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U.S. Code as of:
01/19/04
Section 5307. Urbanized area formula grants
(a) Definitions. - In this section, the following definitions
apply:
(1) Associated capital maintenance items. - The term
"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. - The term "designated recipient"
means -
(A) a person designated, consistent with the planning process
under sections 5303-5306 of this title, by the chief executive
officer of a State, responsible local officials, and publicly
owned operators of mass transportation to receive and apportion
amounts under section 5336 of this title that are attributable
to transportation management areas established under section
5305(a) of this title; or
(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.
(b) General Authority. - (1) The Secretary of Transportation may
make grants under this section for capital projects and to finance
the planning and improvement costs of equipment, facilities, and
associated capital maintenance items for use in mass
transportation, including the renovation and improvement of
historic transportation facilities with related private investment.
The Secretary may also make grants under this section to finance
the operating cost of equipment and facilities for use in mass
transportation in an urbanized area with a population of less than
200,000.
(2) Special rule for fiscal year 2003 and for the period of
October 1, 2003, through February 29, 2004. -
(A) Increased flexibility. - The Secretary may make grants
under this section, from funds made available to carry out this
section for fiscal year 2003, and for the period of October 1,
2003, through February 29, 2004 (!1) to finance the operating
cost of equipment and facilities for use in mass transportation
in an urbanized area with a population of at least 200,000 as
determined under the 2000 decennial census of population if -
(i) the urbanized area had a population of less than 200,000
as determined under the 1990 Federal decennial census of
population;
(ii) a portion of the urbanized area was a separate urbanized
area with a population of less than 200,000 as determined under
the 1990 Federal decennial census of population;
(iii) the area was not designated as a urbanized area as
determined under the 1990 Federal decennial census of
population; and
(iv) a portion of the area was not designated as an urbanized
area as determined under the 1990 Federal decennial census and
received assistance under section 5311 in fiscal year 2002.
(B) Maximum amounts. - Amounts made available pursuant to
subparagraphs (A)(i) and (A)(ii) shall be no more than the amount
apportioned in fiscal year 2002 to the urbanized area with a
population of less than 200,000 as determined in the 1990 Federal
decennial census of population. Amounts made available pursuant
to subparagraph (A)(iii) shall be no more than the amount
apportioned under this section for fiscal year 2003. Each portion
of an area not designated as an urbanized area under the 1990
Federal decennial census and eligible to receive funds under
subparagraph (A)(iv) shall receive an amount of funds made
available to carry out this section that is no less than the
amount the portion of the area received under section 5311 in
fiscal year 2002.
(3) 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, in writing, by the metropolitan
planning organization under section 5303 of this title after
appropriate notice and an opportunity for comment and appeal is
provided to affected mass transportation providers;
(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.); and
(C) the metropolitan planning organization in approving the use
under subparagraph (A) determines that the local transit needs
are being addressed.
(4) A project for the reconstruction of equipment and material,
each of which after reconstruction will have a fair market value of
at least .5 percent of the current fair market value of rolling
stock comparable to the rolling stock for which the equipment and
material will be used, is a capital project for an associated
capital maintenance item under this section.
(c) Public Participation Requirements. - Each recipient of a
grant shall -
(1) make available to the public information on amounts
available to the recipient under this section and the program of
projects the recipient proposes to undertake;
(2) develop, in consultation with interested parties, 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 recipient;
(4) provide an opportunity for a public hearing in which to
obtain the views of citizens on the proposed program of projects;
(5) ensure that the proposed program of projects provides for
the coordination of mass transportation services assisted under
section 5336 of this title with transportation services assisted
from other United States Government sources;
(6) consider comments and views received, especially those of
private transportation providers, in preparing the final 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 section and a certification for that fiscal year that the
recipient (including a person receiving amounts from a chief
executive officer of a State under this section) -
(A) has or will have the legal, financial, and technical
capacity to carry out the program;
(B) has or will have satisfactory continuing control over the
use of equipment and facilities;
(C) will maintain equipment and facilities;
(D) will ensure that elderly and handicapped 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 section not more
than 50 percent of the peak hour fare;
(E) in carrying out a procurement under this section -
(i) will use competitive procurement (as defined or
approved by the Secretary);
(ii) will not use a procurement that uses exclusionary or
discriminatory specifications; and
(iii) will comply with applicable Buy America laws in
carrying out a procurement;
(F) has complied with subsection (c) of this section;
(G) has available and will provide the required amounts as
provided by subsection (e) of this section;
(H) will comply with sections 5301(a) and (d), 5303-5306, and
5310(a)-(d) of this title;
(I) has a locally developed process to solicit and 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 telephone 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
recipient receives for each fiscal year under section 5336 of
this title; or
(ii) has decided that the expenditure for security projects
is not necessary; and
(2) the Secretary accepts the certification.
