§ 5312. Research, development, demonstration, and training
projects
(a) RESEARCH, DEVELOPMENT, AND DEMONSTRATION PROJECTS.—The
Secretary of Transportation (or the Secretary of Housing and Urban Devel-
opment when required by section 5334(i) of this title) may undertake, or
make grants or contracts (including agreements with departments, agencies,
and instrumentalities of the United States Government) for, research, devel-
opment, and demonstration projects related to urban mass transportation
that the Secretary decides will help reduce urban transportation needs, im-
prove 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 sub-
section 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 theo-
retical or practical problems of urban transportation; and
(B) to train individuals to conduct further research or obtain em-
ployment 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 Sec-
retary shall give preference to an institution that brings together knowledge
and expertise 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 sys-
tems to provide fellowships to train personnel employed in managerial, tech-
nical, 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 op-
eration. 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 pro-
gram. The board shall recommend mass transportation research, develop-
ment, 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 sub-
section 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 apportioned so that each State receives an amount equal to the popu-
lation in urbanized areas in the State, divided by the population in urban-
ized 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 subsection.
(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 fi-
nancial benefit to an entity under a grant or contract financed under sub-
section (a) of this section, the Secretary shall establish a United States Gov-
ernment 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 sub-
section, the Secretary shall make available at least $2,000,000 to provide
mass transportation-related technical assistance, demonstration programs,
research, public education, and other activities the Secretary considers ap-
propriate to help mass transportation providers comply with the Americans
with Disabilities Act of 1990 (42 U.S.C. 12101 et seq.). To the extent prac-
ticable, the Secretary shall carry out this paragraph through a contract with
a national nonprofit organization serving individuals with disabilities that
has a demonstrated capacity 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
chapter, except that section 5323(a)(1)(D) of this title applies to an oper-
ational 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 in-
volved in technology development. A majority of the Panel members shall
represent the supply industry. The Panel shall assist the Secretary in identi-
fying priority technology development areas and in establishing guidelines
for project development, 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
Secretary considers appropriate.
(b) GOVERNMENT’S SHARE.—When there would be a clear and direct fi-
nancial benefit to an entity under a grant or contract financed under sub-
section (a) of this section, the Secretary shall establish a United States Gov-
ernment 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 trans-
portation 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, tech-
niques, 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 sections 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 transportation 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 Uni-
versity to establish and operate an institute for national surface transpor-
tation policy studies. The institute shall—
(1) include male and female students of diverse socioeconomic and
ethnic backgrounds who are seeking careers in developing and operat-
ing surface transportation programs; and
(2) conduct research and development activities to analyze ways of
improving aspects of developing and operating surface transportation
programs of the United States.
(b) INFRASTRUCTURE TECHNOLOGY INSTITUTE.—The Secretary shall
make grants to Northwestern University to establish and operate an insti-
tute 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 Trans-
portation 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 insti-
tute to study and disseminate techniques on the diverse transportation prob-
lems 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
Transportation Studies, to establish and operate a national institute for in-
telligent vehicle-highway concepts. The institute shall conduct research and
recommend development activities that focus on methods to increase road-
way capacity, enhance safety, and reduce negative environmental effects of
transportation facilities by using intelligent vehicle-highway systems tech-
nologies.
(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 ap-
portioned 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 high-
er 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
representative of the needs of the Government region for improved
transportation 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
national 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 sup-
port ongoing transportation research programs.
(F) the recipient has a demonstrated ability to disseminate results
of transportation research and educational programs through a state-
wide 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 car-
ried 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 re-
quire the recipient to make an agreement with the Secretary to ensure that
the recipient will maintain total expenditures from all other sources to es-
tablish and operate a regional transportation center and related research ac-
tivities 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 estab-
lishing and operating the regional transportation center and related research
activities the recipient carries out.
(b) GRANTS FOR UNIVERSITY TRANSPORTATION CENTERS.—(1) To ac-
celerate 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 University to establish a national center for transportation
management, research, and development. The center shall give special atten-
tion to designing, developing, and carrying out research, training, and tech-
nology transfer activities 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 con-
gestion, 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 assur-
ances from Monmouth College that the building will be known and des-
ignated 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 con-
ducted at the building will be coordinated with the Center for Transpor-
tation and Industrial Productivity at the New Jersey Institute of Tech-
nology.
(4) The Secretary shall make grants to the University of Arkansas to es-
tablish a national rural transportation center. The center shall conduct re-
search, training, and technology transfer activities in the development, man-
agement, and operation of intermodal transportation systems in rural areas.
(5)(A) The Secretary shall make grants to the University of Idaho to es-
tablish a National Center for Advanced Transportation Technology. The
Center shall be established and operated in partnership with private indus-
try and shall conduct industry-driven research and development activities
that focus on transportation-related manufacturing and engineering proc-
esses, 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 obli-
gated 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 require-
ments 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 re-
sults of the research, and the establishment and operation of a clearing-
house between the centers and the transportation industry. At least annu-
ally, 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 Government 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
allocate amounts available to carry out this section equitably among the
Government regions.
§ 5318. Bus testing facility
(a) ESTABLISHMENT.—The Secretary of Transportation shall establish
one facility for testing a new bus model for maintainability, reliability, safe-
ty, performance (including braking performance), structural integrity, fuel
economy, emissions, and noise. The facility shall be established by renovat-
ing a facility built with assistance of the United States Government to train
rail personnel.
