H. R. 1758
One Hundred Third Congress
of the
United States of America
AT THE SECOND SESSION
Begun and held at the City of Washington on Tuesday,
the twenty-fifth day of January, one thousand nine hundred and ninety-four
An Act
To revise, codify, and enact without substantive change certain general and perma-
nent laws, related to transportation, as subtitles II, III, and V–X of title 49,
United States Code, ‘‘Transportation’’, and to make other technical improvements
in the Code.
Be it enacted by the Senate and House of Representatives of
the United States of America in Congress assembled,
SUBTITLES II, III, AND V–X OF TITLE 49, UNITED STATES CODE
SECTION 1. (a) Certain general and permanent laws of the
United States, related to transportation, are revised, codified, and
enacted by subsections (c)–(e) of this section without substantive
change as subtitles II, III, and V–X of title 49, United States
Code, ‘‘Transportation’’. Those laws may be cited as ‘‘49 U.S.C.
––––––’’.
(b) Title 49, United States Code, is amended by striking the
table of subtitles at the beginning of the title and substituting
the following new table of subtitles:
‘‘SUBTITLE
Sec.
‘‘I.
DEPARTMENT OF TRANSPORTATION ................................................
101
‘‘II.
OTHER GOVERNMENT AGENCIES ...................................................... 1101
‘‘III.
GENERAL AND INTERMODAL PROGRAMS ........................................ 5101
‘‘IV.
INTERSTATE COMMERCE .....................................................................10101
‘‘V.
RAIL PROGRAMS ......................................................................................20101
‘‘VI.
MOTOR VEHICLE AND DRIVER PROGRAMS .....................................30101
‘‘VII.
AVIATION PROGRAMS ............................................................................40101
‘‘VIII.
PIPELINES .................................................................................................60101
‘‘IX.
COMMERCIAL SPACE TRANSPORTATION .........................................70101
‘‘X.
MISCELLANEOUS ....................................................................................80101’’.
(c) Title 49, United States Code, is amended by striking subtitle
II, except that chapter 31 (comprising sections 3101–3104) of sub-
title II is redesignated and restated as chapter 315 (comprising
sections 31501–31504) of subtitle VI of title 49, as enacted by
subsection (e) of this section.
(d) Title 49, United States Code, is amended by adding the
following immediately after subtitle I:
SUBTITLE II—OTHER GOVERNMENT AGENCIES
CHAPTER
Sec.
11.
NATIONAL TRANSPORTATION SAFETY BOARD ..............................
1101
H. R. 1758—2
CHAPTER 11—NATIONAL TRANSPORTATION SAFETY
BOARD
SUBCHAPTER I—GENERAL
Sec.
1101.
Definitions.
SUBCHAPTER II—ORGANIZATION AND ADMINISTRATIVE
1111.
General organization.
1112.
Special boards of inquiry on air transportation safety.
1113.
Administrative.
1114.
Disclosure, availability, and use of information.
1115.
Training.
1116.
Reports and studies.
1117.
Annual report.
1118.
Authorization of appropriations.
SUBCHAPTER III—AUTHORITY
1131.
General authority.
1132.
Civil aircraft accident investigations.
1133.
Review of other agency action.
1134.
Inspections and autopsies.
1135.
Secretary of Transportation’s responses to safety recommendations.
SUBCHAPTER IV—ENFORCEMENT AND PENALTIES
1151.
Aviation enforcement.
1152.
Joinder and intervention in aviation proceedings.
1153.
Judicial review.
1154.
Discovery and use of cockpit voice and other material.
1155.
Aviation penalties.
SUBCHAPTER I—GENERAL
§ 1101. Definitions
Section 40102(a) of this title applies to this chapter.
SUBCHAPTER II—ORGANIZATION AND ADMINISTRATIVE
§ 1111. General organization
(a) ORGANIZATION.—The National Transportation Safety Board
is an independent establishment of the United States Government.
(b) APPOINTMENT
OF MEMBERS.—The Board is composed of
5 members appointed by the President, by and with the advice
and consent of the Senate. Not more than 3 members may be
appointed from the same political party. At least 3 members shall
be appointed on the basis of technical qualification, professional
standing, and demonstrated knowledge in accident reconstruction,
safety engineering, human factors, transportation safety, or
transportation regulation.
(c) TERMS OF OFFICE AND REMOVAL.—The term of office of
each member is 5 years. An individual appointed to fill a vacancy
occurring before the expiration of the term for which the predecessor
of that individual was appointed, is appointed for the remainder
of that term. When the term of office of a member ends, the
member may continue to serve until a successor is appointed and
qualified. The President may remove a member for inefficiency,
neglect of duty, or malfeasance in office.
(d) CHAIRMAN AND VICE CHAIRMAN.—The President shall des-
ignate, by and with the advice and consent of the Senate, a Chair-
man of the Board. The President also shall designate a Vice Chair-
man of the Board. The terms of office of both the Chairman and
H. R. 1758—3
Vice Chairman are 2 years. When the Chairman is absent or
unable to serve or when the position of Chairman is vacant, the
Vice Chairman acts as Chairman.
(e) DUTIES AND POWERS OF CHAIRMAN.—The Chairman is the
chief executive and administrative officer of the Board. Subject
to the general policies and decisions of the Board, the Chairman
shall—
(1) appoint, supervise, and fix the pay of officers and
employees necessary to carry out this chapter;
(2) distribute business among the officers, employees, and
administrative units of the Board; and
(3) supervise the expenditures of the Board.
(f) QUORUM.—Three members of the Board are a quorum in
carrying out duties and powers of the Board.
(g) OFFICES, BUREAUS, AND DIVISIONS.—The Board shall estab-
lish offices necessary to carry out this chapter, including an office
to investigate and report on the safe transportation of hazardous
material. The Board shall establish distinct and appropriately
staffed bureaus, divisions, or offices to investigate and report on
accidents involving each of the following modes of transportation:
(1) aviation.
(2) highway and motor vehicle.
(3) rail and tracked vehicle.
(4) pipeline.
(h) SEAL.—The Board shall have a seal that shall be judicially
recognized.
§ 1112. Special boards of inquiry on air transportation safety
(a) ESTABLISHMENT.—If an accident involves a substantial ques-
tion about public safety in air transportation, the National
Transportation Safety Board may establish a special board of
inquiry composed of—
(1) one member of the Board acting as chairman; and
(2) 2 members representing the public, appointed by the
President on notification of the establishment of the special
board of inquiry.
(b) QUALIFICATIONS AND CONFLICTS OF INTEREST.—The public
members of a special board of inquiry must be qualified by training
and experience to participate in the inquiry and may not have
a pecuniary interest in an aviation enterprise involved in the
accident to be investigated.
(c) AUTHORITY.—A special board of inquiry has the same author-
ity that the Board has under this chapter.
§ 1113. Administrative
(a) GENERAL AUTHORITY.—(1) The National Transportation
Safety Board, and when authorized by it, a member of the Board,
an administrative law judge employed by or assigned to the Board,
or an officer or employee designated by the Chairman of the Board,
may conduct hearings to carry out this chapter, administer oaths,
and require, by subpena or otherwise, necessary witnesses and
evidence.
(2) A witness or evidence in a hearing under paragraph (1)
of this subsection may be summoned or required to be produced
from any place in the United States to the designated place of
the hearing. A witness summoned under this subsection is entitled
H. R. 1758—4
to the same fee and mileage the witness would have been paid
in a court of the United States.
(3) A subpena shall be issued under the signature of the Chair-
man or the Chairman’s delegate but may be served by any person
designated by the Chairman.
(4) If a person disobeys a subpena, order, or inspection notice
of the Board, the Board may bring a civil action in a district
court of the United States to enforce the subpena, order, or notice.
An action under this paragraph may be brought in the judicial
district in which the person against whom the action is brought
resides, is found, or does business. The court may punish a failure
to obey an order of the court to comply with the subpena, order,
or notice as a contempt of court.
(b) ADDITIONAL POWERS.—(1) The Board may—
(A) procure the temporary or intermittent services of
experts or consultants under section 3109 of title 5;
(B) make agreements and other transactions necessary to
carry out this chapter without regard to section 3709 of the
Revised Statutes (41 U.S.C. 5);
(C) use, when appropriate, available services, equipment,
personnel, and facilities of a department, agency, or instrumen-
tality of the United States Government on a reimbursable
or other basis;
(D) confer with employees and use services, records, and
facilities of State and local governmental authorities;
(E) appoint advisory committees composed of qualified pri-
vate citizens and officials of the Government and State and
local governments as appropriate;
(F) accept voluntary and uncompensated services notwith-
standing another law;
(G) accept gifts of money and other property;
(H) make contracts with nonprofit entities to carry out
studies related to duties and powers of the Board; and
(I) require that the departments, agencies, and instrumen-
talities of the Government, State and local governments, and
governments of foreign countries provide appropriate consider-
ation for the reasonable costs of goods and services supplied
by the Board.
(2) The Board shall deposit in the Treasury amounts received
under paragraph (1)(I) of this subsection to be credited to the
appropriation of the Board.
(c) SUBMISSION OF CERTAIN COPIES TO CONGRESS.—When the
Board submits to the President or the Director of the Office of
Management and Budget a budget estimate, budget request, supple-
mental budget estimate, other budget information, a legislative
recommendation, prepared testimony for congressional hearings,
or comments on legislation, the Board must submit a copy to
Congress at the same time. An officer, department, agency, or
instrumentality of the Government may not require the Board
to submit the estimate, request, information, recommendation, testi-
mony, or comments to another officer, department, agency, or
instrumentality of the Government for approval, comment, or review
before being submitted to Congress.
(d) LIAISON COMMITTEES.—The Chairman may determine the
number of committees that are appropriate to maintain effective
liaison with other departments, agencies, and instrumentalities of
the Government, State and local governmental authorities, and
H. R. 1758—5
independent standard-setting authorities that carry out programs
and activities related to transportation safety. The Board may des-
ignate representatives to serve on or assist those committees.
(e) INQUIRIES.—The Board, or an officer or employee of the
Board designated by the Chairman, may conduct an inquiry to
obtain information related to transportation safety after publishing
notice of the inquiry in the Federal Register. The Board or des-
ignated officer or employee may require by order a department,
agency, or instrumentality of the Government, a State or local
governmental authority, or a person transporting individuals or
property in commerce to submit to the Board a written report
and answers to requests and questions related to a duty or power
of the Board. The Board may prescribe the time within which
the report and answers must be given to the Board or to the
designated officer or employee. Copies of the report and answers
shall be made available for public inspection.
(f) REGULATIONS.—The Board may prescribe regulations to
carry out this chapter.
§ 1114. Disclosure, availability, and use of information
(a) GENERAL.—Except as provided in subsections (b) and (c)
of this section, a copy of a record, information, or investigation
submitted or received by the National Transportation Safety Board,
or a member or employee of the Board, shall be made available
to the public on identifiable request and at reasonable cost. This
subsection does not require the release of information described
by section 552(b) of title 5 or protected from disclosure by another
law of the United States.
(b) TRADE SECRETS.—(1) The Board may disclose information
related to a trade secret referred to in section 1905 of title 18
only—
(A) to another department, agency, or instrumentality of
the United States Government when requested for official use;
(B) to a committee of Congress having jurisdiction over
the subject matter to which the information is related, when
requested by that committee;
(C) in a judicial proceeding under a court order that pre-
serves the confidentiality of the information without impairing
the proceeding; and
(D) to the public to protect health and safety after giving
notice to any interested person to whom the information is
related and an opportunity for that person to comment in
writing, or orally in closed session, on the proposed disclosure,
if the delay resulting from notice and opportunity for comment
would not be detrimental to health and safety.
(2) Information disclosed under paragraph (1) of this subsection
may be disclosed only in a way designed to preserve its confidential-
ity.
(c) COCKPIT VOICE RECORDINGS
AND TRANSCRIPTS.—(1) The
Board may not disclose publicly any part of a cockpit voice recorder
recording or transcript of oral communications by and between
flight crew members and ground stations related to an accident
or incident investigated by the Board. However, the Board shall
make public any part of a transcript the Board decides is relevant
to the accident or incident—
(A) if the Board holds a public hearing on the accident
or incident, at the time of the hearing; or
H. R. 1758—6
(B) if the Board does not hold a public hearing, at the
time a majority of the other factual reports on the accident
or incident are placed in the public docket.
(2) This subsection does not prevent the Board from referring
at any time to cockpit voice recorder information in making safety
recommendations.
(d) DRUG TESTS.—(1) Notwithstanding section 503(e) of the
Supplemental Appropriations Act, 1987 (Public Law 100–71, 101
Stat. 471), the Secretary of Transportation shall provide the follow-
ing information to the Board when requested in writing by the
Board:
(A) any report of a confirmed positive toxicological test,
verified as positive by a medical review officer, conducted on
an officer or employee of the Department of Transportation
under post-accident, unsafe practice, or reasonable suspicion
toxicological testing requirements of the Department, when the
officer or employee is reasonably associated with the cir-
cumstances of an accident or incident under the investigative
jurisdiction of the Board.
(B) any laboratory record documenting that the test is
confirmed positive.
(2) Except as provided by paragraph (3) of this subsection,
the Board shall maintain the confidentiality of, and exempt from
disclosure under section 552(b)(3) of title 5—
(A) a laboratory record provided the Board under paragraph
(1) of this subsection that reveals medical use of a drug allowed
under applicable regulations; and
(B) medical information provided by the tested officer or
employee related to the test or a review of the test.
(3) The Board may use a laboratory record made available
under paragraph (1) of this subsection to develop an evidentiary
record in an investigation of an accident or incident if—
(A) the fitness of the tested officer or employee is at issue
in the investigation; and
(B) the use of that record is necessary to develop the
evidentiary record.
§ 1115. Training
(a) DEFINITION.—In this section, ‘‘Institute’’ means the
Transportation Safety Institute of the Department of Transportation
and any successor organization of the Institute.
(b) USE OF INSTITUTE SERVICES.—The National Transportation
Safety Board may use, on a reimbursable basis, the services of
the Institute. The Secretary of Transportation shall make the
Institute available to—
(1) the Board for safety training of employees of the Board
in carrying out their duties and powers; and
(2) other safety personnel of the United States Government,
State and local governments, governments of foreign countries,
interstate authorities, and private organizations the Board des-
ignates in consultation with the Secretary.
(c) FEES.—(1) Training at the Institute for safety personnel
(except employees of the Government) shall be provided at a reason-
able fee established periodically by the Board in consultation with
the Secretary. The fee shall be paid directly to the Secretary,
and the Secretary shall deposit the fee in the Treasury. The amount
of the fee—
H. R. 1758—7
(A) shall be credited to the appropriate appropriation (sub-
ject to the requirements of any annual appropriation); and
(B) is an offset against any annual reimbursement agree-
ment between the Board and the Secretary to cover all reason-
able costs of providing training under this subsection that the
Secretary incurs in operating the Institute.
(2) The Board shall maintain an annual record of offsets under
paragraph (1)(B) of this subsection.
§ 1116. Reports and studies
(a) PERIODIC REPORTS.—The National Transportation Safety
Board shall report periodically to Congress, departments, agencies,
and instrumentalities of the United States Government and State
and local governmental authorities concerned with transportation
safety, and other interested persons. The report shall—
(1) advocate meaningful responses to reduce the likelihood
of transportation accidents similar to those investigated by
the Board; and
(2) propose corrective action to make the transportation
of individuals as safe and free from risk of injury as possible,
including action to minimize personal injuries that occur in
transportation accidents.
(b) STUDIES, INVESTIGATIONS, AND OTHER REPORTS.—The Board
also shall—
(1) carry out special studies and investigations about
transportation safety, including avoiding personal injury;
(2) examine techniques and methods of accident investiga-
tion and periodically publish recommended procedures for
accident investigations;
(3) prescribe requirements for persons reporting accidents
and aviation incidents that—
(A) may be investigated by the Board under this chap-
ter; or
(B) involve public aircraft (except aircraft of the armed
forces and the intelligence agencies);
(4) evaluate, examine the effectiveness of, and publish the
findings of the Board about the transportation safety conscious-
ness of other departments, agencies, and instrumentalities of
the Government and their effectiveness in preventing accidents;
and
(5) evaluate the adequacy of safeguards and procedures
for the transportation of hazardous material and the perform-
ance of other departments, agencies, and instrumentalities of
the Government responsible for the safe transportation of that
material.
§ 1117. Annual report
The National Transportation Safety Board shall submit a report
to Congress on July 1 of each year. The report shall include—
(1) a statistical and analytical summary of the transpor-
tation accident investigations conducted and reviewed by the
Board during the prior calendar year;
(2) a survey and summary of the recommendations made
by the Board to reduce the likelihood of recurrence of those
accidents together with the observed response to each rec-
ommendation;
H. R. 1758—8
(3) a detailed appraisal of the accident investigation and
accident prevention activities of other departments, agencies,
and instrumentalities of the United States Government and
State and local governmental authorities having responsibility
for those activities under a law of the United States or a
State; and
(4) an evaluation conducted every 2 years of transportation
safety and recommendations for legislative and administrative
action and change.
§ 1118. Authorization of appropriations
(a) GENERAL.—Not more than $38,800,000 may be appropriated
to the National Transportation Safety Board for the fiscal year
ending September 30, 1993, to carry out this chapter.
(b) EMERGENCY FUND.—The Board has an emergency fund of
$1,000,000 available for necessary expenses of the Board, not other-
wise provided for, for accident investigations. The following amounts
may be appropriated to the fund:
(1) $1,000,000 to establish the fund.
(2) amounts equal to amounts expended annually out of
the fund.
(c) AVAILABILITY OF AMOUNTS.—Amounts appropriated under
this section remain available until expended.
SUBCHAPTER III—AUTHORITY
§ 1131. General authority
(a) GENERAL.—(1) The National Transportation Safety Board
shall investigate or have investigated (in detail the Board pre-
scribes) and establish the facts, circumstances, and cause or prob-
able cause of—
(A) an aircraft accident the Board has authority to inves-
tigate under section 1132 of this title;
(B) a highway accident, including a railroad grade crossing
accident, the Board selects in cooperation with a State;
(C) a railroad accident in which there is a fatality or
substantial property damage, or that involves a passenger train;
(D) a pipeline accident in which there is a fatality, substan-
tial property damage, or significant injury to the environment;
(E) a major marine casualty (except a casualty involving
only public vessels) occurring on the navigable waters or terri-
torial sea of the United States, or involving a vessel of the
United States, under regulations prescribed jointly by the Board
and the head of the department in which the Coast Guard
is operating; and
(F) any other accident related to the transportation of
individuals or property when the Board decides—
(i) the accident is catastrophic;
(ii) the accident involves problems of a recurring char-
acter; or
(iii) the investigation of the accident would carry out
this chapter.
(2) An investigation by the Board under paragraph (1)(A)–
(D) or (F) of this subsection has priority over any investigation
by another department, agency, or instrumentality of the United
States Government. The Board shall provide for appropriate partici-
pation by other departments, agencies, or instrumentalities in the
H. R. 1758—9
investigation. However, those departments, agencies, or instrumen-
talities may not participate in the decision of the Board about
the probable cause of the accident.
(3) This section and sections 1113, 1116(b), 1133, and 1134(a)
and (c)–(e) of this title do not affect the authority of another depart-
ment, agency, or instrumentality of the Government to investigate
an accident under applicable law or to obtain information directly
from the parties involved in, and witnesses to, the accident. The
Board and other departments, agencies, and instrumentalities shall
ensure that appropriate information developed about the accident
is exchanged in a timely manner.
(b) ACCIDENTS INVOLVING PUBLIC VESSELS.—(1) The Board or
the head of the department in which the Coast Guard is operating
shall investigate and establish the facts, circumstances, and cause
or probable cause of a marine accident involving a public vessel
and any other vessel. The results of the investigation shall be
made available to the public.
(2) Paragraph (1) of this subsection and subsection (a)(1)(E)
of this section do not affect the responsibility, under another law
of the United States, of the head of the department in which
the Coast Guard is operating.
(c) ACCIDENTS NOT INVOLVING GOVERNMENT MISFEASANCE OR
NONFEASANCE.—(1) When asked by the Board, the Secretary of
Transportation may—
(A) investigate an accident described under subsection (a)
or (b) of this section in which misfeasance or nonfeasance
by the Government has not been alleged; and
(B) report the facts and circumstances of the accident to
the Board.
(2) The Board shall use the report in establishing cause or
probable cause of an accident described under subsection (a) or
(b) of this section.
