IIA
103D CONGRESS
1ST SESSION H.R. 1758
IN THE SENATE OF THE UNITED STATES
AUGUST 3 (legislative day, JUNE 30), 1993
Received; read twice and referred to the Committee on the Judiciary
AN ACT
To revise, codify, and enact without substantive change cer-
tain general and permanent laws, related to transpor-
tation, as subtitles II, III, and V–X of title 49, United
States Code, ‘‘Transportation’’, and to make other tech-
nical 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 sec-
tion 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, ex-
cept that chapter 31 (comprising sections 3101–3104) of subtitle II is re-
designated 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 im-
mediately after subtitle I:
SUBTITLE II—OTHER GOVERNMENT AGENCIES
CHAPTER
Sec.
11.
NATIONAL TRANSPORTATION SAFETY BOARD ..................................
1101
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 Sen-
ate. 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 quali-
fication, professional standing, and demonstrated knowledge in accident re-
construction, safety engineering, human factors, transportation safety, or
transportation regulation.
(c) TERMS OF OFFICE AND REMOVAL.—The term of office of each mem-
ber 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 succes-
sor is appointed and qualified. The President may remove a member for in-
efficiency, neglect of duty, or malfeasance in office.
(d) CHAIRMAN AND VICE CHAIRMAN.—The President shall designate, by
and with the advice and consent of the Senate, a Chairman of the Board.
The President also shall designate a Vice Chairman of the Board. The
terms of office of both the Chairman and 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 ex-
ecutive and administrative officer of the Board. Subject to the general poli-
cies and decisions of the Board, the Chairman shall—
(1) appoint, supervise, and fix the pay of officers and employees nec-
essary to carry out this chapter;
(2) distribute business among the officers, employees, and adminis-
trative 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 establish of-
fices 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 of-
fices 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 recog-
nized.
§ 1112. Special boards of inquiry on air transportation safe-
ty
(a) ESTABLISHMENT.—If an accident involves a substantial question
about public safety in air transportation, the National Transportation Safe-
ty 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 mem-
bers of a special board of inquiry must be qualified by training and experi-
ence 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 authority 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 administra-
tive law judge employed by or assigned to the Board, or an officer or em-
ployee designated by the Chairman of the Board, may conduct hearings to
carry out this chapter, administer oaths, and require, by subpena or other-
wise, necessary witnesses and evidence.
(2) A witness or evidence in a hearing under paragraph (1) of this sub-
section 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 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 Chairman 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 para-
graph 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 sub-
pena, 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 con-
sultants 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 instrumentality 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 private citi-
zens and officials of the Government and State and local governments
as appropriate;
(F) accept voluntary and uncompensated services notwithstanding
another law;
(G) accept gifts of money and other property;
(H) make contracts with nonprofit entities to carry out studies relat-
ed to duties and powers of the Board; and
(I) require that the departments, agencies, and instrumentalities of
the Government, State and local governments, and governments of for-
eign countries provide appropriate consideration 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, supplemental budget estimate,
other budget information, a legislative recommendation, prepared testimony
for congressional hearings, or comments on legislation, the Board must sub-
mit 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, testimony, or comments
to another officer, department, agency, or instrumentality of the Govern-
ment 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 de-
partments, agencies, and instrumentalities of the Government, State and
local governmental authorities, and independent standard-setting authorities
that carry out programs and activities related to transportation safety. The
Board may designate representatives to serve on or assist those committees.
(e) INQUIRIES.—The Board, or an officer or employee of the Board des-
ignated by the Chairman, may conduct an inquiry to obtain information re-
lated to transportation safety after publishing notice of the inquiry in the
Federal Register. The Board or designated 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 an-
swers 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 sec-
tion, 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 informa-
tion 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 preserves 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 oppor-
tunity for that person to comment in writing, or orally in closed ses-
sion, 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 confidentiality.
(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
(B) if the Board does not hold a public hearing, at the time a major-
ity 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 recommenda-
tions.
(d) DRUG TESTS.—(1) Notwithstanding section 503(e) of the Supple-
mental Appropriations Act, 1987 (Public Law 100–71, 101 Stat. 471), the
Secretary of Transportation shall provide the following 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 em-
ployee of the Department of Transportation under post-accident, un-
safe practice, or reasonable suspicion toxicological testing requirements
of the Department, when the officer or employee is reasonably associ-
ated with the circumstances of an accident or incident under the inves-
tigative 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 sec-
tion 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 appli-
cable 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 para-
graph (1) of this subsection to develop an evidentiary record in an investiga-
tion 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 or-
ganization 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 carry-
ing out their duties and powers; and
(2) other safety personnel of the United States Government, State
and local governments, governments of foreign countries, interstate au-
thorities, and private organizations the Board designates in consulta-
tion with the Secretary.
(c) FEES.—(1) Training at the Institute for safety personnel (except em-
ployees of the Government) shall be provided at a reasonable 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—
(A) shall be credited to the appropriate appropriation (subject to the
requirements of any annual appropriation); and
(B) is an offset against any annual reimbursement agreement be-
tween the Board and the Secretary to cover all reasonable costs of pro-
viding training under this subsection that the Secretary incurs in oper-
ating the Institute.
(2) The Board shall maintain an annual record of offsets under para-
graph (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 instrumen-
talities of the United States Government and State and local governmental
authorities concerned with transportation safety, and other interested per-
sons. The report shall—
(1) advocate meaningful responses to reduce the likelihood of trans-
portation accidents similar to those investigated by the Board; and
(2) propose corrective action to make the transportation of individ-
uals 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 investigation and
periodically publish recommended procedures for accident investiga-
tions;
(3) prescribe requirements for persons reporting accidents and avia-
tion incidents that—
(A) may be investigated by the Board under this chapter; 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 consciousness of other de-
partments, 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 performance of other de-
partments, agencies, and instrumentalities of the Government respon-
sible for the safe transportation of that material.
§ 1117. Annual report
The National Transportation Safety Board shall submit a report to Con-
gress on July 1 of each year. The report shall include—
(1) a statistical and analytical summary of the transportation acci-
dent 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 recommendation;
(3) a detailed appraisal of the accident investigation and accident
prevention activities of other departments, agencies, and instrumental-
ities of the United States Government and State and local govern-
mental 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 otherwise
provided for, for accident investigations. The following amounts may be ap-
propriated 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 sec-
tion remain available until expended.
SUBCHAPTER III—AUTHORITY
§ 1131. General authority
(a) GENERAL.—(1) The National Transportation Safety Board shall in-
vestigate or have investigated (in detail the Board prescribes) and establish
the facts, circumstances, and cause or probable cause of—
(A) an aircraft accident the Board has authority to investigate 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, substantial prop-
erty 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 territorial sea of the Unit-
ed 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 character; or
(iii) the investigation of the accident would carry out this chap-
ter.
