547, 548, 561–566,581–591, 601, 602,

642–644, 646–649,

651–658

Dec. 23 91–569 .................................... ............................................................................................................................................................. 84 1499 .............................................. 49 App. 1512, 1512(notes)Dec. 29 91–596 .................................... 31 ........................................................................................................................................................ 84 1619 .............................................. 49 App. 1421Dec. 31 91–604 .................................... 11(b) ................................................................................................................................................... 84 1705 .............................................. 49 App. 1421, 1430

1971

Nov. 18 92–159 .................................... 2 .......................................................................................................................................................... 85 481 ................................................ 49 App. 1429Nov. 27 92–174 .................................... ............................................................................................................................................................. 85 491 ................................................ 49 App. 1429, 1430(note),

1432, 1711–1713,

1714, 1715, 1717

1972

Mar. 22 92–259 .................................... ............................................................................................................................................................. 86 95 .................................................. 49 App. 1374, 1461, 1482,

1482(note)
769

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Statutes at Large

Date Chapter or Public Law Section

Statutes at Large U.S. Code

Volume Page Title Section

June 22 92–316 .................................... ............................................................................................................................................................. 86 227 ................................................ 45 543, 543(note), 545,

546, 548, 562, 563,

565, 601, 602,

602(note), 644, 645

Aug. 22 92–401 .................................... ............................................................................................................................................................. 86 616 ................................................ 49 App. 1674, 1674(note),

1682, 1684

Oct. 20 92–513 .................................... (less 511) ............................................................................................................................................ 86 947 ................................................ 15 1901, 1901(note),

1911–1922, 1941–

1949, 1961–1964,

1981, 1981(note),

1982–1991, 2001–

2010, 2012, 2021–

2034

Oct. 25 92–548 .................................... ............................................................................................................................................................. 86 1159 .............................................. 15 1381(note), 1409,

1410

92–556 .................................... ............................................................................................................................................................. 86 1170 .............................................. 49 App. 1324(note)

Oct. 27 92–574 .................................... 7(b) ..................................................................................................................................................... 86 1239 .............................................. 49 App. 1431

1973

June 18 93–44 ...................................... ............................................................................................................................................................. 87 88 .................................................. 49 App. 1513, 1701(note),

1711, 1712, 1714,

1716, 1717

Aug. 13 93–87 ...................................... 138, 164, 301 ..................................................................................................................................... 87 270, 281, 295 ............................... 49 App. 1602a, 1603, 1603(note),

1607d(note),

1608(note), 1612

Aug. 14 93–90 ...................................... ............................................................................................................................................................. 87 305 ................................................ 45 421(note), 441(note)

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 1762

Nov. 3 93–146 .................................... ............................................................................................................................................................. 87 548 ................................................ 45 501(note), 502, 543,

543(note), 545, 546,

548, 561–564, 601,

602, 641
770

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Statutes at Large

Date Chapter or Public Law Section

Statutes at Large U.S. Code

Volume Page Title Section

1974

Jan. 2 93–236 .................................... 303(e)(words ‘‘title VII of the Railroad Revitalization and Regulatory Reform Act of 1976 or of’’), 711(words ‘‘, the National Railroad Passenger Corporation, or the Amtrak Commuter Services Corporation’’). ....... ........................................................ 45 743, 797j

93–239 .................................... 4 .......................................................................................................................................................... 87 1048 .............................................. 49 App. 1421

Aug. 5 93–366 .................................... ............................................................................................................................................................. 88 409 ................................................ 49 App. 1301(note), 1301,

1356, 1357, 1471,1472, 1473, 1487,

1511, 1514–1516

Aug. 22 93–383 .................................... 813 ...................................................................................................................................................... 88 737 ................................................ 49 App. 1602, 1602a, 1602a(note)Aug. 30 93–403 .................................... ............................................................................................................................................................. 88 802 ................................................ 49 App. 1671(note), 1674,

1684

Oct. 27 93–492 .................................... (less 108) ............................................................................................................................................ 88 1470 .............................................. 15 1381(note), 1391,

1392, 1393, 1397–

1399, 1401, 1402,

1408, 1409,

1409(note), 1410–

1411, 1411(note),

1412–1420, 1424,

1961–1964

Oct. 28 93–496 .................................... ............................................................................................................................................................. 88 1526 .............................................. 45 501(note), 544, 545,

563, 564, 601, 602,

641, 644, 645(note)

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 302, 1643, 1653

Nov. 26 93–503 .................................... (less 105) ............................................................................................................................................ 88 1565 .............................................. 49 App. 1601b, 1601b(note),

1602–1604b,

1605(note), 1611

1975

Jan. 2 93–604 .................................... 702 ...................................................................................................................................................... 88 1964 .............................................. 49 App. 1537

93–608 .................................... 1(20), (21) .......................................................................................................................................... 88 1970 .............................................. 49 App. 1343, 1603

Jan. 3 93–623 .................................... (less 6) ................................................................................................................................................ 88 2102 .............................................. 49 App. 1151(note), 1159a,