(d) ACCIDENT REPORTS.—The Board shall report on the facts
and circumstances of each accident investigated by it under sub-
section (a) or (b) of this section. The Board shall make each report
available to the public at reasonable cost.
§ 1132. Civil aircraft accident investigations
(a) GENERAL AUTHORITY.—(1) The National Transportation
Safety Board shall investigate—
(A) each accident involving civil aircraft; and
(B) with the participation of appropriate military authori-
ties, each accident involving both military and civil aircraft.
(2) A person employed under section 1113(b)(1) of this title
that is conducting an investigation or hearing about an aircraft
accident has the same authority to conduct the investigation or
hearing as the Board.
(b) NOTIFICATION AND REPORTING.—The Board shall prescribe
regulations governing the notification and reporting of accidents
involving civil aircraft.
(c) PARTICIPATION
OF SECRETARY.—The Board shall provide
for the participation of the Secretary of Transportation in the inves-
tigation of an aircraft accident under this chapter when participa-
tion is necessary to carry out the duties and powers of the Secretary.
However, the Secretary may not participate in establishing probable
cause.
H. R. 1758—10
(d) ACCIDENTS INVOLVING ONLY MILITARY AIRCRAFT.—If an
accident involves only military aircraft and a duty of the Secretary
is or may be involved, the military authorities shall provide for
the participation of the Secretary. In any other accident involving
only military aircraft, the military authorities shall give the Board
or Secretary information the military authorities decide would
contribute to the promotion of air safety.
§ 1133. Review of other agency action
The National Transportation Safety Board shall review on
appeal—
(1) the denial, amendment, modification, suspension, or
revocation of a certificate issued by the Secretary of Transpor-
tation under section 44703, 44709, or 44710 of this title;
(2) the revocation of a certificate of registration under
section 44106 of this title;
(3) a decision of the head of the department in which
the Coast Guard is operating on an appeal from the decision
of an administrative law judge denying, revoking, or suspending
a license, certificate, document, or register in a proceeding
under section 6101, 6301, or 7503, chapter 77, or section 9303
of title 46; and
(4) under section 46301(d)(5) of this title, an order imposing
a penalty under section 46301.
§ 1134. Inspections and autopsies
(a) ENTRY
AND INSPECTION.—An officer or employee of the
National Transportation Safety Board—
(1) on display of appropriate credentials and written notice
of inspection authority, may enter property where a transpor-
tation accident has occurred or wreckage from the accident
is located and do anything necessary to conduct an investiga-
tion; and
(2) during reasonable hours, may inspect any record, proc-
ess, control, or facility related to an accident investigation
under this chapter.
(b) INSPECTION, TESTING, PRESERVATION, AND MOVING OF AIR-
CRAFT AND PARTS.—(1) In investigating an aircraft accident under
this chapter, the Board may inspect and test, to the extent nec-
essary, any civil aircraft, aircraft engine, propeller, appliance, or
property on an aircraft involved in an accident in air commerce.
(2) Any civil aircraft, aircraft engine, propeller, appliance, or
property on an aircraft involved in an accident in air commerce
shall be preserved, and may be moved, only as provided by regula-
tions of the Board.
(c) AVOIDING UNNECESSARY INTERFERENCE
AND PRESERVING
EVIDENCE.—In carrying out subsection (a)(1) of this section, an
officer or employee may examine or test any vehicle, vessel, rolling
stock, track, or pipeline component. The examination or test shall
be conducted in a way that—
(1) does not interfere unnecessarily with transportation
services provided by the owner or operator of the vehicle, vessel,
rolling stock, track, or pipeline component; and
(2) to the maximum extent feasible, preserves evidence
related to the accident, consistent with the needs of the inves-
tigation and with the cooperation of that owner or operator.
H. R. 1758—11
(d) EXCLUSIVE AUTHORITY
OF BOARD.—Only the Board has
the authority to decide on the way in which testing under this
section will be conducted, including decisions on the person that
will conduct the test, the type of test that will be conducted, and
any individual who will witness the test. Those decisions are
committed to the discretion of the Board. The Board shall make
any of those decisions based on the needs of the investigation
being conducted and, when applicable, subsections (a), (c), and
(e) of this section.
(e) PROMPTNESS OF TESTS AND AVAILABILITY OF RESULTS.—
An inspection, examination, or test under subsection (a) or (c)
of this section shall be started and completed promptly, and the
results shall be made available.
(f) AUTOPSIES.—(1) The Board may order an autopsy to be
performed and have other tests made when necessary to investigate
an accident under this chapter. However, local law protecting reli-
gious beliefs related to autopsies shall be observed to the extent
consistent with the needs of the accident investigation.
(2) With or without reimbursement, the Board may obtain
a copy of an autopsy report performed by a State or local official
on an individual who died because of a transportation accident
investigated by the Board under this chapter.
§ 1135. Secretary of Transportation’s responses to safety rec-
ommendations
(a) GENERAL.—When the National Transportation Safety Board
submits a recommendation about transportation safety to the Sec-
retary of Transportation, the Secretary shall give a formal written
response to each recommendation not later than 90 days after
receiving the recommendation. The response shall indicate whether
the Secretary intends—
(1) to carry out procedures to adopt the complete rec-
ommendation;
(2) to carry out procedures to adopt a part of the rec-
ommendation; or
(3) to refuse to carry out procedures to adopt the rec-
ommendation.
(b) TIMETABLE
FOR COMPLETING PROCEDURES
AND REASONS
FOR REFUSALS.—A response under subsection (a)(1) or (2) of this
section shall include a copy of a proposed timetable for completing
the procedures. A response under subsection (a)(2) of this section
shall detail the reasons for the refusal to carry out procedures
on the remainder of the recommendation. A response under sub-
section (a)(3) of this section shall detail the reasons for the refusal
to carry out procedures.
(c) PUBLIC AVAILABILITY.—The Board shall make a copy of
each recommendation and response available to the public at
reasonable cost.
(d) REPORTS TO CONGRESS.—The Secretary shall submit to Con-
gress on January 1 of each year a report containing each rec-
ommendation on transportation safety made by the Board to the
Secretary during the prior year and a copy of the Secretary’s
response to each recommendation.
H. R. 1758—12
SUBCHAPTER IV—ENFORCEMENT AND PENALTIES
§ 1151. Aviation enforcement
(a) CIVIL ACTIONS
BY BOARD.—The National Transportation
Safety Board may bring a civil action in a district court of the
United States against a person to enforce section 1132, 1134(b)
or (f)(1)(related to an aircraft accident), or 1155(a) of this title
or a regulation prescribed or order issued under any of those sec-
tions. An action under this subsection may be brought in the judicial
district in which the person does business or the violation occurred.
(b) CIVIL ACTIONS BY ATTORNEY GENERAL.—On request of the
Board, the Attorney General may bring a civil action in an appro-
priate court—
(1) to enforce section 1132, 1134(b) or (f)(1)(related to an
aircraft accident), or 1155(a) of this title or a regulation pre-
scribed or order issued under any of those sections; and
(2) to prosecute a person violating those sections or a
regulation prescribed or order issued under any of those sec-
tions.
(c) PARTICIPATION OF BOARD.—On request of the Attorney Gen-
eral, the Board may participate in a civil action to enforce section
1132, 1134(b) or (f)(1)(related to an aircraft accident), or 1155(a)
of this title.
§ 1152. Joinder and intervention in aviation proceedings
A person interested in or affected by a matter under consider-
ation in a proceeding or a civil action to enforce section 1132,
1134(b) or (f)(1)(related to an aircraft accident), or 1155(a) of this
title, or a regulation prescribed or order issued under any of those
sections, may be joined as a party or permitted to intervene in
the proceeding or civil action.
§ 1153. Judicial review
(a) GENERAL.—The appropriate court of appeals of the United
States or the United States Court of Appeals for the District of
Columbia Circuit may review a final order of the National Transpor-
tation Safety Board under this chapter. A person disclosing a
substantial interest in the order may apply for review by filing
a petition not later than 60 days after the order of the Board
is issued.
(b) PERSONS SEEKING JUDICIAL REVIEW
OF AVIATION MAT-
TERS.—(1) A person disclosing a substantial interest in an order
related to an aviation matter issued by the Board under this chapter
may apply for review of the order by filing a petition for review
in the United States Court of Appeals for the District of Columbia
Circuit or in the court of appeals of the United States for the
circuit in which the person resides or has its principal place of
business. The petition must be filed not later than 60 days after
the order is issued. The court may allow the petition to be filed
after the 60 days only if there was a reasonable ground for not
filing within that 60-day period.
(2) When a petition is filed under paragraph (1) of this sub-
section, the clerk of the court immediately shall send a copy of
the petition to the Board. The Board shall file with the court
a record of the proceeding in which the order was issued.
(3) When the petition is sent to the Board, the court has
exclusive jurisdiction to affirm, amend, modify, or set aside any
H. R. 1758—13
part of the order and may order the Board to conduct further
proceedings. After reasonable notice to the Board, the court may
grant interim relief by staying the order or taking other appropriate
action when cause for its action exists. Findings of fact by the
Board, if supported by substantial evidence, are conclusive.
(4) In reviewing an order under this subsection, the court
may consider an objection to an order of the Board only if the
objection was made in the proceeding conducted by the Board
or if there was a reasonable ground for not making the objection
in the proceeding.
(5) A decision by a court under this subsection may be reviewed
only by the Supreme Court under section 1254 of title 28.
(c) ADMINISTRATOR SEEKING JUDICIAL REVIEW
OF AVIATION
MATTERS.—When the Administrator of the Federal Aviation
Administration decides that an order of the Board under section
44709 or 46301(d)(5) of this title will have a significant adverse
impact on carrying out this chapter related to an aviation matter,
the Administrator may obtain judicial review of the order under
section 46110 of this title. The Administrator shall be made a
party to the judicial review proceedings. Findings of fact of the
Board are conclusive if supported by substantial evidence.
§ 1154. Discovery and use of cockpit voice and other material
(a) TRANSCRIPTS AND RECORDINGS.—(1) Except as provided by
this subsection, a party in a judicial proceeding may not use discov-
ery to obtain—
(A) any part of a cockpit voice recorder transcript that
the National Transportation Safety Board has not made avail-
able to the public under section 1114(c) of this title; and
(B) a cockpit voice recorder recording.
(2)(A) Except as provided in paragraph (4)(A) of this subsection,
a court may allow discovery by a party of a cockpit voice recorder
transcript if, after an in camera review of the transcript, the court
decides that—
(i) the part of the transcript made available to the public
under section 1114(c) of this title does not provide the party
with sufficient information for the party to receive a fair trial;
and
(ii) discovery of additional parts of the transcript is nec-
essary to provide the party with sufficient information for the
party to receive a fair trial.
(B) A court may allow discovery, or require production for
an in camera review, of a cockpit voice recorder transcript that
the Board has not made available under section 1114(c) of this
title only if the cockpit voice recorder recording is not available.
(3) Except as provided in paragraph (4)(A) of this subsection,
a court may allow discovery by a party of a cockpit voice recorder
recording if, after an in camera review of the recording, the court
decides that—
(A) the parts of the transcript made available to the public
under section 1114(c) of this title and to the party through
discovery under paragraph (2) of this subsection do not provide
the party with sufficient information for the party to receive
a fair trial; and
(B) discovery of the cockpit voice recorder recording is
necessary to provide the party with sufficient information for
the party to receive a fair trial.
H. R. 1758—14
(4)(A) When a court allows discovery in a judicial proceeding
of a part of a cockpit voice recorder transcript not made available
to the public under section 1114(c) of this title or a cockpit voice
recorder recording, the court shall issue a protective order—
(i) to limit the use of the part of the transcript or the
recording to the judicial proceeding; and
(ii) to prohibit dissemination of the part of the transcript
or the recording to any person that does not need access to
the part of the transcript or the recording for the proceeding.
(B) A court may allow a part of a cockpit voice recorder tran-
script not made available to the public under section 1114(c) of
this title or a cockpit voice recorder recording to be admitted into
evidence in a judicial proceeding, only if the court places the part
of the transcript or the recording under seal to prevent the use
of the part of the transcript or the recording for purposes other
than for the proceeding.
(5) This subsection does not prevent the Board from referring
at any time to cockpit voice recorder information in making safety
recommendations.
(b) REPORTS.—No part of a report of the Board, related to
an accident or an investigation of an accident, may be admitted
into evidence or used in a civil action for damages resulting from
a matter mentioned in the report.
§ 1155. Aviation penalties
(a) CIVIL PENALTY.—(1) A person violating section 1132 or
1134(b) or (f)(1)(related to an aircraft accident) of this title or
a regulation prescribed or order issued under either of those sections
is liable to the United States Government for a civil penalty of
not more than $1,000. A separate violation occurs for each day
a violation continues.
(2) This subsection does not apply to a member of the armed
forces of the United States or an employee of the Department
of Defense subject to the Uniform Code of Military Justice when
the member or employee is performing official duties. The appro-
priate military authorities are responsible for taking necessary dis-
ciplinary action and submitting to the National Transportation
Safety Board a timely report on action taken.
(3) The Board may compromise the amount of a civil penalty
imposed under this subsection.
(4) The Government may deduct the amount of a civil penalty
imposed or compromised under this subsection from amounts it
owes the person liable for the penalty.
(5) A civil penalty under this subsection may be collected by
bringing a civil action against the person liable for the penalty.
The action shall conform as nearly as practicable to a civil action
in admiralty.
(b) CRIMINAL PENALTY.—A person that knowingly and without
authority removes, conceals, or withholds a part of a civil aircraft
involved in an accident, or property on the aircraft at the time
of the accident, shall be fined under title 18, imprisoned for not
more than 10 years, or both.
SUBTITLE III—GENERAL AND INTERMODAL
PROGRAMS
CHAPTER
Sec.
H. R. 1758—15
51.
TRANSPORTATION OF HAZARDOUS MATERIAL ..............................
5101
53.
MASS TRANSPORTATION .......................................................................
5301
55.
INTERMODAL TRANSPORTATION .......................................................
5501
57.
SANITARY FOOD TRANSPORTATION ..................................................
5701
59.
INTERMODAL SAFE CONTAINER TRANSPORTATION ....................
5901
CHAPTER 51—TRANSPORTATION OF HAZARDOUS
MATERIAL
Sec.
5101.
Purpose.
5102.
Definitions.
5103.
General regulatory authority.
5104.
Representation and tampering.
5105.
Transporting certain highly radioactive material.
5106.
Handling criteria.
5107.
Hazmat employee training requirements and grants.
5108.
Registration.
5109.
Motor carrier safety permits.
5110.
Shipping papers and disclosure.
5111.
Rail tank cars.
5112.
Highway routing of hazardous material.
5113.
Unsatisfactory safety rating.
5114.
Air transportation of ionizing radiation material.
5115.
Training curriculum for the public sector.
5116.
Planning and training grants, monitoring, and review.
5117.
Exemptions and exclusions.
5118.
Inspectors.
5119.
Uniform forms and procedures.
5120.
International uniformity of standards and requirements.
5121.
Administrative.
5122.
Enforcement.
5123.
Civil penalty.
5124.
Criminal penalty.
5125.
Preemption.
5126.
Relationship to other laws.
5127.
Authorization of appropriations.
§ 5101. Purpose
The purpose of this chapter is to provide adequate protection
against the risks to life and property inherent in the transportation
of hazardous material in commerce by improving the regulatory
and enforcement authority of the Secretary of Transportation.
§ 5102. Definitions
In this chapter—
(1) ‘‘commerce’’ means trade or transportation in the juris-
diction of the United States—
(A) between a place in a State and a place outside
of the State; or
(B) that affects trade or transportation between a place
in a State and a place outside of the State.
(2) ‘‘hazardous material’’ means a substance or material
the Secretary of Transportation designates under section
5103(a) of this title.
(3) ‘‘hazmat employee’’—
(A) means an individual—
(i) employed by a hazmat employer; and
(ii) who during the course of employment directly
affects hazardous material transportation safety as the
Secretary decides by regulation;
(B) includes an owner-operator of a motor vehicle
transporting hazardous material in commerce; and
(C) includes an individual, employed by a hazmat
employer, who during the course of employment—
H. R. 1758—16
(i) loads, unloads, or handles hazardous material;
(ii) manufactures, reconditions, or tests containers,
drums, and packages represented as qualified for use
in transporting hazardous material;
(iii) prepares hazardous material for transpor-
tation;
(iv) is responsible for the safety of transporting
hazardous material; or
(v) operates a vehicle used to transport hazardous
material.
(4) ‘‘hazmat employer’’—
(A) means a person using at least one employee of
that person in connection with—
(i) transporting hazardous material in commerce;
(ii) causing hazardous material to be transported
in commerce; or
(iii) manufacturing, reconditioning, or testing
containers, drums, and packages represented as quali-
fied for use in transporting hazardous material;
(B) includes an owner-operator of a motor vehicle
transporting hazardous material in commerce; and
(C) includes a department, agency, or instrumentality
of the United States Government, or an authority of a
State, political subdivision of a State, or Indian tribe, carry-
ing out an activity described in subclause (A)(i), (ii), or
(iii) of this clause (4).
(5) ‘‘imminent hazard’’ means the existence of a condition
that presents a substantial likelihood that death, serious ill-
ness, severe personal injury, or a substantial endangerment
to health, property, or the environment may occur before the
reasonably foreseeable completion date of a formal proceeding
begun to lessen the risk of that death, illness, injury, or
endangerment.
(6) ‘‘Indian tribe’’ has the same meaning given that term
in section 4 of the Indian Self-Determination and Education
Assistance Act (25 U.S.C. 450b).
(7) ‘‘motor carrier’’ means a motor common carrier, motor
contract carrier, motor private carrier, and freight forwarder
as those terms are defined in section 10102 of this title.
(8) ‘‘national response team’’ means the national response
team established under the national contingency plan estab-
lished under section 105 of the Comprehensive Environmental
Response, Compensation, and Liability Act of 1980 (42 U.S.C.
9605).
(9) ‘‘person’’, in addition to its meaning under section 1
of title 1—
(A) includes a government, Indian tribe, or authority
of a government or tribe offering hazardous material for
transportation in commerce or transporting hazardous
material to further a commercial enterprise; but
(B) does not include—
(i) the United States Postal Service; and
(ii) in sections 5123 and 5124 of this title, a depart-
ment, agency, or instrumentality of the Government.
(10) ‘‘public sector employee’’—
(A) means an individual employed by a State, political
subdivision of a State, or Indian tribe and who during
H. R. 1758—17
the course of employment has responsibilities related to
responding to an accident or incident involving the
transportation of hazardous material;
(B) includes an individual employed by a State, political
subdivision of a State, or Indian tribe as a firefighter
or law enforcement officer; and
(C) includes an individual who volunteers to serve
as a firefighter for a State, political subdivision of a State,
or Indian tribe.
(11) ‘‘State’’ means—
(A) except in section 5119 of this title, a State of
the United States, the District of Columbia, Puerto Rico,
the Northern Mariana Islands, the Virgin Islands, Amer-
ican Samoa, Guam, and any other territory or possession
of the United States designated by the Secretary; and
(B) in section 5119 of this title, a State of the United
States and the District of Columbia.
(12) ‘‘transports’’ or ‘‘transportation’’ means the movement
of property and loading, unloading, or storage incidental to
the movement.
(13) ‘‘United States’’ means all of the States.
§ 5103. General regulatory authority
(a) DESIGNATING MATERIAL AS HAZARDOUS.—The Secretary of
Transportation shall designate material (including an explosive,
radioactive material, etiologic agent, flammable or combustible liq-
uid or solid, poison, oxidizing or corrosive material, and compressed
gas) or a group or class of material as hazardous when the Secretary
decides that transporting the material in commerce in a particular
amount and form may pose an unreasonable risk to health and
safety or property.
(b) REGULATIONS
FOR SAFE TRANSPORTATION.—(1) The Sec-
retary shall prescribe regulations for the safe transportation of
hazardous material in intrastate, interstate, and foreign commerce.
The regulations—
(A) apply to a person—
(i) transporting hazardous material in commerce;
(ii) causing hazardous material to be transported in
commerce; or
(iii) manufacturing, fabricating, marking, maintaining,
reconditioning, repairing, or testing a package or container
that is represented, marked, certified, or sold by that per-
son as qualified for use in transporting hazardous material
in commerce; and
(B) shall govern safety aspects of the transportation of
hazardous material the Secretary considers appropriate.
(2) A proceeding to prescribe the regulations must include
an opportunity for informal oral presentations.