(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 participation by other departments, agencies,
or instrumentalities in the investigation. However, those departments, agen-
cies, or instrumentalities 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 department, agency,
or instrumentality of the Government to investigate an accident under appli-
cable 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 inves-
tigate and establish the facts, circumstances, and cause or probable cause
of a marine accident involving a public vessel and any other vessel. The re-
sults of the investigation shall be made available to the public.
(2) Paragraph (1) of this subsection and subsection (a)(1)(E) of this sec-
tion 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 NON-
FEASANCE.—(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 cir-
cumstances of each accident investigated by it under subsection (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 authorities, each
accident involving both military and civil aircraft.
(2) A person employed under section 1113(b)(1) of this title that is con-
ducting 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 regula-
tions governing the notification and reporting of accidents involving civil air-
craft.
(c) PARTICIPATION OF SECRETARY.—The Board shall provide for the
participation of the Secretary of Transportation in the investigation of an
aircraft accident under this chapter when participation is necessary to carry
out the duties and powers of the Secretary. However, the Secretary may not
participate in establishing probable cause.
(d) ACCIDENTS INVOLVING ONLY MILITARY AIRCRAFT.—If an accident
involves only military aircraft and a duty of the Secretary is or may be in-
volved, the military authorities shall provide for the participation of the Sec-
retary. In any other accident involving only military aircraft, the military
authorities shall give the Board or Secretary information the military au-
thorities 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 Transportation 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, docu-
ment, 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 pen-
alty 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 inspec-
tion authority, may enter property where a transportation accident has
occurred or wreckage from the accident is located and do anything nec-
essary to conduct an investigation; and
(2) during reasonable hours, may inspect any record, process, con-
trol, or facility related to an accident investigation under this chapter.
(b) INSPECTION, TESTING, PRESERVATION, AND MOVING OF AIRCRAFT
AND PARTS.—(1) In investigating an aircraft accident under this chapter,
the Board may inspect and test, to the extent necessary, 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 regulations of the Board.
(c) AVOIDING UNNECESSARY INTERFERENCE
AND PRESERVING EVI-
DENCE.—In carrying out subsection (a)(1) of this section, an officer or em-
ployee may examine or test any vehicle, vessel, rolling stock, track, or pipe-
line component. The examination or test shall be conducted in a way that—
(1) does not interfere unnecessarily with transportation services pro-
vided 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 investigation and with the co-
operation of that owner or operator.
(d) EXCLUSIVE AUTHORITY OF BOARD.—Only the Board has the author-
ity to decide on the way in which testing under this section will be con-
ducted, 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 in-
spection, 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 religious beliefs related to autop-
sies 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
recommendations
(a) GENERAL.—When the National Transportation Safety Board submits
a recommendation about transportation safety to the Secretary of Transpor-
tation, the Secretary shall give a formal written response to each rec-
ommendation 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 recommendation;
(2) to carry out procedures to adopt a part of the recommendation;
or
(3) to refuse to carry out procedures to adopt the recommendation.
(b) TIMETABLE FOR COMPLETING PROCEDURES AND REASONS FOR RE-
FUSALS.—A response under subsection (a)(1) or (2) of this section shall in-
clude a copy of a proposed timetable for completing the procedures. A re-
sponse under subsection (a)(2) of this section shall detail the reasons for
the refusal to carry out procedures on the remainder of the recommenda-
tion. A response under subsection (a)(3) of this section shall detail the rea-
sons for the refusal to carry out procedures.
(c) PUBLIC AVAILABILITY.—The Board shall make a copy of each rec-
ommendation and response available to the public at reasonable cost.
(d) REPORTS TO CONGRESS.—The Secretary shall submit to Congress on
January 1 of each year a report containing each recommendation on trans-
portation safety made by the Board to the Secretary during the prior year
and a copy of the Secretary’s response to each recommendation.
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 sections. An action under this subsection may be
brought in the judicial district in which the person does business or the vio-
lation occurred.
(b) CIVIL ACTIONS BY ATTORNEY GENERAL.—On request of the Board,
the Attorney General may bring a civil action in an appropriate 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 prescribed or order
issued under any of those sections; and
(2) to prosecute a person violating those sections or a regulation pre-
scribed or order issued under any of those sections.
(c) PARTICIPATION OF BOARD.—On request of the Attorney General, 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 consideration 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 regula-
tion 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 Transportation 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 MATTERS.—(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 subsection, 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 juris-
diction to affirm, amend, modify, or set aside any 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 MAT-
TERS.—When the Administrator of the Federal Aviation Administration de-
cides 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 mate-
rial
(a) TRANSCRIPTS AND RECORDINGS.—(1) Except as provided by this
subsection, a party in a judicial proceeding may not use discovery to ob-
tain—
(A) any part of a cockpit voice recorder transcript that the National
Transportation Safety Board has not made available 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 sec-
tion 1114(c) of this title does not provide the party with sufficient in-
formation for the party to receive a fair trial; and
(ii) discovery of additional parts of the transcript is necessary to pro-
vide 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 suffi-
cient 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.
(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 re-
cording to any person that does not need access to the part of the tran-
script or the recording for the proceeding.
(B) A court may allow 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 to be admitted into evidence in a judicial proceed-
ing, 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 recommenda-
tions.
(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 re-
port.
§ 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 viola-
tion 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 per-
forming official duties. The appropriate military authorities are responsible
for taking necessary disciplinary 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 lia-
ble 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 con-
form 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 acci-
dent, 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.
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 mate-
rial 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 jurisdiction 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 Sec-
retary 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 de-
cides 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—
(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 transportation;
(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 com-
merce; or
(iii) manufacturing, reconditioning, or testing containers,
drums, and packages represented as qualified 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, carrying out an activity de-
scribed in subclause (A)(i), (ii), or (iii) of this clause (4).
(5) ‘‘imminent hazard’’ means the existence of a condition that pre-
sents a substantial likelihood that death, serious illness, severe personal
injury, or a substantial endangerment to health, property, or the envi-
ronment 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 es-
tablished under the national contingency plan established 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 gov-
ernment or tribe offering hazardous material for transportation in
commerce or transporting hazardous material to further a com-
mercial enterprise; but
(B) does not include—
(i) the United States Postal Service; and
(ii) in sections 5123 and 5124 of this title, a department,
agency, or instrumentality of the Government.