1159b, 1373, 1376,

1377, 1472, 1517
771

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Statutes at Large

Date Chapter or Public Law Section

Statutes at Large U.S. Code

Volume Page Title Section

93–633 .................................... ............................................................................................................................................................. 88 2156 .............................................. 45 39, 421(note), 437,

438, 440, 440(note)

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 1471, 1472, 1653,

1761, 1762, 1801,

1801(note), 1802–

1813, 1901,

1901(note), 1902–

1907

1974

Jan. 4 93–650 .................................... ............................................................................................................................................................. 89 2–1 ................................................ 49 App. 1602, 1602a,

1602a(note)

1975

May 26 94–25 ...................................... ............................................................................................................................................................. 89 90 .................................................. 45 501(note), 543, 545,

548, 563, 564, 601,

602, 621

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 1653

July 19 94–56 ...................................... ............................................................................................................................................................. 89 263 ................................................ 45 421(note), 440

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 1812

Aug. 9 94–90 ...................................... ............................................................................................................................................................. 89 439 ................................................ 49 App. 1531(note), 1536,

1542

Dec. 22 94–163 .................................... 301(less ‘‘Sec. 511’’) .......................................................................................................................... 89 901 ................................................ 15 2001–2010, 2012

1976

Feb. 5 94–210 .................................... 701–706(a), (c)–(i), 707, 803, 808, 901–904 .................................................................................. 90 119, 124, 130, 143, 147 ............... 45 543, 545, 546, 562–

564, 743, 745(note),

851–855

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 1613, 1653, 1654,

1654(note)

July 8 94–346 .................................... ............................................................................................................................................................. 90 815 ................................................ 15 1392, 1409

94–348 .................................... ............................................................................................................................................................. 90 817 ................................................ 45 6, 13, 34, 61–63a,

64a, 421(note), 431,

431(note)

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 26, 1653
772

•HR 1758 RH

Schedule of Laws Repealed—Continued

Statutes at Large

Date Chapter or Public Law Section

Statutes at Large U.S. Code

Volume Page Title Section

July 12 94–353 .................................... ............................................................................................................................................................. 90 871 ................................................ 49 App. 1346a, 1348(note),

1356a, 1358, 1371,

1432, 1701,

1701(note),

1702(note), 1704,

1711–1715,

1715(note), 1716–

1720, 1724(note),

1728–1730, 1742

July 14 94–364 .................................... ............................................................................................................................................................. 90 981 ................................................ 15 1901(note), 1921,

1941, 1949, 1963,

1982–1985, 1987,

1988, 1990–1991

July 31 94–374 .................................... ............................................................................................................................................................. 90 1065 .............................................. 49 App. 1542Sept. 30 94–436 .................................... 5(related to title VII) ........................................................................................................................ 90 1399 .............................................. 45 743Oct. 11 94–474 .................................... ............................................................................................................................................................. 90 2068 .............................................. 49 App. 1801(note), 1805,

1812

94–477 .................................... ............................................................................................................................................................. 90 2073 .............................................. 49 App. 1671, 1671(note),

1672, 1674, 1680,

1683–1686

94–481 .................................... ............................................................................................................................................................. 90 2080 .............................................. 49 App. 1907

Oct. 19 94–555 .................................... 101–108, 216(e), 217, 219(a), 220(h), 301 ...................................................................................... 90 2613, 2627, 2629, 2630 ............... 45 501(note), 543, 545,

546, 563, 601, 602,

641, 641(note), 854

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 1653, 1654(note)

1977

Aug. 4 95–91 ...................................... 305, 306, 402(b) ................................................................................................................................ 91 580, 584 ........................................ 15 2002

................................................. ............................................................................................................................................................. ....... ........................................................ 42 7155, 7172
773

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Statutes at Large

Date Chapter or Public Law Section

Statutes at Large U.S. Code

Volume Page Title Section

Nov. 9 95–163 .................................... (less 19) .............................................................................................................................................. 91 1278 .............................................. 49 App. 1301, 1302, 1371,

1373, 1373(note),

1376(note), 1388,

1401, 1421,

1421(note), 1430,

1482, 1531–1533,

1535, 1537, 1542

Nov. 16 95–187 .................................... ............................................................................................................................................................. 91 1385 .............................................. 49 App. 1613

1978

Mar. 8 95–241 .................................... ............................................................................................................................................................. 92 119 ................................................ 49 App. 1401Mar. 14 95–245 .................................... ............................................................................................................................................................. 92 156 ................................................ 49 App. 1388, 1388(note)Mar. 27 95–251 .................................... 2(a)(12) .............................................................................................................................................. 92 183 ................................................ 49 App. 1655Sept. 11 95–363 .................................... ............................................................................................................................................................. 92 597 ................................................ 49 App. 1901(note), 1907Sept. 30 95–403 .................................... ............................................................................................................................................................. 92 863 ................................................ 49 App. 1812Oct. 5 95–421 .................................... ............................................................................................................................................................. 92 923 ................................................ 45 501(note),