§ 5104. Representation and tampering
(a) REPRESENTATION.—A person may represent, by marking
or otherwise, that—
(1) a container or package for transporting hazardous mate-
rial is safe, certified, or complies with this chapter only if
the container or package meets the requirements of each regula-
tion prescribed under this chapter; or
H. R. 1758—18
(2) hazardous material is present in a package, container,
motor vehicle, rail freight car, aircraft, or vessel only if the
material is present.
(b) TAMPERING.—A person may not alter, remove, destroy, or
otherwise tamper unlawfully with—
(1) a marking, label, placard, or description on a document
required under this chapter or a regulation prescribed under
this chapter; or
(2) a package, container, motor vehicle, rail freight car,
aircraft, or vessel used to transport hazardous material.
§ 5105. Transporting certain highly radioactive material
(a) DEFINITIONS.—In this section, ‘‘high-level radioactive waste’’
and ‘‘spent nuclear fuel’’ have the same meanings given those
terms in section 2 of the Nuclear Waste Policy Act of 1982 (42
U.S.C. 10101).
(b) TRANSPORTATION SAFETY STUDY.—In consultation with the
Secretary of Energy, the Nuclear Regulatory Commission, poten-
tially affected States and Indian tribes, representatives of the rail
transportation industry, and shippers of high-level radioactive waste
and spent nuclear fuel, the Secretary of Transportation shall con-
duct a study comparing the safety of using trains operated only
to transport high-level radioactive waste and spent nuclear fuel
with the safety of using other methods of rail transportation for
transporting that waste and fuel. The Secretary of Transportation
shall submit to Congress not later than November 16, 1991, a
report on the results of the study.
(c) SAFE RAIL TRANSPORTATION REGULATIONS.—Not later than
November 16, 1992, after considering the results of the study con-
ducted under subsection (b) of this section, the Secretary of
Transportation shall prescribe amendments to existing regulations
that the Secretary considers appropriate to provide for the safe
rail transportation of high-level radioactive waste and spent nuclear
fuel, including trains operated only for transporting high-level radio-
active waste and spent nuclear fuel.
(d) ROUTES AND MODES STUDY.—Not later than November 16,
1991, the Secretary of Transportation shall conduct a study to
decide which factors, if any, shippers and carriers should consider
when selecting routes and modes that would enhance overall public
safety related to the transportation of high-level radioactive waste
and spent nuclear fuel. The study shall include—
(1) notice and opportunity for public comment; and
(2) an assessment of the degree to which at least the
following affect the overall public safety of the transportation:
(A) population densities.
(B) types and conditions of modal infrastructures
(including highways, railbeds, and waterways).
(C) quantities of high-level radioactive waste and spent
nuclear fuel.
(D) emergency response capabilities.
(E) exposure and other risk factors.
(F) terrain considerations.
(G) continuity of routes.
(H) available alternative routes.
(I) environmental impact factors.
(e) INSPECTIONS OF MOTOR VEHICLES TRANSPORTING CERTAIN
MATERIAL.—(1) Not later than November 16, 1991, the Secretary
H. R. 1758—19
of Transportation shall require by regulation that before each use
of a motor vehicle to transport a highway-route-controlled quantity
of radioactive material in commerce, the vehicle shall be inspected
and certified as complying with this chapter and applicable United
States motor carrier safety laws and regulations. The Secretary
may require that the inspection be carried out by an authorized
United States Government inspector or according to appropriate
State procedures.
(2) The Secretary of Transportation may allow a person,
transporting or causing to be transported a highway-route-con-
trolled quantity of radioactive material, to inspect the motor vehicle
used to transport the material and to certify that the vehicle com-
plies with this chapter. The inspector qualification requirements
the Secretary prescribes for an individual inspecting a motor vehicle
apply to an individual conducting an inspection under this para-
graph.
§ 5106. Handling criteria
The Secretary of Transportation may prescribe criteria for han-
dling hazardous material, including—
(1) a minimum number of personnel;
(2) minimum levels of training and qualifications for
personnel;
(3) the kind and frequency of inspections;
(4) equipment for detecting, warning of, and controlling
risks posed by the hazardous material;
(5) specifications for the use of equipment and facilities
used in handling and transporting the hazardous material;
and
(6) a system of monitoring safety procedures for transport-
ing the hazardous material.
§ 5107. Hazmat employee training requirements and grants
(a) TRAINING REQUIREMENTS.—The Secretary of Transportation
shall prescribe by regulation requirements for training that a
hazmat employer must give hazmat employees of the employer
on the safe loading, unloading, handling, storing, and transporting
of hazardous material and emergency preparedness for responding
to an accident or incident involving the transportation of hazardous
material. The regulations—
(1) shall establish the date, as provided by subsection (b)
of this section, by which the training shall be completed; and
(2) may provide for different training for different classes
or categories of hazardous material and hazmat employees.
(b) 
BEGINNING
AND
COMPLETING
TRAINING.—A 
hazmat
employer shall begin the training of hazmat employees of the
employer not later than 6 months after the Secretary of Transpor-
tation prescribes the regulations under subsection (a) of this section.
The training shall be completed within a reasonable period of
time after—
(1) 6 months after the regulations are prescribed; or
(2) the date on which an individual is to begin carrying
out a duty or power of a hazmat employee if the individual
is employed as a hazmat employee after the 6-month period.
(c) CERTIFICATION OF TRAINING.—After completing the training,
each hazmat employer shall certify, with documentation the Sec-
retary of Transportation may require by regulation, that the hazmat
H. R. 1758—20
employees of the employer have received training and have been
tested on appropriate transportation areas of responsibility, includ-
ing at least one of the following:
(1) recognizing and understanding the Department of
Transportation hazardous material classification system.
(2) the use and limitations of the Department hazardous
material placarding, labeling, and marking systems.
(3) general handling procedures, loading and unloading
techniques, and strategies to reduce the probability of release
or damage during or incidental to transporting hazardous mate-
rial.
(4) health, safety, and risk factors associated with hazard-
ous material and the transportation of hazardous material.
(5) appropriate emergency response and communication
procedures for dealing with an accident or incident involving
hazardous material transportation.
(6) the use of the Department Emergency Response Guide-
book and recognition of its limitations or the use of equivalent
documents and recognition of the limitations of those docu-
ments.
(7) applicable hazardous material transportation regula-
tions.
(8) personal protection techniques.
(9) preparing a shipping document for transporting hazard-
ous material.
(d) COORDINATION OF TRAINING REQUIREMENTS.—In consulta-
tion with the Administrator of the Environmental Protection Agency
and the Secretary of Labor, the Secretary of Transportation shall
ensure that the training requirements prescribed under this section
do not conflict with—
(1) the requirements of regulations the Secretary of Labor
prescribes related to hazardous waste operations and emer-
gency response that are contained in part 1910 of title 29,
Code of Federal Regulations; and
(2) the regulations the Agency prescribes related to worker
protection standards for hazardous waste operations that are
contained in part 311 of title 40, Code of Federal Regulations.
(e) TRAINING GRANTS.—In consultation with the Secretaries
of Transportation and Labor and the Administrator, the Director
of the National Institute of Environmental Health Sciences may
make grants to train hazmat employees under this section. A grant
under this subsection shall be made to a nonprofit organization
that demonstrates—
(1) expertise in conducting a training program for hazmat
employees; and
(2) the ability to reach and involve in a training program
a target population of hazmat employees.
(f) RELATIONSHIP
TO OTHER LAWS.—(1) Chapter 35 of title
44 does not apply to an activity of the Secretary of Transportation
under subsections (a)–(d) of this section.
(2) An action of the Secretary of Transportation under sub-
sections (a)–(d) of this section and sections 5106, 5108(a)–(g)(1)
and (h), and 5109 of this title is not an exercise, under section
4(b)(1) of the Occupational Safety and Health Act of 1970 (29
U.S.C. 653(b)(1)), of statutory authority to prescribe or enforce
standards or regulations affecting occupational safety or health.
H. R. 1758—21
§ 5108. Registration
(a) PERSONS REQUIRED TO FILE.—(1) A person shall file a reg-
istration statement with the Secretary of Transportation under
this subsection if the person is transporting or causing to be trans-
ported in commerce any of the following:
(A) a highway-route-controlled quantity of radioactive
material.
(B) more than 25 kilograms of a class A or B explosive
in a motor vehicle, rail car, or transport container.
(C) more than one liter in each package of a hazardous
material the Secretary designates as extremely toxic by inhala-
tion.
(D) hazardous material in a bulk package, container, or
tank, as defined by the Secretary, if the package, container,
or tank has a capacity of at least 3,500 gallons or more than
468 cubic feet.
(E) a shipment of at least 5,000 pounds (except in a bulk
packaging) of a class of hazardous material for which placarding
of a vehicle, rail car, or freight container is required under
regulations prescribed under this chapter.
(2) The Secretary of Transportation may require any of the
following persons to file a registration statement with the Secretary
under this subsection:
(A) a person transporting or causing to be transported
hazardous material in commerce and not required to file a
registration statement under paragraph (1) of this subsection.
(B) 
a 
person 
manufacturing, 
fabricating, 
marking,
maintaining, reconditioning, repairing, or testing a package
or container the person represents, marks, certifies, or sells
for use in transporting in commerce hazardous material the
Secretary designates.
(3) A person required to file a registration statement under
this subsection may transport or cause to be transported, or manu-
facture, fabricate, mark, maintain, recondition, repair, or test a
package or container for use in transporting, hazardous material,
only if the person has a statement on file as required by this
subsection.
(b) FORM, CONTENTS, AND LIMITATION ON FILINGS.—(1) A reg-
istration statement under subsection (a) of this section shall be
in the form and contain information the Secretary of Transportation
requires by regulation. The Secretary may use existing forms of
the Department of Transportation and the Environmental Protec-
tion Agency to carry out this subsection. The statement shall
include—
(A) the name and principal place of business of the reg-
istrant;
(B) a description of each activity the registrant carries
out for which filing a statement under subsection (a) of this
section is required; and
(C) each State in which the person carries out the activity.
(2) A person carrying out more than one activity, or an activity
at more than one location, for which filing is required only has
to file one registration statement to comply with subsection (a)
of this section.
(c) FILING DEADLINES
AND AMENDMENTS.—(1) Each person
required to file a registration statement under subsection (a) of
this section must file the first statement not later than March
H. R. 1758—22
31, 1992. The Secretary of Transportation may extend that date
to September 30, 1992, for activities referred to in subsection (a)(1)
of this section. A person shall renew the statement periodically
consistent with regulations the Secretary prescribes, but not more
than once each year and not less than once every 5 years.
(2) The Secretary of Transportation shall decide by regulation
when and under what circumstances a registration statement must
be amended and the procedures to follow in amending the state-
ment.
(d) SIMPLIFYING THE REGISTRATION PROCESS.—The Secretary
of Transportation may take necessary action to simplify the registra-
tion process under subsections (a)–(c) of this section and to minimize
the number of applications, documents, and other information a
person is required to file under this chapter and other laws of
the United States.
(e) COOPERATION WITH ADMINISTRATOR.—The Administrator of
the Environmental Protection Agency shall assist the Secretary
of Transportation in carrying out subsections (a)–(g)(1) and (h)
of this section by providing the Secretary with information the
Secretary requests to carry out the objectives of subsections (a)–
(g)(1) and (h).
(f) AVAILABILITY OF STATEMENTS.—The Secretary of Transpor-
tation shall make a registration statement filed under subsection
(a) of this section available for inspection by any person for a
fee the Secretary establishes. However, this subsection does not
require the release of information described in section 552(f) of
title 5 or otherwise protected by law from disclosure to the public.
(g) FEES.—(1) The Secretary of Transportation may establish,
impose, and collect from a person required to file a registration
statement under subsection (a) of this section a fee necessary to
pay for the costs of the Secretary in processing the statement.
(2)(A) In addition to a fee established under paragraph (1)
of this subsection, the Secretary of Transportation shall establish
and impose by regulation and collect an annual fee. Subject to
subparagraph (B) of this paragraph, the fee shall be at least $250
but not more than $5,000 from each person required to file a
registration statement under this section. The Secretary shall deter-
mine the amount of the fee under this paragraph on at least
one of the following:
(i) gross revenue from transporting hazardous material.
(ii) the type of hazardous material transported or caused
to be transported.
(iii) the amount of hazardous material transported or
caused to be transported.
(iv) the number of shipments of hazardous material.
(v) the number of activities that the person carries out
for which filing a registration statement is required under
this section.
(vi) the threat to property, individuals, and the environ-
ment from an accident or incident involving the hazardous
material transported or caused to be transported.
(vii) the percentage of gross revenue derived from
transporting hazardous material.
(viii) the amount to be made available to carry out sections
5107(e), 5108(g)(2), 5115, and 5116 of this title.
(ix) other factors the Secretary considers appropriate.
H. R. 1758—23
(B) The Secretary of Transportation shall adjust the amount
being collected under this paragraph to reflect any unexpended
balance in the account established under section 5116(i) of this
title. However, the Secretary is not required to refund any fee
collected under this paragraph.
(C) The Secretary of Transportation shall transfer to the Sec-
retary of the Treasury amounts the Secretary of Transportation
collects under this paragraph for deposit in the account the Sec-
retary of the Treasury establishes under section 5116(i) of this
title.
(h) MAINTAINING PROOF OF FILING AND PAYMENT OF FEES.—
The Secretary of Transportation may prescribe regulations requiring
a person required to file a registration statement under subsection
(a) of this section to maintain proof of the filing and payment
of fees imposed under subsection (g) of this section.
(i) RELATIONSHIP
TO OTHER LAWS.—(1) Chapter 35 of title
44 does not apply to an activity of the Secretary of Transportation
under subsections (a)–(g)(1) and (h) of this section.
(2)(A) This section does not apply to an employee of a hazmat
employer.
(B) Subsections (a)–(h) of this section do not apply to a depart-
ment, agency, or instrumentality of the United States Government,
an authority of a State or political subdivision of a State, or an
employee of a department, agency, instrumentality, or authority
carrying out official duties.
§ 5109. Motor carrier safety permits
(a) REQUIREMENT.—A motor carrier may transport or cause
to be transported by motor vehicle in commerce hazardous material
only if the carrier holds a safety permit the Secretary of Transpor-
tation issues under this section authorizing the transportation and
keeps a copy of the permit, or other proof of its existence, in
the vehicle. The Secretary shall issue a permit if the Secretary
finds the carrier is fit, willing, and able—
(1) to provide the transportation to be authorized by the
permit;
(2) to comply with this chapter and regulations the Sec-
retary prescribes to carry out this chapter; and
(3) to comply with applicable United States motor carrier
safety laws and regulations and applicable minimum financial
responsibility laws and regulations.
(b) APPLICABLE TRANSPORTATION.—The Secretary shall pre-
scribe by regulation the hazardous material and amounts of hazard-
ous material to which this section applies. However, this section
shall apply at least to transportation by a motor carrier, in amounts
the Secretary establishes, of—
(1) a class A or B explosive;
(2) liquefied natural gas;
(3) hazardous material the Secretary designates as
extremely toxic by inhalation; and
(4) a highway-route-controlled quantity of radioactive mate-
rial, as defined by the Secretary.
(c) APPLICATIONS.—A motor carrier shall file an application
with the Secretary for a safety permit to provide transportation
under this section. The Secretary may approve any part of the
application or deny the application. The application shall be under
oath and contain information the Secretary requires by regulation.
H. R. 1758—24
(d) AMENDMENTS, SUSPENSIONS, AND REVOCATIONS.—(1) After
notice and an opportunity for a hearing, the Secretary may amend,
suspend, or revoke a safety permit, as provided by procedures
prescribed under subsection (e) of this section, when the Secretary
decides the motor carrier is not complying with a requirement
of this chapter, a regulation prescribed under this chapter, or an
applicable United States motor carrier safety law or regulation
or minimum financial responsibility law or regulation.
(2) If the Secretary decides an imminent hazard exists, the
Secretary may amend, suspend, or revoke a permit before schedul-
ing a hearing.
(e) PROCEDURES.—The Secretary shall prescribe by regulation—
(1) application procedures, including form, content, and
fees necessary to recover the complete cost of carrying out
this section;
(2) standards for deciding the duration, terms, and limita-
tions of a safety permit;
(3) procedures to amend, suspend, or revoke a permit;
and
(4) other procedures the Secretary considers appropriate
to carry out this section.
(f) SHIPPER
RESPONSIBILITY.—A person offering hazardous
material for motor vehicle transportation in commerce may offer
the material to a motor carrier only if the carrier has a safety
permit issued under this section authorizing the transportation.
(g) CONDITIONS.—A motor carrier may provide transportation
under a safety permit issued under this section only if the carrier
complies with conditions the Secretary finds are required to protect
public safety.
(h) REGULATIONS.—The Secretary shall prescribe regulations
necessary to carry out this section not later than November 16,
1991.
§ 5110. Shipping papers and disclosure
(a) PROVIDING SHIPPING PAPERS.—Each person offering for
transportation in commerce hazardous material to which the ship-
ping paper requirements of the Secretary of Transportation apply
shall provide to the carrier providing the transportation a shipping
paper that makes the disclosures the Secretary prescribes under
subsection (b) of this section.
(b) CONSIDERATIONS AND REQUIREMENTS.—In carrying out sub-
section (a) of this section, the Secretary shall consider and may
require—
(1) a description of the hazardous material, including the
proper shipping name;
(2) the hazard class of the hazardous material;
(3) the identification number (UN/NA) of the hazardous
material;
(4) immediate first action emergency response information
or a way for appropriate reference to the information (that
must be available immediately); and
(5) a telephone number for obtaining more specific handling
and mitigation information about the hazardous material at
any time during which the material is transported.
(c) KEEPING SHIPPING PAPERS ON THE VEHICLE.—(1) A motor
carrier, and the person offering the hazardous material for transpor-
H. R. 1758—25
tation if a private motor carrier, shall keep the shipping paper
on the vehicle transporting the material.
(2) Except as provided in paragraph (1) of this subsection,
the shipping paper shall be kept in a location the Secretary specifies
in a motor vehicle, train, vessel, aircraft, or facility until—
(A) the hazardous material no longer is in transportation;
or
(B) the documents are made available to a representative
of a department, agency, or instrumentality of the United States
Government or a State or local authority responding to an
accident or incident involving the motor vehicle, train, vessel,
aircraft, or facility.
(d) DISCLOSURE TO EMERGENCY RESPONSE AUTHORITIES.—When
an incident involving hazardous material being transported in com-
merce occurs, the person transporting the material, immediately
on request of appropriate emergency response authorities, shall
disclose to the authorities information about the material.
§ 5111. Rail tank cars
A rail tank car built before January 1, 1971, may be used
to transport hazardous material in commerce only if the air brake
equipment support attachments of the car comply with the stand-
ards for attachments contained in sections 179.100-16 and 179.200-
19 of title 49, Code of Federal Regulations, in effect on November
16, 1990.
§ 5112. Highway routing of hazardous material
(a) APPLICATION.—(1) This section applies to a motor vehicle
only if the vehicle is transporting hazardous material in commerce
for which placarding of the vehicle is required under regulations
prescribed under this chapter. However, the Secretary of Transpor-
tation by regulation may extend application of this section or a
standard prescribed under subsection (b) of this section to—
(A) any use of a vehicle under this paragraph to transport
any hazardous material in commerce; and
(B) any motor vehicle used to transport hazardous material
in commerce.
(2) Except as provided by subsection (d) of this section and
section 5125(c) of this title, each State and Indian tribe may estab-
lish, maintain, and enforce—
(A) designations of specific highway routes over which
hazardous material may and may not be transported by motor
vehicle; and
(B) limitations and requirements related to highway rout-
ing.
