(2) A grant of the Government for a capital project under this section may
not be more than 80 percent of the net cost of the project, as determined by
the Secretary of Transportation. A grant to pay a subsidy for operating ex-
penses may not be more than 50 percent of the net cost of the operating ex-
pense project. At least 50 percent of the remainder shall be provided in cash
from sources other than amounts of the Government or revenues from provid-
ing mass transportation. Transit system amounts that make up the remain-
der shall be from an undistributed cash surplus, a replacement or deprecia-
tion cash fund or reserve, or new capital.
(h) AMOUNTS FOR OPERATING ASSISTANCE.—An amount made available
under this section may be used for operating assistance.
(i) TRANSFER OF FACILITIES AND EQUIPMENT.—With the consent of the
recipient currently having a facility or equipment acquired with assistance
under this section, a State may transfer the facility or equipment to any re-
cipient eligible to receive assistance under this chapter if the facility or equip-
ment will continue to be used as required under this section.
(j) RELATIONSHIP
TO OTHER LAWS.—(1) Sections 5323(a)(1)(D) and
5333(b) of this title apply to this section but the Secretary of Labor may
waive the application of section 5333(b).
(2) This subsection does not affect or discharge a responsibility of the Sec-
retary of Transportation under a law of the United States.
§ 5312. Research, development, demonstration, and training
projects
(a) RESEARCH, DEVELOPMENT, AND DEMONSTRATION PROJECTS.—The
Secretary of Transportation (or the Secretary of Housing and Urban Develop-
ment when required by section 5334(i) of this title) may undertake, or make
grants or contracts (including agreements with departments, agencies, and in-
strumentalities of the United States Government) for, research, development,
and demonstration projects related to urban mass transportation that the Sec-
retary decides will help reduce urban transportation needs, improve mass
transportation service, or help mass transportation service meet the total
urban transportation needs at a minimum cost. The Secretary may request
and receive appropriate information from any source. This subsection does
not limit the authority of the Secretary under another law.
(b) RESEARCH, INVESTIGATIONS, AND TRAINING.—(1) The Secretary of
Transportation (or the Secretary of Housing and Urban Development when
required by section 5334(i) of this title) may make grants to nonprofit insti-
tutions of higher learning—
(A) to conduct competent research and investigations into the theoreti-
cal or practical problems of urban transportation; and
(B) to train individuals to conduct further research or obtain employ-
ment in an organization that plans, builds, operates, or manages an
urban transportation system.
(2) Research and investigations under this subsection include—
(A) the design and use of urban mass transportation systems and
urban roads and highways;
(B) the interrelationship between various modes of urban and inter-
urban transportation;
(C) the role of transportation planning in overall urban planning;
(D) public preferences in transportation;
(E) the economic allocation of transportation resources; and
(F) the legal, financial, engineering, and esthetic aspects of urban
transportation.
(3) When making a grant under this subsection, the appropriate Secretary
shall give preference to an institution that brings together knowledge and ex-
pertise in the various social science and technical disciplines related to urban
transportation problems.
(c) TRAINING FELLOWSHIPS AND INNOVATIVE TECHNIQUES AND METH-
ODS.—(1) The Secretary of Transportation may make grants to States, local
governmental authorities, and operators of mass transportation systems to
provide fellowships to train personnel employed in managerial, technical, and
professional positions in the mass transportation field.
(2) The Secretary of Transportation may make grants to State and local
governmental authorities for projects that will use innovative techniques and
methods in managing and providing mass transportation.
(3) A fellowship under this subsection may be for not more than one year
of training in an institution that offers a program applicable to the mass
transportation industry. The recipient of the grant shall select an individual
on the basis of demonstrated ability and for the contribution the individual
reasonably can be expected to make to an efficient mass transportation oper-
ation. A grant for a fellowship may not be more than the lesser of $24,000
or 75 percent of—
(A) tuition and other charges to the fellowship recipient;
(B) additional costs incurred by the training institution and billed to
the grant recipient; and
(C) the regular salary of the fellowship recipient for the period of the
fellowship to the extent the salary is actually paid or reimbursed by the
grant recipient.
§ 5313. State planning and research programs
(a) COOPERATIVE RESEARCH PROGRAM.—(1) Fifty percent of the amounts
made available under section 5338(g)(3) of this title are available for a mass
transportation cooperative research program. The Secretary of Transportation
shall establish an independent governing board for the program. The board
shall recommend mass transportation research, development, and technology
transfer activities the Secretary considers appropriate.
(2) The Secretary may make grants to, and cooperative agreements with,
the National Academy of Sciences to carry out activities under this subsection
that the Secretary decides are appropriate.
(b) STATE PLANNING AND RESEARCH.—(1) Fifty percent of the amounts
made available under section 5338(g)(3) of this title shall be apportioned to
States for grants and contracts consistent with the purposes of sections 5303–
5306, 5312, 5315, 5317, and 5322 of this title. The amounts shall be appor-
tioned so that each State receives an amount equal to the population in ur-
banized areas in the State, divided by the population in urbanized areas in
all States, as shown by the latest available decennial census. However, a State
must receive at least .5 percent of the amount apportioned under this sub-
section.
(2) A State, as the State considers appropriate, may authorize part of the
amount made available under this subsection to be used to supplement
amounts available under subsection (a) of this section.
(3) An amount apportioned under this subsection—
(A) remains available for 3 years after the fiscal year in which the
amount is apportioned; and
(B) that is unobligated at the end of the 3-year period shall be
reapportioned among the States for the next fiscal year.
(c) GOVERNMENT’S SHARE.—When there would be a clear and direct finan-
cial benefit to an entity under a grant or contract financed under subsection
(a) of this section, the Secretary shall establish a United States Government
share consistent with the benefit.
§ 5314. National planning and research programs
(a) PROGRAM.—(1) The amounts made available under section 5338(g)(4)
of this title are available to the Secretary of Transportation for grants and
contracts for the purposes of sections 5303–5306, 5312, 5315, 5317, and 5322
of this title, as the Secretary considers appropriate.
(2) Of the amounts made available under paragraph (1) of this subsection,
the Secretary shall make available at least $2,000,000 to provide mass trans-
portation-related technical assistance, demonstration programs, research, pub-
lic education, and other activities the Secretary considers appropriate to help
mass transportation providers comply with the Americans with Disabilities
Act of 1990 (42 U.S.C. 12101 et seq.). To the extent practicable, the Secretary
shall carry out this paragraph through a contract with a national nonprofit
organization serving individuals with disabilities that has a demonstrated ca-
pacity to carry out the activities.
(3) Not more than 25 percent of the amounts available under paragraph
(1) of this subsection is available to the Secretary for special demonstration
initiatives, subject to terms the Secretary considers consistent with this chap-
ter, except that section 5323(a)(1)(D) of this title applies to an operational
grant financed in carrying out section 5312(a) of this title. For a
nonrenewable grant of not more than $100,000, the Secretary shall provide
expedited procedures on complying with the requirements of this chapter.
(4)(A) The Secretary may undertake a program of mass transportation
technology development in coordination with affected entities.
(B) The Secretary shall establish an Industry Technical Panel composed of
representatives of transportation suppliers and operators and others involved
in technology development. A majority of the Panel members shall represent
the supply industry. The Panel shall assist the Secretary in identifying prior-
ity technology development areas and in establishing guidelines for project de-
velopment, project cost sharing, and project execution.
(C) The Secretary shall develop guidelines for cost sharing in technology
development projects financed under this paragraph. The guidelines shall be
flexible and reflect the extent of technical risk, market risk, and anticipated
supplier benefits and payback periods.
(5) The Secretary may use amounts appropriated under this subsection to
supplement amounts available under section 5313(a) of this title, as the Sec-
retary considers appropriate.
(b) GOVERNMENT’S SHARE.—When there would be a clear and direct finan-
cial benefit to an entity under a grant or contract financed under subsection
(a) of this section, the Secretary shall establish a United States Government
share consistent with the benefit.
§ 5315. National mass transportation institute
(a) ESTABLISHMENT AND DUTIES.—The Secretary of Transportation shall
make grants to Rutgers University to establish a national mass transpor-
tation institute. In cooperation with the Federal Transit Administration,
State transportation departments, public mass transportation authorities,
and national and international entities, the institute shall develop and con-
duct training programs of instruction for United States Government, State,
and local transportation employees, United States citizens, and foreign na-
tionals engaged or to be engaged in Government-aid mass transportation
work. The programs may include courses in recent developments, techniques,
and procedures related to—
(1) mass transportation planning;
(2) management;
(3) environmental factors;
(4) acquisition and joint use of rights of way;
(5) engineering;
(6) procurement strategies for mass transportation systems;
(7) turnkey approaches to carrying out mass transportation systems;
(8) new technologies;
(9) emission reduction technologies;
(10) ways to make mass transportation accessible to individuals with
disabilities;
(11) construction;
(12) maintenance;
(13) contract administration; and
(14) inspection.
(b) RELATED EDUCATIONAL AND TRAINING PROGRAMS.—The Secretary
shall delegate to the institute the authority of the Secretary to develop and
conduct educational and training programs related to mass transportation.
(c) PROVIDING EDUCATION AND TRAINING.—Education and training of
Government, State, and local transportation employees under this section
shall be provided—
(1) by the Secretary at no cost to the States and local governments
for subjects that are a Government program responsibility; or
(2) when the education and training are paid under subsection (d) of
this section, by the State, with the approval of the Secretary, through
grants and contracts with public and private agencies, other institutions,
individuals, and the institute.
(d) AVAILABILITY OF AMOUNTS.—Not more than .5 percent of the amounts
made available for a fiscal year beginning after September 30, 1991, to a
State or public mass transportation authority in the State to carry out sec-
tions 5304 and 5306 of this title is available for expenditure by the State and
public mass transportation authorities in the State, with the approval of the
Secretary, to pay not more than 80 percent of the cost of tuition and direct
educational expenses related to educating and training State and local trans-
portation employees under this section.
§ 5316. University research institutes
(a) INSTITUTE FOR NATIONAL SURFACE TRANSPORTATION POLICY.—The
Secretary of Transportation shall make grants to San Jose State University
to establish and operate an institute for national surface transportation pol-
icy studies. The institute shall—
(1) include male and female students of diverse socioeconomic and eth-
nic backgrounds who are seeking careers in developing and operating
surface transportation programs; and
(2) conduct research and development activities to analyze ways of im-
proving aspects of developing and operating surface transportation pro-
grams of the United States.
(b) INFRASTRUCTURE TECHNOLOGY INSTITUTE.—The Secretary shall make
grants to Northwestern University to establish and operate an institute to
study techniques—
(1) to evaluate and monitor infrastructure conditions;
(2) to improve information systems for infrastructure construction and
management; and
(3) to study advanced materials and automated processes for con-
structing and rehabilitating public works facilities.
(c) URBAN TRANSIT INSTITUTE.—The Secretary shall make grants to North
Carolina A. and T. State University through the Institute for Transportation
Research and Education, the University of South Florida, and a consortium
of Florida A. and M., Florida State University, and Florida International
University to establish and operate an interdisciplinary institute to study
and disseminate techniques on the diverse transportation problems of urban
areas experiencing significant and rapid growth.
(d) INSTITUTE
FOR INTELLIGENT VEHICLE-HIGHWAY CONCEPTS.—The
Secretary shall make grants to the University of Minnesota, Center for Trans-
portation Studies, to establish and operate a national institute for intelligent
vehicle-highway concepts. The institute shall conduct research and recommend
development activities that focus on methods to increase roadway capacity,
enhance safety, and reduce negative environmental effects of transportation
facilities by using intelligent vehicle-highway systems technologies.
(e) INSTITUTE FOR TRANSPORTATION RESEARCH AND EDUCATION.—The
Secretary shall make grants to the University of North Carolina to conduct
research and development and to direct technology transfer and training for
State and local transportation authorities to improve the overall surface
transportation infrastructure.
(f) APPLICABILITY OF TITLE 23.—Amounts authorized by section 5338(d)
of this title may be obligated in the same way as amounts are apportioned
under chapter 1 of title 23.
§ 5317. Transportation centers
(a) GRANTS FOR REGIONAL TRANSPORTATION CENTERS.—(1) The Sec-
retary of Transportation shall make grants to nonprofit institutions of higher
learning to establish and operate regional transportation centers in each of
the 10 United States Government regions that comprise the Standard Federal
Regional Boundary System.
(2) A nonprofit institution of higher learning interested in receiving a
grant under this subsection shall submit an application to the Secretary in
the way and containing the information the Secretary prescribes. The Sec-
retary shall select each recipient on the basis of the following:
(A) the regional transportation center is located in a State that is rep-
resentative of the needs of the Government region for improved transpor-
tation and facilities.
(B) the demonstrated research and extension resources available to the
recipient to carry out this subsection.
(C) the capability of the recipient to provide leadership in making na-
tional and regional contributions to the solution of immediate and long-
range transportation problems.
(D) the recipient has an established transportation program encom-
passing several modes of transportation.
(E) the recipient has a demonstrated commitment of at least $200,000
in regularly budgeted institutional amounts each year to support ongo-
ing transportation research programs.
(F) the recipient has a demonstrated ability to disseminate results of
transportation research and educational programs through a statewide or
regionwide continuing educational program.
(G) the projects the recipient proposes to carry out under the grant.
(3)(A) At each regional transportation center, the following shall be carried
out:
(i) infrastructure research on transportation.
(ii) research and training on transportation safety and the transpor-
tation of passengers and property and the interpretation, publication,
and dissemination of the results of the research.
(B) Each transportation center—
(i) should carry out research on more than one mode of transpor-
tation; and
(ii) should consider the proportion of amounts for this subsection from
amounts available to carry out urban mass transportation projects under
this chapter and from the Highway Trust Fund.
(C) At one of the transportation centers, research may be carried out on
the testing of new bus models.
(4) Before making a grant under this subsection, the Secretary may require
the recipient to make an agreement with the Secretary to ensure that the re-
cipient will maintain total expenditures from all other sources to establish
and operate a regional transportation center and related research activities
at a level at least equal to the average level of those expenditures in its 2
fiscal years prior to April 2, 1987.
(5) A grant under this subsection is for 50 percent of the cost of establishing
and operating the regional transportation center and related research activi-
ties the recipient carries out.
(b) GRANTS FOR UNIVERSITY TRANSPORTATION CENTERS.—(1) To acceler-
ate the involvement and participation of minority individuals and women in
transportation-related professions, particularly in the science, technology, and
engineering disciplines, the Secretary shall make grants to Morgan State Uni-
versity to establish a national center for transportation management, re-
search, and development. The center shall give special attention to designing,
developing, and carrying out research, training, and technology transfer ac-
tivities to increase the number of highly skilled minority individuals and
women entering the transportation workforce.
(2) The Secretary shall make grants to the New Jersey Institute of Tech-
nology to establish and operate a center for transportation and industrial
productivity. The center shall conduct research and development activities
that focus on ways to increase surface transportation capacity, reduce conges-
tion, and reduce costs for transportation system users and providers through
the use of transportation management systems.
(3) The Secretary shall make a grant to Monmouth College, West Long
Branch, New Jersey, to modify and rebuild Building Number 500 at Mon-
mouth College. Before making the grant, the Secretary shall receive assurances
from Monmouth College that the building will be known and designated as
the James and Marlene Howard Transportation Information Center and that
transportation-related instruction and research in computer science, electronic
engineering, mathematics, and software engineering conducted at the building
will be coordinated with the Center for Transportation and Industrial Pro-
ductivity at the New Jersey Institute of Technology.
(4) The Secretary shall make grants to the University of Arkansas to estab-
lish a national rural transportation center. The center shall conduct research,
training, and technology transfer activities in the development, management,
and operation of intermodal transportation systems in rural areas.
(5)(A) The Secretary shall make grants to the University of Idaho to estab-
lish a National Center for Advanced Transportation Technology. The Center
shall be established and operated in partnership with private industry and
shall conduct industry-driven research and development activities that focus
on transportation-related manufacturing and engineering processes, materials,
and equipment.
(B) The Secretary shall make grants to the University of Idaho to plan,
design, and construct a building in which to conduct the research and devel-
opment activities of the Center.
(C) Amounts authorized by section 5338(e)(2) of this title may be obligated
in the same way as amounts apportioned under chapter 1 of title 23 (except
that the Government share of the cost of the activities conducted under this
paragraph is 80 percent and the amounts remain available until expended)
and are not subject to an obligational limitation.
(D) A grant made under this paragraph is not subject to the requirements
of this section (except this paragraph).
(c) PROGRAM COORDINATION.—The Secretary shall provide for coordinat-
ing research, education, training, and technology transfer activities that grant
recipients carry out under this section, the dissemination of the results of the
research, and the establishment and operation of a clearinghouse between the
centers and the transportation industry. At least annually, the Secretary shall
review and evaluate programs the grant recipients carry out. The Secretary
may use not more than one percent of amounts made available from Govern-
ment sources to carry out this section to carry out this subsection.
(d) OBLIGATION CEILING.—Amounts authorized to carry out this section
(except subsection (b)(3)) are subject to obligational limitations established
under section 1002 of the Intermodal Surface Transportation Efficiency Act
of 1991 (Public Law 102–240, 105 Stat. 1916).
(e) AMOUNTS AVAILABLE FOR TECHNOLOGY TRANSFER ACTIVITIES.—At
least 5 percent of the amounts made available to carry out this section in
a fiscal year are available to carry out technology transfer activities.
(f) ALLOCATION AMONG GOVERNMENT REGIONS.—The Secretary shall allo-
cate amounts available to carry out this section equitably among the Govern-
ment regions.
§ 5318. Bus testing facility
(a) ESTABLISHMENT.—The Secretary of Transportation shall establish one
facility for testing a new bus model for maintainability, reliability, safety,
performance (including braking performance), structural integrity, fuel econ-
omy, emissions, and noise. The facility shall be established by renovating a
facility built with assistance of the United States Government to train rail
personnel.
(b) OPERATION AND MAINTENANCE.—The Secretary shall make a contract
with a qualified person to operate and maintain the facility. The contract
may provide for the testing of rail cars and other vehicles at the facility.
(c) FEES.—The person operating and maintaining the facility shall estab-
lish and collect fees for the testing of vehicles at the facility. The Secretary
must approve the fees.
(d) AVAILABILITY OF AMOUNTS TO PAY FOR TESTING.—The Secretary
shall make a contract with the operator of the facility under which the Sec-
retary shall pay 80 percent of the cost of testing a vehicle at the facility from
amounts available under section 5338(j)(5) of this title. The entity having the
vehicle tested shall pay 20 percent of the cost.
(e) REVOLVING LOAN FUND.—The Secretary has a bus testing revolving
loan fund consisting of amounts authorized for the fund under section
317(b)(5) of the Surface Transportation and Relocation Assistance Act of
1987. The Secretary shall make available as repayable advances from the fund
to the person operating and maintaining the facility amounts to operate and
maintain the facility.
§ 5319. Bicycle facilities
A project to provide access for bicycles to mass transportation facilities, to
provide shelters and parking facilities for bicycles in or around mass trans-
portation facilities, or to install equipment for transporting bicycles on mass
transportation vehicles is a capital project eligible for assistance under sec-
tions 5307, 5309, and 5311 of this title. Notwithstanding sections 5307(e),
5309(h), and 5311(g) of this title, a grant of the United States Government
under this chapter for a project under this section is for 90 percent of the
cost of the project.
§ 5320. Suspended light rail system technology pilot project
(a) PURPOSE.—The purpose of this section is to provide for the construc-
tion by a public entity of a suspended light rail system technology pilot
project—
(1) to assess the state of new technology for a suspended light rail sys-
tem; and
(2) to establish the feasibility, costs, and benefits of using the system
to transport passengers.
(b) GENERAL REQUIREMENTS.—The project shall—
(1) use new rail technology with individual vehicles on a prefabricated
elevated steel guideway;
(2) be stability-seeking with a center of gravity for the detachable pas-
senger vehicles located below the point of wheel-rail contact; and
(3) use vehicles that are driven by overhead bogies with high efficiency,
low maintenance electric motors for each wheel, operating in a slightly
sloped plane from vertical for the wheels and the running rails, to further
increase stability, acceleration, and braking performance.