521(note), 541,541(note), 545,

545a, 546a, 562,

563, 601, 602, 646,

853, 854

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 1653

Oct. 7 95–426 .................................... 706 ...................................................................................................................................................... 92 992 ................................................ 49 App. 1518Oct. 17 95–473 .................................... 4(c) ..................................................................................................................................................... 92 1470 .............................................. 49 101(note prec.)
774

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Statutes at Large

Date Chapter or Public Law Section

Statutes at Large U.S. Code

Volume Page Title Section

Oct. 24 95–504 .................................... (less 46) .............................................................................................................................................. 92 1705 .............................................. 49 App. 1301, 1301(note),

1302, 1305–1308,

1324(note), 1371,

1371(note), 1372–

1374, 1376,

1376(note), 1378,

1379, 1382, 1384,1386, 1389, 1461,1471, 1473, 1482,

1482a, 1490, 1504,

1551, 1552, 1711,

1729

Nov. 2 95–574 .................................... ............................................................................................................................................................. 92 2459 .............................................. 45 6, 13, 34, 61, 63a,

63a(note),

421(note), 436, 437,

440(note), 442

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 26

95–575 .................................... 3(a), (b) .............................................................................................................................................. 92 2465 .............................................. 49 App. 781, 78795–580 .................................... ............................................................................................................................................................. 92 2475 .............................................. 49 App. 1653(note)

Nov. 6 95–598 .................................... 322(g) ................................................................................................................................................. 92 2679 .............................................. 45 81

95–599 .................................... 134(d), 160, 301–315, 317–323 ........................................................................................................ 92 2709, 2719, 2735, 2752 ............... 15 1418

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 1601(note), 1602,

1603, 1604,

1604(note),

1605(note), 1607,

1607(note),

1607a(note),

1607b–1608, 1611,

1612, 1612(note),

1613–1616,

1653(note)

Nov. 8 95–607 .................................... 101–110 .............................................................................................................................................. 92 3059 .............................................. 49 App. 1651(note), 1653a,

1654, 1654(note)

95–609 .................................... 3, 8 ...................................................................................................................................................... 92 3080, 3084 .................................... 49 App. 1431, 1431(note)

Nov. 9 95–619 .................................... 401–404 .............................................................................................................................................. 92 3254 .............................................. 15 2006, 2008
775

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Schedule of Laws Repealed—Continued

Statutes at Large

Date Chapter or Public Law Section

Statutes at Large U.S. Code

Volume Page Title Section

1979

Sept. 29 96–73 ...................................... 101–119 ‘‘Sec. 404(e)’’, 119 ‘‘Sec. 404(g)’’–132, 501(a) ................................................................ 93 537, 547, 558 ............................... 45 501, 501(note),

501a, 502,

521(note), 545,

545(note),

545a(note), 546,

548, 562(note), 563,

564, 564(note), 565,

565(note), 566, 601,

602, 602(note), 641,

647–650

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 1653

Oct. 12 96–86 ...................................... 115(b) ................................................................................................................................................. 93 662 ................................................ 49 App. 1654Nov. 9 96–106 .................................... 17 ........................................................................................................................................................ 93 799 ................................................ 49 App. 1604Nov. 30 96–129 .................................... ............................................................................................................................................................. 93 989 ................................................ 18 831, 831(note),

832–835

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 1671, 1671(note),

1672, 1672(note),

1673–1677, 1679a–

1682, 1682(note),

1683–1686, 1811,

2001, 2001(note),

2002–2014

Dec. 29 96–171 .................................... ............................................................................................................................................................. 93 1285 .............................................. 49 App. 1421(note)

1980

Jan. 7 96–185 .................................... 18(related to § 503(a)(3) of Motor Vehicle Information and Cost Savings Act) .......................... 93 1336 .............................................. 15 2003Feb. 15 96–192 .................................... (less 29) .............................................................................................................................................. 94 35 .................................................. 49 App. 1159b, 1301(note),

1302, 1371–1373,

1377, 1382, 1384,1386, 1482, 1502,

1504, 1508, 1517
776

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Statutes at Large

Date Chapter or Public Law Section

Statutes at Large U.S. Code

Volume Page Title Section

Feb. 18 96–193 .................................... (less 305) ............................................................................................................................................ 94 50 .................................................. 49 App. 1348(note), 1359,

1472, 1512, 1711,

1713, 1714–1717,

1731, 1742, 2101,

2101(note), 2102–

2108, 2121–2124

May 30 96–254 .................................... 117, 201–213, 215, 216 ..................................................................................................................... 94 410, 418 ........................................ 45 501(note), 543, 545,

546, 562–564, 601,651–658, 851, 853,

854, 854(note), 855,

1013

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 1653

July 1 96–296 .................................... 30 ........................................................................................................................................................ 94 820 ................................................ 49 10927(note)

96–298 .................................... 1(d) ..................................................................................................................................................... 94 829 ................................................ 49 App. 1742

Oct. 10 96–423 .................................... ............................................................................................................................................................. 94 1811 .............................................. 43 975