(b) STANDARDS FOR STATES AND INDIAN TRIBES.—(1) The Sec-
retary, in consultation with the States, shall prescribe by regulation
standards for States and Indian tribes to use in carrying out sub-
section (a) of this section. The standards shall include—
(A) a requirement that a highway routing designation,
limitation, or requirement of a State or Indian tribe shall
enhance public safety in the area subject to the jurisdiction
of the State or tribe and in areas of the United States not
subject to the jurisdiction of the State or tribe and directly
affected by the designation, limitation, or requirement;
H. R. 1758—26
(B) minimum procedural requirements to ensure public
participation when the State or Indian tribe is establishing
a highway routing designation, limitation, or requirement;
(C) a requirement that, in establishing a highway routing
designation, limitation, or requirement, a State or Indian tribe
consult with appropriate State, local, and tribal officials having
jurisdiction over areas of the United States not subject to
the jurisdiction of that State or tribe establishing the designa-
tion, limitation, or requirement and with affected industries;
(D) a requirement that a highway routing designation,
limitation, or requirement of a State or Indian tribe shall
ensure through highway routing for the transportation of
hazardous material between adjacent areas;
(E) a requirement that a highway routing designation,
limitation, or requirement of one State or Indian tribe affecting
the transportation of hazardous material in another State or
tribe may be established, maintained, and enforced by the
State or tribe establishing the designation, limitation, or
requirement only if—
(i) the designation, limitation, or requirement is agreed
to by the other State or tribe within a reasonable period
or is approved by the Secretary under subsection (d) of
this section; and
(ii) the designation, limitation, or requirement is not
an unreasonable burden on commerce;
(F) a requirement that establishing a highway routing des-
ignation, limitation, or requirement of a State or Indian tribe
be completed in a timely way;
(G) a requirement that a highway routing designation,
limitation, or requirement of a State or Indian tribe provide
reasonable routes for motor vehicles transporting hazardous
material to reach terminals, facilities for food, fuel, repairs,
and rest, and places to load and unload hazardous material;
(H) a requirement that a State be responsible—
(i) for ensuring that political subdivisions of the State
comply with standards prescribed under this subsection
in establishing, maintaining, and enforcing a highway rout-
ing designation, limitation, or requirement; and
(ii) for resolving a dispute between political subdivi-
sions; and
(I) a requirement that, in carrying out subsection (a) of
this section, a State or Indian tribe shall consider—
(i) population densities;
(ii) the types of highways;
(iii) the types and amounts of hazardous material;
(iv) emergency response capabilities;
(v) the results of consulting with affected persons;
(vi) exposure and other risk factors;
(vii) terrain considerations;
(viii) the continuity of routes;
(ix) alternative routes;
(x) the effects on commerce;
(xi) delays in transportation; and
(xii) other factors the Secretary considers appropriate.
(2) The Secretary may not assign a specific weight that a
State or Indian tribe shall use when considering the factors under
paragraph (1)(I) of this subsection.
H. R. 1758—27
(c) LIST OF ROUTE DESIGNATIONS.—In coordination with the
States, the Secretary shall update and publish periodically a list
of currently effective hazardous material highway route designa-
tions.
(d) DISPUTE RESOLUTION.—(1) The Secretary shall prescribe
regulations for resolving a dispute related to through highway
routing or to an agreement with a proposed highway route designa-
tion, limitation, or requirement between or among States, political
subdivisions of different States, or Indian tribes.
(2) A State or Indian tribe involved in a dispute under this
subsection may petition the Secretary to resolve the dispute. The
Secretary shall resolve the dispute not later than one year after
receiving the petition. The resolution shall provide the greatest
level of highway safety without being an unreasonable burden on
commerce and shall ensure compliance with standards prescribed
under subsection (b) of this section.
(3)(A) After a petition is filed under this subsection, a civil
action about the subject matter of the dispute may be brought
in a court only after the earlier of—
(i) the day the Secretary issues a final decision; or
(ii) the last day of the one-year period beginning on the
day the Secretary receives the petition.
(B) A State or Indian tribe adversely affected by a decision
of the Secretary under this subsection may bring a civil action
for judicial review of the decision in an appropriate district court
of the United States not later than 89 days after the day the
decision becomes final.
(e) RELATIONSHIP TO OTHER LAWS.—This section and regula-
tions prescribed under this section do not affect sections 31111
and 31113 of this title or section 127 of title 23.
(f) EXISTING RADIOACTIVE MATERIAL ROUTING REGULATIONS.—
The Secretary is not required to amend or again prescribe regula-
tions related to highway routing designations over which radioactive
material may and may not be transported by motor vehicles, and
limitations and requirements related to the routing, that were
in effect on November 16, 1990.
§ 5113. Unsatisfactory safety rating
(a) PROHIBITED TRANSPORTATION.—A motor carrier receiving
an unsatisfactory safety rating from the Secretary of Transportation
has 45 days to improve the rating to conditional or satisfactory.
Beginning on the 46th day and until the motor carrier receives
a conditional or satisfactory rating, a motor carrier not having
received a conditional or satisfactory rating during the 45-day period
may not operate a commercial motor vehicle (as defined in section
31132 of this title)—
(1) to transport hazardous material for which placarding
of a motor vehicle is required under regulations prescribed
under this chapter; or
(2) to transport more than 15 individuals.
(b) RATING REVIEW.—The Secretary shall review the factors
that resulted in a motor carrier receiving an unsatisfactory rating
not later than 30 days after the motor carrier requests a review.
(c) PROHIBITED GOVERNMENT USE.—A department, agency, or
instrumentality of the United States Government may not use
a motor carrier that has an unsatisfactory rating from the Sec-
retary—
H. R. 1758—28
(1) to transport hazardous material for which placarding
of a motor vehicle is required under regulations prescribed
under this chapter; or
(2) to transport more than 15 individuals.
(d) PUBLIC AVAILABILITY AND UPDATING OF RATINGS.—The Sec-
retary, in consultation with the Interstate Commerce Commission,
shall prescribe regulations amending the motor carrier safety regu-
lations in subchapter B of chapter III of title 49, Code of Federal
Regulations, to establish a system to make readily available to
the public, and update periodically, the safety ratings of motor
carriers that have unsatisfactory ratings from the Secretary.
§ 5114. Air transportation of ionizing radiation material
(a) TRANSPORTING IN AIR COMMERCE.—Material that emits ion-
izing radiation spontaneously may be transported on a passenger-
carrying aircraft in air commerce (as defined in section 40102(a)
of this title) only if the material is intended for a use in, or
incident to, research or medical diagnosis or treatment and does
not present an unreasonable hazard to health and safety when
being prepared for, and during, transportation.
(b) PROCEDURES.—The Secretary of Transportation shall pre-
scribe procedures for monitoring and enforcing regulations pre-
scribed under this section.
(c) NONAPPLICATION.—This section does not apply to material
the Secretary decides does not pose a significant hazard to health
or safety when transported because of its low order of radioactivity.
§ 5115. Training curriculum for the public sector
(a) DEVELOPMENT AND UPDATING.—Not later than November
16, 1992, in coordination with the Director of the Federal Emergency
Management Agency, Chairman of the Nuclear Regulatory Commis-
sion, Administrator of the Environmental Protection Agency, Sec-
retaries of Labor, Energy, and Health and Human Services, and
Director of the National Institute of Environmental Health Sciences,
and using the existing coordinating mechanisms of the national
response team and, for radioactive material, the Federal Radiologi-
cal Preparedness Coordinating Committee, the Secretary of
Transportation shall develop and update periodically a curriculum
consisting of a list of courses necessary to train public sector emer-
gency response and preparedness teams. Only in developing the
curriculum, the Secretary of Transportation shall consult with
regional response teams established under the national contingency
plan established under section 105 of the Comprehensive Environ-
mental Response, Compensation, and Liability Act of 1980 (42
U.S.C. 9605), representatives of commissions established under sec-
tion 301 of the Emergency Planning and Community Right-To-
Know Act of 1986 (42 U.S.C. 11001), persons (including govern-
mental entities) that provide training for responding to accidents
and incidents involving the transportation of hazardous material,
and representatives of persons that respond to those accidents
and incidents.
(b) REQUIREMENTS.—The curriculum developed under sub-
section (a) of this section—
(1) shall include—
(A) a recommended course of study to train public
sector employees to respond to an accident or incident
H. R. 1758—29
involving the transportation of hazardous material and
to plan for those responses;
(B) recommended basic courses and minimum number
of hours of instruction necessary for public sector employees
to be able to respond safely and efficiently to an accident
or incident involving the transportation of hazardous mate-
rial and to plan those responses; and
(C) appropriate emergency response training and plan-
ning programs for public sector employees developed under
other United States Government grant programs, including
those developed with grants made under section 126 of
the Superfund Amendments and Reauthorization Act of
1986 (42 U.S.C. 9660a); and
(2) may include recommendations on material appropriate
for use in a recommended basic course described in clause
(1)(B) of this subsection.
(c) TRAINING
ON COMPLYING WITH LEGAL REQUIREMENTS.—
A recommended basic course described in subsection (b)(1)(B) of
this section shall provide the training necessary for public sector
employees to comply with—
(1) regulations related to hazardous waste operations and
emergency response contained in part 1910 of title 29, Code
of Federal Regulations, prescribed by the Secretary of Labor;
(2) regulations related to worker protection standards for
hazardous waste operations contained in part 311 of title 40,
Code of Federal Regulations, prescribed by the Administrator;
and
(3) standards related to emergency response training pre-
scribed by the National Fire Protection Association.
(d) DISTRIBUTION
AND
PUBLICATION.—With the national
response team—
(1) the Director of the Federal Emergency Management
Agency shall distribute the curriculum and any updates to
the curriculum to the regional response teams and all commit-
tees and commissions established under section 301 of the
Emergency Planning and Community Right-To-Know Act of
1986 (42 U.S.C. 11001); and
(2) the Secretary of Transportation may publish a list of
programs that uses a course developed under this section for
training public sector employees to respond to an accident
or incident involving the transportation of hazardous material.
§ 5116. Planning and training grants, monitoring, and review
(a) PLANNING GRANTS.—(1) The Secretary of Transportation
shall make grants to States—
(A) to develop, improve, and carry out emergency plans
under the Emergency Planning and Community Right-To-Know
Act of 1986 (42 U.S.C. 11001 et seq.), including ascertaining
flow patterns of hazardous material in a State and between
States; and
(B) to decide on the need for a regional hazardous material
emergency response team.
(2) The Secretary of Transportation may make a grant to a
State under paragraph (1) of this subsection in a fiscal year only
if the State—
(A) certifies that the total amount the State expends (except
amounts of the United States Government) to develop, improve,
H. R. 1758—30
and carry out emergency plans under the Act will at least
equal the average level of expenditure for the last 2 fiscal
years; and
(B) agrees to make available at least 75 percent of the
amount of the grant under paragraph (1) of this subsection
in the fiscal year to local emergency planning committees estab-
lished under section 301(c) of the Act (42 U.S.C. 11001(c))
to develop emergency plans under the Act.
(b) TRAINING GRANTS.—(1) The Secretary of Transportation
shall make grants to States and Indian tribes to train public sector
employees to respond to accidents and incidents involving hazardous
material.
(2) The Secretary of Transportation may make a grant under
paragraph (1) of this subsection in a fiscal year—
(A) to a State or Indian tribe only if the State or tribe
certifies that the total amount the State or tribe expends (except
amounts of the Government) to train public sector employees
to respond to an accident or incident involving hazardous mate-
rial will at least equal the average level of expenditure for
the last 2 fiscal years;
(B) to a State or Indian tribe only if the State or tribe
makes an agreement with the Secretary that the State or
tribe will use in that fiscal year, for training public sector
employees to respond to an accident or incident involving
hazardous material—
(i) a course developed or identified under section 5115
of this title; or
(ii) another course the Secretary decides is consistent
with the objectives of this section; and
(C) to a State only if the State agrees to make available
at least 75 percent of the amount of the grant under paragraph
(1) of this subsection in the fiscal year for training public
sector employees a political subdivision of the State employs
or uses.
(3) A grant under this subsection may be used—
(A) to pay—
(i) the tuition costs of public sector employees being
trained;
(ii) travel expenses of those employees to and from
the training facility;
(iii) room and board of those employees when at the
training facility; and
(iv) travel expenses of individuals providing the train-
ing;
(B) by the State, political subdivision, or Indian tribe to
provide the training; and
(C) to make an agreement the Secretary of Transportation
approves authorizing a person (including an authority of a
State or political subdivision of a State or Indian tribe) to
provide the training—
(i) if the agreement allows the Secretary and the State
or tribe to conduct random examinations, inspections, and
audits of the training without prior notice; and
(ii) if the State or tribe conducts at least one on-
site observation of the training each year.
(4) The Secretary of Transportation shall allocate amounts
made available for grants under this subsection for a fiscal year
H. R. 1758—31
among eligible States and Indian tribes based on the needs of
the States and tribes for emergency response training. In making
a decision about those needs, the Secretary shall consider—
(A) the number of hazardous material facilities in the State
or on land under the jurisdiction of the tribe;
(B) the types and amounts of hazardous material trans-
ported in the State or on that land;
(C) whether the State or tribe imposes and collects a fee
on transporting hazardous material;
(D) whether the fee is used only to carry out a purpose
related to transporting hazardous material; and
(E) other factors the Secretary decides are appropriate
to carry out this subsection.
(c) COMPLIANCE
WITH
CERTAIN
LAW.—The Secretary of
Transportation may make a grant to a State under this section
in a fiscal year only if the State certifies that the State complies
with sections 301 and 303 of the Emergency Planning and Commu-
nity Right-To-Know Act of 1986 (42 U.S.C. 11001, 11003).
(d) APPLICATIONS.—A State or Indian tribe interested in receiv-
ing a grant under this section shall submit an application to the
Secretary of Transportation. The application must be submitted
at the time, and contain information, the Secretary requires by
regulation to carry out the objectives of this section.
(e) GOVERNMENT’S SHARE OF COSTS.—A grant under this section
is for 80 percent of the cost the State or Indian tribe incurs in
the fiscal year to carry out the activity for which the grant is
made. Amounts of the State or tribe under subsections (a)(2)(A)
and (b)(2)(A) of this section are not part of the non-Government
share under this subsection.
(f) MONITORING AND TECHNICAL ASSISTANCE.—In coordination
with the Secretaries of Transportation and Energy, Administrator
of the Environmental Protection Agency, and Director of the
National Institute of Environmental Health Sciences, the Director
of the Federal Emergency Management Agency shall monitor public
sector emergency response planning and training for an accident
or incident involving hazardous material. Considering the results
of the monitoring, the Secretaries, Administrator, and Directors
each shall provide technical assistance to a State, political subdivi-
sion of a State, or Indian tribe for carrying out emergency response
training and planning for an accident or incident involving hazard-
ous material and shall coordinate the assistance using the existing
coordinating mechanisms of the national response team and, for
radioactive material, the Federal Radiological Preparedness Coordi-
nating Committee.
(g) DELEGATION OF AUTHORITY.—To minimize administrative
costs and to coordinate Government grant programs for emergency
response training and planning, the Secretary of Transportation
may delegate to the Directors of the Federal Emergency Manage-
ment Agency and National Institute of Environmental Health
Sciences, Chairman of the Nuclear Regulatory Commission,
Administrator of the Environmental Protection Agency, and Sec-
retaries of Labor and Energy any of the following:
(1) authority to receive applications for grants under this
section.
(2) authority to review applications for technical compliance
with this section.
H. R. 1758—32
(3) authority to review applications to recommend approval
or disapproval.
(4) any other ministerial duty associated with grants under
this section.
(h) MINIMIZING DUPLICATION OF EFFORT AND EXPENSES.—The
Secretaries of Transportation, Labor, and Energy, Directors of the
Federal Emergency Management Agency and National Institute
of Environmental Health Sciences, Chairman of the Nuclear Regu-
latory Commission, and Administrator of the Environmental Protec-
tion Agency shall review periodically, with the head of each depart-
ment, agency, or instrumentality of the Government, all emergency
response and preparedness training programs of that department,
agency, or instrumentality to minimize duplication of effort and
expense of the department, agency, or instrumentality in carrying
out the programs and shall take necessary action to minimize
duplication.
(i) ANNUAL REGISTRATION FEE ACCOUNT AND ITS USES.—The
Secretary of the Treasury shall establish an account in the Treasury
into which the Secretary of the Treasury shall deposit amounts
the Secretary of Transportation collects under section 5108(g)(2)(A)
of this title and transfers to the Secretary of the Treasury under
section 5108(g)(2)(C) of this title. Without further appropriation,
amounts in the account are available—
(1) to make grants under this section and section 5107(e)
of this title;
(2) to monitor and provide technical assistance under sub-
section (f) of this section; and
(3) to pay administrative costs of carrying out this section
and sections 5107(e), 5108(g)(2), and 5115 of this title, except
that not more than 10 percent of the amounts made available
from the account in a fiscal year may be used to pay those
costs.
§ 5117. Exemptions and exclusions
(a) AUTHORITY TO EXEMPT.—(1) As provided under procedures
prescribed by regulation, the Secretary of Transportation may issue
an exemption from this chapter or a regulation prescribed under
section 5103(b), 5104, 5110, or 5112 of this title to a person
transporting, or causing to be transported, hazardous material in
a way that achieves a safety level—
(A) at least equal to the safety level required under this
chapter; or
(B) consistent with the public interest and this chapter,
if a required safety level does not exist.
(2) An exemption under this subsection is effective for not
more than 2 years and may be renewed on application to the
Secretary.
(b) APPLICATIONS.—When applying for an exemption or renewal
of an exemption under this section, the person must provide a
safety analysis prescribed by the Secretary that justifies the exemp-
tion. The Secretary shall publish in the Federal Register notice
that an application for an exemption has been filed and shall
give the public an opportunity to inspect the safety analysis and
comment on the application. This subsection does not require the
release of information protected by law from public disclosure.
(c) EXCLUSIONS.—(1) The Secretary shall exclude, in any part,
from this chapter and regulations prescribed under this chapter—
H. R. 1758—33
(A) a public vessel (as defined in section 2101 of title
46);
(B) a vessel exempted under section 3702 of title 46 from
chapter 37 of title 46; and
(C) a vessel to the extent it is regulated under the Ports
and Waterways Safety Act of 1972 (33 U.S.C. 1221 et seq.).
(2) This chapter and regulations prescribed under this chapter
do not prohibit—
(A) or regulate transportation of a firearm (as defined
in section 232 of title 18), or ammunition for a firearm, by
an individual for personal use; or
(B) transportation of a firearm or ammunition in commerce.
(d) LIMITATION ON AUTHORITY.—Unless the Secretary decides
that an emergency exists, an exemption or renewal granted under
this section is the only way a person subject to this chapter may
be exempt from this chapter.
§ 5118. Inspectors
(a) GENERAL REQUIREMENT.—The Secretary of Transportation
shall maintain the employment of 30 hazardous material safety
inspectors more than the total number of safety inspectors author-
ized for the fiscal year that ended September 30, 1990, for the
Federal Railroad Administration, the Federal Highway Administra-
tion, and the Research and Special Programs Administration.
(b) ALLOCATION TO PROMOTE SAFETY IN TRANSPORTING RADIO-
ACTIVE MATERIAL.—(1) The Secretary shall ensure that 10 of the
30 additional inspectors focus on promoting safety in transporting
radioactive material, as defined by the Secretary, including inspect-
ing—
(A) at the place of origin, shipments of high-level radio-
active waste or nuclear spent material (as those terms are
defined in section 5105(a) of this title); and
(B) to the maximum extent practicable shipments of radio-
active material that are not high-level radioactive waste or
nuclear spent material.
(2) In carrying out their duties, those 10 additional inspectors
shall cooperate to the greatest extent possible with safety inspectors
of the Nuclear Regulatory Commission and appropriate State and
local government officials.
(3) Those 10 additional inspectors shall be allocated as follows:
(A) one to the Research and Special Programs Administra-
tion.
(B) 3 to the Federal Railroad Administration.
(C) 3 to the Federal Highway Administration.
(D) the other 3 among the administrations referred to
in clauses (A)–(C) of this paragraph as the Secretary decides.
(c) ALLOCATION OF OTHER INSPECTORS.—The Secretary shall
allocate, as the Secretary decides, the 20 additional inspectors
authorized under this section and not allocated under subsection
(b) of this section among the administrations referred to in sub-
section (b)(3)(A)–(C) of this section.
§ 5119. Uniform forms and procedures
(a) WORKING GROUP.—The Secretary of Transportation shall
establish a working group of State and local government officials,
including representatives of the National Governors’ Association,
the National Association of Counties, the National League of Cities,
H. R. 1758—34
the United States Conference of Mayors, and the National Con-
ference of State Legislatures. The purposes of the working group
are—
(1) to establish uniform forms and procedures for a State—
(A) to register persons that transport or cause to be
transported hazardous material by motor vehicle in the
State; and
(B) to allow the transportation of hazardous material
in the State; and
(2) to decide whether to limit the filing of any State reg-
istration and permit forms and collection of filing fees to the
State in which the person resides or has its principal place
of business.
(b) CONSULTATION AND REPORTING.—The working group—
(1) shall consult with persons subject to registration and
permit requirements described in subsection (a) of this section;
and
(2) not later than November 16, 1993, shall submit to
the Secretary, the Committee on Commerce, Science, and
Transportation of the Senate, and the Committee on Public
Works and Transportation of the House of Representatives
a final report that contains—
(A) a detailed statement of its findings and conclusions;
and
(B) its joint recommendations on the matters referred
to in subsection (a) of this section.