(10) ‘‘public sector employee’’—
(A) means an individual employed by a State, political subdivi-
sion of a State, or Indian tribe and who during the course of em-
ployment 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 subdivi-
sion of a State, or Indian tribe as a firefighter or law enforcement
officer; and
(C) includes an individual who volunteers to serve as a fire-
fighter 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 Mari-
ana Islands, the Virgin Islands, American 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 prop-
erty 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 Trans-
portation shall designate material (including an explosive, radioactive mate-
rial, etiologic agent, flammable or combustible liquid or solid, poison, oxidiz-
ing or corrosive material, and compressed gas) or a group or class of mate-
rial 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 Secretary 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, recondi-
tioning, repairing, or testing a package or container that is rep-
resented, marked, certified, or sold by that person 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 other-
wise, that—
(1) a container or package for transporting hazardous material is
safe, certified, or complies with this chapter only if the container or
package meets the requirements of each regulation prescribed under
this chapter; or
(2) hazardous material is present in a package, container, motor ve-
hicle, 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 Sec-
retary of Energy, the Nuclear Regulatory Commission, potentially affected
States and Indian tribes, representatives of the rail transportation industry,
and shippers of high-level radioactive waste and spent nuclear fuel, the Sec-
retary of Transportation shall conduct 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 transpor-
tation 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 Novem-
ber 16, 1992, after considering the results of the study conducted under
subsection (b) of this section, the Secretary of Transportation shall pre-
scribe amendments to existing regulations that the Secretary considers ap-
propriate to provide for the safe rail transportation of high-level radioactive
waste and spent nuclear fuel, including trains operated only for transporting
high-level radioactive 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 fac-
tors, 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 in-
clude—
(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 MATE-
RIAL.—(1) Not later than November 16, 1991, the Secretary of Transpor-
tation 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 regula-
tions. 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-controlled quantity of radioactive
material, to inspect the motor vehicle used to transport the material and
to certify that the vehicle complies with this chapter. The inspector quali-
fication requirements the Secretary prescribes for an individual inspecting
a motor vehicle apply to an individual conducting an inspection under this
paragraph.
§ 5106. Handling criteria
The Secretary of Transportation may prescribe criteria for handling haz-
ardous 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 han-
dling and transporting the hazardous material; and
(6) a system of monitoring safety procedures for transporting 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 trans-
portation of hazardous material. The regulations—
(1) shall establish the date, as provided by subsection (b) of this sec-
tion, by which the training shall be completed; and
(2) may provide for different training for different classes or cat-
egories 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 Transportation 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 Secretary of Trans-
portation may require by regulation, that the hazmat employees of the em-
ployer have received training and have been tested on appropriate transpor-
tation areas of responsibility, including at least one of the following:
(1) recognizing and understanding the Department of Transpor-
tation 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 material.
(4) health, safety, and risk factors associated with hazardous mate-
rial 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 Guidebook and
recognition of its limitations or the use of equivalent documents and
recognition of the limitations of those documents.
(7) applicable hazardous material transportation regulations.
(8) personal protection techniques.
(9) preparing a shipping document for transporting hazardous mate-
rial.
(d) COORDINATION OF TRAINING REQUIREMENTS.—In consultation with
the Administrator of the Environmental Protection Agency and the Sec-
retary of Labor, the Secretary of Transportation shall ensure that the train-
ing 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 emergency response that are
contained in part 1910 of title 29, Code of Federal Regulations; and
(2) the regulations the Agency prescribes related to worker protec-
tion 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 Trans-
portation 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 employ-
ees; 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 subsections (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.
§ 5108. Registration
(a) PERSONS REQUIRED TO FILE.—(1) A person shall file a registration
statement with the Secretary of Transportation under this subsection if the
person is transporting or causing to be transported 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 inhalation.
(D) hazardous material in a bulk package, container, or tank, as de-
fined 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 per-
sons to file a registration statement with the Secretary under this sub-
section:
(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, re-
conditioning, repairing, or testing a package or container the person
represents, marks, certifies, or sells for use in transporting in com-
merce hazardous material the Secretary designates.
(3) A person required to file a registration statement under this sub-
section may transport or cause to be transported, or manufacture, 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 registration
statement under subsection (a) of this section shall be in the form and con-
tain information the Secretary of Transportation requires by regulation. The
Secretary may use existing forms of the Department of Transportation and
the Environmental Protection Agency to carry out this subsection. The
statement shall include—
(A) the name and principal place of business of the registrant;
(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 registra-
tion 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 31, 1992. The Secretary of Trans-
portation may extend that date to September 30, 1992, for activities re-
ferred to in subsection (a)(1) of this section. A person shall renew the state-
ment 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 statement.
(d) SIMPLIFYING
THE
REGISTRATION
PROCESS.—The Secretary of
Transportation may take necessary action to simplify the registration proc-
ess 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 En-
vironmental 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 ob-
jectives of subsections (a)–(g)(1) and (h).
(f) AVAILABILITY OF STATEMENTS.—The Secretary of Transportation
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 de-
scribed in section 552(f) of title 5 or otherwise protected by law from disclo-
sure 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 Sec-
retary in processing the statement.
(2)(A) In addition to a fee established under paragraph (1) of this sub-
section, the Secretary of Transportation shall establish and impose by regu-
lation and collect an annual fee. Subject to subparagraph (B) of this para-
graph, 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 Sec-
retary shall determine 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 trans-
ported.
(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 fil-
ing a registration statement is required under this section.
(vi) the threat to property, individuals, and the environment from an
accident or incident involving the hazardous material transported or
caused to be transported.
(vii) the percentage of gross revenue derived from transporting haz-
ardous 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.
(B) The Secretary of Transportation shall adjust the amount being col-
lected under this paragraph to reflect any unexpended balance in the ac-
count 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 Secretary of the
Treasury amounts the Secretary of Transportation collects under this para-
graph for deposit in the account the Secretary of the Treasury establishes
under section 5116(i) of this title.
(h) MAINTAINING PROOF OF FILING AND PAYMENT OF FEES.—The Sec-
retary of Transportation may prescribe regulations requiring a person re-
quired to file a registration statement under subsection (a) of this section
to maintain proof of the filing and payment of fees imposed under sub-
section (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 department,
agency, or instrumentality of the United States Government, an authority
of a State or political subdivision of a State, or an employee of a depart-
ment, agency, instrumentality, or authority carrying out official duties.
§ 5109. Motor carrier safety permits
(a) REQUIREMENT.—A motor carrier may transport or cause to be trans-
ported by motor vehicle in commerce hazardous material only if the carrier
holds a safety permit the Secretary of Transportation issues under this sec-
tion 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 Secretary pre-
scribes 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 prescribe by
regulation the hazardous material and amounts of hazardous 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 material, 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 applica-
tion. The application shall be under oath and contain information the Sec-
retary requires by regulation.
(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 sub-
section (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 scheduling a hearing.
(e) PROCEDURES.—The Secretary shall prescribe by regulation—
(1) application procedures, including form, content, and fees nec-
essary to recover the complete cost of carrying out this section;
(2) standards for deciding the duration, terms, and limitations 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 au-
thorizing the transportation.
(g) CONDITIONS.—A motor carrier may provide transportation under a
safety permit issued under this section only if the carrier complies with con-
ditions 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 transpor-
tation in commerce hazardous material to which the shipping paper require-
ments 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 subsection
(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 im-
mediately); and
(5) a telephone number for obtaining more specific handling and
mitigation information about the hazardous material at any time dur-
ing which the material is transported.
(c) KEEPING SHIPPING PAPERS ON THE VEHICLE.—(1) A motor carrier,
and the person offering the hazardous material for transportation if a pri-
vate 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 de-
partment, agency, or instrumentality of the United States Government
or a State or local authority responding to an accident or incident in-
volving the motor vehicle, train, vessel, aircraft, or facility.