................................................. ............................................................................................................................................................. ....... ........................................................ 45 6, 26, 29, 34, 64a,

421(note), 431,431(note), 432,

435–439, 441, 443,

444

96–425 .................................... ............................................................................................................................................................. 94 1821 .............................................. 15 1901, 1901(note),

2001, 2001(note),

2002, 2002(note),

2003, 2005, 2007,

2008, 2012

Oct. 14 96–448 .................................... 508(f) .................................................................................................................................................. 94 1958 .............................................. 45 563Oct. 19 96–470 .................................... 112(a), (e), (f), (h), 209(a) ............................................................................................................... 94 2239, 2240, 2245 ......................... 45 440, 669

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 1344, 1539, 1702

1981

Aug. 6 97–31 ...................................... 12(9) ................................................................................................................................................... 95 154 ................................................ 49 App. 142
777

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Statutes at Large

Date Chapter or Public Law Section

Statutes at Large U.S. Code

Volume Page Title Section

Aug. 13 97–35 ...................................... 1101–1103, 1111, 1137–1139(a), 1145, 1170–1189, 1191–1195 ................................................... 95 622, 627, 647, 669, 687 ............... 45 444, 501, 501(note),

501a, 502, 541,

543, 543(note), 544,

545, 546, 547, 548,

562, 563, 563(note),

564, 565, 581–590,

601, 602, 651(note),

852, 854

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 1603, 1604,

1608(note), 1654,

1660, 1701(note),

1714, 1714(note),

1715, 1716(note),

1717, 1742

Nov. 3 97–74 ...................................... ............................................................................................................................................................. 95 1065 .............................................. 49 App. 1901(note), 1903,

1906, 1907

Dec. 23 97–102 .................................... 329 ...................................................................................................................................................... 95 1464 .............................................. 45 582(note)Dec. 29 97–125 .................................... 5 .......................................................................................................................................................... 95 1673 .............................................. 45 582(note)

1982

Apr. 2 97–164 .................................... 161(8) ................................................................................................................................................. 96 49 .................................................. 45 87July 18 97–216 .................................... 101(par. under heading ‘‘Grants to the National Railroad Passenger Corporation’’) ................ 96 187 ................................................ 45 543Sept. 3 97–248 .................................... 501–529, 532–534 ............................................................................................................................. 96 671, 701 ........................................ 49 App. 1349, 1354, 1356a,

1430, 1432, 1509,

1513, 1701–1731,

2101, 2103, 2104,

2108, 2201,

2201(note), 2202–

2225

................................................. ............................................................................................................................................................. ....... ........................................................ 50 App. 1622

Sept 10 97–257 .................................... 107(par. under heading ‘‘Grants to the National Railroad Passenger Corporation’’) ................ 96 852 ................................................ 45 546bSept. 20 97–261 .................................... 18(a)–(g) ............................................................................................................................................ 96 1121 .............................................. 49 10927(note)Oct. 2 97–276 .................................... 130, 167 .............................................................................................................................................. 96 1196, 1204 .................................... 49 App. 1376a(note), 2207Oct. 14 97–309 .................................... ............................................................................................................................................................. 96 1453 .............................................. 49 App. 1542, 1551, 1902,

1902(note), 1905
778

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Statutes at Large

Date Chapter or Public Law Section

Statutes at Large U.S. Code

Volume Page Title Section

Oct. 15 97–331 .................................... ............................................................................................................................................................. 96 1619 .............................................. 15 1381(note), 1392,

1409, 1413, 1418,

1921, 1949, 1990g

Oct. 25 97–364 .................................... 201–206, 208, 209, 211 ..................................................................................................................... 96 1740, 1746, 1747 ......................... 23 401(note)

97–365 .................................... 4 .......................................................................................................................................................... 96 1751 .............................................. 26 6103(note)

Dec. 18 97–369 .................................... 201(provisos under heading ‘‘Payments to Air Carriers’’), 322 ................................................... 96 1778, 1784 .................................... 49 App. 1376a, 1376b

1983

Jan. 6 97–424 .................................... 138, 301–309, 313, 315–318, 401–408, 411–416, 426(a)–(d) ........................................................ 96 2126, 2140, 2152, 2153, 2167 ..... 49 10927(note)

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 1601(note), 1601c,

1602, 1603–1604a,

1607a, 1607a–1,

1607c, 1608, 1611,

1612, 1612(note),

1614, 1617, 1618,

2204–2206, 2301–

2307, 2311–2315,

2316

Jan. 12 97–449 .................................... 4(c) ..................................................................................................................................................... 96 2442 .............................................. 49 App. 1348Jan. 14 97–468 .................................... 101–104, 301, 302, 501, 508, 509, 615(a)(4), 701–706 ................................................................. 96 2543, 2547, 2551, 2554, 2577,

2579.