(b) OPERATION AND MAINTENANCE.—The Secretary shall make a con-
tract with a qualified person to operate and maintain the facility. The con-
tract may provide for the testing of rail cars and other vehicles at the facil-
ity.
(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 oper-
ate 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
transportation facilities, or to install equipment for transporting bicycles on
mass transportation vehicles is a capital project eligible for assistance under
sections 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
system; 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 prefab-
ricated elevated steel guideway;
(2) be stability-seeking with a center of gravity for the detachable
passenger vehicles located below the point of wheel-rail contact; and
(3) use vehicles that are driven by overhead bogies with high effi-
ciency, 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 com-
petition. In conducting the competition and selecting public entities, the
Secretary 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 par-
ticipate in the final phase of the competition under procedures the Secretary
prescribes. A grant may not be more than 80 percent of the cost of partici-
pating. 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
entity 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 deci-
sion on whether to construct the project. If a draft statement is published,
the Secretary, not later than 180 days after publication, shall approve and
publish in the Federal Register a notice of completion of a final environ-
mental impact 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 con-
struct 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 recipi-
ent.
(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 deter-
mined under section 5309 of this title) if the systems planning, alter-
natives analysis, preliminary engineering, and design and environ-
mental impact statement 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 op-
erating costs in an amount equal to the lesser of 50 percent of the deficit
incurred 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 Fed-
eral 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
results 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 employ-
ment 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
acquire an interest in, or buy property of, a private mass transportation
company, for a capital project for property acquired from a private mass
transportation company after July 9, 1964, or to operate mass transpor-
tation equipment or a mass transportation facility in competition with, or
in addition to, transportation service provided by an existing mass transpor-
tation 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
community, 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 devel-
oping 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
available 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, gov-
ernmental authority, or publicly owned operator that receives the assistance
agrees that, except as provided in the agreement, the governmental author-
ity 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 Transpor-
tation considers appropriate to ensure that the assistance will not enable a
governmental authority or an operator for a governmental authority to fore-
close 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 Sec-
retary shall correct the violation under terms of the agreement. In addition
to a remedy 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
advertising by a State or local governmental authority for bids to acquire
buses using financial assistance under this chapter (except section 5307)
may include passenger seat functional specifications that are at least equal
to performance specifications the Secretary of Transportation prescribes.
The specifications shall be based on a finding by the State or local govern-
mental authority 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
system;
(B) unless a private schoolbus operator can provide adequate trans-
portation 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
schoolbus transportation at any time after November 25, 1973, but be-
fore November 26, 1974.
(2) An applicant violating an agreement under this subsection may not
receive 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 applies 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 Gov-
ernment grant for a project to be assisted under this chapter that involves
acquiring 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 equip-
ment that is attributable to complying with those Acts. The Secretary of
Transportation, through practicable administrative procedures, may deter-
mine 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 pro-
duced 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, commu-
nication, 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 compo-
nents of the rolling stock; and
(ii) final assembly of the rolling stock has occurred in the Unit-
ed 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 depart-
ment, agency, or instrumentality of the Government decides the person in-
tentionally—
(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
assistance provided under this chapter that restricts a State from imposing
more stringent requirements than this subsection on the use of articles, ma-
terials, and supplies mined, produced, or manufactured in foreign countries
in projects carried out with that assistance or restricts a recipient of that
assistance 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 Trans-
portation 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 an-
other area generally not less desirable for public utilities and public and
commercial facilities, at rents or prices within the financial means of
those families, and with reasonable access to their places of employ-
ment.
(b) ECONOMIC, SOCIAL, AND ENVIRONMENTAL INTERESTS.—(1) In car-
rying out section 5301(e) of this title, the Secretary of Transportation shall
cooperate and consult with the Secretaries of Agriculture, Health and
Human Services, Housing and Urban Development, and the Interior and
the Council on Environmental Quality on each project that may have a sub-
stantial 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 environ-
mental 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
financial 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
interest of the community in which a project is located, were consid-
ered; 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 reasonable steps have been taken to minimize the effect.
(B) If a hearing has not been conducted or the Secretary of Transpor-
tation 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 environmental issue raised by the application after giving adequate
notice to interested 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 con-
tract 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 recipi-
ent of a grant under section 5307 of this title procuring an associated cap-
ital maintenance item under section 5307(b) may make a contract directly
with the original manufacturer or supplier of the item to be replaced, with-
out receiving prior approval of the Secretary, if the recipient first certifies
in writing to the Secretary that—
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(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
subsection 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 sys-
tem project’’ means a project under which a recipient makes a contract with
a seller, firm, or consortium of firms to construct a mass transportation sys-
tem that meets specific performance criteria and that the seller operates for
a period 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
chapter to be awarded conditionally before United States Government re-
quirements have been met on the project if the award is made without prej-
udice to carrying out those requirements. Government financial assistance
under this chapter 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 de-
veloping 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.
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(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
policy stated in this subsection readily practicable for all mass trans-
portation 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 management plan approved by the Secretary of Transportation. The
plan shall provide 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;
(9) internal plan implementation and reporting requirements;
(10) criteria and procedures to be used for testing the operational
system 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 de-
pend on the success of those efforts; and
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(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 avail-
able in a fiscal year to carry out a major project under section 5307 to
make a contract to oversee the construction of the project.