(d) DISCLOSURE TO EMERGENCY RESPONSE AUTHORITIES.—When an
incident involving hazardous material being transported in commerce 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 at-
tachments of the car comply with the standards for attachments contained
in sections 179.100-16 and 179.200-19 of title 49, Code of Federal Regula-
tions, 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 Transportation by regulation may extend applica-
tion 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 haz-
ardous material in commerce; and
(B) any motor vehicle used to transport hazardous material in com-
merce.
(2) Except as provided by subsection (d) of this section and section
5125(c) of this title, each State and Indian tribe may establish, 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 routing.
(b) STANDARDS FOR STATES AND INDIAN TRIBES.—(1) The Secretary,
in consultation with the States, shall prescribe by regulation standards for
States and Indian tribes to use in carrying out subsection (a) of this sec-
tion. 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;
(B) minimum procedural requirements to ensure public participation
when the State or Indian tribe is establishing a highway routing des-
ignation, limitation, or requirement;
(C) a requirement that, in establishing a highway routing designa-
tion, 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 designation, 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 designa-
tion, 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 unrea-
sonable burden on commerce;
(F) a requirement that establishing a highway routing designation,
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, fa-
cilities 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 routing designation, limita-
tion, or requirement; and
(ii) for resolving a dispute between political subdivisions; 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.
(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 designations.
(d) DISPUTE RESOLUTION.—(1) The Secretary shall prescribe regulations
for resolving a dispute related to through highway routing or to an agree-
ment with a proposed highway route designation, 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 re-
solve 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 Sec-
retary receives the petition.
(B) A State or Indian tribe adversely affected by a decision of the Sec-
retary 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 regulations pre-
scribed 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 regulations 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 unsat-
isfactory 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 re-
sulted 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 instru-
mentality of the United States Government may not use a motor carrier
that has an unsatisfactory rating from the Secretary—
(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 Secretary,
in consultation with the Interstate Commerce Commission, shall prescribe
regulations amending the motor carrier safety regulations 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 Sec-
retary.
§ 5114. Air transportation of ionizing radiation material
(a) TRANSPORTING IN AIR COMMERCE.—Material that emits ionizing ra-
diation 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 diag-
nosis 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 prescribe pro-
cedures for monitoring and enforcing regulations prescribed under this sec-
tion.
(c) NONAPPLICATION.—This section does not apply to material the Sec-
retary 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 Commission, Administrator of
the Environmental Protection Agency, Secretaries of Labor, Energy, and
Health and Human Services, and Director of the National Institute of Envi-
ronmental Health Sciences, and using the existing coordinating mechanisms
of the national response team and, for radioactive material, the Federal Ra-
diological Preparedness Coordinating Committee, the Secretary of Transpor-
tation shall develop and update periodically a curriculum consisting of a list
of courses necessary to train public sector emergency response and pre-
paredness teams. Only in developing the curriculum, the Secretary of Trans-
portation shall consult with regional response teams established under the
national contingency plan established under section 105 of the Comprehen-
sive Environmental Response, Compensation, and Liability Act of 1980 (42
U.S.C. 9605), representatives of commissions established under section 301
of the Emergency Planning and Community Right-To-Know Act of 1986
(42 U.S.C. 11001), persons (including governmental entities) that provide
training for responding to accidents and incidents involving the transpor-
tation of hazardous material, and representatives of persons that respond
to those accidents and incidents.
(b) REQUIREMENTS.—The curriculum developed under subsection (a) of
this section—
(1) shall include—
(A) a recommended course of study to train public sector em-
ployees to respond to an accident or incident involving the trans-
portation 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 material and to plan those re-
sponses; and
(C) appropriate emergency response training and planning pro-
grams 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 sub-
section.
(c) TRAINING ON COMPLYING WITH LEGAL REQUIREMENTS.—A rec-
ommended 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 Regula-
tions, 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 prescribed 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 committees and commissions estab-
lished 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 sec-
tor employees to respond to an accident or incident involving the trans-
portation of hazardous material.
§ 5116. Planning and training grants, monitoring, and re-
view
(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 hazard-
ous material in a State and between States; and
(B) to decide on the need for a regional hazardous material emer-
gency 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, 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 established 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 re-
spond 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 material 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 acci-
dent 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 sub-
section 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 training;
(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 sub-
division 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 avail-
able for grants under this subsection for a fiscal year 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 transported in the
State or on that land;
(C) whether the State or tribe imposes and collects a fee on trans-
porting 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 Community Right-To-Know Act of 1986 (42
U.S.C. 11001, 11003).
(d) APPLICATIONS.—A State or Indian tribe interested in receiving 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 Environ-
mental Protection Agency, and Director of the National Institute of Envi-
ronmental Health Sciences, the Director of the Federal Emergency Manage-
ment Agency shall monitor public sector emergency response planning and
training for an accident or incident involving hazardous material. Consider-
ing the results of the monitoring, the Secretaries, Administrator, and Direc-
tors each shall provide technical assistance to a State, political subdivision
of a State, or Indian tribe for carrying out emergency response training and
planning for an accident or incident involving hazardous material and shall
coordinate the assistance using the existing coordinating mechanisms of the
national response team and, for radioactive material, the Federal Radiologi-
cal Preparedness Coordinating 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 Management Agency and National Institute of
Environmental Health Sciences, Chairman of the Nuclear Regulatory Com-
mission, 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.
(3) authority to review applications to recommend approval or dis-
approval.
(4) any other ministerial duty associated with grants under this sec-
tion.
(h) MINIMIZING DUPLICATION OF EFFORT AND EXPENSES.—The Sec-
retaries of Transportation, Labor, and Energy, Directors of the Federal
Emergency Management Agency and National Institute of Environmental
Health Sciences, Chairman of the Nuclear Regulatory Commission, and Ad-
ministrator of the Environmental Protection Agency shall review periodi-
cally, with the head of each department, agency, or instrumentality of the
Government, all emergency response and preparedness training programs of
that department, agency, or instrumentality to minimize duplication of ef-
fort 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 Sec-
retary of the Treasury shall establish an account in the Treasury into which
the Secretary of the Treasury shall deposit amounts the Secretary of Trans-
portation 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 subsection (f)
of this section; and
(3) to pay administrative costs of carrying out this section and sec-
tions 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 pre-
scribed by regulation, the Secretary of Transportation may issue an exemp-
tion 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 pre-
scribed by the Secretary that justifies the exemption. 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—
(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 Water-
ways 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 authorized for the fiscal year that
ended September 30, 1990, for the Federal Railroad Administration, the
Federal Highway Administration, and the Research and Special Programs
Administration.
(b) ALLOCATION TO PROMOTE SAFETY IN TRANSPORTING RADIOACTIVE
MATERIAL.—(1) The Secretary shall ensure that 10 of the 30 additional in-
spectors focus on promoting safety in transporting radioactive material, as
defined by the Secretary, including inspecting—
(A) at the place of origin, shipments of high-level radioactive 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 radioactive ma-
terial that are not high-level radioactive waste or nuclear spent mate-
rial.