(c) COMPETITION.—(1) The Secretary of Transportation shall conduct a
national competition to select a public entity with which to make a full fi-
nancing grant agreement to construct the project. Not later than April 16,
1992, the Secretary shall select 3 public entities to be finalists in the competi-
tion. In conducting the competition and selecting public entities, the Sec-
retary shall consider—
(A) the public entity’s demonstrated understanding and knowledge of
the project and its technical, managerial, and financial capacity to con-
struct, manage, and operate the project; and
(B) maximizing potential contributions to the cost of the project by
State, local, and private sector entities, including donation of in-kind
services and materials.
(2) The Secretary shall award a grant to each finalist to be used to partici-
pate in the final phase of the competition under procedures the Secretary pre-
scribes. A grant may not be more than 80 percent of the cost of participating.
A finalist may not receive more than one-third of the amount made available
under subsection (h)(1)(A) of this section.
(3) Not later than July 15, 1992, the Secretary shall select from among
the 3 finalists a public entity with which to make a full financing grant
agreement.
(d) ENVIRONMENTAL IMPACT.—Not later than 270 days after a public en-
tity is selected under subsection (c) of this section, the Secretary shall approve
and publish in the Federal Register a notice announcing either a finding of
no significant impact or a draft environmental impact statement for the
project. The alternatives analysis for the project shall include a decision on
whether to construct the project. If a draft statement is published, the Sec-
retary, not later than 180 days after publication, shall approve and publish
in the Federal Register a notice of completion of a final environmental im-
pact statement.
(e) FULL FINANCING GRANT AGREEMENT.—Not later than 60 days after
carrying out the requirements of subsection (d) of this section, the Secretary
shall make a full financing grant agreement under section 5309 of this title
with the public entity selected under subsection (c) of this section to construct
the project. The agreement shall provide that the system vendor for the project
shall finance—
(1) 100 percent of any deficit incurred in operating the project in the
first 2 years of revenue operations of the project; and
(2) 50 percent of any deficit incurred in operating the project in the
3d year of revenue operations of the project.
(f) NOTICE TO PROCEED.—Not later than 30 days after making the full
financing grant agreement, the Secretary shall issue a notice to proceed with
construction.
(g) OPTION NOT TO CONSTRUCT AND REAWARDING THE GRANT.—(1) Not
later than 30 days after completing preliminary engineering and design, the
selected public entity shall decide whether to proceed to constructing the
project. If the entity decides not to proceed—
(A) the Secretary shall not make the full financing grant agreement;
(B) remaining amounts received shall be returned to the Secretary and
credited to the Mass Transit Account of the Highway Trust Fund; and
(C) the Secretary shall use the credited amount and other amounts to
be provided under this section to award to another entity selected under
subsection (c)(1) of this section a grant under section 5309 of this title
to construct the project.
(2) Not later than 60 days after a decision is made under paragraph (1)
of this subsection, a grant shall be awarded under paragraph (1)(C) of this
section after completing a competitive process for selecting the grant recipient.
(h) FINANCING.—(1) The Secretary shall pay from amounts provided under
section 5309 of this title the following:
(A) at least $1,000,000 for the fiscal year ending September 30, 1992,
for grants under subsection (c)(2) of this section.
(B) at least $4,000,000 for the fiscal year ending September 30, 1993,
for the United States Government share of the costs (as determined under
section 5309 of this title) if the systems planning, alternatives analysis,
preliminary engineering, and design and environmental impact state-
ment are required by law for the project.
(C) at least $30,000,000 for the fiscal year ending September 30, 1994,
as provided in the grant agreement under subsection (e) of this section,
for the Government share of the construction costs of the project.
(2) The grant agreement under subsection (e) of this section shall provide
that for the 3d year of revenue operations of the project, the Secretary shall
pay from amounts provided under this section the Government share of oper-
ating costs in an amount equal to the lesser of 50 percent of the deficit in-
curred in operating the project in that year or $300,000.
(3) Amounts not expended under paragraph (1)(A) of this subsection are
available for the Government share of costs described in paragraph (1)(B) and
(C) of this subsection.
(4) Amounts under paragraph (1)(B) and (C) of this subsection remain
available until expended.
(i) GOVERNMENT’S SHARE OF COSTS.—The Government share of the cost
of constructing the project is 80 percent of the net cost of the project.
(j) PROJECT NOT SUBJECT TO MAJOR CAPITAL INVESTMENT POLICY.—The
project is not subject to the major capital investment policy of the Federal
Transit Administration.
(k) REPORT.—Not later than January 30, 1993, and each year after that
date, the Secretary shall submit to Congress a report on the progress and re-
sults of the project.
§ 5321. Crime prevention and security
The Secretary of Transportation may make capital grants from amounts
available under section 5338 of this title to mass transportation systems for
crime prevention and security. This chapter does not prevent the financing
of a project under this section when a local governmental authority other than
the grant applicant has law enforcement responsibilities.
§ 5322. Human resource programs
The Secretary of Transportation may undertake, or make grants and con-
tracts for, programs that address human resource needs as they apply to mass
transportation activities. A program may include—
(1) an employment training program;
(2) an outreach program to increase minority and female employment
in mass transportation activities;
(3) research on mass transportation personnel and training needs; and
(4) training and assistance for minority business opportunities.
§ 5323. General provisions on assistance
(a) INTERESTS IN PROPERTY.—(1) Financial assistance provided under
this chapter to a State or a local governmental authority may be used to ac-
quire an interest in, or buy property of, a private mass transportation com-
pany, for a capital project for property acquired from a private mass trans-
portation company after July 9, 1964, or to operate mass transportation
equipment or a mass transportation facility in competition with, or in addi-
tion to, transportation service provided by an existing mass transportation
company, only if—
(A) the Secretary of Transportation finds the assistance is essential to
a program of projects required under sections 5303–5306 of this title;
(B) the Secretary of Transportation finds that the program, to the
maximum extent feasible, provides for the participation of private mass
transportation companies;
(C) just compensation under State or local law will be paid to the
company for its franchise or property; and
(D) the Secretary of Labor certifies that the assistance complies with
section 5333(b) of this title.
(2) A governmental authority may not use financial assistance of the
United States Government to acquire land, equipment, or a facility used in
mass transportation from another governmental authority in the same geo-
graphic area.
(b) NOTICE AND PUBLIC HEARING.—(1) An application for a grant or loan
under this chapter (except section 5307) for a capital project that will affect
substantially a community, or the mass transportation service of a commu-
nity, must include a certificate of the applicant that the applicant has—
(A) provided an adequate opportunity for a public hearing with ade-
quate prior notice;
(B) held that hearing unless no one with a significant economic, so-
cial, or environmental interest requested one;
(C) considered the economic, social, and environmental effects of the
project; and
(D) found that the project is consistent with official plans for develop-
ing the urban area.
(2) Notice of a hearing under this subsection shall include a concise de-
scription of the proposed project and shall be published in a newspaper of
general circulation in the geographic area the project will serve. If a hearing
is held, a copy of the transcript of the hearing shall be submitted with the
application.
(c) ACQUIRING NEW BUS MODELS.—Amounts appropriated or made avail-
able under this chapter (except section 5307) after September 30, 1989, may
be obligated or expended to acquire a new bus model only if a bus of the
model has been tested at the facility established under section 5318 of this
title.
(d) BUYING AND OPERATING BUSES.—(1) Financial assistance under this
chapter may be used to buy or operate a bus only if the applicant, govern-
mental authority, or publicly owned operator that receives the assistance
agrees that, except as provided in the agreement, the governmental authority
or an operator of mass transportation for the governmental authority will not
provide charter bus transportation service outside the urban area in which
it provides regularly scheduled mass transportation service. An agreement
shall provide for a fair arrangement the Secretary of Transportation consid-
ers appropriate to ensure that the assistance will not enable a governmental
authority or an operator for a governmental authority to foreclose a private
operator from providing intercity charter bus service if the private operator
can provide the service.
(2) On receiving a complaint about a violation of an agreement, the Sec-
retary of Transportation shall investigate and decide whether a violation has
occurred. If the Secretary decides that a violation has occurred, the Secretary
shall correct the violation under terms of the agreement. In addition to a rem-
edy specified in the agreement, the Secretary may bar a recipient under this
subsection or an operator from receiving further assistance when the Secretary
finds a continuing pattern of violations of the agreement.
(e) BUS PASSENGER SEAT FUNCTIONAL SPECIFICATIONS.—The initial ad-
vertising by a State or local governmental authority for bids to acquire buses
using financial assistance under this chapter (except section 5307) may in-
clude passenger seat functional specifications that are at least equal to per-
formance specifications the Secretary of Transportation prescribes. The speci-
fications shall be based on a finding by the State or local governmental au-
thority of local requirements for safety, comfort, maintenance, and life cycle
costs.
(f) SCHOOLBUS TRANSPORTATION.—(1) Financial assistance under this
chapter may be used for a capital project, or to operate mass transportation
equipment or a mass transportation facility, only if the applicant agrees not
to provide schoolbus transportation that exclusively transports students and
school personnel in competition with a private schoolbus operator. This sub-
section does not apply—
(A) to an applicant that operates a school system in the area to be
served and a separate and exclusive schoolbus program for the school sys-
tem;
(B) unless a private schoolbus operator can provide adequate transpor-
tation that complies with applicable safety standards at reasonable rates;
and
(C) to a State or local governmental authority if it or a direct prede-
cessor in interest from which it acquired the duty of transporting school
children and personnel, and facilities to transport them, provided school-
bus transportation at any time after November 25, 1973, but before No-
vember 26, 1974.
(2) An applicant violating an agreement under this subsection may not re-
ceive other financial assistance under this chapter.
(g) BUYING BUSES UNDER OTHER LAWS.—Subsections (d) and (f) of this
section apply to financial assistance to buy a bus under sections 103(e)(4)
and 142(a) or (c) of title 23. However, subsection (f)(1)(C) of this section ap-
plies to sections 103(e)(4) and 142(a) or (c) only if schoolbus transportation
was provided at any time after August 12, 1972, but before August 13, 1973.
(h) GRANT AND LOAN PROHIBITIONS.—A grant or loan may not be used
to—
(1) pay ordinary governmental or nonproject operating expenses; or
(2) support a procurement that uses an exclusionary or discrimina-
tory specification.
(i) GOVERNMENT’S SHARE OF COSTS FOR CERTAIN PROJECTS.—A Govern-
ment grant for a project to be assisted under this chapter that involves acquir-
ing vehicle-related equipment required by the Clean Air Act (42 U.S.C. 7401
et seq.) or the Americans with Disabilities Act of 1990 (42 U.S.C. 12101 et
seq.) is for 90 percent of the net project cost of the equipment that is attrib-
utable to complying with those Acts. The Secretary of Transportation, through
practicable administrative procedures, may determine the costs attributable to
that equipment.
(j) BUY AMERICAN.—(1) The Secretary of Transportation may obligate an
amount that may be appropriated to carry out this chapter for a project only
if the steel, iron, and manufactured goods used in the project are produced
in the United States.
(2) The Secretary of Transportation may waive paragraph (1) of this sub-
section if the Secretary finds that—
(A) applying paragraph (1) would be inconsistent with the public in-
terest;
(B) the steel, iron, and goods produced in the United States are not
produced in a sufficient and reasonably available amount or are not of
a satisfactory quality;
(C) when procuring rolling stock (including train control, communica-
tion, and traction power equipment) under this chapter—
(i) the cost of components and subcomponents produced in the
United States is more than 60 percent of the cost of all components
of the rolling stock; and
(ii) final assembly of the rolling stock has occurred in the United
States; or
(D) including domestic material will increase the cost of the overall
project by more than 25 percent.
(3) In this subsection, labor costs involved in final assembly are not in-
cluded in calculating the cost of components.
(4) The Secretary of Transportation may not make a waiver under para-
graph (2) of this subsection for goods produced in a foreign country if the
Secretary, in consultation with the United States Trade Representative, de-
cides that the government of that foreign country—
(A) has an agreement with the United States Government under which
the Secretary has waived the requirement of this subsection; and
(B) has violated the agreement by discriminating against goods to
which this subsection applies that are produced in the United States and
to which the agreement applies.
(5) A person is ineligible under subpart 9.4 of chapter 1 of title 48, Code
of Federal Regulations, to receive a contract or subcontract made with
amounts authorized under the Intermodal Surface Transportation Efficiency
Act of 1991 (Public Law 102–240, 105 Stat. 1914) if a court or department,
agency, or instrumentality of the Government decides the person inten-
tionally—
(A) affixed a ‘‘Made in America’’ label, or a label with an inscription
having the same meaning, to goods sold in or shipped to the United
States that are used in a project to which this subsection applies but not
produced in the United States; or
(B) represented that goods described in clause (A) of this paragraph
were produced in the United States.
(6) The Secretary of Transportation may not impose any limitation on as-
sistance provided under this chapter that restricts a State from imposing
more stringent requirements than this subsection on the use of articles, mate-
rials, and supplies mined, produced, or manufactured in foreign countries in
projects carried out with that assistance or restricts a recipient of that assist-
ance from complying with those State-imposed requirements.
(7) Not later than January 1, 1995, the Secretary of Transportation shall
submit to Congress a report on purchases from foreign entities waived under
paragraph (2) of this subsection in the fiscal years ending September 30,
1992, and September 30, 1993. The report shall indicate the dollar value of
items for which waivers were granted.
(k) APPLICATION OF SECTION 135 OF TITLE 23.—The planning and pro-
gramming requirements of section 135 of title 23 apply to a grant made
under sections 5307–5311 of this title.
§ 5324. Limitations on discretionary and special needs
grants and loans
(a) RELOCATION PROGRAM REQUIREMENTS.—Financial assistance may be
provided under section 5309 of this title only if the Secretary of Transpor-
tation decides that—
(1) an adequate relocation program is being carried out for families
displaced by a project; and
(2) an equal number of decent, safe, and sanitary dwellings are being,
or will be, provided to those families in the same area or in another area
generally not less desirable for public utilities and public and commer-
cial facilities, at rents or prices within the financial means of those fam-
ilies, and with reasonable access to their places of employment.
(b) ECONOMIC, SOCIAL, AND ENVIRONMENTAL INTERESTS.—(1) In carrying
out section 5301(e) of this title, the Secretary of Transportation shall cooper-
ate and consult with the Secretaries of Agriculture, Health and Human Serv-
ices, Housing and Urban Development, and the Interior and the Council on
Environmental Quality on each project that may have a substantial impact
on the environment.
(2) In carrying out section 5309 of this title, the Secretary of Transpor-
tation shall review each transcript of a hearing submitted under section
5323(b) of this title to establish that an adequate opportunity to present views
was given to all parties with a significant economic, social, or environmental
interest and that the project application includes a statement on—
(A) the environmental impact of the proposal;
(B) adverse environmental effects that cannot be avoided;
(C) alternatives to the proposal; and
(D) irreversible and irretrievable impacts on the environment.
(3)(A) The Secretary of Transportation may approve an application for fi-
nancial assistance under section 5309 of this title only if the Secretary makes
written findings, after reviewing the application and any hearings held before
a State or local governmental authority under section 5323(b) of this title,
that—
(i) an adequate opportunity to present views was given to all parties
with a significant economic, social, or environmental interest;
(ii) the preservation and enhancement of the environment, and the in-
terest of the community in which a project is located, were considered;
and
(iii) no adverse environmental effect is likely to result from the project,
or no feasible and prudent alternative to the effect exists and all reason-
able steps have been taken to minimize the effect.
(B) If a hearing has not been conducted or the Secretary of Transportation
decides that the record of the hearing is inadequate for making the findings
required by this subsection, the Secretary shall conduct a hearing on an envi-
ronmental issue raised by the application after giving adequate notice to in-
terested persons.
(C) A finding of the Secretary of Transportation under subparagraph (A)
of this paragraph shall be made a matter of public record.
(c) PROHIBITIONS AGAINST REGULATING OPERATIONS AND CHARGES.—
The Secretary of Transportation may not regulate the operation of a mass
transportation system for which a grant is made under section 5309 of this
title and, after a grant is made, may not regulate any charge for the system.
However, the Secretary may require the local governmental authority, cor-
poration, or association to comply with any undertaking provided by it relat-
ed to its grant application.
§ 5325. Contract requirements
(a) NONCOMPETITIVE BIDDING.—A capital project or improvement contract
for which a grant or loan is made under this chapter, if the contract is not
made through competitive bidding, shall provide that records related to the
contract shall be made available to the Secretary of Transportation and the
Comptroller General, or an officer or employee of the Secretary or Comptroller
General, when conducting an audit and inspection.
(b) ACQUIRING ROLLING STOCK.—A recipient of financial assistance of the
United States Government under this chapter may make a contract to expend
that assistance to acquire rolling stock—
(1) based on—
(A) initial capital costs; or
(B) performance, standardization, life cycle costs, and other fac-
tors; or
(2) with a party selected through a competitive procurement process.
(c) PROCURING ASSOCIATED CAPITAL MAINTENANCE ITEMS.—A recipient
of a grant under section 5307 of this title procuring an associated capital
maintenance item under section 5307(b) may make a contract directly with
the original manufacturer or supplier of the item to be replaced, without re-
ceiving prior approval of the Secretary, if the recipient first certifies in writ-
ing to the Secretary that—
(1) the manufacturer or supplier is the only source for the item; and
(2) the price of the item is no more than the price similar customers
pay for the item.
(d) MANAGEMENT, ARCHITECTURAL, AND ENGINEERING CONTRACTS.—A
contract for program management, construction management, a feasibility
study, and preliminary engineering, design, architectural, engineering, sur-
veying, mapping, or related services for a project for which a grant or loan
is made under this chapter shall be awarded in the same way as a contract
for architectural and engineering services is negotiated under title IX of the
Federal Property and Administrative Services Act of 1949 (40 U.S.C. 541 et
seq.) or an equivalent qualifications-based requirement of a State. This sub-
section does not apply to the extent a State has adopted or adopts by law
a formal procedure for procuring those services.
§ 5326. Special procurements
(a) TURNKEY SYSTEM PROJECTS.—(1) In this subsection, ‘‘turnkey system
project’’ means a project under which a recipient makes a contract with a
seller, firm, or consortium of firms to construct a mass transportation system
that meets specific performance criteria and that the seller operates for a pe-
riod of time.
(2) To advance new technologies and lower the cost of a capital project for
a new mass transportation system, the Secretary of Transportation shall
allow solicitation for a turnkey system project to be financed under this chap-
ter to be awarded conditionally before United States Government requirements
have been met on the project if the award is made without prejudice to carry-
ing out those requirements. Government financial assistance under this chap-
ter may be made available for the project after the recipient complies with
Government requirements.
(3) To develop regulations applying generally to turnkey system projects,
the Secretary may approve at least 2 projects for an initial demonstration
phase. The results of the demonstration projects (and other projects using this
procurement method on December 18, 1991) shall be considered in developing
guidelines to carry out this subsection.
(b) MULTIYEAR ROLLING STOCK.—(1) A recipient procuring rolling stock
with Government financial assistance under this chapter may make a
multiyear contract to buy the rolling stock and replacement parts under
which the recipient has an option to buy additional rolling stock or replace-
ment parts for not more than 5 years after the date of the original contract.
(2) The Secretary shall allow at least 2 recipients to act on a cooperative
basis to procure rolling stock in compliance with this subsection and other
Government procurement requirements.
(c) EFFICIENT PROCUREMENT.—A recipient may award a procurement
contract under this chapter to other than the lowest bidder when the award
furthers an objective consistent with the purposes of this chapter, including
improved long-term operating efficiency and lower long-term costs. Not later
than March 17, 1992, the Secretary shall—
(1) make appropriate changes in existing procedures to make the pol-
icy stated in this subsection readily practicable for all mass transpor-
tation authorities; and
(2) prescribe guidance that clarifies and carries out the policy.
§ 5327. Project management oversight
(a) PROJECT MANAGEMENT PLAN REQUIREMENTS.—To receive United
States Government financial assistance for a major capital project under this
chapter or the National Capital Transportation Act of 1969 (Public Law 91–
143, 83 Stat. 320), a recipient must prepare and carry out a project manage-
ment plan approved by the Secretary of Transportation. The plan shall pro-
vide for—
(1) adequate recipient staff organization with well-defined reporting
relationships, statements of functional responsibilities, job descriptions,
and job qualifications;
(2) a budget covering the project management organization, appro-
priate consultants, property acquisition, utility relocation, systems dem-
onstration staff, audits, and miscellaneous payments the recipient may
be prepared to justify;
(3) a construction schedule for the project;
(4) a document control procedure and recordkeeping system;
(5) a change order procedure that includes a documented, systematic
approach to the handling of construction change orders;
(6) organizational structures, management skills, and staffing levels
required throughout the construction phase;
(7) quality control and quality assurance functions, procedures, and
responsibilities for construction, system installation, and integration of
system components;
(8) material testing policies and procedures;
100
(9) internal plan implementation and reporting requirements;
(10) criteria and procedures to be used for testing the operational sys-
tem or its major components;
(11) periodic updates of the plan, especially related to project budget
and project schedule, financing, ridership estimates, and the status of
local efforts to enhance ridership where ridership estimates partly depend
on the success of those efforts; and
(12) the recipient’s commitment to submit a project budget and project
schedule to the Secretary each month.