45 13, 17–21,

421(note), 431, 438,

444, 585, 591, 601,

853, 854, 854(note),

855

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 1654, 1655, 1673–

1675, 2003, 2005

Apr. 5 98–17 ...................................... ............................................................................................................................................................. 97 59 .................................................. 49 App. 2316June 6 98–37 ...................................... ............................................................................................................................................................. 97 204 ................................................ 49 App. 1907July 30 98–63 ...................................... 1(par. under heading ‘‘Urban Discretionary Grants’’) ................................................................. 97 340 ................................................ 49 App. 1603(note)Dec. 8 98–213 .................................... 10 ........................................................................................................................................................ 97 1461 .............................................. 49 App. 1389

1984

Aug. 22 98–396 .................................... 101(par. under heading ‘‘Urban Mass Transportation Administration’’) ................................... 98 1400 .............................................. 49 App. 1604
779

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Statutes at Large

Date Chapter or Public Law Section

Statutes at Large U.S. Code

Volume Page Title Section

Oct. 4 98–443 .................................... 3, 4, 6, 7, 9(a)–(d), (r)–(u), 10–16 .................................................................................................. 98 1703, 1705, 1706, 1708, 1709 ..... 49 App. 1159a, 1159b, 1301,

1304, 1305, 1377,1381, 1382, 1388,

1389, 1389(note),

1537, 1551,

1551(note), 1553–

1557, 2423(note)

Oct. 11 98–464 .................................... ............................................................................................................................................................. 98 1821 .............................................. 49 App. 1681, 1682(note),

1683, 1684, 2009,

2010, 2012, 2013

Oct. 12 98–473 .................................... 2013(c), 2014 ..................................................................................................................................... 98 2189 .............................................. 49 App. 1301, 1471, 1472Oct. 19 98–499 .................................... ............................................................................................................................................................. 98 2312 .............................................. 49 App. 1301(note), 1401,

1422, 1429, 1472,

1903

Oct. 25 98–547 .................................... 101 ...................................................................................................................................................... 98 2755 .............................................. 15 1901, 2021–2034Oct. 30 98–554 .................................... 101–106, 202–212, 214–224, 228–231 ............................................................................................. 98 2829, 2832, 2844, 2852 ............... 49 10927(notes)

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 2301, 2301(note),

2311, 2312, 2314,

2316, 2501–2521

98–559 .................................... ............................................................................................................................................................. 98 2907 .............................................. 49 App. 1808, 1812, 181398–575 .................................... ............................................................................................................................................................. 98 3055 .............................................. 49 App. 2601, 2601(note),

2602–2622

Nov. 8 98–620 .................................... 402(17), (18), (51) ............................................................................................................................. 98 3358, 3361 .................................... 15 1415, 2003, 2305

1985

Aug. 8 99–83 ...................................... 551(a), (b), 552, 553, 556 ................................................................................................................. 99 222, 226, 227 ............................... 49 App. 1356, 1356b, 1471, 1515, 1515(note),

1515a, 1556

Aug. 15 99–88 ...................................... 100(1st complete par. on p. 352) ..................................................................................................... 99 352 ................................................ 49 App. 1371aDec. 5 99–170 .................................... 301 ...................................................................................................................................................... 99 1018 .............................................. 49 App. 2623Dec. 19 99–190 .................................... 317, 326, 328 ..................................................................................................................................... 99 1286, 1289 .................................... 49 App. 1519, 1604, 1614

1986

Apr. 7 99–272 .................................... 4002–4008, 4012–4016, 4017(b), 4018, 7001–7005, 13031(h) ...................................................... 100 106, 109, 110, 111, 139, 310 ...... 45 502, 544, 545, 546,

562–565, 601, 644
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Date Chapter or Public Law Section

Statutes at Large U.S. Code

Volume Page Title Section

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 1654, 1674, 1682a,

1684, 2004, 2013

July 2 99–349 .................................... 101(par. under heading ‘‘Urban Mass Transportation Administration’’) ................................... 100 745 ................................................ ............. .................................Aug. 22 99–386 .................................... 205 ...................................................................................................................................................... 100 823 ................................................ 49 App. 1307Oct. 2 99–435 .................................... ............................................................................................................................................................. 100 1080 .............................................. 49 App. 1301(note), 1374,

1374(note)

Oct. 18 99–500 .................................... 101(l)[H.R. 5205, § 324] .................................................................................................................. 100 1783–308 ...................................... 49 App. 2311Oct. 22 99–514 .................................... 1893(f) ................................................................................................................................................ 100 2930 .............................................. 49 App. 1741

99–516 .................................... ............................................................................................................................................................. 100 2965 .............................................. 49 App. 1672, 1680, 1684,

2002, 2009, 2013

Oct. 27 99–570 .................................... 3401, 12001–12011, 12013–12020 ................................................................................................... 100 3207–99, 3207–170, 3207–186 ... 49 App. 1401, 1401(note),

1472, 1474, 1509,

1509(note), 2304,

2701, 2701(note),

2702–2718

Oct. 28 99–579 .................................... ............................................................................................................................................................. 100 3309 .............................................. 15 1901(note), 1982,