(c) REGULATIONS
ON RECOMMENDATIONS.—(1) The Secretary
shall prescribe regulations to carry out the recommendations con-
tained in the report submitted under subsection (b) of this section
with which the Secretary agrees. The regulations shall be prescribed
by the later of the last day of the 3-year period beginning on
the date the working group submitted its report or the last day
of the 90-day period beginning on the date on which at least
26 States adopt all of the recommendations of the report. A regula-
tion prescribed under this subsection may not define or limit the
amount of a fee a State may impose or collect.
(2) A regulation prescribed under this subsection takes effect
one year after it is prescribed. The Secretary may extend the
one-year period for an additional year for good cause. After a
regulation is effective, a State may establish, maintain, or enforce
a requirement related to the same subject matter only if the require-
ment is the same as the regulation.
(3) In consultation with the working group, the Secretary shall
develop a procedure to eliminate differences in how States carry
out a regulation prescribed under this subsection.
(d) RELATIONSHIP
TO OTHER LAWS.—The Federal Advisory
Committee Act (5 App. U.S.C.) does not apply to the working
group.
§ 5120. International uniformity of standards and require-
ments
(a) PARTICIPATION IN INTERNATIONAL FORUMS.—Subject to guid-
ance and direction from the Secretary of State, the Secretary of
Transportation shall participate in international forums that estab-
lish or recommend mandatory standards and requirements for
transporting hazardous material in international commerce.
H. R. 1758—35
(b) CONSULTATION.—The Secretary of Transportation may con-
sult with interested authorities to ensure that, to the extent prac-
ticable, regulations the Secretary prescribes under sections 5103(b),
5104, 5110, and 5112 of this title are consistent with standards
related to transporting hazardous material that international
authorities adopt.
(c) 
DIFFERENCES
WITH
INTERNATIONAL
STANDARDS
AND
REQUIREMENTS.—This section—
(1) does not require the Secretary of Transportation to
prescribe a standard identical to a standard adopted by an
international authority if the Secretary decides the standard
is unnecessary or unsafe; and
(2) does not prohibit the Secretary from prescribing a safety
requirement more stringent than a requirement included in
a standard adopted by an international authority if the Sec-
retary decides the requirement is necessary in the public
interest.
§ 5121. Administrative
(a) GENERAL AUTHORITY.—To carry out this chapter, the Sec-
retary of Transportation may investigate, make reports, issue
subpenas, conduct hearings, require the production of records and
property, take depositions, and conduct research, development, dem-
onstration, and training activities. After notice and an opportunity
for a hearing, the Secretary may issue an order requiring compli-
ance with this chapter or a regulation prescribed under this chapter.
(b) RECORDS, REPORTS, AND INFORMATION.—A person subject
to this chapter shall—
(1) maintain records, make reports, and provide informa-
tion the Secretary by regulation or order requires; and
(2) make the records, reports, and information available
when the Secretary requests.
(c) INSPECTION.—(1) The Secretary may authorize an officer,
employee, or agent to inspect, at a reasonable time and in a reason-
able way, records and property related to—
(A) manufacturing, fabricating, marking, maintaining,
reconditioning, repairing, testing, or distributing a package or
container for use by a person in transporting hazardous mate-
rial in commerce; or
(B) the transportation of hazardous material in commerce.
(2) An officer, employee, or agent under this subsection shall
display proper credentials when requested.
(d) FACILITY, STAFF, AND REPORTING SYSTEM ON RISKS, EMER-
GENCIES, AND ACTIONS.—(1) The Secretary shall—
(A) maintain a facility and technical staff sufficient to
provide, within the United States Government, the capability
of evaluating a risk related to the transportation of hazardous
material and material alleged to be hazardous;
(B) maintain a central reporting system and information
center capable of providing information and advice to law
enforcement and firefighting personnel, other interested
individuals, and officers and employees of the Government and
State and local governments on meeting an emergency related
to the transportation of hazardous material; and
(C) conduct a continuous review on all aspects of transport-
ing hazardous material to decide on and take appropriate
actions to ensure safe transportation of hazardous material.
H. R. 1758—36
(2) Paragraph (1) of this subsection does not prevent the Sec-
retary from making a contract with a private entity for use of
a supplemental reporting system and information center operated
and maintained by the contractor.
(e) ANNUAL REPORT.—The Secretary shall submit to the Presi-
dent, for submission to Congress, not later than June 15th of
each year, a report about the transportation of hazardous material
during the prior calendar year. The report shall include—
(1) a statistical compilation of accidents and casualties
related to the transportation of hazardous material;
(2) a list and summary of applicable Government regula-
tions, criteria, orders, and exemptions;
(3) a summary of the basis for each exemption;
(4) an evaluation of the effectiveness of enforcement activi-
ties and the degree of voluntary compliance with regulations;
(5) a summary of outstanding problems in carrying out
this chapter in order of priority; and
(6) recommendations for appropriate legislation.
§ 5122. Enforcement
(a) GENERAL.—At the request of the Secretary of Transpor-
tation, the Attorney General may bring a civil action in an appro-
priate district court of the United States to enforce this chapter
or a regulation prescribed or order issued under this chapter. The
court may award appropriate relief, including punitive damages.
(b) IMMINENT HAZARDS.—(1) If the Secretary has reason to
believe that an imminent hazard exists, the Secretary may bring
a civil action in an appropriate district court of the United States—
(A) to suspend or restrict the transportation of the hazard-
ous material responsible for the hazard; or
(B) to eliminate or ameliorate the hazard.
(2) On request of the Secretary, the Attorney General shall
bring an action under paragraph (1) of this subsection.
§ 5123. Civil penalty
(a) PENALTY.—(1) A person that knowingly violates this chapter
or a regulation prescribed or order issued under this chapter is
liable to the United States Government for a civil penalty of at
least $250 but not more than $25,000 for each violation. A person
acts knowingly when—
(A) the person has actual knowledge of the facts giving
rise to the violation; or
(B) a reasonable person acting in the circumstances and
exercising reasonable care would have that knowledge.
(2) A separate violation occurs for each day the violation,
committed by a person that transports or causes to be transported
hazardous material, continues.
(b) HEARING REQUIREMENT.—The Secretary of Transportation
may find that a person has violated this chapter or a regulation
prescribed under this chapter only after notice and an opportunity
for a hearing. The Secretary shall impose a penalty under this
section by giving the person written notice of the amount of the
penalty.
(c) PENALTY CONSIDERATIONS.—In determining the amount of
a civil penalty under this section, the Secretary shall consider—
(1) the nature, circumstances, extent, and gravity of the
violation;
H. R. 1758—37
(2) with respect to the violator, the degree of culpability,
any history of prior violations, the ability to pay, and any
effect on the ability to continue to do business; and
(3) other matters that justice requires.
(d) CIVIL ACTIONS TO COLLECT.—The Attorney General may
bring a civil action in an appropriate district court of the United
States to collect a civil penalty under this section.
(e) COMPROMISE.—The Secretary may compromise the amount
of a civil penalty imposed under this section before referral to
the Attorney General.
(f) SETOFF.—The Government may deduct the amount of a
civil penalty imposed or compromised under this section from
amounts it owes the person liable for the penalty.
(g) DEPOSITING
AMOUNTS
COLLECTED.—Amounts collected
under this section shall be deposited in the Treasury as miscellane-
ous receipts.
§ 5124. Criminal penalty
A person knowingly violating section 5104(b) of this title or
willfully violating this chapter or a regulation prescribed or order
issued under this chapter shall be fined under title 18, imprisoned
for not more than 5 years, or both.
§ 5125. Preemption
(a) GENERAL.—Except as provided in subsections (b), (c), and
(e) of this section, a requirement of a State, political subdivision
of a State, or Indian tribe is preempted if—
(1) complying with a requirement of the State, political
subdivision, or tribe and a requirement of this chapter or a
regulation prescribed under this chapter is not possible; or
(2) the requirement of the State, political subdivision, or
tribe, as applied or enforced, is an obstacle to accomplishing
and carrying out this chapter or a regulation prescribed under
this chapter.
(b) SUBSTANTIVE DIFFERENCES.—(1) Except as provided in sub-
section (c) of this section, a law, regulation, order, or other require-
ment of a State, political subdivision of a State, or Indian tribe
about any of the following subjects, that is not substantively the
same as a provision of this chapter or a regulation prescribed
under this chapter, is preempted:
(A) the designation, description, and classification of
hazardous material.
(B) the packing, repacking, handling, labeling, marking,
and placarding of hazardous material.
(C) the preparation, execution, and use of shipping docu-
ments related to hazardous material and requirements related
to the number, contents, and placement of those documents.
(D) the written notification, recording, and reporting of
the unintentional release in transportation of hazardous mate-
rial.
(E) the design, manufacturing, fabricating, marking,
maintenance, reconditioning, repairing, or testing of a package
or container represented, marked, certified, or sold as qualified
for use in transporting hazardous material.
(2) If the Secretary of Transportation prescribes or has pre-
scribed under section 5103(b), 5104, 5110, or 5112 of this title
or prior comparable provision of law a regulation or standard related
H. R. 1758—38
to a subject referred to in paragraph (1) of this subsection, a
State, political subdivision of a State, or Indian tribe may prescribe,
issue, maintain, and enforce only a law, regulation, standard, or
order about the subject that is substantively the same as a provision
of this chapter or a regulation prescribed or order issued under
this chapter. The Secretary shall decide on and publish in the
Federal Register the effective date of section 5103(b) of this title
for any regulation or standard about any of those subjects that
the Secretary prescribes after November 16, 1990. However, the
effective date may not be earlier than 90 days after the Secretary
prescribes the regulation or standard nor later than the last day
of the 2-year period beginning on the date the Secretary prescribes
the regulation or standard.
(3) If a State, political subdivision of a State, or Indian tribe
imposes a fine or penalty the Secretary decides is appropriate
for a violation related to a subject referred to in paragraph (1)
of this subsection, an additional fine or penalty may not be imposed
by any other authority.
(c) COMPLIANCE
WITH
SECTION
5112(b) REGULATIONS.—(1)
Except as provided in paragraph (2) of this subsection, after the
last day of the 2-year period beginning on the date a regulation
is prescribed under section 5112(b) of this title, a State or Indian
tribe may establish, maintain, or enforce a highway routing designa-
tion over which hazardous material may or may not be transported
by motor vehicles, or a limitation or requirement related to highway
routing, only if the designation, limitation, or requirement complies
with section 5112(b).
(2)(A) A highway routing designation, limitation, or require-
ment established before the date a regulation is prescribed under
section 5112(b) of this title does not have to comply with section
5112(b)(1)(B), (C), and (F).
(B) This subsection and section 5112 of this title do not require
a State or Indian tribe to comply with section 5112(b)(1)(I) if the
highway routing designation, limitation, or requirement was estab-
lished before November 16, 1990.
(C) The Secretary may allow a highway routing designation,
limitation, or requirement to continue in effect until a dispute
related to the designation, limitation, or requirement is resolved
under section 5112(d) of this title.
(d) DECISIONS ON PREEMPTION.—(1) A person (including a State,
political subdivision of a State, or Indian tribe) directly affected
by a requirement of a State, political subdivision, or tribe may
apply to the Secretary, as provided by regulations prescribed by
the Secretary, for a decision on whether the requirement is pre-
empted by subsection (a), (b)(1), or (c) of this section. The Secretary
shall publish notice of the application in the Federal Register.
After notice is published, an applicant may not seek judicial relief
on the same or substantially the same issue until the Secretary
takes final action on the application or until 180 days after the
application is filed, whichever occurs first.
(2) After consulting with States, political subdivisions of States,
and Indian tribes, the Secretary shall prescribe regulations for
carrying out paragraph (1) of this subsection.
(3) Subsection (a) of this section does not prevent a State,
political subdivision of a State, or Indian tribe, or another person
directly affected by a requirement, from seeking a decision on
H. R. 1758—39
preemption from a court of competent jurisdiction instead of apply-
ing to the Secretary under paragraph (1) of this subsection.
(e) WAIVER OF PREEMPTION.—A State, political subdivision of
a State, or Indian tribe may apply to the Secretary for a waiver
of preemption of a requirement the State, political subdivision,
or tribe acknowledges is preempted by subsection (a), (b)(1), or
(c) of this section. Under a procedure the Secretary prescribes
by regulation, the Secretary may waive preemption on deciding
the requirement—
(1) provides the public at least as much protection as
do requirements of this chapter and regulations prescribed
under this chapter; and
(2) is not an unreasonable burden on commerce.
(f) JUDICIAL REVIEW.—A party to a proceeding under subsection
(d) or (e) of this section may bring a civil action in an appropriate
district court of the United States for judicial review of the decision
of the Secretary not later than 60 days after the decision becomes
final.
(g) FEES.—A State, political subdivision of a State, or Indian
tribe may impose a fee related to transporting hazardous material
only if the fee is fair and used for a purpose related to transporting
hazardous material, including enforcement and planning, develop-
ing, and maintaining a capability for emergency response.
§ 5126. Relationship to other laws
(a) CONTRACTS.—A person under contract with a department,
agency, or instrumentality of the United States Government that
transports or causes to be transported hazardous material, or manu-
factures, fabricates, marks, maintains, reconditions, repairs, or tests
a package or container that the person represents, marks, certifies,
or sells as qualified for use in transporting hazardous material
must comply with this chapter, regulations prescribed and orders
issued under this chapter, and all other requirements of the Govern-
ment, State and local governments, and Indian tribes (except a
requirement preempted by a law of the United States) in the
same way and to the same extent that any person engaging in
that transportation, manufacturing, fabricating, marking, mainte-
nance, reconditioning, repairing, or testing that is in or affects
commerce must comply with the provision, regulation, order, or
requirement.
(b) NONAPPLICATION.—This chapter does not apply to—
(1) a pipeline subject to regulation under chapter 601 of
this title; or
(2) any matter that is subject to the postal laws and regula-
tions of the United States under this chapter or title 18 or
39.
§ 5127. Authorization of appropriations
(a) GENERAL.—Not more than $18,000,000 may be appropriated
to the Secretary of Transportation for the fiscal year ending Septem-
ber 30, 1993, to carry out this chapter (except sections 5107(e),
5108(g)(2), 5113, 5115, 5116, and 5119).
(b) HAZMAT EMPLOYEE TRAINING.—Not more than $250,000
is available to the Director of the National Institute of Environ-
mental Health Sciences from the account established under section
5116(i) of this title for each of the fiscal years ending September
30, 1993–1998, to carry out section 5107(e) of this title.
H. R. 1758—40
(c) TRAINING CURRICULUM.—(1) Not more than $1,000,000 is
available to the Secretary of Transportation from the account estab-
lished under section 5116(i) of this title for each of the fiscal
years ending September 30, 1993–1998, to carry out section 5115
of this title.
(2) The Secretary of Transportation may transfer to the Director
of the Federal Emergency Management Agency from amounts avail-
able under this subsection amounts necessary to carry out section
5115(d)(1) of this title.
(d) PLANNING AND TRAINING.—(1) Not more than $5,000,000
is available to the Secretary of Transportation from the account
established under section 5116(i) of this title for each of the fiscal
years ending September 30, 1993–1998, to carry out section 5116(a)
of this title.
(2) Not more than $7,800,000 is available to the Secretary
of Transportation from the account established under section 5116(i)
of this title for each of the fiscal years ending September 30,
1993–1998, to carry out section 5116(b) of this title.
(3) Not more than the following amounts are available from
the account established under section 5116(i) of this title for each
of the fiscal years ending September 30, 1993–1998, to carry out
section 5116(f) of this title:
(A) $750,000 each to the Secretaries of Transportation and
Energy, Administrator of the Environmental Protection Agency,
and Director of the Federal Emergency Management Agency.
(B) $200,000 to the Director of the National Institute of
Environmental Health Sciences.
(e) UNIFORM
FORMS
AND
PROCEDURES.—Not more than
$400,000 may be appropriated to the Secretary of Transportation
for the fiscal year ending September 30, 1993, to carry out section
5119 of this title.
(f) CREDITS TO APPROPRIATIONS.—The Secretary of Transpor-
tation may credit to any appropriation to carry out this chapter
an amount received from a State, Indian tribe, or other public
authority or private entity for expenses the Secretary incurs in
providing training to the State, authority, or entity.
(g) AVAILABILITY OF AMOUNTS.—Amounts available under sub-
sections (c)–(e) of this section remain available until expended.
CHAPTER 53—MASS TRANSPORTATION
Sec.
5301.
Policies, findings, and purposes.
5302.
Definitions.
5303.
Metropolitan planning.
5304.
Transportation improvement program.
5305.
Transportation management areas.
5306.
Private enterprise participation in metropolitan planning and transportation
improvement programs and relationship to other limitations.
5307.
Block grants.
5308.
Mass Transit Account block grants.
5309.
Discretionary grants and loans.
5310.
Grants and loans for special needs of elderly individuals and individuals
with disabilities.
5311.
Financial assistance for other than urbanized areas.
5312.
Research, development, demonstration, and training projects.
5313.
State planning and research programs.
5314.
National planning and research programs.
5315.
National mass transportation institute.
5316.
University research institutes.
5317.
Transportation centers.
H. R. 1758—41
5318.
Bus testing facility.
5319.
Bicycle facilities.
5320.
Suspended light rail system technology pilot project.
5321.
Crime prevention and security.
5322.
Human resource programs.
5323.
General provisions on assistance.
5324.
Limitations on discretionary and special needs grants and loans.
5325.
Contract requirements.
5326.
Special procurements.
5327.
Project management oversight.
5328.
Project review.
5329.
Investigation of safety hazards.
5330.
Withholding amounts for noncompliance with safety requirements.
5331.
Alcohol and controlled substances testing.
5332.
Nondiscrimination.
5333.
Labor standards.
5334.
Administrative.
5335.
Reports and audits.
5336.
Apportionment of appropriations for block grants.
5337.
Apportionment of appropriations for fixed guideway modernization.
5338.
Authorizations.
§ 5301. Policies, findings, and purposes
(a) DEVELOPMENT OF TRANSPORTATION SYSTEMS.—It is in the
interest of the United States to encourage and promote the develop-
ment of transportation systems that embrace various modes of
transportation and efficiently maximize mobility of individuals and
goods in and through urbanized areas and minimize transportation-
related fuel consumption and air pollution.
(b) GENERAL FINDINGS.—Congress finds that—
(1) more than 70 percent of the population of the United
States is located in rapidly expanding urban areas that gen-
erally cross the boundary lines of local jurisdictions and often
extend into at least 2 States;
(2) the welfare and vitality of urban areas, the satisfactory
movement of people and goods within those areas, and the
effectiveness of programs aided by the United States Govern-
ment are jeopardized by deteriorating or inadequate urban
transportation service and facilities, the intensification of traffic
congestion, and the lack of coordinated, comprehensive, and
continuing development planning;
(3) transportation is the lifeblood of an urbanized society,
and the health and welfare of an urbanized society depend
on providing efficient, economical, and convenient transpor-
tation in and between urban areas;
(4) for many years the mass transportation industry capa-
bly and profitably satisfied the transportation needs of the
urban areas of the United States but in the early 1970’s
continuing even minimal mass transportation service in urban
areas was threatened because maintaining that transportation
service was financially burdensome;
(5) ending that transportation, or the continued increase
in its cost to the user, is undesirable and may affect seriously
and adversely the welfare of a substantial number of lower
income individuals;
(6) some urban areas were developing preliminary plans
for, or carrying out, projects in the early 1970’s to revitalize
their mass transportation operations;
(7) significant mass transportation improvements are nec-
essary to achieve national goals for improved air quality, energy
conservation, international competitiveness, and mobility for
elderly individuals, individuals with disabilities, and economi-
H. R. 1758—42
cally disadvantaged individuals in urban and rural areas of
the United States;
(8) financial assistance by the Government to develop effi-
cient and coordinated mass transportation systems is essential
to solve the urban transportation problems referred to in clause
(2) of this subsection; and
(9) immediate substantial assistance by the Government
is needed to enable mass transportation systems to continue
providing vital transportation service.
(c) RAPID URBANIZATION AND CONTINUING POPULATION DISPER-
SAL.—Rapid urbanization and continuing dispersal of the population
and activities in urban areas have made the ability of all citizens
to move quickly and at a reasonable cost an urgent problem of
the Government.