(2) The Secretary may use amounts available under paragraph (1) of this
subsection to make contracts for safety, procurement, management, and fi-
nancial 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.
(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 appro-
priate to begin the oversight during another stage of the project, to
103
maximize the transportation benefits and cost savings associated with
project management 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 alter-
natives 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 ap-
plicant 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 re-
quired under section 5309(m)(2) of this title or an update of the report un-
less 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 attrib-
utable 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 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 Com-
mittee 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 para-
graph (1)(B) of this subsection. The report shall explain the reasons for the
104
delay and include a plan for achieving timely completion of the Secretary’s
review.
(c) PROGRAM OF INTERRELATED PROJECTS.—(1) In this subsection, a
program 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
Transit District Tasman Corridor Project, a program element des-
ignated 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 Exten-
sion, Dublin Extension, 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
stations.
(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 Pro-
gram, consisting of 3 extensions of the Baltimore Light Rail to Hunt
Valley, Penn Station, and Baltimore-Washington Airport, MARC exten-
sions 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-
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 exten-
sion to the Westside Light Rail Project contained in that Act.
(F) the Queens Local/Express Connector Program, consisting of the
locally preferred alternative for the connection of the 63d Street tunnel
105
extension to the Queens Boulevard lines, the bell-mouth part of the
connector that will allow for future access by commuter rail trains and
other subway lines to the 63d Street tunnel extension, planning ele-
ments for connecting the upper and lower levels to commuter and sub-
way lines in Long Island City, and planning elements for providing a
connector for commuter rail transportation to the East side of Manhat-
tan 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 termi-
nal.
(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 sub-
section (a) or as otherwise provided by law and to provide Government fi-
nancing for each element. The agreement may be changed to include design
and construction of a particular element.
(3) When reviewing a project in a program of interrelated projects, the
Secretary shall consider the local financial commitment, transportation ef-
fectiveness, and other assessment factors of all program elements to the ex-
tent consideration expedites carrying out the project.
(4) Including a program element not financed by the Government in a
program 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
that the Secretary believes causes a serious hazard of death or injury to es-
tablish the nature and extent of the condition and how to eliminate or cor-
rect 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
106
withhold further financial assistance under this chapter until a plan is ap-
proved and carried 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 transpor-
tation 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
actions; and
(C) minimum standards for establishing and carrying out safety
plans by recipients of amounts under this chapter.
§ 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 with-
hold 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
107
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 sec-
tion 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
systems; and
(C) to require corrective action to correct or eliminate those
conditions.
(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 be-
fore the last day of the period for which an amount withheld under sub-
section (b) of this section remains available under paragraph (1) of this sub-
section, the Secretary, on the first day on which the State meets the re-
quirements, shall apportion to the State the amount withheld that remains
available for apportionment 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 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 sub-
section (b) of this section remains available under paragraph (1) of this sub-
section, the amount shall be apportioned for use in other States under sec-
tion 5336 of this title.
108
(f) REGULATIONS.—Not later than December 18, 1992, the Secretary
shall prescribe regulations stating the requirements for complying with sub-
section (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,
except a form the Secretary decides is covered adequately, for employee
alcohol 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 Trans-
portation shall prescribe regulations not later than October 28, 1992, that
establish a program requiring mass transportation operations that receive
financial assistance under section 5307, 5309, or 5311 of this title or sec-
tion 103(e)(4) of title 23 to conduct preemployment, reasonable suspicion,
random, and post-accident testing of mass transportation employees respon-
sible for safety-sensitive functions (as decided by the Secretary) for the use
of alcohol or a controlled substance in violation of law or a United States
Government regulation.
(B) When the Secretary of Transportation considers it appropriate in the
interest of safety, the Secretary may prescribe regulations for conducting
periodic 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
Transportation—
(A) shall require that post-accident testing of such a mass transpor-
tation employee be conducted when loss of human life occurs in an ac-
cident 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.
109
(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 subsection (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, ex-
cept as allowed for medical purposes by law or regulation.
(2) This section does not supersede any penalty applicable to a mass
transportation 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
governing the chain of custody of specimens collected for con-
trolled substances 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;
(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,
110
so that if the individual’s confirmation test results are positive the indi-
vidual 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 infor-
mation (except information about alcohol or a controlled substance) of
employees, except that this clause does not prevent the use of test re-
sults for the orderly imposition of appropriate sanctions under this sec-
tion; and
(8) ensure that employees are selected for tests by nondiscriminatory
and impartial methods, so that no employee is harassed by being treat-
ed differently from other employees in similar circumstances.
(e) REHABILITATION.—The Secretary of Transportation shall prescribe
regulations establishing requirements for rehabilitation programs that pro-
vide for the identification and opportunity for treatment of any mass trans-
portation 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 Government 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 establish-
ing a program under this section in cooperation with another mass trans-
portation operation.
(f) RELATIONSHIP TO OTHER LAWS, REGULATIONS, STANDARDS, AND
ORDERS.—(1) A State or local government may not prescribe, issue, or con-
tinue in effect a law, regulation, standard, or order that is inconsistent with
regulations prescribed under this section. However, a regulation prescribed
under this section does not preempt a State criminal law that imposes sanc-
tions for reckless conduct leading to loss of life, injury, or damage to prop-
erty.
(2) In prescribing regulations under this section, the Secretary of Trans-
portation—
(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 coun-
tries.