(2) In carrying out their duties, those 10 additional inspectors shall co-
operate to the greatest extent possible with safety inspectors of the Nuclear
Regulatory Commission and appropriate State and local government offi-
cials.
(3) Those 10 additional inspectors shall be allocated as follows:
(A) one to the Research and Special Programs Administration.
(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 ad-
ministrations referred to in subsection (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 rep-
resentatives of the National Governors’ Association, the National Associa-
tion of Counties, the National League of Cities, the United States Con-
ference of Mayors, and the National Conference 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 registration and
permit forms and collection of filing fees to the State in which the per-
son 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 re-
quirements 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 Sen-
ate, 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 sub-
section (a) of this section.
(c) REGULATIONS ON RECOMMENDATIONS.—(1) The Secretary shall pre-
scribe regulations to carry out the recommendations contained 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 requirement 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 guidance
and direction from the Secretary of State, the Secretary of Transportation
shall participate in international forums that establish or recommend man-
datory standards and requirements for transporting hazardous material in
international commerce.
(b) CONSULTATION.—The Secretary of Transportation may consult with
interested authorities to ensure that, to the extent practicable, 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 REQUIRE-
MENTS.—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 require-
ment more stringent than a requirement included in a standard adopt-
ed by an international authority if the Secretary decides the require-
ment is necessary in the public interest.
§ 5121. Administrative
(a) GENERAL AUTHORITY.—To carry out this chapter, the Secretary of
Transportation may investigate, make reports, issue subpenas, conduct
hearings, require the production of records and property, take depositions,
and conduct research, development, demonstration, and training activities.
After notice and an opportunity for a hearing, the Secretary may issue an
order requiring compliance 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 information the Sec-
retary 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 reasonable way, records
and property related to—
(A) manufacturing, fabricating, marking, maintaining, recondition-
ing, repairing, testing, or distributing a package or container for use
by a person in transporting hazardous material 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, with-
in the United States Government, the capability of evaluating a risk
related to the transportation of hazardous material and material al-
leged to be hazardous;
(B) maintain a central reporting system and information center ca-
pable of providing information and advice to law enforcement and fire-
fighting personnel, other interested individuals, and officers and em-
ployees 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 transporting haz-
ardous material to decide on and take appropriate actions to ensure
safe transportation of hazardous material.
(2) Paragraph (1) of this subsection does not prevent the Secretary 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 President, 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 regulations, cri-
teria, orders, and exemptions;
(3) a summary of the basis for each exemption;
(4) an evaluation of the effectiveness of enforcement activities 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 Transportation, the
Attorney General may bring a civil action in an appropriate 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 ap-
propriate district court of the United States—
(A) to suspend or restrict the transportation of the hazardous mate-
rial responsible for the hazard; or
(B) to eliminate or ameliorate the hazard.
(2) On request of the Secretary, the Attorney General shall bring an ac-
tion 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;
(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 miscellaneous receipts.
§ 5124. Criminal penalty
A person knowingly violating section 5104(b) of this title or willfully vio-
lating 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 subsection
(c) of this section, a law, regulation, order, or other requirement 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 ma-
terial.
(B) the packing, repacking, handling, labeling, marking, and
placarding of hazardous material.
(C) the preparation, execution, and use of shipping documents relat-
ed to hazardous material and requirements related to the number, con-
tents, and placement of those documents.
(D) the written notification, recording, and reporting of the uninten-
tional release in transportation of hazardous material.
(E) the design, manufacturing, fabricating, marking, maintenance,
reconditioning, repairing, or testing of a package or container rep-
resented, marked, certified, or sold as qualified for use in transporting
hazardous material.
(2) If the Secretary of Transportation prescribes or has prescribed under
section 5103(b), 5104, 5110, or 5112 of this title or prior comparable provi-
sion of law a regulation or standard related to a subject referred to in para-
graph (1) of this subsection, a State, political subdivision of a State, or In-
dian tribe may prescribe, issue, maintain, and enforce only a law, regulation,
standard, or order about the subject that is substantively the same as a pro-
vision 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 stand-
ard about any of those subjects that the Secretary prescribes after Novem-
ber 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 en-
force a highway routing designation 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 require-
ment complies with section 5112(b).
(2)(A) A highway routing designation, limitation, or requirement estab-
lished 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 established 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 designa-
tion, limitation, or requirement is resolved under section 5112(d) of this
title.
(d) DECISIONS ON PREEMPTION.—(1) A person (including a State, politi-
cal 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 pro-
vided by regulations prescribed by the Secretary, for a decision on whether
the requirement is preempted by subsection (a), (b)(1), or (c) of this sec-
tion. 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 In-
dian tribes, the Secretary shall prescribe regulations for carrying out para-
graph (1) of this subsection.
(3) Subsection (a) of this section does not prevent a State, political sub-
division of a State, or Indian tribe, or another person directly affected by
a requirement, from seeking a decision on preemption from a court of com-
petent jurisdiction instead of applying 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 pre-
empted 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 require-
ments 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, in-
cluding enforcement and planning, developing, 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 manufactures, fabricates, marks,
maintains, reconditions, repairs, or tests a package or container that the
person represents, marks, certifies, or sells as qualified for use in transport-
ing hazardous material must comply with this chapter, regulations pre-
scribed and orders issued under this chapter, and all other requirements of
the Government, 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, manu-
facturing, fabricating, marking, maintenance, reconditioning, repairing, or
testing that is in or affects commerce must comply with the provision, regu-
lation, 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 regulations 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 September 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 avail-
able to the Director of the National Institute of Environmental 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 sec-
tion 5107(e) of this title.
(c) TRAINING CURRICULUM.—(1) Not more than $1,000,000 is available
to the Secretary of Transportation from the account established under sec-
tion 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 available 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 avail-
able 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 Transpor-
tation 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 sec-
tion 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 Environ-
mental Health Sciences.
(e) UNIFORM FORMS AND PROCEDURES.—Not more than $400,000 may
be appropriated to the Secretary of Transportation for the fiscal year end-
ing September 30, 1993, to carry out section 5119 of this title.
(f) CREDITS TO APPROPRIATIONS.—The Secretary of Transportation 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 subsections
(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 improve-
ment 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 disabil-
ities.
5311.
Financial assistance for other than urbanized areas.
5312.
Research, development, demonstration, and training projects.
5313.
State planning and research programs.
5314.
National planning and research programs.
5315.
National mass transportation institute.
5316.
University research institutes.
5317.
Transportation centers.
5318.
Bus testing facility.
5319.
Bicycle facilities.
5320.
Suspended light rail system technology pilot project.
5321.
Crime prevention and security.
5322.
Human resource programs.
5323.
General provisions on assistance.
5324.
Limitations on discretionary and special needs grants and loans.
5325.
Contract requirements.
5326.
Special procurements.
5327.
Project management oversight.
5328.
Project review.