(d) ELDERLY INDIVIDUALS
AND INDIVIDUALS WITH DISABIL-
ITIES.—It is the policy of the Government that elderly individuals
and individuals with disabilities have the same right as other
individuals to use mass transportation service and facilities. Special
efforts shall be made in planning and designing mass transportation
service and facilities to ensure that mass transportation can be
used by elderly individuals and individuals with disabilities. All
programs of the Government assisting mass transportation shall
carry out this policy.
(e) PRESERVING
THE ENVIRONMENT.—It is the policy of the
Government that special effort shall be made to preserve the natural
beauty of the countryside, public park and recreation lands, wildlife
and waterfowl refuges, and important historical and cultural assets
when planning, designing, and carrying out an urban mass
transportation capital project with assistance from the Government
under sections 5309 and 5310 of this title.
(f) GENERAL PURPOSES.—The purposes of this chapter are—
(1) to assist in developing improved mass transportation
equipment, facilities, techniques, and methods with the coopera-
tion of public and private mass transportation companies;
(2) to encourage the planning and establishment of
areawide urban mass transportation systems needed for
economical and desirable urban development with the coopera-
tion of public and private mass transportation companies;
(3) to assist States and local governments and their authori-
ties in financing areawide urban mass transportation systems
that are to be operated by public or private mass transportation
companies as decided by local needs;
(4) to provide financial assistance to State and local govern-
ments and their authorities to help carry out national goals
related to mobility for elderly individuals, individuals with
disabilities, and economically disadvantaged individuals; and
(5) to establish a partnership that allows a community,
with financial assistance from the Government, to satisfy its
urban mass transportation requirements.
§ 5302. Definitions
(a) GENERAL.—In this chapter—
(1) ‘‘capital project’’ means a project for—
(A) acquiring, constructing, supervising, or inspecting
equipment or a facility for use in mass transportation,
expenses incidental to the acquisition or construction
(including designing, engineering, location surveying, map-
H. R. 1758—43
ping, and acquiring rights of way), relocation assistance,
acquiring replacement housing sites, and acquiring, con-
structing, relocating, and rehabilitating replacement hous-
ing;
(B) rehabilitating a bus that extends the economic
life of a bus for at least 5 years;
(C) remanufacturing a bus that extends the economic
life of a bus for at least 8 years; or
(D) overhauling rail rolling stock.
(2) ‘‘chief executive officer of a State’’ includes the designee
of the chief executive officer.
(3) ‘‘emergency regulation’’ means a regulation—
(A) that is effective temporarily before the expiration
of the otherwise specified periods of time for public notice
and comment under section 5334(b) of this title; and
(B) prescribed by the Secretary of Transportation as
the result of a finding that a delay in the effective date
of the regulation—
(i) would injure seriously an important public
interest;
(ii) would frustrate substantially legislative policy
and intent; or
(iii) would damage seriously a person or class with-
out serving an important public interest.
(4) ‘‘fixed guideway’’ means a mass transportation facility—
(A) using and occupying a separate right of way or
rail for the exclusive use of mass transportation and other
high occupancy vehicles; or
(B) using a fixed catenary system and a right of way
usable by other forms of transportation.
(5) ‘‘handicapped individual’’ means an individual who,
because of illness, injury, age, congenital malfunction, or other
incapacity or temporary or permanent disability (including an
individual who is a wheelchair user or has semiambulatory
capability), cannot use effectively, without special facilities,
planning, or design, mass transportation service or a mass
transportation facility.
(6) ‘‘local governmental authority’’ includes—
(A) a political subdivision of a State;
(B) an authority of at least one State or political sub-
division of a State;
(C) an Indian tribe; and
(D) a public corporation, board, or commission estab-
lished under the laws of a State.
(7) ‘‘mass transportation’’ means transportation by a
conveyance that provides regular and continuing general or
special transportation to the public, but does not include school-
bus, charter, or sightseeing transportation.
(8) ‘‘net project cost’’ means the part of a project that
reasonably cannot be financed from revenues.
(9) ‘‘new bus model’’ means a bus model (including a model
using alternative fuel)—
(A) that has not been used in mass transportation
in the United States before the date of production of the
model; or
H. R. 1758—44
(B) used in mass transportation in the United States
but being produced with a major change in configuration
or components.
(10) ‘‘regulation’’ means any part of a statement of general
or particular applicability of the Secretary of Transportation
designed to carry out, interpret, or prescribe law or policy
in carrying out this chapter.
(11) ‘‘State’’ means a State of the United States, the District
of Columbia, Puerto Rico, the Northern Mariana Islands, Guam,
American Samoa, and the Virgin Islands.
(12) ‘‘urban area’’ means an area that includes a municipal-
ity or other built-up place that the Secretary of Transportation,
after considering local patterns and trends of urban growth,
decides is appropriate for a local mass transportation system
to serve individuals in the locality.
(13) ‘‘urbanized area’’ means an area—
(A) encompassing at least an urbanized area within
a State that the Secretary of Commerce designates; and
(B) designated an urbanized area within boundaries
fixed by State and local officials and approved by the Sec-
retary of Transportation.
(b) AUTHORITY TO MODIFY ‘‘HANDICAPPED INDIVIDUAL’’.—The
Secretary of Transportation by regulation may modify the definition
of subsection (a)(5) of this section as it applies to section
5307(d)(1)(D) of this title.
§ 5303. Metropolitan planning
(a) DEVELOPMENT REQUIREMENTS.—To carry out section 5301(a)
of this title, metropolitan planning organizations designated under
subsection (c) of this section, in cooperation with States, shall
develop transportation plans and programs for State urbanized
areas. The plans and programs for each area shall provide for
developing transportation facilities (including pedestrian walkways
and bicycle transportation facilities) that will function as an inter-
modal transportation system for the State, metropolitan area, and
United States. The development process shall provide for consider-
ation of all modes of transportation and shall be continuing, coopera-
tive, and comprehensive to the degree appropriate, based on the
complexity of the transportation problems.
(b) PLAN AND PROGRAM FACTORS.—In developing plans and
programs under this section and sections 5304–5306 of this title,
each metropolitan planning organization at least shall consider
the following factors:
(1) preserving existing transportation facilities and, where
practical, ways to meet transportation needs by using existing
transportation facilities more efficiently.
(2) the consistency of transportation planning with United
States Government, State, and local energy conservation pro-
grams, goals, and objectives.
(3) the need to relieve congestion and prevent congestion
from occurring.
(4) the likely effect of transportation policy decisions on
land use and development and the consistency of transportation
plans and programs with short- and long-term land use and
development plans.
(5) programming expenditures on transportation enhance-
ment activities, as required under section 133 of title 23.
H. R. 1758—45
(6) the effects of all transportation projects to be under-
taken in the metropolitan area, without regard to whether
the projects are publicly financed.
(7) international border crossings and access to ports, air-
ports, intermodal transportation facilities, major freight dis-
tribution routes, national parks, recreation areas, monuments
and historic sites, and military installations.
(8) the need for connecting roads in the metropolitan area
with roads outside the area.
(9) the transportation needs identified by using the
management systems required by section 303 of title 23.
(10) preserving rights of way for constructing future
transportation projects, including identifying—
(A) unused rights of way that may be needed for future
transportation corridors; and
(B) corridors where action is needed most to prevent
destruction or loss.
(11) ways to enhance the efficient movement of freight.
(12) using life-cycle costs in designing and engineering
bridges, tunnels, and pavement.
(13) the overall social, economic, energy, and environmental
effects of transportation decisions.
(14) ways to expand and enhance mass transportation serv-
ices and to increase usage of those services.
(15) capital investments that will result in increased secu-
rity in mass transportation systems.
(c) DESIGNATING METROPOLITAN PLANNING ORGANIZATIONS.—
(1) To carry out the planning process required by this section,
a metropolitan planning organization shall be designated for each
urbanized area with a population of more than 50,000—
(A) by agreement of the chief executive officer of a State
and units of general local government representing at least
75 percent of the affected population (including the central
city as defined by the Secretary of Commerce); or
(B) under procedures established by State or local law.
(2) In a metropolitan area designated as a transportation
management area, the designated metropolitan planning organiza-
tion, if redesignated after December 18, 1991, shall include local
elected officials, officials of authorities that administer or operate
major modes of transportation in the metropolitan area (including
all transportation authorities included in the organization on June
1, 1991), and appropriate State officials.
(3) More than one metropolitan planning organization may
be designated in an urbanized area (as defined by the Secretary
of Commerce) only if the chief executive officer decides that the
size and complexity of the urbanized area make designation of
more than one organization appropriate.
(4) A designation is effective until—
(A) the organization is redesignated under paragraph (3)
of this subsection; or
(B) revoked—
(i) by agreement of the chief executive officer and units
of general local government representing at least 75 percent
of the affected population; or
(ii) as otherwise provided by State or local procedures.
(5)(A) The chief executive officer and units of general local
government representing at least 75 percent of the affected popu-
H. R. 1758—46
lation (including the central city as defined by the Secretary of
Commerce) may redesignate by agreement a metropolitan planning
organization when appropriate to carry out this section.
(B) A metropolitan planning organization shall be redesignated
on request of one or more units of general local government rep-
resenting at least 25 percent of the affected population (including
the central city as defined by the Secretary of Commerce) in an
urbanized area with a population of more than 5,000,000, but
less than 10,000,000 or that is an extreme nonattainment area
for ozone or carbon monoxide (as defined in the Clean Air Act
(42 U.S.C. 7401 et seq.)).
(C) A metropolitan planning organization shall be redesignated
using procedures established to carry out this paragraph.
(6) This subsection does not affect the authority, under State
law in effect on December 18, 1991, of a public authority with
multimodal transportation responsibilities—
(A) to develop plans and programs for a metropolitan plan-
ning organization to adopt; and
(B) to develop long-range capital plans, coordinate mass
transportation services and projects, and carry out other activi-
ties under State law.
(d) METROPOLITAN AREA BOUNDARIES.—To carry out this sec-
tion, the metropolitan planning organization and the chief executive
officer shall decide by agreement on the boundaries of a metropoli-
tan area. The area shall cover at least the existing urbanized
area and the contiguous area expected to become urbanized within
the 20-year forecast period and may include the Metropolitan Statis-
tical Area or Consolidated Metropolitan Statistical Area, as defined
by the Secretary of Commerce. An area designated as a nonattain-
ment area for ozone or carbon monoxide under the Clean Air
Act (42 U.S.C. 7401 et seq.) shall include at least the boundaries
of the nonattainment area, except as the chief executive officer
and metropolitan planning organization otherwise agree.
(e) COORDINATION.—(1) The Secretary of Transportation shall
establish requirements the Secretary considers appropriate to
encourage chief executive officers and metropolitan planning
organizations with responsibility for part of a multi-State metropoli-
tan area to provide coordinated transportation planning for the
entire area.
(2) Congress consents to at least 2 States making an agreement,
not in conflict with a law of the United States, for cooperative
efforts and mutual assistance in support of activities authorized
under this section related to interstate areas and localities in the
States and establishing authorities the States consider desirable
for making the agreement effective.
(3) If more than one metropolitan planning organization has
authority in a metropolitan area or an area designated a nonattain-
ment area for ozone or carbon monoxide under the Clean Air
Act (42 U.S.C. 7401 et seq.), each organization shall consult with
the other organizations designated for the area and the State to
coordinate plans and projects required by this section and sections
5304–5306 of this title.
(f) DEVELOPING LONG-RANGE PLANS.—(1) Each metropolitan
planning organization shall prepare and update periodically, accord-
ing to a schedule the Secretary of Transportation decides is appro-
priate, a long-range plan for its metropolitan area under the require-
H. R. 1758—47
ments of this section. The plan shall be in the form the Secretary
considers appropriate and at least shall—
(A) identify transportation facilities (including major road-
ways, mass transportation, and multimodal and intermodal
facilities) that should function as an integrated metropolitan
transportation system, emphasizing transportation facilities
that serve important United States and regional transportation
functions;
(B) include a financial plan that—
(i) demonstrates how the long-range plan can be carried
out;
(ii) indicates resources from public and private sources
reasonably expected to be made available to carry out
the plan; and
(iii) recommends innovative financing techniques,
including value capture, tolls, and congestion pricing, to
finance needed projects and programs;
(C) assess capital investment and other measures nec-
essary—
(i) to ensure the preservation of the existing metropoli-
tan transportation system, including requirements for oper-
ational 
improvements, 
resurfacing, 
restoration, 
and
rehabilitation of existing and future major roadways, and
operations, maintenance, modernization, and rehabilitation
of existing and future mass transportation facilities; and
(ii) to use existing transportation facilities most effi-
ciently to relieve vehicular congestion and maximize the
mobility of individuals and goods; and
(D) indicate appropriate proposed transportation enhance-
ment activities.
(2) When formulating a long-range plan, the metropolitan plan-
ning organization shall consider the factors described in subsection
(e) of this section as they are related to a 20-year forecast period.
(3) In a metropolitan area that is in a nonattainment area
for ozone or carbon monoxide under the Clean Air Act (42 U.S.C.
7401 et seq.), the metropolitan planning organization shall coordi-
nate the development of the long-range plan with the development
of the transportation control measures of the State Implementation
Plan required by the Act.
(4) Before approving a long-range plan, each metropolitan plan-
ning organization shall provide citizens, affected public agencies,
representatives of mass transportation authority employees, private
providers of transportation, and other interested parties with a
reasonable opportunity to comment on the plan in a way the Sec-
retary of Transportation considers appropriate.
(5) A long-range plan shall be—
(A) made readily available for public review; and
(B) submitted for information purposes to the chief execu-
tive officer of the State at the time and in the way the Secretary
of Transportation establishes.
(g) GRANTS.—Under criteria the Secretary of Transportation
establishes, the Secretary may make contracts for, and grants to,
States, local governmental authorities, and authorities of the States
and governmental authorities, or may make agreements with other
departments, agencies, and instrumentalities of the Government,
to plan, engineer, design, and evaluate a mass transportation project
and for other technical studies, including—
H. R. 1758—48
(1) studies related to management, operations, capital
requirements, and economic feasibility;
(2) evaluating previously financed projects; and
(3) other similar and related activities preliminary to and
in preparation for constructing, acquiring, or improving the
operation of facilities and equipment.
(h) BALANCED
AND COMPREHENSIVE PLANNING.—(1) To the
extent practicable, the Secretary of Transportation shall ensure
that amounts made available under section 5338(g)(1) of this title
to carry out this section and sections 5304–5306 of this title are
used to support balanced and comprehensive transportation plan-
ning that considers the relationships among land use and all
transportation modes, without regard to the programmatic source
of the planning amounts.
(2)(A) The Secretary of Transportation shall apportion 80 per-
cent of the amount made available under section 5338(g)(1) of
this title to States in a ratio equal to the population in urbanized
areas in each State divided by the total population in urbanized
areas in all States, as shown by the latest available decennial
census. A State may not receive less than .5 percent of the amount
apportioned under this subparagraph.
(B) Amounts apportioned to a State under subparagraph (A)
of this paragraph shall be allocated to metropolitan planning
organizations in the State designated under this section under
a formula—
(i) the State develops in cooperation with the metropolitan
planning organizations;
(ii) the Secretary of Transportation approves; and
(iii) that considers population in urbanized areas and pro-
vides an appropriate distribution for urbanized areas to carry
out the cooperative processes described in this section.
(C) A State shall make amounts available promptly to eligible
metropolitan planning organizations according to procedures the
Secretary of Transportation approves.
(3)(A) The Secretary of Transportation shall apportion 20 per-
cent of the amount made available under section 5338(g)(1) of
this title to States to supplement allocations made under paragraph
(2)(B) of this subsection for metropolitan planning organizations.
(B) Amounts under this paragraph shall be allocated under
a formula that reflects the additional cost of carrying out planning,
programming, and project selection responsibilities under this sec-
tion and sections 5304–5306 of this title in those areas.
(4) To the maximum extent practicable, the Secretary of
Transportation shall ensure that no metropolitan planning
organization is allocated less than the amount it received by
administrative formula under this section in the fiscal year that
ended September 30, 1991. To carry out this subsection, the Sec-
retary may make a proportionate reduction in other amounts made
available to carry out section 5338(g)(1) of this title.
(5) Amounts available for an activity under this subsection
are for 80 percent of the cost of the activity unless the Secretary
of Transportation decides it is in the interests of the Government
not to require a State or local match.
(6) An amount apportioned under this subsection—
(A) remains available for 3 years after the fiscal year
in which the amount is apportioned, and
H. R. 1758—49
(B) that is unobligated at the end of the 3-year period
shall be reapportioned among the States for the next fiscal
year.
§ 5304. Transportation improvement program
(a) DEVELOPMENT AND UPDATE.—In cooperation with the State
and affected mass transportation operators, a metropolitan planning
organization designated for a metropolitan area shall develop a
transportation improvement program for the area. In developing
the program, the organization shall provide citizens, affected public
agencies, representatives of transportation authority employees,
other affected employee representatives, private providers of
transportation, and other interested parties with a reasonable
opportunity to comment on the proposed program. The program
shall be updated at least once every 2 years and shall be approved
by the organization and the chief executive officer of the State.
(b) CONTENTS.—A transportation improvement program for a
metropolitan area shall include—
(1) a priority list of projects and parts of projects to be
carried out in each 3-year period after the program is adopted;
and
(2) a financial plan that—
(A) demonstrates how the program can be carried out;
(B) indicates resources from public and private sources
that reasonably are expected to be made available to carry
out the plan; and
(C) recommends innovative financing techniques,
including value capture, tolls, and congestion pricing, to
finance needed projects.
(c) PROJECT SELECTION.—(1) Except as provided in section
5305(d)(1) of this title, the State, in cooperation with the metropoli-
tan planning organization, shall select projects in a metropolitan
area that involve United States Government participation. Selection
shall comply with the transportation improvement program for
the area.
(2) A transportation improvement program for a metropolitan
area shall include—
(A) projects within the area that are proposed for financing
under this chapter and title 23 and that are consistent with
the long-range plan developed under section 5303(f) of this
title; and
(B) a project or an identified phase of a project only if
full financing reasonably can be anticipated to be available
for the project in the period estimated for completion.
(d) NOTICE AND COMMENT.—Before approving a transportation
improvement program, a metropolitan planning organization shall
provide citizens, affected public agencies, representatives of
transportation agency employees, private providers of transpor-
tation, and other interested parties with reasonable notice and
an opportunity to comment on the proposed program.
(e) REGULATORY PROCEEDING.—Not later than June 18, 1992,
the Secretary of Transportation shall begin a regulatory proceeding
to conform review requirements for mass transportation projects
under the National Environmental Policy Act of 1969 (42 U.S.C.
4321 et seq.) to comparable requirements under that Act applicable
to highway projects. This section and sections 5303, 5305, and
5306 of this title do not affect the applicability of the Act to
H. R. 1758—50
mass transportation or highway projects. A mass transportation
project that has an approved draft Environmental Impact Statement
is exempt from complying with requirements under the Act
applicable to highway projects.
§ 5305. Transportation management areas
(a) DESIGNATION.—The Secretary of Transportation shall des-
ignate as a transportation management area—
(1) each urbanized area with a population of more than
200,000; and
(2) any other area, including the Lake Tahoe Basin as
defined in the Act of December 19, 1980 (Public Law 96–
551, 94 Stat. 3233), when requested by the chief executive
officer and the metropolitan organization designated for the
area or the affected local officials.
(b) TRANSPORTATION PLANS
AND PROGRAMS.—Transportation
plans and programs in a transportation management area shall
be based on a continuing and comprehensive transportation plan-
ning process the metropolitan planning organization carries out
in cooperation with the State and mass transportation operators.
(c) CONGESTION MANAGEMENT SYSTEM.—The transportation
planning process under sections 5303, 5304, and 5306 of this title
in a transportation management area shall include a congestion
management system providing for effective management, through
travel demand reduction and operational management strategies,
of new and existing transportation facilities eligible for financing
under this chapter and title 23. The Secretary shall establish a
phase-in schedule to comply with sections 5303, 5304, and 5306.
(d) PROJECT SELECTION.—(1)(A) In consultation with the State,
the metropolitan planning organization designated for a transpor-
tation management area shall select the projects to be carried
out in the area with United States Government participation under
this chapter or title 23, except projects of the National Highway
System or under the Bridge and Interstate Maintenance programs.
(B) In cooperation with the metropolitan planning organization
designated for a transportation management area, the State shall
select the projects to be carried out in the area of the National
Highway System or under the Bridge and Interstate Maintenance
programs.
(2)(A) A selection under this subsection must comply with the
transportation improvement program for the area.
(B) A selection under paragraph (1)(A) of this subsection must
comply with priorities established in the program.