111
(3) This section does not prevent the Secretary of Transportation from
continuing in effect, amending, or further supplementing a regulation pre-
scribed 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 finan-
cial 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 Sec-
retary of Transportation prescribes under this section, to establish a pro-
gram 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 affirm-
ative action to ensure compliance with subsection (b) of this section.
(2) When the Secretary decides that a person receiving financial assist-
ance 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
(2) the Attorney General believes a person is engaged in a pattern
or practice in violation of this section.
112
(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 Transpor-
tation shall ensure that laborers and mechanics employed by contractors
and subcontractors 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 main-
tained on the construction work. For a labor standard under this subsection,
the Secretary of Labor has the same duties and powers stated in Reorga-
nization Plan No. 14 of 1950 (eff. May 24, 1950, 64 Stat. 1267) and sec-
tion 2 of the Act of June 13, 1934 (40 U.S.C. 276c).
(b) EMPLOYEE PROTECTIVE ARRANGEMENTS.—(1) As a condition of fi-
nancial 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 Sec-
retary 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 provisions that may
be necessary for—
(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 individual employees against a worsening of
their positions related to employment;
(D) assurances of employment to employees of acquired mass trans-
portation 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.
§ 5334. Administrative
(a) GENERAL AUTHORITY.—In carrying out this chapter, the Secretary
of Transportation may—
113
(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
proceeding under this chapter by submitting written information, views, or
arguments, with or without an oral presentation, except when the Secretary
for good cause finds that public notice and comment are unnecessary be-
cause of the routine nature or insignificant impact of the regulation or that
an emergency regulation should be issued. The Secretary may extend the
60-day period if the Secretary decides the period is insufficient to allow dili-
gent individuals to prepare comments or that other circumstances justify an
extension.
(3) An emergency regulation ends 120 days after it is issued.
(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
114
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
Transportation 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
available 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
assistance 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 recipient 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;
(C) the overall benefit of allowing the transfer is greater than the
interest of the Government in liquidation and return of the financial
115
interest 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 transferred 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 DEVELOP-
MENT.—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 con-
tract for more than $1,000 for services or supplies related to property ac-
quired 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
systems, 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 sys-
tem, by uniform categories, to accumulate mass transportation financial and
operating information and a uniform system of accounts and records. The
116
reporting and uniform systems shall contain appropriate information to help
any level of government make a public sector investment decision. The Sec-
retary may request 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 Rep-
resentatives and the Committees on Banking, Housing, and Urban Affairs
and Appropriations 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 estab-
lished for amounts obligated for each State, designated recipient, and
applicant.
(c) BIENNIAL NEEDS REPORT.—In January 1993 and in January of
every 2d year after 1993, the Comptroller General shall submit to the Com-
mittee 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 trans-
portation needs are addressed adequately and an estimate of the future
mass transportation needs of the United States, including mass transpor-
tation needs in rural areas (particularly access to health care facilities). The
report shall include—
(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 sys-
tems;
(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;
117
(3) a 5-year projection of the need to invest in the expansion of ex-
isting mass transportation systems to meet changing economic, com-
muter, 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
January of every 2d year after 1993, the Comptroller General shall submit
to the Committee on Public Works and Transportation of the House of Rep-
resentatives and the Committee on Banking, Housing, and Urban Affairs
of the Senate 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
services to unserved rural areas; and
(3) examine the relative levels of Government mass transportation
assistance 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 Sur-
face 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—
118
(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
population 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, es-
tablished by the Secretary of Transportation, of the number of in-
habitants 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 sub-
sections (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
revenue vehicle-miles’’ and ‘‘fixed guideway route-miles’’ include ferry boat
operations 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
guideway revenue vehicle-miles attributable to the area, as estab-
lished 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
guideway route-miles attributable to the area, established by the
Secretary, 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 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) the number of fixed guideway vehicle passenger-miles trav-
eled multiplied by the number of fixed guideway vehicle passenger-
119
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
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 percent 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 ur-
banized 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 urbanized area with a population of less than 200,000 is lo-
cated. The authority 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 percent shall be apportioned as follows:
(1) 90.8 percent of the total amount apportioned under this sub-
section 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 rev-
enue vehicle-miles operated in or directly serving the urban-
ized area divided by the total bus revenue vehicle-miles attrib-
utable 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
120
(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
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 en-
titled 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 rev-
enue vehicle-miles operated in or directly serving the urban-
ized area divided by the total bus revenue vehicle-miles attrib-
utable 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 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—
(A) the number of bus passenger-miles traveled multiplied by
the number of bus passenger-miles traveled for each dollar of oper-
ating 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
ending 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;
121
(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
section 5(a)(1)(A), (2)(A), and (3)(A) to urbanized areas with popu-
lations of less than 200,000; or
(D) two-thirds of the total amount apportioned under this section
during 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 ap-
plicable 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 at-
tributable to each urbanized area with a population of more than
50,000 and amounts attributable to each State of a multistate urban-
ized 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
population 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 sub-
section (a)(1) of this section to supplement amounts apportioned to the
State under section 5311(c) of this title or amounts apportioned to urban-
ized areas under this subsection. The chief executive officer may make a
transfer only after consulting with responsible local officials and publicly
owned operators of mass transportation in each area for which the amount
originally was apportioned under this section.
122
(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 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 dis-
tribute 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 section 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 provision of this chapter applies to this section or to a grant made
under this section.