(b) PLAN APPROVAL.—(1) The Secretary shall approve a plan not later
than 60 days after it is submitted. If the approval cannot be completed within
60 days, the Secretary shall notify the recipient, explain the reasons for the
delay, and estimate the additional time that will be required.
(2) The Secretary shall inform the recipient of the reasons when a plan
is disapproved.
(c) LIMITATIONS ON USE OF AVAILABLE AMOUNTS.—(1) The Secretary
may use not more than .5 percent of amounts made available for a fiscal year
to carry out section 5307, 5309, or 5311 of this title, an interstate transfer
mass transportation project under section 103(e)(4) of title 23 as in effect on
September 30, 1991, or a project under the National Capital Transportation
Act of 1969 (Public Law 91–143, 83 Stat. 320) to make a contract to oversee
the construction of a major project under section 5307, 5309, 5311, or
103(e)(4) of that Act. The Secretary may use when necessary not more than
an additional .25 percent of amounts made available in a fiscal year to carry
out a major project under section 5307 to make a contract to oversee the con-
struction of the project.
(2) The Secretary may use amounts available under paragraph (1) of this
subsection to make contracts for safety, procurement, management, and finan-
cial compliance reviews and audits of a recipient of amounts under para-
graph (1). Subsections (a), (b), and (e) of this section do not apply to con-
tracts under this paragraph.
(3) The Government shall pay the entire cost of carrying out a contract
under this subsection.
(d) ACCESS TO SITES AND RECORDS.—Each recipient of assistance under
this chapter or section 14(b) of the National Capital Transportation Act of
1969 (Public Law 91–143, 83 Stat. 320), as added by section 2 of the Na-
tional Capital Transportation Amendments of 1979 (Public Law 96–184, 93
Stat. 1320), shall provide the Secretary and a contractor the Secretary chooses
under subsection (c) of this section with access to the construction sites and
records of the recipient when reasonably necessary.
101
(e) REGULATIONS.—The Secretary shall prescribe regulations necessary to
carry out this section. The regulations shall include—
(1) a definition of ‘‘major capital project’’ for subsection (c) of this
section that excludes a project to acquire rolling stock or to maintain or
rehabilitate a vehicle; and
(2) a requirement that oversight begin during the preliminary engi-
neering stage of a project, unless the Secretary finds it more appropriate
to begin the oversight during another stage of the project, to maximize
the transportation benefits and cost savings associated with project man-
agement oversight.
§ 5328. Project review
(a) SCHEDULE.—(1) When the Secretary of Transportation allows a new
fixed guideway project to advance into the alternatives analysis stage of
project review, the Secretary shall cooperate with the applicant in alternatives
analysis and in preparing a draft environmental impact statement and shall
approve the draft for circulation not later than 45 days after the applicant
submits the draft to the Secretary.
(2) After the draft is circulated and not later than 30 days after the appli-
cant selects a locally preferred alternative, the Secretary shall allow the
project to advance to the preliminary engineering stage if the Secretary finds
the project is consistent with section 5309(e)(1)–(6) of this title.
(3) The Secretary shall issue a record of decision and allow a project to
advance to the final design stage of construction not later than 120 days after
the final environmental impact statement for the project is completed.
(4) The Secretary shall make a full financing grant agreement under sec-
tion 5309 of this title for a project not later than 120 days after the project
enters the final design stage of construction. The agreement shall provide for
a United States Government share of the construction cost at least equal to
the Government share estimated in the Secretary’s most recent report required
under section 5309(m)(2) of this title or an update of the report unless the
applicant requests otherwise.
(b) ALLOWED DELAYS.—(1) Advancement of a project under the time re-
quirements of subsection (a) of this section may be delayed only—
(A) for the time the applicant may request; or
(B) during the time the Secretary finds, after reasonable notice and
an opportunity for comment, that the applicant, for reasons attributable
only to the applicant, has not complied substantially with the provisions
of this chapter applicable to the project.
(2) Not more than 10 days after imposing a delay under paragraph (1)(B)
of this subsection, the Secretary shall give the applicant a written statement
102
explaining the reasons for the delay and describing actions the applicant must
take to end the delay.
(3) At least once every 6 months, the Secretary shall report to the Commit-
tee on Public Works and Transportation of the House of Representatives and
the Committee on Banking, Housing, and Urban Affairs of the Senate on each
situation in which the Secretary has not met a time requirement of subsection
(a) of this section or delayed a time requirement under paragraph (1)(B) of
this subsection. The report shall explain the reasons for the delay and include
a plan for achieving timely completion of the Secretary’s review.
(c) PROGRAM OF INTERRELATED PROJECTS.—(1) In this subsection, a pro-
gram of interrelated projects includes the following:
(A) the New Jersey Urban Core Project (as defined in title III of the
Intermodal Surface Transportation Efficiency Act of 1991 (Public Law
102–240, 105 Stat. 2087)).
(B) the San Francisco Bay Area Rail Extension Program, consisting
of at least an extension of the San Francisco Bay Area Rapid Transit
District to the San Francisco International Airport (Phase 1a to Colma
and Phase 1b to San Francisco Airport), the Santa Clara County Tran-
sit District Tasman Corridor Project, a program element designated by
a change to the Metropolitan Transportation Commission Resolution No.
1876, and a program element financed completely with non-Government
amounts, including the BART Warm Springs Extension, Dublin Exten-
sion, and West Pittsburg Extension.
(C) the Los Angeles Metro Rail Minimum Operable Segment-3 Pro-
gram, consisting of 7 stations and approximately 11.6 miles of heavy
rail subway on the following lines:
(i) one line running west and northwest from the Hollywood/Vine
station to the North Hollywood station, with 2 intermediate sta-
tions.
(ii) one line running west from the Wilshire/Western station to
the Pico/San Vicente station, with one intermediate station.
(iii) the East Side Extension, consisting of an initial line of ap-
proximately 3 miles, with at least 2 stations, beginning at Union
Station and running generally east.
(D) the Baltimore-Washington Transportation Improvement Program,
consisting of 3 extensions of the Baltimore Light Rail to Hunt Valley,
Penn Station, and Baltimore-Washington Airport, MARC extensions to
Frederick and Waldorf, Maryland, and an extension of the Washington
Subway system to Largo, Maryland.
(E) the Tri-County Metropolitan Transportation District of Oregon
Westside Light Rail Program, consisting of the locally preferred alter-
103
native for the Westside Light Rail Project, including system related costs,
contained in the Department of Transportation and Related Agencies
Appropriations Act, 1991 (Public Law 101–516, 104 Stat. 2155), and
defined in House Report 101–584, and the Hillsboro extension to the
Westside Light Rail Project contained in that Act.
(F) the Queens Local/Express Connector Program, consisting of the lo-
cally preferred alternative for the connection of the 63d Street tunnel ex-
tension to the Queens Boulevard lines, the bell-mouth part of the connec-
tor that will allow for future access by commuter rail trains and other
subway lines to the 63d Street tunnel extension, planning elements for
connecting the upper and lower levels to commuter and subway lines in
Long Island City, and planning elements for providing a connector for
commuter rail transportation to the East side of Manhattan and subway
lines to the proposed Second Avenue subway.
(G) the Dallas Area Rapid Transit Authority light rail elements of
the New System Plan, consisting of the locally preferred alternative for
the South Oak Cliff corridor, the South Oak Cliff corridor extension-
Camp Wisdom, the West Oak Cliff corridor-Westmoreland, the North
Central corridor-Park Lane, the North Central corridor-Richardson,
Plano, and Garland extensions, the Pleasant Grove corridor-Buckner,
and the Carrollton corridors-Farmers Branch and Las Colinas terminal.
(H) other programs designated by law or the Secretary.
(2) Consistent with the time requirements of subsection (a) of this section
or as otherwise provided by law, the Secretary shall make at least one full
financing grant agreement for each program described in paragraph (1) of
this subsection. The agreement shall include commitments to advance each of
the applicant’s program elements (in the program of interrelated projects)
through the appropriate program review stages as provided in subsection (a)
or as otherwise provided by law and to provide Government financing for
each element. The agreement may be changed to include design and construc-
tion of a particular element.
(3) When reviewing a project in a program of interrelated projects, the Sec-
retary shall consider the local financial commitment, transportation effective-
ness, and other assessment factors of all program elements to the extent con-
sideration expedites carrying out the project.
(4) Including a program element not financed by the Government in a pro-
gram of interrelated projects does not impose Government requirements that
otherwise would not apply to the element.
§ 5329. Investigation of safety hazards
(a) GENERAL.—The Secretary of Transportation may investigate a condi-
tion in equipment, a facility, or an operation financed under this chapter
104
that the Secretary believes causes a serious hazard of death or injury to estab-
lish the nature and extent of the condition and how to eliminate or correct
it. If the Secretary establishes that a condition causes a hazard, the Secretary
shall require the local governmental authority receiving amounts under this
chapter to submit a plan for correcting it. The Secretary may withhold fur-
ther financial assistance under this chapter until a plan is approved and car-
ried out.
(b) REPORT.—Not later than June 15, 1992, the Secretary shall submit to
Congress a report containing—
(1) a description of actions taken to identify and investigate condi-
tions in a facility, equipment, or way of operating as part of the find-
ings and decisions required of the Secretary in providing a grant or loan
under this chapter;
(2) a description of actions of the Secretary to correct or eliminate,
as a requirement for making an amount available through a grant or
loan under this chapter, a condition found to create a serious hazard of
death or injury;
(3) a summary of all passenger-related deaths and injuries resulting
from an unsafe condition in a facility, equipment, or way of operating
a facility or equipment at least partly financed under this chapter;
(4) a summary of all employee-related deaths and injuries resulting
from an unsafe condition in a facility, equipment, or way of operating
a facility or equipment at least partly financed under this chapter;
(5) a summary of action of the Secretary to correct or eliminate the
unsafe condition to which the deaths and injuries referred to in clauses
(3) and (4) of this subsection were attributed;
(6) a summary of actions of the Secretary to alert mass transportation
operators of the nature of the unsafe condition found to create a serious
hazard of death or injury; and
(7) recommendations of the Secretary to Congress of any legislative or
administrative actions necessary to ensure that all recipients of amounts
under this chapter will undertake the best way available to correct or
eliminate hazards of death or injury, including—
(A) a timetable for undertaking actions;
(B) an estimate of the capital and operating cost to take the ac-
tions; and
(C) minimum standards for establishing and carrying out safety
plans by recipients of amounts under this chapter.
105
§ 5330. Withholding amounts for noncompliance with safety
requirements
(a) APPLICATION.—This section applies only to States that have rail fixed
guideway mass transportation systems not subject to regulation by the Fed-
eral Railroad Administration.
(b) GENERAL AUTHORITY.—The Secretary of Transportation may withhold
not more than 5 percent of the amount required to be appropriated for use
in a State or urbanized area in the State under section 5307 of this title for
a fiscal year beginning after September 30, 1994, if the State in the prior
fiscal year has not met the requirements of subsection (c) of this section and
the Secretary decides the State is not making an adequate effort to comply
with subsection (c).
(c) STATE REQUIREMENTS.—A State meets the requirements of this section
if the State—
(1) establishes and is carrying out a safety program plan for each
fixed guideway mass transportation system in the State that establishes
at least safety requirements, lines of authority, levels of responsibility
and accountability, and methods of documentation for the system; and
(2) designates a State authority as having responsibility—
(A) to require, review, approve, and monitor the carrying out of
each plan;
(B) to investigate hazardous conditions and accidents on the sys-
tems; and
(C) to require corrective action to correct or eliminate those con-
ditions.
(d) MULTISTATE INVOLVEMENT.—When more than one State is subject to
this section in connection with a single mass transportation authority, the
affected States may designate an entity (except the mass transportation au-
thority) to ensure uniform safety standards and enforcement and to meet the
requirements of subsection (c) of this section.
(e) AVAILABILITY
OF WITHHELD AMOUNTS.—(1) An amount withheld
under subsection (b) of this section remains available for apportionment for
use in the State until the end of the 2d fiscal year after the fiscal year for
which the amount may be appropriated.
(2) If a State meets the requirements of subsection (c) of this section before
the last day of the period for which an amount withheld under subsection (b)
of this section remains available under paragraph (1) of this subsection, the
Secretary, on the first day on which the State meets the requirements, shall
apportion to the State the amount withheld that remains available for appor-
tionment for use in the State. An amount apportioned under this paragraph
remains available until the end of the 3d fiscal year after the fiscal year in
106
which the amount is apportioned. An amount not obligated at the end of the
3-year period shall be apportioned for use in other States under section 5336
of this title.
(3) If a State does not meet the requirements of subsection (c) of this section
at the end of the period for which an amount withheld under subsection (b)
of this section remains available under paragraph (1) of this subsection, the
amount shall be apportioned for use in other States under section 5336 of this
title.
(f) REGULATIONS.—Not later than December 18, 1992, the Secretary shall
prescribe regulations stating the requirements for complying with subsection
(c) of this section.
§ 5331. Alcohol and controlled substances testing
(a) DEFINITIONS.—In this section—
(1) ‘‘controlled substance’’ means any substance under section 102 of
the Comprehensive Drug Abuse Prevention and Control Act of 1970 (21
U.S.C. 802) whose use the Secretary of Transportation decides has a risk
to transportation safety.
(2) ‘‘person’’ includes any entity organized or existing under the laws
of the United States, a State, territory, or possession of the United
States, or a foreign country.
(3) ‘‘mass transportation’’ means any form of mass transportation, ex-
cept a form the Secretary decides is covered adequately, for employee al-
cohol and controlled substances testing purposes, under subchapter III of
chapter 201 or section 31306 of this title.
(b) TESTING PROGRAM FOR MASS TRANSPORTATION EMPLOYEES.—(1)(A)
In the interest of mass transportation safety, the Secretary of Transportation
shall prescribe regulations not later than October 28, 1992, that establish a
program requiring mass transportation operations that receive financial as-
sistance under section 5307, 5309, or 5311 of this title or section 103(e)(4)
of title 23 to conduct preemployment, reasonable suspicion, random, and post-
accident testing of mass transportation employees responsible for safety-sen-
sitive functions (as decided by the Secretary) for the use of alcohol or a con-
trolled substance in violation of law or a United States Government regula-
tion.
(B) When the Secretary of Transportation considers it appropriate in the
interest of safety, the Secretary may prescribe regulations for conducting peri-
odic recurring testing of mass transportation employees responsible for safety-
sensitive functions (as decided by the Secretary) for the use of alcohol or a
controlled substance in violation of law or a Government regulation.
(2) In prescribing regulations under this subsection, the Secretary of Trans-
portation—
107
(A) shall require that post-accident testing of such a mass transpor-
tation employee be conducted when loss of human life occurs in an acci-
dent involving mass transportation; and
(B) may require that post-accident testing of such a mass transpor-
tation employee be conducted when bodily injury or significant property
damage occurs in any other serious accident involving mass transpor-
tation.
(c) DISQUALIFICATIONS FOR USE.—(1) When the Secretary of Transpor-
tation considers it appropriate, the Secretary shall require disqualification for
an established period of time or dismissal of any employee referred to in sub-
section (b)(1) of this section who is found—
(A) to have used or been impaired by alcohol when on duty; or
(B) to have used a controlled substance, whether or not on duty, except
as allowed for medical purposes by law or regulation.
(2) This section does not supersede any penalty applicable to a mass trans-
portation employee under another law.
(d) TESTING AND LABORATORY REQUIREMENTS.—In carrying out sub-
section (b) of this section, the Secretary of Transportation shall develop re-
quirements that shall—
(1) promote, to the maximum extent practicable, individual privacy
in the collection of specimens;
(2) for laboratories and testing procedures for controlled substances,
incorporate the Department of Health and Human Services scientific
and technical guidelines dated April 11, 1988, and any amendments to
those guidelines, including mandatory guidelines establishing—
(A) comprehensive standards for every aspect of laboratory con-
trolled substances testing and laboratory procedures to be applied in
carrying out this section, including standards requiring the use of
the best available technology to ensure the complete reliability and
accuracy of controlled substances tests and strict procedures govern-
ing the chain of custody of specimens collected for controlled sub-
stances testing;
(B) the minimum list of controlled substances for which individ-
uals may be tested; and
(C) appropriate standards and procedures for periodic review of
laboratories and criteria for certification and revocation of certifi-
cation of laboratories to perform controlled substances testing in
carrying out this section;
(3) require that a laboratory involved in controlled substances testing
under this section have the capability and facility, at the laboratory, of
performing screening and confirmation tests;
108
(4) provide that all tests indicating the use of alcohol or a controlled
substance in violation of law or a Government regulation be confirmed
by a scientifically recognized method of testing capable of providing
quantitative information about alcohol or a controlled substance;
(5) provide that each specimen be subdivided, secured, and labeled in
the presence of the tested individual and that a part of the specimen be
retained in a secure manner to prevent the possibility of tampering, so
that if the individual’s confirmation test results are positive the individ-
ual has an opportunity to have the retained part tested by a 2d con-
firmation test done independently at another certified laboratory if the
individual requests the 2d confirmation test not later than 3 days after
being advised of the results of the first confirmation test;
(6) ensure appropriate safeguards for testing to detect and quantify
alcohol in breath and body fluid samples, including urine and blood,
through the development of regulations that may be necessary and in
consultation with the Secretary of Health and Human Services;
(7) provide for the confidentiality of test results and medical informa-
tion (except information about alcohol or a controlled substance) of em-
ployees, except that this clause does not prevent the use of test results for
the orderly imposition of appropriate sanctions under this section; and
(8) ensure that employees are selected for tests by nondiscriminatory
and impartial methods, so that no employee is harassed by being treated
differently from other employees in similar circumstances.
(e) REHABILITATION.—The Secretary of Transportation shall prescribe reg-
ulations establishing requirements for rehabilitation programs that provide
for the identification and opportunity for treatment of any mass transpor-
tation employee referred to in subsection (b)(1) of this section who is found
to have used alcohol or a controlled substance in violation of law or a Govern-
ment regulation. The Secretary shall decide on the circumstances under which
employees shall be required to participate in a program. This subsection does
not prevent a mass transportation operation from establishing a program
under this section in cooperation with another mass transportation operation.
(f) RELATIONSHIP TO OTHER LAWS, REGULATIONS, STANDARDS, AND OR-
DERS.—(1) A State or local government may not prescribe, issue, or continue
in effect a law, regulation, standard, or order that is inconsistent with regula-
tions prescribed under this section. However, a regulation prescribed under
this section does not preempt a State criminal law that imposes sanctions for
reckless conduct leading to loss of life, injury, or damage to property.
(2) In prescribing regulations under this section, the Secretary of Trans-
portation—
109
(A) shall establish only requirements that are consistent with inter-
national obligations of the United States; and
(B) shall consider applicable laws and regulations of foreign countries.
(3) This section does not prevent the Secretary of Transportation from con-
tinuing in effect, amending, or further supplementing a regulation prescribed
before October 28, 1991, governing the use of alcohol or a controlled substance
by mass transportation employees.
(g) INELIGIBILITY FOR ASSISTANCE.—A person is not eligible for financial
assistance under section 5307, 5309, or 5311 of this title or section 103(e)(4)
of title 23 if the person is required, under regulations the Secretary of Trans-
portation prescribes under this section, to establish a program of alcohol and
controlled substances testing and does not establish the program.
§ 5332. Nondiscrimination
(a) DEFINITION.—In this section, ‘‘person’’ includes a governmental au-
thority, political subdivision, authority, legal representative, trust, unincor-
porated organization, trustee, trustee in bankruptcy, and receiver.
(b) PROHIBITIONS.—A person may not be excluded from participating in,
denied a benefit of, or discriminated against under, a project, program, or
activity receiving financial assistance under this chapter because of race,
color, creed, national origin, sex, or age.