1988, 1988(note),

1990b, 1990c

Oct. 30 99–591 .................................... 101(l)[H.R. 5205, § 324] .................................................................................................................. 100 3341–308 ...................................... 49 App. 2311Nov. 10 99–646 .................................... 87(d)(8) .............................................................................................................................................. 100 3624 .............................................. 49 App. 1472Nov. 14 99–654 .................................... 3(b)(8) ................................................................................................................................................ 100 3664 .............................................. 49 App. 1472

1987

Apr. 2 100–17 .................................... 133(a)(7), (c)(2), 135(h), 205, 209, 301–328 .................................................................................. 101 171, 172, 174, 220, 222 ............... 49 App. 1601(note), 1602,

1602(note), 1603,

1604, 1607a,

1607a–1, 1607c,

1608, 1608(note),

1612–1614, 1617,

1619–1621, 1655,

2204(note), 2311,

2314, 2716

July 11 100–71 .................................... (last proviso under heading ‘‘Grants to the National Railroad Passenger Corporation’’) ......... 101 447 ................................................ 45 562(note)Sept. 30 100–121 .................................. ............................................................................................................................................................. 101 792 ................................................ 49 App. 1472Oct. 30 100–147 .................................. 120 ...................................................................................................................................................... 101 868 ................................................ 49 App. 2623
781

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Statutes at Large

Date Chapter or Public Law Section

Statutes at Large U.S. Code

Volume Page Title Section

100–148 .................................. ............................................................................................................................................................. 101 878 ................................................ 49 App. 1542

Dec. 22 100–202 .................................. 317(a), 328, 106 ................................................................................................................................ 101 1329–380, 1329–382, 1329–433 . 49 308(note)

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 1374, 2311

Dec. 30 100–223 .................................. 101, 102(a)–(c), 103–105(g), 106–116, 201–207, 301–306, 308–311, 315 ................................... 101 1487, 1488, 1494, 1526, 1532 ..... 23 401(note)

................................................. ............................................................................................................................................................. ....... ........................................................ 49 334................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 1301, 1348(notes),

1354, 1389,

1389(note), 1421,

1421(notes), 1471,

1472, 1475,

1475(note), 1501,

1903, 1903(note),

2104, 2104(note),

2201–2203,

2203(note), 2204,2204(note), 2205,

2205(note), 2206–

2208, 2210–2212,

2218, 2222(note),

2224–2227

1988

June 22 100–342 .................................. ............................................................................................................................................................. 102 624 ................................................ 23 401(note)

................................................. ............................................................................................................................................................. ....... ........................................................ 45 1–14, 16, 22–24,

28, 29, 32, 34, 38–

40, 43, 43a, 61, 62,

62(note), 63, 64,

64a, 421(note), 431,

431(note), 437, 438,

438(note), 440, 441,

444, 445, 541, 543,

543, 543(note), 548,

602, 650a,

650a(note), 854

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 26
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Statutes at Large

Date Chapter or Public Law Section

Statutes at Large U.S. Code

Volume Page Title Section

July 19 100–372 .................................. ............................................................................................................................................................. 102 876 ................................................ 49 App. 1901(note), 1903,

1906, 1907

Aug. 23 100–418 .................................. 10011–10013 ...................................................................................................................................... 102 1573 .............................................. 49 App. 1159bSept. 30 100–457 .................................. 317(a), 336, 346 ................................................................................................................................ 102 2148, 2153, 2155 ......................... 45 581

................................................. ............................................................................................................................................................. ....... ........................................................ 49 308(note)................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 1551, 1553

Oct. 14 100–494 .................................. 6–8 ...................................................................................................................................................... 102 2448 .............................................. 15 2001, 2002, 2006,

2006(note), 2013,

2512(note)

Oct. 31 100–561 .................................. 1, 101–108(b), 109, 110, 201–211, 301–306, 308, 401 .................................................................. 102 2805, 2809, 2817 ......................... 15 1988

................................................. ............................................................................................................................................................. ....... ........................................................ 49 101(note prec.)................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 1671(note), 1672,

1672(note), 1674,

1676, 1679a, 1680,

1680(note), 1681,

1684, 1687, 2002,

2004, 2007, 2009–

2011, 2013, 2015,

2015(note)

100–562 .................................. (less 2(e)(3)) ....................................................................................................................................... 102 2818 .............................................. 15 1381(note), 1397,

1397(notes)

Nov. 3 100–591 .................................. ............................................................................................................................................................. 102 3011 .............................................. 49 106

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 1301(note), 1353,

1353(note), 2205

Nov. 15 100–657 .................................. ............................................................................................................................................................. 102 3900 .............................................. 49 App. 2601(note), 2603,

2603(note), 2614,

2615, 2615(note)

Nov. 17 100–685 .................................. 213, 601–604 ..................................................................................................................................... 102 4093, 4102 .................................... 49 App. 1353(note), 2623Nov. 18 100–690 .................................. 6076(a), 7201–7207(c)(3), 7208, 7209, 7211(a), (c), 7212–7214, 9102(a), (b), 9103–9110,

9112.

102 4324, 4424, 4429, 4433, 4528,

4529, 4534.