(e) CERTIFICATION.—(1) At least once every 3 years, the Sec-
retary shall ensure and certify that each metropolitan planning
organization in each transportation management area is carrying
out its responsibilities under applicable laws of the United States.
The Secretary may make the certification only if the organization
is complying with section 134 of title 23 and other applicable
requirements of laws of the United States and the organization
and chief executive officer have approved a transportation improve-
ment program for the area.
(2) If the Secretary does not certify before October 1, 1993,
that a metropolitan planning organization is carrying out its respon-
sibilities, the Secretary may withhold any part of the apportionment
under section 104(b)(3) of title 23 attributed to the relevant metro-
politan area under section 133(d)(3) of title 23 and capital amounts
H. R. 1758—51
apportioned under section 5336 of this title. If an organization
remains uncertified for more than 2 consecutive years after Septem-
ber 30, 1994, 20 percent of that apportionment and capital amounts
shall be withheld. The withheld apportionments shall be restored
when the Secretary certifies the organization.
(3) The Secretary may not withhold certification based on the
policies and criteria a metropolitan planning organization or mass
transportation grant recipient establishes under section 5306(a)
of this title for deciding the feasibility of private enterprise partici-
pation.
(f) ADDITIONAL REQUIREMENTS FOR CERTAIN NONATTAINMENT
AREAS.—Government amounts may be made available for a mass
transportation project resulting in a significant increase in carrying
capacity for single occupant vehicles in a transportation manage-
ment area classified as a nonattainment area for ozone or carbon
monoxide under the Clean Air Act (42 U.S.C. 7401 et seq.) only
if the project is part of an approved congestion management system.
(g) AREAS NOT DESIGNATED TRANSPORTATION MANAGEMENT
AREAS.—(1) The Secretary may provide for the development of
abbreviated metropolitan transportation plans and programs the
Secretary decides are appropriate to carry out this section and
sections 5303, 5304, and 5306 of this title for metropolitan areas
not designated transportation management areas under this section.
The Secretary shall consider the complexity of transportation prob-
lems in those areas, including transportation-related air quality
problems.
(2) The Secretary may not provide an abbreviated plan or
program for a metropolitan area in a nonattainment area for ozone
or carbon monoxide under the Clean Air Act (42 U.S.C. 7401 et
seq.).
§ 5306. Private enterprise participation in metropolitan
planning and transportation improvement pro-
grams and relationship to other limitations
(a) PRIVATE ENTERPRISE PARTICIPATION.—A plan or program
required by section 5303, 5304, or 5305 of this title shall encourage
to the maximum extent feasible the participation of private enter-
prise. If equipment or a facility already being used in an urban
area is to be acquired under this chapter, the program shall provide
that it be improved so that it will better serve the transportation
needs of the area.
(b) RELATIONSHIP TO OTHER LIMITATIONS.—Sections 5303–5305
of this title do not authorize—
(1) a metropolitan planning organization to impose a legal
requirement on a transportation facility, provider, or project
not eligible under this chapter or title 23; and
(2) intervention in the management of a transportation
authority.
§ 5307. Block grants
(a) DEFINITIONS.—In this section—
(1) ‘‘associated capital maintenance items’’ means equip-
ment, tires, tubes, and material, each costing at least .5 percent
of the current fair market value of rolling stock comparable
to the rolling stock for which the equipment, tires, tubes, and
material are to be used.
(2) ‘‘designated recipient’’ means—
H. R. 1758—52
(A) a person designated, consistent with the planning
process under sections 5303–5306 of this title, by the chief
executive officer of a State, responsible local officials, and
publicly owned operators of mass transportation to receive
and apportion amounts under section 5336 of this title
that are attributable to transportation management areas
established under section 5305(a) of this title;
(B) a State or regional authority if the authority is
responsible under the laws of a State for a capital project
and for financing and directly providing mass transpor-
tation; or
(C) a recipient designated under section 5(b)(1) of the
Federal Transit Act not later than January 5, 1983.
(b) GENERAL AUTHORITY.—(1) The Secretary of Transportation
may make grants under this section for capital projects and to
finance the planning, improvement, and operating costs of equip-
ment, facilities, and associated capital maintenance items for use
in mass transportation, including the renovation and improvement
of historic transportation facilities with related private investment.
(2) In a transportation management area designated under
section 5305(a) of this title, amounts that cannot be used to pay
operating expenses under this section also are available for a high-
way project if—
(A) that use is approved by the metropolitan planning
organization under section 5303 of this title after appropriate
notice and an opportunity for comment and appeal is provided
to affected mass transportation providers; and
(B) the Secretary decides the amounts are not needed for
investment required by the Americans with Disabilities Act
of 1990 (42 U.S.C. 12101 et seq.).
(3) A grant for a capital project under this section also is
available to finance the leasing of equipment and facilities for
use in mass transportation, subject to regulations the Secretary
prescribes limiting the grant to leasing arrangements that are
more cost effective than acquisition or construction.
(4) A project for the reconstruction of equipment and material,
each of which after reconstruction will have a fair market value
of at least .5 percent of the current fair market value of rolling
stock comparable to the rolling stock for which the equipment
and material will be used, is a capital project for an associated
capital maintenance item under this section.
(5) Amounts under this section are available for a highway
project under title 23 only if amounts used for the State or local
share of the project are eligible to finance either a highway or
mass transportation project.
(c) PUBLIC PARTICIPATION REQUIREMENTS.—Each recipient of
a grant shall—
(1) make available to the public information on amounts
available to the recipient under this section and the program
of projects the recipient proposes to undertake;
(2) develop, in consultation with interested parties, includ-
ing private transportation providers, a proposed program of
projects for activities to be financed;
(3) publish a proposed program of projects in a way that
affected citizens, private transportation providers, and local
elected officials have the opportunity to examine the proposed
H. R. 1758—53
program and submit comments on the proposed program and
the performance of the recipient;
(4) provide an opportunity for a public hearing in which
to obtain the views of citizens on the proposed program of
projects;
(5) ensure that the proposed program of projects provides
for the coordination of mass transportation services assisted
under section 5336 of this title with transportation services
assisted from other United States Government sources;
(6) consider comments and views received, especially those
of private transportation providers, in preparing the final pro-
gram of projects; and
(7) make the final program of projects available to the
public.
(d) GRANT RECIPIENT REQUIREMENTS.—A recipient may receive
a grant in a fiscal year only if—
(1) the recipient, within the time the Secretary prescribes,
submits a final program of projects prepared under subsection
(c) of this section and a certification for that fiscal year that
the recipient (including a person receiving amounts from a
chief executive officer of a State under this section)—
(A) has or will have the legal, financial, and technical
capacity to carry out the program;
(B) has or will have satisfactory continuing control
over the use of equipment and facilities;
(C) will maintain equipment and facilities;
(D) will ensure that elderly and handicapped individ-
uals, or an individual presenting a medicare card issued
to that individual under title II or XVIII of the Social
Security Act (42 U.S.C. 401 et seq., 1395 et seq.), will
be charged during non-peak hours for transportation using
or involving a facility or equipment of a project financed
under this chapter not more than 50 percent of the peak
hour fare;
(E) in carrying out a procurement under this section—
(i) will use competitive procurement (as defined
or approved by the Secretary);
(ii) will not use a procurement that uses exclusion-
ary or discriminatory specifications; and
(iii) will comply with applicable Buy-American
laws in carrying out a procurement;
(F) has complied with subsection (c) of this section;
(G) has available and will provide the required
amounts as provided by subsection (e) of this section;
(H) will comply with sections 5301(a) and (d), 5303–
5306, and 5310(a)–(d) of this title;
(I) has a locally developed process to solicit and con-
sider public comment before raising a fare or carrying
out a major reduction of transportation; and
(J)(i) will expend for each fiscal year for mass transpor-
tation security projects, including increased lighting in or
adjacent to a mass transportation system (including bus
stops, subway stations, parking lots, and garages),
increased camera surveillance of an area in or adjacent
to that system, providing an emergency telephone line to
contact law enforcement or security personnel in an area
in or adjacent to that system, and any other project
H. R. 1758—54
intended to increase the security and safety of an existing
or planned mass transportation system, at least one percent
of the amount the recipient receives for each fiscal year
under section 5336 of this title; or
(ii) has decided that the expenditure for security
projects is not necessary; and
(2) the Secretary accepts the certification.
(e) GOVERNMENT’S SHARE OF COSTS.—A grant of the Govern-
ment for a capital project (including associated capital maintenance
items) under this section is for 80 percent of the net project cost
of the project. A recipient may provide additional local matching
amounts. A grant for operating expenses may not be more than
50 percent of the net project cost of the project. The remainder
of the net project cost shall be provided in cash from sources
other than amounts of the Government or revenues from providing
mass transportation (excluding revenues derived from the sale of
advertising and concessions that are more than the amount of
those revenues in the fiscal year that ended September 30, 1985).
Transit system amounts that make up the remainder shall be
from an undistributed cash surplus, a replacement or depreciation
cash fund or reserve, or new capital.
(f) STATEWIDE OPERATING ASSISTANCE.—(1) A State authority
that is a designated recipient and providing mass transportation
in at least 2 urbanized areas may apply for operating assistance
in an amount not more than the amount for all urbanized areas
in which it provides transportation.
(2) When approving an application under paragraph (1) of
this subsection, the Secretary may not reduce the amount of operat-
ing assistance approved for another State or a local transportation
authority within the affected urbanized areas.
(g) UNDERTAKING PROJECTS IN ADVANCE.—(1) When a recipient
obligates all amounts apportioned to it under section 5336 of this
title and then carries out a part of a project described in this
section (except a project for operating expenses) without amounts
of the Government and according to all applicable procedures and
requirements (except to the extent the procedures and requirements
limit a State to carrying out a project with amounts of the Govern-
ment previously apportioned to it), the Secretary may pay to the
recipient the Government’s share of the cost of carrying out that
part when additional amounts are apportioned to the recipient
under section 5336 if—
(A) the recipient applies for the payment;
(B) the Secretary approves the payment; and
(C) before carrying out that part, the Secretary approves
the plans and specifications for the part in the same way
as for other projects under this section.
(2) The Secretary may approve an application under paragraph
(1) of this subsection only if an authorization for this section is
in effect for the fiscal year to which the application applies. The
Secretary may not approve an application if the payment will be
more than—
(A) the recipient’s expected apportionment under section
5336 of this title if the total amount authorized to be appro-
priated for the fiscal year to carry out this section is appro-
priated; less
H. R. 1758—55
(B) the maximum amount of the apportionment that may
be made available for projects for operating expenses under
this section.
(3) The cost of carrying out that part of a project includes
the amount of interest earned and payable on bonds issued by
the recipient to the extent proceeds of the bonds are expended
in carrying out the part. However, the amount of interest allowed
under this paragraph may not be more than the amount by which
the estimated cost of carrying out the part (if it would be carried
out at the time the part is converted to a regularly financed project)
exceeds the actual cost (except interest) of carrying out the part.
(4) The Secretary shall consider changes in capital project cost
indices when determining the estimated cost under paragraph (3)
of this subsection.
(h) STREAMLINED
ADMINISTRATIVE
PROCEDURES.—The Sec-
retary shall prescribe streamlined administrative procedures for
complying with the certification requirement under subsection
(d)(1)(B) and (C) of this section for track and signal equipment
used in existing operations.
(i) REVIEWS, AUDITS, 
AND
EVALUATIONS.—(1)(A) At least
annually, the Secretary shall carry out, or require a recipient to
have carried out independently, reviews and audits the Secretary
considers appropriate to establish whether the recipient has carried
out—
(i) the activities proposed under subsection (d) of this sec-
tion in a timely and effective way and can continue to do
so; and
(ii) those activities and its certifications and has used
amounts of the Government in the way required by law.
(B) An audit of the use of amounts of the Government shall
comply with the auditing procedures of the Comptroller General.
(2) At least once every 3 years, the Secretary shall review
and evaluate completely the performance of a recipient in carrying
out the recipient’s program, specifically referring to compliance
with statutory and administrative requirements and the extent
to which actual program activities are consistent with the activities
proposed under subsection (d) of this section and the planning
process required under sections 5303–5306 of this title.
(3) The Secretary may take appropriate action consistent with
a review, audit, and evaluation under this subsection, including
making an appropriate adjustment in the amount of a grant or
withdrawing the grant.
(j) REPORTS.—A recipient (including a person receiving amounts
from a chief executive officer of a State under this section) shall
submit annually to the Secretary a report on the revenues the
recipient derives from the sale of advertising and concessions.
(k) SUBMISSION OF CERTIFICATIONS.—A certification under sub-
section (d) of this section and any additional certification required
by law to be submitted to the Secretary may be consolidated into
a single document to be submitted annually as part of the grant
application under this section. The Secretary shall publish annually
a list of all certifications required under this chapter with the
publication required under section 5336(e)(2) of this title.
(l) PROCUREMENT SYSTEM APPROVAL.—A recipient may request
the Secretary to approve its procurement system. The Secretary
shall approve the system for use for procurements financed under
section 5336 of this title if, after consulting with the Administrator
H. R. 1758—56
for Federal Procurement Policy, the Secretary decides the system
provides for competitive procurement. Approval of a system under
this subsection does not relieve a recipient of the duty to certify
under subsection (d)(1)(E) of this section.
(m) OPERATING FERRIES OUTSIDE URBANIZED AREAS.—A vessel
used in ferryboat operations financed under section 5336 of this
title that is part of a State-operated ferry system may be operated
occasionally outside the urbanized area in which service is provided
to accommodate periodic maintenance if existing ferry service is
not reduced significantly by operating outside the area.
(n) RELATIONSHIP TO OTHER LAWS.—(1) Section 1001 of title
18 applies to a certificate or submission under this section. The
Secretary may end a grant under this section and seek reimburse-
ment, directly or by offsetting amounts available under section
5336 of this title, when a false or fraudulent statement or related
act within the meaning of section 1001 is made in connection
with a certification or submission.
(2) 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.
§ 5308. Mass Transit Account block grants
(a) GENERAL AUTHORITY.—The Secretary of Transportation may
make grants under this section to be used only for capital projects
(including capital maintenance items).
(b) APPLICATION OF OTHER SECTIONS.—(1) Sections 5307(a)–
(d), (h)–(l), and (n) and 5336(a)–(c), (f), (g), and (j) of this title
apply to amounts made available under section 5338(a) of this
title to carry out this section.
(2) Sections 5307(e) and 5336(d) of this title apply to grants
under this section.
§ 5309. Discretionary grants and loans
(a) GENERAL AUTHORITY.—The Secretary of Transportation may
make grants and loans under this section to assist State and
local governmental authorities in financing—
(1) capital projects for new fixed guideway systems, and
extensions to existing fixed guideway systems, including the
acquisition of real property, the initial acquisition of rolling
stock for the systems, alternatives analysis related to the devel-
opment of the systems, and the acquisition of rights of way,
and relocation, for fixed guideway corridor development for
projects in the advanced stages of alternatives analysis or
preliminary engineering;
(2) capital projects, including property and improvements
(except public highways other than fixed guideway facilities),
needed for an efficient and coordinated mass transportation
system;
(3) the capital costs of coordinating mass transportation
with other transportation;
(4) the introduction of new technology, through innovative
and improved products, into mass transportation;
(5) transportation projects that enhance urban economic
development or incorporate private investment, including
commercial and residential development, because the projects—
H. R. 1758—57
(A) enhance the effectiveness of a mass transportation
project and are related physically or functionally to that
mass transportation project; or
(B) establish new or enhanced coordination between
mass transportation and other transportation;
(6) mass transportation projects planned, designed, and
carried out to meet the special needs of elderly individuals
and individuals with disabilities; and
(7) the development of corridors to support fixed guideway
systems, including protecting rights of way through acquisition,
construction of dedicated bus and high occupancy vehicle lanes
and park and ride lots, and other nonvehicular capital improve-
ments that the Secretary may decide would result in increased
mass transportation usage in the corridor.
(b) LOANS FOR REAL PROPERTY INTERESTS.—(1) The Secretary
of Transportation may make loans under this section to State
and local governmental authorities to acquire interests in real prop-
erty for use on urban mass transportation systems as rights of
way, station sites, and related purposes, including reconstruction,
renovation, the net cost of property management, and relocation
payments made under section 5324(a) of this title.
(2) The Secretary of Transportation may make a loan under
paragraph (1) of this subsection for an approved project only after
finding that the property reasonably is expected to be required
for a mass transportation system and that it will be used for
that system within a reasonable time.
(3) An applicant for a loan under this subsection shall provide
a copy of the application to the planning agency for the community
affected by the project at the same time the application is submitted
to the Secretary of Transportation. If the planning agency submits
comments to the Secretary not later than 30 days after the applica-
tion is submitted, or, if the agency requests more time within
those 30 days, within a period the Secretary establishes, the Sec-
retary shall consider those comments before taking final action
on the application.
(4) A loan agreement under this subsection shall provide that
a capital project on the property will be started not later than
10 years after the fiscal year in which the agreement is made.
If an interest in property acquired under this subsection is not
used for the purpose for which it was acquired, an appraisal of
the current value of the property or interest shall be made when
a decision is made about the use. The decision shall be made
within the 10-year period. Two-thirds of the increase in value
shall be paid to the Secretary of Transportation for deposit in
the Treasury as miscellaneous receipts.
(5) A loan under this subsection must be repaid not later
than 10 years after the date of the loan agreement or on the
date a grant agreement for a capital project on the property is
made, whichever is earlier. Payments made to repay the loan shall
be deposited in the Treasury as miscellaneous receipts.
(c) CONSIDERATION OF DECREASED COMMUTER RAIL TRANSPOR-
TATION.—The Secretary of Transportation shall consider the adverse
effect of decreased commuter rail transportation when deciding
whether to approve a grant or loan under this section to acquire
a rail line and all related facilities—
(1) owned by a rail carrier subject to reorganization under
title 11; and
H. R. 1758—58
(2) used to provide commuter rail transportation.
(d) PROJECT AS PART OF APPROVED PROGRAM OF PROJECTS.—
Except as provided in subsections (b)(2) and (e) of this section,
the Secretary of Transportation may approve a grant or loan for
a project under this section only after finding that the project
is part of the approved program of projects required under sections
5303–5306 of this title and that an applicant—
(1) has or will have the legal, financial, and technical
capacity to carry out the project, satisfactory continuing control
over the use of equipment or facilities, and the capability to
maintain the equipment or facilities; and
(2) will maintain the equipment or facilities.
(e) CRITERIA FOR GRANTS AND LOANS FOR FIXED GUIDEWAY
SYSTEMS.—(1) This subsection applies to a project—
(A) for which a letter of intent or contract for the complete
amount is issued under subsection (g) of this section after
April 1, 1987; or
(B) not in the preliminary engineering, final design, or
construction stage on January 1, 1987.
(2) The Secretary of Transportation may approve a grant or
loan under this section for a capital project for a new fixed guideway
system or extension of an existing fixed guideway system only
if the Secretary decides that the proposed project is—
(A) based on the results of an alternatives analysis and
preliminary engineering;
(B) justified based on a comprehensive review of its mobility
improvements, environmental benefits, cost effectiveness, and
operating efficiencies; and
(C) supported by an acceptable degree of local financial
commitment, including evidence of stable and dependable
financing sources to construct, maintain, and operate the sys-
tem or extension.
(3) In making a decision under paragraph (2) of this subsection,
the Secretary of Transportation shall—
(A) consider the direct and indirect costs of relevant alter-
natives;
(B) account for costs related to factors such as congestion
relief, improved mobility, air pollution, noise pollution, conges-
tion, energy consumption, and all associated ancillary and miti-
gation costs necessary to carry out each alternative analyzed;
(C) identify and consider mass transportation supportive
existing land use policies and future patterns;
(D) consider the degree to which the project increases the
mobility of the mass transportation dependent population or
promotes economic development; and
(E) consider other factors the Secretary considers appro-
priate to carry out this chapter.
(4)(A) The Secretary of Transportation shall issue guidelines
on how the Secretary will evaluate results of alternatives analysis,
project justification, and the degree of local financial commitment.
(B) The project justification under paragraph (1)(B) of this
subsection shall be adjusted to reflect differences in local land,
construction, and operating costs.
(C) The degree of local financial commitment is acceptable
only if—
H. R. 1758—59
(i) the proposed project plan provides for the availability
of contingency amounts the Secretary of Transportation deter-
mines to be reasonable to cover unanticipated cost overruns;
(ii) each proposed local source of capital and operating
financing is stable, reliable, and available within the proposed
project timetable; and
(iii) local resources are available to operate the overall
proposed mass transportation system (including essential feeder
bus and other services necessary to achieve the projected rider-
ship levels) without requiring a reduction in existing mass
transportation services to operate the proposed project.