(c) COMPLIANCE.—(1) The Secretary of Transportation shall take affirma-
tive action to ensure compliance with subsection (b) of this section.
(2) When the Secretary decides that a person receiving financial assistance
under this chapter is not complying with subsection (b) of this section, a civil
rights law of the United States, or a regulation or order under that law, the
Secretary shall notify the person of the decision and require action be taken
to ensure compliance with subsection (b).
(d) AUTHORITY OF SECRETARY FOR NONCOMPLIANCE.—If a person does
not comply with subsection (b) of this section within a reasonable time after
receiving notice, the Secretary shall—
(1) direct that no further financial assistance of the United States
Government under this chapter be provided to the person;
(2) refer the matter to the Attorney General with a recommendation
that a civil action be brought;
(3) proceed under title VI of the Civil Rights Act of 1964 (42 U.S.C.
2000d et seq.); and
(4) take any other action provided by law.
(e) CIVIL ACTIONS BY ATTORNEY GENERAL.—The Attorney General may
bring a civil action for appropriate relief when—
(1) a matter is referred to the Attorney General under subsection
(d)(2) of this section; or
110
(2) the Attorney General believes a person is engaged in a pattern or
practice in violation of this section.
(f) APPLICATION AND RELATIONSHIP TO OTHER LAWS.—This section ap-
plies to an employment or business opportunity and is in addition to title
VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et seq.).
§ 5333. Labor standards
(a) PREVAILING WAGES REQUIREMENT.—The Secretary of Transportation
shall ensure that laborers and mechanics employed by contractors and sub-
contractors in construction work financed with a grant or loan under this
chapter be paid wages not less than those prevailing on similar construction
in the locality, as determined by the Secretary of Labor under the Act of
March 3, 1931 (known as the Davis-Bacon Act) (40 U.S.C. 276a—276a–5).
The Secretary of Transportation may approve a grant or loan only after
being assured that required labor standards will be maintained on the con-
struction work. For a labor standard under this subsection, the Secretary of
Labor has the same duties and powers stated in Reorganization Plan No. 14
of 1950 (eff. May 24, 1950, 64 Stat. 1267) and section 2 of the Act of June
13, 1934 (40 U.S.C. 276c).
(b) EMPLOYEE PROTECTIVE ARRANGEMENTS.—(1) As a condition of finan-
cial assistance under sections 5307–5312, 5318(d), 5323(a)(1), (b), (d), and
(e), 5328, 5337, and 5338(j)(5) of this title, the interests of employees affected
by the assistance shall be protected under arrangements the Secretary of
Labor concludes are fair and equitable. The agreement granting the assistance
under sections 5307–5312, 5318(d), 5323(a)(1), (b), (d), and (e), 5328, 5337,
and 5338(j)(5) shall specify the arrangements.
(2) Arrangements under this subsection shall include—
(A) the preservation of rights, privileges, and benefits (including con-
tinuation of pension rights and benefits) under existing collective bar-
gaining agreements or otherwise;
(B) the continuation of collective bargaining rights;
(C) the protection of employees against a worsening of their positions
related to employment;
(D) assurances of employment to employees of acquired mass transpor-
tation systems;
(E) assurances of priority of reemployment of employees whose em-
ployment is ended or who are laid off; and
(F) paid training or retraining programs.
(3) Arrangements under this subsection shall provide benefits at least equal
to benefits established under section 11347 of this title.
111
§ 5334. Administrative
(a) GENERAL AUTHORITY.—In carrying out this chapter, the Secretary of
Transportation may—
(1) prescribe terms for a project under sections 5307 and 5309–5311
of this title (except terms the Secretary of Labor prescribes under section
5333(b) of this title);
(2) sue and be sued;
(3) foreclose on property or bring a civil action to protect or enforce
a right conferred on the Secretary of Transportation by law or agree-
ment;
(4) buy property related to a loan under this chapter;
(5) agree to pay an annual amount in place of a State or local tax
on real property acquired or owned under this chapter;
(6) sell, exchange, or lease property, a security, or an obligation;
(7) obtain loss insurance for property and assets the Secretary of
Transportation holds;
(8) consent to a modification in an agreement under this chapter; and
(9) include in an agreement or instrument under this chapter a cov-
enant or term the Secretary of Transportation considers necessary to
carry out this chapter.
(b) PROCEDURES FOR PRESCRIBING REGULATIONS.—(1) The Secretary of
Transportation shall prepare an agenda listing all areas in which the Sec-
retary intends to propose regulations governing activities under this chapter
within the following 12 months. The Secretary shall publish the proposed
agenda in the Federal Register as part of the Secretary’s semiannual regu-
latory agenda that lists regulatory activities of the Federal Transit Adminis-
tration. The Secretary shall submit the agenda to the Committees on Public
Works and Transportation and Appropriations of the House of Representa-
tives and the Committees on Banking, Housing, and Urban Affairs and Ap-
propriations of the Senate on the day the agenda is published.
(2) Except for emergency regulations, the Secretary of Transportation shall
give interested parties at least 60 days to participate in a regulatory proceed-
ing under this chapter by submitting written information, views, or argu-
ments, with or without an oral presentation, except when the Secretary for
good cause finds that public notice and comment are unnecessary because of
the routine nature or insignificant impact of the regulation or that an emer-
gency regulation should be issued. The Secretary may extend the 60-day pe-
riod if the Secretary decides the period is insufficient to allow diligent indi-
viduals to prepare comments or that other circumstances justify an extension.
(3) An emergency regulation ends 120 days after it is issued.
112
(4) The Secretary of Transportation shall comply with this section (except
subsections (h) and (i)) and sections 5323(a)(2), (c) and (e), 5324(c), and
5325 of this title when proposing or carrying out a regulation governing an
activity under this chapter, except for a routine matter or a matter with no
significant impact.
(c) BUDGET PROGRAM AND SET OF ACCOUNTS.—The Secretary of Trans-
portation shall—
(1) submit each year a budget program as provided in section 9103
of title 31; and
(2) maintain a set of accounts the Comptroller General shall audit
under chapter 35 of title 31.
(d) DEPOSITORY
AND AVAILABILITY
OF AMOUNTS.—The Secretary of
Transportation shall deposit amounts made available to the Secretary under
this chapter in a checking account in the Treasury. Receipts, assets, and
amounts obtained or held by the Secretary to carry out this chapter are avail-
able for administrative expenses to carry out this chapter.
(e) BINDING EFFECT OF FINANCIAL TRANSACTION.—A financial trans-
action of the Secretary of Transportation under this chapter and a related
voucher are binding on all officers and employees of the United States Gov-
ernment.
(f) DEALING WITH ACQUIRED PROPERTY.—Notwithstanding another law
related to the Government acquiring, using, or disposing of real property, the
Secretary of Transportation may deal with property acquired under sub-
section (a)(3) or (4) of this section in any way. However, this subsection does
not—
(1) deprive a State or political subdivision of a State of jurisdiction
of the property; or
(2) impair the civil rights, under the laws of a State or political sub-
division of a State, of an inhabitant of the property.
(g) TRANSFER OF ASSETS NO LONGER NEEDED.—(1) If a recipient of as-
sistance under this chapter decides an asset acquired under this chapter at
least in part with that assistance is no longer needed for the purpose for
which it was acquired, the Secretary of Transportation may authorize the re-
cipient to transfer the asset to a local governmental authority to be used for
a public purpose with no further obligation to the Government. The Secretary
may authorize a transfer for a public purpose other than mass transportation
only if the Secretary decides—
(A) the asset will remain in public use for at least 5 years after the
date the asset is transferred;
(B) there is no purpose eligible for assistance under this chapter for
which the asset should be used;
113
(C) the overall benefit of allowing the transfer is greater than the in-
terest of the Government in liquidation and return of the financial inter-
est of the Government in the asset, after considering fair market value
and other factors; and
(D) through an appropriate screening or survey process, that there is
no interest in acquiring the asset for Government use if the asset is a
facility or land.
(2) A decision under paragraph (1) of this section must be in writing and
include the reason for the decision.
(3) This subsection is in addition to another law related to using and dis-
posing of a facility or equipment under an assistance agreement.
(h) TRANSFER OF AMOUNTS AND NON-GOVERNMENT SHARE.—(1) Amounts
made available for a mass transportation project under title 23 shall be trans-
ferred to and administered by the Secretary of Transportation under this
chapter. Amounts made available for a highway project under this chapter
shall be transferred to and administered by the Secretary under title 23.
(2) The provisions of title 23 related to the non-Government share apply
to amounts under title 23 used for mass transportation projects. The provi-
sions of this chapter related to the non-Government share apply to amounts
under this chapter used for highway projects.
(i) AUTHORITY OF SECRETARY OF HOUSING AND URBAN DEVELOPMENT.—
The Secretary of Housing and Urban Development shall—
(1) carry out section 5312(a) and (b)(1) of this title related to—
(A) urban transportation systems and planned development of
urban areas; and
(B) the role of transportation planning in overall urban plan-
ning; and
(2) advise and assist the Secretary of Transportation in making find-
ings under section 5323(a)(1)(A) of this title.
(j) RELATIONSHIP TO OTHER LAWS.—(1) Section 9107(a) of title 31 ap-
plies to the Secretary of Transportation under this chapter.
(2) Section 3709 of the Revised Statutes (41 U.S.C. 5) applies to a contract
for more than $1,000 for services or supplies related to property acquired
under this chapter.
§ 5335. Reports and audits
(a) REPORTING SYSTEM
AND UNIFORM SYSTEM
OF ACCOUNTS
AND
RECORDS.—(1) To help meet the needs of individual mass transportation sys-
tems, the United States Government, State and local governments, and the
public for information on which to base mass transportation service planning,
the Secretary of Transportation shall maintain a reporting system, by uni-
form categories, to accumulate mass transportation financial and operating
114
information and a uniform system of accounts and records. The reporting and
uniform systems shall contain appropriate information to help any level of
government make a public sector investment decision. The Secretary may re-
quest and receive appropriate information from any source.
(2) The Secretary may make a grant under section 5307 of this title only
if the applicant, and any person that will receive benefits directly from the
grant, are subject to the reporting and uniform systems.
(b) QUARTERLY REPORTS.—Not later than 30 days after the last day of
each calendar quarter, the Secretary shall submit to the Committees on Public
Works and Transportation and Appropriations of the House of Representa-
tives and the Committees on Banking, Housing, and Urban Affairs and Ap-
propriations of the Senate a report on—
(1) obligations by State, designated recipient, and applicant made
under this chapter during the quarter;
(2) the balance of unobligated apportionments under this chapter on
the last day of the quarter;
(3) the balance of unobligated amounts under this chapter on the last
day of the quarter that the Secretary may expend;
(4) letters of intent issued during the quarter;
(5) letters of intent outstanding on the last day of the quarter; and
(6) grant contracts executed and reimbursement authority established
for amounts obligated for each State, designated recipient, and appli-
cant.
(c) BIENNIAL NEEDS REPORT.—In January 1993 and in January of every
2d year after 1993, the Comptroller General shall submit to the Committee
on Public Works and Transportation of the House of Representatives and the
Committee on Banking, Housing, and Urban Affairs of the Senate a report
containing an evaluation of the extent to which current mass transportation
needs are addressed adequately and an estimate of the future mass transpor-
tation needs of the United States, including mass transportation needs in
rural areas (particularly access to health care facilities). The report shall in-
clude—
(1) an assessment of needs related to rail modernization, guideway
modernization, replacing, rehabilitating, and buying buses and related
equipment, constructing bus related facilities, and constructing new fixed
guideway systems and extensions to existing fixed guideway systems;
(2) a 5-year projection of maintenance and modernization needs re-
sulting from aging of existing equipment and facilities, including the
need to overhaul or replace existing bus fleets and rolling stock used on
fixed guideway systems;
115
(3) a 5-year projection of the need to invest in the expansion of exist-
ing mass transportation systems to meet changing economic, commuter,
and residential patterns;
(4) an estimate of the level of expenditure needed to satisfy the needs
identified in clauses (1)–(3) of this paragraph;
(5) an examination of existing Government, State, local, and private
resources that are or reasonably can be expected to be made available to
support public mass transportation; and
(6) the gap between the level of expenditure estimated under clause (4)
of this paragraph and the level of resources identified under clause (5)
of this paragraph that are available to meet the needs.
(d) BIENNIAL TRANSFERABILITY REPORT.—In January 1993 and in Janu-
ary of every 2d year after 1993, the Comptroller General shall submit to the
Committee on Public Works and Transportation of the House of Representa-
tives and the Committee on Banking, Housing, and Urban Affairs of the Sen-
ate a report on carrying out section 5307(b)(5) of this title. The report
shall—
(1) identify, by State, the amount of mass transportation money
transferred for non-mass transportation purposes under section
5307(b)(5) of this title during the prior fiscal year;
(2) include an assessment of the impact of the transfers on the mass
transportation needs of individuals and communities in the State, in-
cluding the impact on—
(A) the State’s ability to meet the mass transportation needs of
elderly individuals and individuals with disabilities;
(B) efforts to meet the objectives of the Clean Air Act (42 U.S.C.
7401 et seq.) and the Americans With Disabilities Act of 1990 (42
U.S.C. 12101 et seq.); and
(C) the State’s efforts to extend public mass transportation serv-
ices to unserved rural areas; and
(3) examine the relative levels of Government mass transportation as-
sistance and services in urban and rural areas in the fiscal year that
ended September 30, 1991, and the extent to which the assistance and
service has changed in later fiscal years because of mass transportation
resources made available under this chapter and the Intermodal Surface
Transportation Efficiency Act of 1991 (Public Law 102–240, 105 Stat.
1914).
§ 5336. Apportionment of appropriations for block grants
(a) BASED
ON URBANIZED AREA POPULATION.—Of the amount made
available or appropriated under section 5338(f) of this title—
116
(1) 9.32 percent shall be apportioned each fiscal year only in urban-
ized areas with a population of less than 200,000 so that each of those
areas is entitled to receive an amount equal to—
(A) 50 percent of the total amount apportioned multiplied by a
ratio equal to the population of the area divided by the total popu-
lation of all urbanized areas with populations of less than 200,000
as shown in the latest United States Government census; and
(B) 50 percent of the total amount apportioned multiplied by a
ratio for the area based on population weighted by a factor, estab-
lished by the Secretary of Transportation, of the number of inhab-
itants in each square mile; and
(2) 90.68 percent shall be apportioned each fiscal year only in urban-
ized areas with populations of at least 200,000 as provided in subsections
(b) and (c) of this section.
(b) BASED
ON FIXED GUIDEWAY REVENUE VEHICLE-MILES, ROUTE-
MILES, AND PASSENGER-MILES.—(1) In this subsection, ‘‘fixed guideway rev-
enue vehicle-miles’’ and ‘‘fixed guideway route-miles’’ include ferry boat oper-
ations directly or under contract by the designated recipient.
(2) Of the amount apportioned under subsection (a)(2) of this section,
33.29 percent shall be apportioned as follows:
(A) 95.61 percent of the total amount apportioned under this sub-
section shall be apportioned so that each urbanized area with a popu-
lation of at least 200,000 is entitled to receive an amount equal to—
(i) 60 percent of the 95.61 percent apportioned under this sub-
paragraph multiplied by a ratio equal to the number of fixed guide-
way revenue vehicle-miles attributable to the area, as established by
the Secretary of Transportation, divided by the total number of all
fixed guideway revenue vehicle-miles attributable to all areas; and
(ii) 40 percent of the 95.61 percent apportioned under this sub-
paragraph multiplied by a ratio equal to the number of fixed guide-
way route-miles attributable to the area, established by the Sec-
retary, divided by the total number of all fixed guideway route-
miles attributable to all areas.
(B) 4.39 percent of the total amount apportioned under this subsection
shall be apportioned so that each urbanized area with a population of
at least 200,000 is entitled to receive an amount equal to—
(i) the number of fixed guideway vehicle passenger-miles traveled
multiplied by the number of fixed guideway vehicle passenger-miles
traveled for each dollar of operating cost in an area; divided by
(ii) the total number of fixed guideway vehicle passenger-miles
traveled multiplied by the total number of fixed guideway vehicle
117
passenger-miles traveled for each dollar of operating cost in all
areas.
(C) An urbanized area with a population of at least 750,000 in which
commuter rail transportation is provided shall receive at least .75 per-
cent of the total amount apportioned under this subsection.
(D) Under subparagraph (A) of this paragraph, fixed guideway reve-
nue vehicle- or route-miles, and passengers served on those miles, in an
urbanized area with a population of less than 200,000, where the miles
and passengers served otherwise would be attributable to an urbanized
area with a population of at least 1,000,000 in an adjacent State, are
attributable to the governmental authority in the State in which the ur-
banized area with a population of less than 200,000 is located. The au-
thority is deemed an urbanized area with a population of at least
200,000 if the authority makes a contract for the service.
(E) A recipient’s apportionment under subparagraph (A)(i) of this
paragraph may not be reduced if the recipient, after satisfying the Sec-
retary of Transportation that energy or operating efficiencies would be
achieved, reduces revenue vehicle-miles but provides the same frequency
of revenue service to the same number of riders.
(c) BASED ON BUS REVENUE VEHICLE-MILES AND PASSENGER-MILES.—
Of the amount apportioned under subsection (a)(2) of this section, 66.71 per-
cent shall be apportioned as follows:
(1) 90.8 percent of the total amount apportioned under this subsection
shall be apportioned as follows:
(A) 73.39 percent of the 90.8 percent apportioned under this
paragraph shall be apportioned so that each urbanized area with
a population of at least 1,000,000 is entitled to receive an amount
equal to—
(i) 50 percent of the 73.39 percent apportioned under this
subparagraph multiplied by a ratio equal to the total bus reve-
nue vehicle-miles operated in or directly serving the urbanized
area divided by the total bus revenue vehicle-miles attributable
to all areas;
(ii) 25 percent of the 73.39 percent apportioned under this
subparagraph multiplied by a ratio equal to the population of
the area divided by the total population of all areas, as shown
by the latest Government census; and
(iii) 25 percent of the 73.39 percent apportioned under this
subparagraph multiplied by a ratio for the area based on pop-
ulation weighted by a factor, established by the Secretary of
118
Transportation, of the number of inhabitants in each square
mile.
(B) 26.61 percent of the 90.8 percent apportioned under this
paragraph shall be apportioned so that each urbanized area with
a population of at least 200,000 but not more than 999,999 is enti-
tled to receive an amount equal to—
(i) 50 percent of the 26.61 percent apportioned under this
subparagraph multiplied by a ratio equal to the total bus reve-
nue vehicle-miles operated in or directly serving the urbanized
area divided by the total bus revenue vehicle-miles attributable
to all areas;
(ii) 25 percent of the 26.61 percent apportioned under this
subparagraph multiplied by a ratio equal to the population of
the area divided by the total population of all areas, as shown
by the latest Government census; and
(iii) 25 percent of the 26.61 percent apportioned under this
subparagraph multiplied by a ratio for the area based on pop-
ulation weighted by a factor, established by the Secretary of
Transportation, of the number of inhabitants in each square
mile.
(2) 9.2 percent of the total amount apportioned under this subsection
shall be apportioned so that each urbanized area with a population of
at least 200,000 is entitled to receive an amount equal to—
(A) the number of bus passenger-miles traveled multiplied by the
number of bus passenger-miles traveled for each dollar of operating
cost in an area; divided by
(B) the total number of bus passenger-miles traveled multiplied
by the total number of bus passenger-miles traveled for each dollar
of operating cost in all areas.
(d) OPERATING ASSISTANCE.—(1) The total amount apportioned under this
section that may be used for operating assistance may not be more than—
(A) 80 percent of the total amount apportioned in the fiscal year end-
ing September 30, 1982, under section 5(a)(1)(A), (2)(A), and (3)(A) of
the Urban Mass Transportation Act of 1964 to urbanized areas with
populations of at least 1,000,000;
(B) 90 percent of the total amount apportioned in that year under
section 5(a)(1)(A), (2)(A), and (3)(A) to urbanized areas with popu-
lations of at least 200,000 but not more than 999,999;
(C) 95 percent of the total amount apportioned in that year under sec-
tion 5(a)(1)(A), (2)(A), and (3)(A) to urbanized areas with populations
of less than 200,000; or
119
(D) two-thirds of the total amount apportioned under this section dur-
ing the first complete year an urbanized area received amounts under
this section if the area first became an urbanized area under the 1980
Government census or later.