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 development of transpor-
tation 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 generally 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 move-
ment of people and goods within those areas, and the effectiveness of
programs aided by the United States Government 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 effi-
cient, economical, and convenient transportation in and between urban
areas;
(4) for many years the mass transportation industry capably 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 maintain-
ing 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 car-
rying out, projects in the early 1970’s to revitalize their mass transpor-
tation operations;
(7) significant mass transportation improvements are necessary to
achieve national goals for improved air quality, energy conservation,
international competitiveness, and mobility for elderly individuals, indi-
viduals with disabilities, and economically disadvantaged individuals in
urban and rural areas of the United States;
(8) financial assistance by the Government to develop efficient 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 trans-
portation service.
(c) RAPID URBANIZATION AND CONTINUING POPULATION DISPERSAL.—
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 DISABILITIES.—It is
the policy of the Government that elderly individuals and individuals with
disabilities have the same right as other individuals to use mass transpor-
tation 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 dis-
abilities. 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 coun-
tryside, 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 cooperation 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 cooperation of public and private mass transpor-
tation companies;
(3) to assist States and local governments and their authorities 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 governments
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 finan-
cial assistance from the Government, to satisfy its urban mass trans-
portation requirements.
§ 5302. Definitions
(a) GENERAL.—In this chapter—
(1) ‘‘capital project’’ means a project for—
(A) acquiring, constructing, supervising, or inspecting equip-
ment or a facility for use in mass transportation, expenses inciden-
tal to the acquisition or construction (including designing, engi-
neering, location surveying, mapping, and acquiring rights of way),
relocation assistance, acquiring replacement housing sites, and ac-
quiring, constructing, relocating, and rehabilitating replacement
housing;
(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 oth-
erwise 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 in-
tent; or
(iii) would damage seriously a person or class without serv-
ing 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 ve-
hicles; 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 tem-
porary or permanent disability (including an individual who is a wheel-
chair user or has semiambulatory capability), cannot use effectively,
without special facilities, planning, or design, mass transportation serv-
ice 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 subdivision of
a State;
(C) an Indian tribe; and
(D) a public corporation, board, or commission established
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 schoolbus, 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
(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 par-
ticular 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 Co-
lumbia, Puerto Rico, the Northern Mariana Islands, Guam, American
Samoa, and the Virgin Islands.
(12) ‘‘urban area’’ means an area that includes a municipality or
other built-up place that the Secretary of Transportation, after consid-
ering local patterns and trends of urban growth, decides is appropriate
for a local mass transportation system to serve individuals in the local-
ity.
(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 Secretary of Trans-
portation.
(b) AUTHORITY TO MODIFY ‘‘HANDICAPPED INDIVIDUAL’’.—The Sec-
retary of Transportation by regulation may modify the definition of sub-
section (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 pe-
destrian walkways and bicycle transportation facilities) that will function as
an intermodal transportation system for the State, metropolitan area, and
United States. The development process shall provide for consideration of
all modes of transportation and shall be continuing, cooperative, and com-
prehensive to the degree appropriate, based on the complexity of the trans-
portation 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 fa-
cilities more efficiently.
(2) the consistency of transportation planning with United States
Government, State, and local energy conservation programs, goals, and
objectives.
(3) the need to relieve congestion and prevent congestion from occur-
ring.
(4) the likely effect of transportation policy decisions on land use
and development and the consistency of transportation plans and pro-
grams with short- and long-term land use and development plans.
(5) programming expenditures on transportation enhancement activi-
ties, as required under section 133 of title 23.
(6) the effects of all transportation projects to be undertaken in the
metropolitan area, without regard to whether the projects are publicly
financed.
(7) international border crossings and access to ports, airports, inter-
modal transportation facilities, major freight distribution routes, na-
tional parks, recreation areas, monuments and historic sites, and mili-
tary 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 sys-
tems 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 trans-
portation 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, tun-
nels, and pavement.
(13) the overall social, economic, energy, and environmental effects
of transportation decisions.
(14) ways to expand and enhance mass transportation services and
to increase usage of those services.
(15) capital investments that will result in increased security in mass
transportation systems.
(c) DESIGNATING METROPOLITAN PLANNING ORGANIZATIONS.—(1) To
carry out the planning process required by this section, a metropolitan plan-
ning organization shall be designated for each urbanized area with a popu-
lation 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 af-
fected 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 organization, if redesignated
after December 18, 1991, shall include local elected officials, officials of au-
thorities 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 sub-
section; or
(B) revoked—
(i) by agreement of the chief executive officer and units of gen-
eral local government representing at least 75 percent of the af-
fected 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 population (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 re-
quest of one or more units of general local government representing 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 non-
attainment 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 pro-
cedures established to carry out this paragraph.
(6) This subsection does not affect the authority, under State law in ef-
fect on December 18, 1991, of a public authority with multimodal transpor-
tation responsibilities—
(A) to develop plans and programs for a metropolitan planning orga-
nization to adopt; and
(B) to develop long-range capital plans, coordinate mass transpor-
tation services and projects, and carry out other activities under State
law.
(d) METROPOLITAN AREA BOUNDARIES.—To carry out this section, the
metropolitan planning organization and the chief executive officer shall de-
cide by agreement on the boundaries of a metropolitan 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 Statistical Area or Consolidated Metropolitan Statistical Area,
as defined by the Secretary of Commerce. An area designated as an non-
attainment 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 nonattain-
ment 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 execu-
tive officers and metropolitan planning organizations with responsibility for
part of a multi-State metropolitan area to provide coordinated transpor-
tation 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 nonattainment 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, according to a schedule
the Secretary of Transportation decides is appropriate, a long-range plan
for its metropolitan area under the requirements of this section. The plan
shall be in the form the Secretary considers appropriate and at least shall—
(A) identify transportation facilities (including major roadways, mass
transportation, and multimodal and intermodal facilities) that should
function as an integrated metropolitan transportation system, empha-
sizing 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 reason-
ably 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 necessary—
(i) to ensure the preservation of the existing metropolitan trans-
portation system, including requirements for operational improve-
ments, resurfacing, restoration, and rehabilitation of existing and
future major roadways, and operations, maintenance, moderniza-
tion, and rehabilitation of existing and future mass transportation
facilities; and
(ii) to use existing transportation facilities most efficiently to re-
lieve vehicular congestion and maximize the mobility of individuals
and goods; and
(D) indicate appropriate proposed transportation enhancement ac-
tivities.
(2) When formulating a long-range plan, the metropolitan planning orga-
nization 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 coordinate 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 planning orga-
nization shall provide citizens, affected public agencies, representatives of
mass transportation authority employees, private providers of transpor-
tation, and other interested parties with a reasonable opportunity to com-
ment on the plan in a way the Secretary of Transportation considers appro-
priate.
(5) A long-range plan shall be—
(A) made readily available for public review; and
(B) submitted for information purposes to the chief executive 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 govern-
mental authorities, and authorities of the States and governmental authori-
ties, or may make agreements with other departments, agencies, and instru-
mentalities of the Government, to plan, engineer, design, and evaluate a
mass transportation project and for other technical studies, including—
(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 prepara-
tion 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 com-
prehensive transportation planning 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 percent 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 provides an ap-
propriate distribution for urbanized areas to carry out the cooperative
processes described in this section.