49 334, 10927(note)
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Statutes at Large

Date Chapter or Public Law Section

Statutes at Large U.S. Code

Volume Page Title Section

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 782, 1301(note),

1303, 1303(note),

1354, 1401,

1401(note), 1422,

1425, 1429, 1471,

1472, 2505,

2505(notes), 2507,

2510(note), 2521,

2521(note),

2706(note)

1989

June 30 101–45 .................................... 501(proviso in par. under heading ‘‘Payments to Air Carriers’’) ................................................ 103 109 ................................................ 49 App. 1389(note)Aug. 4 101–71 .................................... ............................................................................................................................................................. 103 181 ................................................ 49 App. 2201(note), 2212, 2212(note)Nov. 21 101–164 .................................. 331, 334(c), 335, 340 ........................................................................................................................ 103 1097, 1098, 1099 ......................... 49 App. 1374, 1374(note),

1607a(note), 1619,

2205(note)

Dec. 11 101–213 .................................. ............................................................................................................................................................. 103 1843 .............................................. 45 1321

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 1651(note), 1654,

1654(note)

Dec. 15 101–236 .................................. 1, 2, 4 ................................................................................................................................................. 103 2060, 2061 .................................... 49 App. 1421, 1475, 2210

1990

May 4 101–281 .................................. ............................................................................................................................................................. 104 164 ................................................ 49 App. 1475, 1475(note),

2210

July 6 101–322 .................................. 2, 3 ...................................................................................................................................................... 104 295 ................................................ 45 601, 649Aug. 15 101–370 .................................. ............................................................................................................................................................. 104 451 ................................................ 49 App. 1357, 1475, 1482(note)Aug. 18 101–380 .................................. 4105(a) ............................................................................................................................................... 104 512 ................................................ 23 401(note)Nov. 3 101–500 .................................. 2–14, 15(b), (d), (g)(1) ..................................................................................................................... 104 1213, 1218, 1219, 1221 ............... 49 App. 1814, 2501(note), 2801, 2801(note),

2802–2812
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Statutes at Large

Date Chapter or Public Law Section

Statutes at Large U.S. Code

Volume Page Title Section

Nov. 5 101–508 .................................. 9102–9105, 9107–9112(b), 9113–9115, 9118, 9121–9123, 9124 ‘‘Sec. 613(c)’’, 9125, 9127,

9129–9131, 9202–9205, 9207–9209, 9301–9309, 10501.

104 1388–354, 1388–355, 1388–363,

1388–365, 1388–370, 1388–371, 1388–372, 1388–375,1388–399.

45 444, 447

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 1307, 1344,

1348(note), 1353,

1357, 1371, 1389,1433, 1513, 2151,

2151(note), 2152–

2158, 2201–2206,

2226a–2226d, 2227

101–516 .................................. 101(1st sentence last proviso, 2d–last sentences in par. under heading ‘‘Facilities and Equip- ment’’), 324, 327(a), 330(a). 104 2160, 2182, 2184 ......................... 49 App. 1348(note), 1354a, 2205(note), 2311

Nov. 16 101–599 .................................. 1 .......................................................................................................................................................... 104 3038 .............................................. 49 App. 1672, 2002

101–604 .................................. 101(a), (b), 102–111, 203(a)–(c) ...................................................................................................... 104 3067, 3068, 3082 ......................... 49 App. 1356, 1357,

1357(notes), 1358a–

1358d, 1358d(note),

1380, 1380(note),

1432, 1515, 1652b,

1652b(note)

101–610 .................................. 601(a) ................................................................................................................................................. 104 3185 .............................................. 45 546101–611 .................................. 117 ...................................................................................................................................................... 104 3202 .............................................. 49 App. 2601, 2602, 2604,

2614, 2623

101–615 .................................. 3–20, 22–24, 27, 28 ........................................................................................................................... 104 3245, 3271, 3276 ......................... 45 435, 439

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 1802, 1804, 1805,

1805(note), 1806–

1813, 1813(note),

1815–1819, 2509

Nov. 28 101–641 .................................. 2–7, 9 ................................................................................................................................................. 104 4654, 4658 .................................... 15 1988, 1988(note)

................................................. ............................................................................................................................................................. ....... ........................................................ 45 562................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 1657–1, 1903, 1905,

1907

Nov. 29 101–647 .................................. 1704 .................................................................................................................................................... 104 4846 .............................................. 45 446
785

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Statutes at Large

Date Chapter or Public Law Section

Statutes at Large U.S. Code

Volume Page Title Section

1991

Oct. 28 102–143 .................................. 101(1st sentence last proviso, 2d–last sentences in par. under heading ‘‘Facilities and Equip- ment’’), 324, 336, 346, 349, 401–405, 3–5(a), 6. 105 922, 943, 947, 949, 951, 953, 962. 45 431

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 1354a, 1357(note),

1421(note), 1434,

1618a, 2104, 2157,

2205(note), 2717

Dec. 9 102–195 .................................. 13 ........................................................................................................................................................ 105 1613 .............................................. 49 App. 2623Dec. 18 102–240 .................................. 2, 2501, 2504, 2505, 2508, 3005, 3006(a), (b), (d)–(h), 3007–3013, 3015–3030, 4002–4004,

4006, 4007(b), (f), 4008–4010, 4014, 5002(b), (c), 5003, 6021–6024.