(2) Amounts apportioned under paragraph (1) of this subsection shall be
increased on October 1 of each year by an amount equal to the amount appli-
cable to each urbanized area under paragraph (1) (except increases under this
paragraph), multiplied by the percentage increase in the Consumer Price
Index for all-urban consumers published by the Secretary of Labor during the
most recent calendar year. However, the increase may not be more than the
percentage increase of amounts made available under section 5338(f) of this
title in the current fiscal year and amounts made available under section
5338(f) in the prior fiscal year.
(e) DATE OF APPORTIONMENT.—The Secretary of Transportation shall—
(1) apportion amounts appropriated under section 5338(f) of this title
to carry out section 5307 of this title not later than the 10th day after
the date the amounts are appropriated or October 1 of the fiscal year
for which the amounts are appropriated, whichever is later; and
(2) publish apportionments of the amounts, including amounts attrib-
utable to each urbanized area with a population of more than 50,000
and amounts attributable to each State of a multistate urbanized area,
on the apportionment date.
(f) AMOUNTS NOT APPORTIONED TO DESIGNATED RECIPIENTS.—The chief
executive officer of a State may expend in an urbanized area with a popu-
lation of less than 200,000 an amount apportioned under this section that
is not apportioned to a designated recipient as defined in section 5307(a) of
this title.
(g) TRANSFERS OF APPORTIONMENTS.—(1) The chief executive officer of a
State may transfer any part of the State’s apportionment under subsection
(a)(1) of this section to supplement amounts apportioned to the State under
section 5311(c) of this title or amounts apportioned to urbanized areas under
this subsection. The chief executive officer may make a transfer only after con-
sulting with responsible local officials and publicly owned operators of mass
transportation in each area for which the amount originally was apportioned
under this section.
(2) The chief executive officer of a State may transfer any part of the
State’s apportionment under section 5311(c) of this title to supplement
amounts apportioned to the State under subsection (a)(1) of this section.
(3) The chief executive officer of a State may use throughout the State
amounts of a State’s apportionment remaining available for obligation at the
120
beginning of the 90-day period before the period of the availability of the
amounts expires.
(4) A designated recipient for an urbanized area with a population of at
least 200,000 may transfer a part of its apportionment under this section to
the chief executive officer of a State. The chief executive officer shall distribute
the transferred amounts to urbanized areas under this section.
(5) Capital and operating assistance limitations applicable to the original
apportionment apply to amounts transferred under this subsection.
(h) CHANGES OF APPORTIONMENTS.—If sufficient amounts are available,
the Secretary of Transportation shall change apportionments under this sec-
tion between the Mass Transit Account of the Highway Trust Fund and the
general fund to ensure that each recipient receives from the general fund at
least as much operating assistance made available each fiscal year under this
section as the recipient is eligible to receive.
(i) PERIOD OF AVAILABILITY TO RECIPIENTS.—An amount apportioned
under this section may be obligated by the recipient for 3 years after the fiscal
year in which the amount is apportioned. Not later than 30 days after the
end of the 3-year period, an amount that is not obligated at the end of that
period shall be added to the amount that may be apportioned under this sec-
tion in the next fiscal year.
(j) APPLICATION OF OTHER SECTIONS.—Sections 5302, 5318, 5323(a)(1),
(d), and (f), 5332, and 5333 of this title apply to this section and to a grant
made under this section. Except as provided in this section, no other provi-
sion of this chapter applies to this section or to a grant made under this sec-
tion.
(k) CERTAIN URBANIZED AREAS GRANDFATHERED.—An area designated
an urbanized area under the 1980 census and not designated an urbanized
area under the 1990 census for the fiscal year ending September 30, 1993,
is eligible to receive—
(1) 50 percent of the amount the area would have received if the area
had been an urbanized area as defined by section 5302(a)(13) of this
title; and
(2) an amount equal to 50 percent of the amount that the State in
which the area is located would have received if the area had been an
area other than an urbanized area.
§ 5337. Apportionment of appropriations for fixed guideway
modernization
(a) PERCENTAGE DISTRIBUTION.—The Secretary of Transportation shall
apportion amounts made available for fixed guideway modernization under
section 5309 of this title for each of the fiscal years ending September 30,
1993–1997, as follows:
121
(1) The first $455,000,000 shall be apportioned in the following urban-
ized areas as follows:
(A) Baltimore, 1.84 percent.
(B) Boston, 8.56 percent.
(C) Chicago/Northwestern Indiana, 17.18 percent.
(D) Cleveland, 2.09 percent.
(E) New York, 35.57 percent.
(F) Northeastern New Jersey, 9.04 percent.
(G) Philadelphia/Southern New Jersey, 12.41 percent.
(H) San Francisco, 7.21 percent.
(I) Southwestern Connecticut, 6.10 percent.
(2) The next $42,700,000 shall be apportioned in the following urban-
ized areas as follows:
(A) New York, 33.2341 percent.
(B) Northeastern New Jersey, 22.1842 percent.
(C) Philadelphia/Southern New Jersey, 5.7594 percent.
(D) San Francisco, 2.7730 percent.
(E) Pittsburgh, 31.9964 percent.
(F) New Orleans, 4.0529 percent.
(3) The next $70,000,000 shall be apportioned as follows:
(A) 50 percent in the urbanized areas listed in paragraphs (1)
and (2) as provided in section 5336(b)(2)(A) of this title.
(B) 50 percent in other urbanized areas eligible for assistance
under section 5336(b)(2)(A) of this title if the areas contain fixed
guideway systems placed in revenue service at least 7 years before
the fiscal year in which amounts are made available and in any
other urbanized area if, before the first day of the fiscal year, the
area satisfies the Secretary that the area has modernization needs
that cannot be met adequately with amounts received as provided
in section 5336(b)(2)(A).
(4) Remaining amounts shall be apportioned in each urbanized area
eligible for assistance under paragraphs (1)–(3) of this subsection as pro-
vided in section 5336(B)(2)(A).
(b) TOTAL AMOUNTS NOT AVAILABLE.—In a fiscal year in which the total
amounts authorized under subsection (a)(1) and (2) of this section are not
available, the Secretary shall reduce on a proportionate basis the apportion-
ments of all urbanized areas eligible under subsection (a)(1) or (2) to adjust
for the amount not available.
(c) NEW JERSEY TRANSIT CORPORATION.—Rail modernization amounts
allocated to the New Jersey Transit Corporation under this section may be
spent in any urbanized area in which the New Jersey Transit Corporation
122
operates rail transportation, regardless of which urbanized area generates the
financing.
(d) AVAILABILITY OF AMOUNTS.—An amount apportioned under this sec-
tion—
(1) remains available for 3 years after the fiscal year in which the
amount is apportioned; and
(2) that is unobligated at the end of the 3-year period shall be
reapportioned for the next fiscal year among urbanized areas eligible
under subsection (a)(1)–(3) of this section using the apportionment for-
mula of this section.
§ 5338. Authorizations
(a) FOR SECTIONS 5303–5306, 5308, 5310, 5311, 5313, 5314, 5317, 5320,
5327, AND 5334(a) and (c) AND SECTION 103(e)(4) OF TITLE 23.—(1) Not
more than the following amounts are available from the Mass Transit Account
of the Highway Trust Fund for the Secretary of Transportation to carry out
sections 5303–5306, 5308, 5310, 5311, 5313, 5314, 5317, 5320, 5327, and
5334(a) and (c) of this title:
(A) $1,150,000,000 for the fiscal year ending September 30, 1993.
(B) $1,190,000,000 for the fiscal year ending September 30, 1994.
(C) $1,150,000,000 for the fiscal year ending September 30, 1995.
(D) $1,110,000,000 for the fiscal year ending September 30, 1996.
(E) $1,920,000,000 for the fiscal year ending September 30, 1997.
(2) In addition to amounts made available under paragraph (1) of this
subsection, not more than the following amounts may be appropriated to the
Secretary to carry out sections 5303–5306, 5308, 5310, 5311, 5313, 5314,
5317, 5320, 5327, and 5334(a) and (c) of this title and substitute transit
projects under section 103(e)(4) of title 23:
(A) $2,055,000,000 for the fiscal year ending September 30, 1993.
(B) $1,885,000,000 for the fiscal year ending September 30, 1994.
(C) $1,925,000,000 for the fiscal year ending September 30, 1995.
(D) $1,965,000,000 for the fiscal year ending September 30, 1996.
(E) $2,430,000,000 for the fiscal year ending September 30, 1997.
(b) SECTION 5309.—(1) Not more than the following amounts are available
from the Account for the Secretary to carry out section 5309 of this title:
(A) $1,725,000,000 for the fiscal year ending September 30, 1993.
(B) $1,785,000,000 for the fiscal year ending September 30, 1994.
(C) $1,725,000,000 for the fiscal year ending September 30, 1995.
(D) $1,665,000,000 for the fiscal year ending September 30, 1996.
(E) $2,880,000,000 for the fiscal year ending September 30, 1997.
123
(2) In addition to amounts made available under paragraph (1) of this
subsection, not more than the following amounts may be appropriated to the
Secretary to carry out section 5309 of this title:
(A) $305,000,000 for the fiscal year ending September 30, 1993.
(B) $265,000,000 for the fiscal year ending September 30, 1994.
(C) $325,000,000 for the fiscal year ending September 30, 1995.
(D) $385,000,000 for the fiscal year ending September 30, 1996.
(E) $20,000,000 for the fiscal year ending September 30, 1997.
(c) SECTION 5315.—The Secretary shall make available in equal amounts
from amounts provided under subsections (f) and (g) of this section not more
than $3,000,000 for each of the fiscal years ending September 30, 1993–1997,
to carry out section 5315 of this title.
(d) SECTION 5316.—Not more than the following amounts may be appro-
priated to the Secretary from the Fund (except the Account) for each of the
fiscal years ending September 30, 1993–1997:
(1) $250,000 to carry out section 5316(a) of this title.
(2) $3,000,000 to carry out section 5316(b) of this title.
(3) $1,000,000 to carry out section 5316(c) of this title.
(4) $1,000,000 to carry out section 5316(d) of this title.
(5) $1,000,000 to carry out section 5316(e) of this title.
(e) SECTION 5317.—(1) Not more than $6,000,000 is available from the
Fund (except the Account) for the Secretary for each of the fiscal years ending
September 30, 1993–1997, to carry out section 5317 of this title.
(2) Not more than the following amounts may be appropriated to the Sec-
retary from the Fund (except the Account) for making grants under section
5317(b)(5)(B) of this title:
(A) $3,000,000 for the fiscal year ending September 30, 1993.
(B) $2,500,000 for the fiscal year ending September 30, 1994.
(f) SECTION 5307.—Amounts remaining available each fiscal year under
subsection (a)(1) of this section, after allocation under subsections (g)–(i) and
(j)(4) of this section, are available under section 5307 of this title.
(g) PLANNING, PROGRAMMING, AND RESEARCH.—Before apportioning in
each fiscal year amounts made available or appropriated under subsection (a)
of this section, an amount equal to 3 percent of amounts made available or
appropriated under subsections (a) and (b) of this section is available as fol-
lows:
(1) 45 percent for metropolitan planning activities under section
5303(g) of this title.
(2) 5 percent to carry out section 5308(b)(2) of this title.
(3) 20 percent to carry out State programs under section 5313 of this
title.
124
(4) 30 percent to carry out the national program under section 5314
of this title.
(h) OTHER SET-ASIDES.—Before apportioning in each fiscal year amounts
made available or appropriated under subsection (a) of this section, of
amounts made available or appropriated under subsections (a) and (b) of this
section—
(1) not more than .96 percent is available for administrative expenses
to carry out section 5334(a) and (c)–(f) of this title;
(2) not more than 1.34 percent is available for transportation services
to elderly individuals and individuals with disabilities under the for-
mula under section 5310(a) of this title; and
(3) $7,000,000 is available for section 5317 for each of the fiscal years
ending September 30, 1993–1997.
(i) COMPLETING INTERSTATE TRANSFER TRANSIT PROJECTS.—Of the
amounts remaining available each year under subsections (a) and (b) of this
section, after allocation under subsections (g) and (h) of this section, not more
than $164,843,000 for the fiscal year ending September 30, 1993, is available
for substitute transit projects under section 103(e)(4) of title 23.
(j) LIMITATIONS.—Of the amounts available—
(1) under subsection (a)(2) of this section, 3.5 percent is available to
finance programs and activities, including administrative costs, under
section 5310 of this title;
(2) 1.5 percent of the amounts available to finance research, develop-
ment, and demonstration projects under section 5312(a) of this title is
available to increase the information and technology available to provide
improved mass transportation service and facilities planned and de-
signed to meet the special needs of elderly individuals and individuals
with disabilities;
(3) not more than 12.5 percent is available for grants to any one State
under section 5312(c)(2) of this title;
(4) 5.5 percent of the amount remaining available each year under
subsection (a)(1) of this section, after allocation under subsections (g)–
(i) of this section, is available under the formula under section 5311 of
this title; and
(5) under section 5309(m)(1)(C) of this title—
(A) $2,000,000 is available for the fiscal year ending September
30, 1993;
(B) the lesser of $2,000,000 or an amount the Secretary deter-
mines is necessary for each fiscal year is available for each of the
fiscal years ending September 30, 1994–1996; and
125
(C) the lesser of $3,000,000 or an amount the Secretary deter-
mines is necessary is available for the fiscal year ending September
30, 1997.
(k) GRANTS AS CONTRACTUAL OBLIGATIONS.—(1) A grant or contract ap-
proved by the Secretary, that is financed with amounts made available under
subsection (a)(1), (b)(1), (c), or (e) of this section, is a contractual obligation
of the United States Government to pay the Government’s share of the cost
of the project.
(2) A grant or contract, approved by the Secretary, that is financed with
amounts made available under subsection (a)(2) or (b)(2) of this section, is
a contractual obligation of the Government to pay the Government’s share of
the cost of the project only to the extent amounts are provided in advance
in an appropriations law.
(l) EARLY
APPROPRIATIONS
AND
AVAILABILITY
OF
AMOUNTS.—(1)
Amounts appropriated under subsection (a)(2) of this section to carry out sec-
tion 5311 of this title may be appropriated in the fiscal year before the fiscal
year in which the appropriation is available for obligation.
(2) Amounts made available or appropriated under subsections (a), (b), (g),
(h)(1) and (2), and (j)(4) of this section remain available until expended.
(3) An amount apportioned under section 5308 of this title—
(A) remains available for 3 years after the fiscal year in which the
amount is apportioned; and
(B) that is unobligated at the end of the 3-year period shall be added
to the amount available for apportionment for the next fiscal year not
later than 30 days after the end of the 3-year period.
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.
SUBCHAPTER I—GENERAL
§ 5501. National Intermodal Transportation System policy
(a) GENERAL.—It is the policy of the United States Government to develop
a National Intermodal Transportation System that is economically efficient
126
and environmentally sound, provides the foundation for the United States to
compete in the global economy, and will move individuals and property in
an energy efficient way.
(b) SYSTEM CHARACTERISTICS.—(1) The National Intermodal Transpor-
tation System shall consist of all forms of transportation in a unified, inter-
connected manner, including the transportation systems of the future, to re-
duce energy consumption and air pollution while promoting economic devel-
opment and supporting the United States’ preeminent position in inter-
national commerce.
(2) The National Intermodal Transportation System shall include a Na-
tional Highway System consisting of the Dwight D. Eisenhower System of
Interstate and Defense Highways and those principal arterial roads that are
essential for interstate and regional commerce and travel, national defense,
intermodal transfer facilities, and international commerce and border cross-
ings.
(3) The National Intermodal Transportation System shall include signifi-
cant improvements in public transportation necessary to achieve national
goals for improved air quality, energy conservation, international competi-
tiveness, and mobility for elderly individuals, individuals with disabilities,
and economically disadvantaged individuals in urban and rural areas of the
United States.
(4) The National Intermodal Transportation System shall provide im-
proved access to ports and airports, the Nation’s link to commerce.
(5) The National Intermodal Transportation System shall give special em-
phasis to the contributions of the transportation sectors to increased produc-
tivity growth. Social benefits must be considered with particular attention to
the external benefits of reduced air pollution, reduced traffic congestion, and
other aspects of the quality of life in the United States.
(6) The National Intermodal Transportation System must be operated and
maintained with insistent attention to the concepts of innovation, competi-
tion, energy efficiency, productivity, growth, and accountability. Practices
that resulted in the lengthy and overly costly construction of the Dwight D.
Eisenhower System of Interstate and Defense Highways must be confronted
and stopped.
(7) The National Intermodal Transportation System shall be adapted to
‘‘intelligent vehicles’’, ‘‘magnetic levitation systems’’, and other new tech-
nologies, wherever feasible and economical, with benefit cost estimates given
special emphasis on safety considerations and techniques for cost allocation.
(8) When appropriate, the National Intermodal Transportation System
will be financed, as regards Government apportionments and reimbursements,
by the Highway Trust Fund. Financial assistance will be provided to State
127
and local governments and their instrumentalities to help carry out national
goals related to mobility for elderly individuals, individuals with disabilities,
and economically disadvantaged individuals.
(9) The National Intermodal Transportation System must be the center-
piece of a national investment commitment to create the new wealth of the
United States for the 21st century.
(c) DISTRIBUTION AND POSTING.—The Secretary of Transportation shall
distribute copies of the policy in subsections (a) and (b) of this section to each
employee of the Department of Transportation and ensure that the policy is
posted in all offices of the Department.
§ 5502. Intermodal Transportation Advisory Board
(a) ORGANIZATION.—The Intermodal Transportation Advisory Board is a
board in the Office of the Secretary of Transportation.
(b) MEMBERSHIP.—The Board consists of the Secretary, who serves as
chairman, and the Administrator, or the Administrator’s designee, of—
(1) the Federal Highway Administration;
(2) the Federal Aviation Administration;
(3) the Maritime Administration;
(4) the Federal Railroad Administration; and
(5) the Federal Transit Administration.
(c) DUTIES AND POWERS.—The Board shall provide recommendations for
carrying out the duties of the Secretary described in section 301(3) of this
title.
§ 5503. Office of Intermodalism
(a) ESTABLISHMENT.—The Secretary of Transportation shall establish in
the Office of the Secretary an Office of Intermodalism.
(b) DIRECTOR.—The head of the Office is a Director who shall be appointed
by the Secretary.
(c) DUTIES AND POWERS.—The Director shall carry out the duties of the
Secretary described in section 301(3) of this title.
(d) INTERMODAL TRANSPORTATION DATA BASE.—(1) The Director shall
develop, maintain, and disseminate intermodal transportation data through
the Bureau of Transportation Statistics. The Director shall coordinate the col-
lection of data for the data base with the States and metropolitan planning
organizations. The data base shall include information on—
(A) the volume of property and number of individuals carried in
intermodal transportation by relevant classification;
(B) patterns of movement of property and individuals in intermodal
transportation by relevant classification by origin and destination; and
(C) public and private investment in intermodal transportation facili-
ties and services.
128
(2) The Director shall make information from the data base available to
the public.
(e) RESEARCH.—The Director shall—
(1) coordinate United States Government research on intermodal
transportation as provided in the plan developed under section 6009(b)
of the Intermodal Surface Transportation Efficiency Act of 1991 (Public
Law 102–240, 105 Stat. 2177); and
(2) carry out additional research needs identified by the Director.
(f) TECHNICAL ASSISTANCE.—The Director shall provide technical assist-
ance to States and to metropolitan planning organizations for urban areas
having a population of at least 1,000,000 in collecting data related to inter-
modal transportation to facilitate the collection of the data by States and met-
ropolitan planning organizations.
(g) ADMINISTRATIVE AND CLERICAL SUPPORT.—The Director shall provide
administrative and clerical support to the Intermodal Transportation Advi-
sory Board.
§ 5504. Model intermodal transportation plans
(a) GRANTS.—The Secretary of Transportation shall make grants to States
to develop model State intermodal transportation plans that are consistent
with the policy set forth in section 302(e) of this title. The model plans shall
include systems for collecting data related to intermodal transportation.
(b) DISTRIBUTION.—The Secretary shall award grants to States under this
section that represent a variety of geographic regions and transportation
needs, patterns, and modes.
(c) PLAN SUBMISSION.—As a condition to a State receiving a grant under
this section, the Secretary shall require that the State provide assurances that
the State will submit to the Secretary a State intermodal transportation plan
not later than 18 months after the date of receipt of the grant.