(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.
123
§ 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:
(1) The first $455,000,000 shall be apportioned in the following ur-
banized 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 ur-
banized 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
provided 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
124
not available, the Secretary shall reduce on a proportionate basis the appor-
tionments 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
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
formula 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 Tran-
sit 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 avail-
able from the Account for the Secretary to carry out section 5309 of this
title:
125
(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.
(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
follows:
126
(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.
(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 ex-
penses to carry out section 5334(a) and (c)–(f) of this title;
(2) not more than 1.34 percent is available for transportation serv-
ices to elderly individuals and individuals with disabilities under the
formula 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 pro-
vide improved mass transportation service and facilities planned and
designed 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—
127
(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
(C) the lesser of $3,000,000 or an amount the Secretary deter-
mines is necessary is available for the fiscal year ending Septem-
ber 30, 1997.
(k) GRANTS AS CONTRACTUAL OBLIGATIONS.—(1) A grant or contract
approved 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
section 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 ex-
pended.
(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.
128
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 de-
velop a National Intermodal Transportation System that is economically ef-
ficient 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
emphasis to the contributions of the transportation sectors to increased pro-
ductivity growth. Social benefits must be considered with particular atten-
tion to the external benefits of reduced air pollution, reduced traffic conges-
tion, 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, com-
petition, energy efficiency, productivity, growth, and accountability. Prac-
tices 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-
129
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 reimburse-
ments, by the Highway Trust Fund. Financial assistance will be provided
to State and local governments and their instrumentalities to help carry out
national goals related to mobility for elderly individuals, individuals with dis-
abilities, 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 ap-
pointed 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
collection of data for the data base with the States and metropolitan plan-
ning organizations. The data base shall include information on—
130
(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.
(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 (Pub-
lic 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
metropolitan planning organizations.
(g) ADMINISTRATIVE AND CLERICAL SUPPORT.—The Director shall pro-
vide administrative and clerical support to the Intermodal Transportation
Advisory 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 con-
sistent with the policy set forth in section 302(e) of this title. The model
plans shall include systems for collecting data related to intermodal trans-
portation.
(b) DISTRIBUTION.—The Secretary shall award grants to States under
this section that represent a variety of geographic regions and transpor-
tation 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 assur-
ances that the State will submit to the Secretary a State intermodal trans-
portation plan not later than 18 months after the date of receipt of the
grant.
(d) GRANT AMOUNTS.—The Secretary shall reserve, from amounts de-
ducted 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.
131
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.
§ 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 ter-
minals;
(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
terminals into intermodal transportation terminals and civic and cul-
tural 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 sub-
section (a)(3) of this section only after consulting with the Advisory Council
on Historic 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
132
(C) airline ticket offices and passenger terminals providing di-
rect 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
transportation may be combined with use of those facilities for other
civic and cultural activities, especially when another activity is rec-
ommended by—
(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 pas-
senger terminal will be preserved under subsection (a)(3) of this section.
The Secretary may decide that the architectural integrity will be preserved
only if the consultants concur. The Council and Chairman shall recommend
consultants to be employed by the Secretary. The consultants also may
make recommendations 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 sec-
tion, the Secretary of Transportation may make a grant of financial assist-
ance to a responsible person (including a governmental authority) to pre-
serve 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 authorized by law to maintain (and prevent the demolition,
dismantling, or further 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 reason-
able likelihood of being converted to, or conditioned for reuse as, an
133
intermodal 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
terminals;
(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
section for more than 80 percent of the total cost of maintaining the termi-
nal for an interim period of not more than 5 years.
§ 5565. Encouraging the development of plans for convert-
ing 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
assistance 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
investors 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 pe-
riod 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
134
this title shall be expended in the way most likely to maximize the conver-
sion 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 qual-
ity) 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
section for more than 80 percent of the total cost of the project for which
the financial assistance is provided.
§ 5566. Records and audits
(a) RECORD REQUIREMENTS.—Each recipient of financial assistance
under this chapter shall keep records required by the Secretary of Transpor-
tation. 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 re-
lated 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 facili-
ties 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.
135
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.
§ 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 trans-
portation practices;
(2) the United States public is threatened by the transportation of
products potentially harmful to consumers in motor vehicles and rail
vehicles that are used to transport food and other consumer products;
and
(3) the risks to consumers by those transportation practices are un-
necessary 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 Co-
lumbia, 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.
136
§ 5703. General regulation
(a) GENERAL REQUIREMENTS.—(1) Not later than July 31, 1991, the
Secretary of Transportation, after consultation required by section 5709 of
this title, shall prescribe regulations on the transportation of cosmetics, de-
vices, drugs, food, and food additives in motor vehicles and rail vehicles that
are used to transport nonfood products that would make the cosmetics, de-
vices, 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
(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 sub-
section (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 es-
tablish 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 po-
tential risks of transporting cosmetics, devices, drugs, food, or food ad-
ditives 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.