(e) Government's Share of Costs. - A grant of the 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 expenses may not be more than 50 percent of
the net project cost of the project. The remainder of the net
project cost shall be provided in cash from sources other than
amounts of the Government or revenues from providing mass
transportation (excluding revenues derived from the sale of
advertising and concessions that are more than the amount of those
revenues in the fiscal year that ended September 30, 1985). Transit
system amounts that make up the remainder shall be from an
undistributed cash surplus, a replacement or depreciation cash fund
or reserve, or new capital.
(f) Statewide Operating Assistance. - (1) A State authority that
is a designated recipient and providing mass transportation in at
least 2 urbanized areas may apply for operating assistance in an
amount not more than the amount for all urbanized areas in which it
provides transportation.
(2) When approving an application under paragraph (1) of this
subsection, the Secretary may not reduce the amount of operating
assistance approved for another State or a local transportation
authority within the affected urbanized areas.
(g) Undertaking Projects in Advance. - (1) When a recipient
obligates all amounts apportioned to it under section 5336 of this
title and then carries out a part of a project described in this
section (except a project for operating expenses) without amounts
of the Government and according to all applicable procedures and
requirements (except to the extent the procedures and requirements
limit a State to carrying out a project with amounts of the
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 fiscal 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 most favorable
financing terms reasonably available for the project at the time of
borrowing. The applicant shall certify, in a manner satisfactory to
the Secretary, that the applicant has shown reasonable diligence in
seeking the most favorable financing terms.
(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 certification requirement under subsection (d)(1)(B) and (C) of
this section for track and signal equipment used in existing
operations.
(i) Reviews, Audits, and Evaluations. - (1)(A) At least annually,
the Secretary shall carry out, or require a recipient to have
carried out independently, reviews and audits the Secretary
considers appropriate to establish whether the recipient has
carried out -
(i) the activities proposed under subsection (d) of this
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 program, specifically referring to compliance with
statutory and administrative requirements and the extent to which
actual program activities are consistent with the activities
proposed under subsection (d) of this section and the planning
process required under sections 5303-5306 of this title. To the
extent practicable, the Secretary shall coordinate such reviews
with any related State or local reviews.
(3) The Secretary may take appropriate action consistent with a
review, audit, and evaluation under this subsection, including
making an appropriate adjustment in the amount of a grant or
withdrawing the grant.
(j) Reports. - A recipient (including a person receiving amounts
from a chief executive officer of a State under this section) shall
submit annually to the Secretary a report on the revenues the
recipient derives from the sale of advertising and concessions.
(k) Transit Enhancement Activities. -
(1) In general. - One percent of the funds apportioned to
urbanized areas with a population of at least 200,000 under
section 5336 for a fiscal year shall be made available for
transit enhancement activities in accordance with section
5302(a)(15).
(2) Period of availability. - Funds apportioned under paragraph
(1) shall be available for obligation for 3 years following the
fiscal year in which the funds are apportioned. Funds that are
not obligated at the end of such period shall be reapportioned
under the urbanized area formula program of section 5336.
(3) Report. - A recipient of funds apportioned under paragraph
(1) shall submit, as part of the recipient's annual certification
to the Secretary, a report listing the projects carried out
during the preceding fiscal year with those funds.
(l) Procurement System Approval. - A recipient may request the
Secretary to approve its procurement system. The Secretary shall
approve the system for use for procurements financed under section
5336 of this title if, after consulting with the Administrator for
Federal Procurement Policy, the Secretary decides the system
provides for competitive procurement. Approval of a system under
this subsection does not relieve a recipient of the duty to certify
under subsection (d)(1)(E) of this section.
(m) Operating Ferries Outside Urbanized Areas. - A vessel used in
ferryboat operations financed under section 5336 of this title that
is part of a State-operated ferry system may be operated
occasionally outside the urbanized area in which service is
provided to accommodate periodic maintenance if existing ferry
service is not reduced significantly by operating outside the area.
(n) Relationship to Other Laws. - (1) Section 1001 of title 18
applies to a certificate or submission under this section. The
Secretary may end a grant under this section and seek
reimbursement, directly or by offsetting amounts available under
section 5336 of this title, when a false or fraudulent statement or
related act within the meaning of section 1001 is made in
connection with a certification or submission.
(2) Sections 5302, 5318, 5319, 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.
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