(d) GRANT AMOUNTS.—The Secretary shall reserve, from amounts deducted
under section 104(a) of title 23, $3,000,000 to make grants under this section.
The total amount that a State may receive in grants under this section may
not be more than $500,000.
SUBCHAPTER II—TERMINALS
§ 5561. Definition
In this chapter, ‘‘civic and cultural activities’’ includes libraries, musical
and dramatic presentations, art exhibits, adult education programs, public
meeting places, and other facilities for carrying on an activity any part of
which is supported under a law of the United States.
129
§ 5562. Assistance projects
(a) REQUIREMENTS TO PROVIDE ASSISTANCE.—The Secretary of Trans-
portation shall provide financial, technical, and advisory assistance under
this chapter to—
(1) promote, on a feasibility demonstration basis, the conversion of at
least 3 rail passenger terminals into intermodal transportation termi-
nals;
(2) preserve rail passenger terminals that reasonably are likely to be
converted or maintained pending preparation of plans for their reuse;
(3) acquire and use space in suitable buildings of historic or architec-
tural significance but only if use of the space is feasible and prudent
when compared to available alternatives; and
(4) encourage State and local governments, local and regional trans-
portation authorities, common carriers, philanthropic organizations, and
other responsible persons to develop plans to convert rail passenger ter-
minals into intermodal transportation terminals and civic and cultural
activity centers.
(b) EFFECT ON ELIGIBILITY.—This chapter does not affect the eligibility
of any rail passenger terminal for preservation or reuse assistance under an-
other program or law.
(c) ACQUIRING SPACE.—The Secretary may acquire space under subsection
(a)(3) of this section only after consulting with the Advisory Council on His-
toric Preservation and the Chairman of the National Endowment for the Arts.
§ 5563. Conversion of certain rail passenger terminals
(a) AUTHORITY TO PROVIDE ASSISTANCE.—The Secretary of Transpor-
tation may provide financial assistance to convert a rail passenger terminal
to an intermodal transportation terminal under section 5562(a)(1) of this
title only if—
(1) the terminal can be converted to accommodate other modes of
transportation the Secretary of Transportation decides are appropriate,
including—
(A) motorbus transportation;
(B) mass transit (rail or rubber tire); and
(C) airline ticket offices and passenger terminals providing direct
transportation to area airports;
(2) the terminal is listed on the National Register of Historic Places
maintained by the Secretary of the Interior;
(3) the architectural integrity of the terminal will be preserved;
(4) to the extent practicable, the use of the terminal facilities for trans-
portation may be combined with use of those facilities for other civic and
cultural activities, especially when another activity is recommended by—
130
(A) the Advisory Council on Historic Preservation;
(B) the Chairman of the National Endowment for the Arts; or
(C) consultants retained under subsection (b) of this section; and
(5) the terminal and the conversion project meet other criteria pre-
scribed by the Secretary of Transportation after consultation with the
Council and Chairman.
(b) ARCHITECTURAL INTEGRITY.—The Secretary of Transportation must
employ consultants on whether the architectural integrity of the rail passenger
terminal will be preserved under subsection (a)(3) of this section. The Sec-
retary may decide that the architectural integrity will be preserved only if
the consultants concur. The Council and Chairman shall recommend consult-
ants to be employed by the Secretary. The consultants also may make rec-
ommendations referred to in subsection (a)(4) of this section.
(c) GOVERNMENT’S SHARE OF COSTS.—The Secretary of Transportation
may not make a grant under this section for more than 80 percent of the
total cost of converting a rail passenger terminal into an intermodal trans-
portation terminal.
§ 5564. Interim preservation of certain rail passenger termi-
nals
(a) GENERAL GRANT AUTHORITY.—Subject to subsection (b) of this section,
the Secretary of Transportation may make a grant of financial assistance to
a responsible person (including a governmental authority) to preserve a rail
passenger terminal under section 5562(a)(2) of this title. To receive assistance
under this section, the person must be qualified, prepared, committed, and au-
thorized by law to maintain (and prevent the demolition, dismantling, or fur-
ther deterioration of) the terminal until plans for its reuse are prepared.
(b) GRANT REQUIREMENTS.—The Secretary of Transportation may make
a grant of financial assistance under this section only if—
(1) the Secretary decides the rail passenger terminal has a reasonable
likelihood of being converted to, or conditioned for reuse as, an inter-
modal transportation terminal, a civic or cultural activities center, or
both; and
(2) planning activity directed toward conversion or reuse has begun
and is proceeding in a competent way.
(c) MAXIMIZING PRESERVATION
OF TERMINALS.—(1) Amounts appro-
priated to carry out this section and section 5562(a)(2) of this title shall be
expended in the way most likely to maximize the preservation of rail pas-
senger terminals that are—
(A) reasonably capable of conversion to intermodal transportation ter-
minals;
131
(B) listed in the National Register of Historic Places maintained by
the Secretary of the Interior; or
(C) recommended (on the basis of architectural integrity and quality)
by the Advisory Council on Historic Preservation or the Chairman of
the National Endowment for the Arts.
(2) The Secretary of Transportation may not make a grant under this sec-
tion for more than 80 percent of the total cost of maintaining the terminal
for an interim period of not more than 5 years.
§ 5565. Encouraging the development of plans for converting
rail passenger terminals
(a) GENERAL GRANT AUTHORITY.—The Secretary of Transportation may
make a grant of financial assistance to a qualified person (including a gov-
ernmental authority) to encourage the development of plans for converting a
rail passenger terminal under section 5562(a)(4) of this title. To receive as-
sistance under this section, the person must—
(1) be prepared to develop practicable plans that meet zoning, land
use, and other requirements of the applicable State and local jurisdic-
tions in which the terminal is located;
(2) incorporate into the designs and plans proposed for converting the
terminal, features that reasonably appear likely to attract private inves-
tors willing to carry out the planned conversion and its subsequent
maintenance and operation; and
(3) complete the designs and plans for the conversion within the period
of time prescribed by the Secretary.
(b) PREFERENCE.—In making a grant under this section, the Secretary of
Transportation shall give preferential consideration to an applicant whose
completed designs and plans will be carried out within 3 years after their
completion.
(c) MAXIMIZING CONVERSION AND CONTINUED PUBLIC USE.—(1) Amounts
appropriated to carry out this section and section 5562(a)(4) of this title shall
be expended in the way most likely to maximize the conversion and continued
public use of rail passenger terminals that are—
(A) listed in the National Register of Historic Places maintained by
the Secretary of the Interior; or
(B) recommended (on the basis of architectural integrity and quality)
by the Advisory Council on Historic Preservation or the Chairman of
the National Endowment for the Arts.
(2) The Secretary of Transportation may not make a grant under this sec-
tion for more than 80 percent of the total cost of the project for which the
financial assistance is provided.
132
§ 5566. Records and audits
(a) RECORD REQUIREMENTS.—Each recipient of financial assistance under
this chapter shall keep records required by the Secretary of Transportation.
The records shall disclose—
(1) the amount, and disposition by the recipient, of the proceeds of the
assistance;
(2) the total cost of the project for which the assistance was given or
used;
(3) the amount of that part of the cost of the project supplied by other
sources; and
(4) any other records that will make an effective audit easier.
(b) AUDITS AND INSPECTIONS.—For 3 years after a project is completed,
the Secretary and the Comptroller General may audit and inspect records of
a recipient that the Secretary or Comptroller General decides may be related
or pertinent to the financial assistance.
§ 5567. Preference for preserving buildings of historic or ar-
chitectural significance
Amtrak shall give preference to the use of rail passenger terminal facilities
that will preserve buildings of historic or architectural significance.
§ 5568. Authorization of appropriations
(a) GENERAL.—The following amounts may be appropriated to the Sec-
retary of Transportation:
(1) not more than $15,000,000 to carry out section 5562(a)(1) and (3)
of this title.
(2) not more than $2,500,000 to carry out section 5562(a)(2) of this
title.
(3) not more than $2,500,000 to carry out section 5562(a)(4) of this
title.
(b) AVAILABILITY OF AMOUNTS.—Amounts appropriated to carry out this
chapter remain available until expended.
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.
133
§ 5701. Findings
Congress finds that—
(1) the United States public is entitled to receive food and other
consumer products that are not made unsafe because of certain transpor-
tation practices;
(2) the United States public is threatened by the transportation of
products potentially harmful to consumers in motor vehicles and rail ve-
hicles that are used to transport food and other consumer products; and
(3) the risks to consumers by those transportation practices are unnec-
essary and those practices must be ended.
§ 5702. Definitions
In this chapter—
(1) ‘‘cosmetic’’, ‘‘device’’, ‘‘drug’’, ‘‘food’’, and ‘‘food additive’’ have the
same meanings given those terms in section 201 of the Federal Food,
Drug, and Cosmetic Act (21 U.S.C. 321).
(2) ‘‘nonfood product’’ means (individually or by class) a material,
substance, or product that is not a cosmetic, device, drug, food, or food
additive, or is deemed a nonfood product under section 5703(a)(2) of this
title, including refuse and solid waste (as defined in section 1004 of the
Solid Waste Disposal Act (42 U.S.C. 6903)).
(3) ‘‘refuse’’ means discarded material that is, or is required by law,
to be transported to or disposed of in a landfill or incinerator.
(4) ‘‘State’’ means a State of the United States, the District of Colum-
bia, Puerto Rico, the Northern Mariana Islands, the Virgin Islands,
American Samoa, Guam, and any other territory or possession of the
United States.
(5) ‘‘transports’’ and ‘‘transportation’’ mean any movement of prop-
erty in commerce (including intrastate commerce) by motor vehicle or
rail vehicle.
(6) ‘‘United States’’ means all of the States.
§ 5703. General regulation
(a) GENERAL REQUIREMENTS.—(1) Not later than July 31, 1991, the Sec-
retary of Transportation, after consultation required by section 5709 of this
title, shall prescribe regulations on the transportation of cosmetics, devices,
drugs, food, and food additives in motor vehicles and rail vehicles that are
used to transport nonfood products that would make the cosmetics, devices,
drugs, food, or food additives unsafe to humans or animals.
(2) The Secretary shall deem a cosmetic, device, or drug to be a nonfood
product if—
(A) the cosmetic, device, or drug is transported in a motor vehicle or
rail vehicle before, or at the same time as, a food or food additive; and
134
(B) transportation of the cosmetic, device, or drug would make the
food or food additive unsafe to humans or animals.
(b) SPECIAL REQUIREMENTS.—In prescribing regulations under subsection
(a)(1) of this section, the Secretary, after consultation required by section
5709 of this title, shall establish requirements for appropriate—
(1) recordkeeping, identification, marking, certification, or other
means of verification to comply with sections 5704–5706 of this title;
(2) decontamination, removal, disposal, and isolation to comply with
regulations carrying out sections 5704 and 5705 of this title; and
(3) material for the construction of tank trucks, rail tank cars, cargo
tanks, and accessory equipment to comply with regulations carrying out
section 5704 of this title.
(c) CONSIDERATIONS AND ADDITIONAL REQUIREMENTS.—In prescribing
regulations under subsection (a)(1) of this section, the Secretary, after con-
sultation required by section 5709 of this title, shall consider, and may estab-
lish requirements related to, each of the following:
(1) the extent to which packaging or similar means of protecting and
isolating commodities are adequate to eliminate or ameliorate the poten-
tial risks of transporting cosmetics, devices, drugs, food, or food additives
in motor vehicles or rail vehicles used to transport nonfood products.
(2) appropriate compliance and enforcement measures to carry out
this chapter.
(3) appropriate minimum insurance or other liability requirements
for a person to whom this chapter applies.
(d) PACKAGES MEETING PACKAGING STANDARDS.—If the Secretary finds
packaging standards to be adequate, regulations under subsection (a)(1) of
this section may not apply to cosmetics, devices, drugs, food, food additives,
or nonfood products packaged in packages that meet the standards.
§ 5704. Tank trucks, rail tank cars, and cargo tanks
(a) PROHIBITIONS.—The regulations prescribed under section 5703(a)(1) of
this title shall include provisions prohibiting a person from—
(1) using, offering for use, or arranging for the use of a tank truck,
rail tank car, or cargo tank used in motor vehicle or rail transportation
of cosmetics, devices, drugs, food, or food additives if the tank truck, rail
tank car, or cargo tank is used to transport a nonfood product, except
a nonfood product included in a list published under subsection (b) of
this section;
(2) using, offering for use, or arranging for the use of a tank truck
or cargo tank to provide motor vehicle transportation of cosmetics, de-
vices, drugs, food, food additives, or nonfood products included in the list
published under subsection (b) of this section unless the tank truck or
135
cargo tank is identified, by a permanent marking on the tank truck or
cargo tank, as transporting only cosmetics, devices, drugs, food, food ad-
ditives, or nonfood products included in the list;
(3) using, offering for use, or arranging for the use of a tank truck
or cargo tank to provide motor vehicle transportation of a nonfood prod-
uct that is not included in the list published under subsection (b) of this
section if the tank truck or cargo tank is identified, as provided in clause
(2) of this subsection, as a tank truck or cargo tank transporting only
cosmetics, devices, drugs, food, food additives, or nonfood products in-
cluded in the list; or
(4) receiving, except for lawful disposal purposes, any cosmetic, device,
drug, food, food additive, or nonfood product that has been transported
in a tank truck or cargo tank in violation of clause (2) or (3) of this
subsection.
(b) LIST OF NONFOOD PRODUCTS NOT UNSAFE.—After consultation re-
quired by section 5709 of this title, the Secretary of Transportation shall pub-
lish in the Federal Register a list of nonfood products the Secretary decides
do not make cosmetics, devices, drugs, food, or food additives unsafe to hu-
mans or animals because of transportation of the nonfood products in a tank
truck, rail tank car, or cargo tank used to transport cosmetics, devices, drugs,
food, or food additives. The Secretary may amend the list periodically by pub-
lication in the Federal Register.
(c) DISCLOSURE.—A person that arranges for the use of a tank truck or
cargo tank used in motor vehicle transportation for the transportation of a
cosmetic, device, drug, food, food additive, or nonfood product shall disclose
to the motor carrier or other appropriate person if the cosmetic, device, drug,
food, food additive, or nonfood product being transported is to be used—
(1) as, or in the preparation of, a food or food additive; or
(2) as a nonfood product included in the list published under sub-
section (b) of this section.
§ 5705. Motor and rail transportation of nonfood products
(a) PROHIBITIONS.—The regulations prescribed under section 5703(a)(1) of
this title shall include provisions prohibiting a person from using, offering
for use, or arranging for the use of a motor vehicle or rail vehicle (except a
tank truck, rail tank car, or cargo tank described in section 5704 of this title)
to transport cosmetics, devices, drugs, food, or food additives if the vehicle is
used to transport nonfood products included in a list published under sub-
section (b) of this section.
(b) LIST OF UNSAFE NONFOOD PRODUCTS.—(1) After consultation required
by section 5709 of this title, the Secretary of Transportation shall publish in
the Federal Register a list of nonfood products the Secretary decides would
136
make cosmetics, devices, drugs, food, or food additives unsafe to humans or
animals because of transportation of the nonfood products in a motor vehicle
or rail vehicle used to transport cosmetics, devices, drugs, food, or food addi-
tives. The Secretary may amend the list periodically by publication in the
Federal Register.
(2) The list published under paragraph (1) of this subsection may not in-
clude cardboard, pallets, beverage containers, and other food packaging except
to the extent the Secretary decides that the transportation of cardboard, pal-
lets, beverage containers, or other food packaging in a motor vehicle or rail
vehicle used to transport cosmetics, devices, drugs, food, or food additives
would make the cosmetics, devices, drugs, food, or food additives unsafe to hu-
mans or animals.
§ 5706. Dedicated vehicles
(a) PROHIBITIONS.—The regulations prescribed under section 5703(a)(1) of
this title shall include provisions prohibiting a person from using, offering
for use, or arranging for the use of a motor vehicle or rail vehicle to transport
asbestos, in forms or quantities the Secretary of Transportation decides are
necessary, or products that present an extreme danger to humans or animals,
despite any decontamination, removal, disposal, packaging, or other isolation
procedures, unless the motor vehicle or rail vehicle is used only to transport
one or more of the following: asbestos, those extremely dangerous products, or
refuse.
(b) LIST OF APPLICABLE PRODUCTS.—After consultation required by sec-
tion 5709 of this title, the Secretary shall publish in the Federal Register a
list of the products to which this section applies. The Secretary may amend
the list periodically by publication in the Federal Register.
§ 5707. Waiver authority
(a) GENERAL AUTHORITY.—After consultation required by section 5709 of
this title, the Secretary of Transportation may waive any part of this chapter
or regulations prescribed under this chapter for a class of persons, motor vehi-
cles, rail vehicles, cosmetics, devices, drugs, food, food additives, or nonfood
products, if the Secretary decides that the waiver—
(1) would not result in the transportation of cosmetics, devices, drugs,
food, or food additives that would be unsafe to humans or animals; and
(2) would not be contrary to the public interest and this chapter.
(b) PUBLICATION OF WAIVERS.—The Secretary shall publish in the Federal
Register any waiver and the reasons for the waiver.
§ 5708. Food transportation inspections
(a) GENERAL AUTHORITY.—For commercial motor vehicles, the Secretary
of Transportation may carry out this chapter and assist in carrying out com-
patible State laws and regulations through means that include inspections
137
conducted by State employees that are paid for with money authorized under
section 31104 of this title, if the recipient State agrees to assist in the enforce-
ment of this chapter or is enforcing compatible State laws and regulations.
(b) PROVIDING ASSISTANCE.—On the request of the Secretary of Transpor-
tation, the Secretaries of Agriculture and Health and Human Services, the
Administrator of the Environmental Protection Agency, and the heads of
other appropriate departments, agencies, and instrumentalities of the United
States Government shall provide assistance, to the extent available, to the Sec-
retary of Transportation to carry out this chapter, including assistance in
the training of personnel under a program established under subsection (c)
of this section.
(c) TRAINING PROGRAM.—After consultation required by section 5709 of
this title and consultation with the heads of appropriate State transportation
and food safety authorities, the Secretary of Transportation shall develop and
carry out a training program for inspectors to conduct vigorous enforcement
of this chapter and regulations prescribed under this chapter or compatible
State laws and regulations. As part of the training program, the inspectors,
including State inspectors or personnel paid with money authorized under
section 31104 of this title, shall be trained in the recognition of adulteration
problems associated with the transportation of cosmetics, devices, drugs, food,
and food additives and in the procedures for obtaining assistance of the ap-
propriate departments, agencies, and instrumentalities of the Government and
State authorities to support the enforcement.
§ 5709. Consultation
As provided by sections 5703–5708 of this title, the Secretary of Transpor-
tation shall consult with the Secretaries of Agriculture and Health and
Human Services and the Administrator of the Environmental Protection
Agency.
§ 5710. Administrative
The Secretary of Transportation has the same duties and powers in regu-
lating transportation under this chapter as the Secretary has under section
5121(a)–(c) (except subsection (c)(1)(A)) of this title in regulating transpor-
tation under chapter 51 of this title.
§ 5711. Enforcement and penalties
(a) ACTIONS.—The Secretary of Transportation shall request that a civil
action be brought and take action to eliminate or ameliorate an imminent
hazard related to a violation of a regulation prescribed or order issued under
this chapter in the same way and to the same extent as authorized by section
5122 of this title.
138
(b) APPLICABLE PENALTIES AND PROCEDURES.—The penalties and proce-
dures in sections 5123 and 5124 of this title apply to a violation of a regula-
tion prescribed or order issued under this chapter.
§ 5712. Relationship to other laws
Section 5125 of this title applies to the relationship between this chapter
and a requirement of a State, a political subdivision of a State, or an Indian
tribe.
§ 5713. Application of sections 5711 and 5712
Sections 5711 and 5712 of this title apply only to transportation occurring
on or after the date that regulations prescribed under section 5703(a)(1) of
this title are effective.
§ 5714. Coordination procedures
Not later than November 3, 1991, the Secretary of Transportation, after
consultation with appropriate State officials, shall establish procedures to
promote more effective coordination between the departments, agencies, and
instrumentalities of the United States Government and State authorities with
regulatory authority over motor carrier safety and railroad safety in carrying
out and enforcing this chapter.
CHAPTER 59—INTERMODAL SAFE CONTAINER
TRANSPORTATION
Sec.