137
§ 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 cargo tank is identified, by a permanent marking on the tank truck
or cargo tank, as transporting only cosmetics, devices, drugs, food, food
additives, 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
product 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 trans-
porting only cosmetics, devices, drugs, food, food additives, or nonfood
products included in the list; or
(4) receiving, except for lawful disposal purposes, any cosmetic, de-
vice, drug, food, food additive, or nonfood product that has been trans-
ported 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
publish in the Federal Register a list of nonfood products the Secretary de-
cides do not make cosmetics, devices, drugs, food, or food additives unsafe
to humans or animals because of transportation of the nonfood products in
a tank truck, rail tank car, or cargo tank used to transport cosmetics, de-
vices, drugs, food, or food additives. The Secretary may amend the list peri-
odically by publication 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 dis-
close to the motor carrier or other appropriate person if the cosmetic, de-
vice, drug, food, food additive, or nonfood product being transported is to
be used—
138
(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 subsection (b) of this section.
(b) LIST OF UNSAFE NONFOOD PRODUCTS.—(1) After consultation re-
quired by section 5709 of this title, the Secretary of Transportation shall
publish in the Federal Register a list of nonfood products the Secretary de-
cides would 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 additives. 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
include cardboard, pallets, beverage containers, and other food packaging
except to the extent the Secretary decides that the transportation of card-
board, pallets, beverage containers, or other food packaging in a motor vehi-
cle 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 humans 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 trans-
port 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
section 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.
139
§ 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 vehicles, 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 ani-
mals; and
(2) would not be contrary to the public interest and this chapter.
(b) PUBLICATION OF WAIVERS.—The Secretary shall publish in the Fed-
eral 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
compatible State laws and regulations through means that include inspec-
tions 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 enforcement of this chapter or is enforcing compatible State laws and
regulations.
(b) PROVIDING ASSISTANCE.—On the request of the Secretary of Trans-
portation, 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 Secretary of Transportation to carry out this chapter, including as-
sistance in the training of personnel under a program established under sub-
section (c) of this section.
(c) TRAINING PROGRAM.—After consultation required by section 5709 of
this title and consultation with the heads of appropriate State transpor-
tation and food safety authorities, the Secretary of Transportation shall de-
velop 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 au-
thorized under section 31104 of this title, shall be trained in the recognition
of adulteration problems associated with the transportation of cosmetics, de-
vices, drugs, food, and food additives and in the procedures for obtaining
assistance of the appropriate departments, agencies, and instrumentalities
of the Government and State authorities to support the enforcement.
140
§ 5709. Consultation
As provided by sections 5703–5708 of this title, the Secretary of Trans-
portation 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 trans-
portation 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 sec-
tion 5122 of this title.
(b) APPLICABLE PENALTIES AND PROCEDURES.—The penalties and pro-
cedures in sections 5123 and 5124 of this title apply to a violation of a reg-
ulation 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 occur-
ring 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.
141
§ 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 ter-
minal operator 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
(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
successive 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
destination by more than one mode of transportation in interstate or
foreign commerce, whether under a single bill of lading or under sepa-
rate 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
142
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 con-
tainer or trailer.
(c) FORWARDING CERTIFICATIONS TO SUBSEQUENT CARRIERS.—A car-
rier, 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 ac-
curacy or completeness of the information in the certification.
(d) NONAPPLICATION.—(1) Subsections (a) and (b) of this section and
section 5903(c) of this title do not apply to a carrier when the carrier is
transferring a loaded container or trailer to another carrier during inter-
modal transportation, unless the carrier is also the person tendering the
loaded container or trailer to the first carrier.
(2) A carrier, agent of a carrier, broker, customs broker, freight for-
warder, warehouser, or terminal operator is deemed not to be a person ten-
dering a loaded container or trailer to a first carrier under this section, un-
less the carrier, 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
coerce a person participating in intermodal transportation to transport a
loaded 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 trail-
er 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 op-
erate the tractor-trailer combination in violation of that State law.
143
§ 5904. State enforcement
(a) GENERAL.—A State may enact a law to permit the State or a politi-
cal 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 sec-
tion 5902(b) of this title, against the person tendering the loaded con-
tainer or trailer to the first carrier if the violation results from the per-
son’s having provided erroneous information in the certification in vio-
lation 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.
(b) LIMITATION.—This chapter does not require a person tendering a
loaded 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 informa-
tion 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 re-
ceives a payment 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 per-
son to dispose of the contents of a loaded container or trailer until the per-
son who tendered the container or trailer to the first carrier is given a rea-
sonable opportunity 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
144
defined 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
Transportation shall prescribe final regulations to enforce this chapter. The
Secretary 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 im-
mediately after subtitle IV:
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.
145
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.
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 Corpora-
tion 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
necessary, shall prescribe regulations and issue orders for every area of rail-
road 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 proceed-
ings 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.
146
(c) CONSIDERATION OF INFORMATION AND STANDARDS.—In prescribing
regulations and issuing orders under this section, the Secretary shall con-
sider 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
section 553 of title 5 when prescribing a regulation or issuing an order
under this chapter, including a regulation or order establishing, amending,
or waiving compliance with a railroad safety regulation prescribed or order
issued under this chapter. An opportunity for an oral presentation shall be
provided.
§ 20104. Emergency authority
(a) ORDERING RESTRICTIONS AND PROHIBITIONS.—(1) If, through test-
ing, inspection, investigation, or research carried out under this chapter, the
Secretary of Transportation decides that an unsafe condition or practice, or
a combination of unsafe conditions and practices, causes an emergency situ-
ation 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 pre-
scribe 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 com-
pleted 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
exposed to imminent physical injury during that employment because of the
Secretary’s failure, without any reasonable basis, to issue an order under
subsection (a) of this section, or the employee’s authorized representative,
may bring a civil action against the Secretary in a district court of the Unit-
ed 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,
147
or for the District of Columbia. The Secretary’s failure to issue an order
under subsection (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 op-
erations in a State. The State may participate in those activities when the
safety practices for railroad equipment, facilities, rolling stock, and oper-
ations in the State are regulated by a State authority and the authority sub-
mits to the Secretary an annual certification as provided in subsection (b)
of this section.