(C) A State shall make amounts available promptly to eligible metropoli-
tan planning organizations according to procedures the Secretary of Trans-
portation approves.
(3)(A) The Secretary of Transportation shall apportion 20 percent 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 section 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 Secretary 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
(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 af-
fected mass transportation operators, a metropolitan planning organization
designated for a metropolitan area shall develop a transportation improve-
ment program for the area. In developing the program, the organization
shall provide citizens, affected public agencies, representatives of transpor-
tation 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 up-
dated 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 metropoli-
tan 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 metropolitan planning organi-
zation, shall select projects in a metropolitan area that involves United
States Government participation. Selection shall comply with the transpor-
tation 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 pe-
riod estimated for completion.
(d) NOTICE AND COMMENT.—Before approving a transportation improve-
ment program, a metropolitan planning organization shall provide citizens,
affected public agencies, representatives of transportation agency employees,
private providers of transportation, and other interested parties with reason-
able notice and an opportunity to comment on the proposed program.
(e) REGULATORY PROCEEDING.—Not later than June 18, 1992, the Sec-
retary of Transportation shall begin a regulatory proceeding to conform re-
view requirements for mass transportation projects under the National En-
vironmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) to comparable re-
quirements 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 mass transportation or highway projects. A mass transpor-
tation 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 designate 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 or-
ganization 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 continu-
ing and comprehensive transportation planning 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 transpor-
tation management area shall include a congestion management system pro-
viding for effective management, through travel demand reduction and oper-
ational 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 transportation manage-
ment 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 Inter-
state Maintenance programs.
(B) In cooperation with the metropolitan planning organization des-
ignated 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 transpor-
tation 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 Secretary 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 certifi-
cation only if the organization is complying with section 134 of title 23 and
other applicable requirements of laws of the United States and the organiza-
tion and chief executive officer have approved a transportation improvement
program for the area.
(2) If the Secretary does not certify before October 1, 1993, that a met-
ropolitan planning organization is carrying out its responsibilities, the Sec-
retary may withhold any part of the apportionment under section 104(b)(3)
of title 23 attributed to the relevant metropolitan area under section
133(d)(3) of title 23 and capital amounts apportioned under section 5336
of this title. If an organization remains uncertified for more than 2 consecu-
tive years after September 30, 1994, 20 percent of that apportionment and
capital amounts shall be withheld. The withheld apportionments shall be re-
stored 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 participation.
(f) 
ADDITIONAL
REQUIREMENTS
FOR
CERTAIN
NONATTAINMENT
AREAS.—Government amounts may be made available for a mass transpor-
tation project resulting in a significant increase in carrying capacity for sin-
gle occupant vehicles in a transportation management 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 conges-
tion management system.
(g) AREAS NOT DESIGNATED TRANSPORTATION MANAGEMENT AREAS.—
(1) The Secretary may provide for the development of abbreviated metro-
politan transportation plans and programs the Secretary decides are appro-
priate 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 transpor-
tation problems 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 enterprise. If equipment or a fa-
cility already being used in an urban area is to be acquired under this chap-
ter, 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 require-
ment 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 equipment, 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—
(A) a person designated, consistent with the planning process
under sections 5303–5306 of this title, by the chief executive offi-
cer of a State, responsible local officials, and publicly owned opera-
tors of mass transportation to receive and apportion amounts
under section 5336 of this title that are attributable to transpor-
tation 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 transportation; 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 plan-
ning, improvement, and operating costs of equipment, facilities, and associ-
ated 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 highway project if—
(A) that use is approved by the metropolitan planning organization
under section 5303 of this title after appropriate notice and an oppor-
tunity for comment and appeal is provided to affected mass transpor-
tation 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 transpor-
tation, subject to regulations the Secretary prescribes limiting the grant to
leasing arrangements that are more cost effective than acquisition or con-
struction.
(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 per-
cent of the current fair market value of rolling stock comparable to the roll-
ing 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 recipi-
ent proposes to undertake;
(2) develop, in consultation with interested parties, including 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 program and submit
comments on the proposed program and the performance of the recipi-
ent;
(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 co-
ordination 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 program 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 sec-
tion 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 individuals, 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 ap-
proved by the Secretary);
(ii) will not use a procurement that uses exclusionary or
discriminatory specifications; and
(iii) will comply with applicable Buy-American laws in car-
rying out a procurement;
(F) has complied with subsection (c) of this section;
(G) has available and will provide the required amounts as pro-
vided 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 consider 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 transportation
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 tele-
phone line to contact law enforcement or security personnel in an
area in or adjacent to that system, and any other project intended
to increase the security and safety of an existing or planned mass
transportation system, at least one percent of the amount the re-
cipient 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 Government 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 ex-
penses 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 re-
placement 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 ur-
banized 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 sub-
section, the Secretary may not reduce the amount of operating assistance
approved for another State or a local transportation authority within the af-
fected urbanized areas.
(g) UNDERTAKING PROJECTS IN ADVANCE.—(1) When a recipient obli-
gates 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 pro-
cedures and requirements limit a State to carrying out a project with
amounts of the Government 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 appropriated for the fis-
cal year to carry out this section is appropriated; less
(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 Secretary shall
prescribe streamlined administrative procedures for complying with the cer-
tification 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 inde-
pendently, reviews and audits the Secretary considers appropriate to estab-
lish whether the recipient has carried out—
(i) the activities proposed under subsection (d) of this section 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 pro-
gram, specifically referring to compliance with statutory and administrative
requirements and the extent to which actual program activities are consist-
ent 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 appro-
priate 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 subsection
(d) of this section and any additional certification required by law to be sub-
mitted 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 Sec-
retary 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 for Federal Procurement Policy,
the Secretary decides the system provides for competitive procurement. Ap-
proval 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 mainte-
nance if existing ferry service is not reduced significantly by operating out-
side the area.
(n) RELATIONSHIP TO OTHER LAWS.—(1) Section 1001 of title 18 ap-
plies to a certificate or submission under this section. The Secretary may
end a grant under this section and seek reimbursement, directly or by off-
setting 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 cap-
ital 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, alter-
natives analysis related to the development of the systems, and the ac-
quisition 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 ef-
ficient 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 im-
proved products, into mass transportation;
(5) transportation projects that enhance urban economic develop-
ment or incorporate private investment, including commercial and resi-
dential development, because the projects—
(A) enhance the effectiveness of a mass transportation project
and are related physically or functionally to that mass transpor-
tation project; or
(B) establish new or enhanced coordination between mass trans-
portation and other transportation;
(6) mass transportation projects planned, designed, and carried out
to meet the special needs of elderly individuals and individuals with dis-
abilities; 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 improvements that the Secretary may
decide would result in increased mass transportation usage in the cor-
ridor.