5901.
Definitions.
5902.
Notifications and certifications.
5903.
Prohibitions.
5904.
State enforcement.
5905.
Liens.
5906.
Perishable agricultural commodities.
5907.
Regulations and effective date.
§ 5901. Definitions
In this chapter—
(1) the definitions in section 10102 of this title apply.
(2) ‘‘beneficial owner’’ means a person not having title to property but
having ownership rights in the property, including a trustee of property
in transit from an overseas place of origin that is domiciled or doing
business in the United States, except that a carrier, agent of a carrier,
broker, customs broker, freight forwarder, warehouser, or terminal opera-
tor is not a beneficial owner only because of providing or arranging for
any part of the intermodal transportation of property.
(3) ‘‘carrier’’ means—
(A) a motor carrier, water carrier, and rail carrier providing
transportation of property in commerce; and
139
(B) an ocean common carrier (as defined in section 3 of the
Shipping Act of 1984 (46 App. U.S.C. 1702)) providing transpor-
tation of property in commerce.
(4) ‘‘container’’ has the meaning given the term ‘‘freight container’’
by the International Standards Organization in Series 1, Freight Con-
tainers, 3d Edition (reference number ISO668–1979(E)), including suc-
cessive revisions, and similar containers that are used in providing
transportation in interstate commerce.
(5) ‘‘first carrier’’ means the first carrier transporting a loaded con-
tainer or trailer in intermodal transportation.
(6) ‘‘intermodal transportation’’ means the successive transportation of
a loaded container or trailer from its place of origin to its place of des-
tination by more than one mode of transportation in interstate or for-
eign commerce, whether under a single bill of lading or under separate
bills of lading.
(7) ‘‘trailer’’ means a nonpower, property-carrying, trailing unit that
is designed for use in combination with a truck tractor.
§ 5902. Notifications and certifications
(a) PRIOR NOTIFICATION.—Before a person tenders to a first carrier for
intermodal transportation a loaded container or trailer having a projected
gross cargo weight of more than 10,000 pounds (including packing material
and pallets), the person shall give the carrier a written notification of the
gross cargo weight and a reasonable description of the contents of the con-
tainer or trailer. The notification may be transmitted electronically.
(b) CERTIFICATION.—Not later than when a person tenders to a first car-
rier for intermodal transportation a container or trailer to which subsection
(a) of this section applies or a loaded container or trailer having an actual
gross cargo weight of more than 10,000 pounds (including packing material
and pallets), the person shall certify to the carrier in writing the actual gross
cargo weight and a reasonable description of the contents of the container or
trailer.
(c) FORWARDING CERTIFICATIONS TO SUBSEQUENT CARRIERS.—A carrier,
agent of a carrier, broker, customs broker, freight forwarder, warehouser, or
terminal operator shall forward the certification provided under subsection (b)
of this section to a subsequent carrier transporting the container or trailer
in intermodal transportation. The act of forwarding the certification may not
be construed as a verification or affirmation of the accuracy or completeness
of the information in the certification.
(d) NONAPPLICATION.—(1) Subsections (a) and (b) of this section and sec-
tion 5903(c) of this title do not apply to a carrier when the carrier is trans-
ferring a loaded container or trailer to another carrier during intermodal
140
transportation, unless the carrier is also the person tendering the loaded con-
tainer or trailer to the first carrier.
(2) A carrier, agent of a carrier, broker, customs broker, freight forwarder,
warehouser, or terminal operator is deemed not to be a person tendering a
loaded container or trailer to a first carrier under this section, unless the car-
rier, agent, broker, customs broker, freight forwarder, warehouser, or terminal
operator assumes legal responsibility for loading property into the container
or trailer.
§ 5903. Prohibitions
(a) PROVIDING ERRONEOUS INFORMATION.—A person tendering a loaded
container or trailer may not provide erroneous information in a certification
required by section 5902(b) of this title.
(b) TRANSPORTING PRIOR TO RECEIVING CERTIFICATION.—A motor car-
rier may not transport a loaded container or trailer to which section 5902(b)
of this title applies before receiving the certification required by section
5902(b).
(c) UNLAWFUL COERCION.—(1) A person may not coerce or attempt to co-
erce a person participating in intermodal transportation to transport a load-
ed container or trailer having an actual gross cargo weight of more than
10,000 pounds (including packing materials and pallets) before the certifi-
cation required by section 5902(b) of this title is provided.
(2) A person, knowing that the weight of a loaded container or trailer or
the weight of a tractor-trailer combination carrying the container or trailer
is more than the weight allowed by applicable State law, may not coerce or
attempt to coerce a carrier to transport the container or trailer or to operate
the tractor-trailer combination in violation of that State law.
§ 5904. State enforcement
(a) GENERAL.—A State may enact a law to permit the State or a political
subdivision of the State—
(1) to impose a fine or penalty, for a violation of a State highway
weight law or regulation by a tractor-trailer combination carrying a
loaded container or trailer for which a certification is required by section
5902(b) of this title, against the person tendering the loaded container
or trailer to the first carrier if the violation results from the person’s
having provided erroneous information in the certification in violation
of section 5903(a) of this title; and
(2) to impound the container or trailer until the fine or penalty has
been paid by the owner or beneficial owner of the contents of the con-
tainer or trailer or the person tendering the loaded container or trailer
to the first carrier.
141
(b) LIMITATION.—This chapter does not require a person tendering a load-
ed container or trailer to a first carrier to ensure that the first carrier or
any other carrier involved in the intermodal transportation will comply with
any State highway weight law or regulation, other than as required by this
chapter.
§ 5905. Liens
(a) GENERAL.—If a person involved in the intermodal transportation of a
loaded container or trailer for which a certification is required by section
5902(b) of this title is required under State law to post a bond or pay any
fine, penalty, cost, or interest resulting from providing erroneous information
in the certification to the first carrier in violation of section 5903(a) of this
title, the person has a lien against the contents equal to the amount of the
bond, fine, penalty, cost, or interest incurred, until the person receives a pay-
ment of that amount from the owner or beneficial owner of the contents or
from the person responsible for making the certification.
(b) LIMITATIONS.—(1) A lien under this section does not authorize a person
to dispose of the contents of a loaded container or trailer until the person who
tendered the container or trailer to the first carrier is given a reasonable op-
portunity to establish responsibility for the bond, fine, penalty, cost, or
interest.
(2) In this section, an owner or beneficial owner of the contents of a con-
tainer or trailer or a person tendering a container or trailer to the first car-
rier is deemed not to be a person involved in the intermodal transportation
of the container or trailer.
§ 5906. Perishable agricultural commodities
Sections 5904(a)(2) and 5905 of this title do not apply to a container or
trailer the contents of which are perishable agricultural commodities (as de-
fined in the Perishable Agricultural Commodities Act, 1930 (7 U.S.C. 499a
et seq.)).
§ 5907. Regulations and effective date
(a) REGULATIONS.—Not later than July 25, 1993, the Secretary of Trans-
portation shall prescribe final regulations to enforce this chapter. The Sec-
retary may establish by regulation exemptions to the regulations that are in
the public interest and consistent with the purposes of this chapter.
(b) EFFECTIVE DATE.—This chapter is effective on the date final regula-
tions to enforce this chapter are prescribed.
(c) Title 49, United States Code, is amended by adding the following imme-
diately after subtitle IV:
142
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
PART A—SAFETY
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.
143
SUBCHAPTER I—GENERAL
§ 20101. Purpose
The purpose of this chapter is to promote safety in every area of railroad
operations and reduce railroad-related accidents and incidents.
§ 20102. Definitions
In this part—
(1) ‘‘railroad’’—
(A) means any form of nonhighway ground transportation that
runs on rails or electromagnetic guideways, including—
(i) commuter or other short-haul railroad passenger service
in a metropolitan or suburban area and commuter railroad
service that was operated by the Consolidated Rail Corporation
on January 1, 1979; and
(ii) high speed ground transportation systems that connect
metropolitan areas, without regard to whether those systems
use new technologies not associated with traditional railroads;
but
(B) does not include rapid transit operations in an urban area
that are not connected to the general railroad system of transpor-
tation.
(2) ‘‘railroad carrier’’ means a person providing railroad transpor-
tation.
§ 20103. General authority
(a) REGULATIONS AND ORDERS.—The Secretary of Transportation, as nec-
essary, shall prescribe regulations and issue orders for every area of railroad
safety supplementing laws and regulations in effect on October 16, 1970.
(b) REGULATIONS OF PRACTICE FOR PROCEEDINGS.—The Secretary shall
prescribe regulations of practice applicable to each proceeding under this
chapter. The regulations shall reflect the varying nature of the proceedings
and include time limits for disposition of the proceedings. The time limit for
disposition of a proceeding may not be more than 12 months after the date
it begins.
(c) CONSIDERATION OF INFORMATION AND STANDARDS.—In prescribing
regulations and issuing orders under this section, the Secretary shall consider
existing relevant safety information and standards.
(d) WAIVERS.—The Secretary may waive compliance with any part of a
regulation prescribed or order issued under this chapter if the waiver is in
the public interest and consistent with railroad safety. The Secretary shall
make public the reasons for granting the waiver.
(e) HEARINGS.—The Secretary shall conduct a hearing as provided by sec-
tion 553 of title 5 when prescribing a regulation or issuing an order under
144
this chapter, including a regulation or order establishing, amending, or
waiving compliance with a railroad safety regulation prescribed or order is-
sued under this chapter. An opportunity for an oral presentation shall be pro-
vided.
§ 20104. Emergency authority
(a) ORDERING RESTRICTIONS AND PROHIBITIONS.—(1) If, through testing,
inspection, investigation, or research carried out under this chapter, the Sec-
retary of Transportation decides that an unsafe condition or practice, or a
combination of unsafe conditions and practices, causes an emergency situa-
tion involving a hazard of death or personal injury, the Secretary imme-
diately may order restrictions and prohibitions, without regard to section
20103(e) of this title, that may be necessary to abate the situation.
(2) The order shall describe the condition or practice, or a combination of
conditions and practices, that causes the emergency situation and prescribe
standards and procedures for obtaining relief from the order. This paragraph
does not affect the Secretary’s discretion under this section to maintain the
order in effect for as long as the emergency situation exists.
(b) REVIEW OF ORDERS.—After issuing an order under this section, the
Secretary shall provide an opportunity for review of the order under section
554 of title 5. If a petition for review is filed and the review is not completed
by the end of the 30-day period beginning on the date the order was issued,
the order stops being effective at the end of that period unless the Secretary
decides in writing that the emergency situation still exists.
(c) CIVIL ACTIONS TO COMPEL ISSUANCE OF ORDERS.—An employee of a
railroad carrier engaged in interstate or foreign commerce who may be ex-
posed to imminent physical injury during that employment because of the
Secretary’s failure, without any reasonable basis, to issue an order under sub-
section (a) of this section, or the employee’s authorized representative, may
bring a civil action against the Secretary in a district court of the United
States to compel the Secretary to issue an order. The action must be brought
in the judicial district in which the emergency situation is alleged to exist,
in which that employing carrier has its principal executive office, or for the
District of Columbia. The Secretary’s failure to issue an order under sub-
section (a) of this section may be reviewed only under section 706 of title 5.
§ 20105. State participation
(a) INVESTIGATIVE
AND SURVEILLANCE ACTIVITIES.—The Secretary of
Transportation may prescribe investigative and surveillance activities nec-
essary to enforce the safety regulations prescribed and orders issued by the
Secretary that apply to railroad equipment, facilities, rolling stock, and oper-
ations in a State. The State may participate in those activities when the safe-
ty practices for railroad equipment, facilities, rolling stock, and operations
145
in the State are regulated by a State authority and the authority submits
to the Secretary an annual certification as provided in subsection (b) of this
section.
(b) ANNUAL CERTIFICATION.—(1) A State authority’s annual certification
must include—
(A) a certification that the authority—
(i) has regulatory jurisdiction over the safety practices for rail-
road equipment, facilities, rolling stock, and operations in the State;
(ii) was given a copy of each safety regulation prescribed and
order issued by the Secretary, that applies to the equipment, facili-
ties, rolling stock, or operations, as of the date of certification; and
(iii) is conducting the investigative and surveillance activities
prescribed by the Secretary under subsection (a) of this section; and
(B) a report, in the form the Secretary prescribes by regulation, that
includes—
(i) the name and address of each railroad carrier subject to the
safety jurisdiction of the authority;
(ii) each accident or incident reported during the prior 12
months by a railroad carrier involving a fatality, personal injury
requiring hospitalization, or property damage of more than $750
(or a higher amount prescribed by the Secretary), and a summary
of the authority’s investigation of the cause and circumstances sur-
rounding the accident or incident;
(iii) the record maintenance, reporting, and inspection practices
conducted by the authority to aid the Secretary in enforcing rail-
road safety regulations prescribed and orders issued by the Sec-
retary, including the number of inspections made of railroad equip-
ment, facilities, rolling stock, and operations by the authority dur-
ing the prior 12 months; and
(iv) other information the Secretary requires.
(2) An annual certification applies to a safety regulation prescribed or
order issued after the date of the certification only if the State authority sub-
mits an appropriate certification to provide the necessary investigative and
surveillance activities.
(3) If, after receipt of an annual certification, the Secretary decides the
State authority is not complying satisfactorily with the investigative and sur-
veillance activities prescribed under subsection (a) of this section, the Sec-
retary may reject any part of the certification or take other appropriate ac-
tion to achieve adequate enforcement. The Secretary must give the authority
notice and an opportunity for a hearing before taking action under this para-
graph. When the Secretary gives notice, the burden of proof is on the author-
146
ity to show that it is complying satisfactorily with the investigative and sur-
veillance activities prescribed by the Secretary.
(c) AGREEMENT WHEN CERTIFICATION NOT RECEIVED.—(1) If the Sec-
retary does not receive an annual certification under subsection (a) of this
section related to any railroad equipment, facility, rolling stock, or operation,
the Secretary may make an agreement with a State authority for the author-
ity to provide any part of the investigative and surveillance activities pre-
scribed by the Secretary as necessary to enforce the safety regulations and or-
ders applicable to the equipment, facility, rolling stock, or operation.
(2) The Secretary may terminate any part of an agreement made under
this subsection on finding that the authority has not provided every part of
the investigative and surveillance activities to which the agreement relates.
The Secretary must give the authority notice and an opportunity for a hear-
ing before making such a finding. The finding and termination shall be pub-
lished in the Federal Register and may not become effective for at least 15
days after the date of publication.
(d) AGREEMENT FOR INVESTIGATIVE AND SURVEILLANCE ACTIVITIES.—In
addition to providing for State participation under this section, the Secretary
may make an agreement with a State to provide investigative and surveil-
lance activities related to the Secretary’s duties under chapters 203–213 of
this title.
(e) PAYMENT.—On application by a State authority that has submitted a
certification under subsections (a) and (b) of this section or made an agree-
ment under subsection (c) or (d) of this section, the Secretary shall pay not
more than 50 percent of the cost of the personnel, equipment, and activities
of the authority needed, during the next fiscal year, to carry out a safety pro-
gram under the certification or agreement. However, the Secretary may pay
an authority only when the authority assures the Secretary that it will pro-
vide the remaining cost of the safety program and that the total State money
expended for the safety program, excluding grants of the United States Gov-
ernment, will be at least as much as the average amount expended for the
fiscal years that ended June 30, 1969, and June 30, 1970.
(f) MONITORING.—The Secretary may monitor State investigative and sur-
veillance practices and carry out other inspections and investigations nec-
essary to help enforce this chapter.
§ 20106. National uniformity of regulation
Laws, regulations, and orders related to railroad safety shall be nationally
uniform to the extent practicable. A State may adopt or continue in force a
law, regulation, or order related to railroad safety until the Secretary of
Transportation prescribes a regulation or issues an order covering the subject
matter of the State requirement. A State may adopt or continue in force an
147
additional or more stringent law, regulation, or order related to railroad safe-
ty when the law, regulation, or order—
(1) is necessary to eliminate or reduce an essentially local safety haz-
ard;
(2) is not incompatible with a law, regulation, or order of the United
States Government; and
(3) does not unreasonably burden interstate commerce.
§ 20107. Inspection and investigation
(a) GENERAL.—To carry out this part, the Secretary of Transportation
may take actions the Secretary considers necessary, including—
(1) conduct investigations, make reports, issue subpenas, require the
production of documents, take depositions, and prescribe recordkeeping
and reporting requirements; and
(2) delegate to a public entity or qualified person the inspection, ex-
amination, and testing of railroad equipment, facilities, rolling stock, op-
erations, and persons.
(b) ENTRY AND INSPECTION.—In carrying out this part, an officer, em-
ployee, or agent of the Secretary, at reasonable times and in a reasonable
way, may enter and inspect railroad equipment, facilities, rolling stock, oper-
ations, and relevant records. When requested, the officer, employee, or agent
shall display proper credentials. During an inspection, the officer, employee,
or agent is an employee of the United States Government under chapter 171
of title 28.
§ 20108. Research, development, testing, and training
(a) GENERAL.—The Secretary of Transportation shall carry out, as nec-
essary, research, development, testing, evaluation, and training for every area
of railroad safety.
(b) CONTRACTS.—To carry out this part, the Secretary may make contracts
for, and carry out, research, development, testing, evaluation, and training
(particularly for those areas of railroad safety found to need prompt atten-
tion).
(c) AMOUNTS FROM NON-GOVERNMENT SOURCES FOR TRAINING SAFETY
EMPLOYEES.—The Secretary may request, receive, and expend amounts re-
ceived from non-United States Government sources for expenses incurred in
training safety employees of private industry, State and local authorities, or
other public authorities, except State rail safety inspectors participating in
training under section 20105 of this title.
§ 20109. Employee protections
(a) FILING COMPLAINTS AND TESTIFYING.—A railroad carrier engaged in
interstate or foreign commerce may not discharge or in any way discriminate
148
against an employee because the employee, whether acting for the employee
or as a representative, has—
(1) filed a complaint or brought or caused to be brought a proceeding
related to the enforcement of this part or, as applicable to railroad safe-
ty, chapter 51 or 57 of this title; or
(2) testified or will testify in that proceeding.
(b) REFUSING TO WORK BECAUSE OF HAZARDOUS CONDITIONS.—(1) A
railroad carrier engaged in interstate or foreign commerce may not discharge
or in any way discriminate against an employee for refusing to work when
confronted by a hazardous condition related to the performance of the employ-
ee’s duties, if—
(A) the refusal is made in good faith and no reasonable alternative
to the refusal is available to the employee;
(B) a reasonable individual in the circumstances then confronting the
employee would conclude that—
(i) the hazardous condition presents an imminent danger of death
or serious injury; and
(ii) the urgency of the situation does not allow sufficient time to
eliminate the danger through regular statutory means; and
(C) the employee, where possible, has notified the carrier of the hazard-
ous condition and the intention not to perform further work unless the
condition is corrected immediately.
(2) This subsection does not apply to security personnel employed by a car-
rier to protect individuals and property transported by railroad.
(c) DISPUTE RESOLUTION.—A dispute, grievance, or claim arising under
this section is subject to resolution under section 3 of the Railway Labor Act
(45 U.S.C. 153). In a proceeding by the National Railroad Adjustment
Board, a division or delegate of the Board, or another board of adjustment
established under section 3 to resolve the dispute, grievance, or claim, the pro-
ceeding shall be expedited and the dispute, grievance, or claim shall be re-
solved not later than 180 days after it is filed. If the violation is a form of
discrimination that does not involve discharge, suspension, or another action
affecting pay, and no other remedy is available under this subsection, the
Board, division, delegate, or other board of adjustment may award the em-
ployee reasonable damages, including punitive damages, of not more than
$20,000.
(d) ELECTION OF REMEDIES.—An employee of a railroad carrier may not
seek protection under both this section and another provision of law for the
same allegedly unlawful act of the carrier.
(e) DISCLOSURE OF IDENTITY.—(1) Except as provided in paragraph (2)
of this subsection, or with the written consent of the employee, the Secretary
149
of Transportation may not disclose the name of an employee of a railroad
carrier who has provided information about an alleged violation of this part
or, as applicable to railroad safety, chapter 51 or 57 of this title or a regula-
tion prescribed or order issued under any of those provisions.
(2) The Secretary shall disclose to the Attorney General the name of an em-
ployee described in paragraph (1) of this subsection if the matter is referred
to the Attorney General for enforcement.