(D) In assessing the stability, reliability, and availability of
proposed sources of local financing, the Secretary of Transportation
shall consider—
(i) existing grant commitments;
(ii) the degree to which financing sources are dedicated
to the purposes proposed; and
(iii) any debt obligation that exists or is proposed by the
recipient for the proposed project or other mass transportation
purpose.
(5) A proposed project may advance from alternatives analysis
to preliminary engineering only if the Secretary of Transportation
finds that the project meets the requirements of this section and
there is a reasonable chance that the project will continue to meet
the requirements at the end of preliminary engineering.
(6)(A) A new fixed guideway system or extension of an existing
fixed guideway system is not subject to the requirements of this
subsection, and the simultaneous evaluation of similar projects
in at least 2 corridors in a metropolitan area may not be limited,
if—
(i) the project is located in an extreme or severe nonattain-
ment area and is a transportation control measure (as defined
by the Clean Air Act (42 U.S.C. 7401 et seq.)) required to
carry out an approved State Implementation Plan; or
(ii) assistance provided under this section is less than
$25,000,000 or one-third of the total cost of the project or
an appropriate program of projects as decided by the Secretary
of Transportation.
(B) The simultaneous evaluation of projects in at least 2 cor-
ridors in a metropolitan area may not be limited and the Secretary
of Transportation shall make decisions under this subsection with
expedited procedures that will promote carrying out an approved
State Implementation Plan in a timely way if a project is—
(i) located in a nonattainment area that is not an extreme
or severe nonattainment area;
(ii) a transportation control measure (as defined by the
Clean Air Act (42 U.S.C. 7401 et seq.)); and
(iii) required to carry out the State Implementation Plan.
(C) This subsection does not apply to a part of a project (includ-
ing a commuter rail transportation project on an existing right
of way) financed completely with amounts for highways made avail-
able under part A of title I of the Intermodal Surface Transportation
Efficiency Act of 1991 (Public Law 102–240, 105 Stat. 1915).
(7) A project financed under this subsection shall be carried
out through a full financing grant agreement.
(f) REQUIRED PAYMENTS AND ELIGIBLE COSTS OF PROJECTS THAT
ENHANCE URBAN ECONOMIC DEVELOPMENT OR INCORPORATE PRI-
H. R. 1758—60
VATE INVESTMENT.—(1) Each grant or loan under subsection (a)(5)
of this section shall require that a person making an agreement
to occupy space in a facility pay a reasonable share of the costs
of the facility through rental payments and other means.
(2) Eligible costs for a project under subsection (a)(5) of this
section—
(A) include property acquisition, demolition of existing
structures, site preparation, utilities, building foundations,
walkways, open space, and a capital project for, and improving,
equipment or a facility for an intermodal transfer facility or
transportation mall; but
(B) do not include construction of a commercial revenue-
producing facility or a part of a public facility not related
to mass transportation.
(g) LETTERS OF INTENT, FULL FINANCING GRANT AGREEMENTS,
AND EARLY SYSTEMS WORK AGREEMENTS.—(1)(A) The Secretary
of Transportation may issue a letter of intent to an applicant
announcing an intention to obligate, for a project under this section,
an amount from future available budget authority specified in law
that is not more than the amount stipulated as the financial partici-
pation of the Secretary in the project. The amount shall be sufficient
to complete at least an operable segment when a letter is issued
for a fixed guideway project.
(B) At least 30 days before issuing a letter under subparagraph
(A) of this paragraph, the Secretary of Transportation shall notify
in writing the Committee on Public Works and Transportation
of the House of Representatives and the Committee on Banking,
Housing, and Urban Affairs of the Senate of the proposed issuance
of the letter.
(C) The issuance of a letter is deemed not to be an obligation
under sections 1108(c) and (d), 1501, and 1502(a) of title 31 or
an administrative commitment.
(D) An obligation or administrative commitment may be made
only when amounts are appropriated.
(2)(A) The Secretary of Transportation may make a full financ-
ing grant agreement with an applicant. The agreement shall—
(i) establish the terms of participation by the United States
Government in a project under this section;
(ii) establish the maximum amount of Government financial
assistance for the project;
(iii) cover the period of time for completing the project,
including a period extending beyond the period of an authoriza-
tion; and
(iv) make timely and efficient management of the project
easier according to the law of the United States.
(B) An agreement under this paragraph obligates an amount
of available budget authority specified in law and may include
a commitment, contingent on amounts to be specified in law in
advance for commitments under this paragraph, to obligate an
additional amount from future available budget authority specified
in law. The agreement shall state that the contingent commitment
is not an obligation of the Government. Interest and other financing
costs of efficiently carrying out a part of the project within a
reasonable time are a cost of carrying out the project under a
full financing grant agreement, except that eligible costs may not
be more than the cost of the most favorable financing terms reason-
ably available for the project at the time of borrowing. The applicant
H. R. 1758—61
shall certify, in a way satisfactory to the Secretary of Transpor-
tation, that the applicant has shown reasonable diligence in seeking
the most favorable financing terms. The amount stipulated in an
agreement under this paragraph for a fixed guideway project shall
be sufficient to complete at least an operable segment.
(3)(A) The Secretary of Transportation may make an early
systems work agreement with an applicant if a record of decision
under the National Environmental Policy Act of 1969 (42 U.S.C.
4321 et seq.) has been issued on the project and the Secretary
finds there is reason to believe—
(i) a full financing grant agreement for the project will
be made; and
(ii) the terms of the work agreement will promote ultimate
completion of the project more rapidly and at less cost.
(B) A work agreement under this paragraph obligates an
amount of available budget authority specified in law and shall
provide for reimbursement of preliminary costs of carrying out
the project, including land acquisition, timely procurement of system
elements for which specifications are decided, and other activities
the Secretary of Transportation decides are appropriate to make
efficient, long-term project management easier. A work agreement
shall cover the period of time the Secretary considers appropriate.
The period may extend beyond the period of current authorization.
Interest and other financing costs of efficiently carrying out the
work agreement within a reasonable time are a cost of carrying
out the agreement, except that eligible costs may not be more
than the cost of the most favorable financing terms reasonably
available for the project at the time of borrowing. The applicant
shall certify, in a way satisfactory to the Secretary, that the
applicant has shown reasonable diligence in seeking the most favor-
able financing terms. If an applicant does not carry out the project
for reasons within the control of the applicant, the applicant shall
repay all Government payments made under the work agreement
plus reasonable interest and penalty charges the Secretary estab-
lishes in the agreement.
(4) The total estimated amount of future obligations of the
Government and contingent commitments to incur obligations cov-
ered by all outstanding letters of intent, full financing grant agree-
ments, and early systems work agreements may be not more than
the greater of the amount authorized under section 5338(a) of
this title to carry out this section or 50 percent of the uncommitted
cash balance remaining in the Mass Transit Account of the Highway
Trust Fund (including amounts received from taxes and interest
earned that are more than amounts previously obligated), less
an amount the Secretary of Transportation reasonably estimates
is necessary for grants under this section not covered by a letter.
The total amount covered by new letters and contingent commit-
ments included in full financing grant agreements and early sys-
tems work agreements may be not more than a limitation specified
in law.
(h) GOVERNMENT’S SHARE OF NET PROJECT COST.—Based on
engineering studies, studies of economic feasibility, and information
on the expected use of equipment or facilities, the Secretary of
Transportation shall estimate the net project cost. A grant for
the project is for 80 percent of the net project cost, unless the
grant recipient requests a lower grant percentage. The remainder
shall be provided in cash from a source other than amounts of
H. R. 1758—62
the Government. Transit system amounts that make up the remain-
der must be from an undistributed cash surplus, a replacement
or depreciation cash fund or reserve, or new capital. The remainder
for a planned extension to a fixed guideway system may include
the cost of rolling stock previously purchased if the applicant satis-
fies the Secretary that only amounts other than amounts of the
Government were used and that the purchase was made for use
on the extension. A refund or reduction of the remainder may
be made only if a refund of a proportional amount of the grant
of the Government is made at the same time.
(i) LOAN TERM REQUIREMENTS.—Except for a loan under sub-
section (b) of this section, a loan, including a renewal or extension
of the loan, may be made, and a security or obligation may be
bought, only if it has a maturity date of not more than 40 years.
Interest on a loan may not be less than—
(1) a rate the Secretary of the Treasury establishes, consid-
ering the current average yield on outstanding marketable
obligations of the Government that have remaining periods
of maturity comparable to the average maturity of the loan,
adjusted to the nearest .125 percent; plus
(2) an allowance the Secretary of Transportation considers
adequate to cover administrative costs and probable losses.
(j) LOAN PAYMENT FORGIVENESS.—A grant agreement for a
capital project may forgive repaying the loan and interest in place
of a cash grant for the amount forgiven. The amount is part of
the grant and part of the contribution of the Government to the
cost of the project.
(k) 
LIMITATION
ON
MAKING
LOANS
AND
GRANTS
FOR
PROJECTS.—The Secretary of Transportation may not make a loan
under this section for a project for which a grant (except a relocation
payment grant) is made under this section. However, the Secretary
may make a project grant even though real property for the project
has been or will be acquired through a loan under subsection
(b) of this section.
(l) FISCAL CAPACITY CONSIDERATIONS.—If the Secretary of
Transportation gives priority consideration to financing projects
that include more than the non-Government share required under
subsection (h) of this section, the Secretary shall give equal consider-
ation to differences in the fiscal capacity of State and local govern-
ments.
(m) ALLOCATING AMOUNTS.—(1) Of the amounts available for
grants and loans under this section for each of the fiscal years
ending September 30, 1993–1997—
(A) 40 percent is available for fixed guideway moderniza-
tion;
(B) 40 percent is available for capital projects for new
fixed guideway systems and extensions to existing fixed guide-
way systems; and
(C) 20 percent is available to replace, rehabilitate, and
buy buses and related equipment and to construct bus-related
facilities.
(2) At least 5.5 percent of the amounts available in each fiscal
year under paragraph (1)(C) of this subsection is available for
areas other than urbanized areas.
(3) Not later than January 20 of each year, the Secretary
of Transportation shall submit to the Committee on Public Works
and Transportation of the House of Representatives and the
H. R. 1758—63
Committee on Banking, Housing, and Urban Affairs of the Senate
a proposal on the allocation of amounts to be made available to
finance grants and loans for capital projects for new fixed guideway
systems and extensions to existing fixed guideway systems among
applicants for those amounts.
(4) A person applying for, or receiving, assistance for a project
described in clause (A), (B), or (C) of paragraph (1) of this subsection
may receive assistance for a project described in another of those
clauses.
(n) UNDERTAKING PROJECTS IN ADVANCE.—(1) The Secretary
of Transportation may pay the Government’s share of the net project
cost to a State or local governmental authority that carries out
any part of a project described in this section or a substitute
transit project described in section 103(e)(4) of title 23 without
the aid of amounts of the Government and according to all
applicable procedures and requirements if—
(A) the State or local governmental authority applies for
the payment;
(B) the Secretary approves the payment; and
(C) before carrying out the part of the project, the Secretary
approves the plans and specifications for the part in the same
way as other projects under this section or section 103(e)(4)
of title 23.
(2) The cost of carrying out part of a project includes the
amount of interest earned and payable on bonds issued by the
State or local governmental authority to the extent proceeds of
the bonds are expended in carrying out the part. However, the
amount of interest under this paragraph may not be more than
the most favorable interest terms reasonably available for the
project at the time of borrowing. The applicant shall certify, in
a way satisfactory to the Secretary of Transportation, that the
applicant has shown reasonable diligence in seeking the most favor-
able financial terms.
(3) The Secretary of Transportation shall consider changes in
capital project cost indices when determining the estimated cost
under paragraph (2) of this subsection.
(o) USE
OF DEOBLIGATED AMOUNTS.—An amount available
under this section that is deobligated may be used for any purpose
under this section.
§ 5310. Grants and loans for special needs of elderly individ-
uals and individuals with disabilities
(a) GENERAL AUTHORITY.—The Secretary of Transportation may
make grants and loans to—
(1) State and local governmental authorities to help them
provide mass transportation service planned, designed, and
carried out to meet the special needs of elderly individuals
and individuals with disabilities; and
(2) the chief executive officer of each State for allocation
to—
(A) private nonprofit corporations and associations to
help them provide that transportation service when the
transportation service provided under clause (1) of this
subsection is unavailable, insufficient, or inappropriate; or
(B) governmental authorities—
H. R. 1758—64
(i) approved by the State to coordinate services
for elderly individuals and individuals with disabilities;
or
(ii) that certify to the chief executive officer that
no nonprofit corporation or association readily is avail-
able in an area to provide service under this subsection.
(b) APPORTIONING
AND TRANSFERRING AMOUNTS.—The Sec-
retary shall apportion amounts made available under section
5338(a) of this title under a formula the Secretary administers
that considers the number of elderly individuals and individuals
with disabilities in each State. Any State’s apportionment remaining
available for obligation at the beginning of the 90-day period before
the end of the period of availability of the apportionment is available
to the chief executive officer of the State for transfer to supplement
amounts apportioned to the State under section 5311(c) or 5336(a)(1)
of this title.
(c) STATE PROGRAM OF PROJECTS.—Amounts made available
for this section may be used for transportation projects to assist
in providing transportation services for elderly individuals and
individuals with disabilities that are included in a State program
of projects. A program shall be submitted annually to the Secretary
for approval and shall contain an assurance that the program
provides for maximum feasible coordination of transportation serv-
ices assisted under this section with transportation services assisted
by other United States Government sources.
(d) ELIGIBLE CAPITAL EXPENSES.—A recipient of amounts under
this section may include acquiring transportation services as an
eligible capital expense.
(e) APPLICATION OF SECTION 5309.—(1) A grant or loan under
subsection (a)(1) of this section is subject to all requirements of
a grant or loan under section 5309 of this title, and is deemed
to have been made under section 5309.
(2) A grant or loan under subsection (a)(2) of this section
is subject to requirements similar to those under paragraph (1)
of this subsection to the extent the Secretary considers appropriate.
(f) MINIMUM REQUIREMENTS
AND PROCEDURES
FOR RECIPI-
ENTS.—In carrying out section 5301(d) of this title, section 165(b)
of the Federal-Aid Highway Act of 1973 (Public Law 93–87, 87
Stat. 282), and section 504 of the Rehabilitation Act of 1973 (29
U.S.C. 794) (consistent with Government-wide standards to carry
out section 504), the Secretary shall prescribe regulations establish-
ing minimum criteria a recipient of Government financial assistance
under this chapter or a law referred to in section 165(b) shall
comply with in providing mass transportation service to elderly
individuals and individuals with disabilities and procedures for
the Secretary to monitor compliance with the criteria. The regula-
tions shall include provisions for ensuring that organizations and
groups representing elderly individuals and individuals with disabil-
ities are given adequate notice of, and an opportunity to comment
on, the proposed activity of a recipient to achieve compliance with
the regulations.
(g) LEASING VEHICLES.—The Secretary shall prescribe guide-
lines allowing vehicles bought under this section to be leased to
local governmental authorities to improve transportation services
designed to meet the special needs of elderly individuals and
individuals with disabilities.
H. R. 1758—65
(h) MEAL DELIVERY SERVICE TO HOMEBOUND INDIVIDUALS.—
Mass transportation service providers receiving assistance under
this section or section 5311(c) of this title may coordinate and
assist in regularly providing meal delivery service for homebound
individuals if the delivery service does not conflict with providing
mass transportation service or reduce service to mass transportation
passengers.
(i) TRANSFER OF FACILITIES AND EQUIPMENT.—With the consent
of the recipient currently having a facility or equipment acquired
with assistance under this section, a State may transfer the facility
or equipment to any recipient eligible to receive assistance under
this chapter if the facility or equipment will continue to be used
as required under this section.
(j) FARES NOT REQUIRED.—This chapter does not require that
elderly individuals and individuals with disabilities be charged
a fare.
§ 5311. Financial assistance for other than urbanized areas
(a) DEFINITION.—In this section, ‘‘recipient’’ includes a State
authority, a local governmental authority, a nonprofit organization,
and an operator of mass transportation service.
(b) GENERAL AUTHORITY.—(1) The Secretary of Transportation
may make grants for transportation projects that are included
in a State program of mass transportation service projects (including
service agreements with private providers of mass transportation
service) for areas other than urbanized areas. The program shall
be submitted annually to the Secretary. The Secretary may approve
the program only if the Secretary finds that the program provides
a fair distribution of amounts in the State, including Indian reserva-
tions, and the maximum feasible coordination of mass transpor-
tation service assisted under this section with transportation service
assisted by other United States Government sources.
(2) The Secretary of Transportation shall carry out a rural
transportation assistance program in nonurbanized areas. In carry-
ing out this paragraph, the Secretary may make grants and con-
tracts for transportation research, technical assistance, training,
and related support services in nonurbanized areas.
(c) APPORTIONING AMOUNTS.—The Secretary of Transportation
shall apportion amounts made available under section 5338(a) of
this title so that the chief executive officer of each State receives
an amount equal to the total amount apportioned multiplied by
a ratio equal to the population of areas other than urbanized
areas in a State divided by the population of all areas other than
urbanized areas in the United States, as shown by the most recent
of the following: the latest Government census, the population esti-
mate the Secretary of Commerce prepares after the 4th year after
the date the latest census is published, or the population estimate
the Secretary of Commerce prepares after the 8th year after the
date the latest census is published. The amount may be obligated
by the chief executive officer for 2 years after the fiscal year in
which the amount is apportioned. An amount that is not obligated
at the end of that period shall be reapportioned among the States
for the next fiscal year.
(d) USE FOR LOCAL TRANSPORTATION SERVICE.—A State may
use an amount apportioned under this section for a project included
in a program under subsection (b) of this section and eligible for
assistance under this chapter if the project will provide local
H. R. 1758—66
transportation service, as defined by the Secretary of Transpor-
tation, in an area other than an urbanized area.
(e) USE FOR ADMINISTRATION AND TECHNICAL ASSISTANCE.—
(1) The Secretary of Transportation may allow a State to use
not more than 15 percent of the amount apportioned under this
section to administer this section and provide technical assistance
to a recipient, including project planning, program and management
development, coordination of mass transportation programs, and
research the State considers appropriate to promote effective deliv-
ery of mass transportation to an area other than an urbanized
area.
(2) Except as provided in this section, a State carrying out
a program of operating assistance under this section may not limit
the level or extent of use of the Government grant for the payment
of operating expenses.
(f) INTERCITY BUS TRANSPORTATION.—(1) A State shall expend
at least 10 percent of the amount made available in the fiscal
year ending September 30, 1993, and 15 percent of the amount
made available in each fiscal year after September 30, 1993, to
carry out a program to develop and support intercity bus transpor-
tation. Eligible activities under the program include—
(A) planning and marketing for intercity bus transpor-
tation;
(B) capital grants for intercity bus shelters;
(C) joint-use stops and depots;
(D) operating grants through purchase-of-service agree-
ments, user-side subsidies, and demonstration projects; and
(E) coordinating rural connections between small mass
transportation operations and intercity bus carriers.
(2) A State does not have to comply with paragraph (1) of
this subsection in a fiscal year in which the chief executive officer
of the State certifies to the Secretary of Transportation that the
intercity bus service needs of the State are being met adequately.
(g) GOVERNMENT’S SHARE OF COSTS.—(1) In this subsection,
‘‘amounts of the Government or revenues’’ do not include amounts
received under a service agreement with a State or local social
service agency or a private social service organization.
(2) A grant of the Government for a capital project under
this section may not be more than 80 percent of the net cost
of the project, as determined by the Secretary of Transportation.
A grant to pay a subsidy for operating expenses may not be more
than 50 percent of the net cost of the operating expense project.
At least 50 percent of the remainder shall be provided in cash
from sources other than amounts of the Government or revenues
from providing mass transportation. Transit system amounts that
make up the remainder shall be from an undistributed cash surplus,
a replacement or depreciation cash fund or reserve, or new capital.
(h) AMOUNTS FOR OPERATING ASSISTANCE.—An amount made
available under this section may be used for operating assistance.
(i) TRANSFER OF FACILITIES AND EQUIPMENT.—With the consent
of the recipient currently having a facility or equipment acquired
with assistance under this section, a State may transfer the facility
or equipment to any recipient eligible to receive assistance under
this chapter if the facility or equipment will continue to be used
as required under this section.