(b) LOANS
FOR REAL PROPERTY INTERESTS.—(1) The Secretary of
Transportation may make loans under this section to State and local gov-
ernmental authorities to acquire interests in real property for use on urban
mass transportation systems as rights of way, station sites, and related pur-
poses, including reconstruction, renovation, the net cost of property manage-
ment, 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 application is submitted, or, if the agency
requests more time within those 30 days, within a period the Secretary es-
tablishes, the Secretary 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 fis-
cal 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 re-
ceipts.
(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 facili-
ties—
(1) owned by a rail carrier subject to reorganization under title 11;
and
(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 appli-
cant—
(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 SYS-
TEMS.—(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 exten-
sion 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 im-
provements, 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 con-
struct, maintain, and operate the system or extension.
(3) In making a decision under paragraph (2) of this subsection, the Sec-
retary of Transportation shall—
(A) consider the direct and indirect costs of relevant alternatives;
(B) account for costs related to factors such as congestion relief, im-
proved mobility, air pollution, noise pollution, congestion, energy con-
sumption, and all associated ancillary and mitigation 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 appropriate 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 oper-
ating costs.
(C) The degree of local financial commitment is acceptable only if—
(i) the proposed project plan provides for the availability of contin-
gency amounts the Secretary of Transportation determines to be rea-
sonable 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 ridership levels) without requiring a
reduction in existing mass transportation services to operate the pro-
posed 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 pur-
poses 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 prelimi-
nary 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 nonattainment 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 corridors 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 time-
ly 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 (including a
commuter rail transportation project on an existing right of way) financed
completely with amounts for highways made available 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 EN-
HANCE URBAN ECONOMIC DEVELOPMENT OR INCORPORATE PRIVATE IN-
VESTMENT.—(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 facil-
ity pay a reasonable share of the costs of the facility through rental pay-
ments 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 Transpor-
tation 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 stipu-
lated as the financial participation 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 Represent-
atives 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 sec-
tions 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 financing grant
agreement with an applicant. The agreement shall—
(i) establish the terms of participation by the United States Govern-
ment in a project under this section;
(ii) establish the maximum amount of Government financial assist-
ance for the project;
(iii) cover the period of time for completing the project, including a
period extending beyond the period of an authorization; and
(iv) make timely and efficient management of the project easier ac-
cording 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 fi-
nancing costs of efficiently carrying out a part of the project within a rea-
sonable 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 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 favorable financing terms. The amount stipu-
lated 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 En-
vironmental 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 comple-
tion of the project more rapidly and at less cost.
(B) A work agreement under this paragraph obligates an amount of avail-
able 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 pe-
riod 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 eli-
gible 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 ap-
plicant shall certify, in a way satisfactory to the Secretary, that the appli-
cant has shown reasonable diligence in seeking the most favorable 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 establishes in the agreement.
(4) The total estimated amount of future obligations of the Government
and contingent commitments to incur obligations covered by all outstanding
letters of intent, full financing grant agreements, 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 in-
terest 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 cov-
ered by new letters and contingent commitments included in full financing
grant agreements and early systems work agreements may be not more than
a limitation specified in law.
(h) GOVERNMENT’S SHARE OF NET PROJECT COST.—Based on engineer-
ing 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 the Government. Transit system amounts that make up the remainder
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 satisfies 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 Gov-
ernment is made at the same time.
(i) LOAN TERM REQUIREMENTS.—Except for a loan under subsection (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 matu-
rity 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, considering the
current average yield on outstanding marketable obligations of the Gov-
ernment that have remaining periods of maturity comparable to the av-
erage 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 Transpor-
tation gives priority consideration to financing projects that include more
than the non-Government share required under subsection (h) of this sec-
tion, the Secretary shall give equal consideration to differences in the fiscal
capacity of State and local governments.
(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 modernization;
(B) 40 percent is available for capital projects for new fixed guide-
way systems and extensions to existing fixed guideway 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 urban-
ized areas.
(3) Not later than January 20 of each year, the Secretary of Transpor-
tation shall submit to the Committee on Public Works and Transportation
of the House of Representatives and the Committee on Banking, Housing,
and Urban Affairs of the Senate a 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 Trans-
portation 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 de-
scribed 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 ac-
cording to all applicable procedures and requirements if—
(A) the State or local governmental authority applies for the pay-
ment;
(B) the Secretary approves the payment; and
(C) before carrying out the part of the project, the Secretary ap-
proves 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 in-
terest earned and payable on bonds issued by the State or local govern-
mental authority to the extent proceeds of the bonds are expended in carry-
ing 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 favorable 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, insuffi-
cient, or inappropriate; or
(B) governmental authorities—
(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 non-
profit corporation or association readily is available in an area
to provide service under this subsection.
(b) APPORTIONING AND TRANSFERRING AMOUNTS.—The Secretary 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 ap-
portionment 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 supple-
ment 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 trans-
portation services for elderly individuals and individuals with disabilities
that are included in a State program of projects. A program shall be sub-
mitted annually to the Secretary for approval and shall contain an assur-
ance that the program provides for maximum feasible coordination of trans-
portation services assisted under this section with transportation services as-
sisted 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 sub-
section (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 RECIPIENTS.—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 Govern-
ment-wide standards to carry out section 504), the Secretary shall prescribe
regulations establishing minimum criteria a recipient of Government finan-
cial 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 regulations shall include provisions for en-
suring that organizations and groups representing elderly individuals and
individuals with disabilities 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 guidelines allow-
ing vehicles bought under this section to be leased to local governmental au-
thorities to improve transportation services designed to meet the special
needs of elderly individuals and individuals with disabilities.
(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 pro-
gram 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 In-
dian reservations, 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 carrying out this paragraph,
the Secretary may make grants and contracts for transportation research,
technical assistance, training, and related support services in nonurbanized
areas.
(c) APPORTIONING AMOUNTS.—The Secretary of Transportation shall ap-
portion 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
estimate 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 transportation service, as defined by
the Secretary of Transportation, 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 per-
cent 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
delivery 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 Septem-
ber 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 sup-
port intercity bus transportation. Eligible activities under the program in-
clude—
(A) planning and marketing for intercity bus transportation;
(B) capital grants for intercity bus shelters;
(C) joint-use stops and depots;
(D) operating grants through purchase-of-service agreements, user-
side subsidies, and demonstration projects; and
(E) coordinating rural connections between small mass transpor-
tation 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 deter-
mined by the Secretary of Transportation. A grant to pay a subsidy for op-
erating 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 pro-
vided in cash from sources other than amounts of the Government or reve-
nues from providing mass transportation. Transit system amounts that
make up the remainder shall be from an undistributed cash surplus, a re-
placement 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.
(j) RELATIONSHIP TO OTHER LAWS.—(1) Sections 5323(a)(1)(D) and
5333(b) of this title apply to this section but the Secretary of Labor may
waive the application of section 5333(b).
(2) This subsection does not affect or discharge a responsibility of the
Secretary of Transportation under a law of the United States.