§ 20110. Effect on employee qualifications and collective bar-
gaining
This chapter does not—
(1) authorize the Secretary of Transportation to prescribe regulations
and issue orders related to qualifications of employees, except qualifica-
tions specifically related to safety; or
(2) prohibit the bargaining representatives of railroad carriers and
their employees from making collective bargaining agreements under the
Railway Labor Act (45 U.S.C. 151 et seq.), including agreements related
to qualifications of employees, that are not inconsistent with regulations
prescribed and orders issued under this chapter.
§ 20111. Enforcement by the Secretary of Transportation
(a) EXCLUSIVE AUTHORITY.—The Secretary of Transportation has exclu-
sive authority—
(1) to impose and compromise a civil penalty for a violation of a rail-
road safety regulation prescribed or order issued by the Secretary;
(2) except as provided in section 20113 of this title, to request an in-
junction for a violation of a railroad safety regulation prescribed or
order issued by the Secretary; and
(3) to recommend appropriate action be taken under section 20112(a)
of this title.
(b) COMPLIANCE ORDERS.—The Secretary may issue an order directing
compliance with this part or with a railroad safety regulation prescribed or
order issued under this part.
(c) ORDERS PROHIBITING INDIVIDUALS FROM PERFORMING SAFETY-SEN-
SITIVE FUNCTIONS.—If an individual’s violation of a regulation prescribed or
order issued by the Secretary under this chapter is shown to make that indi-
vidual unfit for the performance of safety-sensitive functions, the Secretary,
after notice and opportunity for a hearing, may issue an order prohibiting
the individual from performing safety-sensitive functions in the railroad in-
dustry for a specified period of time or until specified conditions are met.
This subsection does not affect the Secretary’s authority under section 20104
of this title to act on an emergency basis.
150
(d) REGULATIONS REQUIRING REPORTING OF REMEDIAL ACTIONS.—(1)
The Secretary shall prescribe regulations to require that a railroad carrier
notified by the Secretary that imposition of a civil penalty will be rec-
ommended for a failure to comply with this part, chapter 51 or 57 of this
title, or a regulation prescribed or order issued under any of those provisions,
shall report to the Secretary, not later than the 30th day after the end of the
month in which the notification is received—
(A) actions taken to remedy the failure; or
(B) if appropriate remedial actions cannot be taken by that 30th day,
an explanation of the reasons for the delay.
(2) The Secretary—
(A) not later than June 3, 1993, shall issue a notice of a regulatory
proceeding for proposed regulations to carry out this subsection; and
(B) not later than September 3, 1994, shall prescribe final regulations
to carry out this subsection.
§ 20112. Enforcement by the Attorney General
(a) CIVIL ACTIONS.—At the request of the Secretary of Transportation, the
Attorney General may bring a civil action in a district court of the United
States—
(1) to enjoin a violation of, or to enforce, a railroad safety regulation
prescribed or order issued by the Secretary;
(2) to collect a civil penalty imposed or an amount agreed on in com-
promise under section 21301 of this title; or
(3) to enforce a subpena issued by the Secretary under this chapter.
(b) VENUE.—(1) Except as provided in paragraph (2) of this subsection,
a civil action under this section may be brought in the judicial district in
which the violation occurred or the defendant has its principal executive of-
fice. If an action to collect a penalty is against an individual, the action also
may be brought in the judicial district in which the individual resides.
(2) A civil action to enforce a subpena issued by the Secretary or a compli-
ance order issued under section 20111(b) of this title may be brought in the
judicial district in which the defendant resides, does business, or is found.
§ 20113.
Enforcement by the States
(a) INJUNCTIVE RELIEF.—If the Secretary of Transportation does not begin
a civil action under section 20112 of this title to enjoin the violation of a
railroad safety regulation prescribed or order issued by the Secretary not later
than 15 days after the date the Secretary receives notice of the violation and
a request from a State authority participating in investigative and surveil-
lance activities under section 20105 of this title that the action be brought,
the authority may bring a civil action in a district court of the United States
to enjoin the violation. This subsection does not apply if the Secretary makes
151
an affirmative written finding that the violation did not occur or that the
action is not necessary because of other enforcement action taken by the Sec-
retary related to the violation.
(b) IMPOSITION AND COLLECTION OF CIVIL PENALTIES.—If the Secretary
does not impose the applicable civil penalty for a violation of a railroad safe-
ty regulation prescribed or order issued by the Secretary not later than 60
days after the date of receiving notice from a State authority participating
in investigative and surveillance activities under section 20105 of this title,
the authority may bring a civil action in a district court of the United States
to impose and collect the penalty. This paragraph does not apply if the Sec-
retary makes an affirmative written finding that the violation did not occur.
(c) VENUE.—A civil action under this section may be brought in the judi-
cial district in which the violation occurred or the defendant has its principal
executive office. However, a State authority may not bring an action under
this section outside the State.
§ 20114. Judicial procedures
(a) CRIMINAL CONTEMPT.—In a trial for criminal contempt for violating
an injunction or restraining order issued under this chapter, the violation of
which is also a violation of this chapter, the defendant may demand a jury
trial. The defendant shall be tried as provided in rule 42(b) of the Federal
Rules of Criminal Procedure (18 App. U.S.C.).
(b) SUBPENAS FOR WITNESSES.—A subpena for a witness required to at-
tend a district court of the United States in an action brought under this
chapter may be served in any judicial district.
(c) REVIEW OF AGENCY ACTION.—Except as provided in section 20104(c)
of this title, a proceeding to review a final action of the Secretary of Trans-
portation under this part or, as applicable to railroad safety, chapter 51 or
57 of this title shall be brought in the appropriate court of appeals as pro-
vided in chapter 158 of title 28.
§ 20115. User fees
(a) SCHEDULE OF FEES.—The Secretary of Transportation shall prescribe
by regulation a schedule of fees for railroad carriers subject to this chapter.
The fees—
(1) shall cover the costs of carrying out this chapter (except section
20108(a));
(2) shall be imposed fairly on the railroad carriers, in reasonable rela-
tionship to an appropriate combination of criteria such as revenue ton-
miles, track miles, passenger miles, or other relevant factors; and
(3) may not be based on that part of industry revenues attributable
to a railroad carrier or class of railroad carriers.
152
(b) COLLECTION PROCEDURES.—The Secretary shall prescribe procedures
to collect the fees. The Secretary may use the services of a department, agency,
or instrumentality of the United States Government or of a State or local au-
thority to collect the fees, and may reimburse the department, agency, or in-
strumentality a reasonable amount for its services.
(c) COLLECTION, DEPOSIT, AND USE.—(1) The Secretary shall impose and
collect fees under this section for each fiscal year before the end of the fiscal
year.
(2) Fees collected under this section shall be deposited in the general fund
of the Treasury as offsetting receipts. The fees may be used, to the extent pro-
vided in advance in an appropriation law, only to carry out this chapter.
(3) Fees prescribed under this section shall be imposed in an amount suffi-
cient to pay for the costs of activities under this chapter. However, the total
fees received for a fiscal year may not be more than 105 percent of the total
amount of the appropriations for the fiscal year for activities to be financed
by the fees.
(d) ANNUAL REPORT.—(1) Not later than 90 days after the end of each
fiscal year in which fees are collected under this section, the Secretary shall
report to Congress on—
(A) the amount of fees collected during that fiscal year;
(B) the impact of the fees on the financial health of the railroad indus-
try and its competitive position relative to each competing mode of
transportation; and
(C) the total cost of Government safety activities for each other com-
peting mode of transportation, including any part of that total cost de-
frayed by Government user fees.
(2) Not later than 90 days after submitting a report for a fiscal year, the
Secretary shall submit to Congress recommendations for corrective legislation
if the report includes a finding that—
(A) there has been an impact from the fees on the financial health of
the railroad industry or its competitive position relative to each compet-
ing mode of transportation; or
(B) there is a significant difference in the burden of Government user
fees on the railroad industry and other competing modes of transpor-
tation.
(e) EXPIRATION.—This section expires on September 30, 1995.
§ 20116. Annual report
The Secretary of Transportation shall submit to the President for submis-
sion to Congress not later than July 1 of each year a report on carrying out
this chapter for the prior calendar year. The report shall include the following
information about the prior year:
153
(1) a thorough statistical compilation of railroad accidents, incidents,
and casualties by cause.
(2) a list of railroad safety regulations and orders prescribed, issued,
or in effect under this chapter.
(3) a summary of the reasons for each waiver granted under section
20103(d) of this title.
(4) an evaluation of the degree of compliance with railroad safety reg-
ulations prescribed and orders issued under this chapter.
(5) a summary of outstanding problems in carrying out railroad safe-
ty regulations prescribed and orders issued under this chapter, in order
of priority.
(6) an analysis and evaluation of research and related activities com-
pleted, including their policy implications, and technological progress
achieved.
(7) a list, with a brief statement of the issues, of completed or pending
civil actions to enforce railroad safety regulations prescribed and orders
issued under this chapter.
(8) the extent to which technical information was distributed to the
scientific community and consumer-oriented information was made
available to the public.
(9) a compilation of certifications filed under section 20105(a) of this
title that were—
(A) in effect; or
(B) rejected in any part by the Secretary, and a summary of the
reasons for each rejection.
(10) a compilation of agreements made under section 20105(c) of this
title that were—
(A) in effect; or
(B) terminated in any part by the Secretary, and a summary
of the reasons for each termination.
(11) recommendations for legislation the Secretary considers necessary
to strengthen the national railroad safety program.
§ 20117. Authorization of appropriations
(a) GENERAL.—(1) Not more than the following amounts may be appro-
priated to the Secretary of Transportation to carry out this chapter:
(A) $68,283,000 for the fiscal year ending September 30, 1993.
(B) $71,690,000 for the fiscal year ending September 30, 1994.
(2) Not more than $5,000,000 may be appropriated to the Secretary for
the fiscal year ending September 30, 1993, to carry out section 20105 of this
title.
154
(b) GRADE CROSSING SAFETY.—Not more than $1,000,000 may be appro-
priated to the Secretary for improvements in grade crossing safety, except
demonstration projects under section 20134(c) of this title. Amounts appro-
priated under this subsection remain available until expended.
(c) RESEARCH AND DEVELOPMENT, AUTOMATED TRACK INSPECTION, AND
STATE PARTICIPATION GRANTS.—Amounts appropriated under this section
for research and development, automated track inspection, and grants under
section 20105(e) of this title remain available until expended.
(d) MINIMUM AVAILABLE FOR CERTAIN PURPOSES.—At least 50 percent of
the amounts appropriated to the Secretary for a fiscal year to carry out rail-
road research and development programs under this chapter or another law
shall be available for safety research, improved track inspection and informa-
tion acquisition technology, improved railroad freight transportation, and im-
proved railroad passenger systems.
SUBCHAPTER II—PARTICULAR ASPECTS OF SAFETY
§ 20131. Restricted access to rolling equipment
The Secretary of Transportation shall prescribe regulations and issue or-
ders that may be necessary to require that when railroad carrier employees
(except train or yard crews) assigned to inspect, test, repair, or service rolling
equipment have to work on, under, or between that equipment, every manu-
ally operated switch, including each crossover switch, providing access to the
track on which the equipment is located is lined against movement to that
track and secured by an effective locking device that can be removed only by
the class or craft of employees performing the inspection, testing, repair, or
service.
§ 20132. Visible markers for rear cars
(a) GENERAL.—The Secretary of Transportation shall prescribe regulations
and issue orders that may be necessary to require that—
(1) the rear car of each passenger and commuter train has at least
one highly visible marker that is lighted during darkness and when
weather conditions restrict clear visibility; and
(2) the rear car of each freight train has highly visible markers during
darkness and when weather conditions restrict clear visibility.
(b) PREEMPTION.—Notwithstanding section 20106 of this title, subsection
(a) of this section does not prohibit a State from continuing in force a law,
regulation, or order in effect on July 8, 1976, related to lighted markers on
the rear car of a freight train except to the extent it would cause the car to
be in violation of this section.
§ 20133. Passenger equipment
(a) GENERAL.—The Secretary of Transportation shall prescribe regulations
and issue orders that may be necessary to ensure that the construction, main-
155
tenance, and operation of railroad equipment used to transport railroad pas-
sengers, whether in commuter or intercity service, maximize the safety of those
passengers. The Secretary periodically shall review the regulations and orders
and make amendments that may be necessary.
(b) CONSIDERATIONS AND AREAS OF CONCENTRATION.—In prescribing reg-
ulations, issuing orders, and making amendments under this section, the Sec-
retary shall—
(1) consider comparable regulations and procedures of the United
States Government that apply to other modes of transportation, espe-
cially those regulations and procedures carried out by the Administrator
of the Federal Aviation Administration;
(2) consider relevant differences between commuter and intercity pas-
senger service;
(3) concentrate on those areas that the Secretary believes present the
greatest opportunity for enhancing the safety of the equipment; and
(4) give significant weight to the expenditures that would be necessary
to retrofit existing equipment and to change specifications for equipment
on order.
(c) CONSULTATION.—In prescribing regulations, issuing orders, and mak-
ing amendments under this section, the Secretary may consult with Amtrak,
public authorities operating railroad passenger service, other railroad carriers
transporting passengers, organizations of passengers, and organizations of
employees. A consultation is not subject to the Federal Advisory Committee
Act (5 App. U.S.C.), but minutes of the consultation shall be placed in the
public docket of the regulatory proceeding.
§ 20134. Grade crossings and railroad rights of way
(a) GENERAL.—To the extent practicable, the Secretary of Transportation
shall maintain a coordinated effort to develop and carry out solutions to the
railroad grade crossing problem and measures to protect pedestrians in dense-
ly populated areas along railroad rights of way. To carry out this subsection,
the Secretary may use the authority of the Secretary under this chapter and
over highway, traffic, and motor vehicle safety and over highway construction.
(b) SIGNAL SYSTEMS AND OTHER DEVICES.—Not later than June 22, 1989,
the Secretary shall prescribe regulations and issue orders to ensure the safe
maintenance, inspection, and testing of signal systems and devices at railroad
highway grade crossings.
(c) DEMONSTRATION PROJECTS.—(1) The Secretary shall establish dem-
onstration projects to evaluate whether accidents and incidents involving
trains would be reduced by—
(A) reflective markers installed on the road surface or on a signal post
at railroad grade crossings;
156
(B) stop signs or yield signs installed at grade crossings; and
(C) speed bumps or rumble strips installed on the road surfaces at the
approaches to grade crossings.
(2) Not later than June 22, 1990, the Secretary shall submit a report on
the results of the demonstration projects to the Committee on Energy and
Commerce of the House of Representatives and the Committee on Commerce,
Science, and Transportation of the Senate.
§ 20135. Licensing or certification of locomotive operators
(a) GENERAL.—The Secretary of Transportation shall prescribe regulations
and issue orders to establish a program requiring the licensing or certifi-
cation, after one year after the program is established, of any operator of a
locomotive.
(b) PROGRAM REQUIREMENTS.—The program established under subsection
(a) of this section—
(1) shall be carried out through review and approval of each railroad
carrier’s operator qualification standards;
(2) shall provide minimum training requirements;
(3) shall require comprehensive knowledge of applicable railroad car-
rier operating practices and rules;
(4) except as provided in subsection (c)(1) of this section, shall require
consideration, to the extent the information is available, of the motor ve-
hicle driving record of each individual seeking licensing or certification,
including—
(A) any denial, cancellation, revocation, or suspension of a motor
vehicle operator’s license by a State for cause within the prior 5
years; and
(B) any conviction within the prior 5 years of an offense de-
scribed in section 30304(a)(3) (A) or (B) of this title;
(5) may require, based on the individual’s driving record, disqualifica-
tion or the granting of a license or certification conditioned on require-
ments the Secretary prescribes; and
(6) shall require an individual seeking a license or certification—
(A) to request the chief driver licensing official of each State in
which the individual has held a motor vehicle operator’s license
within the prior 5 years to provide information about the individ-
ual’s driving record to the individual’s employer, prospective em-
ployer, or the Secretary, as the Secretary requires; and
(B) to make the request provided for in section 30305(b)(4) of this
title for information to be sent to the individual’s employer, pro-
spective employer, or the Secretary, as the Secretary requires.
157
(c) WAIVERS.—(1) The Secretary shall prescribe standards and establish
procedures for waiving subsection (b)(4) of this section for an individual or
class of individuals who the Secretary decides are not currently unfit to oper-
ate a locomotive. However, the Secretary may waive subsection (b)(4) for an
individual or class of individuals with a conviction, cancellation, revocation,
or suspension described in paragraph (2) (A) or (B) of this subsection only
if the individual or class, after the conviction, cancellation, revocation, or sus-
pension, successfully completes a rehabilitation program established by a rail-
road carrier or approved by the Secretary.
(2) If an individual, after the conviction, cancellation, revocation, or sus-
pension, successfully completes a rehabilitation program established by a rail-
road carrier or approved by the Secretary, the individual may not be denied
a license or certification under subsection (b)(4) of this section because of—
(A) a conviction for operating a motor vehicle when under the influ-
ence of, or impaired by, alcohol or a controlled substance; or
(B) the cancellation, revocation, or suspension of the individual’s
motor vehicle operator’s license for operating a motor vehicle when under
the influence of, or impaired by, alcohol or a controlled substance.
(d) OPPORTUNITY FOR HEARING.—An individual denied a license or cer-
tification or whose license or certification is conditioned on requirements pre-
scribed under subsection (b)(4) of this section shall be entitled to a hearing
under section 20103(e) of this title to decide whether the license has been prop-
erly denied or conditioned.
(e) OPPORTUNITY TO EXAMINE AND COMMENT ON INFORMATION.—The Sec-
retary, employer, or prospective employer, as appropriate, shall make infor-
mation obtained under subsection (b)(6) of this section available to the indi-
vidual. The individual shall be given an opportunity to comment in writing
about the information. Any comment shall be included in any record or file
maintained by the Secretary, employer, or prospective employer that contains
information to which the comment is related.
§ 20136. Automatic train control and related systems
The Secretary of Transportation shall prescribe regulations and issue or-
ders to require that—
(1) an individual performing a test of an automatic train stop, train
control, or cab signal apparatus required by the Secretary to be per-
formed before entering territory where the apparatus will be used shall
certify in writing that the test was performed properly; and
(2) the certification required under clause (1) of this subsection shall
be maintained in the same way and place as the daily inspection report
for the locomotive.
158
§ 20137. Event recorders
(a) DEFINITION.—In this section, ‘‘event recorder’’ means a device that—
(1) records train speed, hot box detection, throttle position, brake ap-
plication, brake operations, and any other function the Secretary of
Transportation considers necessary to record to assist in monitoring the
safety of train operation, such as time and signal indication; and
(2) is designed to resist tampering.
(b) REGULATIONS AND ORDERS.—Not later than December 22, 1989, the
Secretary shall prescribe regulations and issue orders that may be necessary
to enhance safety by requiring that a train be equipped with an event re-
corder not later than one year after the regulations are prescribed and the
orders are issued. However, if the Secretary finds it is impracticable to equip
trains within that one-year period, the Secretary may extend the period to
a date that is not later than 18 months after the regulations are prescribed
and the orders are issued.
§ 20138. Tampering with safety and operational monitoring
devices
(a) GENERAL.—The Secretary of Transportation shall prescribe regulations
and issue orders to prohibit the willful tampering with, or disabling of, any
specified railroad safety or operational monitoring device.
(b) PENALTIES.—(1) A railroad carrier operating a train on which a safe-
ty or operational monitoring device is tampered with or disabled in violation
of a regulation prescribed or order issued under subsection (a) of this section
is liable to the United States Government for a civil penalty under section
21301 of this title.
(2) An individual tampering with or disabling a safety or operational
monitoring device in violation of a regulation prescribed or order issued
under subsection (a) of this section, or knowingly operating or allowing to
be operated a train on which such a device has been tampered with or dis-
abled, is liable for penalties established by the Secretary. The penalties may
include—
(A) a civil penalty under section 21301 of this title;
(B) suspension from work; and
(C) suspension or loss of a license or certification issued under section
20135 of this title.
§ 20139. Maintenance-of-way operations on railroad bridges
Not later than June 22, 1989, the Secretary of Transportation shall pre-
scribe regulations and issue orders for the safety of maintenance-of-way em-
ployees on railroad bridges. The Secretary at least shall provide in those regu-
lations standards for bridge safety equipment, including nets, walkways,