(b) ANNUAL CERTIFICATION.—(1) A State authority’s annual certifi-
cation 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
surrounding 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
equipment, facilities, rolling stock, and operations by the authority
during the prior 12 months; and
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(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
submits 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
surveillance activities prescribed under subsection (a) of this section, the
Secretary may reject any part of the certification or take other appropriate
action to achieve adequate enforcement. The Secretary must give the au-
thority notice and an opportunity for a hearing before taking action under
this paragraph. When the Secretary gives notice, the burden of proof is on
the authority to show that it is complying satisfactorily with the investiga-
tive and surveillance 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 oper-
ation, the Secretary may make an agreement with a State authority for the
authority to provide any part of the investigative and surveillance activities
prescribed by the Secretary as necessary to enforce the safety regulations
and orders 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 re-
lates. The Secretary must give the authority notice and an opportunity for
a hearing before making such a finding. The finding and termination shall
be published 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 Sec-
retary may make an agreement with a State to provide investigative and
surveillance 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
agreement 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 program under the certification or agreement. However, the Sec-
retary may pay an authority only when the authority assures the Secretary
that it will provide the remaining cost of the safety program and that the
149
total State money expended for the safety program, excluding grants of the
United States Government, 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
surveillance 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 sub-
ject matter of the State requirement. A State may adopt or continue in
force an additional or more stringent law, regulation, or order related to
railroad safety 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,
operations, 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, op-
erations, and relevant records. When requested, the officer, employee, or
agent shall display proper credentials. During an inspection, the officer, em-
ployee, 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 con-
tracts for, and carry out, research, development, testing, evaluation, and
150
training (particularly for those areas of railroad safety found to need
prompt attention).
(c) AMOUNTS FROM NON-GOVERNMENT SOURCES FOR TRAINING SAFE-
TY EMPLOYEES.—The Secretary may request, receive, and expend amounts
received 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 discrimi-
nate against an employee because the employee, whether acting for the em-
ployee or as a representative, has—
(1) filed a complaint or brought or caused to be brought a proceed-
ing related to the enforcement of this part or, as applicable to railroad
safety, 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 dis-
charge or in any way discriminate against an employee for refusing to work
when confronted by a hazardous condition related to the performance of the
employee’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 haz-
ardous 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
carrier 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
proceeding shall be expedited and the dispute, grievance, or claim shall be
151
resolved 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 ac-
tion affecting pay, and no other remedy is available under this subsection,
the Board, division, delegate, or other board of adjustment may award the
employee 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 Sec-
retary 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 regulation prescribed or order issued under any of those provisions.
(2) The Secretary shall disclose to the Attorney General the name of an
employee described in paragraph (1) of this subsection if the matter is re-
ferred to the Attorney General for enforcement.
§ 20110. Effect on employee qualifications and collective
bargaining
This chapter does not—
(1) authorize the Secretary of Transportation to prescribe regula-
tions and issue orders related to qualifications of employees, except
qualifications 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
injunction 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.
152
(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-
SENSITIVE FUNCTIONS.—If an individual’s violation of a regulation pre-
scribed or order issued by the Secretary under this chapter is shown to
make that individual 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 industry for a specified period of time or until specified con-
ditions are met. This subsection does not affect the Secretary’s authority
under section 20104 of this title to act on an emergency basis.
(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 provi-
sions, 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 regula-
tions 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 Unit-
ed 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.
153
(2) A civil action to enforce a subpena issued by the Secretary or a com-
pliance 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 surveillance 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 an affirmative written finding that the violation did not
occur or that the action is not necessary because of other enforcement ac-
tion taken by the Secretary related to the violation.
(b) IMPOSITION AND COLLECTION OF CIVIL PENALTIES.—If the Sec-
retary does not impose the applicable civil penalty for a violation of a rail-
road safety regulation prescribed or order issued by the Secretary not later
than 60 days after the date of receiving notice from a State authority par-
ticipating 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 Secretary makes an affirmative written finding that the viola-
tion 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 prin-
cipal 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 Fed-
eral 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 Transportation under this part or, as applicable to railroad safety, chap-
154
ter 51 or 57 of this title shall be brought in the appropriate court of appeals
as provided in chapter 158 of title 28.
§ 20115. User fees
(a) SCHEDULE OF FEES.—The Secretary of Transportation shall pre-
scribe 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 re-
lationship 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.
(b) COLLECTION PROCEDURES.—The Secretary shall prescribe proce-
dures to collect the fees. The Secretary may use the services of a depart-
ment, agency, or instrumentality of the United States Government or of a
State or local authority to collect the fees, and may reimburse the depart-
ment, agency, or instrumentality 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 provided in advance in an appropriation law, only to carry out this
chapter.
(3) Fees prescribed under this section shall be imposed in an amount suf-
ficient 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 in-
dustry 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.
155
(2) Not later than 90 days after submitting a report for a fiscal year,
the Secretary shall submit to Congress recommendations for corrective legis-
lation 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 com-
peting 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 trans-
portation.