105 1914, 2081, 2083, 2084, 2088,

2089, 2108, 2140, 2148, 2152,2153, 2158, 2184.

15 1392(j), 1392(notes), 1413,

1414

................................................. ............................................................................................................................................................. ....... ........................................................ 49 101(note),

301(notes),

11506(note)

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 1601–1603, 1607,

1607a, 1607a–1,

1607c, 1608,

1608(note), 1612,

1614, 1617–1619,

1622–1625, 2302,

2302(notes), 2303,

2304, 2304(note),

2306, 2307, 2311,

2312, 2511a, 2708,

2716, 2718

1992

Aug. 26 102–345 .................................. 2(a), (b), 3, 4 ..................................................................................................................................... 106 923, 925 ........................................ 49 App. 1422, 1429, 1471,

1475

Sept. 3 102–365 .................................. 2–4(a)(3), (c), 5(a), (b), 7–9(a), 10, 12, 14, 15, 18 ........................................................................ 106 972, 974, 975, 976, 978, 980,

982.

45 6, 10, 13, 34,

38(note), 39, 43,

64a, 431, 431(note),

437(note), 438, 441,

444

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 26, 1654
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Statutes at Large

Date Chapter or Public Law Section

Statutes at Large U.S. Code

Volume Page Title Section

Sept. 23 102–368 .................................. 801 ...................................................................................................................................................... 106 1131 .............................................. 49 App. 1607cOct. 6 102–388 .................................. (last proviso of 1st sentence, 2d–last sentences, in par. under heading ‘‘Facilities and Equip- ment’’), 324, 355, 362, 501, 502(a), (c)–(r), 503(2). 106 1525, 1547, 1556, 1560, 1566, 1567. 15 1950

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 1348a, 1354a, 1602,

1607, 1607a, 1608,

1612, 1614, 1617,

1622, 2205(note)

Oct. 24 102–486 .................................. 403 ...................................................................................................................................................... 106 2876 .............................................. 15 2001, 2002, 2006,

2013

102–508 .................................. 101–115(a), (c), 116–118, 201–216, 301, 303, 304(a), (b), 501–507 ............................................ 106 3290, 3297, 3307, 3311 ............... 49 App. 1671, 1671(note),

1672–1674, 1678,

1679a, 1679b,

1679b(note), 1680,

1681, 1683–1685,

1687, 1688, 1802,1805, 1812, 1813,1816, 1819, 1903,

2001, 2001(note),

2002–2004, 2007,

2008, 2008(note),

2009, 2010, 2012,

2013

Oct. 25 102–519 .................................. 201–204, 301–306 ............................................................................................................................. 106 3389 .............................................. 15 2021–2023, 2025,

2026a, 2026a(note),

2026b, 2026b(note),

2026c, 2027–2034,

2041–2044

Oct. 27 102–533 .................................. 2–10, 14 ............................................................................................................................................. 106 3515, 3522 .................................... 45 431, 502, 544, 546,

563, 601, 602, 650,

650b, 650c, 856

Oct. 28 102–548 .................................. 2(a), (c)–(e) ........................................................................................................................................ 106 3646, 3648 .................................... 49 501, 508, 508(note)
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Statutes at Large

Date Chapter or Public Law Section

Statutes at Large U.S. Code

Volume Page Title Section

Oct. 31 102–581 .................................. 101–103(d), 105–107(c), 108–112(b), 113–120, 124, 125, 136, 201–203(a), 205, 208, 302,

401, 402.

106 4875, 4877, 4879, 4881, 4885,

4889, 4894, 4895, 4897.

49 App. 1302, 1344, 1348,

1348(note),

1354(note), 1357,

1421(note), 1471,

1501, 1513, 1532,1534, 1542, 2153,

2158, 2201–2208,

2210, 2210(note),

2211, 2212, 2226b,

2226c, 2227

Nov. 4 102–588 .................................. 211, 503, 505 ..................................................................................................................................... 106 5115, 5124 .................................... 15 5804

................................................. ............................................................................................................................................................. ....... ........................................................ 49 App. 2615, 2623
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Revised Statutes

Revised Statutes Section

United States Code

Title Section

5256 .......................................................................................... 45 81

5257 .......................................................................................... 45 82

5258 .......................................................................................... 45 84

5259 .......................................................................................... 45 85

5260 .......................................................................................... 45 86

5261 .......................................................................................... 45 87

5262 .......................................................................................... 45 88

Reorganization Plans

Year Plan

No. Section

Statutes at

Large

Volume Page

1950 ............ 13 .............................................................................................................. 64 1266

1961 ............ 3 .............................................................................................................. 75 837

1965 ............ 3 .............................................................................................................. 79 1320

1968 ............ 2 1(a)(1), (2) ......................................................................................... 82 1369

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