(e) EXPIRATION.—This section expires on September 30, 1995.
§ 20116. Annual report
The Secretary of Transportation shall submit to the President for sub-
mission 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:
(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
regulations 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 pend-
ing 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.
156
(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 nec-
essary 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.
(b) GRADE CROSSING SAFETY.—Not more than $1,000,000 may be ap-
propriated to the Secretary for improvements in grade crossing safety, ex-
cept demonstration projects under section 20134(c) of this title. Amounts
appropriated 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
railroad research and development programs under this chapter or another
law shall be available for safety research, improved track inspection and in-
formation acquisition technology, improved railroad freight transportation,
and improved 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 roll-
ing equipment have to work on, under, or between that equipment, every
manually 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.
157
§ 20132. Visible markers for rear cars
(a) GENERAL.—The Secretary of Transportation shall prescribe regula-
tions 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 dur-
ing darkness and when weather conditions restrict clear visibility.
(b) PREEMPTION.—Notwithstanding section 20106 of this title, sub-
section (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 regula-
tions and issue orders that may be necessary to ensure that the construc-
tion, maintenance, and operation of railroad equipment used to transport
railroad passengers, whether in commuter or intercity service, maximize the
safety of those passengers. The Secretary periodically shall review the regu-
lations and orders and make amendments that may be necessary.
(b) CONSIDERATIONS AND AREAS OF CONCENTRATION.—In prescribing
regulations, issuing orders, and making amendments under this section, the
Secretary 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 Adminis-
trator of the Federal Aviation Administration;
(2) consider relevant differences between commuter and intercity
passenger 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 nec-
essary 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 car-
riers transporting passengers, organizations of passengers, and organiza-
tions 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.
158
§ 20134. Grade crossings and railroad rights of way
(a) GENERAL.—To the extent practicable, the Secretary of Transpor-
tation shall maintain a coordinated effort to develop and carry out solutions
to the railroad grade crossing problem and measures to protect pedestrians
in densely 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 high-
way 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;
(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 Com-
merce, Science, and Transportation of the Senate.
§ 20135. Licensing or certification of locomotive operators
(a) GENERAL.—The Secretary of Transportation shall prescribe regula-
tions and issue orders to establish a program requiring the licensing or cer-
tification, after one year after the program is established, of any operator
of a locomotive.
(b) PROGRAM REQUIREMENTS.—The program established under sub-
section (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 re-
quire consideration, to the extent the information is available, of the
motor vehicle driving record of each individual seeking licensing or cer-
tification, including—
159
(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, disquali-
fication or the granting of a license or certification conditioned on re-
quirements 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,
prospective employer, or the Secretary, as the Secretary requires.
(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 op-
erate a locomotive. However, the Secretary may waive subsection (b)(4) for
an individual or class of individuals with a conviction, cancellation, revoca-
tion, or suspension described in paragraph (2) (A) or (B) of this subsection
only if the individual or class, after the conviction, cancellation, revocation,
or suspension, successfully completes a rehabilitation program established by
a railroad 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
railroad carrier or approved by the Secretary, the individual may not be de-
nied 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 sub-
stance.
(d) OPPORTUNITY FOR HEARING.—An individual denied a license or cer-
tification or whose license or certification is conditioned on requirements
prescribed under subsection (b)(4) of this section shall be entitled to a hear-
160
ing under section 20103(e) of this title to decide whether the license has
been properly denied or conditioned.
(e) OPPORTUNITY TO EXAMINE AND COMMENT ON INFORMATION.—The
Secretary, employer, or prospective employer, as appropriate, shall make in-
formation obtained under subsection (b)(6) of this section available to the
individual. The individual shall be given an opportunity to comment in writ-
ing 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.
§ 20137. Event recorders
(a) DEFINITION.—In this section, ‘‘event recorder’’ means a device that—
(1) records train speed, hot box detection, throttle position, brake
application, 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 pe-
riod 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 regula-
tions 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
161
of a regulation prescribed or order issued under subsection (a) of this sec-
tion is liable to the United States Government for a civil penalty under sec-
tion 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 sec-
tion 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
regulations standards for bridge safety equipment, including nets, walkways,
handrails, and safety lines, and requirements for the use of vessels when
work is performed on bridges located over bodies of water.
§ 20140. Alcohol and controlled substances testing
(a) DEFINITION.—In this section, ‘‘controlled substance’’ means any sub-
stance under section 102 of the Comprehensive Drug Abuse Prevention and
Control Act of 1970 (21 U.S.C. 802) specified by the Secretary of Trans-
portation.
(b) GENERAL.—(1) In the interest of safety, the Secretary of Transpor-
tation shall prescribe regulations and issue orders, not later than October
28, 1992, related to alcohol and controlled substances use in railroad oper-
ations. The regulations shall establish a program requiring—
(A) a railroad carrier to conduct preemployment, reasonable sus-
picion, random, and post-accident testing of all railroad employees re-
sponsible for safety-sensitive functions (as decided by the Secretary) for
the use of alcohol or a controlled substance in violation of law or a
United States Government regulation; and
(B) when the Secretary considers it appropriate, disqualification for
an established period of time or dismissal of any employee found—
(i) to have used or been impaired by alcohol when on duty; or
(ii) to have used a controlled substance, whether or not on duty,
except as allowed for medical purposes by law or a regulation or
order under this chapter.